1. (1) Every agency/facility or sponsoring agency shall have policies/procedures that address the conduct of employees, volunteers and family care providers while functioning in a work- related capacity.

2. (2) At a minimum, employees, volunteers and family care providers shall be advised of the following:

   1. (i) Employees and volunteers shall not distribute, sell, possess, purchase or consume illegal substances or alcohol while at the workplace or while performing in a work-related capacity. However, the consumption of alcohol on special occasions shall be permitted with the prior written permission of the program administrator. Family care providers shall not distribute, sell, possess, purchase or use illegal substances.
   2. (ii) Employees and volunteers shall not come to work, or work, if their ability to perform their job is impaired due to the use of alcohol, a controlled substance, an illegal substance or a prescribed medication. Family care providers shall make alternative care arrangements.
   3. (iii) Individuals receiving services at the facility shall not carry out the duties of employees, unless such tasks are described in his or her plan of services by the program planning team for the purpose of increasing the person's skills.
   4. (iv) Individuals receiving services at the facility shall not be subject to inappropriate exposure to firearms or other weapons in or on the grounds of a facility. There shall be policies/procedures governing the presence and safekeeping of firearms or other weapons in the facility or on the grounds. Nothing in this subdivision shall preclude a person from pursuing the opportunity to receive certification of successful completion of a hunter safety course for a specified firearm or weapon, and the subsequent appropriate use of such firearm or other weapon.
   5. (v) There shall be no personal financial transactions between employees, volunteers or family care providers and persons receiving services which may be construed as exploitation of that person or result in greater benefit to the employee, volunteer or family care provider than to the person.
   6. (vi) Employees, volunteers and family care providers shall treat all client information about the person being served as confidential and utilize such information in a professional manner at all times. To the extent employees, volunteers or family care providers obtain HIV-related information concerning a person, such information shall be maintained in confidence as required by 10 NYCRR Part 63 and the provisions of section 633.19 of this Part.

3. (3) The agency/facility or sponsoring agency shall take appropriate action in the event that misconduct occurs relative to paragraph (2) of this subdivision.

   (b) Standards of certification.

4. (1) There are written policies/procedures addressing the conduct of employees and volunteers.
5. (2) OPWDD shall verify that employees and volunteers have been advised of conduct requirements while functioning in a work-related capacity.

6. (3) There is documentation that family care providers have been advised of conduct expectations in writing by the sponsoring agency.

   (c) Requirements concerning the code of conduct adopted by the Justice Center for People with Special Needs (Justice Center).

7. (1) Applicability. The requirements of this subdivision are applicable to facilities and programs certified or operated by OPWDD.

   1. (i) The agency operating the facility or program is responsible for assuring compliance with the requirements of this subdivision.
   2. (ii) The sponsoring agency is responsible for compliance concerning family care homes.
8. (2) Pursuant to section 554 of the Executive Law, the Justice Center shall adopt a code of conduct for custodians with regular and direct contact with individuals receiving services from such facilities or programs. Such code of conduct governs the conduct of such custodians with respect to the safety, dignity and welfare of vulnerable persons to whom they provide care.

9. (3) For the purposes of this section only, the definition of custodian is: A party that meets one of the following criteria:

   1. (i) a director, operator, employee or volunteer of a facility or program which is certified or operated by OPWDD; or
   2. (ii) a consultant or an employee or volunteer of a corporation, partnership, organization or governmental entity which provides goods or services to such facility or program pursuant to contract or other arrangement that permits such party to have regular and substantial contact with individuals receiving services from the facility or program; or
   3. (iii) a family care provider; or
   4. (iv) a family care respite/substitute provider.
10. (4) New custodians of the facility or program with regular and direct contact must read and sign the code of conduct at the time of employment or affiliation.
11. (5) All custodians with regular and direct contact must read and sign the code of conduct adopted by the Justice Center on at least an annual basis.
12. (6) Note that the Justice Center may amend the code of conduct as appropriate.
13. (7) Pursuant to section 554 of the Executive Law, the Justice Center shall establish a process which provides for the enforcement of the code of conduct consistent with appropriate collective bargaining agreements. The agency or sponsoring agency shall enforce the code of conduct in accordance with the process established by the Justice Center.

(a) Principles of compliance.