2023 New York Laws › MHY - Mental Hygiene › Title D - Alcoholism and Substance Abuse Act › Article 19 - Office of Alcoholism and Substance Abuse › 19.20 - Review of Criminal History Information Concerning Certain Prospective Employees and Volunteers.

§  19.20  Review  of  criminal  history  information  concerning certain
prospective employees and volunteers.
* Every provider of services who contracts  with  or  is  approved  or
otherwise  authorized  by  the  office to provide services, except (1) a
department facility, (2) a hospital as defined in  article  twenty-eight
of  the  public  health  law, or (3) a licensed professional under title
eight of the education law who does not have employees or volunteers who
will have regular and substantial unsupervised or unrestricted  physical
contact with the clients of such provider, shall request that the office
request  and  receive  from  the  division  of criminal justice services
criminal history information, as such phrase is defined in paragraph (c)
of  subdivision  one  of  section  eight  hundred  forty-five-b  of  the
executive law, concerning each prospective employee or volunteer of such
provider   who   will  have  regular  and  substantial  unsupervised  or
unrestricted physical contact with the clients of such provider.
* NB Effective until November 3, 2023
* Every provider of services who contracts  with  or  is  approved  or
otherwise  authorized  by  the  office to provide services, except (1) a
department facility, (2) a hospital as defined in  article  twenty-eight
of  the  public  health  law, or (3) a licensed professional under title
eight of the education law who does not have employees or volunteers who
will have regular and substantial unsupervised or unrestricted  physical
contact with the clients of such provider, shall request that the office
request  and  receive  from  the  division  of criminal justice services
criminal history information, as such phrase is defined in paragraph (c)
of  subdivision  one  of  section  eight  hundred  forty-five-b  of  the
executive law, concerning each prospective employee or volunteer of such
provider   who   will  have  regular  and  substantial  unsupervised  or
unrestricted  physical  contact  with  the  clients  of  such  provider.
Provided,   however,  a  provider  of  services  approved  or  otherwise
authorized under article thirty-six of this chapter  shall  comply  with
the  requirements of subdivision (a) of section 36.06 of such article to
satisfy the requirements of this section, and provided  further  that  a
provider  who  complies  with  the  requirements  of  subdivision (b) of
section 36.06 of such article, shall be deemed  to  have  satisfied  the
requirements of this section.
* NB Effective November 3, 2023
(a)  Prior  to  requesting  the  office  to  obtain a criminal history
information concerning any prospective employee or volunteer, a provider
shall:
(1) inform the prospective employee or volunteer in writing  that  the
provider  is required to request his or her criminal history information
and review such information pursuant to this section; and
(2) obtain the signed informed consent of the prospective employee  or
volunteer  on  a  form  supplied  by  the  division  of criminal justice
services which indicates that such person has:
(i) been informed of the right and  procedures  necessary  to  obtain,
review and seek correction of his or her criminal history information;
(ii)  been  informed  of  the  reason  for  the request for his or her
criminal history information;
(iii) consented to such request; and
(iv) supplied on the form a current mailing or home address.
Upon receiving such written consent, the provider shall obtain two  sets
of  fingerprints  of  such prospective employee or volunteer and provide
such fingerprints to the office pursuant to regulations  established  by
the division of criminal justice services.
(b)  A  provider  requesting  criminal history information pursuant to
this section shall also complete a form developed for  such  purpose  by

the  division  of  criminal  justice services. Such form shall include a
sworn statement of the person designated by such  provider  to  request,
receive  and  review  criminal history information pursuant to paragraph
one of subdivision (g) of this section certifying that:
(1)  such  criminal  history  information will be used by the provider
solely for purposes authorized by this section;
(2) the provider and its staff are aware of  and  will  abide  by  the
confidentiality  requirements  and all other provisions of this section;
and
(3) the persons designated by the provider to receive criminal history
information pursuant to paragraph one of subdivision (g) of this section
shall upon receipt immediately mark such  criminal  history  information
"confidential,"  and  shall  at all times maintain such criminal history
information in a secure place.
(c) Upon receipt of the fingerprints and sworn statement  required  by
subdivisions  (a)  and  (b)  of  this section, the office shall promptly
submit the fingerprints to the division of  criminal  justice  services.
The  division  of criminal justice services shall promptly forward a set
of the applicant's fingerprints to the federal bureau  of  investigation
for  the  purpose  of  a  nationwide  criminal  history  record check to
determine whether such  applicant  has  been  convicted  of  a  criminal
offense in any state other than New York or in a federal jurisdiction.
(d)  The  division of criminal justice services shall promptly provide
the requested criminal history  information,  if  any,  to  the  office.
Criminal  history  information  provided  by  the  division  of criminal
justice services pursuant to this section shall  be  furnished  only  by
mail  or  other method of secure and confidential delivery, addressed to
the office. Such information and the envelope in which it  is  enclosed,
if  any,  shall  be  prominently marked "confidential," and shall at all
times be maintained by the office in a secure place.
(e) After receiving any criminal history information provided  by  the
division  of criminal justice services concerning a prospective employee
or volunteer, the office  shall  review  the  information  to  determine
whether  such  prospective employee or volunteer has been convicted of a
criminal offense in any state other  than  New  York  or  in  a  federal
jurisdiction.  If  the  record  does  not  include such information, the
office shall  forward  a  summary  of  the  New  York  criminal  history
information  to  the  provider who shall proceed pursuant to subdivision
(g) of this section. For the purposes of this section, "summary  of  the
criminal  history  information"  shall  mean a comprehensive synopsis of
criminal history  information  which  shall  include  an  individualized
statement for each pending charge and each criminal conviction which has
not been vacated, reversed or sealed.
(f)  Where  the  criminal  history  information received by the office
includes a criminal offense in any state other than New  York  or  in  a
federal  jurisdiction,  the  office shall consider whether to approve or
disapprove the  prospective  employee  based  on  the  criminal  history
information  in accordance with the provisions of article twenty-three-A
of the correction law and subdivisions fifteen and  sixteen  of  section
two  hundred  ninety-six of the executive law and notify the provider of
its determination, provided, however,  that  a  reasonable  time  before
making  a  determination  pursuant to this subdivision, the office shall
provide the prospective  employee  or  volunteer  with  a  copy  of  the
criminal history information and a copy of article twenty-three-A of the
correction law, and inform such prospective employee or volunteer of his
or  her  right to seek correction of any incorrect information contained
in such criminal history information pursuant  to  the  regulations  and
procedures established by the division of criminal justice services.
(g)  Where  the  provider  receives  a summary of the criminal history
information from the office pursuant to subdivision (e) of this section,
the provider shall consider  the  information  in  accordance  with  the
provisions   of   article  twenty-three-A  of  the  correction  law  and
subdivisions  fifteen  and  sixteen of section two hundred ninety-six of
the executive law.
(1) A provider shall designate one or two persons in  its  employ  who
shall  be  authorized  to request, receive and review the summary of the
criminal history information, and only such persons and the  prospective
employee  or volunteer to which the criminal history information relates
shall have access to  such  information;  provided,  however,  that  the
summary  of  the  criminal history information may be disclosed to other
personnel authorized by the provider who are empowered to make decisions
concerning prospective employees or volunteers and provided further that
such other personnel  shall  also  be  subject  to  the  confidentiality
requirements  and all other provisions of this section. A provider shall
notify the office of each person authorized to have access  to  criminal
history information pursuant to this section.
(2)  Upon  receipt  of  the  summary  of  criminal history information
pursuant to this section,  a  provider  shall  provide  the  prospective
employee  or  volunteer  with  a  copy  of  such summary of the criminal
history  information  and  a  copy  of  article  twenty-three-A  of  the
correction law, and inform such prospective employee or volunteer of his
or  her  right to seek correction of any incorrect information contained
in such criminal history information pursuant  to  the  regulations  and
procedures established by the division of criminal justice services.
(h)  A  prospective  employee  or  volunteer  may  withdraw  from  the
application process,  without  prejudice,  at  any  time  regardless  of
whether  he  or  she, the office or the provider has reviewed his or her
criminal history information. Where a prospective employee or  volunteer
withdraws  from  the  application process, any fingerprints and criminal
history information concerning such prospective  employee  or  volunteer
received  by  the  office  or the provider shall, within ninety days, be
returned to such prospective employee or volunteer.
(i) The commissioner of the  division  of  criminal  justice  services
shall  promulgate  all  rules and regulations necessary to implement the
provisions of this section, which shall  include  convenient  procedures
for prospective employees and volunteers to promptly verify the accuracy
of  their  criminal history information and, to the extent authorized by
law, to have access to relevant documents related thereto.
(j) Any person who willfully permits the release of  any  confidential
criminal  history  information  contained  in  the report to persons not
permitted by this section to receive such information shall be guilty of
a misdemeanor.