N.Y. Comp. Codes R. & Regs. tit. 14, § 620.4 – Project planning.

(a) The development of a comprehensive service delivery system to meet the needs of persons with developmental disabilities begins with the identification of those needs and the types of programs with the service capability to meet such needs. This shall be done through joint planning efforts on a county, regional and statewide basis by OPWDD, local governmental units and local health systems agencies. The local governmental units and local health systems agencies shall be given the opportunity to review operational planning documents developed by OPWDD, and to make recommendations to the commissioner.
1. (1) OPWDD shall project the number of persons with developmental disabilities in need, as identified by a data based system, on no less than a triennial basis.
2. (2) OPWDD shall develop a proposal for an ideal service/program mix to meet the needs of the identified population and provide this information to the following planning bodies on no less than a triennial basis:
  1. (i) B/DDSO—for the services area under each B/DDSO's coordination;
  2. (ii) local governmental unit—for each county;
  3. (iii) health systems agency—for the locale within each agency's jurisdictional area.
3. (3) The appropriate B/DDSO, representing OPWDD at the local level, shall collaborate with the local governmental units and the health system agencies in its service area and assist them to the extent necessary in the development of local and regional plans.
4. (4) OPWDD, utilizing input from local and regional planning bodies, shall develop a statewide plan and operational planning documents.
5. (5) Appropriate operational planning documents, reflecting specific program development needs, shall be reviewed by the appropriate local governmental units and health systems agencies which shall be given the opportunity to comment upon such documents prior to actualization. It is at this time in the planning process that both the local governmental units and the health systems agencies are to consider and comment upon:
  1. (i) the availability of facilities or services which may serve as alternatives or substitutes for the whole or any part of the proposed program and/or construction;
  2. (ii) the adequacy of financial resources and sources of future revenue; and
  3. (iii) the public need for the facility or services at the time and place and under the circumstances proposed.
6. (6) While planning bodies will have the opportunity for review of applications for certification of need at a subsequent time, it is at the point in the project planning process that OPWDD allocates funds for program development and/or construction that input from the local governmental units and the health systems agencies is of primary significance.
(b) Prior to formal submission of an application for certification of need, and as early as possible, it is required that the applicant consult with applicable local authorities, local governmental units and the appropriate health systems agency to ensure, to the extent possible, that the proposed project is needed and appropriate. In order to avoid unnecessary expenditures for the development of the application, and the more complex or expensive the anticipated project, the more attention must be paid to early and extensive contact with county, regional, and B/DDSO planning authorities.
(c) If either an administrative review or substantial review project should, at the time it moves forward to completion, result in an increase in cost or in client capacity or change in the class of operating certificate approved at the time of certification of need, it shall be necessary to submit an amended application for certification of need to address the change(s). If, for an administrative review project, costs exceed $600,000 or certified capacity is exceeded by 10 percent or five persons (whichever is greater), or there is a change in the operating certificate, section 620.6(b)(3) of this Part shall apply.