Home and Community Based Services Waiver
Guidance Document
Division of Children and Families

300.2 

Roles and Responsibilities: Local Government Units (LGU) Responsibilities

The Local Government Unit’s responsibilities include the:

• Development of the HCBS Waiver primary provider and provider network (ICC Agencies and subcontractors); co-monitoring of network provider performance including attention to the cultural competency of workers; continued recruitment to increase the provider network, thereby providing additional choices to families (see Section 200).
• Completion of initial Level of Care determinations and Result of Screening letter (on LGU letterhead) to parents; (see Section 500).
• Annual Level of Care recertification's, as well as any periodic recertification's if a child’s ability to remain in the community upon a lengthy inpatient stay is in question; (see Section 500)
• Initial Service Plan and Service Plan Budget approval (see Section 500) (signature required on both);
• provision of consultation on continued eligibility of children admitted for psychiatric inpatient stays;
• monitoring of ICC Agency performance; making recommendations regarding the Plan of Corrective Action or termination of a contract, if deemed necessary;
• monitoring of ICC Agency fiscal performance through review of financial management reports provided by OMH; pre-approving proposed consumer service dollar (flex fund) expenditures of $250 and above for Waiver cases in their county;
• monitoring of the subcontractor network performance, including making recommendations to OMH regarding decertification of subcontractors if deemed necessary; all such requests to OMH must be written and include documentation of reasons for recommended action;
• negotiation of the contract between ICC Agency, Local DSS, and LGU for foster care population enrolled in HCBS Waiver;
• notifying OMH Division of Children and Family Services of primary and secondary LOC signatories *.

One of the Level of Care signatories must be the LGU or his/her designee.  Both Level of Care signatories must meet the following qualifications:  The signatory must be a psychiatrist, psychologist, registered nurse or nurse practitioner licensed in NYS, Licensed Master Social Worker, Clinical Social Worker or Certified Social Worker with a minimum of three years experience serving children or adolescents with serious emotional disturbances. Both signatories must meet the above criteria; however, if there are extenuating circumstances whereby one member does not meet the above criteria, the LGU must make a request to OMH central office in writing and an exemption may be granted by OMH. Copies of such exemptions are maintained at the OMH Central Office. An example of a situation which could be approved for exemption would be a social worker with a master's in social work who is not licensed but has the prerequisite years of experience. Another example would be an individual who does not meet the above academic criteria but who does have a bachelor's degree in human services and five years serving children or adolescents with serious emotional disturbances.