Required Background Checks for Providers in 2019

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Background Check Requirements

•

Staff Exclusion List (SEL) Check

•

Criminal Background Check (CBC)

•

Authorized Person Responsibilities

•

Types of CBC Determinations

•

Temporary Approval

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Staff Exclusion List (Justice Center)

•

Criminal Background Check (Justice Center)

Please 

n

ote:  There are other required pre-employment checks

that are not processed by the Justice Center:

o

Statewide Central Register (SCR) (completed by OCFS) &

o

Mental Hygiene Law § 16.34 (completed by OPWDD)

•

Applicants for positions that will have regular and

substantial contact with individuals receiving services

•

These potential employees or volunteers may not be

permitted to have unsupervised contact with

individuals receiving services until the results of the

checks are received

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To conduct SEL and CBC checks, an Authorized Person

must be designated

•

Authorized Person Designation Form - Staff Exclusion List (SEL)

•

Authorized Person Designation and Sworn Statement Form for CBC

•

The Authorized Person Designation Forms can be found

on the SEL and CBC Guidance & Resources pages of

the Justice Center’s website

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Should be submitted when appropriate

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Providers should keep the Justice Center

updated with correct Authorized Person

information

•

Authorized Person Revocation Form

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(

S

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)

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Contains the names of individuals found responsible

for serious or repeated acts of abuse or neglect

•

Individuals on the SEL are prohibited from being

hired by Providers for positions that involve regular

and substantial contact with individuals receiving

services

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This is the first check that Providers must

complete for Applicants

•

Providers must conduct an SEL check before

registering Applicant for fingerprinting

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Complete and submit SEL Authorized Person

Designation Form (

see link on slide 6

)

•

Authorized Person will receive email with link to SEL

online web form and instructions

•

If an Authorized Person has any difficulty with SEL

check, email 

SELcheck@justicecenter.ny.gov

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Each SEL check request submitted using the online

web form generates a confirmation number

•

A response will be sent to the Authorized Person

within one business day from the date the SEL check

was submitted

o

Responses will be from

VPCR.Notification@justicecenter.ny.gov

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A Social Security Number (SSN) or Alien Registration

Number (ARN) is required to conduct a SEL check

request online

•

If an Applicant has not been issued a SSN or ARN,

email 

SELcheck@justicecenter.ny.gov

to initiate the

manual SEL check request process

See the SEL Guidance & Resource page

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Providers 

may

 submit batch SEL checks with up to

100 

Applicants

 at one time

•

Staff Exclusion List Batch Check Template

•

Authorized Persons should use this template to

submit multiple Applicants to be checked

against the SEL

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Who Must be Printed?

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Who Shall Request a CBC?

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Responsibilities of Authorized Person

•

Types of CBC Determinations

•

Subsequent Arrests

•

Temporarily Approved Applicants

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Subject Individuals

•

Any person to be employed or otherwise

utilized by a Provider who will have regular and

substantial unsupervised or unrestricted

physical contact with individuals receiving

services

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Each Provider must have an Authorized Person

to request a criminal background check

•

Complete and submit a CBC Authorized

Person Designation Form (

see link on slide 6

)

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1.

Check SEL

2.

Provide Applicant certain information

3.

Register the Applicant for fingerprinting

4.

Maintain certain information

5.

Update employment status in CBC system

6.

Policy to implement the regulation

1

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As discussed in previous slides – this check must

be completed first

Request for Staff Exclusion List Check Webform

(Online Request)

2

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Ensure the Applicant completes the Applicant

Consent Form for Fingerprinting

–

14 NYCRR Part 701.5(d)(6)(iii)

•

Provide the Personal Criminal History

Information Review Form

–

14 NYCRR Part 701.5(6)(iii)(a)

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3

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Step 1 - Go to Pre-Employment Checks at bottom

of Justice Center’s website homepage, click

Get More Information

Step 2 – Click on 

Learn More

, then CBC Guidance &

Resources, then All CBC Documents & Forms

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•

Complete the Fingerprint Applicant Info Sheet

•

Fingerprint Applicant Info Sheet

Authorized Persons may use this document to collect

required information to register an applicant for

a criminal background check

•

Register for Fingerprinting with IdentoGO online or

by calling 855 845-7434

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:

Fingerprint Registration Guidance for OMH Providers

Guidance to OMH Providers on the fingerprint

registration process

OMH Link to IdentoGO

Link to IdentoGO: used by the Authorized Person for

the purpose of registering Applicants for

fingerprinting appointments

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:

Fingerprint Registration Guidance for OPWDD Providers

Guidance to OPWDD Providers on the fingerprint

registration process

OPWDD Link to IdentoGO

Link to IdentoGO: used by the Authorized Person from

OPWDD programs for registering Applicants for

fingerprinting appointments

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:

Fingerprint Registration Guidance for OCFS Providers

Guidance for OCFS Providers on the fingerprint

registration process

OCFS Link to IdentoGO

Used by the Authorized Person from OCFS programs

for registering Applicants for fingerprinting

appointments

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The CBC request must include a summary of the

Applicant’s specific job duties including how the

Applicant will have regular and substantial

unsupervised or unrestricted physical contact with

individuals receiving services  

14 NYCRR Part 701.5(d)(2)(ii)

4

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- 14 NYCRR Part 701.8(a)(1)(ii)

•

Maintain for six years after the subject individual is no

longer employed or volunteers

   - 14 NYCRR Part 701.8(c)(1)

•

Maintain subsequent arrest notifications and related

communications and documentation

5

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Authorized Person

must update the

employment status

of subject individuals

with 14 days of any

change status

14 NYCRR Part 701.8(a)(1)(ii

)

6

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•

Each Provider shall have a policy designed to

implement the provisions of the Justice Center’s

CBC regulation

•

The Justice Center has prepared a 

Draft

Sample CBC Policy and Procedure

for

Providers’ consideration.

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1.

Not Denied: Non-Ident

2.

Not Denied: No Criminal History

3.

Not Denied: Criminal History

4.

Not Denied:  Insufficient Court Supplied Information

5.

Not Denied: Not Held in Abeyance

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6.  

Held in Abeyance

7.

Denied

8.

None: Being Processed

9.

Criminal History

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•

Applicant was never fingerprinted, civilly or criminally

OR

•

Applicant was fingerprinted but has no reportable

criminal history

Applicants with these determinations may be considered

for employment in the direct care position

•

Authorized Person receives summary of NYS

criminal history

•

FBI prohibits the Justice Center from sharing

criminal history from outside NYS

•

The Applicant may be considered for employment

in the direct care position

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The Applicant may be considered for employment in the

direct care position

N

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Applicant may be considered for employment in the direct care

position

N

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D

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N

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•

Felony offense, the application will be held in abeyance

pending the outcome of the charge

•

Misdemeanor offense, the application may be held in

abeyance pending the outcome of the charge

•

Applicants held in abeyance cannot be hired in a direct

care position while the charges are pending

H

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c

e

•

If Provider remains interested in hiring the Applicant, the

court disposition must be submitted to the CBC Unit

when the charges have been resolved

•

The Justice Center requires that the Provider send the

court disposition to the CBC Unit

•

If not interested in hiring, the employment status must

be updated to Application Withdrawn

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C

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d

•

The Provider will be notified of the decision via a

correspondence uploaded into the CBC system

D

e

n

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d

•

If the Provider receives a “denial” determination, the

law requires the 

Provider

 to notify the Applicant that

employment was denied and that the criminal history

was the basis of the denial

•

Upon 

written

 request from the Applicant, the Provider

must furnish a copy of the reported criminal history

summary, not the CBC Unit determination letter

D

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c

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t

’

d

•

CBC Unit is considering directing the Provider to deny

employment based on an Applicant’s criminal history and

we are requesting 

evidence of rehabilitation 

directly from

the Applicant

OR

•

Applicant’s criminal history record includes a criminal

charge for which the CBC Unit cannot determine the

disposition and we have reached out to the Applicant to

provide disposition information on the charges

N

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n

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:

B

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g

P

r

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c

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s

s

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d

•

Determination has not yet been issued on the

Applicant’s suitability for employment

•

Provider may not hire the Applicant in the position for

which the CBC was requested

•

Provider may only move forward with a hiring decision

if a determination has been issued for the Applicant

N

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B

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P

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’

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•

If the CBC Unit is considering directing the Provider to

deny employment based on an Applicant’s criminal

history, we must request 

evidence of rehabilitation

directly from the Applicant

•

This request is sent via US Postal Service Certified

Mail to the address provided for the Applicant during

the fingerprinting registration process

C

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H

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•

Certified mailing requires a signature for delivery

•

If the Applicant is not available to sign for the letter,

the Post Office will leave a notice advising the

intended recipient to arrange for delivery or pick up

of the letter

•

If the letter is not claimed in a timely manner, the

Post Office will return the letter to the CBC Unit

C

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d

If the Applicant does not claim the Certified letter, 

or

the

CBC Unit cannot determine that it has been

received by the Applicant, the Authorized Person will

receive an email advising that the Applicant’s

reportable criminal history will be uploaded to the CBC

system for review

C

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a

l

H

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t

o

r

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c

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’

d

The Authorized Person must review the criminal history

and advise the CBC Unit via email that:

1.

 Applicant’s criminal history has been reviewed

2.

 Provider is still interested in hiring the Applicant

3.

 Applicant’s address is accurate

4.

 Request that the letter be resent to the Applicant

C

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H

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t

o

r

y

c

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t

’

d

•

When notified of a subsequent arrest, the Provider

shall take appropriate action to protect the health,

safety, and welfare of individuals receiving services

and document such action

•

Applicants in Applied status over three months will

not receive arrest notices until the Provider confirms

their current employment status

S

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14 NYCRR Part 701.8(c)(1)

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•

Continue to update Employment Status in the CBC

system

•

Applicants in Applied status over three months will

not receive arrest notices until the Provider

confirms their current employment status

•

How can you keep up-to-date?

–

Run a Provider Compliance Report in CBC

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Providers may conditionally hire pending the results of

the CBC, if they have a policy which provides that the

subject individual may not be alone with individuals

receiving services until the CBC results are received

14 NYCRR Part 701.5(f)

The Providers’ policy shall require that temporarily

approved subject individuals assigned to personal care

activities which require privacy for 

individuals

 receiving

services are:

1.

Supervised by someone with management or oversight

authority or someone deemed qualified to provide oversight

2.

The supervisor is always present in the same room with the

subject individual while such personal care activities are

occurring

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14 NYCRR Part 701.5(f)(

1

)

The Provider shall prevent any person with a conviction

or pending charge for any of the following from being

temporarily approved:

•

F

elony sex offense

•

F

elony within the past ten years involving violence

•

A

bandoning a child and/or endangering the welfare of an

incompetent, physically disabled or vulnerable elderly person

•

A

ny comparable offense in any other jurisdiction

Check question #7 on Applicant Consent Form (slide 25)

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Applicants with a pending felony charge, 

other than

one specified in the last slide, or any pending

misdemeanor charge, may be temporarily approved,

BUT

 the Provider must document its reasons for

granting temporary approval, including an explanation

as to why such action will not place individuals

receiving services at risk of harm

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•

Upcoming changes to the registration process on the

IdentoGO website to ensure that required SEL

checks are completed prior to fingerprint registration

(Summer 2019)

•

Applicants are being notified when they are denied

employment by the Justice Center

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Phone: 518 549-0200

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Email: 

cbc@justicecenter.ny.gov

Phone: 518 549-0361

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