New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XX - JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS › Part 701 - JUSTICE CENTER CRIMINAL HISTORY INFORMATION CHECKS › Section 701.5 - Requests for criminal history information checks

Current through Register Vol. 46, No. 28, July 10, 2024
(a) A New York State and national criminal
				history information check is required to be conducted on all subject
				individuals as defined in section
				701.4  of
				this Part.
(b) Any provider of
				services subject to compliance with this Part that is issued an operating
				certificate on or after June 30, 2013 shall request a New York State and
				national criminal history information check of natural persons with an
				ownership interest in such provider, if the natural person will have regular
				and substantial unsupervised or unrestricted physical contact with individuals
				receiving services. Any change in the ownership interest of any provider on or
				after June 30, 2013, for which a new natural person with the requisite contact
				becomes an operator shall require a New York State and national criminal
				history record check of such new operator, which shall be performed in concert
				with applicable licensing or approval processes established by the
				commissioners of the applicable State agencies.
(c) 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.
(d)
Process for requesting criminal
				history information checks.
(1) Prior
				to requesting a criminal history information check for any subject individual,
				a provider of services subject to this Part shall request the Justice Center to
				check its register of substantiated category one cases of abuse or neglect,
				also known as the staff exclusion list. If the check of the staff exclusion
				list does not preclude the provider of services from hiring or utilizing the
				subject individual pursuant to subdivision (3) of section 495  of the Social Services Law, the provider
				may proceed with requesting a criminal history information check.
(2) Before a provider of services can request
				a criminal history information check pursuant to this section, it must
				designate an authorized person. Such authorized person must complete a sworn
				statement on a Justice Center form that shall be submitted to and maintained by
				the Justice Center, which attests that the authorized person:
(i) will request a criminal history
				information check only on those individuals that the provider of services has
				determined to be subject individuals;
(ii) will, along with each request, submit a
				summary of the specific duties of the subject individual that qualify the
				provider of services to request the criminal history information
				check;
(iii) will ensure 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) will ensure that the provider of
				services, its agents, and employees are aware of and will abide by the
				confidentiality requirements and all other provisions of section 845-b  of the Executive Law.
(3) As part of a provider of
				services' initial application to the Office of Mental Health, the Office for
				People with Developmental Disabilities or the Office of Children and Family
				Services, as applicable, to provide services in accordance with the regulations
				of the applicable agency, its authorized person(s) shall be responsible for
				ensuring that a request for a criminal history information check is submitted
				to the Justice Center for each subject individual associated with the
				provider.
(4) As part of a provider
				of services' renewal of a license to provide services in accordance with the
				regulations of the State agency with jurisdiction over such services, its
				authorized person(s) shall be responsible for requesting a criminal history
				information check of any operator who joined the organization on or after June
				30, 2013 who has the requisite contact and who previously did not have a
				criminal history record check performed.
(5) The authorized person(s) of every
				provider of services subject to this Part shall be responsible for requesting
				the criminal history information check for each subject individual by
				registering the subject individual with the designated fingerprinting
				entity.
(6) For each criminal
				history information check request, the providers' authorized person(s) shall be
				responsible for:
(i) obtaining the signed
				applicant consent for fingerprinting form which includes a current mailing
				address for the applicant; and advises applicant that the provider is required
				to request this criminal history information check and review the results in
				accordance with section 845-b  of the Executive Law; and that the
				check will include both NYS and national criminal history information. Such
				form shall include an indication that the applicant:
(a) has consented to such request;
				and
(b) has or has not been
				convicted of a crime or have any open/pending felony or misdemeanor charges in
				New York State or any other jurisdiction.
(ii) providing the applicant with the
				personal criminal history information review form which advises applicant of
				the right and procedures to obtain, review, and seek correction of his or her
				criminal history information.