New York Codes, Rules and Regulations
Title 14 - DEPARTMENT OF MENTAL HYGIENE
Chapter XXI - OFFICE OF ALCOHOLISM AND SUBSTANCE ABUSE SERVICES
Part 805 - Criminal History Information Reviews
Section 805.10 - Responsibilities of providers of services
Universal Citation: 14 NY Comp Codes Rules and Regs ยง 805.10
Current through Register Vol. 46, No. 39, September 25, 2024
(a) Recordkeeping.
(1) Each provider of services subject to the
provisions of this Part shall establish, maintain, and keep current, a record
of:
(i) a current roster of employees and list
of staffing assignments;
(ii) a
current roster of volunteers;
(iii)
names of all persons for whom a request for a criminal history information
check was submitted to the office, identifying whether the person was applying
for an employment, contractor or volunteer position;
(iv) for each such name identified, a copy of
his or her signed informed consent form required pursuant to section
805.5
of this Part, and the results of the criminal history information check and
determination of the office with regard to the employment, contract or
volunteer service of the individual; and
(v) a record identifying whether such
individual was hired, contracted with or permitted to engage in volunteer
services, what position he or she holds, and any limitations placed on such
employment or service.
(2) Such record shall be maintained in a
manner that ensures the security of the information contained therein, but
which also assures the office of immediate and unrestricted access to such
information upon its request, for the purpose of monitoring compliance with
this Part.
(b) Notifications.
A provider of services must immediately, but no later than 14 days after the event, inform the office, and document that such notification occurred, when:
(1) any prospective
employee or volunteer who is subject to criminal history information check in
accordance with this section has withdrawn the application or is no longer
being considered for the position for which the person applied; or
(2) a hiring decision has been made with
respect to any prospective employee or volunteer who was subject to, and
underwent, a criminal history information check in accordance with this
section; and/or
(3) any employee or
volunteer who was subject to, and underwent, a criminal history information
check in accordance with this section is no longer employed by or volunteering
at the program or facility.
(c) Retention and disposal of information.
(1) Each provider of
services 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 which the person ceases to be
a subject individual, as defined in section
805.4 of
this Part (i.e., the person is no longer employed in, or
volunteers as, a position that involves regular and substantial contact with
clients), unless otherwise directed by the office.
(2) If directed to do so by the office, a
provider of services subject to this Part shall dispose of the summary of the
criminal history information and/or any other information related to criminal
background checks in accordance with such direction.
(3) Disposal of criminal history information
and office determinations shall be performed in a manner that ensures the
confidentiality of the information.
(4) If a subject individual withdraws from
the application process, without prejudice, at any time regardless of whether
he or she, the office or the provider has reviewed his or her criminal history
information, provided that upon such withdrawal from the application process,
any fingerprints and criminal history information received by the provider
shall be destroyed.
(d) Policies and procedures.
Each provider of services subject to the provisions of this Part shall have policies and procedures designed to implement the provisions of this Part. Amendment of existing personnel and volunteer policies and procedures to reflect these new requirements may be deemed sufficient compliance with this subdivision.
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