§ 5.07 Establishment of statewide comprehensive plans of services for

persons with mental disabilities.

(a) (1) The behavioral health services advisory council and the
advisory council on developmental disabilities shall provide
recommendations for statewide priorities and goals to guide
comprehensive planning, resource allocation and evaluation processes for
state and local services for persons with mental illness, developmental
disabilities, and/or those with substance use or compulsive gambling
disorders. Such goals and objectives shall:

a. be measurable in terms of attainment and focused on outcomes for
those being served;

b. be developed in collaboration with, and communicated to, providers
of services, department facilities, consumers and consumer
representatives, and other appropriate state and local governmental
agencies;

c. reflect the partnership between state and local governmental units;
and

d. emphasize the need to integrate behavioral health and health
services.

(2) Such advisory councils shall accomplish their duties by means of a
process which is:

a. open, visible and accessible to the public; and

b. consistent with the statewide and federally mandated planning,
appropriation and evaluation processes and activities for services to
persons with mental disabilities.

(3) The advisory councils are hereby empowered to hold public hearings
and meetings to enable them to accomplish their duties.

(b) Statewide comprehensive plan for services to persons with mental
disabilities.

(1) The office of mental health, the office for people with
developmental disabilities and the office of alcoholism and substance
abuse services shall formulate a statewide comprehensive five-year plan
for the provision of all state and local services for persons with
mental illness, developmental disabilities, and/or those with substance
use or compulsive gambling disorders. The statewide comprehensive plan
shall be based upon an analysis of local services plans developed by
each local governmental unit, in consultation with consumers, consumer
groups, providers of services and departmental facilities that furnish
behavioral health services in conformance with statewide priorities and
goals established with recommendations of the behavioral health services
advisory council and the advisory council on developmental disabilities.
The plan shall:

a. identify statewide priorities;

b. specify statewide goals that reflect the statewide priorities and
are focused on obtaining positive measurable outcomes;

c. propose strategies and initiatives to address the priorities and
facilitate achievement of statewide goals;

d. identify services and supports, which may include programs run or
led by peers, that are designed to promote the health and wellness of
persons with mental illness, developmental disabilities, and/or
substance use or compulsive gambling disorders;

e. provide analysis of current and anticipated utilization of state
and local, and public and private facilities, programs, services, and/or
supports;

f. encourage and promote person-centered, culturally and
linguistically competent community-based programs, services, and
supports that reflect the partnership between state and local
governmental units;

g. include progress reports on the implementation of both short-term
and long-term recommendations of the children's plan required pursuant
to section four hundred eighty-three-f of the social services law; and

h. include final reports for time-limited demonstration programs
pursuant to subdivision (d) of section 41.35 of this chapter.

(2) The commissioner of mental health shall also include the following
in the portion of the statewide comprehensive plan required by this
subdivision for services to persons with mental illness:

a. an analysis of the long-term need for the delivery of inpatient
care and services for adults and children and youth at state-operated
hospitals as listed in section 7.17 of this chapter, including a review
of statewide policies and trends relating to admissions, discharges,
deaths, transfers, and appropriate community placements for inpatients,
and a review of the correlation between these policies and trends and
the future use of state inpatient facilities, resulting in a projected
range of the anticipated census over the next five years for each
state-operated hospital listed in section 7.17 of this chapter;

b. a review of the long-term needs of persons currently residing in
state-operated hospitals, including an estimate of the number of such
individuals needing state inpatient care, and an estimate of the number
of such individuals who may be discharged to nursing homes, adult homes,
residences operated, licensed or funded by the office of mental health,
and independent housing;

c. an analysis of the anticipated future of the forensic psychiatric
program operated by the office of mental health pursuant to subdivision
(c) of section 7.09 of this chapter, including a programmatic and fiscal
review of clinical care needs for persons committed to such programs,
identification of service gaps for this population, projected range of
anticipated census over the next five years, and any recommendations for
new service configurations;

d. an analysis of the anticipated future of the mission of the
state-operated office of mental health research institutes that are
listed in section 7.17 of this chapter;

e. a description of the available community-based acute inpatient,
out-patient, community support and emergency services, which shall
include comprehensive psychiatric emergency programs licensed pursuant
to section 31.27 of this chapter. Such description should include the
extent to which these services are currently utilized by persons with
mental illness and, as available, compare estimates of utilization with
estimates of the prevalence of mental illness among persons residing in
the service area to determine unmet need;

f. recommendations for new or expanded programs or services that may
be required to meet the unmet need for community-based services
identified in accordance with subparagraph e of this paragraph;

g. a review and evaluation of efforts undertaken by the office of
mental health to encourage community hospitals to provide both emergency
and acute inpatient care;

h. a description of the involvement of local government mental health
authorities in the planning and development of a needs-based,
comprehensive service system and in the determination of the allocation
of resources;

i. to the extent practicable, all such information required pursuant
to this paragraph shall be provided on a statewide, regional and
individual state-operated hospital and state-operated research institute
basis; and

j. recommendations on the provision of state and local mental health
services based on the development of best practices by programs
promoting culturally and linguistically competent mental health
services.

(3) The commissioner of the office for people with developmental
disabilities shall also include, to the extent practicable, the
following data in the portion of the statewide comprehensive plan
required by this section for services to persons with developmental
disabilities:

(a) the number of individuals and average Medicaid eligible
expenditure level per service recipient, categorized by the following:

(i) from birth to twenty years of age;

(ii) from twenty-one years of age to sixty-four years of age
inclusive; and

(iii) sixty-five years of age and older;

(b) race or ethnicity of the service recipient, by age range;

(c) primary language spoken by the service recipient and other related
details, as feasible; and

(d) residence type, subcategorized by age, race or ethnicity, and
primary language.

(4) The commissioners of each of the offices shall be responsible for
the development of such statewide five-year plan for services within the
jurisdiction of their respective offices and after giving due notice
shall conduct one or more public hearings on such plan. The behavioral
health services advisory council and the advisory council on
developmental disabilities shall review the statewide five year
comprehensive plan developed by such office or offices and report its
recommendations thereon to such commissioner or commissioners. Each
commissioner shall submit the plan, with appropriate modifications, to
the governor no later than the first day of November of each year in
order that such plan may be considered with the estimates of the offices
for the preparation of the executive budget of the state of New York for
the next succeeding state fiscal year. Such comprehensive plan shall be
submitted to the legislature and also be posted to the website of each
office. Statewide plans shall ensure responsiveness to changing needs
and goals and shall reflect the development of new information and the
completion of program evaluations. An interim report detailing the
commissioner's actions in fulfilling the requirements of this section in
preparation of the plan and modifications in the plan of services being
considered by the commissioner shall be submitted to the governor and
the legislature on or before the fifteenth day of March of each year.
Such interim report shall include, but need not be limited to:

(a) actions to include participation of consumers, consumer groups,
providers of services and departmental facilities, as required by this
subdivision; and

(b) any modifications in the plan of services being considered by the
commissioner, to include: (i) compelling budgetary, programmatic or
clinical justifications or other major appropriate reason for any
significant new statewide programs or policy changes from a prior
(approved) five year comprehensive plan; and (ii) procedures to involve
or inform local governmental units of such actions or plans.

(5) The commissioner of mental health in consultation with the
department of civil service, the office of employee relations and any
other appropriate state agency, shall prepare for the governor and the
legislature a written evaluation report concerning the retraining and
continuation of employment of persons whose employment in a
state-operated hospital listed in section 7.17 of this chapter may be
terminated because of planned closure or consolidation of such
state-operated hospital. Such report shall include, but not be limited
to:

(i) specific proposals to help implement transitional employment
arrangements with state, local governmental units and voluntary
agencies;

(ii) specific proposals to help provide for the development of
appropriate retraining programs;

(iii) specific proposals to help provide for continuity of employment
and utilization of alternatives to layoffs;

(iv) specific proposals to help provide for the active participation
of the legal bargaining representatives of the employees of the office,
where appropriate, in the planning for and implementation of mechanisms
to help ensure continuity of employment;

(v) specific proposals to help ensure that the planning for the
closure or consolidation of state-operated hospitals is consistent with
the planning for the continuity of employment of state employees,
including procedures to ensure timely notification of represented
employees and their designated legal representatives and managerial and
confidential employees regarding planned program closure or
consolidation of state-operated hospitals; and

(vi) specific proposals regarding the establishment of demonstration
projects incorporating staff training, transfers and assignment of staff
of state-operated hospitals to the offices in local governmental units
and in voluntary agencies. Such proposals shall take into consideration
those areas of the state that are determined to be most in need of the
development of appropriate systems of service delivery to best meet the
appropriate needs of persons with serious mental illness, including
children and adolescents with serious emotional disturbances.

On or before December first, nineteen hundred ninety-four a copy of
such report, and such recommendations as may be deemed appropriate shall
be submitted to the governor, the temporary president of the senate, the
speaker of the assembly, and the respective minority leaders of each
such house.

(c) Three year capital plan. (1) On or before July first of each year,
the commissioners of the offices of the department of mental hygiene
shall each submit to the advisory council of their respective offices a
statewide three year capital plan for facilities within the jurisdiction
of their respective offices. The capital plan shall set forth the
projects proposed to be designed, constructed, acquired, reconstructed,
rehabilitated or otherwise substantially altered pursuant to
appropriation to meet the capital development needs of the respective
agencies for the next ensuing three years; the years of such plan shall
correspond to the years of the statewide five year plan as required by
subdivision (b) of this section.

(2) Such plan for each office shall include but not be limited to a
detailed project schedule indicating the location by county or borough
and estimated cost of each project, the anticipated dates on which the
design and construction of the project is to commence, the proposed
method of financing for the project, the estimated economic life of the
project and whether the proposed project constitutes design, new
construction or rehabilitation.

(3) Such plan shall further specify for each project whether the
project is to be a residential or nonresidential facility, a state or
voluntary operated facility, and, the number of clients, by source of
clients, proposed to utilize the facility. The information on the source
of the client shall include but not be limited to identification of
clients currently living independently, or at home with families, or
with caretakers, clients defined by their respective agencies as special
populations, or clients currently residing in an institutional setting
under the jurisdiction of the offices of the department.

(4) The advisory council of the appropriate office shall review such
plan and report its recommendation to the commissioner for inclusion,
provided, however, that the behavioral health services advisory council
shall forward its comments on the capital plan of the office of mental
health to the mental health planning council which shall forward such
recommendations after review to the commissioner of mental health. The
commissioner shall submit his or her plan with the formal
recommendations of the advisory council of his or her office and any
subsequent appropriate modifications to the governor no later than the
first day of November of each year or concurrent with the annual
submission of estimates and information required by section one of
article seven of the constitution in order that such plans shall be
considered with the estimates of the offices for the preparation of the
executive budget of the state of New York for the next succeeding state
fiscal year. The commissioners shall also submit such plans to the
chairmen of the senate finance committee and the assembly ways and means
committee.

(5) Each statewide three year capital plan for facilities shall be
evaluated and revised annually to encompass the fiscal year then in
progress and the next ensuing two fiscal years to ensure responsiveness
to the changing needs and goals of the department, and to reflect the
development of new information and project completion.