Regulatory Flexibility Guidance, Resources, and Program Status

Regulatory Waiver Authority

PHL § 2807(20)(e) and (21)(e) authorizes the NYS Department of Health (DOH), the Office of Mental Health (OMH), the Office of Alcoholism and Substance Abuse Services (OASAS), and the Office for People With Developmental Disabilities (OPWDD) to waive certain regulatory requirements for DSRIP projects and capital projects that are associated with DSRIP. The agencies are authorized to grant such waivers as necessary, consistent with applicable law, to allow 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.

The DOH, OMH, OASAS and OPWDD have issued guidance to Performing Provider Systems (PPSs) interested in seeking regulatory waivers in connection with the DSRIP Program and the Capital Restructuring Financing Program, pursuant to Public Health Law (PHL) § 2807(20)(e) and (21)(e).

Additional information, can be found here:

Statewide Guidance on Space Arrangements Between Two or More Providers

The New York State Department of Health (DOH), the New York State Office of Mental Health (OMH) and the New York State Office of Alcoholism and Substance Abuse (OASAS) have finalized guidance on space arrangements between two or more providers. This document provides guidance to Article 28, Article 31 and Article 32 providers that wish to integrate services through shared space arrangements with other licensed or private medical practices and describes the application process for various types of shared space arrangements.

Any questions regarding this guidance may be directed to

Regulatory Waiver & Project Tracking Tool

A Regulatory Waiver & Project Tracking Tool webinar was held on August 3, 2016. The purpose of this webinar is to introduce all PPS to the Regulatory Waiver Tracking Document (RWTD). This required document is an Excel-based tool that PPS will to use to request and identify provider-site level waivers and aligned projects for those regulations that have been approved at the PPS level.

Regulatory Waiver Update

A one–page summary document describing the Regulatory Waiver initiative to date can be found here:

Regulatory Waiver Responses

PPS were provided the opportunity to submit Regulatory Waiver requests with their Project Plan Applications. Responses to this initial round of regulatory waiver requests were emailed to PPS leads in March 2015 and can be found here:

Additional Regulatory Waiver Requests

To facilitate ongoing project implementation, regulatory waiver requests for DSRIP projects will be open and processed on a quarterly basis throughout the DSRIP Demonstration Years. These request windows are grouped quarterly throughout the year to ensure all relevant waiver requests are accommodated as soon as possible. A listing of quarterly deadlines and response dates is as follows:

A listing of quarterly deadlines and response dates is as follows:

Deadline Response
August 1, 2016 October 1, 2016
November 1, 2016 January 1, 2017
February 1, 2017 April 1, 2017
May 1, 2017 July 1, 2017
August 1, 2017 October 1, 2017

Additionally, please note that any time-sensitive waivers may be submitted outside of this current quarterly review period.

To minimize redundant filings, please review the approved waiver requests, as well as the associated responses, which can be viewed above.

PPS should use the following template.

Additional requests for waivers, as well as any questions regarding previous responses, may be sent by e–mail to with Additional Regulatory Waiver Request in the subject line.