Q1.1: How should Managed Long Term Care (MLTC) plans verify the Certificate of Occupancy (COO) is for the correct Social Adult Day Care (SADC) ownership?
To confirm a COO is for the correct SADC ownership, MLTC plans are to obtain a copy, and confirm the COO is currently valid (i.e. not expired) and has the correct SADC name and address listed.
Note:If a COO is not available or does not contain all the required information, please see Q1.2 If an SADC cannot acquire the original COO, is similar documentation, such as the operating certificate acceptable? and Q1.3 What makes a COO or other municipality documentation "valid"? below for additional guidance.
Q1.2 If an SADC cannot acquire the original COO, is similar documentation, such as the operating certificate acceptable?
Yes, if the COO does not contain all necessary information to confirm all the required information being verified, additional official municipal documentation may be utilized.
The New York State Department of Health (the Department) is aware that not all components required by MLTC Policy 25.05 may be contained in a single official municipal document . If necessary, MLTC plans should collect a combination of official municipal document s which contain at least the following information:
- Name of the SADC/Operating Entity
- Occupancy Allowance
- Must reflect the official maximum allowable occupancy for the inhabited space.
- Permissible Use Designation
- "Daycare" or "Institutional Group I-4"
- A generic "commercial" or "residential" classification is not acceptable.
Reminder: It is essential that official municipal documentation reflects the appropriate permissible use for the space to inform emergency services (e.g. the fire department) of any special considerations when responding to a call.
Examples of municipal documentation may include:
- Certificate of Occupancy
- FDNY Place of Assembly (PA) Permit (SADCs in NYC only)
- Municipal Fire Department / Code Enforcement Max Occupancy Documentation
Note:For additional details on determining if the documentation is "valid" please see Q1.3 What makes a COO or other municipality documentation "valid"? below.
Q1.3 What makes a COO or other municipality documentation "valid"?
A COO or other municipality documents are considered valid if the following information is included:
- The SADC name and/or ownership name is listed.
- If the COO or municipality document does not have a place to indicate this information, it can still be valid if it is evident that the document applies to the location.
- Expiration date is at least 30-days in the future.
- If the COO or municipality document has an issue date without an expiration date indicated, it is considered valid.
- Note:If the document has expired and the SADC is working to obtain a new document, the MLTC plan should confirm this (e.g., via a submitted request), note the non-compliance in the evaluation tool, and follow up with the SADC to ensure the new document is obtained and valid, as part of the remediation process.
- The maximum occupancy for the space is listed.
- Permissible use accurately reflects that the space is being used by an SADC.
- The exact use coding may not specifically list "Social Adult Day Care" but should be something similar. A standard "commercial" or "residential" COO is not acceptable.
- E.g., "Daycare" or "Institutional Group I-4"
Reminder: The permissible use is essential because additional requirements related to occupancy (e.g., fire safety) are required based on this classification.
Q1.4 What "records of service delivery" should be collected?
According to Title 9 NYCRR 6654.20 (d)(2)(iii) - Records:
"(iii) Records. The program shall:
- maintain the following information on file:
- administrative and financial records.
- participant personal records, including identifying, emergency, and medical information including physician name, diagnosis, and medications; and
- services records, including the individual assessment, the service plan, and documentation of the delivery of services; and
- treat all information as confidential and shall not disclose or release information except as authorized by Federal or State laws and regulations, or pursuant to court order."
Q1.5 Are MLTC plans responsible for obtaining records of service delivery for members attending the SADC?
Yes, MLTC plans are required to obtain copies of service delivery records for all the MLTC
plan's members attending the SADC.
Q1.6 What documents should be collected to confirm person centered planning has been performed correctly and within the required timeframe?
The MLTC plan must obtain and review person centered service plans (PCSPs) for all members that include at minimum all fields within the SADC PCSP Template (PDF), which was issued by the Department, in conjunction with the New York State Office for the Aging (NYSOFA). As part of the review, the MLTC plan must confirm the initial PCSP was created within 30-days of enrollment and subsequent PCSPs were conducted at least annually thereafter.
Q1.7 What SADC training materials are MLTC plans required to collect and maintain?
The MLTC plans are required to collect and maintain all materials verifying staff have been trained in all required topics, including:
- Training Policy
- Training Materials
- Attendance Logs for Training Sessions
- Other Evidence of Staff Training (e.g., Completion Certificates)
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