Section 402.9 - Responsibilities of Providers; Required Notifications

Section 402.9 Responsibilities of Providers; Required Notifications.

(a) Recordkeeping. (1) Each provider shall establish, maintain, and keep current, a record of:

(i) a roster of current employees who were reviewed pursuant to this Part and a list of their staffing assignments; such roster shall be submitted by April 1 of each year or upon written request of the Department in a form and format specified by the Commissioner.

(ii) the names of each person for whom a request for a criminal history information was submitted to the Department;

(iii) for each such name recorded pursuant to subparagraph (ii) hereof, a copy of the signed informed consent form required pursuant to section 402.5 of this Part,

(iv) for each such name recorded pursuant to subparagraph (ii) hereof, the results of the criminal history record check and determination of the Department with regard to the employment;

(v) for certified home health care agencies, licensed home care services agencies or long term home health care programs licensed or certified under Article 36 of the Public Health Law, the onsite supervision and alternate week contacts made for assessment of temporary employees as set forth in Section 402.4(b)(2)(ii) of this Title;

(vi) for adult homes, enriched housing programs, and residences for adults licensed under Article 7 of the Social Services Law, the onsite supervision of temporary employees as set forth in section 402.4(b)(2)(iv) of this Title; and

(vii) for hospice programs certified under Article 40 of the Public Health Law, the onsite supervision and alternate week contacts made for assessment of temporary employees as set forth in section 402.4(b)(2)(v) of this Title.

(2) Such record shall be maintained in a manner that ensures the security of the information contained therein, but which also assures the Department of immediate and unrestricted access to such information upon its request, for the purpose of monitoring compliance with this Part.

(b) Notifications. A provider must immediately, but within no later than 30 calendar days after the event, notify the Department, and document such notification occurred, when:

(1) any prospective employee who is subject to a criminal history record check in accordance with this Part withdraws an application for employment or is no longer being considered as a prospective employee as defined in this Part; or

(2) any employee who was subject to, and underwent, a criminal history record check in accordance with this Part is no longer employed by the provider.

(3) any employee once subject to, and underwent, a criminal history record check in accordance with this Part but is no longer working in a position defined in section 403.2(e) of this Title for the provider.

(c) Retention and disposal of information. (1) Each provider subject to the provisions of this Part shall maintain information necessary to demonstrate compliance with this Part, as set forth in subdivision (a) of this section, for at least six years after the person ceases to be a subject individual, unless otherwise directed by the Department.

(2) If directed to do so by the Department, a provider subject to this Part shall dispose of the summary of the criminal history information and/or any other information related to criminal history record checks in accordance with such direction.

(3) Disposal of the criminal history information and records of Department determinations shall be performed in a manner that ensures the confidentiality of the information.

(d) Policies and procedures. Each provider subject to the provisions of this Part shall have policies and procedures designed to implement the provisions of this Part. Amendment of existing personnel policies and procedures to reflect these new requirements is sufficient compliance with this subdivision.

Effective Date: 
Wednesday, December 12, 2018
Doc Status: 
Complete