N.Y. Comp. Codes R. & Regs. Tit. 18 § 488.9 - Personnel
(a)
General
requirements.
(1) The operator must
provide staff sufficient in number and qualified by training and experience to
render, at a minimum, those services mandated by statute or
regulation.
(2) The operator must
conduct an initial program of orientation and in-service training for employees
and volunteers which includes:
(i)
orientation to the characteristics and needs of the population served by the
enriched housing program;
(ii)
discussion of the residents' rights and the program's rules and regulations for
residents;
(iii) discussion of the
duties and responsibilities of all staff;
(iv) discussion of the general and specific
duties and responsibilities of the individual(s) being trained;
(v) training in emergency
procedures;
(vi) with respect to
facilities subject to the Justice Center, training in the identification of
reportable incidents, facility reporting procedures and, if the employee is a
mandated reporter under section 488 the Social Services Law or otherwise
required to report under section 424-a of the Social Services Law, such
person's responsibility to file reports under those provisions; and
(vii) with respect to facilities subject to
the Justice Center, provision of a copy of the code of conduct established by
the Justice Center pursuant to section 554 of
the Executive Law. Such code of conduct shall be provided at the time of
initial employment, and at least annually thereafter during the term of
employment. Receipt of the code of conduct must be acknowledged, and the
recipient must further acknowledge that he or she has read and understands such
code of conduct. Any other individuals, including contractors or other service
providers who will or could have resident contact, and falling within the
definition of custodian under section 488 of the Social Services Law, must also be
provided with, and acknowledge receipt and understanding of, such code of
conduct.
(3) The
operator must develop and maintain current written staffing schedules. Staffing
schedules must be retained for 12 months.
(4) The operator must maintain personnel
records which include:
(i) individual employee
records containing verification of qualifications for any position for which
qualifications are set by regulation, pre-employment and annual medical
evaluations, and any incident reports involving the employee;
(ii) payment records containing all wages,
benefits, reimbursements, bonuses, gifts or payments given each
employee;
(iii) with respect to
facilities subject to the Justice Center, documentation that the facility has
verified, through consultation with the Justice Center, prior to hiring the
employee, volunteer, or contractor falling within the definition of
custodian in section 488 of the Social Services Law, whether the
individual is on the Justice Center's register of substantiated category one
cases of abuse or neglect as established pursuant to section 495 of the Social Services Law (staff
exclusion list) and, where such individual is not on such list, documentation
that the facility has verified whether the individual is on the Office of
Children and Family Services' Statewide Central Registry of Child Abuse and
Maltreatment (State Central Registry); and
(iv) prior to hiring or otherwise engaging
anyone who will or may have direct contact with residents, or approving
credentials for any such person, the operator of a facility subject to the
Justice Center shall follow the procedures established by the Justice Center in
regulations or policy, to verify that such person is not on the Justice
Center's staff exclusion list. If such person is not on the Justice Center's
staff exclusion list, such operator shall also consult the State Central
Registry as required by section 424-a of the Social Services Law. If such
person is on the staff exclusion list, a facility subject to the Justice Center
shall not hire or otherwise engage such person; if a person is not on the staff
exclusion list but is on the State Central Registry, a facility subject to the
Justice Center shall consider the inclusion of such person on the State Central
Registry as a factor in its decision, but shall not be prohibited from hiring
or otherwise engaging such person.
(5) At the time of employment and at least
every 12 months thereafter, or more frequently if needed, an employee must
provide the operator with a statement from a physician, or, with physician
oversight, a physician's assistant (PA) or a registered professional nurse (RN)
with special training in primary health care who has physically examined the
individual, that:
(i) the individual is free
from any health impairment which is of potential risk to residents of an
enriched housing program or which might interfere with the performance of the
individual's duties; and
(ii) the
individual has had:
(a) an initial individual
tuberculosis (TB) risk assessment, symptom evaluation, and TB test (either
tuberculin skin test or blood assay approved by the Food and Drug
Administration for the detection of latent tuberculosis infection) prior to
employment and subsequent annual assessments after employment begins; positive
findings shall require appropriate clinical follow-up. The operator shall
develop and implement policies regarding positive findings, including
procedures for facilitating and documenting treatment for latent TB infection
where indicated. The annual TB assessments shall include education, individual
risk assessment, and follow-up tests as indicated; and
(b) any test that may be required by the
local board of health.
(6) Notwithstanding paragraph (5) of this
subdivision, physical examinations need not be required for an applicant or an
employee who relies upon or is being furnished treatment by spiritual means
through prayer in lieu of medical treatment in accordance with the tenets and
practices of a recognized church or religious denomination of which the
employee is a member or bona fide adherent. In such cases the operator must
require documentation of the employee's standing as a member.
(7) No individual who is suffering from a
degree of mental illness or habituation or addiction to alcohol or other drugs
such that the individual causes, or is likely to cause danger to
himself/herself or others or is unable to perform his/her assigned duties, may
be employed or permitted to work as either an employee or volunteer.
(8) No individual is permitted to work,
either as an employee or volunteer, if infected with a communicable disease
that might endanger the health of residents.
(9) Each individual must:
(i) be emotionally, mentally and physically
able, as required by function, to provide services and supervision to the
population served by the enriched housing program; and
(ii) maintain personal hygiene and clothing
which is clean and appropriate for the functions performed.
(10) Employees who have direct
contact with residents must be able to speak, read and write English, and speak
the predominant language of residents.
(11) No person under 18 years of age may be
charged with direct responsibility for the supervision and personal care of
residents; or be permitted to work without on site supervision.
(12) The operator must inform the appropriate
regional office by telephone, or in writing within three business days of a
vacancy in the position of coordinator, case manager or dietary
consultant.
(13) Prior to hiring or
otherwise engaging any employee, volunteer or others falling within the
definition of custodian under section 488 of the Social Services Law which will or
may have direct contact with residents, the operator of a facility subject to
the Justice Center shall consult with the Justice Center, to verify that such
person is not on the Justice Center's registry of substantiated category one
cases of abuse or neglect as established pursuant to section 495 of the Social Services Law (staff
exclusion list).
(14) documentation
of COVID-19 vaccination or a valid medical exemption to such vaccination,
pursuant to section 2.61 of Title 10, in accordance with applicable privacy
laws, and making such documentation available immediately upon request by the
Department, as well as any reasonable accommodation addressing such
exemption.
(b)
Resident employment.
(1)
Employment of residents may be permitted only to the extent that such
employment:
(i) is entered into without use
of coercion or threats to the resident;
(ii) is performed in return for fair
compensation; and
(iii) meets all
applicable requirements of federal and State Labor Law.
(2) The operator must maintain written
records which document each instance in which a resident elects to perform
routine paid or volunteer services, including:
(i) the name of each resident performing paid
or volunteer services;
(ii) the
tasks performed;
(iii) the rate,
type and amount of compensation, if any; and
(iv) the hours and days worked.
(c)
Administration.
(1) The operator
must appoint an enriched housing program coordinator who will be directly
accountable to the operator for operating the enriched housing program and
maintaining the program in compliance with applicable requirements.
(2) An enriched housing program coordinator
must be employed on the basis of one and one-half hours per resident per week
for the first 16 residents and one hour per resident per week for each
additional resident until the equivalent of a full-time employee is
attained.
(3) The program
coordinator must be capable of and responsible for:
(i) supervision of the enriched housing
program;
(ii) operation of the
enriched housing program in compliance with law and regulations;
(iii) recruitment and general supervision of
staff and volunteers;
(iv)
supervision of resident services;
(v) admission, transfer and discharge of
residents;
(vi) coordination with
and development of community activities and services for residents;
(vii) maintenance of community
relations;
(viii) protection of
residents' rights and development of appropriate mechanisms for the residents'
protection;
(ix) maintenance of a
system to enable residents to present grievances or recommendations regarding
facility operations and programs; and
(x) investigation of and reporting to the
department allegations of occurrences which would constitute a reportable
incident.
(4) The
operator may be required to discharge a program coordinator who is unable or
unwilling to carry out the responsibilities set forth in paragraph (3) of this
subdivision.
(5) A program
coordinator must:
(i) be at least 21 years of
age; and
(ii) possess the following
education and work experience:
(a) a master's
degree in social work from an accredited college or university plus one year of
related work experience; or
(b) a
bachelor's degree from an accredited college or university in an approved
course of study, plus three years of related experience acceptable to the
department of which one must have been in a supervisory capacity. Approved
courses of study may include, but need not be limited to, human services for
dependent adults, health care management programs, social work programs,
gerontological studies and home economics. Related work experience may include,
but need not be limited to, work in residential care, rehabilitation, health
care management and social work.
(d)
Case management.
(1) Each operator must designate sufficient
staff to perform case management functions. This function may be carried out by
the program coordinator. In the event that the case management function is
being carried out by the program coordinator, the operator must designate an
employee in addition to the program coordinator to be a designated investigator
and reporter of occurrences which would constitute a reportable incident.
However, nothing in this paragraph shall relieve any mandated reporter from his
or her obligations under law. A qualified case manager must be on staff and on
duty for one-half hour per week per program resident.
(2) A case manager must be capable of, and
responsible for, executing, through direct performance and coordination:
(i) the services and functions described in
section
488.7(e)
of this Part; and
(ii)
investigation of and reporting to the department allegations of occurrences
which would constitute a reportable incident.
(3) A case manager must have the following
education and work experience:
(i) a master's
degree in social work from an accredited college or university; or
(ii) a bachelor's degree from an accredited
college or university with major work in human services or service delivery and
one year of full-time experience in the provision of services to a frail adult
population; or
(iii) an associate
degree from an accredited college or university with major work in human
resources or service delivery and three years of full-time experience in the
provision of services to a frail adult population.
(e)
Personal care,
housekeeping, food service.
(1) An
operator must provide sufficient staff to perform personal care, housekeeping
and food service activities.
(2)
The operator must provide housekeeping, personal care, and food service staff
at a rate of six hours per resident per week. The hourly breakdown of service
provided will depend on the aggregate service needs of residents.
(3) Operators desiring to train their own
personal care staff must develop and submit to the department for approval an
in-service training plan for personal care staff.
(4) Aides performing personal care tasks must
have completed an approved certified personal care training program prior to
employment or must:
(i) within six months of
hiring complete a department-approved certified personal care training program;
or
(ii) within three months of
hiring complete an approved operator in-service training plan for personal care
staff.
(5) Aides
performing food service functions must:
(i)
have demonstrated ability in meal preparation for groups of people;
(ii) be knowledgeable of nutritional needs of
older persons;
(iii) be able to
follow and prepare modified diets; and
(iv) have knowledge of food protection
principles.
(f) The operator must arrange for the service
of a qualified dietitian or dietetic technician as a dietary consultant to
provide supervision and consultation sufficient to maintain compliance with
food service requirements. A person utilized by an operator to provide food
service and nutrition consultation and support is considered qualified if the
person is:
(1) a dietitian who has received a
baccalaureate degree with major studies in food and nutrition or institutional
management from an accredited college or university, is a member or eligible
for membership in the American Dietetic Association, participates annually in
continuing dietetic education and has at least two years full-time work
experience in dietetics; or
(2) a
dietetic technician who has successfully completed an associate degree program
which meets the educational standards established by the American Dietetic
Association, and has at least three years full-time work experience in
dietetics.
(g)
Volunteers.
(1) Resident
volunteers.
Residents choosing to volunteer may be permitted to do so only to the extent that such voluntary services are:
(i) entered into without use of coercion or
threats to the resident;
(ii) not
inconsistent with the physical or emotional needs or limitations of the
resident.
(2) If an
operator uses community volunteers, each volunteer must be:
(i) supervised by the program coordinator or
his/her designee;
(ii) given
orientation to the characteristics and needs of the resident population, the
rights of residents, the physical layout of the enriched housing program,
emergency procedures and an explanation of their specific responsibilities;
and
(iii) given a copy of the
residents' rights.
(3)
The operator must maintain a record for each volunteer, which will include the
individual's name, current address and telephone number.
(4) If a community volunteer organization is
providing services within the enriched housing program, the operator may have
an agreement with the organization to retain the information required in
paragraph (3) of this subdivision. Such agreement must include:
(i) the name and address of the
organization;
(ii) a designated
contact person; and
(iii) a
statement that the volunteer organization is able and willing to provide the
specific volunteer information as required in paragraph (3) of this
subdivision.
(5)
Volunteer services must not be substituted for the program coordinator and case
manager as required elsewhere in this Part.
Notes
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