N.Y. Comp. Codes R. & Regs. tit. 14 § 633.5

Current through Register Vol. 46, No. 45, November 2, 2024

Section 633.5 - Applicant backgrounds

(a) The agency/facility, including the sponsoring agency for a family care home, shall establish and maintain written personnel policies/procedures relative to obtaining, reviewing, evaluating and verifying the backgrounds of and information supplied by applicants for employment or voluntary work either to deliver services at a facility or to deliver services operated, authorized or funded by OPWDD; or applicants for certification as a family care provider. Policies and procedures are subject to and must be consistent with any applicable collective bargaining agreement(s), provisions of the Civil Service Law, and/or other relevant laws.

(b) In accordance with the agency's policies/procedures, the application process for employees, volunteers (see section 633.99 of this Part) or prospective family care providers shall include, but need not be limited to, the following requirements:

(1) A statement or summary of the applicant's history of employment or related experience.

(i) Parties who are applying to be an employee or volunteer shall supply information about prior employment and volunteer history in the form and format specified by OPWDD to facilitate checks of abuse history by OPWDD in conformance with section 16.34 of the Mental Hygiene Law. This includes:

(a) complete employment/volunteer history for the prior seven years; and

(b) employment/volunteer history at any time for positions where the applicant provided services for individuals with developmental disabilities.

(ii) To the extent relevant information was not provided pursuant to subparagraph (i) of this paragraph, every effort shall be made to obtain the following information either on a written application or during the interview process:

(a) any prior or current experience as an employee, volunteer, or certified provider with OPWDD; any other State agency; or any other provider of human services; and

(b) any prior or current experience in direct care work relevant to the position for which an application is being made.

(2) Names, addresses and, where available, telephone numbers of references who can verify the applicant's history of employment or related experience, work record and qualifications.

(3) Names, addresses and telephone numbers of at least two personal references, other than relatives, who can attest to the applicant's character, reputation and personal qualifications.

(4) A statement or summary of the applicant's education showing, at a minimum, the highest grade level or degree attained, any additional credits earned, and any relevant education or training regarding care of or services to individuals with developmental disabilities. At a minimum the names and addresses of schools and other educational institutions that can verify that the applicant meets the minimum qualifications for the job for which application is being made shall be provided.

(5) Information indicating special skills or completed training/courses which might aid in the performance of duties of the position for which the application is being made. Such information shall include any relevant professional license held by the applicant.

(6) A sworn statement by the applicant, indicating whether or not to the best of his or her knowledge, he or she has ever been convicted of a misdemeanor or a felony in any jurisdiction, and whether there is any pending criminal charge against the applicant. The statement shall include a description of all convictions and pending criminal charges.

(7) A statement by an applicant for a position for which driving is required, indicating whether he or she has ever been convicted of a motor vehicle moving violation, including, but not limited to, alcohol and drug-related offenses. The statement must also indicate any suspension, revocation, or occurrence involving harm to human beings or property while driving.

(8) A statement that all information provided on the application is true.

(9) An application form or other appropriate form that informs the applicant that a false answer to any question in the application process is grounds for immediate dismissal.

(c)Background check requirements.

(1) Check of the register of substantiated category one cases of abuse or neglect, also known as the Staff Exclusion List (SEL). Agencies shall request an SEL check concerning all applicants who are required to be checked pursuant to section 495 of the Social Services Law and section 633.24 of this Part.

(2) Criminal history record check. Agencies shall request a criminal history record check for applicants who are required to be checked pursuant to section 16.33 of the Mental Hygiene Law and section 633.22 of this Part.

(3) Check of the Statewide Central Register of Child Abuse and Maltreatment (SCR). Agencies shall request an SCR check for applicants who are required, and for applicants who are authorized, to be checked pursuant to section 424-a of the Social Services Law and section 633.24 of this Part.

(4) MHL 16.34 check. Agencies shall submit a request for an MHL 16.34 check to OPWDD for applicants who are required to be checked pursuant to section 16.34 of the Mental Hygiene Law and section 633.24 of this Part.

(d) Personnel records shall:

(1) be maintained at a location of the agency's/facility's own choosing that ensures the confidentiality of such records;

(2) include application information as required by the agency's/facility's policies and procedures and subdivision (b) of this section;

(3) include a copy or documented verification of an employee's, volunteer's or family care provider's academic credential and/or current certification or licensure, if such an academic credential, certification or licensure is a condition of employment or participation; and

(4) include documented confirmation of an applicant's last place of employment or related experience.

(e) The agency shall not dispose of personnel records prior to six years after the employee or volunteer separates from service or a family care provider no longer holds an operating certificate. Such disposal shall be performed in a manner that ensures the privacy and confidentiality of the information.

(1) Any other requirement in law or regulation to maintain records for a longer period of time shall be controlling.

(2) Any other requirement in law or regulation to dispose of records prior to the period of time specified in this subdivision shall be controlling.

N.Y. Comp. Codes R. & Regs. Tit. 14 § 633.5

Amended New York State Register December 2, 2015/Volume XXXVII, Issue 48, eff.12/2/2015

Amended New York State Register September 21, 2016/Volume XXXVIII, Issue 38, eff. 9/21/2016