New York Codes, Rules and Regulations
Title 14 - DEPARTMENT OF MENTAL HYGIENE
Chapter XIV - Office for People With Developmental Disabilities
Part 633 - Protection of Individuals Receiving Services in Facilities and Services Operated and/or Certified by OPWDD
Section 633.22 - Criminal history record checks
Universal Citation: 14 NY Comp Codes Rules and Regs § 633.22
Current through Register Vol. 46, No. 52, December 24, 2024
(a) Applicability.
(1) This section is applicable to all current
and prospective agencies (see section
633.99 of this Part), sponsoring
agencies (see section
633.99 of this Part) or other
providers of services that are certified, authorized (see section
633.99 of this Part), approved or
funded through contract by OPWDD. Applicable services include but are not
limited to:
(i) facilities holding an
operating certificate issued by OPWDD (e.g., residences, family care homes, day
treatment, day training, sheltered workshops), home and community based waiver
services, state plan services enumerated in paragraph ten of subdivision d of
section 619.2 of this Title, family
support services, individual support services; and
(ii) providers of services which contract
with and/or are approved by OPWDD;
(a)
providers of services which contract with OPWDD. For the purposes of this
section only, contracts with OPWDD means an agreement to
provide staff or services, and/or the actual provision of staff or services, on
behalf of OPWDD, to persons served by OPWDD, in return for which OPWDD agrees
to, or does, pay the contractor. This includes agreements in any form, either
written or non-written, and includes but is not limited to a contract, voucher,
purchase order or other document indicating an intention on the operator's part
to pay the contractor;
(b)
providers of services which are approved by OPWDD pursuant to subdivision (n)
of this section ("registered providers").
(2) However, this section does not apply to
the following providers of services:
(i)
OPWDD;
(ii) a hospital as defined
in article 28 of the Public Health Law; and
(iii) a licensed professional under title 8
of the Education Law who does not have employees or volunteers (see section
633.99 of this Part) who have or
will have regular and substantial unsupervised or unrestricted physical contact
with people receiving services.
(3) Agencies and providers of services that
are required to comply with this section are also required to comply with Part
701 of this Title - Justice Center Criminal History Information Checks. Note
that the term, criminal history record check in this section is equivalent to
the term criminal history information check as used in Part 701 of this
Title.
(b) Definitions.
The following definitions apply to terms as used in this section:
(1)
Authorized
party. The party designated by an agency, sponsoring agency or
provider of services who is authorized to request, receive and review a summary
of criminal history record information in accordance with this
section.
(2)
Contracts
with. An agreement to provide staff or services, and/or the actual
provision of staff or services, on behalf of a program operator, to persons
with developmental disabilities served by the operator, in return for which the
program operator agrees to, or does, pay the contractor. This includes
agreements in any form, either written or non-written, and includes but is not
limited to a contract, voucher, purchase order or other document indicating an
intention on the operator's part to pay the contractor.
(3)
Criminal history record
information. The information provided to the Justice Center for the
Protection of People with Special Needs (Justice Center) from the Division of
Criminal Justice Services in response to a duly authorized request for criminal
history record information. This information includes, but is not limited to, a
record of pending criminal charges and criminal convictions which are not
vacated or reversed.
(4)
Division of Criminal Justice Services (DCJS). A New York State
agency established by article 35 of the Executive Law.
(5)
Employee. For the
purposes of this section only, any party who is:
(i) directly employed by the agency or
provider of services or registered provider; or
(ii) used by the agency or provider of
services or registered provider to provide services substantially similar to
those that are or could be provided by someone who is directly employed by the
agency or provider of services. Such parties shall be deemed to be employees of
the agency or provider of services and shall include, but not be limited to,
those who are employed by other entities on behalf of or for the benefit of the
agency or provider of services.
(6)
Justice Center for the Protection
of People with Special Needs (Justice Center). An entity established
by article 20 of the Executive Law for the protection of people who are
vulnerable because of their reliance on professional caregivers to help them
overcome physical, cognitive and other challenges. The Justice Center contains
the Vulnerable Persons' Central Register as established by article 11 of the
Social Services Law and receives requests for criminal history record checks
pursuant to section
16.33 of
the Mental Hygiene Law.
(7)
Natural person. A human being, as distinguished from an
artificial person created by law (e.g., a
corporation).
(8)
Operator. For purposes of this section,
operator includes any natural person with an ownership
interest in a provider of services.
(9)
People receiving
services. Persons with developmental disabilities who are receiving
services certified, authorized, approved or funded by OPWDD.
(10)
Providers of services.
This term shall have the same meaning as in subdivision (5) of section
1.03 of the
Mental Hygiene Law as follows:
Provider of services means an individual, association, corporation, or public or private agency, other than an agency or department of the State, which provides services for persons with a mental disability. It shall not include any part of a hospital as defined in article 28 of the Public Health Law which is not being operated for the purpose of providing services for persons with a mental disability. No provider of services shall be subject to the regulation or control of the department or one of its offices except as such regulation or control is provided for by other provisions of this Chapter.
The term services for the mentally disabled is defined in subdivision (4) of section 1.03 of the Mental Hygiene Law as follows:
Services for persons with a mental disability means examination, diagnosis, care, treatment, rehabilitation, or training of persons with a mental disability.
(11)
Registered
provider. A provider of services that contracts with OPWDD or an
agency or another provider of services (or entity on behalf of the agency or
other provider of services), and which is approved by OPWDD pursuant to
subdivision (n) of this section.
(12)
Subject party. A party
concerning whom an agency, sponsoring agency or provider of services is
authorized/required to request a check of criminal history record information,
including applicants for employment or voluntary work or certification as a
family care provider, and parties age 18 years and older who are to reside in
the family care home. A party becomes a subject party when he or she meets one
of the criteria specified in paragraph (d)(2) of this section. A party is no
longer a subject party when an event occurs as described in subdivision (l) of
this section (e.g., separation from service), unless the party
is also a subject party because of some other reason (e.g., an
employee separates from service but continues to live in the home of a family
care provider, or an employee leaves one employer and begins a similar position
with a different employer).
(13)
Temporarily approved provisional employee or volunteer. A
provisional employee or volunteer who has been temporarily approved by an
agency or provider of services, for the period of time between a request for a
criminal history record check and the receipt of the results by the authorized
party.
(c) General requirements.
(1) Each agency,
sponsoring agency and provider of services shall designate one or more
authorized parties and shall submit the name, position and contact information
for the authorized party or parties to the Justice Center in the form and
format required by the Justice Center.
(2) Each agency, sponsoring agency and
provider of services shall develop written policies and procedures related to
conducting criminal history record checks. Such policies and procedures shall
include criteria for:
(i) determining whether
particular employee or volunteer applicants are subject to a criminal history
record check;
(ii) protecting the
safety of persons receiving services when in the physical proximity of
temporarily approved provisional employees and volunteers, which includes:
(a) establishing restrictions on the
activities of temporarily approved provisional employees and volunteers;
and
(b) providing oversight of
temporarily approved provisional employees and volunteers;
(iii) providing notifications to the Justice
Center when a party ceases to be a subject party; and
(iv) evaluating and, if warranted, taking
appropriate steps upon receipt of a notice about a conviction or pending
criminal charge against a current employee, volunteer, family care provider or
party living in the home of a family care provider subsequent to the initial
criminal history record check.
(d) Determination of when a criminal history record check is required.
(1)
The authorized party shall determine whether a criminal history record check is
required by this section for each potential subject party.
(2) Criminal history record checks are
required for the following parties:
(i)
prospective employees and operators who will have regular and substantial
unsupervised or unrestricted physical contact with people receiving services,
according to the criteria established by policies and procedures. Unless the
agency or provider of services has documented the grounds for determining that
the party does not have such contact, the following employees and operators are
presumed to have regular and substantial unsupervised or unrestricted physical
contact:
(a) a party providing direct care
services to people in facilities and non-certified settings authorized, funded,
or approved by OPWDD, including but not limited to:
(1) residential facilities (ICFs, CRs and
IRAs);
(2) home and community-based
waiver habilitation services (including residential habilitation, day
habilitation, community habilitation, pathway to employment, supported
employment, and pre-vocational services);
(3) day treatment facilities;
(4) day training facilities;
(5) sheltered workshops;
(6) respite services;
(7) recreational services;
(8) authorized demonstration programs
(e.g., NYS-Options for People Through Services [NYS-OPTS]);
and
(9) any service similar to
those specified in subclauses (1)-(8) of this
clause;
(b) a party
providing line or onsite supervision of direct care staff;
(c) a party providing transportation
services, whether driving or accompanying people while they are being
transported;
(d) a job coach (or
equivalent) providing supported employment services;
(e) a clinician providing clinical services
to people receiving services;
(f)
in a clinic treatment facility (article 16 clinic), a clinic treatment
coordinator, a medical director and an authorized party (see section
679.99 of this Title) providing
services;
(g) a care manager and a
supervisor of a care manager ; and
(h) a party whose work assignment location is
at a certified site at least some of the time that persons are receiving
services;
(ii) family
care providers and all parties 18 years of age or older who are to reside in
the family care home (except for individuals receiving family care services) as
follows:
(a) prospective family care providers
along with adult household members who are to reside in the prospective family
care home;
(b) prospective adult
household members who are to reside in the home of a current family care
provider (see OPWDD regulations for Family Care Homes, Part
687 of this Title, for additional requirements); and
(c) current family care providers who are
seeking recertification and adult household members who are to reside in the
family care home when a criminal history record check has not previously been
conducted concerning the subject party because of his or her status as a family
care provider or household member;
(iii) prospective volunteers who will have
regular and substantial unsupervised or unrestricted physical contact with
persons receiving services, as determined by the agency or provider of services
according to criteria established by policies and procedures;
(iv) employees, volunteers and operators who
currently have a position or volunteer opportunity which does not involve
regular and substantial unsupervised or unrestricted physical contact with
persons receiving services, who will be assuming a position or volunteer
opportunity which does involve such contact;
(v) for an agency or other potential provider
of services which applies to become certified, authorized, approved or funded
through contract by OPWDD; all its current and potential operators, employees
and volunteers who will have regular and substantial unsupervised or
unrestricted physical contact with persons receiving services in the new
program; and
(vi) for an agency or
other provider of services which has a change in ownership interest, any
natural person that will become an operator due to such change, if he or she
will have regular and substantial unsupervised or unrestricted physical contact
with persons receiving services.
(3) Requirements related to criminal history
record checks or other background checks required pursuant to section
633.24 of this Part do not apply
when a party is considered to be an employee of an agency or provider of
services (see the definition of employee; subparagraph [b][5][ii] of this
section) through his or her employment by another entity that has a contract
with OPWDD or the agency or provider of services (or another entity on behalf
of OPWDD, the agency or provider of services), so long as:
(i) the contractor is itself an agency or
provider or services which provides services that are certified, authorized
(HCBS waiver services), or funded through contract by OPWDD as family support
services, individual support services, or Medicaid service coordination and the
contractor is complying with the requirements of this section with regard to
the employees utilized under contract; or
(ii) the contractor is a registered provider
that has been approved by OPWDD pursuant to the provisions of subdivision (n)
of this section.
(4)
Note that requests for criminal history record checks must also be submitted
for any additional situations that may be specified in section
701.5 of this Title.
(e) The agency or provider of services shall comply with the requirements of section 701.5 of this Title - Process for requesting criminal history information checks.
(f) Pending results/temporary approval of a subject party.
Notwithstanding the provisions of subdivision 701.5(f) of this Title, the provisions of this subdivision govern the process for temporary approval of a subject party in the OPWDD system.
(1) The agency or provider of services may
temporarily approve a subject party for employment or a volunteer opportunity
on a provisional basis while the results of the criminal history record check
are pending, so long as such party does not have unsupervised physical contact
with persons receiving services. Temporary approval and the utilization of
temporarily approved provisional employees and volunteers shall be in
accordance with policies and procedures and the requirements of this section.
(i) Policies and procedures shall address the
need for all temporarily approved provisional employees and volunteers to be
monitored. Such policies and procedures shall:
(a) address the need for an employee to
monitor the activities of all temporarily approved provisional employees and
volunteers given the nature of the environment (e.g., layout
of the site), staffing patterns, employee responsibilities, and characteristics
of people receiving services; and
(b) include procedures for the agency or
provider of services to ensure that the employee given responsibility to
monitor the activities of temporarily approved provisional employees and
volunteers:
(1) was not subject to a criminal
history record check or has had a criminal history record check determination
issued from the Justice Center;
(2)
has been trained in requirements concerning incidents and abuse (see section
633.8[a][1][iv]-[vi]
of this Part and Part 624 of this Title);
(3) recognizes his or her obligations under
Part 624 of this Title, including the obligation to report incidents and abuse
allegations, and that "the failure to exercise one's duty to intercede on
behalf of a person receiving services also constitutes abuse" (section
624.4[c] of this
Title);
(4) is knowledgeable about
the restrictions on the activities of temporarily approved provisional
employees and volunteers established by this section; and
(5) knows whom to contact and in what manner,
regarding concerns that may arise.
(ii) In order to be approved, temporarily
approved provisional employees and volunteers shall provide an attestation that
they understand basic elements of what is considered abuse according to the
definition in Part 624 of this Title and that they know whom to contact, and in
what manner, if they have questions about incidents/abuse; and that they affirm
that they will not engage in abusive practices or knowingly endanger the
physical or emotional well-being of people receiving services.
(iii) If the temporarily approved provisional
employee or volunteer is in the physical proximity of people receiving
services, an employee meeting the standards specified in subparagraph (i) of
this paragraph shall be in reasonable physical proximity of the temporarily
approved provisional employee or volunteer at all times.
(iv) The temporarily approved provisional
employee or volunteer shall not be assigned personal care activities which
require privacy for people receiving services (e.g., bathing,
dressing and toileting), unless an employee meeting the standards of
subparagraph (i) of this paragraph is present in the same room with the
temporarily approved provisional employee or volunteer at all times while
personal care activities are occurring.
(v) A temporarily approved provisional
employee or volunteer shall not be assigned to work at a residential facility
during the typical nighttime shift (e.g., 11 p.m. to 7
a.m.).
(vi) Temporary approval
shall be denied if the agency or provider of services possesses written
documentation, such as a statement provided by the subject party as part of the
application process, that:
(a) the subject
party has a pending felony charge, or a conviction or pending charge for one or
more of the crimes specified in section
845-b
(5)(a) of the Executive Law; and/or
(b) the subject party has a pending
misdemeanor charge or a conviction for any crime other than those specified in
section
845-b
(5)(a) of the Executive Law, unless the
agency or provider of services documents that temporary approval will not pose
a risk of harm to persons receiving services.
(vii) At any time after the agency or
provider of services receives a determination that the Justice Center is not
issuing a denial or directing the agency or provider of services to issue a
denial, the restrictions imposed during the period of temporary approval may be
lifted. The agency or provider of services does not need to notify the OPWDD or
the Justice Center regarding the end of temporary approval in this
situation.
(viii) When an agency or
provider of services receives Justice Center notification of any result of the
criminal history record check, except as specified in subparagraph (vii) of
this paragraph, any temporary approval of the subject party shall be revoked
immediately, or as soon as reasonably possible. However, revocation of the
temporary approval shall not be delayed if such delay may compromise the safety
of people receiving services.
(ix)
Registered providers are not permitted to temporarily approve a subject party
on a provisional basis.
(2) A subject party who is applying to be a
family care provider shall not be granted an initial operating certificate
while the results of the criminal history record checks are pending for either
the family care provider or any other party age 18 years or older who is to
reside in the family care home.
(3)
Sponsoring agencies and family care providers shall follow the requirements of
OPWDD family care regulations (see section
687.8 of this Title), while the
results of the criminal history record check are pending for current or
potential household members of a current family care home.
(g) Criminal history record check process.
(1) The agency, sponsoring
agency or provider of services shall be responsible for ensuring the submission
of a request for a criminal history record check, including fingerprints, in
the form, format and manner established by the Justice Center, for all required
subject parties (see subdivision [d] of this section).
(2) Section
701.6 of this Title governs the
process for criminal history review and evaluation.
(3) If the subject party is a potential
family care provider or an adult who lives in the home of a family care
provider, or a family care respite/substitute provider or an adult who lives in
the home of the family care respite/substitute provider, the Justice Center
shall provide information to the sponsoring agency requesting the criminal
history record check in the same manner as specified for other subject parties
in section
701.6 of this Title.
(h) Justice Center determinations.
Justice Center determinations and the responses of the agencies and providers of services are made in accordance with section 701.5 of this Title. The following provisions concerning family care homes are in addition to the requirements of section 701.5 of this Title:
(1) OPWDD/sponsoring agencies shall deny an
application to be a family care provider if the Justice Center issues a denial
or directs the sponsoring agency to issue a denial concerning an applicant or
an adult household member.
(2) If
the Justice Center issues a denial or directs the sponsoring agency to issue a
denial for a family care provider or adult household member, and a person is
currently receiving family care services in the family care home:
(i) the family care provider shall be
notified regarding the issuance of the denial;
(ii) the sponsoring agency shall conduct a
safety assessment of the service environment, and shall take all steps
necessary to protect the health and safety of people receiving services. The
safety assessment and steps shall be documented; and
(iii) people receiving services shall be
promptly relocated unless the family care provider and sponsoring agency
document in writing that the relevant subject party is no longer residing in
the family care home.
(i) Standards for Justice Center determinations are in accordance with Part 701 of this Title.
(j) Documentation and confidentiality requirements.
(1) Only the authorized
party or his or her designee and the relevant subject party shall have access
to criminal history record information or the summary of criminal history
record information received by an agency, sponsoring agency or provider of
services. However, criminal history record information or the summary may be
disclosed by the authorized party to other parties who are directly
participating in any decision in regard to such subject party.
(i) The authorized party and any other party
to whom such criminal history record information or summary of the criminal
history record information is disclosed shall be subject to the confidentiality
requirements and other provisions of this section and section
845-b of the
Executive Law relating to access to the criminal history record information and
the summary.
(ii) Any party who
willfully permits the release of any confidential criminal history record
information or the summary of the criminal history record information obtained
from a criminal history record check pursuant to this section to parties not
permitted by section
845-b of the
Executive Law to receive such information shall be guilty of a
misdemeanor.
(2) Each
agency, sponsoring agency and provider of services subject to the provisions of
this Part shall establish, maintain, and keep current, the following records:
(i) a current roster of employees and
volunteers who are subject parties. The roster shall indicate the staffing
assignment (employees only), the date that the criminal history record check
was requested, and the date that the subject party was hired or assumed duties
which involved regular and substantial unsupervised or unrestricted physical
contact with people receiving services;
(ii) a current roster of family care
providers and parties age 18 years and over who reside in each family care
home, and whether the provider or party was the subject of a criminal history
record check;
(iii) a list of
parties whom have had a subject party change in status (e.g.,
separation from service) pursuant to subdivision (l) of this section within the
past 12 months. The list shall indicate the date the criminal history record
check was requested and the date OPWDD or the Justice Center was notified that
the party was no longer a subject party;
(iv) for each subject party concerning whom a
request for a criminal history record check was submitted, a copy of his or her
signed informed consent form, a copy of the form submitted by the authorized
party to request the criminal history record check, the notification of a
change in subject party status (if applicable), and the results of the criminal
history record check and determination of OPWDD or the Justice Center; unless
the agency, sponsoring agency or provider of services has disposed of such
records pursuant to paragraph (3) or (4) of this subdivision;
(v) a record identifying whether such subject
parties were:
(a) hired or assumed duties
involving regular and substantial unsupervised or unrestricted physical contact
with people receiving services; or
(b) certified or recertified as a family care
provider; or
(c) approved or
reapproved as a family care respite/substitute provider; or
(d) permitted to reside in the family care
home or family care respite/substitute home;
(vi) for employees, the position held by the
employee; and
(vii) any other
information necessary to determine compliance with this section as may be
specified by OPWDD or the Justice Center.
(3) The agency, sponsoring agency or provider
of services shall maintain such information and shall not dispose of such
information prior to six years after the party ceases to be a subject party
(e.g., is no longer an employee, volunteer or family care
provider), unless otherwise directed to do so by OPWDD or the Justice
Center.
(4) If directed to do so by
OPWDD or the Justice Center, the agency, sponsoring agency or provider of
services shall dispose of information and/or any other information related to
criminal history record checks as directed.
(5) Disposal of the summary of the criminal
history record information and the OPWDD or Justice Center determinations shall
be performed in a manner that ensures the privacy and confidentiality of the
information.
(k) Criminal charges or convictions subsequent to the initial criminal history record check.
(1) Upon
receiving notification from DCJS that, subsequent to the initial check, there
is a conviction or pending criminal charge against a current employee,
volunteer, family care provider or party living in the home of a family care
provider; the Justice Center will notify the agency, sponsoring agency or
provider of services of the conviction or pending charge.
(2) Upon receiving notification regarding the
conviction or pending charge, or upon becoming aware of a conviction or pending
charge subsequent to the initial criminal history record check, the agency,
sponsoring agency or provider of services shall:
(i) conduct a safety assessment of the
service environment and take all appropriate steps to protect the health and
safety of the persons receiving services. The safety assessment and steps shall
be documented; and
(ii) monitor the
outcome of any pending charge, if the subject party continues to have regular
and substantial unsupervised or unrestricted physical contact with people
receiving services.
(l) Required notifications.
No later than 14 days after the event, the agency, sponsoring agency or provider of services shall notify the Justice Center, in the form, format and manner required by the Justice Center, when a party ceases to be a subject party. This occurs when:
(1)
someone who is an employee or volunteer, concerning whom a criminal history
record check was requested is separated from agency or provider service or is
permanently assigned to a position which does not involve regular and
substantial unsupervised or unrestricted physical contact with persons
receiving services. In the case of employees and volunteers who work seasonally
(e.g., during summers only) or have a scheduled break in
service of up to one year, the subject party shall not cease to be a subject
party during the break in service; or
(2) someone who was an applicant to be an
employee or volunteer withdraws their application or is no longer being
considered for the position for which the subject party applied, if a criminal
history record check was requested concerning the applicant; or
(3) a family care provider or prospective
family care provider is denied or relinquishes an operating certificate, if a
criminal history record check was requested concerning the provider and/or a
party who was to reside or resided in the family care home. The notification
shall include the names and other identifying information of the provider and
all parties living in the family care home concerning whom a criminal history
record check was conducted; or
(4)
a party who lives in the home of a family care provider moves out of the home,
or does not move into the home, if a criminal history record check was
conducted concerning the subject party.
(m) [Reserved]
(n) Registered providers of services (registered providers).
Providers of services specified in this subdivision shall submit an application to OPWDD to become registered providers for purposes related to the criminal history record check process and other background check processes required pursuant to section 633.24 of this Part; and for the purpose of facilitating agency compliance with Part 624 of this Title.
(1) Providers of services shall submit an
application for registered provider status if:
(i) the provider contracts with (or will
contract with) OPWDD (or an entity on behalf of OPWDD) or an agency which
provides services certified by OPWDD or HCBS waiver services (or with an entity
on behalf of the agency);
(ii)
either:
(a) the provider supplies:
(1) transportation services that are provided
by employees who have or will have regular and substantial unsupervised or
unrestricted physical contact; and/or
(2) staff, other than the provider himself or
herself, who have or will have regular and substantial unsupervised or
unrestricted physical contact with people receiving services; or
(b) the provider subcontracts for
transportation services and/or staff as described in clause
(a) of this subparagraph in order to supply such services or
staff to OPWDD and/or agencies which provide services certified by OPWDD or
HCBS waiver services;
(iii) the provider of services is not a
professional corporation or other entity whose function is the provision of
services as opposed to the provision of staff; and
(iv) the provider itself does not provide any
of the following services:
(a) residential or
non-residential services certified by OPWDD;
(b) HCBS waiver services;
(c) family support services;
(d) individual support services; or
(e) Medicaid service coordination.
(2) Application for
registered provider status shall be in the form and format specified by the
commissioner, and shall include the provider's agreement to terms established
by OPWDD.
(3) OPWDD may revoke
registered provider status if the provider of services is not in compliance
with the requirements of this section and/or is not in compliance with the
terms established by OPWDD.
(4)
Responsibilities of the agency or provider of services (including DDSOOs)
concerning registered providers. The following requirements apply to an agency
or provider of services that contracts with a registered provider (or when an
entity contracts with the registered provider on behalf of the agency or
DDSOO).
(i) The agency or provider of services
shall develop and implement written policies and procedures to monitor whether
the registered provider is in compliance with the requirements of this section,
section 633.24 and terms established by
OPWDD for the approval of a registered provider. At a minimum, the policies and
procedures shall require that the agency or provider of services verify that
the contractor has attained registered provider status initially and, on at
least a quarterly basis, that the contractor maintains registered provider
status. The requirement for policies and procedures applies regardless of
whether the registered provider also contracts with OPWDD, or an entity on
behalf of OPWDD. If an entity contracts with the registered provider on behalf
of an agency or provider of services, the entity and agency (or provider of
services) shall both develop and implement such written policies and
procedures.
(ii) If the agency or
provider of services becomes aware that the registered provider is out of
compliance with the requirements of this section, section
633.24 or any term established by
OPWDD for the approval of a registered provider, the agency or provider of
services shall notify OPWDD by the close of the fifth working day after it
becomes aware of the non-compliance.
(5) Notwithstanding any other requirement of
this Part, when a registered provider meeting the criteria in clause
(1)(ii)(b) of this subdivision subcontracts with another
registered provider, only one of these registered providers shall assume
responsibility for compliance with the requirements of this section and section
633.24 of this Part
(e.g., submitting requests for background checks). This avoids
duplicate requests concerning the same subject party and other duplicative
compliance activities.
(o) Contracting restrictions.
Agencies providing certified services and HCBS waiver services may contract with providers of services only if the provider is:
(1) a registered provider;
or
(2) an agency providing services
which are certified, authorized (HCBS waiver services), or funded through
contract by OPWDD as family support services, individual support services, or
Medicaid service coordination and the contractor is complying with the
requirements of this section with regard to the employees utilized under
contract; or
(3) a contractor that
is not eligible for registered provider status, including but not limited to:
(i) a professional corporation or other
entity whose function is the provision of services as opposed to the provision
of staff; or
(ii) a contractor who
is a sole party; or
(iii) a
contractor who supplies transportation services or staff that does not have
employees who have or will have regular and substantial unsupervised or
unrestricted physical contact with people receiving services;
(4) an entity which contracts with
registered providers on behalf of the agency.
(p) Agencies and providers of services shall comply with section 16.33 of the Mental Hygiene Law and section 845-b of the Executive Law.
Disclaimer: These regulations may not be the most recent version. New York may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
