9 NYCRR Part 6651 - Executive Department

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Source versions current through Mar 31, 2022 - Apr 15, 2022 across sections

Sections in this Part carry different compiled dates; each section shows its own.

9 NYCRR 6651.1 - Purpose and scope

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

(a)This Chapter sets forth procedures for administering social and nutrition services for elderly people (age 60 or over) within New York State under title III of the Federal Older Americans Act (42 USC 3001 et. seq.) and the New York State Community Services for the Elderly statute (section 541 of the Executive Law), including the program of expanded in-home, noninstitutional respite, case management and ancillary services.

(b)Except where otherwise expressly stated, procedures and requirements in this Chapter apply to Older Americans Act title III (hereinafter referred to as OAA), Community Services for the Elderly (hereinafter referred to as CSE), and the Expanded In-Home Services for the Elderly Program (hereinafter referred to as EISEP).

(c)Under OAA, the State Office for the Aging (hereinafter referred to as office) awards Federal funds to area agencies on aging (hereinafter referred to as area agencies) to plan for, develop and maintain comprehensive and coordinated systems for the delivery of supportive and nutrition services to the elderly.

(d)Under CSE, the office awards State funds to counties and the City of New York through their area agencies to help elderly people remain in their homes and avoid institutionalization. These grants are intended to improve coordination of existing programs, resources, and service providers, and to expand access to and availability of services for elderly people at risk of institutionalization. State funds are also awarded for CSE planning and implementation.

(e)Under EISEP, the office awards State funds to counties and the City of New York through their area agencies to provide in-home services, noninstitutional respite services, case management services and ancillary services to functionally impaired elderly, subject to specified cost-sharing, to support elderly persons' continued residence in their homes. State planning funds are also awarded to counties preparing county home care plans for functionally impaired elderly; and State implementation funds are awarded in subsequent State fiscal years to counties providing services under approved county home care plans for functionally impaired elderly.

(f)This Chapter prescribes procedures which the office uses to meet the goals and requirements of these programs through grants (subject to local matching requirements as specified in this Chapter) to area agencies, which in turn award subgrants or subcontracts to service providers or provide services directly to eligible elderly.

(g)In any year for which a county receives EISEP service funding, all EISEP requirements under this Chapter shall apply to new CSE clients receiving similar in-home services, noninstitutional respite, and, when provided to persons needing and/or receiving in-home services or noninstitutional respite, and/or case management services.

9 NYCRR 6651.2 - Applicable requirements

Source version current through Apr 15, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Apr 15, 2022

(a)Requirements set forth in this Chapter apply to all programs and services using OAA, CSE, or EISEP funds (including matching funds, contributions, cost-sharing, and other program income).

(b)OAA, CSE, and EISEP programs must be administered in accordance with State and Federal constitutional, statutory, and regulatory requirements, including all applicable State and local health, fire, safety, building, zoning, licensure, and sanitation laws, ordinances or codes. In addition to complying with these laws, ordinances, or codes, any alteration to buildings must be structurally sound.

(c)Federal requirements applying to OAA include:

(1)the following parts of title 45 of the Code of Federal Regulations:

(i)part 1321, grants for State and community programs on aging;

(ii)part 16, procedures of the departmental appeals board (U.S. Department of Health and Human Services);

(iii)part 74, administration of grants;

(iv)part 80, nondiscrimination under programs receiving Federal assistance through the Department of Health and Human Services: effectuation of title VI of the Civil Rights Act of 1964;

(v)part 81, practice and procedures for hearings under part 80;

(vi)part 84, nondiscrimination on the basis of handicap in programs and activities receiving benefits from Federal financial participation;

(vii)part 91, nondiscrimination on the basis of age in programs or activities receiving Federal financial assistance from HHS;

(viii)part 100, intergovernmental review of the Department of Health and Human Services programs and activities; and

(2)with respect to employees of State and local public agencies, the Hatch Act (pertaining to political activities).

(d)New York State requirements applying to OAA, CSE, and EISEP include:

(1)the labor standards set forth in section 220 and 220-d of the Labor Law;

(2)the prohibitions against discrimination in employment based on race, creed, color, sex or national origin set forth in section 220-e of the Labor Law; and

(3)the nondiscrimination requirements set forth in the Human Rights Law (sections 290 through 301 of the Executive Law) and in the Civil Rights Law.

(e)In enforcing these regulations, the office issues program instructions (PI's) which are binding on area agencies and service providers. To assist area agencies and service providers in meeting their administrative and service responsibilities, the office also issues nonbinding information memoranda (IM's), technical assistance memoranda (TAM's), legislative memoranda (LM's), and advocacy alerts. PI's, IM's, TAM's, LM's, and advocacy alerts issued before this Chapter takes effect remain valid until modified or revoked.

(f)For OAA, program instructions issued by the office may establish policy in areas where the Older Americans Act or Federal regulations clearly give the office authority to do so, or permit alternatives, or are silent. The office may not establish policy contrary to or inconsistent with the Older Americans Act or Federal regulations.

(g)Area agencies must comply with the provisions of plans and applications approved under this Chapter, and with the results of State hearings or reviews, unless and until an amended plan or application is approved by the office.

(h)Service providers must comply with the provisions of their subgrants or subcontracts with area agencies, with applicable provisions of plans and applications of the area agencies, and with the results of State hearings or reviews. Area agencies are responsible for assuring such compliance by service providers to which they award subgrants or subcontracts.

(i)Area agencies and service providers shall comply with requirements for concentration of services on target population as set forth in section 6654.3 of this Title.

(1)Definitions.

(i)Targeting means a range of activities at system, program, and client levels designed to identify individuals in a specified, defined population called the target population who need services, and designed to increase service delivery to the target population by linking or providing them with appropriate services.

(a)System targeting includes but is not limited to three processes:

(1)advocating and assisting other agencies to use their resources and/or structure in the service delivery processes;

(2)determining the overall mix of services to be supported by AAA resources; and

(3)coordinating and integrating services with those of other agencies.

(b)Program targeting is the process of operationalizing system targeting, and a method of determining:

(1)which service providers are to be used;

(2)what service protocols are followed; and

(3)how the clients will be identified and served.

(c)Client targeting is the process of identifying, assessing and serving those most in need.

(ii)Serve means to provide a means of meeting identified needs through a variety of activities.

(iii)Target population. The Older Americans Act states that while all persons aged 60 plus are eligible for aging network services, each State agency must provide assurances that preference will be given to providing service to older individuals with the greatest economic or social needs, with particular attention to low-income minority individuals, and include proposed methods for carrying out the preference in the State plan. The following four target groups have been identified by the State Office for the Aging as vulnerable based upon their documented economic and social need (minorities, low income, frail and vulnerable).

(a)Minority means persons of Black, Hispanic, Asian/Pacific Island or Native American origins.

(1)Black means a person who has origins in any of the Black racial groups of the original peoples of Africa, and is not of Hispanic origin.

(2)Hispanic means a person, regardless of race, who is of Spanish culture or origin. This includes, for example, persons from Mexico, Central America, Puerto Rico, and Cuba.

(3)Asian American or Pacific Islander means a person having origins in any of the original peoples of the Far East, Southeast Asia, the Indian subcontinent, or the Pacific Islands. This area includes, for example, China, Japan, Korea, the Philippine Islands or Samoa.

(4)American Indian or Native American means a person having origins in any of the original peoples of North America and who maintains culture identification through tribal affiliation or community recognition.

(b)Low-income means incomes at or below 100 percent of the poverty level.

(c)Frail means one or more functional deficits in the following areas:

(1)physical functions;

(2)mental functions;

(3)activities of daily living (eating, bed/chair transfer, dressing, bathing, toileting and continence);

(4)instrumental activities of daily living (meal preparation, housekeeping, shopping, medications, telephone, travel, and money management; and

(5)for the purpose of measurement, 75 years and older can be used as a surrogate for frail.

(d)Vulnerable means a deficit of social resources and/or environmental condition including the following:

(1)income levels between 100-150 percent of the poverty level; and

(2)language barriers.

9 NYCRR 6651.3 - State hearings and reviews

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

(a)The office offers the opportunity for a hearing to:

(1)under OAA, applicants for designation as area agencies or as geographic areas to be served by area agencies whose applications are denied;

(2)any area agency when the office proposes to disapprove an area plan or withdraw area agency status; and

(3)under OAA, any service provider or applicant to be a service provider whose application to an area agency to provide services under an area plan has been denied by the area agency.

(b)Under EISEP, the office offers any service recipient or applicant who contests an area agency's determination of functional ineligibility or extent of cost-sharing the opportunity for a review and ruling upon the record of an area agency hearing as prescribed in section 6652.4 of this Title (provided, however, that, despite functional eligibility, an area agency may deny services to applicants based on lack of program resources, and further provided that no entitlement to services is created under this Chapter).

(c)If an individual or agency wants a hearing under subdivision (a) of this section, such individual or agency shall file a written request with the office within 30 days following receipt of notice of the adverse action (except that the office may waive such deadline upon good cause). The office shall complete the hearing or review within 120 days of the date of the request for hearing and issue a hearing decision within 60 days after the hearing is complete.

(d)If an individual or agency wants a hearing under subdivision (b) of this section, such individual or agency shall file a written request with the office within 30 days following receipt of notice of the adverse action (except that the office may waive such deadline upon good cause). The office completes the review within 60 days of the date of receipt of the request for review accompanied by the complete file necessary for a decision. The office may, if it deems it necessary, conduct a hearing on the application. If the office conducts a hearing, it shall complete the hearing and issue a decision within 60 days of the receipt of the application accompanied by the complete file from the area agency determination.

(e)The office complies with the State Administrative Procedure Act and, for OAA, with Federal hearing requirements. The office may terminate formal hearing or review procedures at any point if the disputed issues are resolved by negotiated agreement approved by the office.

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