DAL 01-09 - Certified Nurse Aide Registry Report of Findings and Convictions

Nurse Aide Registry

October 22, 2001
DAL #01-09

Dear Administrator:

This letter identifies certified nurse aides who have had documented findings or criminal convictions of resident abuse, neglect, mistreatment or misappropriation of resident property entered into the New York State Nurse Aide Registry. Nurse aides who have had such information added to the registry since the issuance of Dear Administrator letter 9DAL 00-15) dated February 28, 2001 are listed in the "BOLD." Individuals with such documentation, along with all others listed, are not permitted to work in a nursing home in any capacity pursuant to federal regulations 42 (CFR 438.13(c)(1)(ii)(A) and (B) and New York State regulations 10 NYCRR 415.4(b)(1)(ii)(a) and (b).

Federal and State statute and regulations require that all individuals determined competent by New York State as nursing home nurse aides be listed in the New York State Nurse Aide Registry. Information on criminal convictions or sustained findings against an individual listed on the registry of abuse, neglect, mistreatment or misappropriation of resident property as determined by State survey agency, must also be entered into the registry. Federal and State regulations prohibit nursing facilities from employing or using any individual in any capacity who has been convicted of or has a documented finding of resident abuse, neglect, mistreatment or misappropriation of resident property listed in the nurse aide registry. The requirements further state that nursing facilities must verify each individual's certification status prior to employment or use in the facility.

In accordance with these regulations and current Health Department policy, the Department is placing on the New York State Nurse Aide Registry information reflecting sustained findings for any incident by a nurse aide or resident abuse, neglect, mistreatment or misappropriation of resident property. Incidents involving minor acts or omissions by nurse aides will not be entered into the registry and, therefore, will not result in a ban on employment in a nursing home. These matters will be resolved and settled as a violation of resident's rights with an appropriate monetary penalty or an admonishment. Information regarding these actions may be obtained by making a written request under the Freedom of Information Law (Public Officers Law Section 87). A copy of the final Stipulation and Order will be supplied in response to such requests.

Some examples of less serious acts which may be committed by nurse aides are: leaving a resident unattended although the resident's care plan requires supervision; restraining a resident temporarily without authorization for the resident's own safety; transferring the resident from the resident's bed to a chair other than by the specified method of transfer. This list is not all inclusive but is intended to distinguish the type of conduct which minor lapse of judgment from the intentional or reckless conduct which will continue to be placed on the Registry.

A copy of the New York State Nurse Aide Registry is available on the State Health Department's website, The Center for Consumer Health.

In addition, information regarding a criminal conviction of a nurse aide in a court of law for any resident abuse, neglect, mistreatment or misappropriation of resident property occurring on or after October 1, 1990 is also entered into the Registry.

Enclosed is the updated listing of the names and nurse aide certification numbers of those New York State certified RHCF nurse aides who have sustained findings or criminal conviction information entered in any state's Nurse Aide Registry. Any nurse aide whose name appears on this or future listings may not work in a nursing facility in any capacity. Please compare the names appearing on the enclosed listing against your facility's staff roster. If there are any name matches, you should contact the Registry through the IVR for the verification. This will provide you with additional information to clarify if this individual is prohibited from continued nursing home employment.

In some instances, the sustained finding for a nurse aide has been rescinded due to technical reasons, and as a result, the ban on their employment in a nursing home has been removed. In these cases, the nurse aide's name has been removed from the list and the Nurse Aide Registry has been modified to remove information about the sustained finding or conviction.

Facilities are reminded that Federal and State regulations (42 CFR 483.75(e)(5) and 10 NYCRR 415.13(c)(2)(i)) require the facilities to verify each nurse aide's certification status, as well as the status of all potential staff, with the Registry prior to employment or use in the facility. The Registry is available 24 hours a day, seven days a week at 1-800-274-7181. The interactive voice response (IVR) registry will provide you with verbal and written verification of the individual's registry status. Directions for using the IVR Nurse Aide Registry are contained on page 10 of the New York State Nurse Aide Certification Program Manual.

The Facility should ensure that this and future Dear Administrator letters are shared with appropriate departments within the facility to maintain regulatory compliance. If you have any questions regarding this memorandum, please contact the Office of Continuing Care, Bureau of Professional Credentialing at (518) 408-1297. Freedom of Information requests should be directed to James O'Meara, Records Access Officer, Empire State Plaza, Corning Tower Building, Room 2348, Albany, NY 12237-0044. Requests may also be faxed to (518) 486-9144.


Wayne M. Osten
Office of Health Systems Management


Nursing Homes
Home Health Agencies
Other Interested Parties