New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIII - Office of Mental Health › Part 550 - Criminal History Record Checks › Section 550.5 - Submission of fingerprints by providers of services

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The Justice Center shall perform a
				criminal history record check regarding any prospective operator, employee, or
				volunteer of a provider of services which is required to comply with Section 31.35  of the Mental Hygiene Law. For
				purposes of this Part, the inclusion of a national criminal history background
				check shall apply to all prospective operators, employees, or volunteers whose
				applications are submitted to the Justice Center for a criminal history
				background check on or after March 12, 2007.
(b) Any provider of services subject to
				compliance with this Part which is issued an operating certificate on or after
				April 1, 2005 shall require a criminal history record check of natural persons
				with an ownership interest in such providers, provided, however, that for
				purposes of this Part, the inclusion of a national criminal history background
				check of natural persons with such an ownership interest shall apply to all
				providers of service issued an operating certificate on or after March 12,
				2007. Any change in the ownership interest of any provider on or after April 1,
				2005, for which a new natural person becomes or joins as an operator shall
				require a criminal history record check of such new natural person or persons,
				which shall be performed in concert with the prior approval process established
				in section
				551.6 
				of this Title, or the application process established in section 87.3 of this
				Title, as applicable. For purposes of this Part, the inclusion of a national
				criminal history background check of new or additional natural person operators
				shall apply to all such changes in ownership proposed on or after March 12,
				2007.
(c) Criminal history record
				reviews required in accordance with this Part shall apply only to persons who
				are prospective employees or volunteers, as defined in this Part, as identified
				by the provider of services.
(d)
				The Justice Center shall supply every provider of services that is subject to
				the provisions of this Part with information identifying the designated
				fingerprinting entities that may be utilized to facilitate compliance with this
				Part.
(e) Fingerprint submission
				process.
(1) Prior to requesting a criminal
				background check for any prospective employee or volunteer, as defined in
				section
				550.4  of
				this Part, a provider of services subject to this Part shall check the Justice
				Center's Register of Substantiated Category One Cases of Abuse or Neglect. If
				the applicant's name appears on the Register, the provider of services shall
				not process the application. If the applicant's name does not appear on the
				register, the provider of services may proceed with the fingerprint submission
				process in accordance with the provisions of this Section.
(2) As part of a provider of services'
				initial application for a license to provide mental health services in
				accordance with Article 31 of the Mental Hygiene Law, its authorized person(s)
				shall be responsible for furnishing the Justice Center with the fingerprints of
				the prospective operator of the provider, as well as those of any prospective
				employee or volunteer of the provider of services, as defined in Section
				550.4  of
				this Part.
(3) As part of a
				provider of services' renewal of a license to provide mental health services in
				accordance with Article 31 of the Mental Hygiene Law, its authorized person(s)
				shall be responsible for furnishing the Justice Center with fingerprints of any
				operator who joined the organization subsequent to April 1, 2005 and who
				previously did not have a criminal history record check performed.
(4)
				Every provider of services subject to this Part shall be responsible for
				obtaining a set of fingerprints for each prospective employee or volunteer of
				the provider of services, as defined in Section
				550.4  of
				this Part, and its authorized person(s) shall submit same to the Justice Center
				for a criminal background check.
(5) Prior to
				requesting a criminal background check for any prospective employee or
				volunteer, as defined in section
				550.4  of
				this Part, a provider of services subject to this Part shall obtain, and
				maintain, documentation demonstrating that:
(i) the provider of services has informed the
				prospective employee or volunteer, in writing, that such provider is
				authorized, and in some cases, required, to request a check of his or her
				criminal history information and review the results of such check in accordance
				with Section 845-b  of the Executive Law;
(ii) the provider of services has informed
				the prospective employee or volunteer that he or she has the right to obtain,
				review, and seek correction of his or her criminal history record in accordance
				with regulations and procedures of the Division and the Federal Bureau of
				Investigation;
(iii) the provider
				of services has obtained the signed, informed consent of the prospective
				employee or volunteer on a form supplied by the Justice Center which indicates
				that such person:
(a) has been informed of
				the right and procedures necessary to obtain, review, and seek correction of
				his or her criminal history information;
(b) has been informed of the reason for the
				request for his or her criminal history information;
(c) has been informed that the criminal
				history information sought will include both a New York State and, on or after
				March 12, 2007, a national criminal history information check;
(d) has consented to such request for a
				report of his or her criminal history information with respect to New York
				State and, on or after March 12, 2007, national criminal history
				information;
(e) has supplied a
				current mailing or home address on the form;
(f) has or has not, to the best of his or her
				knowledge, ever been convicted of a crime in New York State or any other
				jurisdiction; and
(g) has or has
				not, to the best of his or her knowledge, any felony or misdemeanor charges
				currently pending against him or her that remain unresolved.
(6) A provider of
				services requesting a criminal background check pursuant to this Section shall
				do so by completing and submitting a form developed and provided by the Justice
				Center, in consultation with the Division. The form shall be completed by the
				authorized person, shall be submitted to the Justice Center and maintained
				thereby pursuant to an agreement with the Division, and shall include a sworn
				statement from the authorized person, in the form and format prescribed by the
				Justice Center, which attests:
(i) that the
				authorized person shall identify the name of each person for whom a criminal
				history record check is being requested, and attests that each such person is
				either a prospective operator, employee, or volunteer of the provider of
				services, and, as such, the person is a subject individual, as defined in
				Section
				550.4  of
				this Part;
(ii) that the authorized
				person shall identify the specific duties which qualify the provider of
				services to request a check of the subject individual's criminal history
				information;
(iii) that the results
				of the criminal history information check will be used by the provider of
				services solely for the purposes authorized by law; and
(iv) that the provider of services, its
				agents, and employees are aware of and will abide by the confidentiality
				requirements and all other provisions of Chapter 575 of the Laws of
				2004.