Part 403 - Home Care Worker Registry

Effective Date: 
Wednesday, December 12, 2018
Doc Status: 
Complete
Statutory Authority: 
Public Health Law section 3613(9)

Section 403.1 - Applicability

Section 403.1 Applicability.

(a) This Part shall apply to every home care services agency certified, licensed or authorized under Article 36 of the Public Health Law, including agencies exempt under Public Health Law Section 3619; to every hospice program certified under Article 40 of the Public Health Law; to every enhanced assisted living residence licensed under Article 7 of the Social Services Law and certified under Article 46-B of the Public Health Law; and any education or training program for advanced home health aides or home health aides or personal care aides that is authorized, licensed or approved by either the Department or the New York State Education Department; and any person who has successfully completed a state approved education or training program.

(b) Nothing in this Part shall be construed to amend, supersede or otherwise modify any requirements of the regulations of the Department of Health relating to the education or training of advanced home health aides or home health aides or personal care aides by New York State authorized education or training programs.

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

Section 403.2 - Definitions

Section 403.2 Definitions.

For purposes of this Part, the following terms shall have the following meanings:

(a) “Advanced home health aide” is a certified home health aide who has satisfied all requirements to perform advanced tasks set forth in subdivision two of section 6908 of the Education Law and regulations issued by the state education department thereunder and who is currently listed in the home care services worker registry maintained by the department pursuant to subdivision nine of section 3613 of the Public Health Law as having satisfied all applicable requirements for performing advanced tasks as an advanced home health aide.  An advanced home health aide shall have successfully completed a training program for advanced home health aides that is approved by the department or the state education department.

(b) "Commissioner" means the Commissioner of Health of the State of New York.

(c) "Department" means the New York State Department of Health.

(d) "Home care services entity" or "entity" means:

(i) a home care services agency or other entity providing home care services subject to Article 36 of the Public Health Law or exempt under section 3619 of such law;

(ii) for purposes of compliance with the home care worker registry, an enhanced assisted living residence licensed under Article 7 of the Social Services Law and certified under Article 46-B of the Public Health Law and providing enhanced assisted living services; and

(iii) for purposes of compliance with the home care worker registry, a hospice program certified under Article 40 of the Public Health Law and providing hospice care.

(e) "Home care services worker" or "worker" means any person engaged in or applying to become engaged in providing home health aide services, as defined in Public Health Law section 3602(4); personal care aide services, as defined in Public Health Law section 3602(5); or advanced home health aide services, as defined in subdivision (a) of this section.

(f) "Home care services worker registry" or "registry" means the home care services worker registry established by Public Health Law section 3613.

(g) "Home care services worker trainee" or "trainee" means an individual who has applied for and been accepted into a state approved education or training program.

(h) "State approved education or training program" or "program" means a program that provides education or training for persons to meet any requirement established by the Department for providing home health aide services or personal care services, or advanced home health aide services, which program is approved by the Department or the New York State Education Department.

(i) "Successfully completed" or "successful completion" means, in connection with home health aide training, compliance with 10 NYCRR 700.2(b)(9); in connection with personal care aide training, it means compliance with 10 NYCRR section 700.2(b)(14); in connection with advanced home health aide training, it means compliance with 10 NYCRR section 700.2(b)(54).

(j) "Senior official" means an individual with responsibility for oversight of a training program and who is authorized to execute a legally binding instrument on behalf of the operator of the program. The senior official may be the operator if the operator is a natural person.

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

Section 403.3 - General requirements

Section 403.3 General requirements.

(a) Each state approved education or training program and home care services entity must request and submit information required for the registry as specified in this Part. Each program and entity shall designate at least two individuals to access and enter data in the registry and shall submit the names, positions and contact information for each such individual to the Department in the form and manner required by the Department.

(b) Each program or entity subject to the provisions of this Part shall have policies and procedures designed to implement the provisions of this Part.

(c) Only an individual designated in accordance with subsection (a) of this section shall submit the information to the registry. Home care services workers or trainees may submit information to any such individual for inclusion in the registry as specified in this Part.

Effective Date: 
Wednesday, June 27, 2012
Doc Status: 
Complete

Section 403.4 - Responsibilities of State Approved Education or Training Programs

Section 403.4 Responsibilities of State Approved Education or Training Programs.

(a) Any entity that offers or provides a state approved education or training program shall, for each trainee who begins a training program:

(1) (i) verify the identity of the trainee by examining at least one of the following unexpired documents:

(a) Driver's license or identification card issued by a State or outlying possession of the United States, provided it contains a photograph or information such as name, date of birth, gender, height, eye color and address;

(b) Identification card issued by federal, state or local government agencies or entities, provided it contains a photograph or information such as name, date of birth, gender, height, eye color, and address;

(c) School identification card with a photograph;

(d) Voter's registration card;

(e) United States Military card or draft record;

(f) Military dependent's identification card;

(g) United States Coast Guard Merchant Mariner Card;

(h) Native American tribal document;

(i) Driver's license issued by a Canadian government authority;

(j) United States Passport or United States Passport Card;

(k) Permanent Resident Card or Alien Registration Receipt Card; or

(l) Employment Authorization Document that contains a photograph.

(ii) For any such document examined, information regarding the document title, issuing authority, document number and expiration date, if any, must be recorded and maintained in the permanent records of the program.

(iii) If the trainee fails to provide any of the documents specified in subsection (a), the training program must deny participation in the program.

(2) Obtain all of the information required by section 3613(3)(a)-(e) of the Public Health Law and maintain such information in the permanent records of the program;

(3) Within 10 business days of successful completion of the program, enter the information required by section 3613(3)(a)-(e) of the Public Health Law into the registry in the form and manner required by the Department;

(4) Upon request of a trainee or a person who has successfully completed an approved education or training offered by the program, and upon proof of identity, provide access to complete registry information relating to such person, including a printed report if requested.

(5) Within 10 business days after a request by a trainee or a person who has successfully completed an approved education or training offered by the program, correct information entered incorrectly into the registry by the program. A program must request verification from the worker supporting the correction.

(6) Within 10 business days after a trainee has successfully completed an approved education or training offered by the program, ensure that a written sworn statement by the senior official of the entity, made under penalty of perjury, has been fully executed and included in the permanent records of the program. The written sworn statement must:

(a) identify each trainee who has successfully completed the program by name, address, date of birth and date of completion of the program;

(b) describe the nature of the education or training covered in the program;

(c) certify that the trainee has in fact successfully completed the identified program; and

(d) certify that the entity has verified the true identity of each trainee who has successfully completed the identified program as required in subsection (a)(1) of this section.

(7)(a) Within 10 business days after the written sworn statement described in subsection (a)(6) of this section has been executed by the senior official of the entity, print and sign the certificate of successful completion generated by the Department and provide a copy of the signed certificate to the trainee. The original certificate must be maintained in the permanent records of the program.

(b) Any entity that offers or provides a state approved education or training program shall submit information to the registry about each class offered to train or educate home care services workers, before or within 10 business days after the commencement of the class, regarding the following:

(1) Name and date of birth of each person attending the program;

(2) The location, dates and times where the classroom portion of the program will be held;

(3) The name, title and qualifications of the person(s) who will be delivering the classroom instruction; and

(4) The anticipated date of graduation.

Effective Date: 
Wednesday, June 27, 2012
Doc Status: 
Complete

Section 403.5 - Responsibilities of Home Care Services Entities

Section 403.5 Responsibilities of Home Care Services Entities.

(a) A home care services entity will have the following responsibilities with respect to home care services workers employed on or after September 25, 2009:

(1) For any home care services worker who began their training on or after September 25, 2009, a home care services entity shall access the worker's registry information prior to the worker beginning to provide home care services for that entity.

(2) A person who successfully completed a state approved education or training program for home health aides or personal care aides that began on or after September 25, 2009, may not provide home care services unless the person's information has been posted to the registry by the education or training program.

(3) within 10 business days after the worker has been employed by the home care services entity, enter the information required by section 3613(3)(f) of the Public Health Law into the registry in the form and manner required by the Department;

(4) A person who successfully completed a state approved education or training program for advanced home health aides may not provide advanced home health aide services unless the person's information has been posted to the registry by the department.

(5) For all home care services workers who successfully completed training before September 25, 2009, prior to the worker beginning to provide home care services, a home care services entity must access the worker's registry information. If the worker is not yet listed in the registry, the entity shall, prior to the individual beginning to provide home care services:

(i) Obtain the information required by section 3613(3)(a)-(f) of the Public Health Law from the home care services worker;

(ii) Obtain a copy of the certificate issued to the prospective employee by the state-approved training program; and

(iii) Enter the information required by Public Health Law section 3613(3)(a)-(f) into the registry.

(6) Within 10 business days after the home care services worker begins to provide home care services, update the registry information to show the worker's employment with the entity, including the start date;

(7) Within 10 business days after receiving information from a home care services worker that is not in the registry, update the registry to include the new or updated information. If the updated information is a change of name, obtain and retain documentation of the change as provided in section 403.6(a)(4) of this Part;

(8) Within 10 business days after a home care services worker's employment with the entity is terminated, update the registry with the date on which the worker's employment with the entity was terminated;

(9) Upon request of any home care services worker currently employed by the entity, provide access to complete registry information relating to the employee, including a printed report if requested.

(10) Within 10 business days after a request by a home care services worker, correct information in the registry that was entered incorrectly by the entity. An entity must request verification from the worker supporting the correction. If the correction involves a change of name, obtain and retain documentation of the change as provided in section 403.6(a)(4) of this Part.

(b) For every home care services worker who was employed by a home care services entity as of September 25, 2009, the home care services entity shall, on a schedule provided by the Department, enter all of the information required by section 3613(3)(a)-(f) of the Public Health Law on the registry with respect to such workers.

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

Section 403.6 - Responsibilities of Home Care Services Workers

Section 403.6 Responsibilities of Home Care Services Workers.

(a) Home care services workers have the following responsibilities:

(1) Workers must retain in good order their certificate of successful completion of training and display it to a prospective employer when requested;

(2) If a worker discovers that a training program or entity incorrectly entered information regarding the worker in the registry, the worker must provide corrected information, including any verification of the change that may be requested, to the training program or entity;

(3) If any information required for the registry changes, the worker must inform the program or entity of the changes and provide verification of the change as requested by the program or entity;

(4) If a worker changes his or her name, the worker must provide proof of the name change to the program or entity. The program or entity will change the worker's name in the registry and must retain a copy of the proof submitted in the entity's permanent records. Appropriate proof of change of name includes copy of a certificate of marriage, decree of divorce, or other court order authorizing a person to change his or her name.

Effective Date: 
Wednesday, June 27, 2012
Doc Status: 
Complete

Section 403.7 - Other responsibilities

Section 403.7 Other responsibilities.

(a) Each program shall establish, maintain, and keep such records as are required to show compliance with this Part for a period of 6 years after the successful completion of training, unless otherwise directed by the Department or the New York State Education Department.

(b) Each entity shall establish, maintain, and keep such records as are required to show compliance with this Part for a period of 6 years after the termination of a worker’s employment, unless otherwise directed by the Department.

Effective Date: 
Wednesday, June 27, 2012
Doc Status: 
Complete