N.Y. Comp. Codes R. & Regs. tit. 18 § 405.3

Current through Register Vol. 46, No. 51, December 18, 2024

Section 405.3 - Contract requirements

(a) The commissioner of the social services district shall be required to negotiate a written purchase of services contract, as prescribed by this Part, with each public agency, private agency or individual from whom social services are to be purchased whenever State or Federal funds are to be utilized for payment therefor except as outlined in subdivisions (b) and (c) of this section. A provider may not subcontract performance under a purchase of service contract unless expressly permitted by the contract. Any permitted subcontract shall conform to all requirements of subdivision (g) of this section. The provider shall be responsible for the performance of any subcontractor. These requirements may be satisfied by a simple printed contract form so long as all requirements set forth are contained therein.

(b) A written letter of intent may be used in lieu of a formal written contract when services are purchased from an individual provider who has no direct service employees or subcontractors, and in those instances where the social services district places six or fewer individuals in a foster family boarding home or where purchase of foster care maintenance in a foster family boarding home is intermittent or occasional; however, no purchase of foster care in a group home, group residence or institution shall be made without a written purchase of services contract.

(c) The requirements of this section do not apply to the purchase of services wherein the recipient is reimbursed by the social services district for payments made by the recipient for services in accordance with section 405.1(a)(10)(ii) of this Part or for the purchase of child care services under the New York State Child Care Block Grant in accordance with Part 415 of this Title.

(d) Model formats for local purchase of services contract developed by the department shall be used by the social services district. They may be modified, as necessary, to cover additional details or to reflect in greater detail the specifications and terms under which payment will be made for services rendered. They shall be prepared in accordance with instructions promulgated by the department.

(e)Contract period.

(1) The social services district may enter a multi-year purchase of services contract, provided that the contract is reviewed on at least an annual basis for verification of conformance by the contracting parties and is continued for subsequent periods only if the social services district determines that the contract continues to be in the best interest of the district.

(2) All contracts shall be renegotiated as required to promote timely renewal.

(f) The social services district shall maintain copies of all contracts and letters of intent to permit ready access and audit by Federal and State officials.

(g) The written contract shall:

(1) include all terms of the contract in one instrument, be dated and be executed by authorized representatives of all parties to the contract prior to the date of implementation;

(2) have a definite effective and termination date;

(3) contain a detailed description of the services to be provided and the methods of provision, including subcontracting to be used by the provider in carrying out its obligations under the contract;

(4) specify any delegated function such as accepting applications and transmitting information pertaining to the eligibility determination, if any;

(5) provide for a stated number of units of service at a specified dollar rate or for a specific dollar amount or for costs to be determined in accordance with acceptable cost allocation methods;

(6) specify the method and source of payment to the provider, including collection and disposition of fees, if applicable;

(7) include a statement that the provider meets applicable State or Federal standards;

(8) specify the locations of the facilities to be used in providing services;

(9) provide for informing individuals of the right to request a fair hearing in accordance with provisions prescribed by the department;

(10) provide that the provider will comply with the requirements of the Civil Rights Act of 1964 and Part 357 of this Title for safeguarding information;

(11) provide that any subcontracts permitted by the contract shall be subject to the requirements of this Part and that the provider is responsible for the performance of a subcontractor;

(12) specify the requirements for fiscal and program responsibility, billing, records, controls, reports and monitoring procedures;

(13) provide for access to financial and other records pertaining to the program by State and Federal officials;

(14) include specific procedures ensuring the protection of health history information related to an individual who has been diagnosed as having AIDS or an HIV-related illness or an HIV infection or laboratory tests performed on an individual for HIV-related illness;

(15) include a statement ensuring that staff, to whom confidential HIV-related information is disclosed as a necessity for providing services and in accordance with Part 403 of this Title and section 2782 of the Public Health Law, are fully informed of the penalties and fines for redisclosure in violation of State law and regulation;

(16) include the requirement that any disclosure of confidential HIV-related information must be accompanied by a written statement as follows:

"This information has been disclosed to you from confidential records which are protected by State law. State law prohibits you from making any further disclosure of this information without the specific written consent of the person to whom it pertains, or as otherwise permitted by law. Any unauthorized further disclosure in violation of State law may result in a fine or jail sentence or both. A general authorization for the release of medical or other information is not sufficient authorization for further disclosure.";

(17) specify the information concerning casework contacts to be furnished by providers of specialized rehabilitative services, supportive services and probation services as defined in section 423.2(f), (g) and (h) of this Title and the actions required by such rehabilitative providers, supportive service providers and probation service providers participating in case planning activities;

(18) include a statement that a contract with the social services district is not required for an eligible child care provider to provide child care services to a child receiving child care assistance funded under the New York State Child Care Block Grant Program; and

(19) specify that overpayments, occurring due to an error in the calculation of the payment amount by the social services district for child care assistance funded under the New York State Child Care Block Grant Program, may be recovered from the child care provider if the overpayment occurred during the twelve months preceding the date the error was discovered.

N.Y. Comp. Codes R. & Regs. Tit. 18 § 405.3

Amended New York State Register June 3, 2020/Volume XLII, Issue 22, eff.6/3/2020