Architectural and Engineering Guidelines

In New York, an architect's or engineer's involvement in a Certificate of Need (CON) application is a critical aspect of the review process. The New York State Department of Health (DOH) requires architectural and engineering drawings as part of the CON application for various projects, including construction of new facilities, renovations, and acquiring major medical equipment. These drawings accompany CON Schedule 6.

The guidelines and forms listed below apply to all construction applications whether they are reviewed by the Bureau of Architecture and Engineering Review (BAER), Long-Term Care Architectural and Engineering Review, or by the Dormitory Authority of the State of New York (DASNY) on behalf of the Department.

Drawing Submission Guidelines

Architectural and Engineering Certification

The Architect and Engineer Certification is required with the Certificate of Need (CON) architectural and engineering submission for projects subject to review by DOH/DASNY or self-certified by the applicant's architect or engineer. The certification must be signed and stamped by the New York State licensed architect or engineer responsible for verifying physical environment compliance for the submitted CON. Projects certifying new space in existing buildings also require this certification even when no physical construction will take place.

Architectural Self-Certified Submissions

Self-certifications are architectural/engineering submissions certifying physical environment compliance by the applicant's architect or engineer in lieu of review by DOH or DASNY.Select "self-certification" on the Architect and Engineer Certification from the section above and complete the eligibility checklist on page 3. Self-certification is not an option for projects over $30 million, projects requesting a waiver or exception to the standards, or projects that do not meet the criteria listed in the eligibility checklist.

Physicist's Certification of Radiation Protection

Physicist's certification is required for projects involving imaging. The signing physicist, in coordination with the design team, attests that the radiation emissions have been predicted, and that compliant shielding and protective measures will be provided. The Physicist Certification must be provided with either the schematic design or design development drawing submission.

Construction Waiver and Equivalency

The State Waiver Request form is for existing Article 28 facilities requesting a waiver or equivalency due to a survey citation. For state citations: waiver requests are submitted to and granted by the Department. For federal citations: waivers are submitted to the Department's Regional Offices with the facility's Plan of Correction. The Centers for Medicare & Medicaid Services grants federal waivers.

Shared Space and Co-Location

Facilities that intend to have both Article 28 and non-Article 28 space in the same location, each space must be separate and distinct such that both staff and patient circulation do not traverse through the other's clinical area including access to exits and support spaces. Public use corridors may be shared to reach exits and support spaces. Clinical staff may not be commingled or shared simultaneously between providers.

Except for ambulatory surgery centers, shared waiting rooms may be used and must clearly identify which provider is providing care to patients. Federally designated providers must also provide a separate intake area at the reception desk.

Submissions that do not illustrate clear delineation for Article 28 space will be returned for redesign. For multi-tenant (multi-provider) buildings, delineate Article 28 adjacencies as Article 28, 31, 32, or private tenants/providers.

Supplementary Guidelines

Mobile Van Submissions

A CON application is required to certify mobile facilities that are to provide Article 28 licensed services. The applicant must attest that the space and the manufacturer's specifications have been reviewed and approved by facility personnel who have determined the safety and appropriateness for the use of the mobile unit.

Construction Notices

Certain categories of proposed construction to existing Article 28 facilities may be submitted to the Department with a Construction Notice in lieu of a CON. Refer to the link below for how to file a Construction Notice including the architect and engineer certification for use with Construction Notices.

Projects eligible for Limited Reviews that do not impact the applicant's operating certificate and that are intended for self-certification by the applicant, may be submitted as a Construction Notice. The proposed work must qualify for self-certification per the eligibility checklist on page 3 of the architect and engineer certification for construction notices.

Completed CON Projects

Upon review and acceptance of all CON documents, the applicant will receive Department approval to proceed. When construction is substantially complete, the facility must notify the relevant Regional Office to request a pre-opening survey. Projects approved with no construction must also request a pre-opening survey. Refer to the link below for pre-opening survey process and required documentation including the architect and engineer certification for use with completed projects.

State Environmental Quality Review

The State Environmental Quality Review Act (SEQRA) requires all state agencies to determine whether actions they directly undertake, fund or approve may have a significant impact on the environment. CON applications must include documentation demonstrating that the environmental impacts of the proposed project have been evaluated and mitigated. The submission of CON Schedule 7 or Limited Review Schedule 4 initiates this process.