1. (1) Each provider of services subject to the provisions of this Part shall establish and maintain the following records:

   1. (i) the results of the check of the Justice Center’s register of substantiated category one cases of abuse or neglect, also known as the staff exclusion list;
   2. (ii) for each subject individual, a copy of his or her fully executed and signed applicant consent form for fingerprinting required pursuant to sections 553 and 845-b of the Executive Law and section 701.5 of this Part; and
   3. (iii) a documented safety assessment if the provider of services has received a subsequent arrest notification on a subject individual.
2. (2) Such records shall be maintained in a manner that maintains the security of the information contained therein, but which also enables the State agency with licensing and/or monitoring jurisdiction over the provider to obtain immediate and unrestricted access to such information upon its request, for the purpose of monitoring compliance with its regulations.

3. (3) The Justice Center’s criminal background check (CBC) system application shall maintain the names of all subject individuals for whom a request for a criminal history information check was submitted to the Justice Center, identifying whether he or she was applying for employment or a volunteer position; and the results of the criminal history information check suitability determination of the Justice Center.

   (b) Notifications.

   A provider of services’ authorized person must immediately, but no later than 14 days after the event, notify the Justice Center by updating the applicant’s or employee/volunteer’s employment status in the Justice Center’s CBC system application when:

4. (1) any subject individual who is subject to a criminal history information check in accordance with this Part has withdrawn the application or is no longer being considered for the position for which he or she applied; or
5. (2) any subject individual who was subject to, and underwent, a criminal history information check in accordance with this section was hired, not hired or is no longer employed by or volunteering at the program or facility;
6. (3) a provider of services’ authorized person must immediately notify the Justice Center when he or she temporarily approves a subject individual to provide services while the results of the criminal history information check are pending by updating the subject individual’s employment status in the Justice Center’s CBC system application;

7. (4) a provider of services must immediately notify the Justice Center when an authorized person so designated by the provider will no longer be acting as an authorized person by submitting a completed authorized person revocation form.

   (c) Retention and disposal of information.

8. (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 the subject individual is no longer employed or volunteers in a position that involves regular and substantial unsupervised or unrestricted physical contact with clients, unless otherwise directed by the State agency with licensing and/or monitoring authority over the provider.
9. (2) If directed to do so by the Justice Center, a provider of services subject to this Part shall dispose of the summary of the criminal history information and/or any other information obtained about a subject individual in accordance with such direction.

10. (3) Disposal of criminal history information and/or any other information obtained about a subject individual and Justice Center determinations shall be performed in a manner that ensures the confidentiality of the information.

    (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.

(a) Recordkeeping.