(a) Principles of compliance.

1. (1) An operating certificate may be issued to an agency (see glossary) for the operation of a day treatment facility that meets the requirements of this Part and all other applicable State and Federal requirements.

2. (2) An application for an initial operating certificate, for the renewal of an existing operating certificate, or for certain program changes shall be submitted in the format and subject to the review procedures prescribed by OPWDD including, as appropriate, a certification of need review (see glossary) pursuant to Part 620 of this Title.

   1. (i) A description and rationale for the facility's staffing pattern shall be submitted as part of the application for certification. OPWDD shall be notified of any significant changes in the staffing pattern, job expectations and/or minimum qualifications of the staff and impact on delivery of services.

   2. (ii) The initial staffing allocation plan shall contain justification for the staff allocation based on the assessment and analysis of the needs of the persons served.

      1. (a) Within six months of the issuance of the initial operating certificate, the facility shall submit to OPWDD a letter certifying that, based on subsequent assessments of the persons admitted to the facility, the staffing allocation plan as originally submitted and approved is adequate to meet the identified needs; or
      2. (b) Any substantial revisions to a facility's original staffing plan shall be submitted to OPWDD for review and approval.
      3. (c) If OPWDD discovers that any portion of the day treatment needs of the persons admitted are not being met because of inadequate staffing, the facility shall prepare a plan of correction and implement, in a timely fashion, a staffing allocation plan that will meet the identified service needs of the admitted persons.
3. (3) The initial and renewed operating certificate may be valid for a period of up to three years.
4. (4) An operating certificate shall be issued to a day treatment facility for a specific inspected site and its approved satellite site(s).
5. (5) No day treatment facility may be operated without a valid operating certificate issued to the agency by OPWDD.
6. (6) The current operating certificate shall be maintained at the facility site and shall be available to anyone requesting to see it. Copies of the operating certificate showing the approved satellite site(s) shall be available at said satellite site(s).
7. (7) The number of full-time equivalent persons (see glossary) for which the overall facility (including any satellite sites) has been approved for routine on-site attendance at any one time, shall be stated on the operating certificate as the certified capacity (see glossary).
8. (8) All operating certificates shall remain the property of OPWDD. Expired, invalidated, revoked or terminated certificates shall be returned to OPWDD.
9. (9) Suspension, revocation or limitation of the operating certificate shall be in accordance with the provisions of article 16 of the Mental Hygiene Law.

10. (10) The certificate holder shall notify OPWDD of any intention to voluntarily terminate the operation of the facility at least 60 days prior to anticipated termination. This notice of intent to voluntarily terminate operation shall include a statement of the actions which will be taken by the certificate holder:

    1. (i) to assure appropriate referral of persons being served;
    2. (ii) to preserve the confidentiality of records; and
    3. (iii) to settle all outstanding debts and accounts receivable according to the pre-existing individual agreements.

11. (11) Catastrophic termination of operation.

    1. (i) The commissioner shall be notified immediately of any catastrophe.
    2. (ii) If, through a catastrophe or other circumstance beyond the facility's control, such as but not limited to fire, flood or earthquake, the facility is unable to operate as certified for a period of 60 days, the operating certificate shall be subject to suspension, revocation or limitation. Such time period shall be extended upon application to and approval from the commissioner. Such extension shall be granted in a timely manner based on the documentation that the facility is proceeding in good faith to reinitiate operation and that satisfactory service alternatives have been provided for the participants in the interim.
    3. (iii) From the time of such catastrophe, the agency, in collaboration with the commissioner, shall be responsible for providing emergency quarters and continuing support to all persons, until such time as the facility can be made habitable or suitable alternative quarters can be found. Such requirements shall be contingent upon maintenance of the current reimbursement agreements.

12. (12) No operating certificate is transferable or assignable to any other party or entity.

    (b) Standards of certification.

13. (1) OPWDD shall verify that day-to-day on-site attendance at the facility (or satellite) has not exceeded its certified capacity (see section 690.99[k] of this Part).
14. (2) OPWDD shall verify that the facility's current staffing levels correspond to its approved staffing plan and amendments thereto.