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New York Healthcare Background Check

The policy applies to This policy applies specifically to Health Homes (HH) and Health Home Care Management Agencies (CMA) that provide services to members who are younger than 21 years old.

The purpose

This policy is to set up guidelines for conducting a mandatory background check on Health Home Care Managers and CMA employees to ensure that employees are protected who are younger than 21 and help to ensure their security. In addition, chapter 57 of the Laws of 2018 includes new statute-based requirements regarding Criminal History Record Checks (CHRC), Mandated Reporter requirements, and Statewide Central Register (SCR) Database checks.


Health Home Care Managers, other Health Home employees, and their relevant agency employees must obtain 3 (3) mandatory clearances.

  • Personnel Exclusion List (SEL) through the NYS Justice Center for the Protection of People with Special Needs (Justice Center)
    • NYS Social Services Law 495
    • For HH and CMA employees who will be in regular and significant contact with those younger than 21 years old.
  • Criminal History Record Check (CHRC) through NYS Department of Health (DOH)
    • NYS Public Health Law Article 28-E
    • Unlicensed HH as well as CMA employees who offer direct care for members

Under the age of 21 or cannot access their belongings and property.

  • Statewide Central Register Database Check (SCR) through the Office of Children and Family Services (OCFS)
    • NYS Social Service Law 424-a
    • To HH as well as CMA employees who could be eligible for regular and significant contact with members who are who are younger than 21 years old.

Note: Please be aware that your employer will be accountable for conducting the background checks.

Health Homes are responsible for checking that the CMAs they contract with have met all the required background check requirements as outlined below. In addition, health Homes must have policies and procedures outlining how to conduct background check requirements, including the steps necessary to ensure compliance, such as documentation and training. Learn more about the New York healthcare background check.

Health Home Care Managers and other relevant Health Home employees and their related agency employees must be required to report on maltreatment and abuse of children as per NYS Social Services Law 413.

Specific requirements for each of these tests are listed below.

Staff Exclusion List (SEL) through NYS Justice Center

The SEL is an official Statewide Register maintained by the NYS Justice Center. The SEL includes the names of those who were found to be accountable for repeated or severe incidents of abuse or neglect. The SEL screening is mandatory for new employees who regularly and frequently interact with people younger than 21. The SEL must be completed before other mandatory background checks for practical reasons.

* The SEL test is free and mandatory for all applicants to Health Home Care Managers, other Health Home employees, and other appropriate employees of agencies who need an SCR Databank Check. Since the results of an SEL check cannot be transferred between agencies, the check must be completed for all new employees regardless of whether they previously completed it.

The SEL Check Procedure:

  • Health Home Care Managers and other Health Home employees are responsible for registering an Authorized Person at the NYS Justice Center and meeting any other requirements necessary to ensure they have completed the required SEL check.
  • The authorized person(s) is the person on each agency's staff that can request online SEL tests and receive the results by email.
  • Employers must keep evidence of the results for every SEL test. Criminal History Record Check (CHRC) through the NYS Department of Health

It is a Criminal History Record Check (CHRC), a fingerprint-based nationwide FBI Criminal History Record Check. The checks are submitted and processed by the Criminal History Record Check (CHR) application that is part of the Health Commerce System (HCS).

Beginning April 1, 2018, Article 28-E of the Public Health Law requires a CHRC to be completed for prospective employees who provide direct care to patients less than 21 years old, including Health Home Care Managers and other relevant Health Home employees. In addition, the CHRC is required for all employees responsible for direct care or supervision. Health Home Care Managers and others who are eligible Health Home employees who previously completed Criminal Background Checks (CBC) done by the NYS Justice Center are required to obtain the CHRC because the prior checks are not transferrable, and the CBC is not in compliance with the standards required by the CHRC.

Titles listed below are exempt from CHRC conditions if they're operating within the scope of their title:

* Professionals who are licensed pursuant to Title 8 of the NYS Education Law


* Nursing home administrators who are licensed or security guards and students in a course that leads to a professional certification under Title 8 are not subject to the CHRC

Workers operate within their job's scope when their license is specifically required to perform the job. However, if the Title 8 licensee is not working within their job title, they remain under the CHRC.

Authorized Personnes

  • Individual(s) in the "Administrator" job are responsible for keeping CHRC "Authorized Personnel" (AP) access. When you open the CHRC application, choose "Manage AP" in the toolbar or click the "Manage Authorized Persons" quick link to remove or add a CHRC "Authorized Person." CHRC AP access should routinely be monitored through the individual(s) in the "Administrator" job for ongoing conformance.
  • Any identified AP can be called by the Department about the condition of an employee. While providers are highly recommended to assign more than one person to serve as backup reasons, they are not permitted to have more than five APs assigned.
  • Only those designated as a CHRC "Authorized Individual" can reach CHRC to receive information, status updates, or results.
  • Authorized Personnel should monitor the Document Viewer within the CHRC application daily to ensure timely delivery and examination of important documents, such as but not only Live Scan Requests, notification letters, and arrest notices after hiring.


The provider must immediately and not more than 30 days after the event informs the Department at the time:

A person has to submit to CHRC through 103 submissions or

An individual is no more subject to CHRC under the 105-termination. The term "termination" refers to situations where the employee's status changes and they are no longer subject to CHRC or are no longer working for the company. The company is not assessing the death of an employee or an employee's candidature.

After receiving the request for fingerprints (LiveScan), An appointment must be made so that the worker can be fingerprinted together with the payment method.

It is the CHRC Process:

Employers of persons covered by the law are accountable for asking for and processing checks.

  • Employers should ensure that they have monitoring and evaluation of their employees.

Temporary employees are starting July 1, 2019.

  • These are employees who have CHRCs that are in the process of being approved.
  • Following Chapter 57 of the Laws of 2019, which took effect on July 1, 2019, Temporary employees won't be able to give direct care that is not under the supervision of an employee whose background check has been successful or completed by employees exempt from supervision.
  • The process will be expedited if an employee becomes employed by a different agency requiring CHRC. The CHRC process will be speeded up after that direct employer (the Health Home or Care Management Agency) sends in their request for a CHRC. The direct employer won't receive a Live-Scan Request Form if the DOH/CHRC has assessed an applicant. They will be provided with an official letter of decision regarding work eligibility. There is no extra cost in this instance, and speedy checks typically are processed within just one (1) or two (2) months.
  • There is a cost associated with the CHRC (2020, the total cost of CHRC costs $102.00. It is important to note that this price is subject to change). The employer is responsible for paying for these costs. These costs are statutorily banned from being passed on to employees.
  • Certain offenses could legally prohibit a person from being employed under Executive Law 845-b (5)(a). Suppose the applicant has one of these convictions. In that case, the applicant will only be accepted for employment if the DOH decides, at their discretion, that the approval of an application ... "will be in no way detrimental to the safety, health, or well-being of the recipients of this assistance." The DOH has a high-quality scrutiny standard, and the candidate must provide substantial details to justify a denial of eligibility for employment. Suppose the potential employee's convictions involve reasons other than those listed above. In that case, the DOH "may decide to approve or deny the potential employee's eligibility to be employed by the service provider following Article 23-A of the law on corrections." Check out the Executive Law Section. SS 845-b (5) (b). The agency will receive legal Determination Letters based on the legal examination of NYS and FBI criminal records.
  • Letters of notification samples that are favorable to the applicant and that are only sent out to the health service provider are:
  1. No Hits, No violations letter is issued when the Department of Criminal Justice Services (DCJS) and FBI declare that the applicant has no criminal record whatsoever.
  2. Legal no conviction, no-hit: letter issued upon receipt of a criminal record that identifies convictions or charges from DCJS or the FBI. DCJS and the FBI that, if investigated and a legal decision, are not reported as convictions for any crime, felony, or misdemeanor (for example, violations of laws, infractions, sealed records, family court records, or military non-judicial sanctions).
  3. Non-Denial from DOH: (a) letter issued when the applicant has provided enough rehabilitation material before an initial attorney review to lessen the impact of an unlawfully disqualifying conviction.
  4. DOH Non-Denial (b)letter issued following the application of Article 23-A of the NYS Correction Law and initial attorney review of applicant's records and a legal decision made to conclude that there is there was no direct connection or unreasonable risk to the applicant.

The granting of eligibility for employment based on criminal convictions (for instance, class U Misdemeanor DWI).

  1. Open charges/not a beyance letter issued when the applicant is facing an unresolved minor misdemeanor issue that does not pertain to the employment proposed in a health-care setting or poses a risk to patients. Risk to patients, or when the applicant has been granted an adjournment to contemplate dismissal concerning unresolved charges.
  2. The last denial (a) letter is issued following the issue of a pending denial letter if the applicant has submitted enough rehabilitation material to lessen the impact of the consequences of a statutorily disqualifying conviction.
  3. Final denial (b) letter issued following the issue of a pending denial notice when the applicant has submitted enough rehabilitation documents to reduce the severity of the possibility of disqualifying a conviction at a discretionary level.

Note, letters 2 through #5 above will be issued after the criminal history screening is completed and an analysis of comparative law is conducted and doesn't require a response from the applicant, which leaves the final decision on hiring to the health provider. Letters #6 and 7 communicate favorable final results following the submission of rehabilitation data. They are issued after an attorney reviews the applicant's complete rehabilitation report and a thorough DOH investigation into the specifics of the crime.


Examples of notification letters that are not favorable to the patient and addressed to the health provider and the applicant. They include the following:

  1. Denial in the process of being denied to a provider or pending denial to employees letters sent following the review by an attorney of a perfected rap-sheet when the applicant has misdemeanor or convictions for a felony upon legal review has either a discretionary or statutorily disqualifying conviction. The agency also requests to submit rehabilitation paperwork by the person applying.
  2. Final rejection (a) letter to provider/employee issued after the issue of a denial letter pending in cases where the applicant hasn't provided the necessary rehabilitation documents to reduce the severity of a statutorily invalidating conviction.
  3. Final rejection (b)letter to provider/employee issued in response to the issuance of a denial notice when the applicant hasn't provided the required rehabilitation material to mitigate a discretionarily disqualifying conviction.
  4. Hold in Abeyanceletter to the employer or provider issued when an applicant has a pending conviction for a felony or is a misdemeanor that pertains to the proposed job in a health care facility or poses a risk to those employed within Health Homes.

In addition, after the DOH issue a denial notice that is pending to the employee and provider, the final determination of eligibility for employment can be given by DOH lawyers by way of an official denial (a) or final refusal (b) letters (letters 6-7)) that are referred to above.

12. A 12th type of correspondence called a Charge notification-after-hire letter regarding a subsequent arrest is only sent to the health care provider. When subsequent arrests result in difficult situations, DOH attorneys may also contact the employer to explain the charges to the employer, which allows the employer to make a prompt decision regarding risk management for the ongoing employment.

CHRCs' results must be kept secret unless they are provided to an authorized person. Access to the results should be restricted to employees, the provider and the designated designee, any other persons involved in hiring decisions, and those working for the Department of Labor. Criminal history record information should remain completely confidential and kept in a separate place that only authorized individuals can access.


  • Note that when the Department issue a denial of work eligibility as an official refusal (a) or final denial (b) letter (letters 10 and 11) in the above reference or when an employee is no more being employed at an institution, the employee has to be terminated on their CHRC application.
  • Inside the CHRC application, choose "Terminate an employee." Click on each checkbox associated with the employee(s) that needs to be dismissed. After that, click on the "Terminate" icon. A confirmation screen will pop up with the employee(s) chosen for termination. To take care of the termination(s), you must select"Terminate" or click the "Terminate" link. After the termination is successful then, press the "Print" button on the next screen. This will print the CHRC (Termination Form) (Termination Formula) of each employee that has been terminated, which will be kept in your file for at least six years. Continuous monitoring will be conducted to ensure compliance.
  • It is important to note that, along with the termination form, CHRC (Fingerprint Consent Form) and CHRC (Fingerprint Consent Form), and 103 (Submission Receipt) forms must be kept even when the person did not work for the agency you work for.

Statewide Central Register Database Check (SCR) through NYS OFCS

The Statewide Central Register (SCR) maintains a child abuse and neglect reports database. The aim of conducting this Database Check is to determine if an employee who is a candidate of the Health Home or Health Home Care Management Agency is a confirmed victim of an incident of child maltreatment or abuse. It is requirement for the SCR Database Check is required for employees who regularly and frequently interact with members. This includes but isn't only Health Home Care Directors.

SCR Database Checks will be required for employees hired after April 1, 2018, who are likely to have regular and significant contact with people less than 21 years old. SCR Database Checks are not transferable and cannot be disclosed again. The fee to purchase the SCR Database Check (2018-2019 SCR Database Check is $25.00) is $25.00.

The employer or employee can make the payment, and it should be made at the time that you submit the SCR Database Check request is filed. If the SCR check was carried out in the past six months and the results remain available in the Online Clearance System, the request for a fresh SCR check will not be made until the results have been removed from the system.

The SCR Database Process/Results:

Suppose the potential employee is not found to be the confirmed subject of an indicated report. In that case, The employer will be notified by an email stating that the SCR has no evidence of the applicant as an indicated subject in a report of maltreatment or abuse of children.

* If the potential employee is in the course of an identified report, the SCR must send an official letter to inform that applicant about their due right to process. The applicant has 90 (90) calendar days to write to the SCR by writing that they would like to utilize the due process right via the administrative process and fair hearing procedure. If the SCR does not receive a response on the application within this time, the SCR will inform the Health Home or CMA that the SCR has an account of the person being in an investigation.

  • Suppose the SCR informs a Health Home or CMA has information about an applicant who is the report's victim. In that case, the notice will not include any specifics relating to the incident of maltreatment or abuse.
  • An SCR report that is not ascribed to an SCR report is not an automatic disqualification from work.
  • Health Home or CMA Health Home or CMA can ask the prospective employee to sign an authorization to release information that allows employers to ask for and get a copy of the specified SCR report. After reviewing the documents and analyzing them, it's the employer's decision on whether to employ or not the candidate.

Mandated Reporter Requirements

Health Home Care Managers, other Health Home employees, and other relevant agency employees are required to report any suspected child maltreatment or abuse. The reports of suspected abuse or neglect of children must be reported immediately by phone or to the mandated reporter line, 1-800-635-1522. It is accessible 24/7, seven days a week. This line is exclusively for reporters who are mandated to report. Do not give this number to anyone else and complain about child abuse or neglect by dialing 1-800-342-3720. In addition to the information made over the phone, the reporter must sign a written report (a form of LDSS 2221A) and send it within 48 hours to the child protective services where the child is a member.

The Office of Child and Family Services offers online training at no cost for reporters who are mandated to report. The training may be taken at any point of the day, every working day. When the online training, students are issued a digital acknowledgment of the training. There are no fees for this requirement.

Free training for mandated reporters on the OCFS website: https://ocfs.ny.gov/main/cps/Mandated_Reporter_Training.asp

Register on the site for Mandated Reporter Training using the link below:

The Training Requirements

Health Home Care Managers or the Health Home Care Managers or Health Home Care Management Agency Human Resources personnel should receive instruction on these requirements to ensure that they have the proper clearances and comply. Health Home or CMA conforms.

Quality Oversight and Quality Monitoring

Lead Health Homes are responsible for monitoring the subcontracted Care Management Agencies to ensure they comply with these regulations. Therefore, lead Health Homes should have an established procedure that monitors and supervise the Care Management Agencies to ensure that their employees have received the required checks.

As mentioned above, Employers must retain the following information, which could be auditable by the state:

* Checks for Criminal History Record Checks

Employers must keep the approval or disapproval letters for each employee as

as well as CHRC 102 (Fingerprint Consent Form), CHRC 103 (Submission

Receipt) Receipt) CHRC Receipt), and CHRC (Termination Formula).

The letters are located in the CHRC application on HCS. Please note that information about criminal history cannot be disclosed.

* Statewide Central Register Database Checks

Employers are required to keep the results of every SCR check.

Note that results are recorded within the Online Clearance System for only six months. This is why employers must take a copy of the test results or store them.

Make sure that they ensure they are available. * Checks on the Staff Exclusion List

Employers are required to keep the results of each SEL test.

These results are delivered by email. *Mandated Reporter

Employers must keep the certificate of attendance employees get at the end of their training.

For more details on this rule, please refer to Department's Health Home Policy and Standards webpage at:

https://www.health.ny.gov/health_care/medicaid/program/medicaid_health_homes/hh_children/index.htm - Under: Background Checks

Updated on 2022-11-04 19:33:49 by larry coleman

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