Finger Lakes PPS

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May 22, 2017

Finger Lakes Performing Provider System
Nathan M. Franus, M.B.A.
Senior Project Manager
2100 Brighton Henrietta Town Line Road, Suite 250
Rochester, New York 14623

Dear Mr. Franus:

The New York State Department of Health (Department), the Office of Mental Health (OMH) and the Office of Alcoholism and Substance Abuse Services (OASAS) are pleased to respond to the request for waivers from certain regulatory requirements submitted under the Delivery System Reform Incentive Payment (DSRIP) Program. This letter responds to the request submitted by the Finger Lakes Performing Provider System (PPS).

Pursuant to Public Health Law (PHL) 2807(20) (e) and (21) (e), and in connection with DSRIP Project Plans and projects under the Capital Restructuring Financing Program which are associated with DSRIP projects, the Department, OMH, and OASAS may waive regulations for the purpose of allowing applicants to avoid duplication of requirements and to allow the efficient implementation of the proposed projects. However, the agencies may not waive regulations pertaining to patient safety nor waive regulations if such waiver would risk patient safety. Further, any waivers approved under this authority may not exceed the life of the project or such shorter time periods as the authorizing commissioner may determine.

Accordingly, any regulatory waivers approved herein are for projects and activities as described in the Project Plan application and any implementation activities reasonably associated therewith. Such regulatory waivers may no longer apply should there be any changes in the nature of a project. It is the responsibility of the PPS and the providers that have received waivers to notify the relevant agency when they become aware of any material change in the specified project that goes beyond the scope for which the waiver was granted. Further, any regulatory waivers approved are only for the duration of the projects for which they were requested.

The approval of regulatory waivers is contingent upon the satisfaction of certain conditions.

In all cases, providers must be in good standing with the relevant agency or agencies. Other conditions may be applicable, as set forth in greater detail below. The failure to satisfy any such conditions may result in the withdrawal of the approval, meaning that the providers will be required to maintain compliance with the regulatory requirements at issue and could be subject to enforcement absent such compliance.

The specific request for regulatory waiver is addressed below.

1       Finger Lakes         14 NYCRR Section 590.10(c)(7))         3.a.ii

Background and justification provided in your request:

Specifically requesting waiver of requirement to have two Mobile Crisis staff members respond to calls when patient will be seen at an agency, institute or service site that has its own staffing. Ability to send one Mobile Crisis Professional staff member to a site that has its own staffing will increase the timeliness of response to referrals while still considering the safety issues for both staff and clients. Examples of sites which would require only one Mobile Crisis staff member: group home, school, shelter, sheltered workshop, nursing home.

Response to Waiver Request:

OMH – Approved with conditions. The PPS requested a waiver of 14 NYCRR Section 590.10(c) (7)) to allow one mobile crisis staff member to respond instead of two if responding to an agency, institute, or service site that has their own staff. This waiver is approvable under the following conditions: (1) only in compliance with the executed policy/procedure; and (2) only applying to URMC´s CPEP. The executed policy and procedure must include more detail as to the locations that would be considered for only one mobile crisis professional, pursuant to this waiver. OMH would also like to know how patient safety/care will be affected when the appropriate staff person at the location cannot be located. Please provide additional detail to:

In cases where waivers are approved, the agencies will send letters directed to the providers which otherwise would be responsible for complying with the regulatory provisions at issue.

Providers further will be advised that agency staff who conduct surveillance activities will be notified that these regulatory waivers have been approved; however, they should maintain a copy of their waiver letters at any site subject to surveillance.

Please note that the Department of Health will continue to publish on its website a list of regulatory waivers that have been approved to assist PPSs in determining whether additional waivers may be appropriate for the activities within a PPS. Additional requests for waivers, as well as any questions regarding the foregoing, may be sent by email to with Regulatory Waiver in the subject line.

Thank you for your cooperation with this initiative. We look forward to working with you to transform New York´s delivery system


Howard A. Zucker, M.D., J.D.
New York State Department of Health

Arlene Gonzàlez–Sànchez
New York State Office of Alcoholism And Substance Abuse Services

Ann Marie T. Sullivan, M.D.
New York State Office of Mental Health