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Ann Marie T. Sullivan, M.D., Acting Commissioner
Governor Andrew M. Cuomo

Frequently Asked Questions
Individual Action Plan (IAP)

  1. When would the “Adjusted Target Date” on the IAP get filled in vs. doing an IAP review?

    The IAP is the plan for treatment.  The adjustment of a target completion date for a goal and/or an objective can only be indicated once, at any time, on the IAP. If there are additional adjustments made to the target completion date, a new IAP needs to be completed.

  2. Could you speak to the difference between identified needs and barriers? It seems that the identified needs are actually barriers to achieving life goals.

    Identified needs are issues affecting life areas identified by the individual or clinician as a focus for intervention.  The goals and objectives are developed in the IAP based on the identified needs that the individual wishes to address. Barriers are obstacles that prevent the achievement of an individual’s goals and objectives.

  3. Does Level of Care Change refer to a person moving from higher to a lower level or vice versa? 

    In the IAP discharge/transition criteria section, the level of care change is intended to be a uni–directional transition–(i.e. to a lower level of care).  The key question is:  how will we know when an individual is ready to be referred to a lower level of care based upon treatment progress and needs at the time? 

  4. The IAP has a date line next to the physician’s signature. Sometimes the doctor is not available to sign on the day the IAP is written. Is it acceptable for the physician to sign the plan on a date later than the date it was written?

    When required, the date the M.D. signs the plan is the date it becomes effective and, as per Office of Mental Health (OMH) and New York State Office of Alcoholism and Substance Abuse Services (OASAS) regulations, that date must be within the required time frames for both IAP’s and IAP Reviews.

  5. Please post the reference you cite which indicates that New York State (NYS) has a waiver to not include the diagnosis on the IAP/treatment plan document.

    This waiver currently only applies to OMH programs operated under Part 587.16 (continuing day treatment programs, day treatment programs serving children and partial hospitalization programs). Part 599 regulations for Mental Health Clinics incorporate the same logic of the waiver and provide an option for listing the diagnosis in an assessment document, if there is a notation on the IAP that the diagnosis may be found in a specific assessment document in the record.  The key concept behind the waiver is that the IAP evolves from an understanding of the person’s prioritized assessed needs rather than from a static diagnosis. For further information, please refer to Waiver Extension for NYSCRI Users (selected OMH programs) to Place Diagnosis in Assessment (Section 587.16).

Comments or questions about the information on this page can be directed to NYSCRI.