N.Y. Comp. Codes R. & Regs. tit. 9 § 5102.1

Current through Register Vol. 46, No. 45, November 2, 2024

Section 5102.1 - General

(a) Every applicant and licensee shall produce such information, documentation and assurances as may be required by the commission to establish, by clear and convincing evidence, such applicant or licensee's suitability for licensure in accordance with these regulations. The refusal by any applicant or licensee to comply with a request by the commission for any such information, documentation or assurances shall be a basis for denial, revocation or disqualification of the applicant or licensee.

(b) Each licensee under these regulations shall have a continuing obligation, as set forth in these regulations:

(1) to ensure that such information, documentation and assurances submitted to the commission is current; and

(2) to ensure that such information, documentation and assurances, in light of the circumstances in which they were made and submitted, shall not be misleading. Each licensee shall submit such additional information, documentation and assurances as may be necessary to meet such obligations.

(c)

(1) It shall be the affirmative duty of all licensed personnel to report:

(i) violations of law and any instances of non-compliance with these regulations; or

(ii) regulatory or criminal violations by such licensees in any jurisdiction outside the state in which they are licensed, to the commission and the commission's authorized representative. Licensed entities agree that they shall not apply any sanction, penalty, or job termination against any employee in retaliation for that employee's reporting of violation(s) or cooperation with the commission or the commission's authorized representative in any investigation or other proceeding.

(2) If it is determined after investigation that any licensed entity or person has violated these regulations, the commission will impose the appropriate remedy including, but not limited to, any of the following:

(i) permit the reinstatement of the employee to a former position;

(ii) suspension and/or revocation of the license of the entity or person(s).

N.Y. Comp. Codes R. & Regs. Tit. 9 § 5102.1