Frequently Asked Questions

Table of Contents

Application Submission

What CON schedules are required for applications subject to a limited review?

For applications requiring a limited review, there are streamlined forms available.

What schedules are required for a health information technology project with a total project cost in excess of $15 million?

The following schedules are required:

  • No construction: Schedules 1, 6, 7, 8, 9, 11, 13, and 23.
  • With IT-related construction: Schedules 1, 6, 7, 8, 9, 10, 11, 13, and 23.

In addition, please provide a cost/benefit narrative describing the operational savings and/or revenue enhancements anticipated from the project.

Are there any resources within the Department that clearly explain the required CON schedules for each application/project type?

The Department created a matrix, which shows by facility and application type which schedules are required.

What are the equity contribution requirements for hospital and residential health care facility (RHCF) applications?

For hospital capital projects, the equity contribution toward total project cost is at least 10%. For RHCF projects (including adult day health care programs ), the equity contribution is expected to be at least 25% of total project cost. If, however, the RHCF project contains certain desirable characteristics, such as a proposed decertification of beds, a proposed conversion of RHCF beds to another less costly program element, or if project costs are below the applicable percentage of the RHCF bed caps, then the project may qualify for reduced equity funding. Please call the Bureau of Financial Analysis (518-402-0953) to discuss these issues with respect to your project.

Where can I find a "90-Day Notice" form, in order to notify the Department of a change in an ownership interest in a nursing home, D&TC or home care agency?

We are in the process of revising our 90-day notice forms to accommodate applications from limited liability companies and entities licensed under Article 36 and Article 40, as well as Article 28 of the Public Health Law. While we are in the process of revising the forms, you may obtain a form by contacting the Bureau of Project Management at (518) 402-0911 or the Division of Legal Affairs at (518) 473-3233.

Who can I contact to inquire on a legal question regarding a change in ownership?

Please call the Department's Division of Legal Affairs at (518) 473-3233 for advice.

Application Review

How can I find out the status of a CON application currently under review by the Department?

The Department of Health is developing a web-based electronic CON application ("NYSE-CON") with an on-line tracking system that will be available in the future. In the interim, please e-mail the Bureau of Project Management (BPM), at cons@health.state.ny.us , to learn the status of a CON application.

Once all of the reviews of my CON application have been completed by the Department, when will the approval letter be signed by Executive Staff?

With respect to construction projects that go before the State Hospital Review and Planning Council (SHRPC), letters are typically signed no later than 3 weeks after the SHRPC action. Letters approving applications that are subject only to administrative review are usually signed no later than 10 days after the recommendation by staff is submitted. The difference in timing relates to the additional steps inherent in the public SHRPC process versus the internal DOH administrative review process. Applications that go before the SHRPC that involve either establishment in addition to construction or establishment only, without any construction, must be approved by the Public Health Council.

State Hospital Review and Planning Council (SHRPC) Approval

How can I find out whether a project will be taken up at the next SHRPC meeting?

The agenda for each SHRPC meeting is posted on the website about a week before the scheduled SHRPC committee meeting.

When are the SHRPC meetings held, and where?

View the 2010 schedule of SHRPC meeting dates and locations. All SHRPC and PHC meetings can be seen through webcast on the DOH website. These webcasts are archived approximately two days after the meeting and are accessible via the DOH website.

What do I need to do to be able to speak at the next SHRPC meeting?

Members of the public are able to speak at the Council's Committee meetings only. To be placed on the agenda, please contact the office of the Council at (518) 402-0964 or e-mail Julia Richards at jgr01@health.state.ny.us.

How can I go about getting a list of the SHRPC membership?

Public Health Council (PHC) Approval

How can I find out whether a particular project will be taken up at the next PHC meeting?

The PHC agenda becomes public each Monday the week of the PHC meetings.

When are the PHC meetings held, and where?

View the meeting dates, times and location of upcoming 2010 Public Health Council meetings. PHC meetings can be seen through webcast on the DOH website. These webcasts are archived after the meeting and are accessible approximately two days after the meeting via the DOH website.

What do I need to do to be able to speak at the next PHC meeting?

The public is permitted to speak only at the Public Health Council's Codes and Establishment Committee meetings. View the dates and locations of Public Health Council committee meetings. To speak at a the Establishment Committee meeting please contact Lisa Thomson at (518) 402-0964 or lat02@health.state.ny ; to speak at the Codes Committee meeting please contact Colleen Frost at cml05@health.state.ny.us.

How can I get a list of the PHC members?

View the PHC membership list.

Types of Review

What is the difference between a limited review, prior review and limited architectural review application?

In order to better address hybrid projects under the limited architectural review and prior review processes, recent regulatory changes have combined the two levels of review into a single "limited review" category. Proposals eligible for a limited review do not require a recommendation from the State Hospital Review and Planning Council. These are proposals with a total project cost under $6M requesting to:

  • Perform minor construction projects (of up to $15M if not relating to clinical space);
  • Acquire, relocate, install or modify certain medical equipment;
  • Decertify a facility's beds and/or services;
  • Add services;
  • Convert beds within approved categories;
  • Add electrophysiology (EP) services to an appropriately certified facility;
  • Add, upgrade or replace cardiac catheterization laboratory or equipment by an appropriately certified facility;
  • Relocate an extension clinic within the same service area; and
  • Change services offered by, or relocate, a part-time clinic site.

Further, non-clinical projects are subject to limited review. These are projects that do not directly impact clinical space or equipment, are not otherwise subject to administrative processing, and whose cost does not exceed $15M.

Likewise, any proposal to purchase and implement health information technology or other information systems with a total project cost between $6M and $15M is also subject to a limited review. "HIT" projects, as they are called, of below $6M require no Department of Health review at all.

Realizing the application and review processes for the limited architectural review and prior review categories were very different from one another, the Department has established a consolidated Limited Review Application for use under the new limited review classification. (See NYCRR Title 10, Section 710.1(c)(5)-(7))

What is an administrative review, and how does that differ from a full review?

"Administrative" review is available for certain applications that do not involve the establishment or change in ownership of a health care facility or home care agency. It is identical to full review, except that it does not necessarily involve a recommendation by the SHRPC. The Commissioner determines whether to approve or disapprove the application. In the event that the Commissioner decides to disapprove the application, it must be referred to the SHRPC for a full review. Once the SHRPC makes its recommendation, the Commissioner retains the authority to concur with or overrule the SHRPC.

As a general matter, projects are subject to administrative review when their total costs are more than $6 million but not more than $15 million. Some projects with costs in excess of $15 million may qualify for an administrative review under the "sliding threshold" set forth in section 710.1(c)(3) of NYCRR Title 10. And, some projects with total costs below $15 million are subject to a full review because of the nature of the project (e.g., cardiac surgery, transplants, or the addition of beds).

Actions that Require an Application

Do I need to file an application to acquire and install health information technology with a total project cost of not more than $6 million?

No, as long as the project does not also involve construction or the addition or decertification of a service. More information about health information technology applications.

Do I need to file an application and go through the CON process to simply decertify minor services or beds?

Public Health Law requires health care facilities to submit an application for any change in licensed service or beds. In the case of many services, the process is a limited review. The Department must review applications to discontinue services or eliminate beds in order to assure that adequate capacity will remain in the community, and that existing patients are referred to appropriate providers. See the question above regarding limited review.

What steps must be taken in order to change the name of a facility? What about the name of an operator?

A change in the name of an established operator of an Article 28 facility requires the approval of the Department of Health or the Public Health Council pursuant to 10 NYCRR §§ 401.3, 600.11. The name of a facility, if different from the name of its operator, is an "assumed name" or d/b/a. A change in the assumed name of an operator is typically approved administratively by the Department without PHC involvement.

An operator of an Article 28 facility, requesting the PHC's approval of a change in its name must submit a written request to the Executive Secretary of the PHC, which must include the following information and documentation as appropriate: (1) a letter specifying the current and proposed names and explaining the nature of and the reasons for the requested name change and (2) a photocopy of the executed proposed certificate of amendment of the certificate of incorporation, certificate of authority to conduct business in the State of New York, certificate of assumed name or certificate of amendment of assumed name, if any. The certificate of assumed name and certificate of amendment of certificate of assumed name are available at the Department of State's website.

An operator of a facility licensed under Article 28 of the Public Health Law seeking to change an assumed name, must submit the same information to the Department's Division of Health Facility Planning, Bureau of Project Management.

An operator of an entity licensed under Article 36 of the Public Health Law seeking to change its name does not need to go through the Public Health Council. The operator of a Certified Home Health Agency (CHHA) licensed under Article 36 of the Public Health Law seeking to change its name, to begin using an assumed name or to change an assumed name must submit a written request to the Bureau of Quality Assurance and Licensure which includes the information and documentation required pursuant to 10 NYCRR § 762.2 (e). The operator of a Licensed Home Care Services Agency (LHCSA) seeking to change its name, to begin using an assumed name or to change an assumed name must submit a written request including the information and documentation required pursuant to 10 NYCRR § 765-2.2 (b) to the appropriate NYS Department of Health Regional Office.

I am a private physician operating my own practice and would like to install a linear accelerator. Do I need to submit a CON application?

Equipment purchases by private physician practices are not subject to the Certificate of Need process. Article 28 facilities, however, may not avoid the CON process by using associated medical practices as a conduit for equipment purchases. This practice would constitute a violation of the Public Health Law and Part 710 of the Department's regulations. In determining whether an equipment acquisition violates Part 710, the Department will consider the financing of the equipment, how related services are billed, and who controls the staffing and use of the equipment, among other factors.

What type of application do I need to submit in order to relocate an extension clinic?

To relocate an extension clinic within the same service area, a limited review application is required. Relocation of an extension clinic outside of its existing service area requires a full review.

A service area is defined as one or more postal zip codes areas in each of which 25 percent or more of the extension clinic's patients reside, or the area within one mile of the current location of such extension clinic.

Do non-clinical projects require a CON or limited review?

Non-clinical projects with a total project cost of $15 million or less require a limited review, and non-clinical projects with a total project cost in excess of $15 million require an administrative review.

Non-clinical projects are those that do not: relate to a change in clinical services, directly impact space where medical care or clinical services are provided, or involve medical equipment. They include, but are not limited to, information technology;, roof and window replacement; gift shop, lobby, staff lockers/lounge, or cafeteria renovation; parking garages, solid waste and/or sewage disposal; and exterior walls. The Department has the discretion to determine whether a project qualifies as "non-clinical."

For more information about whether a project qualifies as non-clinical, please contact the Bureau of Project Management at cons@health.state.ny.us or (518) 402-0911.

What type of review is required for the initial acquisition of magnetic resonance imagers (MRI)?

An initial acquisition of an MRI requires an administrative review for facilities other than general hospitals. A limited review is required for the initial acquisition by a general hospital.

What type of application is required for hyperbaric chambers?

The operation of hyperbaric chambers by general and specialty hospitals licensed under Article 28 of the Public Health Law does not require Certificate of Need (CON) review, nor any other specific licensure or approval. Hyperbaric chambers are employed for activities that may be deemed in keeping with the underlying mission of hospitals to treat diseases, injuries and conditions. As such, these devices need not be subject to special review or separate certification.

Although certification is not required, facilities may in some instances need to submit a limited review application for the renovations and construction costs associated with the addition of a hyperbaric chamber to their main premises or to an extension site.

Hyperbaric chambers will be removed from the list of certifiable beds and services in the Health Facilities Information System (HFIS). Facilities already certified for hyperbaric chamber services will receive amended operating certificates in due course.

You are reminded that, like any other device or service, hyperbaric chambers must be operated in compliance with all applicable provisions of the State hospital code (10 NYCRR Part 405) and any other applicable State and Federal regulations.