1. (1) When a service provider is notified that a report of alleged abuse or neglect in their program has been accepted by the Justice Center, the service provider or State oversight agency, as appropriate, shall immediately attempt to notify any service recipients who are alleged victims of that alleged abuse or neglect, and/or their personal representatives, that the service recipient may be interviewed as part of the investigation. This notification may be completed through oral communication or in writing.
2. (2) The service provider or State oversight agency shall not make such notification to a personal representative if the alleged victim objects to such notification or if it would violate relevant confidentially laws, be contrary to court order, or is otherwise contrary to the best interests of the alleged victim or if the investigator has notified the service provider or State oversight agency that such notification would compromise the investigation. Objections by a service recipient to a personal representative being notified should be reviewed on an individual basis consistent with the existing standards that the relevant State oversight agency requires to be used to determine the ability of a service recipient to consent to services, programs and treatment. Service providers who are required to provide notifications pursuant to section 33.23 of the Mental Hygiene Law shall do so regardless of the exemptions outlined here.

3. (3) The service provider or State oversight agency shall document in writing that such notification was made or that there was a diligent effort to make such notification. If an alleged victim’s personal representative is not notified for the reasons outlined in paragraph (2) of this subdivision, the service provider or State oversight agency shall document the reason. All such documentation shall be maintained in a consistent manner and be readily available for inspection upon request of the Justice Center or a State oversight agency. Service providers and State oversight agencies shall make this information available immediately upon request of the investigator.

   (b) Process for providing notification to potential witnesses and/or their personal representatives.

4. (1) When a service provider is notified that a report of alleged abuse or neglect in their program has been accepted by the Justice Center, the service provider or State oversight agency, as appropriate, shall make a good faith effort to ascertain whether any service recipients in its program are potential witnesses to such incident, and shall attempt to notify those service recipients and/or their personal representatives that the service recipient may be interviewed as part of the investigation. This notification may be completed through oral communication or in writing.
5. (2) The service provider or State oversight agency shall not make such notification to a personal representative if the potential witness objects to such notification or if such notification would violate relevant confidentially laws, be contrary to court order, or is otherwise contrary to the best interests of the potential witness or if the investigator notifies the service provider that such notification would compromise the investigation. Objections by a service recipient to a personal representative being notified should be reviewed on an individual basis consistent with the existing standards that the relevant State oversight agency requires to be used to determine the ability of a service recipient to consent to services, programs and treatment.
6. (3) The service provider or State oversight agency shall document in writing that such notification was made or that there was a diligent effort to make such notification. If a potential witness’ personal representative is not notified for the reasons outlined in paragraph (2) of this subdivision, the service provider or State oversight agency shall document the reason. All such documentation shall be maintained in a consistent manner and be readily available for inspection upon request of the Justice Center or a State oversight agency. Service providers and State oversight agencies shall make this information available immediately upon request of the investigator.

7. (4) If the personal representative of a potential witness is contacted, the service provider or State oversight agency shall not disclose confidential information regarding the allegation of abuse or neglect to the personal representative.

   (c) Inquiry of personal representative.

   The service provider shall ask the personal representative if he or she has additional information not known to the service provider concerning the most effective ways to communicate with the service recipient in order to support the interview process.

   (d) Exceptions to notification requirements.

8. (1) Those service providers who are required to provide notifications pursuant to section 33.23 of the Mental Hygiene Law are not required to provide additional notification pursuant to this regulation.
9. (2) If an alleged victim or potential witness does not have a personal representative, there is no need for a service provider to comply with these notification and documentation requirements pertaining to personal representatives.

(a) Process for providing notification to alleged victims and/or their personal representatives.