OTDA finds that immediate adoption of the rule is necessary for the preservation of the public health, public safety, and general welfare and, specifically, to help ensure that individuals and families experiencing homelessness are provided with the services needed to help them secure transitional and permanent housing as critical steps toward attaining the goal of long-term housing stability. By requiring each social services district to prepare a comprehensive homeless services plan and then to report on its performance of the items enumerated in the homeless services plan going forward, the rule: promotes effective planning and strategic use of resources by social services districts to combat homelessness; improves coordination and integration with other resources and programs assisting people experiencing homelessness; improves data collection and performance measurement; and strengthens accountability with respect to the use of State funds while allowing each social services district to individually tailor its homeless services plan to allocate funds and resources consistent with each social services district’s own unique strengths and challenges. Requiring social services districts to provide homeless services and engage in outreach in accordance with their homeless services plans will help ensure that efforts are made to link persons experiencing homelessness, including the unsheltered homeless, to appropriate services, assistance and housing.

The United States Department of Housing and Urban Development (HUD) recently reported in The 2017 Annual Homeless Assessment Report (AHAR) to Congress (https://www.hudexchange.info/resource/5639/2017-ahar-part-1-pit-estimates-of-homelessness-in-the-us/) that, since 2007, the ranks of the homeless in New York State have grown by 43 percent. Between 2016 and 2017 alone, the homeless population in New York State rose 3.6 percent, to 89,503 people. During that same period, the number of unsheltered homeless persons in New York State increased from 3,591 to 4,555, or by approximately 27 percent.

Homelessness has reached crisis proportions in New York State. OTDA asserts that proposing this rule only as a “regular rule making” pursuant to the State Administrative Procedure Act should not be required, because to do so would be detrimental to the health, safety, and general welfare of individuals and families experiencing homelessness, while simultaneously preventing a new mechanism to help ensure State funds are expended effectively and with accountability. Accordingly, OTDA is promulgating this measure as an emergency rule.

It is noted that, due to time constraints, the emergency rule is being readopted pursuant to a Notice of Emergency Adoption. To preserve public health, public safety, and general welfare, OTDA originally promulgated the emergency rule via a Notice of Emergency Adoption and Proposed Rule Making on November 20, 2018, and the emergency rule became effective on that date. The Notice of Emergency Adoption and Proposed Rule Making was published in the New York State Register on December 5, 2018 under I.D. No. TDA-49-18-00009-EP. OTDA will be accepting public comments on the current emergency rule through February 4, 2019. The current emergency rule expires on February 17, 2019.

This first readoption of the current emergency rule is necessary in order to avoid a lapse in the current emergency rule, insofar as expiration of the 60-day public comment period will not provide sufficient time for OTDA to publish a Notice of Adoption in the New York State Register before the current emergency rule expires on February 17, 2019.

1. Statutory authority:

Social Services Law (SSL) § 17(a)-(b) and (j) provide, in part, that the Commissioner of the Office of Temporary and Disability Assistance (OTDA) shall “determine the policies and principles upon which public assistance, services and care shall be provided within the state both by the state itself and by the local governmental units …,” shall “make known his policies and principles to local social services officials and to public and private institutions and welfare agencies subject to his regulatory and advisory powers …,” and shall “exercise such other powers and perform such other duties as may be imposed by law.”

SSL § 20(2)(b) provides, in part, that the OTDA shall “supervise all social services work, as the same may be administered by any local unit of government and the social services officials thereof within the state, advise them in the performance of their official duties and regulate the financial assistance granted by the state in connection with said work.” Pursuant to SSL § 20(3)(d) and (e), OTDA is authorized to promulgate rules, regulations, and policies to fulfill its powers and duties under the SSL and “to withhold or deny state reimbursement, in whole or in part, from or to any social services district or any city or town thereof, in the event of their failure to comply with law, rules or regulations of [OTDA] relating to public assistance and care or the administration thereof.”

SSL § 34(3)(c) requires OTDA’s Commissioner to “take cognizance of the interests of health and welfare of the inhabitants of the state who lack or are threatened with the deprivation of the necessaries of life and of all matters pertaining thereto.” Pursuant to SSL § 34(3)(d), OTDA’s Commissioner must exercise general supervision over the work of all social services districts. SSL § 34(3)(e) provides that OTDA’s Commissioner must enforce the SSL and the State regulations within the State and in the social services districts. Pursuant to SSL § 34(3)(f), OTDA’s Commissioner must establish regulations for the administration of public assistance and care within the State by the social services districts and by the State itself, in accordance with the law. Pursuant to SSL § 34(6), OTDA’s Commissioner “may exercise such additional powers and duties as may be required for the effective administration of the department and of the state system of public aid and assistance.”

2. Legislative objectives:

It is the intent of the Legislature in enacting the above statutes that OTDA establish rules, regulations and policies to provide for the health, safety and general welfare of vulnerable individuals.

3. Needs and benefits:

The United States Department of Housing and Urban Development (HUD) recently reported in The 2017 Annual Homeless Assessment Report (AHAR) to Congress (https://www.hudexchange.info/resource/5639/2017-ahar-part-1-pit-estimates-of-homelessness-in-the-us/) that, since 2007, the ranks of the homeless in New York State have grown by 43 percent. Between 2016 and 2017 alone, the homeless population in New York State rose 3.6 percent, to 89,503 people. During that same period, the number of unsheltered homeless persons in New York State increased from 3,591 to 4,555, or by approximately 27 percent.

Homelessness has reached crisis proportions in New York State. OTDA asserts that this emergency rule is necessary to assure that individuals and families experiencing homelessness are provided with the services needed to help them secure transitional and permanent housing as critical steps toward attaining the goal of long-term housing stability.

Outreach is particularly important to help ensure that social services districts engage the unsheltered homeless, who often can be disconnected and alienated not only from mainstream services and supports, but also from the services targeting homeless persons. More robust outreach will help to link persons experiencing homelessness to services, assistance and housing. Outreach can include direct outreach to undomiciled persons through outreach workers or law enforcement officers, as well as community-based efforts provided through agencies that serve persons who are homeless or at risk of becoming homeless, such as food pantries, soup kitchens, and drop-in centers.

The emergency rule requires each social services district, at least every two years, to prepare a comprehensive homeless services plan and to submit the homeless services plan for OTDA approval. Proposed revisions to an approved homeless services plan must be submitted by the social services district to OTDA for approval. Each social services district is required to provide homeless services and to engage in outreach in accordance with its approved homeless services plan. Then, at least every six months, each social services district must report on its performance of the items enumerated in its homeless services plan in homeless services outcome reports. The emergency rule: promotes effective planning and strategic use of resources by social services districts to combat homelessness; improves coordination and integration with other resources and programs assisting people experiencing homelessness; improves data collection and performance measurement; strengthens accountability with respect to the use of State funds, while allowing each social services district to individually tailor its homeless services plan to allocate funds and resources consistent with the district’s unique strengths and challenges; and helps to ensure that persons experiencing homelessness, and in particular, unsheltered homeless persons, are linked to appropriate services, assistance and housing. The State will assist social services districts lacking expertise to prepare suitable homeless services plans.

4. Costs:

The emergency rule will not result in additional costs to the State. Social services districts will incur some small additional administrative costs in regard to the compilation and submission of the homeless services plans and homeless services outcome reports. The emergency rule may require some social services districts to better coordinate the provision of homeless services with other local providers. Similar information was requested of social services districts in August 2016 for the preparation of a statewide homeless services report issued by OTDA in January 2017, as required by Chapter 482 of the Laws of 2015.

With respect to homeless services and outreach, social services districts already effectively providing services and making robust outreach efforts should incur little or no additional cost. To the extent that social services districts must enhance their delivery of homeless services or outreach efforts, there may be additional costs depending on the nature and extent of the enhancements.

In the event that a social services district fails to comply with the requirements of the emergency rule and, pursuant to 18 NYCRR § 304.2(e), is directed to engage a third party to provide homeless services that the social services district failed to provide, the social services district would incur the costs associated with such engagement. These potential costs would vary, depending on the extent and duration of the failure to provide homeless services, and the nature of the services to be provided by the third party. The regulation should not provide exemptions, because this would not serve the purposes of helping to ensure the health and safety of all emergency shelter residents and protecting these vulnerable residents from dangerous conditions. Requiring each social services district to prepare a comprehensive homeless services plan and then to report on its performance of the items enumerated in the homeless services plan going forward promotes effective planning and strategic use of a social services district’s resources, improves each social services district’s data collection and performance measurement, and allows each social services district to individually tailor its homeless services plan to allocate funds and resources consistent with the social services district’s own unique strengths and challenges, all of which help to reduce the need for third party intervention.

5. Local government mandates:

At least every two years, each social services district is required to prepare and submit for OTDA approval a comprehensive homeless services plan. Proposed revisions to an approved homeless services plan also must be submitted to OTDA for approval. Each social services district is required to provide homeless services and engage in outreach in accordance with its approved homeless services plan. Then, at least every six months, each social services district must report on its performance of the items enumerated in its homeless services plan in homeless services outcome reports.

6. Paperwork:

At least every two years, each social services district is required to prepare and submit for OTDA approval a comprehensive homeless services plan. Proposed revisions to an approved homeless services plan also must be submitted to OTDA for approval. Then, at least every six months, each social services district must report on its performance of the items enumerated in its homeless services plan in homeless services outcome reports.

7. Duplication:

The emergency rule does not duplicate, overlap, or conflict with any existing State or federal rules or regulations.

8. Alternatives:

A possible alternative would be not to promulgate the emergency rule. However, such inaction would result in social services districts combatting homelessness using State funds with less than adequate levels of accountability and oversight, and with limited opportunity for the State to gauge the success of the social services districts’ programs and efforts. By enhancing planning at the local level and requiring social services districts to report on outcomes, OTDA believes that the emergency rule helps ensure that individuals and families experiencing homelessness are most efficiently provided with the critical services needed to help them secure transitional and permanent housing, and to increase the ability to evaluate the effectiveness of social services districts’ efforts to combat homelessness. OTDA further believes that the emergency rule helps to ensure that persons experiencing homelessness, and in particular, unsheltered homeless persons, are linked to appropriate services, assistance and housing. Therefore, OTDA does not consider inaction a viable alternative to the emergency rule.

9. Federal standards:

The emergency rule does not conflict with federal statutes, regulations or policies.

10. Compliance schedule:

The emergency rule became effective on the date the Notice of Emergency Adoption and Proposed Rule Making was submitted to the Department of State. At least every two years, each social services district must submit a comprehensive homeless services plan. At least every six months, each social services district also must submit homeless services outcome reports.

1. Effect of rule:

The emergency rule applies to all 58 social services districts in the State. It does not apply to the small businesses that operate emergency shelters.

2. Compliance requirements:

The emergency rule requires each social services district, at least every two years, to prepare a comprehensive homeless services plan and to submit the homeless services plan for approval by the Office of Temporary and Disability Assistance (OTDA). Proposed revisions to an approved homeless services plan must also be submitted to OTDA for approval. Each social services district is required to provide homeless services and engage in outreach in accordance with its approved homeless services plan. Then, at least every six months, each social services district must report on its performance of the items enumerated in its homeless services plan in homeless services outcome reports.

The emergency rule further requires social services districts to provide homeless services and engage in outreach in accordance with their approved homeless services plans to help ensure that efforts are made to link persons experiencing homelessness, and in particular, unsheltered homeless persons, to appropriate services, assistance and housing.

3. Professional services:

It is anticipated that the need for additional professional services will be limited. The State will assist social services districts that lack the expertise to prepare suitable homeless services plans and homeless services outcome reports, without the need for securing professional services.

4. Compliance costs:

The emergency rule will have no cost impact upon small businesses.

Social services districts will incur some small additional administrative costs in regard to the compilation and submission of the comprehensive homeless services plan and homeless services outcome reports. The emergency rule may require some social services districts to better coordinate the provision of homeless services with other local providers. Similar information was requested of social services districts in August 2016 for the preparation of a statewide homeless services report issued by OTDA in January 2017, as required by Chapter 482 of the Laws of 2015.

With respect to homeless services and outreach, social services districts already effectively providing services and making robust outreach efforts should incur little or no additional cost. To the extent that social services districts must enhance their delivery of homeless services or outreach efforts, there may be additional costs depending on the nature and extent of the enhancements.

In the event that a social services district fails to comply with the requirements of the emergency rule and, pursuant to 18 NYCRR § 304.2(e), is directed to engage a third party to provide homeless services that the social services district failed to provide, the social services district would incur the costs associated with such engagement. These potential costs would vary, depending on the extent and duration of the failure to provide homeless services, and the nature of the services to be provided by the third party. The regulation should not provide exemptions, because this would not serve the purposes of helping to ensure the health and safety of all emergency shelter residents and protecting these vulnerable residents from dangerous conditions. Requiring each social services district to prepare a comprehensive homeless services plan and then to report on its performance of the items enumerated in the homeless services plan going forward promotes effective planning and strategic use of a social services district’s resources, improves each social services district’s data collection and performance measurement, and allows each social services district to individually tailor its homeless services plan to allocate funds and resources consistent with the social services district’s own unique strengths and challenges, all of which help to reduce the need for third party intervention.

5. Economic and technological feasibility:

Social services districts should already have the economic and technological abilities to comply with the emergency rule.

6. Minimizing adverse impact:

OTDA does not anticipate that the reporting requirements established by the emergency rule or the requirement to engage in outreach to persons experiencing homelessness will adversely impact social services districts. The emergency rule should not provide exemptions relating to the required submission of homeless services plans or homeless services outcome reports because this would not serve the purposes of promoting planning and strategic use of resources by social services districts to address homelessness, improving coordination and integration with other resources and programs assisting people experiencing homelessness, improving data collection and performance measurement, and strengthening accountability with respect to the use of State funds.

Likewise, the emergency rule should not provide exemptions relating to the requirement that social services districts undertake outreach to engage persons experiencing homelessness, as it is critical that persons experiencing homelessness, and in particular, unsheltered homeless persons, be linked to appropriate services, assistance and housing.

7. Small business and local government participation:

At a conference held in Hamilton, New York on May 8, 2018, Social Services District Commissioners were alerted to the fact that such regulatory requirements were forthcoming. It is anticipated that social services districts will be dedicated to implementing the emergency rule and protecting the health, safety, and general welfare of persons experiencing homelessness.

8. For rules that either establish or modify a violation or penalties associated with a violation:

While the emergency rule provides that OTDA may withhold or deny reimbursement, in whole or in part, to any social services district that fails to comply, this remedial provision is already expressly set forth in Social Services Law § 20(3)(e), which authorizes OTDA to “withhold or deny state reimbursement, in whole or in part, from or to any social services district or any city or town thereof, in the event of the failure of either of them to comply with law, rules or regulations of [OTDA] relating to public assistance and care or the administration thereof.”

In the event that a social services district fails to comply with the requirements of the emergency rule and, pursuant to 18 NYCRR § 304.2(e), is directed to engage a third party to provide homeless services that the social services district failed to provide, the social services district would incur the costs associated with such engagement. These potential costs would vary, depending on the extent and duration of the failure to provide homeless services, and the nature of the services to be provided by the third party. The regulation should not provide exemptions, because this would not serve the purposes of helping to ensure the health and safety of all emergency shelter residents and protecting these vulnerable residents from dangerous conditions. Requiring each social services district to prepare a comprehensive homeless services plan and then to report on its performance of the items enumerated in the homeless services plan going forward promotes effective planning and strategic use of a social services district’s resources, improves each social services district’s data collection and performance measurement, and allows each social services district to individually tailor its homeless services plan to allocate funds and resources consistent with the social services district’s own unique strengths and challenges, all of which help to reduce the need for third-party intervention.

1. Types and estimate numbers of rural areas:

The emergency rule applies to the 44 rural social services districts.

2. Reporting, recordkeeping and other compliance requirements; and professional services:

The emergency rule requires each social services district, at least every two years, to prepare a comprehensive homeless services plan and to submit the homeless services plan for OTDA approval. Proposed revisions to an approved homeless services plan also must be submitted to OTDA for approval. Each social services district is required to provide homeless services and engage in outreach in accordance with its approved homeless services plan. Then, at least every six months, each social services district must report on its performance of the items enumerated in its homeless services plan in homeless services outcome reports. The State will assist social services districts that lack the expertise to prepare suitable outreach or homeless services plans and homeless services outcome reports.

The emergency rule further requires social services districts to provide homeless services and engage in outreach in accordance with their approved homeless services plans to help ensure that efforts are made to link persons experiencing homelessness, and in particular, unsheltered homeless persons, to appropriate services, assistance and housing.

3. Costs:

Rural social services districts will incur some small additional administrative costs in regard to the compilation and submission of homeless services plans and homeless services outcome reports. The emergency rule may require some rural social services districts to better coordinate the provision of homeless services with other local providers. Similar information was requested of rural social services districts in August 2016 for the preparation of a statewide homeless services report issued by OTDA in January 2017, as required by Chapter 482 of the Laws of 2015.

With respect to homeless services and outreach, rural social services districts already effectively providing services and making robust outreach efforts should incur little or no additional cost. To the extent that rural social services districts must enhance their delivery of homeless services or outreach efforts, there may be additional costs depending on the nature and extent of the enhancements.

In the event that a rural social services district fails to comply with the requirements of the emergency rule and, pursuant to 18 NYCRR § 304.2(e), is directed to engage a third party to provide homeless services that the rural social services district failed to provide, the rural social services district would incur the costs associated with such engagement. These potential costs would vary, depending on the extent and duration of the failure to provide homeless services, and the nature of the services to be provided by the third party. The regulation should not provide exemptions, because this would not serve the purposes of helping to ensure the health and safety of all emergency shelter residents and protecting these vulnerable residents from dangerous conditions. Requiring each rural social services district to prepare a comprehensive homeless services plan and then to report on its performance of the items enumerated in the homeless services plan going forward promotes effective planning and strategic use of a rural social services district’s resources, improves each rural social services district’s data collection and performance measurement, and allows each rural social services district to individually tailor its homeless services plan to allocate funds and resources consistent with the rural social services district’s own unique strengths and challenges, all of which help to reduce the need for third-party intervention.

4. Minimizing adverse impact:

The emergency rule should not provide exemptions relating to the required submission of homeless services plans or homeless services outcome reports because this would not serve the purposes of promoting planning and strategic use of resources by social services districts to address homelessness, improving coordination and integration with other resources and programs assisting people experiencing homelessness, improving data collection and performance measurement, and strengthening accountability with respect to the use of State funds. OTDA recognizes that rural social services districts will have different strengths and challenges from those faced by social services districts in more densely populated regions, and anticipates that rural social services districts will tailor their plans accordingly, which will minimize adverse impact of the emergency rule.

5. Rural area participation:

At a conference held in Hamilton, New York on May 8, 2018, Social Services District Commissioners were alerted to the fact that such regulatory requirements were forthcoming. It is anticipated that rural social services districts will be dedicated to implementing the emergency rule and engaging in more robust planning and outreach in order to improve the strategic use of resources to combat homelessness and to link persons experiencing homelessness, including unsheltered homeless persons, to appropriate services, assistance and housing.

A JIS is not required for this emergency rule. The purpose of the emergency rule is to require each social services district, at least every two years, to prepare a comprehensive homeless services plan, and to submit the homeless services plan for approval by the Office of Temporary and Disability Assistance (OTDA). Proposed revisions to an approved homeless services plan also must be submitted by the social services district to OTDA for approval. Each social services district is required to provide homeless services and engage in outreach in accordance with its approved homeless services plan. Then, at least every six months, each social services district must report on its performance of the items enumerated in its homeless services plan in homeless services outcome reports. The emergency rule promotes effective planning and strategic use of resources by social services districts to combat homelessness. The emergency rule helps ensure that individuals and families experiencing homelessness are provided with the services needed to help them secure transitional and permanent housing as critical steps toward attaining the goal of long-term housing stability. The emergency rule also helps to ensure that persons experiencing homelessness, and in particular, unsheltered homeless persons, are linked to appropriate services, assistance and housing. The State will provide assistance to social services districts lacking the expertise necessary to develop homeless services plans and homeless services outcome reports.

It is apparent from the nature and the purpose of the emergency rule that it will not have a substantial adverse impact on jobs and employment opportunities in the private sector, in the social services districts, or in the State.