7 NYCRR — Department of Corrections and Community Supervision

Chapter I GENERAL PROVISIONS

Part 1 APPLICABILITY OF TITLE AND DEFINITIONS

7 CRR-NY 1.0 Applicability of Title {#sec-7-crr-ny-1.0 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1.0}

(a) This Title, other than Chapter XXX, constitutes the rules and regulations of the Department of Correctional Services, located at Building No. 2, State Campus, Albany, NY 12226.

(b) Chapter XXX of this Title constitutes the rules and regulations of the State Commission of Correction, in the Executive Department, located at the Alfred E. Smith State Office Building, Swan Street, Albany, NY 12225.

7 CRR-NY 1.1 to 1.4 to 1.4 [Repealed] {#sec-7-crr-ny-1.1-to-1.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1.1 to 1.4}

7 CRR-NY 1.5 Definitions {#sec-7-crr-ny-1.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1.5}

When used in this Title, other than Chapter XXX, unless otherwise expressly stated or the context or subject matter otherwise requires, the following terms have the following meanings:

(a) Department means the State Department of Corrections and Community Supervision.

(b) Commissioner means the State Commissioner of Corrections and Community Supervision.

(c) Chairperson means the chairperson of the board of parole.

(d) Board means the board of parole.

(e) Superintendent means the chief administrative officer of a correctional facility.

(f) Correctional facility means any place operated by the department and designated by the commissioner as a place for the confinement of persons under sentence of imprisonment.

(g) Institution means a correctional facility and any other place operated by the department as a place for the confinement of persons.

(h) Reception center means a correctional facility for reception, classification and program-planning for purposes of confinement, treatment and transfer.

(i) Detention center means a correctional facility for the temporary detention of persons taken into custody upon violation of parole or upon violation of a condition of release, or of persons being transferred from other correctional facilities, or of persons who are assigned to other correctional facilities for confinement but whose presence is required in court or for some other purpose at a location that is distant from the institution of confinement.

(j) Diagnostic and treatment center means a correctional facility operated for the purpose of providing intensive physical, mental and sociological diagnostic and treatment services including pre-parole diagnostic evaluation, where requested by the board of parole, and scientific study of the social and mental aspects of the causes of crime.

(k) General confinement facility means a correctional facility for confinement and treatment of persons under institutional programs oriented to education, vocational training and industry.

(l) Correctional camp means a correctional facility consisting of a camp maintained for the purpose of including conservation work in the program of inmates.

(m) Residential treatment facility means a correctional facility consisting of a community- based residence in or near a community where employment, educational and training opportunities are readily available for persons who are on parole or conditional release and for persons who are or who will soon be eligible for release on parole who intend to reside in or near that community when released.

(n) Work release facility means a facility designated by the commissioner as an institution that may conduct a work release program.

(o) Alcohol and substance abuse treatment correctional annex means a medium security correctional facility consisting of one or more residential dormitories which provide intensive alcohol and substance abuse treatment services to inmates otherwise eligible for temporary release.

(p) Alcohol and substance abuse treatment facility means a correctional facility designed to house medium security inmates and operated for the purpose of providing intensive alcohol and substance abuse treatment services.

(q) Hub means a regional cluster of facilities that share administrative, support, and program services. The hub consists of a “core facility” and “satellite facilities”.

(r) Shock incarceration facility means a correctional facility designated by the commissioner as an institution which may conduct the shock incarceration program for selected inmates.

(s) Supervising superintendent means the chief administrative officer of a hub.

(t) Drug treatment campus means a facility operated by the department to provide a program of intensive drug treatment services to individuals sentenced to parole supervision sentences pursuant to section 410.91 of the Criminal Procedure Law or for certain parole violators.

(u) Special populations means any person:

(1) who is pregnant, or in the first eight weeks of post-partum recovery period regardless of how the pregnancy ended, or caring for a child in a correctional institution pursuant to Correction Law, section 611(2) or (3);

(2) who suffers from a disability as defined in Executive Law, section 292(a)(21) and said disability impairs the individual’s ability to provide self-care within the environment of a correctional facility;

(3) twenty-one years of age or younger; or

(4) fifty-five years of age or older.

(v) Segregated confinement means the confinement of an incarcerated individual in any form of cell confinement for more than 17 hours a day other than a facility wide emergency or for the purpose of providing medical or mental health treatment.

(w) Administrative segregation means the involuntary removal of an incarcerated individual from general confinement based upon a determination that the individual’s continued presence in general population would pose an unreasonable and demonstrable risk to the safety and security of staff, incarcerated individuals, the facility, or would present an unreasonable risk of escape.

7 CRR-NY 1.6 to 1.14 to 1.14 [Repealed] {#sec-7-crr-ny-1.6-to-1.14 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1.6 to 1.14}

7 CRR-NY 1.15 [Repealed] {#sec-7-crr-ny-1.15 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1.15}

7 CRR-NY 1.16 to 1.17 to 1.17 [Repealed] {#sec-7-crr-ny-1.16-to-1.17 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1.16 to 1.17}

7 CRR-NY 1.18 [Repealed] {#sec-7-crr-ny-1.18 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1.18}

7 CRR-NY 1.19 [Repealed] {#sec-7-crr-ny-1.19 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1.19}

7 CRR-NY 1.20 to 1.24 to 1.24 [Repealed] {#sec-7-crr-ny-1.20-to-1.24 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1.20 to 1.24}

Part 3 AMENDMENT, INTERPRETATION AND CONSTRUCTION OF TITLE

7 CRR-NY 3.1 Stay and amendment of rules {#sec-7-crr-ny-3.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 3.1}

In his discretion the commissioner may direct, orally or in writing, that any rule or regulation of the department be stayed, suspended, rescinded, modified or otherwise amended temporarily or indefinitely. If the direction is oral, it shall be reduced to writing as soon as practicable and if the direction constitutes an indefinite amendment it shall be filed with the Secretary of State.

7 CRR-NY 3.5 Interpretations {#sec-7-crr-ny-3.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 3.5}

(a) In any case where a situation arises which is not covered by law, or by specific rule or regulation, policy statement, or administrative order of the department, the procedure shall be as provided in this section.

(b) Wherever practicable, the superintendent of the facility shall request a policy statement or direction from the commissioner, and such statement or direction shall be applied. The request should be in writing but may be made orally where necessary and, where made orally, shall be followed up as soon as possible with a written request.

(c) Where, in the reasonable judgment of the superintendent of a facility, action must be taken before a policy statement or direction can be obtained, the procedure to be followed shall be determined by the superintendent. But any such determination, and a full statement of the facts and circumstances that gave rise to the determination, shall immediately be reported to the commissioner in writing.

7 CRR-NY 3.10 Reports and requests for instructions {#sec-7-crr-ny-3.10 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 3.10}

(a) Wherever it is provided in this Title that a report is to be made to or instructions are to be requested from the superintendent of a facility, the superintendent may designate an employee to receive such report or to furnish such instructions and the report or request shall be made to such employee. Instructions given by an employee designated to furnish same shall be deemed to be instructions given by the superintendent. Each such designation and any changes and amendments thereto shall be in writing and a copy thereof shall be forwarded to the commissioner.

(b) Wherever it is provided in this Title that a report is to be made to or instructions are to be requested from the commissioner, the commissioner may designate a deputy commissioner or other employee to receive such report or to furnish such instructions and the report or request shall be made to such person. Instructions given by an employee designated to furnish same shall be deemed to be instructions given by the commissioner. Each such designation and changes and amendments thereto shall be set forth in policy statements of the department.

7 CRR-NY 3.15 Action by commissioner {#sec-7-crr-ny-3.15 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 3.15}

(a) Where a decision or action is under review by the commissioner, such decision or action shall be considered valid until other instructions are issued by the commissioner.

(b) Instructions by the commissioner setting forth his determination in a matter will be issued in such form and with as much specificity as he may deem appropriate in the circumstances.

7 CRR-NY 3.20 Action by department employees {#sec-7-crr-ny-3.20 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 3.20}

When exercising discretion as permitted in this Title, unless otherwise specified, department employees should consider the safety or security of persons or property; security or control of correctional facilities; management or fiscal concerns; rehabilitation of inmates, or other correctional goals.

Part 5 DEPARTMENT RECORDS

7 CRR-NY 5.1 Applicability {#sec-7-crr-ny-5.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.1}

The rules and regulations set forth in this Part are promulgated pursuant to Correction Law, section 29(2); Public Officers Law, section 87; Public Health Law, sections 17 and 18; 45 CFR part 160, subparts A and B; and 45 CFR part 164, subpart E (December 28, 2000, amended August 14, 2002 and February 20, 2003), the Standards for Privacy of Individually Identifiable Health Information, also known as the HIPAA privacy regulations. These laws and regulations govern the privacy of records, statistics and other information collected, obtained and maintained by the department and information obtained in an official capacity by officers, employees or members thereof.

7 CRR-NY 5.5 Definitions {#sec-7-crr-ny-5.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.5}

For the purpose of this Part:

(a) Correctional supervision history means records constituting disciplinary charges and dispositions, good behavior allowance reports, warrants and cancellations of warrants, legal papers, court orders, transportation orders, records of institutional transfers and changes in program assignments, reports of injury to inmates and records relating to inmate property including the personal property lists and postage account card.

(b) DCJS report means the summary case history prepared by the New York State Division of Criminal Justice Services.

(c) Department record means any record, statistic or other information collected, obtained and maintained by the department and information obtained in an official capacity by officers, employees or members thereof.

(d) Drug abuse and alcohol abuse records means those records relating to drug and alcohol abuse rehabilitation as defined in 42 USC 290-dd-2 (1998) and 42 CFR 2.11 (1995). The statute and regulation are incorporated by reference and are authored by the United States Department of Health and Human Services and published by the United States Government Printing Office, Washington, DC 20402. A copy is available for public inspection and copying at the Department of Correctional Services, Harriman State Campus, 1220 Washington Avenue, Albany, NY 12226-2050.

(e) Employee record means a department record pertaining to a departmental employee and constituting part of his personal history folder.

(f) Inmate means present or former inmate.

(g) Inmate record means a department record that pertains to an individual inmate. The documents and information contained in an inmate record include, but are not limited to, the commitment, the DCJS report, the presentence report as defined in CPL 390.30, the receiving blotter, personal history data, criminal history information, including correctional supervision history data, as defined in 28 CFR 20.3.

(h) Medical record means information that is created or received by a health care provider (including the department), health plan, public health authority, employer, life insurer, school or university, or health care clearinghouse, and relates to the past, present, or future physical or mental health or condition of an individual, the provision of health care to an individual, or the past, present, or future payment for the provision of health care to an individual. The definition of inmate medical record does not include a health and/or psychiatric record, as defined in Mental Hygiene Law, section 33.13, created by or received from the New York State Office of Mental Health unless that record is physically incorporated into the Department of Correctional Services' medical record.

(i) Personal history means records consisting of inmate name, age, birthdate, birthplace, city of previous residence, physical description, occupation, correctional facilities in which the inmate has been incarcerated, commitment information and departmental actions regarding confinement and release.

(j) Workday means any day between the hours of 8 a.m. and 4 p.m., except Saturday, Sunday, a public holiday or a day on which the department is otherwise closed for general business.

7 CRR-NY 5.10 Department records {#sec-7-crr-ny-5.10 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.10}

Any department record not otherwise made available pursuant to this Part shall not be released except by the commissioner or his designee for good cause shown.

7 CRR-NY 5.11 Records access officer {#sec-7-crr-ny-5.11 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.11}

The records access officer for the Department of Corrections and Community Supervision is appointed by the department’s deputy commissioner and counsel. A request by any person wishing to inspect or obtain a copy of a departmental record shall be addressed in writing to: Records Access Officer, Department of Corrections and Community Supervision, 1220 Washington Avenue, Albany, NY 12226-2050. The request shall describe, in reasonable detail, the record or records sought. The request may be mailed or delivered in person to the above address on any workday between the hours of 9:00 a.m. and 4:00 p.m.

7 CRR-NY 5.12 Employment records {#sec-7-crr-ny-5.12 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.12}

The records access officer shall maintain a record setting forth the name, public office address, title and salary of every officer and employee of the department.

7 CRR-NY 5.13 Subject matter list {#sec-7-crr-ny-5.13 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.13}

(a) Every custodian of records under these regulations shall maintain an up-to-date subject matter list, reasonably detailed, of all records in his possession. The records access officer shall maintain a master index, reasonably detailed, of all records maintained by the department. The master index shall include the lists kept by all custodians as well as a list of records maintained at the department's central office.

(b) Each subject matter list and the master index shall be sufficiently detailed to permit identification of the file category of the record sought.

(c) The master index shall be updated not less than twice per year. The most recent update shall appear on the first page of the subject matter list. Each custodian of records and the records access officer shall make available the index kept by him for inspection and copying. Any person desiring a copy of such list may request in writing a copy and upon payment of the appropriate fee, unless waived, a copy of such list shall be mailed or delivered.

7 CRR-NY 5.15 Custodians {#sec-7-crr-ny-5.15 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.15}

(a) The superintendent or director of a facility shall be the custodian of all departmental records located at the facility unless otherwise specified herein. As custodian, he or she is a designee of the commissioner for the purposes of this Part.

(b) The counsel is the custodian of all records maintained by staff members of the office of counsel.

(c) Other designees may be appointed by the commissioner, the records access officer and the superintendent or director of a facility.

(d) Regional directors for community supervision are the custodian of all department records maintained within their respective regions.

7 CRR-NY 5.16 Dissemination log {#sec-7-crr-ny-5.16 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.16}

Whenever criminal history information is disclosed to organizations, agencies or persons outside of the department, the officer or employee making such disclosure shall keep an appropriate record or log to indicate such disclosure. Such log shall include, at the minimum, the names of all recipients of information and the date upon which disclosure is made. When practicable, such log shall also include the name of the inmate or inmates that are the subject of the disclosure, a brief description of the information disclosed and whether or not the disclosure is a correction of a previous disclosure.

7 CRR-NY 5.20 Examination of inmate record by subject or his attorney {#sec-7-crr-ny-5.20 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.20}

(a) An inmate or former inmate may request to inspect and copy that portion of his record to which he is entitled, either under article 6 of the Public Officers Law or under the access and review regulations of the Law Enforcement Assistance Administration, 28 CFR 20.21(g). A present inmate shall direct his request to the facility superintendent or his designee. A former inmate shall direct his request to the department's records access officer in accordance with section 5.11 of this Part.

(b) The above inspection and copying may be performed by an attorney representing an inmate or former inmate, with the consent of his client, or for good cause shown.

(c) An inmate who has been denied access to his records under this section may appeal such denial to the Counsel, Department of Correctional Services, Building 2, State Campus, Albany, NY 12226. Such appeal shall be in writing and shall set forth name and address (or facility) of the applicant, the specific records denied, the date of the request, the place of the request and, if known, the person denying such request and the date thereof. The counsel shall act on the appeal, as provided in section 5.45 of this Part, except that if access is requested pursuant to the Federal access and review regulations, the counsel need not forward copies of the appeal and decision to the Committee on Public Access to Records.

7 CRR-NY 5.21 [Repealed] {#sec-7-crr-ny-5.21 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.21}

7 CRR-NY 5.22 [Repealed] {#sec-7-crr-ny-5.22 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.22}

7 CRR-NY 5.23 Confidential records and data {#sec-7-crr-ny-5.23 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.23}

Notwithstanding anything herein to the contrary, any record, including medical records, mental health records, probation records, youthful offender and juvenile delinquent records, drug and alcohol abuse and rehabilitation records, the confidentiality of which is provided by law, shall only be released in accordance with the law governing such records.

7 CRR-NY 5.24 Inmate medical records {#sec-7-crr-ny-5.24 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.24}

(a) Inmate medical records shall be released in accordance with Public Health Law, sections 17 and 18; 45 CFR part 160, subparts A and B; and 45 CFR part 164, subpart E, the Standards for Privacy of Individually Identifiable Health Information, also known as the HIPAA privacy regulations, and State law.

(1) The department shall follow HIPAA privacy standards in regards to the use and disclosure of inmate medical records, except in circumstances where there is a more stringent State law. In such cases, the department will apply the more stringent law.

(2) The department incorporates by reference 45 CFR part 160, subparts A and B and 45 CFR part 164, subpart E (December 28, 2000, amended August 14, 2002 and February 20, 2003), the Standards for Privacy of Individually Identifiable Health Information, also known as the HIPAA privacy regulations. Such regulations are authored by the United States Department of Health and Human Services and published by the United States Government Printing Office, Washington, DC 20402. A copy is available for public inspection and copying at the Department of Correctional Services, Harriman State Campus, 1220 Washington Avenue, Albany, NY 12226-3050.

(b) For the purpose of providing legal services on behalf of the State, its agencies, officials, employees and persons described in Correction Law, section 24-a, such records may be released to the Office of the Attorney General, and to outside counsel certified pursuant to Public Officers Law, section 17.

(c) Where HIV-related information is contained in such records, confidential HIV-related information shall be released only pursuant to the provisions of Part 7 of this Title.

(d) Nothing in this section shall be construed as creating a private right of action for an individual who is the subject of these records or his/her personal representative.

7 CRR-NY 5.25 General inmate records and data {#sec-7-crr-ny-5.25 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.25}

All other inmate records and data shall only be released in the discretion of the commissioner or his designee for a proper purpose, giving consideration to the privacy of the inmate, the security of facilities and departmental operations and the public safety.

7 CRR-NY 5.30 Employee record {#sec-7-crr-ny-5.30 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.30}

(a) An employee or former employee shall have the opportunity to inspect and copy his own personal history folder at his work location or former location, respectively.

(b) Former employees may request to have copies of records sent to them. The custodian of the record of a former employee shall respond to a request from a former employee in accordance with section 5.35 of this Part. Present employees may be charged for copies according to section 5.36 of this Part, unless otherwise provided by collective bargaining agreement.

(c) Employee medical records shall not be provided to anyone except (1) pursuant to an authorization signed by the subject or someone authorized to act on his behalf, (2) in the case of a bona fide medical emergency to a provider of health services, (3) for scientific and historical research, provided the privacy of the subject is protected, or (4) as otherwise required or permitted by law.

(d) State, local and Federal law enforcement agencies may also be permitted to inspect, copy and receive information from personal history folders upon written or in-person request to the director of personnel. Medical information and records shall not be disclosed to law enforcement agencies except pursuant to a court order signed by a judge specifying the production of medical and/or psychiatric records, or pursuant to a written authorization of the employee or someone authorized to act on his behalf.

(e) As part of the routine of State business, including retirement, transfer, promotion, separation from State service or the filing for benefits, employee records may be made available to other State agencies.

(f) Information on an employee's job performance and the reasons for leaving employment or the reasons for a change in supervisor, unit or duty station may be provided to private firms and other nonstate agencies upon the written authorization of the employee or former employee.

(g) Verification as to whether a named person is an employee of the department may be made pursuant to telephone, mail or in-person inquiry. Information as to the length and location of employment of said employee may be disclosed pursuant to said inquiry.

(h) Information as to the salary and title of a named employee of the department shall be supplied only pursuant to written request, except that such information may be supplied upon oral request to other State departments and agencies, to local, Federal and State law enforcement agencies and to the media by the office of public information.

(i) Other information regarding an employee may be released for a proper purpose by the commissioner, a superintendent, the director of personnel or a designee thereof, in his discretion, giving consideration to the privacy of the employee.

7 CRR-NY 5.35 Procedure {#sec-7-crr-ny-5.35 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.35}

(a) Within five business days after receipt of a written request for a department record, the records access officer shall determine whether the record requested is in the department's custody and shall respond as provided for in subdivisions (b), (c) and (d) of this section.

Note:

Requests for inmate medical records received by a records access officer should be referred to the nurse administrator of the facility in which the inmate is incarcerated or from which the inmate was released. A copy of the referral letter shall be sent to the requester. Facilities may charge the reasonable fee of 50 cents per page for medical records, as allowed by HIPAA and Public Health Law, section 18. Access to medical records shall not be denied by reason of inability to pay.

(b) Acknowledged receipt of the request and a statement of the approximate date when such request will be granted or denied.

(c) If he determines, after diligent search, that the record requested is not in the department's custody, he shall certify, as the case may be:

(1) that the record does not exist or that, after diligent search, he has no record of it;

(2) that the record is in the custody of another specified agency; or

(3) that, after diligent search, the record cannot be found.

(d) If he determines that the record requested is in the department's custody, he shall either:

(1) produce the record for inspection at his office and, if so requested and upon payment of the appropriate fee, shall make and certify a copy of the record;

(2) advise the applicant that the record is in the department's custody and make arrangements for inspection or copying at a later time;

(3) mail copies of the requested record to the applicant or advise the applicant that copies will be sent upon payment of the appropriate fee;

(4) if agreeable to the person requesting the record, provide the information from the record rather than a copy of the record; or

(5) deny access to the entire record or portion thereof on one of the grounds specified in Public Officers Law, section 87(2).

(e) Whenever there is a deletion or denial in whole or part, the reason therefor shall be given in writing and notice shall be given of the right to appeal by giving the name, business address and phone number of the counsel.

7 CRR-NY 5.36 Fees {#sec-7-crr-ny-5.36 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.36}

The fee for photocopies of a department record obtained under this Part shall be 25 cents per page, not exceeding 9 inches by 14 inches in size, unless otherwise provided by statute, as in the case of medical records. The fees for other types of copies or other size copies or transcripts shall be such reasonable amounts as the deputy commissioner for administrative services shall establish, in conformity with the regulations of the Committee on Public Access to Records. Notwithstanding the provisions of this section, the custodian of the record may, in his discretion, waive all or any portion of the fees authorized by this section for any department record.

7 CRR-NY 5.40 [Repealed] {#sec-7-crr-ny-5.40 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.40}

7 CRR-NY 5.45 Appeal from denial of access {#sec-7-crr-ny-5.45 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.45}

Any person whose application to inspect or copy a department record has been denied may appeal such denial to the Counsel, Department of Correctional Services, Building 2, State Campus, Albany, NY 12226. Such appeal must be in writing and must set forth: the name and address of the applicant; the specific records denied; the date of the request; the place of request if other than Building 2, State Campus; and, if known, the person denying such request and the date thereof. Upon receipt of a written appeal from denial of access to a department record, the counsel shall forward, to the Committee on Public Access to Records, a copy of the appeal. Within 10 business days of the receipt of the appeal, the counsel shall affirm, modify or reverse the denial and shall inform the applicant in writing of his decision. A copy of the decision shall be forwarded to the Committee on Public Access to Records.

7 CRR-NY 5.50 Challenge to accuracy {#sec-7-crr-ny-5.50 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.50}

If the completeness or accuracy of any item of information contained in the personal history or correctional supervision history portion of an inmate's record is disputed by the inmate, the inmate shall convey such dispute to the custodian of the record or the designee of the custodian reviewing the record with him. The inmate may obtain a copy of any record that contains information the accuracy or completeness of which the inmate disputes. The fee for copies of records shall be in accordance with section 5.36 of this Part.

7 CRR-NY 5.51 Investigation {#sec-7-crr-ny-5.51 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.51}

(a) If the completeness or accuracy of any item of information is disputed by an inmate, the custodian of the record shall, within a reasonable period of time, investigate the accuracy and completeness of the information unless he has reasonable grounds to believe that the dispute by the inmate is frivolous. If the record in dispute is one which has been received from another governmental agency, then the custodian shall direct the inmate to make his challenge to such governmental agency.

(b) If the custodian, after investigation, shall determine the disputed information is erroneous or incomplete, he shall make such changes as are necessary and shall report to the inmate the results of the investigation and the changes, if any, which have been made no later than 45 days after the custodian or the custodian's designee has been advised of the dispute.

7 CRR-NY 5.52 Appeal from determination {#sec-7-crr-ny-5.52 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.52}

If the inmate still disputes the accuracy or completeness of the information after investigation and determination, the inmate may appeal the determination of the custodian to the Inspector General, Department of Correctional Services, State Campus, Building 2, Albany, NY 12226. The appeal shall be in writing. The Inspector General shall affirm, modify or reverse the determination of the custodian and shall notify the inmate of his decision within 30 days of receipt of the appeal.

7 CRR-NY 5.53 Names of previous recipients {#sec-7-crr-ny-5.53 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.53}

Upon request, an individual whose record has been corrected shall be given the names of all known agencies, individuals or organizations to whom the erroneous or incomplete data has been given.

7 CRR-NY 5.54 Notification of previous recipients {#sec-7-crr-ny-5.54 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.54}

The department shall notify all known recipients of the erroneous or incomplete information of the corrected data.

7 CRR-NY 5.60 to 5.63 to 5.63 [Repealed] {#sec-7-crr-ny-5.60-to-5.63 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.60 to 5.63}

7 CRR-NY 5.65 [Repealed] {#sec-7-crr-ny-5.65 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.65}

7 CRR-NY 5.70 to 5.71 to 5.71 [Repealed] {#sec-7-crr-ny-5.70-to-5.71 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 5.70 to 5.71}

Part 6 ACCESS TO RECORDS SUBJECT TO THE PERSONAL PRIVACY PROTECTION LAW

7 CRR-NY 6.1 Purpose and scope {#sec-7-crr-ny-6.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 6.1}

(a) It is the responsibility and the intent of the Department of Correctional Services (the department) to fully comply with the provisions of article 6-A of the Public Officers Law, the Personal Privacy Protection Law.

(b) The department shall maintain in its records only such personal information that is relevant and necessary to accomplish a purpose of the department that is required to be accomplished by statute or executive order, or to implement a program specifically authorized by law.

(c) Personal information will be collected, whenever practicable, directly from the person to whom the information pertains.

(d) The department seeks to ensure that all records pertaining to or used with respect to individuals are accurate, relevant, timely and complete.

(e) These regulations provide information regarding the procedures by which members of the public may assert rights granted by the Personal Privacy Protection Law.

(f) The provisions of this Part apply only to those persons and records covered by the Personal Privacy Protection Law. Inmate data subjects do not have a right to access or correct their records pursuant to Public Officers Law, sections 95(6)-(7), and 96(2)(c).

7 CRR-NY 6.2 Designation of privacy compliance officer {#sec-7-crr-ny-6.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 6.2}

(a) The deputy commissioner for administration is hereby designated privacy compliance officer and is responsible for ensuring that the department complies with the provisions of the Personal Privacy Protection Law and the regulations herein and for coordinating the department's response to requests for records or amendment of records under that law.

(b) The address and telephone number of the privacy compliance officer is: Department of Correctional Services, Building 2, 1220 Washington Avenue, Albany, NY 12226-2050, telephone (518) 457-8188.

(c) The director of human resources, Building 2, State Campus, 1220 Washington Avenue, Albany, NY 12226-2050 is hereby designated as the deputy privacy compliance officer.

(d) The privacy compliance officer and/or his deputies are responsible for:

(1) assisting a data subject in identifying and requesting personal information, if necessary;

(2) describing the contents of systems of records orally or in writing in order to enable a data subject to learn if a system of records includes a record or personal information identifiable to a data subject requesting such record or personal information;

(3) taking one of the following actions upon locating the record sought:

(i) make the record available for inspection, in a printed form without codes or symbols, unless an accompanying document explaining such codes or symbols is also provided;

(ii) permit the data subject to copy the record; or

(iii) deny access to the record in whole or in part and explain in writing the reasons therefor;

(4) making a copy available, upon request, upon payment of or offer to pay established fees, if any, or permitting the data subject to copy the records;

(5) upon request, certifying that a copy of a record is a true copy; or

(6) certifying, upon request, that:

(i) the department does not have possession of the record sought;

(ii) the department cannot locate the record sought after having made a diligent search; or

(iii) the information sought cannot be retrieved by use of the description thereof, or by use of the name or other identifier of the data subject without extraordinary search methods being employed by the department.

7 CRR-NY 6.3 Custodians {#sec-7-crr-ny-6.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 6.3}

(a) The superintendent of a correctional facility shall be the custodian of all departmental records located at the facility unless otherwise specified herein. As custodian he is a deputy privacy compliance officer for purposes of this Part.

(b) The director of human resources is the custodian of all records maintained by staff members of the bureau of personnel.

7 CRR-NY 6.4 Proof of identity {#sec-7-crr-ny-6.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 6.4}

(a) When a request is made in person, or when records are made available in person following a request made by mail, the department may require appropriate identification, such as a driver's license, an identifier assigned to the data subject by the department, a photograph or similar information that confirms that the record sought pertains to the data subject.

(b) When a request is made by mail, the department may require verification of a signature or inclusion of an identifier generally known only by a data subject, or similar appropriate identification.

(c) Proof of identity shall not be required regarding a request for a record accessible to the public pursuant to article 6 of the Public Officers Law.

7 CRR-NY 6.5 Location {#sec-7-crr-ny-6.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 6.5}

(a) Records shall be made available at the main office of the department, which is located at Building 2, State Campus, Albany, NY 12226.

(b) Whenever practicable, records shall be made available at a regional office most convenient to a data subject.

7 CRR-NY 6.6 Hours for public inspection and copying {#sec-7-crr-ny-6.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 6.6}

The department shall accept requests for records and produce records during regular business hours, which are 8:30 a.m. to 5:00 p.m., Monday through Friday, at Building 2, State Campus, Albany, NY 12226; and 8:30 a.m. to 3:00 p.m., Monday through Friday, at a correctional facility.

7 CRR-NY 6.7 Requests for records {#sec-7-crr-ny-6.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 6.7}

(a) All requests shall be made in writing, except that the department may make records available upon an oral request made in person after the applicant has demonstrated proof of identity.

(b) A request shall reasonably describe the record sought. Whenever possible, the data subject should supply identifying information that assists the department in locating the record sought.

(c) Requests based upon categories of information described in a notice of a system of records or a privacy impact statement shall be deemed to reasonably describe the record sought.

(d) Within five business days of the receipt of a request, the agency shall provide access to the record, deny access in writing, explaining the reasons therefor, or acknowledge the receipt of the request in writing, stating the approximate date when the request will be granted or denied, which date shall not exceed 30 days from the date of the acknowledgment.

7 CRR-NY 6.8 Amendment of records {#sec-7-crr-ny-6.8 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 6.8}

Within 30 business days of a request from a data subject for correction or amendment of a record or personal information that is reasonably described and that pertains to the data subject, the department shall:

(a) make the amendment or correction in whole or in part and inform the data subject that, on request, such correction or amendment will be provided to any person or governmental unit to which the record or personal information has been or is disclosed pursuant to paragraph (d), (i) or (l) of subdivision 1 of section 96 of the Public Officers Law; or

(b) inform the data subject, in writing, of its refusal to correct or amend the record, including the reasons therefor.

7 CRR-NY 6.9 Denial of request for a record or amendment or correction of a record or personal information {#sec-7-crr-ny-6.9 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 6.9}

(a) Denial of a request for a record or amendment or correction of a record or personal information:

(1) shall be in writing, explaining the reasons therefor; and

(2) identifying the person to whom an appeal may be directed.

(b) A failure to grant or deny access to records within five business days of the receipt of a request, or within 30 days of an acknowledgment of the receipt of a request, or a failure to respond to a request for amendment or correction of a record within 30 business days of receipt of a request, shall be construed as a denial that may be appealed.

(c) Any such denial may be appealed to the Counsel, Department of Correctional Services, Building 2, State Campus, Albany, NY 12226.

7 CRR-NY 6.10 Appeal {#sec-7-crr-ny-6.10 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 6.10}

(a) Any person denied access to a record or personal information pursuant to this section may, within 30 business days of such denial, appeal to the Counsel of the Department of Correctional Services.

(b) The time for deciding an appeal shall commence upon receipt of an appeal that identifies:

(1) the date and location of a request for a record or amendment or correction of a record or personal information;

(2) the record that is the subject of the appeal; and

(3) the name and return address of the appellant.

(c) Within seven business days of an appeal of a denial of access, or within 30 business days of an appeal concerning a denial of a request for correction or amendment, the person determining such appeals shall:

(1) provide access to or correct or amend the record or personal information; or

(2) fully explain in writing the factual and statutory reasons for further denial, and inform the data subject of the right to seek judicial review of such determination pursuant to article 78 of the Civil Practice Law and Rules.

(d) If, on appeal, a record or personal information is corrected or amended, the data subject shall be informed that, on request, the correction or amendment will be provided to any person or governmental unit to which the record or personal information has been or is disclosed pursuant to paragraph (d), (i) or (l) of subdivision 1 of section 96 of the Public Officers Law.

(e) The agency shall immediately forward to the Committee on Open Government a copy of any appeal made pursuant to this Part upon receipt, the determination thereof and the reasons therefor at the time of such determination.

7 CRR-NY 6.11 Statement of disagreement by data subject {#sec-7-crr-ny-6.11 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 6.11}

(a) If correction or amendment of a record or personal information is denied in whole or in part upon appeal, the determination rendered pursuant to the appeal shall inform the data subject of the right to:

(1) file with the department a statement of reasonable length setting forth the data subject's reasons for disagreement with the determination;

(2) request that such a statement of disagreement be provided to any person or governmental unit to which the record has been or is disclosed pursuant to paragraph (d), (i) or (l) of subdivision 1 of section 96 of the Public Officers Law.

(b) Upon receipt of a statement of disagreement by a data subject, the department shall:

(1) clearly note any portions of the record that are disputed; and

(2) attach the data subject's statement as part of the record.

(c) When providing a data subject's statement of disagreement to a person or governmental unit in conjunction with a disclosure made pursuant to paragraph (d), (i) or (l) of subdivision (1) of section 96 of the Public Officers Law, the department may also include a concise statement of its reasons for not making the requested amendment or correction.

7 CRR-NY 6.12 Fees {#sec-7-crr-ny-6.12 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 6.12}

(a) Unless otherwise prescribed by statute, there shall be no fee charged for:

(1) inspection of records;

(2) search for records; or

(3) any certification pursuant to this Part.

(b) Unless otherwise prescribed by statute, copies of records shall be provided:

(1) at a fee of 25 cents per photocopy up to 9 × 14 inches; or

(2) upon payment of the actual cost of reproduction, if the record or personal information cannot be photocopied.

(c) The actual cost of reproduction shall be based upon the average unit cost for copying a record, excluding fixed costs of the department such as operator salaries and overhead.

7 CRR-NY 6.13 Severability {#sec-7-crr-ny-6.13 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 6.13}

If any provision of this Part or the application thereof to any person or circumstance is adjudged invalid by a court of competent jurisdiction, such judgment shall not affect or impair the validity of the other provisions of this Part or the application thereof to other persons and circumstances.

Part 7 AIDS CONFIDENTIALITY

7 CRR-NY 7.1 Purpose {#sec-7-crr-ny-7.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 7.1}

It is the responsibility and the intent of the Department of Correctional Services (the department) to adopt regulations to fully comply with the provisions of Public Health Law, article 27-F. All department staff should be aware that there are statutory penalties for the violation of Public Health Law article 27-F, including criminal misdemeanor penalties and/or civil penalties up to $5,000 for each violation. A violation of Public Health Law article 27-F or of this Part may result in departmental discipline.

7 CRR-NY 7.2 Definitions {#sec-7-crr-ny-7.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 7.2}

When used in this Part, the following terms have the following meanings:

(a) AIDS means acquired immune deficiency syndrome, as may be defined from time to time by the Centers for Disease Control of the United States Public Health Service.

(b) HIV infection means infection with the human immunodeficiency virus or any other related virus identified as a probable causative agent of AIDS.

(c) HIV-related illness means any illness that may result from or may be associated with HIV infection.

(d) HIV-related test means any laboratory test or series of tests for any virus, antibody, antigen or etiologic agent whatsoever thought to cause or to indicate the presence of HIV infection.

(e) Capacity to consent means an individual's ability, determined without regard to such individual's age, to understand and appreciate the nature and consequences of a proposed health care service, treatment or procedure, and to make an informed decision concerning such service, treatment or procedure.

(f) Protected individual means a person who is the subject of an HIV-related test or who has been diagnosed as having HIV infection, AIDS or HIV-related illness.

(g) Confidential HIV-related information means any information, in the possession of a person who provides one or more health or social services or who obtains the information pursuant to a release of confidential HIV-related information, concerning whether an individual has been the subject of an HIV-related test, or has HIV infection, HIV-related illness or AIDS, or information which identifies or reasonably could identify an individual as having one or more of such conditions, including information pertaining to such individual's contacts.

(h) Health or social service means any public or private care, treatment, clinical laboratory test, counseling or educational service for adults or children, and acute, chronic, custodial, residential, outpatient, home or other health care provided pursuant to the Public Health Law or the Social Services Law; public assistance or care as defined in article 1 of the Social Services Law; employment-related services, housing services, foster care, shelter, protective services, day care, or preventive services provided pursuant to the Social Services Law; services for the mentally disabled as defined in article 1 of the Mental Hygiene Law; probation services, provided pursuant to article 12 of the Executive Law; parole services, provided pursuant to article 12-B of the Executive Law; correctional services, provided pursuant to the Correction Law; and detention and rehabilitative services provided pursuant to article 19-G of the Executive Law.

(i) Release of confidential HIV-related information means a written authorization for disclosure of confidential HIV-related information which is signed by the protected individual, or if the protected individual lacks capacity to consent, a person authorized pursuant to law to consent to health care for the individual. Such release shall be dated and shall specify to whom disclosure is authorized, the purpose for such disclosure and the time period during which the release is to be effective. A general authorization for the release of medical or other information shall not be construed as a release of confidential HIV-related information, unless such authorization specifically indicates its dual purpose as a general authorization and an authorization for the release of confidential HIV-related information and complies with this definition.

(j) Contact means an identified spouse or sex partner of the protected individual or a person identified as having shared hypodermic needles or syringes with the protected individual.

(k) Health care provider means any physician, nurse, provider of services for the mentally disabled as defined in article one of the Mental Hygiene Law, or other person involved in providing medical, nursing, counseling, or other health care or mental health service. As used in this Part, the term includes but is not limited to, the Deputy Commissioner/Director of Correctional Medical Standards, the medical director of a correctional facility, physicians, dentists and nurses providing patient care, the counselor of the protected individual, if deemed necessary by the treating physician for the provision of counseling services, and department personnel involved in direct patient care, as determined by the physician.

7 CRR-NY 7.3 Antidiscrimination {#sec-7-crr-ny-7.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 7.3}

(a) It is the policy of the department that the department and its officers, employees and agents shall not discriminate against any individual by virtue of his or her being identified or suspected of being identified as having AIDS, HIV infection, or HIV-related illness.

(b) The policy set forth in subdivision (a) of this section shall not be construed to prevent differential treatment of inmates on account of HIV status or current medical condition, provided that such differential treatment is necessary in order to provide adequate and appropriate medical treatment and services for individuals identified, or suspected of being identified, as having AIDS, HIV infection or HIV-related illness, or in order to protect the health and safety of such individuals, where it has been determined that there is a significant risk to the health and safety of the individual or another person, by virtue of the individual's HIV status or medical condition.

(c) The department shall ensure that its authorized officers, employees and agents are aware of the department's policy as set forth in this section. All officers, employees and agents of the department shall act in a manner consistent with this policy.

7 CRR-NY 7.4 HIV-related testing {#sec-7-crr-ny-7.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 7.4}

(a) Except as noted in subdivision (b) of this section, no physician or other person authorized pursuant to law may order an HIV-related test without first obtaining written informed consent.

(1) Informed consent shall include providing pre-test counseling to the person to be tested or, if such person lacks capacity to consent, to the person lawfully authorized to consent to health care for such person. Pre-test counseling shall include:

(i) explanations regarding the nature of HIV infection and HIV-related illness, an explanation of the HIV-related test, including a description of the procedure to be followed, meaning of the test result, and the benefits of taking the test, including early diagnosis and medical intervention;

(ii) information regarding discrimination problems which might occur as a result of unauthorized disclosure of HIV-related information and legal protections prohibiting such disclosures;

(iii) information on preventing exposure or transmission of HIV infection, including behavior which poses a risk of HIV transmission;

(iv) an explanation that the test is voluntary, that consent may be withdrawn at any time and information on the availability of anonymous HIV testing, including the location and telephone numbers of anonymous test sites and that anonymous testing is not available in the facilities;

(v) written informed consent must be executed on form HS-1.

(b) Informed consent is not required in the following situations, but pre- and post-test counseling shall be offered in situations described in paragraphs (1) and (2) of this subdivision:

(1) for court ordered testing pursuant to Civil Practice Law and Rules, section 3121;

(2) if otherwise specifically authorized or required by State or Federal law;

(3) for testing related to procuring, processing, distributing or use of a human body or human body part, including organs, tissues, eyes, bones, arteries, blood, semen or other body fluids for use in medical research or therapy, or for transplantation to persons, provided that if the test results are communicated to the tested person, post-test counseling is required;

(4) for research if the testing is performed in a manner by which the identity of the test subject is not known and may not be retrieved by the researcher;

(5) for testing of a deceased person to determine cause of death or for epidemiological purposes.

(c) In addition to an explanation of the test result, post-test counseling or referrals with respect to a positive test result, shall be provided to the person who consented to the test. Such post-test counseling and referrals must address:

(1) coping emotionally with the test results;

(2) discrimination issues;

(3) information on the ability to release or revoke the release of confidential HIV-related information;

(4) information on preventing exposure to or transmission of HIV infection and information on available medical treatment;

(5) the need to notify contacts to prevent transmission, including information on State or county assistance in voluntary contact notification, if appropriate.

(d) When a negative HIV-related test result is communicated to the individual, counseling shall be offered discussing:

(1) the meaning of and limitation of the test result; and

(2) the means to remain free of infection and means to avoid transmitting the virus.

(e) A physician or other person authorized pursuant to law to order an HIV-related test shall certify on a laboratory requisition form that informed consent has been obtained.

7 CRR-NY 7.5 Confidentiality and disclosure {#sec-7-crr-ny-7.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 7.5}

(a) It is the policy of the department that whenever disclosure of confidential HIV-related information is warranted as defined in subdivision (b) of this section, such disclosure, whenever possible, should be made pursuant to the consent of the protected individual, and all reasonable steps, including appropriate counseling, should be taken to obtain consent. Once consent has been obtained, Form HS-2, or any other form approved by the Department of Health, is to be used as a release form for disclosure of confidential HIV-related information. Only Form HS-2, or other Department of Health approved form, is to be used for this purpose. A general medical release is not sufficient for the purpose of disclosing confidential HIV-related information.

(b) No person who obtains confidential HIV-related information in the course of his or her employment with the department or pursuant to a release of confidential HIV-related information may disclose or be compelled to disclose such information, except to the following:

(1) the protected individual or, when the protected individual lacks capacity to consent, a person authorized by law to consent to health care for the individual;

(2) any person to whom disclosure is authorized pursuant to a release of confidential HIV-related information in accordance with subdivision (a) of this section;

(3) a health care provider of the protected individual as defined in section 7.2(j) of this Part;

(4) Deputy Commissioner/Director of Correctional Medical Standards and employees within the Division of Health Services authorized by the Deputy Commissioner as necessary to perform their duties and to provide appropriate supervision, monitoring, administration or provision of treatment and services offered to the protected individual;

(5) Assistant Commissioner for Health Services and employees within the Division of Health Services as necessary on a need to know basis for providing appropriate supervision, monitoring, administration or provision of treatment and services offered to the protected individual;

(6) superintendent of the facility in which the protected individual is incarcerated as necessary on a need to know basis for providing appropriate supervision, monitoring, administration or provision of treatment and services offered to the protected individual, including services associated with possible parole release;

(7) attorneys for the department or with the Office of the Attorney General when access is reasonably necessary in the course of providing legal services and when reasonably necessary for supervision, monitoring, administration or provision of services;

(8) authorized employees of the facility Business Office, Deputy Superintendent for Administration, Central Office Budget and Finance, Bureau of Internal Controls, the Deputy Commissioner of Administration, and the Division of Audit and Control as necessary to ensure appropriate payment of medical services or to track expenses associated with HIV-related care;

(9) Assistant Commissioner for Population Management as necessary on a need to know basis for providing appropriate supervision, monitoring, administration or provision of treatment and services offered to the protected individual, including services associated with possible parole release;

(10) institutional parole officer from the facility medical director by use of the Health Discharge Summary Sheet;

(11) Parole Services Program Specialist by the Deputy Commissioner/Director of Correctional Medical Standards;

(12) authorized employee of the State Commission of Correction, as defined by the rules and regulations promulgated by the State Commission of Correction;

(13) a clinician of the Office of Mental Health upon the clinician's written request provided that the clinician is involved in the treatment of the individual, or if facility medical personnel believes the release of confidential HIV-related information to the clinician may be beneficial to the treatment of the individual;

(14) a medical director of a local correctional facility or the medical director of a Federal correctional facility or the medical director of the Bureau of Immigration and Naturalization Services in which the protected individual is incarcerated or is to be transferred, to the extent that such medical director is authorized to access such information with respect to a protected individual;

(15) a funeral director upon taking charge of the remains of a deceased person when such funeral director has access in the ordinary course of business to HIV-related information on the death certificate of the deceased individual, as authorized by Public Health Law, section 2785;

(16) any person not listed above, to whom disclosure is authorized pursuant to Public Health Law, section 2782.1(a) through (o) or 2785.

(c) Confidential HIV-related information of a protected person may be disclosed to authorized employees or agents of a governmental agency pursuant to the regulations of the governmental agency when the person providing health or social services is regulated, supervised or monitored by the governmental agency or when the governmental agency administers the health program or a social service program and when such employees or agents have access to records in the ordinary course of business and when access is reasonably necessary for regulation, supervision, monitoring, administration or provision of services. Such authorized employees or agents may include attorneys authorized by a governmental agency when access occurs in the ordinary course of providing legal services and is reasonably necessary for supervision, monitoring, administration or provision of services. Such authorized employees or agents may also include public health officers as required for conducting epidemiological or surveillance investigations pursuant to the State Sanitary Code. Such surveillance or investigational data shall also be disclosed by the Public Health Officer to the State Department of Health as required by the State Sanitary Code.

(d) Confidential HIV-related information of a protected person may be disclosed to authorized employees or agents of a provider of health or social services when such provider is either regulated, supervised or monitored by a governmental agency or when a governmental agency administers the provider's health or social service program, and when such employees or agents have access to records in the ordinary course of business and when access is reasonably necessary for regulation, supervision, monitoring, administration or provision of services. Such authorized employees or agents may include attorneys authorized by persons providing health services when access occurs in the ordinary course of providing legal services and is reasonably necessary for supervision, monitoring, administration or provision of services.

(e) A physician may disclose confidential HIV-related information pertaining to a protected individual to a person, known to the physician, authorized pursuant to law to consent to the health care for a protected individual when the physician reasonably believes that:

(1) disclosure is medically necessary in order to provide timely care and treatment for the protected individual; and

(2) after appropriate counseling as to the need for such disclosure, the protected individual will not inform a person authorized by law to consent to health care; provided, however, that the physician shall not make such disclosure if, in the judgment of the physician:

(i) the disclosure would not be in the best interest of the protected individual; or

(ii) the protected individual is authorized pursuant to law to consent to such care and treatment.

A physician's decision to disclose pursuant to this paragraph, and the basis for that decision shall be recorded in the medical record.

(f) Written disclosure must be accompanied by a written statement prohibiting further disclosure. The statement shall include the following language or substantially similar language: “This information has been disclosed to you from confidential records which are protected by State law. State law prohibits you from making any further disclosures of this information without the specific written consent of the person to whom it pertains, or as otherwise permitted by law. Any unauthorized further disclosure in violation of State law may result in a fine or jail sentence or both. A general authorization for the release of medical or other information is not sufficient authorization for further disclosure.” Form HS-3 is to be used for this purpose.

(g) If oral disclosures are necessary, they must be accompanied or followed as soon as possible, but no later than 10 days, by the statement required by subdivision (f) of this section.

(h) The statement required by subdivisions (f) and (g) of this section is not required for release to the protected person or to a person authorized by law to consent to health care for the individual when the protected individual lacks capacity, or for releases made by a physician or public health officer to a contact. For disclosures of confidential HIV-related information from the patient's medical record to persons who are permitted to access this information pursuant to paragraphs (b)(4)-(15) of this section and physicians or nurses or their authorized staff who are permitted to access this information pursuant to paragraph (b)(3) of this section, it shall be sufficient for the statement required by subdivisions (f) and (g) of this section to appear in the medical record itself.

(i) No person to whom confidential HIV-related information has been disclosed shall disclose the information to another person except as authorized by this Part, provided, however, that the provisions of this Part shall not apply to the protected individual or a natural person who is authorized pursuant to law to consent to health care for the protected individual.

7 CRR-NY 7.6 Documentation of HIV-related information and disclosures {#sec-7-crr-ny-7.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 7.6}

(a) Confidential HIV-related information shall be recorded in the inmate's medical record such that it is readily accessible to provide proper care and treatment.

(1) If the protected individual specifically requests, on a prospective basis, the results of the HIV antibody testing shall not be placed in the individual's medical record.

(b) No flags on case folders or charts, lists on walls or other similar displays shall be used to indicate individuals with HIV infection. This shall not be construed to prevent the existence of specialized case loads.

(c) Confidential HIV-related information shall not be disclosed in response to a request under the Freedom of Information Law (Public Officers Law, article 6) or in response to a subpoena.

(d) The department will ensure that all employees and agents authorized to receive confidential HIV-related information under these regulations are aware of the provisions of the HIV and AIDS Related Information Act (Public Health Law, article 27-F) concerning confidentiality of HIV-related information and the department's rules regarding confidentiality or records. All authorized employees and agents of the department shall at all times maintain the confidentiality of any confidential HIV-related information in their possession.

(e) Confidential HIV-related information shall be noted in a certificate of death, autopsy report or related documents prepared pursuant to Public Health Law, article 41 or other laws relating to documentation of cause of death.

(f) All disclosures of confidential HIV-related information must be noted in the inmate's medical record, except:

(1) Notation is not required for disclosure to agents or employees of health facilities or health care providers authorized under section 7.5(b)(4) or (7) of this Part or for disclosure to physicians or nurses or their clerks authorized under section 7.5(b)(3) of this Part.

(g) The protected person shall be informed of disclosures of HIV information upon request of the protected person.

7 CRR-NY 7.7 Contact notification {#sec-7-crr-ny-7.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 7.7}

(a) A physician employed by the department or rendering professional services at the request of the department or facility of the department may disclose HIV-related information, without the protected person's consent, to a contact or to a public health officer when:

(1) the physician reasonably believes disclosure is medically appropriate and a significant risk of infection exists; and

(2) the protected person has been counseled to notify his/her contacts and the physician reasonably believes the protected person will not inform the contacts.

(b) The physician must inform the protected person of the physician's intent to disclose and the physician must comply with the protected person's choice of whether the physician or a public health officer will attempt to notify the contact. All notifications shall be in person except where circumstances reasonably prevent doing so.

(c) The identity of the protected person shall not be disclosed to the contact.

(d) When a public health officer is requested to notify contacts, the officer shall meet, when possible, with the protected party to counsel and verify information prior to any notification of such person's contacts.

(e) The person notifying the contact shall provide or make referrals for the provision of appropriate medical advice and counseling for coping with the emotional consequences of learning the information and for changing behavior to prevent transmission or contraction of HIV infection.

(f) If a protected person dies and the physician reasonably believes the protected person had not informed his/her contacts and reasonably believes disclosure is medically appropriate and that a significant risk of infection exists, the physician may notify the contact or request the public health officer to notify the contact. All such notifications shall be in person, except where circumstances reasonably prevent doing so and the identity of the deceased shall not be disclosed.

(g) A physician shall have no obligation to identify, locate or notify any contact.

7 CRR-NY 7.8 Records control {#sec-7-crr-ny-7.8 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 7.8}

(a) The Deputy Commissioner/Director of Correctional Medical Standards shall develop and implement policies and procedures for persons authorized to obtain confidential HIV-related information pursuant to section 7.5(b)(3) through (8) inclusive of this Part to ensure that records are maintained securely, including records which are electronically stored, and used for the purpose intended.

(b) The Deputy Commissioner/Director of Correctional Medical Standards shall develop and implement procedures for handling requests by other parties for confidential HIV-related information.

(c) No employee or agent of the department who has access to confidential HIV-related information shall disclose such information to any other person unless such person also has access to confidential HIV-related information as described in section 7.5(b) of this Part.

(d) Each employee who is given authorized access to the health records of an identified person that includes confidential HIV-related information shall:

(1) be advised in writing by the supervisor that the employee shall not:

(i) examine documents or computer data containing such HIV-related information unless required to do so in the course of his/her official duties and responsibilities;

(ii) remove or copy any such documents or computer data unless he or she is acting within the scope of his or her assigned duties;

(iii) discuss the content of any such documents or computer data with any person unless that person is authorized to have access to such documents or data.

7 CRR-NY 7.9 Significant risk {#sec-7-crr-ny-7.9 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 7.9}

(a) The three factors necessary to create a significant risk of contracting or transmitting HIV infection are:

(1) the presence of a significant risk body substance;

(2) a circumstance which constitutes significant risk for transmitting or contracting HIV infection; and

(3) the presence of an infectious source and a noninfected person.

(b) Significant risk body substances are blood, semen, vaginal secretions, breast milk, tissue and the following body fluids: cerebrospinal, amniotic, peritoneal, synovial, pericardial, and pleural.

(c) Circumstances which constitute significant risk for transmitting or contracting HIV infection are as follows:

(1) sexual intercourse (vaginal, anal, oral) which exposes a noninfected individual to blood, semen or vaginal secretions of an infected individual;

(2) sharing of needles and other paraphernalia used for preparing and injecting drugs between infected and noninfected individuals;

(3) the gestation, birthing or breast feeding of an infant when the mother is infected with HIV;

(4) transfusion or transplantation of blood, organs, or other tissues obtained from an infected individual to an uninfected individual, providing such products have not tested negatively for antibody or antigen and have not been rendered noninfective by heat or chemical treatment;

(5) other circumstances not identified in paragraphs (1) through (4) of this subdivision during which a significant risk body substance (other than breast milk) of an infected individual contacts mucous membranes (e.g., eyes, nose, mouth), nonintact skin (e.g., open wound, skin with a dermatitis condition, abraded areas), or the vascular system of a noninfected person. Such circumstances include, but are not limited to, needle stick or puncture wound injuries and direct saturation or permeation of these body surfaces by the infectious body substance.

(d) Circumstances that involve significant risk shall not include:

(1) exposure to urine, feces, sputum, nasal secretions, saliva, sweat, tears or vomitus that does not contain blood that is visible to the naked eye;

(2) human bites where there is no direct blood to blood, or blood to mucous membrane contact;

(3) exposure of intact skin to blood or any other body substance;

(4) occupational settings where individuals use scientifically accepted barrier techniques and preventive practices in circumstances which would otherwise pose a significant risk.

7 CRR-NY 7.10 Training and protection of persons who may be in contact with the human immunodeficiency virus (HIV) {#sec-7-crr-ny-7.10 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 7.10}

(a) The department will seek to protect individuals in contact with protected individuals, when such contact creates a significant risk of contracting or transmitting HIV infection.

(b) The following procedures will be adopted to protect employees:

(1) Employees will be instructed to use universal precautions and infection control equipment in accordance with the Centers for Disease Control in situations where there is actual or potential contact with significant risk body substances as defined in section 7.9(b) of this Part.

(2) Employees shall use generally accepted preventive practices during job-related activities which involve the use of contaminated instruments or equipment which may cause puncture injuries.

(3) Employees shall receive education at the time of employment and appropriate intervals thereafter on the use of protective equipment, preventive practices, and circumstances which represent a significant risk for all employees whose job-related tasks involve, or may involve, exposure to significant risk body substances.

(c) Employees may voluntarily report exposures thought to represent a circumstance for significant risk to facility health services personnel or the Deputy Commissioner/Director of Correctional Medical Standards. The circumstances of the reported exposure shall be evaluated and appropriate follow-up of the exposed individual shall be offered, including the following:

(1) medical and epidemiological assessment of the individual who is the source of the exposure, where that individual is known and available;

(2) if epidemiologically indicated, HIV counseling and referral for voluntary testing of the exposed individual. If the HIV status is not known to the exposed individual, disclosure can be made with the express written consent of the protected individual, or pursuant to court order, or a person authorized by law to consent to health care for the protected individual if such person lacks capacity to consent;

(3) appropriate medical follow-up of the exposed individual;

(4) assurances for protection of confidentiality for those involved in reported exposures;

(5) at any time that testing or other activity is considered pursuant to this section, both the source individual and the exposed individual shall, in addition to any other notices, receive and sign a notice that no one can be compelled to disclose information concerning an HIV test or HIV-related illness, nor can anyone be compelled to submit to an HIV-related test absent a court order or unless otherwise specifically authorized under State or Federal law;

(6) no person may retaliate against any individual by reason or his or her refusal to submit to testing or to disclosing confidential HIV-related information.

Part 8 RELEASE OF INFORMATION TO INMATE FAMILIES AND THE NEWS MEDIA

7 CRR-NY 8.1 Policy {#sec-7-crr-ny-8.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 8.1}

Members of an inmate's immediate family and the news media generally have no special legal right of access to information regarding an inmate. Nevertheless, the department seeks to be responsive to legitimate inquiries from inmate families and the news media without compromising the safety, security and good order of correctional facilities and applicable law.

7 CRR-NY 8.2 Immediate family members {#sec-7-crr-ny-8.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 8.2}

The immediate family of an inmate shall be entitled to the following information without authorization from the inmate: correctional facility in which confined, general state of health, date of death, general circumstances relating to the occurrence of death, and departmental actions regarding release and confinement. Additional information on an inmate injury or death that is subject of a pending investigation shall only be released upon approval of department counsel.

7 CRR-NY 8.3 News media {#sec-7-crr-ny-8.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 8.3}

Upon request by the news media, the following information from an inmate record shall be made available unless otherwise prohibited by statute or regulation: name, date of birth, birthplace, place of previous residence, physical description, commitment information, present facility in which housed, departmental actions regarding confinement and release, and when related to a newsworthy event, institutional work assignments, general state of health, and an occurrence of death. Other information shall only be released to the news media at the discretion of the commissioner or his designee, giving consideration (a) to safety and security, (b) to the protection of the privacy of the inmate and his right to a fair trial or retrial, and (c) to the public's right to know, unless otherwise provided by statute or regulation. News media shall make requests for information to the office of public information.

Note:

Pursuant to section 677 of the County Law, findings and conclusions regarding the cause of an inmate's death may be requested from the office of the coroner/medical examiner of the county in which the death occurred.

7 CRR-NY 8.4 to 8.8 to 8.8 [Repealed] {#sec-7-crr-ny-8.4-to-8.8 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 8.4 to 8.8}

7 CRR-NY 8.9 [Repealed] {#sec-7-crr-ny-8.9 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 8.9}

7 CRR-NY 8.10 [Repealed] {#sec-7-crr-ny-8.10 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 8.10}

Chapter II EMPLOYEE RULES

Part 50 OFFICIALS OF THE DEPARTMENT OF CORRECTIONS AND COMMUNITY SUPERVISION

7 CRR-NY 50.1 Definition {#sec-7-crr-ny-50.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 50.1}

In accordance with Criminal Procedure Law, section 1.20, subdivision 33, and section 2.10, subdivision 25, the following are hereby designated as officials of the Department of Corrections and Community Supervision:

(a) the commissioner;

(b) executive deputy commissioner;

(c) deputy commissioner;

(d) associate commissioner and deputy commissioner and counsel;

(e) [Reserved]

(f) assistant commissioner;

(g) superintendents;

(h) deputy superintendents;

(i) chief of investigations;

(j) investigators;

(k) correction captains;

(l) correction lieutenants;

(m) correction sergeants;

(n) assistant chief of investigations;

(o) assistant deputy superintendents;

(p) community correction center assistants;

(q) correctional services training academy director;

(r) facility operations specialists;

(s) [Reserved]

(t) coordinator, correctional services employee investigations;

(u) correctional services employee investigators;

(v) senior correctional services employee investigators;

(w) [Reserved]

(x) correction officers assigned to a training academy in the department or the central office of the department;

(y) the director of the Correction Emergency Response Team (C.E.R.T.);

(z) first deputy superintendent;

(aa) director and assistant director of special housing and inmate disciplinary procedures;

(ab) institution safety officers;

(ac) [Reserved]

(ad) correctional security technical services specialist;

(ae) director of human resources management;

(af) [Reserved]

(ag) director and assistant director of the crisis intervention unit;

(ah) assistant regional director of parole operations;

(ai) correctional services fire and safety coordinator;

(aj) senior warrant and transfer officer;

(ak) senior parole officer and senior parole officer special services;

(al) supervising parole officer and supervising parole officer special services;

(am) regional director parole operations;

(an) supervising regional director; and

(ao) assistant deputy director parole operations.

Part 51 PUBLIC CONTACTS OF INSTITUTIONS AND EMPLOYEES

7 CRR-NY 51.1 Divulgence of information {#sec-7-crr-ny-51.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 51.1}

Information relative to institutional or departmental affairs and individual inmates must be authorized and given out by the commissioner or his or her designee, provided the divulgence of such information does not tend to defeat the ends of justice or adversely affect the interests of the department. Inquiries addressed by persons outside the department to any employee concerning inmates individually or in general, or offering employment to an inmate, or inquiring about employment in the institution, or for any other information about the institution or the department, shall not be answered by the employee but referred to the superintendent.

7 CRR-NY 51.2 Requests to photograph institutions {#sec-7-crr-ny-51.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 51.2}

Requests received by superintendents for permission to take photographs or make pictures, either still or motion, of any correctional facility or of any of the activities therein, shall be forwarded to the commissioner or his or her designee. Such requests will not be approved where the pictures or photographs are to be used for commercial purposes unrelated to the gathering of news.

7 CRR-NY 51.3 Taking nonemployees to institution departments {#sec-7-crr-ny-51.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 51.3}

No employee shall be permitted to escort any person not employed by the department to any of the institutional departments without first being directed by, or having obtained the approval of, the superintendent.

7 CRR-NY 51.4 Control of visitors by employee {#sec-7-crr-ny-51.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 51.4}

An employee assigned to conduct visitors through the correctional facility shall require them to refrain from giving anything to or receiving anything from inmates; from loud talking or boisterous conduct; and from loitering along the way or separating themselves from the group or the employee.

7 CRR-NY 51.5 Restrictions on visitors {#sec-7-crr-ny-51.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 51.5}

Persons visiting institutions shall not be permitted to know the identity of inmates or their past histories; nor to communicate with them; nor shall they be permitted to handle tools, working materials, or other similar objects or appurtenances. Exception to this rule shall be taken when visitors are on official business, or have permission of the commissioner to proceed to the contrary. Unless the exception to this rule applies, visitors shall be taken only to such places as may be designated by the superintendent.

7 CRR-NY 51.6 Employees not to accept tips {#sec-7-crr-ny-51.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 51.6}

Employees shall not accept tips or gifts of any kind from visitors for any official service.

7 CRR-NY 51.7 Entertainment fees prohibited {#sec-7-crr-ny-51.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 51.7}

No fee shall be collected, either directly or indirectly, for admission of the public or inmates to athletic games and events, theatricals, or any other type of entertainment held in the institutions. Approval of the commissioner or his or her designee must be obtained by the superintendent before the public may be admitted to any program, exhibit or other activity of an institution.

7 CRR-NY 51.8 Superintendent may accept gifts and donations {#sec-7-crr-ny-51.8 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 51.8}

With the approval of the commissioner, the superintendent may accept gifts or donations offered to the department or institutions by individuals or legitimate organizations interested in the welfare and improvement of inmates, if the nature of such gifts or donations makes it possible to use them for the general welfare of the inmates, and if such donations do not in any manner obligate the institution or the department to the donor.

7 CRR-NY 51.9 Fingerprinting employees {#sec-7-crr-ny-51.9 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 51.9}

All employees shall be fingerprinted and subjected to a criminal history inquiry for the purposes of obtaining background information pertinent to the security of operations, verifying information on employment applications, and obtaining notification of subsequent arrests. Fingerprinting will be conducted and processed in accordance with departmental directive.

7 CRR-NY 51.10 Congregating at entrance prohibited {#sec-7-crr-ny-51.10 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 51.10}

No persons shall be allowed to congregate inside or outside the entrance, nor at any point contiguous to it, if the security and safety of the institution are thereby threatened.

7 CRR-NY 51.11 Department guidelines and policy for release of information to news media {#sec-7-crr-ny-51.11 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 51.11}

The objective of this policy is to provide accurate information, and to be cooperatively responsive to requests, about department policies, programs and other areas of public interest in an effort to keep the public fully informed of department activities, while at the same time providing inmates and parolees under department supervision their right to privacy.

7 CRR-NY 51.12 Information sources {#sec-7-crr-ny-51.12 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 51.12}

Superintendents of correctional facilities may at times have responsibility for release of information and response to inquiries from news media representatives pertaining to their respective facilities at the direction of the office of public information. Information pertaining to overall departmental operations, policies, procedures, etc., will be released or responded to through the office of public information in Albany, New York.

7 CRR-NY 51.13 Inquiries {#sec-7-crr-ny-51.13 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 51.13}

News media inquiries will be answered fully, frankly, and as quickly as possible depending upon the situation, accessibility and availability of required information.

7 CRR-NY 51.14 Release of inmate data {#sec-7-crr-ny-51.14 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 51.14}

The release of records or information pertaining to individual inmates or former inmates shall be provided to the media (i.e., a representative of a newspaper, periodical, news service, or radio and television network or station) in accordance with section 8.3 of this Title. No other information shall be provided to the media except as provided for in the above section. In cases involving inmates and former inmates facing possible prosecution on new charges, details of past criminal history and other information which might impair their rights to a fair trial will not be released to the press.

7 CRR-NY 51.15 Media interviews {#sec-7-crr-ny-51.15 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 51.15}

(a) Inmates confined in a facility under the Department of Correctional Services of the State of New York have a limited constitutional right to be visited and interviewed by representatives of the news media.

(b) Representatives of the news media have a qualified right to visit and interview an inmate confined in a correctional facility who wishes to be visited and/or interviewed.

(c) Inmate eligibility.

(1) Inmates who are in general confinement status may, at the discretion of the commissioner, receive face-to-face media interviews.

(2) Inmates who are in administrative segregation status may, at the discretion of the commissioner, substitute one media interview for their one non-legal visit per week.

(3) Inmates in pre-hearing confinement status or serving a disciplinary confinement sanction, which includes disciplinary status special housing units and keeplock, will not be approved for media interviews regardless of where they are housed.

(d) Such interviews shall be held at a time, place and under such conditions as prescribed by the superintendent of the facility and convenient to the operation and administration of the facility consistent with the safety and security thereof.

(e) Arrangements for specific, individual interviews with inmates are to be made through the office of public information. Inmates will be advised of the request for interview by the respective media source in writing and if the inmate approves, such interview may be granted.

(f) Inmates whom a reporter desires to interview must be advised of such request for an interview. Both the reporter seeking the interview and the inmate sought to be interviewed may write in support of such request for interview.

(g) Interviews between representatives of the news media and an inmate shall be supervised. But the security staff supervising such interview shall do so in a manner that minimizes interference consistent with the safety, discipline and orderly administration of the correctional facility.

(h) The commissioner or his or her designee may refuse to permit such inmate - news media interview where such interview presents a clear and present danger to the security, discipline or orderly administration of the correctional facility or where the inmate has clearly abused his right of access to the news media by prior conduct in violation of the Standards of Inmate Behavior, section 270.2B of this Title.

(i) The inmate and the representative of the news media shall have the right to appeal media denials to the commissioner.

(j) An inmate who is interviewed by representatives of the news media shall not be subjected to departmental discipline or any other adverse action for participating in the interview or for the views expressed therein.

7 CRR-NY 51.16 Use of names and photographs {#sec-7-crr-ny-51.16 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 51.16}

(a) Identification by name will not be allowed unless the individual agrees to such use and signs a consent form (reference NYSDOCS Directive #0401, Page 7, Media Interview Consent form that is available on the department's website at, http://www.docs.state.ny.us/directives.html) for such use of name. Such consent form will be provided by the Department of Correctional Services and is in addition to any consent form that may be provided by the news media representative. The consent form signed by persons under 18 must be endorsed by a parent or guardian before the use of name will be allowed.

(b) Identifiable photographs of inmates will not be allowed unless the individual agrees to be photographed and signs a consent form for such photograph and its use. Such consent form will be provided by the Department of Correctional Services and is in addition to any consent form that may be provided by the news media representative. Photographs of facilities will be allowed, providing no identifiable inmate is shown in any of the photographs. Persons under 18 must have their consent form endorsed by a parent or guardian before the use of a photograph will be permitted.

(c) A photographer accompanying a reporter need not be regularly employed by the publication, station or news service, but he must be engaged by it and specifically assigned as the official photographer. A photographer not accompanied by a reporter must meet all of the criteria of a bona fide reporter.

7 CRR-NY 51.17 Recording of interviews {#sec-7-crr-ny-51.17 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 51.17}

With the written consent of the inmate, interviews may be recorded under the same conditions as the use of names.

7 CRR-NY 51.18 [Repealed] {#sec-7-crr-ny-51.18 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 51.18}

7 CRR-NY 51.19 [Repealed] {#sec-7-crr-ny-51.19 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 51.19}

7 CRR-NY 51.20 Emergency situations {#sec-7-crr-ny-51.20 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 51.20}

In situations of an emergency nature, such as escapes, disturbances, etc., the cooperation of the news media is requested in that inquiries and information interviews be reasonably limited. The public information officer or his or her designee will issue periodic updating reports and will be available for interviews as he/she deems necessary. Emergency situations call for extensive effort on the part of the entire agency. While every effort will be made to keep information current, the emergency of the situation must be respected and the cooperation of the news media will be appreciated. When a correctional facility is placed under a “state of emergency,” news media access will be limited consistent with the criteria established in section 3.20 of this Title. Approval and designated areas shall be at the discretion of the commissioner or his or her designee.

Part 52 INMATES, EMPLOYEES AND THE PUBLIC

7 CRR-NY 52.1 to 52.2 to 52.2 [Renumbered] {#sec-7-crr-ny-52.1-to-52.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 52.1 to 52.2}

7 CRR-NY 52.3 Use of employment identification {#sec-7-crr-ny-52.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 52.3}

The wearing, possessing or carrying of a shield, or any other article of any description, indicating employment by the department, with the exception of the official identification card and the uniform cap shield when worn on the cap, is prohibited with the following exceptions. When an employee is assigned in civilian clothes to conduct official investigations, to return an escaped prisoner, or to accompany inmates on sick visits, funerals, appearances in court and transfers, he will be assigned a pocket shield or carry a cap shield in lieu thereof. Employees in possession of a cap shield shall surrender it to the warden when their services are terminated.

7 CRR-NY 52.4 Pecuniary interests by employee prohibited {#sec-7-crr-ny-52.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 52.4}

No employee shall have a pecuniary interest, directly or indirectly, in any business wherein the department or an institution is a party in interest; nor shall he receive, directly or indirectly, any fee, commission, gratuity or present from any person or corporation furnishing supplies to or doing business for or with the institution or the department.

7 CRR-NY 52.5 No work for employee to be done in institution {#sec-7-crr-ny-52.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 52.5}

No work shall be done in any shop or department of an institution for any employee or other person; nor shall any property or material be delivered from any shop or department to any employee or other person except by written order of the warden.

7 CRR-NY 52.6 Treatment of inmates by employees prohibited {#sec-7-crr-ny-52.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 52.6}

No employee other than an institutional physician, or a licensed or certified health practitioner acting within the scope of his employment and under the direction of a physician, shall diagnose any illness, ailment or injury of any inmate, or prescribe or administer any treatment or medicine, except in the case of an emergency requiring first aid, which shall in such emergency be administered as expeditiously as possible by any qualified person present.

7 CRR-NY 52.7 [Repealed] {#sec-7-crr-ny-52.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 52.7}

7 CRR-NY 52.8 Group interviews of inmates {#sec-7-crr-ny-52.8 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 52.8}

At no time shall a group of inmates be conducted for interviews before any person or group of persons and brought into their presence or in proximity to them, in such a manner as to make it possible through concerted action for the inmates to inflict bodily injury upon the interviewers, to make them hostages, to create disturbance, or to effect escape.

7 CRR-NY 52.9 Employees to remain with inmates {#sec-7-crr-ny-52.9 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 52.9}

Employees accompanying inmates out of the institution shall remain with them until they are turned over to another authorized employee.

7 CRR-NY 52.10 Courtesy required of visiting room supervisor {#sec-7-crr-ny-52.10 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 52.10}

The employee in charge of the visiting room shall be courteous to visitors and at the same time alert and vigilant.

7 CRR-NY 52.11 Search of visiting room {#sec-7-crr-ny-52.11 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 52.11}

The visiting room shall be searched to see that nothing which might be removed by visitors has been concealed therein.

7 CRR-NY 52.12 Use of lavatories {#sec-7-crr-ny-52.12 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 52.12}

Inmates and visitors shall not be permitted to use the same lavatories.

7 CRR-NY 52.13 Leaving visiting room {#sec-7-crr-ny-52.13 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 52.13}

Inmates and visitors shall not be permitted to leave the visiting room together.

7 CRR-NY 52.14 Departing inmates to precede employee {#sec-7-crr-ny-52.14 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 52.14}

No inmate or group of inmates which is accompanied by an employee of the institution or of the department, or by any other civilian, shall be permitted to pass through the exit gate unless the inmate or inmates walk in front of the official or employee, thereby indicating that such civilians or employees are not being held as hostages.

7 CRR-NY 52.15 Inmates not to be passengers on departing conveyances {#sec-7-crr-ny-52.15 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 52.15}

No car, truck or other conveyance whether driven by an employee, inmate truck driver, or any other person, shall be permitted to pass through a gate leading from the prison proper, or through riot fence gates leading from institutional grounds with one or more inmates as passengers. Such passengers must walk through the gate in such a manner as indicates that the driver is not held a hostage. If it appears that the driver is being held as a hostage, the gatekeeper is absolutely forbidden to allow the gate to be opened regardless of any order from any official to the contrary.

7 CRR-NY 52.16 Entrance supervisor to keep records of entering vehicles and contents {#sec-7-crr-ny-52.16 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 52.16}

The employee in charge of the entrance shall closely examine and keep a record of wagons, automobiles, trucks, or other vehicles and their contents; and boxes and receptacles of any kind, or packages and the contents thereof, which are to be brought into or taken out of the institution. Such search shall be made before any of said vehicles or their contents, boxes, receptacles, packages, and their contents shall be brought into the institution.

7 CRR-NY 52.17 Search of entering and departing civilians {#sec-7-crr-ny-52.17 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 52.17}

Civilian workmen employed on construction projects within the institution, and all other persons not employed in the department, who enter or leave the institution, shall be thoroughly searched. Such search is to include lunch boxes, lunch packages, tool receptacles, or any other packages or bundles.

7 CRR-NY 52.18 Association with inmates and criminals prohibited {#sec-7-crr-ny-52.18 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 52.18}

(a) An employee shall not knowingly engage in any conversation, dealing, transaction, association or relationship with any inmate, former inmate, parolee, former parolee, or visitor, friend, or relative of same or with any criminal or any other person engaged in unlawful activity in any manner or form which is not necessary or proper for the discharge of the employee's duties.

(b) An employee shall immediately report to his supervisor any attempt by a person identified in subdivision (a) of this section to engage him in a conversation, dealing, transaction, association or relationship in any manner or form which is not necessary or proper for the discharge of the employee's duties.

(c) Exceptions to the above restrictions can only be authorized by designated officials of the department.

7 CRR-NY 52.19 Employees may prefer charges {#sec-7-crr-ny-52.19 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 52.19}

Charges may be preferred by any employee of the department. Such charges must be made in writing, signed by the person preferring them and sent to the warden of the institution in which the accused is employed. In case a person not in the employ of the department shall make a complaint or bring charges against an employee, such charges must also be made to the warden and signed by the complainant.

7 CRR-NY 52.20 Attire of inmates outside institution {#sec-7-crr-ny-52.20 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 52.20}

When granted permission to visit a sick relative or to attend a funeral of a member of his immediate family, the inmate shall appear in civilian clothes. When appearing in court he shall appear in the prescribed uniform of the institution unless otherwise ordered by the court, or unless the warden has reasonable grounds for believing that the inmate may be discharged from custody as a result of his appearance in court, in which case he shall appear in civilian clothes.

Part 53 OUTSIDERS VISITING OR APPLYING FOR ENTRANCE TO INSTITUTIONS

7 CRR-NY 53.1 Solicitors must obtain permission {#sec-7-crr-ny-53.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 53.1}

Solicitors, salesmen, or other persons who are not on institutional or departmental business shall obtain permission from the warden before being admitted to an institution.

7 CRR-NY 53.2 Requests for group visitation {#sec-7-crr-ny-53.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 53.2}

Group visitations inspired by morbid curiosity shall not be permitted. Requests from responsible persons and organizations outside the department for permission to visit shall be made to the warden who shall forward them with his recommendation to the commissioner.

7 CRR-NY 53.3 No interviews after office hours {#sec-7-crr-ny-53.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 53.3}

No person shall be permitted to interview an inmate after office hours except by permission of the warden or principal keeper.

7 CRR-NY 53.4 [Repealed] {#sec-7-crr-ny-53.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 53.4}

7 CRR-NY 53.5 Exchange of articles between visitor and inmate {#sec-7-crr-ny-53.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 53.5}

Close observation shall be maintained to prevent any article being passed to or from a visitor and inmate, especially when they greet each other. Papers or other articles to be exchanged between a visitor and inmate must first be inspected and approved by the principal keeper.

7 CRR-NY 53.6 Report of entering nonemployees {#sec-7-crr-ny-53.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 53.6}

The names of persons not employees of the institution who are allowed to enter shall be ascertained and reported. Persons who are not employees shall leave the institution through the same entrance by which they were admitted, and shall be so informed at the time of admittance.

7 CRR-NY 53.7 Persons seeking admission must report business {#sec-7-crr-ny-53.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 53.7}

The business of persons seeking admittance, and the names of employees with whom they wish to transact business shall be ascertained.

7 CRR-NY 53.8 Restrictions on entrance of nonemployees {#sec-7-crr-ny-53.8 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 53.8}

Any person not connected with the institution or designated by law as an official visitor shall not be permitted to enter unless he can show that he has proper business to transact or is provided with an official pass or other proper authority.

7 CRR-NY 53.9 Intoxicated persons prohibited {#sec-7-crr-ny-53.9 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 53.9}

Any person who is under the influence of intoxicants, or who gives indication that he is not in full possession of his normal mental faculties shall be refused admission.

7 CRR-NY 53.10 Permitted visitors during disturbances or riots {#sec-7-crr-ny-53.10 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 53.10}

In times of disturbances, uprising or riot, only the following persons shall be permitted to enter the institution: employees of the institution; State or local police; personnel of the National Guard or the United States Army; firemen; the sheriff and his deputies; the district attorney and members of his staff; local members of the clergy; physicians; those persons permitted to enter the institution by law, and such other persons as may be designated by the commissioner.

7 CRR-NY 53.11 Vehicle drivers to produce license {#sec-7-crr-ny-53.11 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 53.11}

Any driver of a motor vehicle which enters the institution shall be required to produce his driver's license. The name of the driver and the number of his license shall be recorded for possible future reference. Likewise, the license number of the motor vehicle shall be recorded.

7 CRR-NY 53.12 Employee to accompany entering vehicles {#sec-7-crr-ny-53.12 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 53.12}

When a vehicle enters the institution, driven or operated by any person not employed by the institution, it shall not be allowed to proceed beyond the gatelock unless it is accompanied by an employee who shall remain with the vehicle until it departs from the institution. The vehicle and the person or persons within it shall be subjected to a thorough search.

7 CRR-NY 53.13 Gate supervisor may search persons {#sec-7-crr-ny-53.13 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 53.13}

The employee in charge of an entrance may at any time when it is deemed necessary in order to maintain safety and security of the institution, search the person of any official or employee or of any other person who may enter or leave the institution.

7 CRR-NY 53.14 Record of visitors allowed by law {#sec-7-crr-ny-53.14 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 53.14}

When visits are made in accordance with the provisions of section 146 of the Correction Law, as well as in emergencies, entry shall be made in a permanent record as to the name of the visitor, the purpose of the visit, and the time of beginning and termination of it.

7 CRR-NY 53.15 Visits to patients {#sec-7-crr-ny-53.15 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 53.15}

No visits to patients shall be permitted without the approval of the warden and physician.

7 CRR-NY 53.16 Violation of visiting rules {#sec-7-crr-ny-53.16 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 53.16}

Any person who may refuse to abide by any of the rules concerning the method and manner of entering or leaving the institution shall not be permitted to pass. The employee in charge of the entrance shall seize and detain the person of anyone who shall violate, or attempt to violate any of such rules and he shall immediately report such seizure to the warden.

Part 57 FIREARMS

7 CRR-NY 57.1 General provisions {#sec-7-crr-ny-57.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 57.1}

(a) This Part is promulgated to implement the requirements of chapter 843 of the Laws of 1980 with respect to reporting requirements and special duties of peace officers of this agency defined in section 50.1 of this Chapter and section 2.10(25) of the Criminal Procedure Law.

(b) Nothing herein shall be deemed to abridge the status of a peace officer employed by the Department of Correctional Services, and shall not expand or abridge the powers of peace officers defined by law, but shall explain when those powers may be exercised for purposes of employment with the Department of Correctional Services.

(c) Nothing herein shall be deemed to abridge or otherwise limit any rights or entitlements provided by law or any relevant collective bargaining agreement to which any peace officer employed by this agency is otherwise entitled.

7 CRR-NY 57.2 Definitions {#sec-7-crr-ny-57.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 57.2}

(a) Department means the State of New York Department of Correctional Services.

(b) Firearm means any pistol, revolver, sawed-off shotgun, machine gun or other firearm of a size which may be concealed upon a person.

(c) Personal firearm means any revolver, single-shot or semi-automatic pistol.

(d) Employee, for purposes of this Part, shall mean a person having peace-officer status who is employed by the Department of Correctional Services.

7 CRR-NY 57.3 Employee duty of notification {#sec-7-crr-ny-57.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 57.3}

(a) All employees must immediately notify their facility superintendent or director or, if they are not employed at a facility, the Deputy Commissioner for Facility Operations or his designee, of any and all personal firearms they acquire, own or possess. All employees must notify their facility superintendent or director or, if they are not employed at a facility, the Deputy Commissioner for Facility Operations or his designee, of any firearm they acquire, within 10 days of acquisition.

(b) Any notification under this Part must include the make, model number, calibre, serial number, and the name and address of the person from whom the weapon was acquired.

(c) Employees must notify the appropriate persons identified in subdivision (a) of this section within 10 days of disposing of any personal firearm, and this notification must include the name and address of the person to whom it was sold or otherwise disposed.

(d) All notices required to be made by employees shall be on forms provided by the New York State Police, and the original plus one copy shall be forwarded by the facility superintendent or director to the Deputy Commissioner for Facility Operations.

(e) The reporting requirements of this section shall not be deemed to apply to any firearm which is acquired, owned or possessed by an employee under a permit issued pursuant to section 400 of the Penal Law.

(f) The only weapons that employees may be permitted to privately acquire, own or possess by virtue of their own peace officer status are personal firearms as defined in section 57.2 of this Part.

7 CRR-NY 57.4 Deputy Commissioner for Facility Operations—duty of notification {#sec-7-crr-ny-57.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 57.4}

(a) Upon receipt of notification forms required by section 57.3 of this Part, the Deputy Commissioner for Facility Operations or his designee shall promptly submit the original of the notice containing the information required to be provided, pursuant to section 57.3 of this Part, to the superintendent of the Division of State Police. A copy of such form shall be placed in the employee's personnel file. Such deputy commissioner or his designee shall update and resubmit this list as necessary.

(b) The department shall promptly submit a list of every firearm possessed by the department as of July 1, 1980 to the superintendent of the Division of State Police. The manner of this list shall be on forms and in a manner provided for by the aforesaid superintendent. This list will be updated and resubmitted within 10 days of any subsequent acquisition or disposal of any firearms, and shall include the name and address of the party from or to whom the firearm was acquired or disposed.

7 CRR-NY 57.5 Peace officers' special duties {#sec-7-crr-ny-57.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 57.5}

(a) Peace officers employed by the department shall be deemed to be acting pursuant to their special duties for the purposes of section 2.20(9) of the CPL, when in the course of their specifically assigned duties as employees of the Department of Correctional Services they are acting to maintain the custody, control and supervision of an inmate or in apprehending an inmate of the department.

(b) Employees having peace-officer status shall be provided firearms from the department's arsenals when necessary to carry out their special duties as defined in subdivision (a) of this section. No employee of the department shall be deemed to be acting pursuant to his special duties while in possession of a privately owned or possessed firearm, except where such employee is acting to apprehend an inmate of whom he has personal knowledge who has escaped or is in the process of escaping.

(c) Employees covered by this Part are not expected nor required by any rule or regulation of the Department of Correctional Services or by any law of the State of New York to act as police officer, as defined in the CPL, during their off-duty hours. Peace officers employed by this agency, while off duty, shall continue to possess the status and powers of peace officers provided by law, subject to the provisions of this Part.

Part 62 ATTENDANCE RULES FOR TEACHERS

7 CRR-NY 62.1 Attendance {#sec-7-crr-ny-62.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 62.1}

(a) Basic workweek.

The basic workweek for annual salaried employees of the department, other than those employed on a part-time basis only and other than employees excluded from the application of overtime compensation under the rules of the Director of the Budget adopted pursuant to section 134 of the Civil Service Law, shall be 40 hours; provided, however, that where a shorter workweek would not interfere with the proper performance of government functions an appointing authority may establish a basic workweek of not less than 37½ hours and five days for any employees under its appointive jurisdiction as may be designated by it with the approval of the Division of the Budget; provided, however, that this section shall not be construed to increase the workweek of any employee for whom a workweek of less than 40 hours was prescribed by law, rule or administrative regulation as of January 2, 1957.

(b) Record of attendance.

All employees are required to maintain a daily record of absences and time and leave credits earned and used in accordance with these rules. A daily record of attendance shall be maintained during the period covered by the school calendar and for any periods during which an employee may receive compensation which is in addition to his regular salary.

(c) Overtime.

Overtime shall not be earned for time worked in excess of the basic workweek during the 10-month period an employee is paid his regular salary. An employee who works in his position or in any other position allocated to a salary grade in section 130 of the Civil Service Law for the two-month period during which his regular salary is not paid shall receive additional compensation for such service.

7 CRR-NY 62.2 Absence with pay {#sec-7-crr-ny-62.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 62.2}

(a) Saturdays, Sundays and holidays.

(1) All Saturdays, Sundays and legal holidays shall, so far as practicable, be allowed as days off. Employees required to work on any of these days shall not be entitled to compensatory time off in lieu thereof.

(2) The days prescribed as holidays by the department's annual calendar for the school year shall be observed as holidays.

(b) Floating days off.

(1) There will be three "floating days" added to the school calendar. These days will be established as the first three calendar days of the school year. Establishment of less than three floating days will occur only through local labor/management agreement. However, in no instance shall there be more than three floating days. These floating days are earned-days and will only be credited to the employee if they are worked. Employees paid on an hourly basis (as opposed to an annual-funded basis) are not credited with floating days as they receive pay rather than time for working those days.

(2) The floating days credited cannot carry over from year to year.

(3) Since employees may not be compensated in cash for floating days off, it is necessary that such time off be scheduled prior to separation from their teacher/vocational instructor/education supervisor position.

(4) No teacher will work more than 185 days during the school year. Floating days shall be used no later than June 10th.

(5) Employees unable to work any of the designated floating days shall notify the facility prior to the start of the workday. Employee absences taken on floating days will not be charged against accruals.

(6) These extra days off are to be recorded in a separate leave category and are to be used in full-day units.

(7) Requests for floating days off will be made, in writing, and will be subject to supervisor's approval. Such requests will not be unreasonably denied. Responses to requests for floating days off will be given within three days.

(c) Absences during school year.

Except as provided by these rules and except as provided by the department's annual calendar for the school year, employees shall not be entitled to any leave of absence with pay during the school year; provided, however, that the department may grant time off with pay for religious observance, teacher conferences and other appropriate professional meetings, and for extraordinary or emergency absences. Employees may be required to make up such time off by appropriate adjustments in their daily or weekly work schedules.

(d) Sick leave.

(1) Sick leave is absence with pay necessitated by the illness or disability of the employee, including illness or disability caused by pregnancy or childbirth.

(2) Employees shall earn sick leave credits at the rate of one-half day per biweekly pay period during periods they are paid their regular salary and may accumulate such credits up to a total of 150 days; provided, however, that an employee shall not earn sick leave credit for any biweekly pay period unless he is in full pay status for at least seven workdays during such biweekly pay period. A part-time employee who is required to work a fixed number of hours, five days per week, shall also earn sick leave credit as provided herein, but his total pay when absent on such leave shall be the amount which would have been due him had he been working regularly at his usual hours for such period.

(3) An employee absent on sick leave shall notify his supervisor of such absence and the reason therefor on the first day of such absence and within two hours after the beginning of the employee's workday; provided, however, that where the work is such that a substitute may be required, the department may require earlier notification, but not more than two hours prior to the beginning of the employee's workday. An employee who fails to so notify his supervisor may be deemed to be on leave without pay for that day. Sick leave credits shall not be used in units of less than one-half hour.

(4) Before absence for personal illness may be charged against accumulated sick leave credits, the department may require such proof of illness as may be satisfactory to it, or may require the employee to be examined, at the expense of the department, by a physician designated by the department. In the event of failure to submit proof of illness upon request, or in the event that, upon such proof as is submitted or upon the report of medical examination, the department finds that there is not satisfactory evidence of illness sufficient to justify the employee's absence from the performance of his duties, such absence may be considered as unauthorized leave and shall not be charged against accumulated sick credits. Abuse of sick leave privileges shall be cause for disciplinary action.

(5) The department may require an employee who has been absent because of personal illness, prior to and as a condition of his return to duty, to be examined, at the expense of the department, by a physician designated by the department, to establish that he is not disabled from the performance of his normal duties and that his return to duty will not jeopardize the health of other employees.

(6) In addition to personal illness of the employee, the following types of absence, when approved by the department, may be charged against accumulated sick leave credits: illness or death in the employee's family; provided, however, that charge for such absence shall not exceed a maximum of 15 days in any one school year; personal visits to doctor or dentist. Proof of the need for such absences, satisfactory to the department, may be required.

(7) When an employee is transferred to another position in the same or a different department or agency and such position is subject to attendance rules approved by the New York State Civil Service Commission, his accumulated sick leave credits shall be transferred with him. When an employee is separated from service for other than disciplinary reasons and is subsequently reinstated or reemployed within one year after such separation, or is reinstated by action of the State Civil Service Commission, or is reinstated or reemployed while eligible for reinstatement from a preferred list, his sick leave credits accumulated and unused at the time of his separation shall be restored; provided, however, that such sick leave credits shall not be restored except when leave records satisfactory to the appointing authority are available.

(8) Every employee shall, on the date on which he becomes subject to these rules, be credited with the number of days of sick leave which he had accumulated under the attendance rules for employees in New York State departments and institutions (see 4 NYCRR Chapter II) and had remaining to his credit as of such date.

(9) This section shall not be construed to require extension of any employment beyond the time at which it would otherwise terminate by operation of law, rule or regulation.

(e) Extended sick leave.

(1) The department may, in its discretion, advance sick leave credits to an employee absent due to personal illness who has exhausted his accumulated sick leave credits. Such advance sick leave credits shall be repaid, as soon as practicable after the employee's return to duty, from subsequent accumulations of time credits. The outstanding unrepaid sick leave credits advanced to any employee under the provisions of this section shall not at any time exceed a total of five days.

(2) Upon termination of the employee's services any such advance of sick leave not offset by subsequent accumulations of sick leave credits, shall be deducted from salary or wages due the employee.

(f) Sick leave at half pay.

The department may, in its discretion, grant sick leave at half pay for personal illness to a permanent employee having not less than a year of service after all of his sick leave credits have been used; provided, however, that the cumulative total of all sick leave at half pay granted to any employee after January 2, 1957 shall not exceed one pay period for each complete six months of his State service.

(g) Workers' compensation leave.

(1) Leave for absence necessitated by occupational injury or disease. Except as otherwise provided in paragraphs (2) and (3) of this subdivision, an employee necessarily absent from duty because of occupational injury or disease as defined in the Workers' Compensation Law, upon giving notice to the department that he is absent on account of such injury or disease and that he claims benefits under such law, shall be allowed leave from his position for the period of absence necessitated by such injury or disease, up to cumulatively one year including any periods of such absence during which the employee draws sick leave credits. Such leave may be extended for further periods in the discretion of the appointing authority.

(2) Controverted cases. If the employee's claim for benefits under the Workers' Compensation Law is controverted by the State Insurance Fund (at the request of the department or on its own initiative) and the department is so notified, the employee shall not be entitled to leave under this section. This shall not, however, adversely affect the employee's eligibility for leave under other provisions of these rules. If final determination of the controverted claim is in favor of the employee, he shall be entitled to leave under this section, and all absences before such final determination, to the extent that the same were necessitated by his occupational injury or disease, shall be deemed to have been pursuant to leave under this section.

(3) Permanent incapacity. Leave under this section may be withheld or terminated if the department determines that the occupational injury or disease suffered by the employee is of such a nature as to permanently incapacitate him for the performance of the duties of his position.

(4) Pay during leave. An employee on leave under this section may receive pay as follows:

(i) The department upon finding that the employee is in fact disabled from the performance of his duties, may grant the employee full pay during such leave not exceeding cumulatively six months. Such full pay may be granted irrespective of the employee's accrued credits under these rules.

(ii) Except when on full pay status under subparagraph (i) of this paragraph, the employee may draw accrued sick leave credits, subject to the provisions of these rules pertaining thereto.

(iii) If not drawing full pay under subparagraph (i) or (ii) of this paragraph, an employee may, in the discretion of the department, be allowed to draw sick leave at half pay for which he may be eligible under these rules.

(5) Accrual of leave credits. An employee who receives full pay for any period of leave under this section shall earn sick leave credits during such period.

(6) Award credited to State. An award by the Workers' Compensation Board of compensation for any period for which the employee receives or received pay from the State shall be credited to the State as reimbursement of wages paid.

(7) Restoration of leave credits. Sick leave credits, including sick leave at half pay, used by an employee during a period of absence for which an award of compensation has been made and credited to the State as reimbursement for wages paid shall be restored to him in full; provided, however, that no restoration shall be made for any absence of less than a full day. Credits so restored may not again be used for future absences attributable to the same injury. An employee restored to service after absence on leave under this section shall have one year from the date of such restoration to reduce his accrued leave credits to the limits prescribed in these rules.

(8) Reinstatement. Upon request of the employee for reinstatement at or prior to the expiration of the maximum period of allowed leave, the department, if in doubt as to whether the employee is physically and mentally fit to perform the duties of his position, may require the employee to undergo medical examination, by a physician designated by the department, before the employee may be reinstated. If reinstatement is denied, the employee may make application therefor in the manner prescribed by section 71 of the Civil Service Law. If an employee continues absent after the expiration of the maximum period of allowed leave, his eligibility for reinstatement shall be governed by section 71 of this Civil Service Law.

(9) Medical examination. In order to enable the department to make such determinations as are authorized or required under this section, the department may require an employee at any time to be examined by a physician designated by the department.

(10) Where the department has refused to grant the employee pay during leave pursuant to paragraph (4) of this subdivision, or has withheld or terminated a leave of absence on the ground that the occupational injury or disease is of such a nature as to permanently incapacitate the employee for the performance of the duties of his position, the employee may request the Civil Service Commission to review the determination of the department. If the commission finds that such determination of the department is arbitrary or unreasonable, it may reverse or modify such determination.

(11) Construction. This section shall not be construed to require extension of any employment beyond the time at which it would otherwise terminate.

(h) Leave for subpoenaed appearance and jury attendance.

On proof of the necessity of jury service or appearance as a witness pursuant to subpoena or other order of a court or body, an employee shall be granted a leave of absence with pay with no charge against leave credits; provided, however, that this subdivision shall not apply to any absence by an employee occasioned by such an appearance if he is a party.

(i) Leave for civil service examinations.

Employees shall be allowed leave with pay to take New York State Civil Service examinations at the appropriate center provided that due notice is given by the employee to the department.

(j) Leave for quarantine.

If an employee who is not ill himself is required to remain absent because of quarantine and presents a written statement of the attending physician or local health officer proving the necessity of such absence, he shall be granted leave with pay for the period of his required absence, without charge against accumulated sick leave credits. Prior to return to duty, such employee may be required to submit a written statement from the local health officer having jurisdiction that his return to duty will not jeopardize the health of other employees.

(k) Leaves required by law.

The department shall grant any leave of absence, with pay, required by law.

(l) Leave for civil defense duties.

Upon certification by the State Director of Civil Defense of the necessity for the participation in State or local civil defense drills of an employee enrolled as a civil defense volunteer and required to perform civil defense duties pursuant to the State Defense Emergency Act, the department may allow such employee to absent himself from his position, without loss of pay or charge against leave credits, for such time as is necessary for participation in such drills, but not exceeding cumulatively five workdays per calendar year.

7 CRR-NY 62.3 Leave of absence; duration {#sec-7-crr-ny-62.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 62.3}

(a) A permanent employee, or an employee holding a position by permanent or temporary appointment who requests leave because of pregnancy or childbirth, may, in the discretion of the department, be granted a leave of absence without pay for a period not exceeding two years. Any such leave of absence may be extended beyond two years, for periods aggregating not in excess of an additional two years, only with the approval of the Civil Service Commission. In an exceptional case, a further extension may be permitted by the commission for good cause shown and where the interests of the government would be served. For the purposes of this section, time spent in active service in the military forces of the United States or of the State of New York shall not be considered in computing the period of leave.

(b) Successive leaves of absence.

Where a leave of absence without pay has been granted for a period which aggregates two years, or more if extended pursuant to subdivision (a) of this section, a further leave of absence without pay shall not be granted unless the employee returns to his position and serves continuously therein for six months immediately preceding the subsequent leave of absence.

(c) Construction.

This section shall not be construed to require the extension of any employment beyond the time at which it would otherwise terminate by operation of law, rule or regulation.

7 CRR-NY 62.4 Suspension of rules {#sec-7-crr-ny-62.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 62.4}

These rules may be suspended in whole or in part, in an emergency, for the duration of same and to the extent made necessary by the nature of the emergency, on approval by the State Civil Service Commission of a written request by the department.

7 CRR-NY 62.5 Amendment of rules {#sec-7-crr-ny-62.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 62.5}

These rules may not be amended except on approval by the State Civil Service Commission of a written request by the department.

7 CRR-NY 62.6 Applicability {#sec-7-crr-ny-62.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 62.6}

(a) These attendance rules shall apply to the employees in the department who are employed in one of the positions listed below and whose principal duties involve the teaching or instruction of patients or inmates, or the direct supervision of such teaching or instruction; and who are employed on the basis of a calendar year similar to the school calendar year of public school teachers in New York State; and who are compensated in accordance with section 136 of the New York State Civil Service Law:

(1) Vocational instructors I-IV;

(2) Vocational instructors I-IV (Spanish speaking);

(3) Teacher I-IV;

(4) Teacher I-IV (Spanish speaking);

(5) Education supervisor, general;

(6) Education supervisor, vocational;

(7) Education supervisor, special subjects; and

(8) Remediation assistant.

(b) These rules shall not be construed to require or allow extension of leave with pay except for periods during which the employee is normally paid his/her regular salary.

(c) The provisions of these attendance rules (or attendance regulations), insofar as they apply to employees in the negotiating units, established pursuant to article 14 of the Civil Service Law, shall be continued; provided, however, that during periods of time when there is in effect an agreement between the State and an employee organization reached pursuant to the provisions of said article 14, the provisions of such agreement and the provisions of such rules (or regulations) shall both be applicable. In the event the provisions of the agreement are different from the provisions of the attendance rules (or attendance regulations), the provisions of the agreement shall be controlling.

Chapter III DESIGNATION AND CLASSIFICATION OF INSTITUTIONS AND COMMITMENT TO THE DEPARTMENT

Part 100 DESIGNATION AND CLASSIFICATION OF CORRECTIONAL FACILITIES

7 CRR-NY 100.1 Designation and classification of correctional facilities {#sec-7-crr-ny-100.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.1}

The correctional facilities of the New York State Department of Correctional Services are hereby designated and classified as provided in this Part.

7 CRR-NY 100.2 to 100.4 to 100.4 [Renumbered] {#sec-7-crr-ny-100.2-to-100.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.2 to 100.4}

7 CRR-NY 100.5 Attica Correctional Facility {#sec-7-crr-ny-100.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.5}

(a) There shall be in the department an institution to be known as Attica Correctional Facility, which shall be located at Attica in Wyoming County, New York, and which shall consist of the property under the jurisdiction of the department at that location.

(b) Such institution shall be a correctional facility for males of the ages set forth in subdivision (c) of this section.

(c) Attica Correctional Facility shall be classified as a maximum security correctional facility, to be used for the following functions:

(1) general confinement facility for males 21 years of age or older; provided, however, that males between the ages of 18 and 21 may be placed therein for general confinement purposes in accordance with Part 110 of this Title;

(2) detention center for males 21 years of age or older; and

(3) diagnostic and treatment center.

7 CRR-NY 100.6 Adirondack Correctional Facility {#sec-7-crr-ny-100.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.6}

(a) There shall be in the department an institution to be known as Adirondack Correctional Facility, which shall be located in Essex County at Ray Brook, NY 12977, and which shall consist of the property under the jurisdiction of the department at that location.

(b) Such institution shall be a correctional facility for males 18 years of age or older.

(c) Adirondack Correctional Facility shall be classified as a medium security facility, to be used for general confinement purposes.

7 CRR-NY 100.7 [Repealed] {#sec-7-crr-ny-100.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.7}

7 CRR-NY 100.8 [Repealed] {#sec-7-crr-ny-100.8 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.8}

7 CRR-NY 100.9 [Renumbered] {#sec-7-crr-ny-100.9 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.9}

7 CRR-NY 100.10 Auburn Correctional Facility {#sec-7-crr-ny-100.10 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.10}

(a) There shall be in the department an institution to be known as Auburn Correctional Facility, which shall be located at Auburn in Cayuga County, New York, and which shall consist of the property under the jurisdiction of the department at that location.

(b) Such institution shall be a correctional facility for males of the ages set forth in subdivision (c) of this section.

(c) Auburn Correctional Facility shall be classified as a maximum security correctional facility, to be used for the following functions:

(1) general confinement facility for males 21 years of age or older; provided, however, that males between the ages of 18 and 21 may be placed therein for general confinement purposes in accordance with Part 110 of this Chapter;

(2) detention center for males 18 years of age or older; and

(3) diagnostic and treatment center.

7 CRR-NY 100.11 [Repealed] {#sec-7-crr-ny-100.11 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.11}

7 CRR-NY 100.12 to 100.14 to 100.14 [Renumbered] {#sec-7-crr-ny-100.12-to-100.14 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.12 to 100.14}

7 CRR-NY 100.15 Clinton Correctional Facility {#sec-7-crr-ny-100.15 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.15}

(a) There shall be in the department an institution known as Clinton Correctional Facility which shall be located at Dannemora in Clinton County, New York, and which shall consist of the land and buildings formerly occupied by Clinton State Prison and the Dannemora State Hospital.

(b) Clinton Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Clinton Correctional Facility shall be classified as a maximum security correctional facility to be used for the following functions:

(1) general confinement;

(2) reception center for males who are 18 years of age or older, at the time of sentencing;

(3) reception center for males 18 years of age or older;

(4) detention center; and

(5) diagnostic and treatment center.

7 CRR-NY 100.16 [Repealed] {#sec-7-crr-ny-100.16 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.16}

7 CRR-NY 100.17 to 100.19 to 100.19 [Renumbered] {#sec-7-crr-ny-100.17-to-100.19 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.17 to 100.19}

7 CRR-NY 100.20 Green Haven Correctional Facility {#sec-7-crr-ny-100.20 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.20}

(a) There shall be in the department an institution to be known as Green Haven Correctional Facility, which shall be located at Stormville in Dutchess County, New York, and which shall consist of the property under the jurisdiction of the department at that location, except as provided in section 100.22 of this Part.

(b) Such institution shall be a correctional facility for males of the ages set forth in subdivision (c) of this section.

(c) Green Haven Correctional Facility shall be classified as a maximum security correctional facility, to be used for the following functions:

(1) general confinement facility for males 21 years of age or older; provided, however, that males between the ages of 18 and 21 may be placed therein for general confinement purposes in accordance with Part 110 of this Chapter;

(2) detention center for males 18 years of age or older; and

(3) residential treatment facility.

7 CRR-NY 100.21 [Repealed] {#sec-7-crr-ny-100.21 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.21}

7 CRR-NY 100.22 [Repealed] {#sec-7-crr-ny-100.22 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.22}

7 CRR-NY 100.23 to 100.24 to 100.24 [Renumbered] {#sec-7-crr-ny-100.23-to-100.24 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.23 to 100.24}

7 CRR-NY 100.25 Sing Sing Correctional Facility {#sec-7-crr-ny-100.25 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.25}

(a) There shall be in the department an institution to be known as Sing Sing Correctional Facility, which shall be located at Ossining in Westchester County, New York, and which shall consist of the property under the jurisdiction of the department at that location.

(b) Such institution shall be a correctional facility for males of the ages set forth in subdivision (c) of this section.

(c) Sing Sing Correctional Facility shall be classified as a maximum security correctional facility, to be used for the following functions:

(1) general confinement facility for males 18 years of age or older; provided, however, that males between the ages of 18 and 21 may be placed therein for general confinement purposes in accordance with Part 110 of this Chapter;

(2) detention center for males 18 years of age or older; and

(3) diagnostic and treatment center.

7 CRR-NY 100.26 [Repealed] {#sec-7-crr-ny-100.26 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.26}

7 CRR-NY 100.27 [Repealed] {#sec-7-crr-ny-100.27 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.27}

7 CRR-NY 100.30 Wallkill Correctional Facility {#sec-7-crr-ny-100.30 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.30}

(a) There shall be in the department an institution to be known as Wallkill Correctional Facility, which shall be located in Ulster County, New York, and which shall consist of the property under the jurisdiction of the department at that location.

(b) Such institution shall be a correctional facility for males 18 years of age or older; provided, however, that males between the ages of 18 and 21 may be placed therein for general confinement purposes in accordance with Part 110 of this Chapter.

(c) Wallkill Correctional Facility shall be classified as a medium security general confinement facility.

7 CRR-NY 100.35 Elmira Correctional and Reception Center {#sec-7-crr-ny-100.35 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.35}

There shall be in the department a facility to be known as the Elmira Correctional and Reception Center, which shall be located at Elmira in Chemung County, New York, and which shall consist of the land and buildings formerly occupied by Elmira Correctional Facility and Elmira Reception Center. The Elmira Correctional and Reception Center shall be classified as a maximum security facility, to be used for the following functions:

(a) general confinement facility for males 18 years of age or older;

(b) reception facility for males 18 years of age or older; and

(c) diagnostic and treatment center.

7 CRR-NY 100.40 Great Meadow Correctional Facility {#sec-7-crr-ny-100.40 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.40}

(a) There shall be in the department an institution to be known as Great Meadow Correctional Facility, which shall be located at Comstock in Washington County, New York, and which shall consist of the property under the jurisdiction of the department at that location.

(b) Such institution shall be a correctional facility for males of the ages set forth in subdivision (c) of this section.

(c) Great Meadow Correctional Facility shall be classified as a maximum security correctional facility, to be used for the following functions:

(1) general confinement facility for males 18 years of age or older; and

(2) detention center for males 18 years of age or older.

7 CRR-NY 100.45 Coxsackie Correctional Facility {#sec-7-crr-ny-100.45 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.45}

(a) There shall be in the department an institution to be known as Coxsackie Correctional Facility, which shall be located at West Coxsackie in Greene County, New York, and which shall consist of the property under the jurisdiction of the department at that location.

(b) Such institution shall be a correctional facility for males between the ages of 18 and 21; provided, however, that males over the age of 21 may be placed therein for general confinement purposes in accordance with Part 110 of this Chapter.

(c) Coxsackie Correctional Facility shall be classified as a maximum security correctional facility, to be used for the following functions:

(1) general confinement facility.

7 CRR-NY 100.50 Woodbourne Correctional Facility {#sec-7-crr-ny-100.50 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.50}

(a) There shall be in the department an institution to be known as Woodbourne Correctional Facility, which shall be located at Woodbourne in Sullivan County, New York, and which shall consist of the property under the jurisdiction of the department at that location.

(b) Woodbourne Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Woodbourne Correctional Facility shall be classified as a medium security correctional facility, to be used for the following functions:

(1) general confinement facility; and

(2) residential treatment facility.

7 CRR-NY 100.55 Eastern New York Correctional Facility {#sec-7-crr-ny-100.55 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.55}

(a) There shall be in the department an institution to be known as Eastern New York Correctional Facility, which shall be located at Napanoch in Ulster County, New York, and which shall consist of the property under the jurisdiction of the department at that location.

(b) Eastern New York Correctional Facility shall be classified as a maximum security correctional facility, to be used as a general confinement facility for males 18 years of age or older.

7 CRR-NY 100.56 [Repealed] {#sec-7-crr-ny-100.56 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.56}

7 CRR-NY 100.60 [Repealed] {#sec-7-crr-ny-100.60 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.60}

7 CRR-NY 100.65 [Repealed] {#sec-7-crr-ny-100.65 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.65}

7 CRR-NY 100.66 [Repealed] {#sec-7-crr-ny-100.66 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.66}

7 CRR-NY 100.67 [Repealed] {#sec-7-crr-ny-100.67 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.67}

7 CRR-NY 100.68 Moriah Correctional Facility {#sec-7-crr-ny-100.68 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.68}

(a) There shall be in the department an institution to be known as Moriah Correctional Facility, which shall be located in the Towns of Moriah and Elizabethtown, Essex County, New York.

(b) Moriah Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Moriah Correctional Facility shall be classified as a minimum security correctional facility, to be used as a shock incarceration and general confinement facility.

7 CRR-NY 100.69 [Repealed] {#sec-7-crr-ny-100.69 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.69}

7 CRR-NY 100.70 [Repealed] {#sec-7-crr-ny-100.70 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.70}

7 CRR-NY 100.71 [Repealed] {#sec-7-crr-ny-100.71 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.71}

7 CRR-NY 100.72 Otisville Correctional Facility {#sec-7-crr-ny-100.72 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.72}

(a) There shall be in the department an institution to be known as the Otisville Correctional Facility, which shall be located in Otisville, Orange County, New York.

(b) Otisville Correctional Facility shall be classified as a medium security facility for males 18 years of age or older.

7 CRR-NY 100.73 [Repealed] {#sec-7-crr-ny-100.73 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.73}

7 CRR-NY 100.74 Ulster Correctional Facility {#sec-7-crr-ny-100.74 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.74}

(a) There shall be in the department an institution to be known as Ulster Correctional Facility, which shall be located in the Town of Wawarsing, Ulster County, New York.

(b) Ulster Correctional Facility shall be classified as a medium security correctional facility to be used for the following purposes:

(1) general confinement facility for males 18 years of age or older;

(2) detention center;

(3) reception center for males between 18 and 21 years of age at the time of sentencing; and

(4) reception center for males 21 years of age or older.

7 CRR-NY 100.75 Hudson Correctional Facility {#sec-7-crr-ny-100.75 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.75}

(a) There shall be in the department a facility to be known as Hudson Correctional Facility, which shall be located in the City of Hudson, State of New York, and which shall consist of the property under jurisdiction of the department at that location.

(b) Hudson Correctional Facility shall be a correctional facility for males between the ages of 18 years and 25 years.

(c) Hudson Correctional Facility shall be classified as a medium security correctional facility, to be used for the following functions:

(1) general confinement facility;

(2) work release facility; and

(3) residential treatment facility.

7 CRR-NY 100.76 Gouverneur Correctional Facility {#sec-7-crr-ny-100.76 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.76}

(a) There shall be in the department a facility to be known as Gouverneur Correctional Facility, which shall be located in the Town of Gouverneur in St. Lawrence County, and which shall consist of property under the jurisdiction of the department at that location.

(b) Gouverneur Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Gouverneur Correctional Facility shall be classified as a medium security correctional facility, to be used as a general confinement facility.

7 CRR-NY 100.80 Bedford Hills Correctional Facility {#sec-7-crr-ny-100.80 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.80}

(a) There shall be in the department an institution to be known as Bedford Hills Correctional Facility, which shall be located at Bedford Hills in Westchester County, New York, and which shall consist of the property under the jurisdiction of the department at that location.

(b) Such institution shall be a correctional facility for females 18 years of age or older.

(c) Bedford Hills Correctional Facility shall be classified as a maximum security correctional facility, to be used for the following functions:

(1) general confinement facility;

(2) reception center for all females 18 years of age or older committed to the custody of the department, by any court in this State, under indeterminate or determinate sentences;

(3) detention center; and

(4) diagnostic and treatment center.

7 CRR-NY 100.81 Cayuga Correctional Facility {#sec-7-crr-ny-100.81 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.81}

(a) There shall be in the department a facility to be known as Cayuga Correctional Facility, which shall be located in the Town of Moravia, Cayuga County, New York.

(b) Cayuga Correctional Facility shall be a medium security correctional facility to be used as a general confinement facility for males 18 years of age or older.

7 CRR-NY 100.82 Taconic Correctional Facility {#sec-7-crr-ny-100.82 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.82}

(a) There shall be in the department an institution to be known as Taconic Correctional Facility, which shall be located on the grounds of Bedford Hills Correctional Facility at Bedford Hills in Westchester County, New York, on that portion of the property under the jurisdiction of the department located on the northeast side of Harris Road.

(b) Taconic Correctional Facility shall be a correctional facility for females 18 years of age or older.

(c) Taconic Correctional Facility shall be classified as a medium security correctional facility, to be used as a general confinement facility.

7 CRR-NY 100.83 Queensboro Correctional Facility {#sec-7-crr-ny-100.83 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.83}

(a) There shall be in the department an institution to be known as Queensboro Correctional Facility, which shall be located at 47-04 Van Dam Street, Long Island City, County of Queens, New York, and which shall consist of the property under the jurisdiction of the department at that location.

(b) Queensboro Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Queensboro Correctional Facility shall be classified as a minimum security facility, to be used for the following functions:

(1) general confinement facility;

(2) residential treatment facility; and

(3) work release facility.

7 CRR-NY 100.85 to 100.86 to 100.86 [Repealed] {#sec-7-crr-ny-100.85-to-100.86 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.85 to 100.86}

7 CRR-NY 100.88 Downstate Correctional Facility {#sec-7-crr-ny-100.88 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.88}

(a) There shall be in the department an institution to be known as Downstate Correctional Facility, which shall be located on Red Schoolhouse Road in the Town of Fishkill in Dutchess County, New York.

(b) Downstate Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Downstate Correctional Facility shall be classified as a maximum security correctional facility, to be used for the following functions:

(1) general confinement facility;

(2) reception center for males who are between 18 and 21 years of age at the time of sentencing;

(3) reception center for males 21 years of age or older; and

(4) detention center.

7 CRR-NY 100.89 Lakeview Correctional Facility {#sec-7-crr-ny-100.89 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.89}

(a) There shall be in the department an institution to be known as Lakeview Correctional Facility, which shall be located in the Town of Portland, Chautauqua County, New York.

(b) Lakeview Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Lakeview Correctional Facility shall be classified as a medium security correctional facility, to be used as a general confinement and a shock incarceration facility.

7 CRR-NY 100.90 Fishkill Correctional Facility {#sec-7-crr-ny-100.90 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.90}

(a) There shall be in the department an institution to be known as Fishkill Correctional Facility, which shall be located at Beacon in Dutchess County, New York, and which shall consist of the property under the jurisdiction of the department at that location.

(b) Fishkill Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Fishkill Correctional Facility shall be classified as a medium security correctional facility, to be used for the following functions:

(1) general confinement facility;

(2) work release facility; and

(3) residential treatment facility.

7 CRR-NY 100.91 [Repealed] {#sec-7-crr-ny-100.91 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.91}

7 CRR-NY 100.92 Rochester Correctional Facility {#sec-7-crr-ny-100.92 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.92}

(a) There shall be in the department a facility to be known as the Rochester Correctional Facility, which shall be located at Rochester, in Monroe County, New York, and which shall consist of the land and buildings at 470 Ford Street, formerly occupied by a Division for Youth center.

(b) Rochester Correctional Facility shall be a correctional facility for males of the age of 18 years or older.

(c) Rochester Correctional Facility shall be classified as a minimum security correctional facility, to be used for the following functions:

(1) residential treatment facility; and

(2) work release facility.

7 CRR-NY 100.93 [Repealed] {#sec-7-crr-ny-100.93 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.93}

7 CRR-NY 100.94 Albion Correctional Facility {#sec-7-crr-ny-100.94 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.94}

(a) There shall be in the department an institution to be known as Albion Correctional Facility, which shall be located in Albion, Orleans County, New York, and which shall consist of the property under the jurisdiction of the department at that location.

(b) Albion Correctional Facility shall be a facility for females 18 years of age or older.

(c) Albion Correctional Facility shall be classified as a medium security correctional facility to be used for the following functions:

(1) general confinement facility;

(2) work release facility;

(3) residential treatment facility; and

(4) alcohol and substance treatment correctional annex.

7 CRR-NY 100.95 [Repealed] {#sec-7-crr-ny-100.95 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.95}

7 CRR-NY 100.96 Edgecombe Residential Treatment Facility {#sec-7-crr-ny-100.96 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.96}

(a) There shall be in the department a facility to be known as Edgecombe Residential Treatment Facility, which shall be located in the borough of Manhattan, City and State of New York, and which shall consist of the property under the jurisdiction of the department on the land and building at 611 Edgecombe Avenue, New York, NY 10032.

(b) Edgecombe Residential Treatment Facility shall be classified as a minimum security correctional facility for offenders 18 years of age or older to be used for the following purposes:

(1) general confinement facility for males;

(2) residential treatment facility for males; and

(3) work release and residential treatment facility for females.

7 CRR-NY 100.97 [Repealed] {#sec-7-crr-ny-100.97 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.97}

7 CRR-NY 100.98 [Repealed] {#sec-7-crr-ny-100.98 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.98}

7 CRR-NY 100.99 Hale Creek Correctional Facility {#sec-7-crr-ny-100.99 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.99}

(a) There shall be in the department an institution to be known as the Hale Creek Correctional Facility, which shall be located in the Town of Johnstown, Fulton County, New York.

(b) Hale Creek Correctional Facility shall be a facility for males 18 years of age or older.

(c) Hale Creek shall be classified as a medium security facility to be used as alcohol and substance abuse treatment annex for the purpose of providing alcohol and substance abuse treatment, and as a general confinement facility.

7 CRR-NY 100.100 Mohawk Correctional Facility {#sec-7-crr-ny-100.100 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.100}

(a) There shall be in the department an institution to be known as Mohawk Correctional Facility, which shall be located in the City of Rome, Oneida County, and which shall consist of the property under the jurisdiction of the department at that location.

(b) Such institution shall be a correctional facility for males 18 years of age or older.

(c) Mohawk Correctional Facility shall be classified as a medium security facility to be used as a general confinement facility.

(d) There shall be on the grounds of the institution a maximum security compound to enclose the Walsh Regional Medical Unit. Such regional medical unit shall also function as a residential treatment facility.

7 CRR-NY 100.101 Lincoln Correctional Facility {#sec-7-crr-ny-100.101 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.101}

(a) There shall be in the department a facility to be known as Lincoln Correctional Facility, which shall be located in the borough of Manhattan, City and State of New York, and which shall consist of the property under the jurisdiction of the department on the land and building at 31 West 110th Street, New York, NY 10026.

(b) Lincoln Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Lincoln Correctional Facility shall be classified as a minimum security correctional facility, to be used for the following functions:

(1) general confinement for males 18 years of age or older;

(2) educational release;

(3) residential treatment; and

(4) work release facility.

7 CRR-NY 100.102 [Repealed] {#sec-7-crr-ny-100.102 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.102}

7 CRR-NY 100.103 [Repealed] {#sec-7-crr-ny-100.103 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.103}

7 CRR-NY 100.104 Ogdensburg Correctional Facility {#sec-7-crr-ny-100.104 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.104}

(a) There shall be in the department an institution to be known as Ogdensburg Correctional Facility, which shall be located in the City of Ogdensburg in St. Lawrence County and which shall consist of property under the jurisdiction of the department and formerly under the jurisdiction of the New York State Office of Mental Health at that location.

(b) Ogdensburg Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Ogdensburg Correctional Facility shall be classified as a medium security facility, to be used as a general confinement facility.

7 CRR-NY 100.105 Watertown Correctional Facility {#sec-7-crr-ny-100.105 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.105}

(a) There shall be in the department an institution to be known as Watertown Correctional Facility, which shall be located in the Town of Watertown in Jefferson County, and which shall consist of the property under the jurisdiction of the department at that location.

(b) Such institution shall be a correctional facility for males 18 years of age or older.

(c) Watertown Correctional Facility shall be classified as a medium security facility, to be used for general confinement purposes.

7 CRR-NY 100.106 Collins Correctional Facility {#sec-7-crr-ny-100.106 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.106}

(a) There shall be in the department an institution to be known as Collins Correctional Facility, which shall be located in the Town of Collins in Erie County and which shall consist of property under the jurisdiction of the department and formerly under the jurisdiction of the New York State Office of Mental Health at that location.

(b) Collins Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Collins Correctional Facility shall be classified as a medium security facility, to be used as a general confinement facility.

(d) Collins Correctional Facility shall be classified as a work release facility.

7 CRR-NY 100.107 Groveland Correctional Facility {#sec-7-crr-ny-100.107 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.107}

(a) There shall be in the department an institution to be known as Groveland Correctional Facility, which shall be located in the Town of Groveland in Livingston County and which shall consist of property under the jurisdiction of the department (formerly under the jurisdiction of the New York State Office of Mental Health at that location).

(b) Groveland Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Groveland Correctional Facility shall be classified as a medium security facility, to be used as a general confinement facility.

7 CRR-NY 100.108 Altona Correctional Facility {#sec-7-crr-ny-100.108 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.108}

(a) There shall be in the department an institution to be known as Altona Correctional Facility, which shall be located in the Town of Altona in Clinton County and which shall consist of property under the jurisdiction of the department, formerly known as the Northern Adirondack Central School.

(b) Altona Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Altona Correctional Facility shall be classified as a medium security facility, to be used as a general confinement facility.

7 CRR-NY 100.109 Wende Correctional Facility {#sec-7-crr-ny-100.109 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.109}

(a) There shall be in the department an institution to be known as Wende Correctional Facility, which shall be located in the Town of Alden in Erie County and which shall consist of property under the jurisdiction of the department.

(b) Wende Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Wende Correctional Facility shall be classified as a maximum security facility, to be used for the following functions:

(1) general confinement facility;

(2) detention center; and

(3) residential treatment facility in that portion of the facility functioning as the regional medical unit.

7 CRR-NY 100.110 [Repealed] {#sec-7-crr-ny-100.110 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.110}

7 CRR-NY 100.111 Mid-State Correctional Facility {#sec-7-crr-ny-100.111 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.111}

(a) There shall be in the department an institution to be known as Mid-State Correctional Facility, which shall be located in the Town of Marcy, Oneida County, and which shall consist of property under the jurisdiction of the department.

(b) Mid-State Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Mid-State Correctional Facility shall be classified as a medium security facility, to be used as a general confinement facility.

(d) Mid-State Correctional Facility shall be classified as a residential treatment facility to temporarily house certain parolees in accordance with subdivision 10 of Correction Law section 73.

7 CRR-NY 100.112 [Expired] {#sec-7-crr-ny-100.112 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.112}

7 CRR-NY 100.113 Greene Correctional Facility {#sec-7-crr-ny-100.113 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.113}

(a) There shall be in the department an institution to be known as Greene Correctional Facility, which shall be located in the Town of Coxsackie, in Greene County, and which shall consist of property under the jurisdiction of the department.

(b) Greene Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Greene Correctional Facility shall be classified as a medium security facility, to be used as a general confinement facility.

7 CRR-NY 100.114 Wyoming Correctional Facility {#sec-7-crr-ny-100.114 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.114}

(a) There shall be in the department an institution to be known as Wyoming Correctional Facility, which shall be located in the Town of Attica, in Wyoming County, and which shall consist of property under the jurisdiction of the department.

(b) Wyoming Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Wyoming Correctional Facility shall be classified as a medium security facility, to be used for the following functions:

(1) general confinement facility; and

(2) alcohol and substance abuse treatment facility.

7 CRR-NY 100.115 Orleans Correctional Facility {#sec-7-crr-ny-100.115 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.115}

(a) There shall be in the department an institution to be known as Orleans Correctional Facility, which shall be located in the Village of Albion, in Orleans County, and which shall consist of property under the jurisdiction of the department.

(b) Orleans Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Orleans Correctional Facility shall be classified as a medium security facility, to be used for the following functions:

(1) general confinement facility; and

(2) residential treatment facility to temporarily house certain parolees in accordance with subdivision 10 of Correction Law section 73.

7 CRR-NY 100.116 Washington Correctional Facility {#sec-7-crr-ny-100.116 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.116}

(a) There shall be in the department an institution to be known as Washington Correctional Facility, which shall be located in the Town of Fort Ann, in Washington County, and which shall consist of property under the jurisdiction of the department.

(b) Washington Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Washington Correctional Facility shall be classified as a medium security facility, to be used as a general confinement facility.

7 CRR-NY 100.117 Sullivan Correctional Facility {#sec-7-crr-ny-100.117 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.117}

(a) There shall be in the department an institution to be known as Sullivan Correctional Facility, which shall be located in the Town of Fallsburg, in Sullivan County, and which shall consist of property under the jurisdiction of the department.

(b) Sullivan Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Sullivan Correctional Facility shall be classified as a maximum security facility, to be used as a general confinement facility and a diagnostic and treatment center.

7 CRR-NY 100.118 Shawangunk Correctional Facility {#sec-7-crr-ny-100.118 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.118}

(a) There shall be in the department an institution to be known as Shawangunk Correctional Facility, which shall be located in the Town of Shawangunk, in Ulster County, and which shall consist of property under the jurisdiction of the department.

(b) Shawangunk Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Shawangunk Correctional Facility shall be classified as a maximum security facility, to be used as a general confinement facility.

7 CRR-NY 100.119 Franklin Correctional Facility {#sec-7-crr-ny-100.119 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.119}

(a) There shall be in the department an institution to be known as Franklin Correctional Facility, which shall be located in the Town of Malone, in Franklin County, and which shall consist of property under the jurisdiction of the department.

(b) Franklin Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Franklin Correctional Facility shall be classified as a medium security facility, to be used as a general confinement facility.

7 CRR-NY 100.120 [Repealed] {#sec-7-crr-ny-100.120 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.120}

7 CRR-NY 100.121 Cape Vincent Correctional Facility {#sec-7-crr-ny-100.121 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.121}

(a) There shall be in the department an institution to be known as Cape Vincent Correctional Facility, which shall be located in the Town of Cape Vincent in Jefferson County and which shall consist of property under the jurisdiction of the department.

(b) Cape Vincent Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Cape Vincent Correctional Facility shall be classified as a medium security facility, to be used as a general confinement facility.

7 CRR-NY 100.122 Riverview Correctional Facility {#sec-7-crr-ny-100.122 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.122}

(a) There shall be in the department an institution to be known as Riverview Correctional Facility, which shall be located in the City of Ogdensburg in St. Lawrence County and which shall consist of property under the jurisdiction of the department.

(b) Riverview Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Riverview Correctional Facility shall be classified as a medium security facility, to be used as a general confinement facility.

7 CRR-NY 100.123 Southport Correctional Facility {#sec-7-crr-ny-100.123 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.123}

(a) There shall be in the department an institution to be known as Southport Correctional Facility, which shall be located in the Town of Southport in Chemung County and which shall consist of property under the jurisdiction of the department.

(b) Southport Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Southport Correctional Facility shall be classified as a maximum security facility, to be used as a general confinement facility.

7 CRR-NY 100.124 Marcy Correctional Facility {#sec-7-crr-ny-100.124 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.124}

(a) There shall be in the department an institution to be known as Marcy Correctional Facility, which shall be located in the Town of Marcy in Oneida County and which shall consist of property under the jurisdiction of the department.

(b) Marcy Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Marcy Correctional Facility shall be classified as a medium security facility, to be used as a general confinement facility.

7 CRR-NY 100.125 Bare Hill Correctional Facility {#sec-7-crr-ny-100.125 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.125}

(a) There shall be in the department an institution to be known as Bare Hill Correctional Facility, which shall be located in the Town of Malone in Franklin County and which shall consist of property under the jurisdiction of the department.

(b) Bare Hill Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Bare Hill Correctional Facility shall be classified as a medium security facility, to be used for the following functions:

(1) general confinement facility; and

(2) alcohol and substance abuse treatment facility.

7 CRR-NY 100.126 [Repealed] {#sec-7-crr-ny-100.126 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.126}

7 CRR-NY 100.127 Livingston Correctional Facility {#sec-7-crr-ny-100.127 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.127}

(a) There shall be in the department an institution to be known as the Livingston Correctional Facility located in the Town of Groveland, Livingston County, New York.

(b) Livingston Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Livingston Correctional Facility shall be classified as a medium security correctional facility, to be used for the following functions:

(1) general confinement facility; and

(2) 120-bed alcohol and substance abuse treatment unit.

7 CRR-NY 100.128 Gowanda Correctional Facility {#sec-7-crr-ny-100.128 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.128}

(a) There shall be in the department an institution to be known as Gowanda Correctional Facility which shall be located in the Town of Collins in Erie County, New York, and which shall consist of property under the jurisdiction of the department at that location.

(b) Such institution shall be a correctional facility for males 18 years of age or older.

(c) Gowanda Correctional Facility shall be classified as a medium security facility to be used as a general confinement facility.

7 CRR-NY 100.129 Upstate Correctional Facility {#sec-7-crr-ny-100.129 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.129}

(a) There shall be in the department an institution to be known as Upstate Correctional Facility which shall be located in the Town of Malone in Franklin County and which shall consist of property under the jurisdiction of the department.

(b) Upstate Correctional Facility shall be a correctional facility for males 18 years of age or older; provided, however, that males between the ages of 18 and 21 may be placed therein in accordance with Part 110 of this Title.

(c) Upstate Correctional Facility shall be classified as a maximum security facility, to be used as a general confinement facility.

7 CRR-NY 100.130 Five Points Correctional Facility {#sec-7-crr-ny-100.130 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.130}

(a) There shall be in the department an institution to be known as Five Points Correctional Facility which shall be located in the Town of Romulus in Seneca County and which shall consist of property under the jurisdiction of the department.

(b) Five Points Correctional Facility shall be a correctional facility for males 18 years of age or older.

(c) Five Points Correctional Facility shall be classified as a maximum security facility, to be used as a general confinement facility.

7 CRR-NY 100.131 [Repealed] {#sec-7-crr-ny-100.131 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 100.131}

Part 103 ORDERS DESIGNATING INSTITUTIONS TO WHICH PERSONS COMMITTED TO CUSTODY OF THE STATE DEPARTMENT OF CORRECTIONAL SERVICES ARE TO BE DELIVERED

7 CRR-NY 103.1 Orders designating Department of Correctional Services receiving institutions {#sec-7-crr-ny-103.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 103.1}

Persons who are committed, transferred, certified to or placed in the care or custody of the Department of Correctional Services are to be delivered to the institutions designated in sections 103.5 through 103.45 of this Part.

7 CRR-NY 103.5 Males under 21 at time sentence is imposed {#sec-7-crr-ny-103.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 103.5}

Every male person committed to the custody of the department under an indeterminate or a reformatory sentence of imprisonment from all judicial districts of the State, who are between the ages of 16 and 21 at the time sentence is imposed, shall be delivered to the Reception Center at Elmira, located at Elmira, New York.

7 CRR-NY 103.6 [Repealed] {#sec-7-crr-ny-103.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 103.6}

7 CRR-NY 103.10 Males over 21 at time sentence is imposed {#sec-7-crr-ny-103.10 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 103.10}

Every male person committed to the custody of the department under an indeterminate sentence of imprisonment imposed on or after his 21st birthday shall be delivered to one of the following correctional facilities:

(a) Wende Correctional Facility, located at Alden, New York.

(b) Clinton Correctional Facility, located at Dannemora, New York.

(c) Downstate Correctional Facility in the Town of Fishkill, in Dutchess County, New York.

(d) Such persons shall be committed to the above facilities as designated by written order of the commissioner filed with the clerk of each court having jurisdiction to commit persons to the custody of the department.

7 CRR-NY 103.15 Females sentenced by courts to the department {#sec-7-crr-ny-103.15 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 103.15}

Every female person committed to the custody of the department, under a sentence of imprisonment by any court in the State, shall be delivered to the Bedford Hills Correctional Facility located at Bedford Hills, New York.

7 CRR-NY 103.16 [Repealed] {#sec-7-crr-ny-103.16 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 103.16}

7 CRR-NY 103.20 [Repealed] {#sec-7-crr-ny-103.20 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 103.20}

7 CRR-NY 103.25 [Repealed] {#sec-7-crr-ny-103.25 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 103.25}

7 CRR-NY 103.30 [Repealed] {#sec-7-crr-ny-103.30 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 103.30}

7 CRR-NY 103.31 [Repealed] {#sec-7-crr-ny-103.31 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 103.31}

7 CRR-NY 103.35 [Repealed] {#sec-7-crr-ny-103.35 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 103.35}

7 CRR-NY 103.40 [Repealed] {#sec-7-crr-ny-103.40 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 103.40}

7 CRR-NY 103.45 [Repealed] {#sec-7-crr-ny-103.45 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 103.45}

7 CRR-NY 103.50 [Repealed] {#sec-7-crr-ny-103.50 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 103.50}

Part 104 ORDERS DESIGNATING INSTITUTIONS TO WHICH PERSONS RETURNED TO INSTITUTIONS UNDER JURISDICTION OF STATE DEPARTMENT OF CORRECTIONAL SERVICES FOR VIOLATION OF PAROLE OR CONDITIONAL OR OTHER RELEASE ARE TO BE DELIVERED

7 CRR-NY 104.1 Male parole and conditional release violators {#sec-7-crr-ny-104.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 104.1}

(a) Except as provided in subdivisions (b) and (c) of this section, any male person to be returned to an institution under the jurisdiction of the department for violation of parole or conditional or other release may be delivered to any of the following correctional facilities:

(1) Attica Correctional Facility;

(2) Auburn Correctional Facility;

(3) Clinton Correctional Facility;

(4) Great Meadow Correctional Facility;

(5) Green Haven Correctional Facility;

(6) Elmira Correctional Facility;

(7) Downstate Correctional Facility;

(8) Ossining Correctional Facility;

(9) Queensboro Correctional Facility; or

(10) Wende Correctional Facility.

(b) Persons paroled or conditionally released from any of the correctional camps who are under 19 at the time of return for violation of parole or conditional release must be delivered to Elmira Correctional Facility or to Coxsackie Correctional Facility on return for violation of parole or conditional release.

7 CRR-NY 104.2 Female parole and conditional release violators {#sec-7-crr-ny-104.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 104.2}

Any female person to be returned to an institution under the jurisdiction of the department for violation of parole or conditional or other release is to be returned to the Bedford Hills Correctional Facility or the Bayview Correctional Facility.

7 CRR-NY 104.3 Transfer of parole and conditional release violators {#sec-7-crr-ny-104.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 104.3}

Persons returned to institutions under the jurisdiction of the department for violation of parole or conditional or other release who are not suited to programs administered in the institutions to which they have been delivered shall be transferred to appropriate institutions, authorized to receive them, as soon as practicable.

Part 105 DESIGNATION AND CLASSIFICATION OF DRUG TREATMENT CAMPUSES

7 CRR-NY 105.1 Willard Drug Treatment Campus {#sec-7-crr-ny-105.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 105.1}

(a) Willard Drug Treatment Campus is located in the Towns of Romulus and Ovid in Seneca County.

(b) Willard is operated by the department as a secure facility for confinement of males and females 18 years of age and older.

(c) Willard serves as a drug treatment campus for:

(1) individuals sentenced to parole supervision sentences pursuant to section 410.91 of the Criminal Procedure Law;

(2) certain parole violators; and

(3) certain offenders sentenced prior to October 1, 1995 who have been so placed as a condition of early parole release.

Part 110 INTERPRETATION OF AGE RANGE PROVISIONS

7 CRR-NY 110.1 Interpretation of age range provisions set forth in this Chapter {#sec-7-crr-ny-110.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 110.1}

(a) The age ranges set forth in this Chapter are basically indicators of inmate maturity level. In any case where an inmate is not within the age range specified for an institution, such inmate may nevertheless be confined therein upon specific written approval of the Director of Classification and Movement or his designee if said institution is deemed appropriate for the inmate's supervision or offers a program that can be of benefit to the health, care or rehabilitation of the inmate.

(b) Wherever the age range of persons who may be confined in an institution is specified in this Chapter, the following rules of interpretation shall apply:

(1) The age specifications are keyed to birthdates and a person no longer falls within the range specified when he has attained the oldest age set forth in the range. (For example, a person who has reached his 18th birthday shall not be considered to be between 16 and 18 years of age);

(2) Except in the case of reception centers, the age specifications are keyed to age as of admission to an institution, and an inmate who is admitted to an institution while within the age range specified in this Chapter may be confined therein notwithstanding the fact that he is older than the age range specified for the institution; and

(3) In the case of reception centers, the age specifications are keyed to age as of the date the sentence of imprisonment was imposed.

(c) In any case where an institution is designated as one that may be used for reception or confinement of persons who are 16 years of age, such institution also may be used for reception or confinement as the case may be of persons who are 15 years of age and who are received by the department pursuant to commitment by the Family Court or pursuant to transfer from another State agency.

Part 130 TRANSFER OF FOREIGN NATIONALS

7 CRR-NY 130.1 Purpose {#sec-7-crr-ny-130.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 130.1}

(a) The purpose of this regulation is to provide a uniform procedure for voluntary transfer of incarcerated foreign nationals to home countries under treaty arrangements with the U.S. Government and in accordance with New York State Correction Law.

(b) Correction Law, section 5(4) authorizes the commissioner to convert the sentence of a person serving an indeterminate sentence, except for a person serving a sentence with a maximum term of life imprisonment, to a determinate sentence equal to two-thirds of the maximum or aggregate maximum term imposed where such conversion is necessary to make the person eligible for transfer to Federal custody for transfer to foreign countries under treaties that provide for voluntary transfers.

(c) Correction Law, section 71 confers on the commissioner, or designee, the sole and absolute authority to approve or disapprove an inmate's application for international transfer. Nothing herein shall be construed to confer upon any inmate a right to be transferred to the custody of a foreign nation.

7 CRR-NY 130.2 Procedure {#sec-7-crr-ny-130.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 130.2}

(a) Reception.

Newly received inmates who are identified as foreign nationals of treaty nations shall, as part of the reception process, be advised of the existence of prisoner transfer treaties and the possibility of the initiation of a transfer request.

(b) Law libraries.

To inform all prisoners who are citizens of another country, each general confinement facility law library shall contain:

(1) a copy of this regulation and New York State Correction Law;

(2) a listing of nations that have prisoner transfer treaties with the United States;

(3) the most recent Amnesty International report describing prison conditions in each treaty nation;

(4) other information on prison conditions in treaty nations published by the United Nations, the U.S. Department of State, or human rights organizations, if available; and

(5) to the extent practicable, information on each treaty nation's provisions for the reduction of terms of sentence, or a listing of officials in the U.S. Department of Justice or the embassy of the foreign country to whom an inmate may write for information.

(c) Application.

(1) An inmate who wishes to be considered for voluntary transfer must complete and sign the transfer request form and forward it to the facility superintendent.

(2) Upon receipt, the superintendent shall forward a copy to the commissioner.

(3) Upon assessment of eligibility, the commissioner’s designee shall forward the request to the commissioner, or designee, along with a recommendation and copies of:

(i) the inmate's request;

(ii) sentence conversion certificate (see subdivision [d] of this section);

(iii) a copy of the sentence and commitment order;

(iv) a copy of the most recent legal date computation printout;

(v) a copy of the statute(s) under which the inmate was convicted;

(vi) a copy of the final order of deportation against the inmate from the U.S. Immigration and Customs Enforcement;

(vii) description of the inmate's intake interview;

(viii) inmate family and residence information; and

(ix) any other forms or information that may be required by the foreign country or treaty.

(d) Conversion of indeterminate sentence to determinate sentence.

Where it is necessary to convert an indeterminate sentence to a determinate sentence in order to make an applicant eligible for international transfer, the sentence shall be calculated as equal to two-thirds of the maximum or aggregate maximum term imposed. Indeterminate sentences with a maximum term of life imprisonment may not be converted to a determinate sentence.

(e) Commissioner's decision.

Within 30 days of receipt, the commissioner, or designee, shall acknowledge receipt of the application. If the application is approved, the commissioner, or designee, shall follow the procedure set forth in subdivision (f) of this section. If the application is disapproved, the inmate and referring superintendent shall be so advised.

Note:

This entire process, from the inmate's application through the final decision, typically requires up to one year, and may take longer. Upon receipt of notification of the decision, the inmate will be informed by letter from the commissioner or commissioner’s designee.

(f) Approvals.

Upon approval, the following actions shall be taken:

(1) The commissioner, or designee, shall write to the Office of Enforcement Operations, International Prisoner Transfer Unit, U.S. Department of Justice, advising that New York State is willing to transfer a prisoner. The documentation listed in paragraph (c)(3) of this section shall be enclosed with this communication, and the inmate shall be provided with a copy of the cover letter.

(2) The Department of Justice will approve or disapprove the request and will follow with documentation and instructions.

(3) The Department of Justice will notify the appropriate embassy of its decision and, in cases where it has approved the request, will ask if the other country is willing to accept the prisoner.

(4) If accepted, the Department of Justice will arrange for a verification proceeding before a U.S. Magistrate Judge who will have authority to order the prisoner accepted into Federal custody.

(g) Costs.

The facility is responsible for transporting the inmate to a U.S. Magistrate Judge for a consent verification hearing at the time of the transfer.

(h) Counsel.

The Federal Government provides counsel for these hearings. When requested, the superintendent shall allow counsel to interview an inmate prior to a hearing.

(i) Property.

The inmate is responsible for disposing of his or her property prior to the consent verification hearing. Upon completion of the hearing, the inmate will be in the custody of the U.S. Marshal's Service and will not be permitted to have any property in his or her possession.

(j) Qualifications for transfer to foreign countries.

(1) The inmate must be a citizen of the receiving country.

(2) The inmate must be convicted and sentenced to a term of imprisonment.

(3) The inmate must not be committed solely for a military or immigration offense.

(4) The inmate must have served at least one-half of the minimum term and have at least one year of the instant sentence remaining to be served at the time of request for transfer.

(5) The inmate must have no pending proceeding by way of appeal or collateral attack upon the instant conviction or sentence.

(6) The inmate must be convicted of a crime which is generally punishable as a crime under the laws of the other country.

(7) The inmate, the commissioner, the United States Department of Justice, and the receiving country must all consent to the inmate's transfer.

(8) The inmate must have received an order of deportation from the U.S. Immigration and Custom Enforcement.

(k) Rescission of approval.

The commissioner may withdraw prior approval of a transfer application if the inmate engages in criminal conduct or any serious disciplinary infraction(s) following his or her request for transfer pursuant to this regulation, or if the commissioner becomes aware of any information which would have led to disapproval of the application.

Chapter IV VISITATION

Part 200 ENTRANCE TO A CORRECTIONAL FACILITY

7 CRR-NY 200.1 Identification {#sec-7-crr-ny-200.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 200.1}

(a) Each person seeking entrance to a correctional facility will be required to furnish proof of identity. Failure to produce adequate identification shall result in the denial of entry. Prior to visiting, visitors and other persons not employed at the correctional facility shall sign appropriate visiting forms as required by the facility. These records will be maintained by the facility.

(b) Upon entering any gate area, identification of persons, other than facility employees, shall be properly determined and recorded.

(1) Each person entering a correctional facility will be required to furnish valid, unexpired identification. Failure to produce adequate identification shall result in denial of entry.

(2) A person visiting an inmate under the visitation program (see Part 201 of this Title), family reunion program (see Part 220 of this Title), special events program (see departmental directive No. 4022), or for inmate legal visits (see departmental directive No. 4404) (these directives are available on the department website) should use the same form of identification at every visit, regardless of the location of the visit, and must sign appropriate visiting forms as required by the facility or the visit shall be denied. Acceptable forms of identification for such visits are as follows:

(i) picture I.D. (e.g., driver's license, non-driver identification, other government issued picture identification, Armed Services I.D., or employment identification with the visitor's picture on it);

(ii) birth or baptismal certificates shall not be considered adequate identification for an adult visitor; however, they may be used as identification for a minor child. In the case of a minor with no other creditable identification documentation, an adult approved to visit may vouch for the identification of a minor;

(iii) a visiting spouse must possess documentation of a valid marriage license or a declaratory judgment stating the validity of an out-of-state common-law marriage for spousal participation in the family reunion program (see Part 200 of this Title and departmental directive No. 4500 “Family Reunion Program”).

(3) Non-facility employees or non-departmental personnel requiring entrance for an approved purpose (e.g., meeting, tour, official business, etc.) must obtain authorization from the superintendent or designee. Each individual shall record his or her name, the purpose of entry, and the times of entry and exit in the front gate log book. Identification required of such persons is as follows:

(i) A person entering for an approved purpose may use professional identification consistent with the purpose of entry into the correctional facility. Examples of professional identification include a New York State Department of Corrections and Community Supervision picture identification; an employee picture identification issued by a Federal, State, county or local government; a court issued employee picture identification or a Unified Court System attorney secure pass identification card.

(ii) A person not having professional identification shall be required to furnish a valid, unexpired picture I.D. as provided in subparagraph (2)(i) of this subdivision.

(4) Additional identification requirements for participation in family reunion program visits are set forth in Part 220 of this Title, "Family Reunion Program."

(c) Each visitor shall be required to leave via the same gate by which he or she was admitted and the time out will be recorded. A visitor should not be permitted to leave a facility by any gate other than the one through which he or she entered without the authorization of the watch commander or higher ranking facility official.

(d) If the gate officer has any question regarding the validity of any aspect of the offered identification or the identity of the visitor, the officer shall notify his or her supervisor. The supervisor may approve entry into the correctional facility, require the visitor to provide additional supportive identification, or deny entry into the correctional facility.

(e) Except at minimum security facilities and correctional camps, each visitor (any person not employed at that facility) over five years of age shall be hand stamped to aid in identifying visitors upon leaving the facility.

(f) A visitor shall be required to lift any facial covering (religious or otherwise) for identification purposes.

(1) If the visitor objects for religious reasons, staff shall offer the visitor a private room or screened area to remove the facial covering in the presence of a security staff member of the same sex, if one is on duty. If no security staff member of the same sex is on duty a non-uniformed staff member of the same sex shall be used. If, however, no staff member of the same sex is on duty, and the visitor still refuses to show his or her face in the usual visitor processing area, the visit will be denied.

(2) In order to leave the facility after a visitor has been processed in, the visitor shall be required to show his or her face. If the visitor objects for religious reasons, and a staff member of the same sex is on duty, staff shall use a private area as set forth above. If the visitor refuses to show his or her face, the visitor shall be detained until identity is ascertained.

Note: Staff shall not require a visitor to remove religious headwear, during the identification process.

7 CRR-NY 200.2 Search {#sec-7-crr-ny-200.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 200.2}

(a) All persons entering a correctional facility are subject to search as a condition of entering a facility. All visitors, except for visitors to a correctional camp, shall pass through a walk through metal detector and/or be scanned with a hand scanner. Any visitor who exercises his or her option to refuse to comply with the required search procedures shall not be permitted to enter a correctional facility. Facility employees may be subject to search if, and when, required by the superintendent or his or her designee.

Note: The superintendent may make exceptions to the search requirements for department officials or other dignitaries.

(b) Notices will be posted at public entrances to a facility, in English and Spanish, providing that all visitors are subject to search as a condition of visitation.

(c) A detailed definition of contraband (see section 200.3 of this Part) shall be posted in the visitor processing area and made available to a visitor upon request.

(d) Metal detectors.

(1) Calibration and testing. All hand scanners and metal detectors shall be calibrated to meet the criteria established and approved by the deputy commissioner for correctional facilities.

(2) Metal detector searches.

(i) Each visitor shall remove all metal items from clothing prior to monitoring. Jewelry (e.g., watches, chains, medals, etc.) which is normally concealed and which register an alarm will be removed. Other jewelry (e.g., rings, pins, earring, etc.) which is normally not concealed and which can be located by hand scanner, need not be removed.

(ii) Items that are removed from visitors passing through the detector will be placed in a container out of reach of the visitor where the items can be observed and checked by staff.

(iii) Staff shall thoroughly search handbags, briefcases, and other containers. Inspection of handbags, briefcases, and other containers in the possession of an attorney or duly approved legal representative prior to an approved legal visit shall be limited to cursory examination for contraband. Written materials shall be inspected, as unobtrusively as possible, to verify that the materials do not contain contraband.

(iv) Staff shall check and approve all items before returning them to the visitor and the items will be returned only after the visitor has successfully passed through the metal detector.

(v) If there is any difficulty clearing a person by use of the walk-through metal detector, staff shall use the hand scanner to locate the problem area.

Note: If items such as belt buckles, jewelry, metal buttons, etc. are probable causes of registering an alarm, the use of the hand scanner will usually identify the object in question. The hand scanner should be held approximately ½ inch away from the area being searched. Care should be taken by staff to ensure that the hand scanner does not make physical contact with the individual being processed. When the hand scanner indicates the presence of metal, which is concealed under clothing, the visitor shall reveal (if appropriate) the object in question thereby establishing that the item revealed caused the alarm or, if necessary, the visitor shall remove the item for inspection.

(vi) If, prior to an approved legal visit, an attorney or duly approved legal representative is unable to clear the metal detection process, staff shall contact the superintendent or designee for further direction.

(3) If the visitor is unable to reveal or remove the detected object due to its personal nature, processing shall continue as follows: The visitor shall be provided with a document explaining that they have the right to leave the facility or they can pursue one of two search options:

(i) A limited visual search to be conducted in a private area where an officer or staff member of the same sex will visually inspect the area in question by having the visitor lift any articles of clothing or under garments to satisfy staff that no contraband is secreted on the visitor's person in the area in question. Should a staff member of the same sex not be available, a personal item search as set forth in subparagraph (ii) of this paragraph shall be utilized.

Note: When the limited visual search procedure is utilized, staff must obtain a signed "Notice of Consent to Search" form from the visitor and an unusual incident report must be filed in accordance with departmental directive No. 4004, "Unusual Incident Report."

(ii) A personal item search may be conducted as an alternative to a limited visual search.

(a) The visitor shall be provided a private area or other room that provides personal privacy to remove items of a personal nature including braces, underwire bras, etc.; a paper bag in which to place any personal items they have removed; and an opportunity to use a large mess hall style white shirt as an outer covering during reprocessing procedures. (The facility shall have at least two x-large and two xx-large mess hall style shirts available. The facility must specifically advise any female visitor who may be required to remove an underwire bra of the availability of these shirts to wear as an outer garment during reprocessing procedures.)

Note: A visitor shall not be routinely required to remove religious headwear during search procedures. However, if staff determines following the use of the hand scanner that removal of the headwear or any other item of religious apparel is necessary, the item shall be removed in a private area in the presence of a security staff member of the same sex, if one is on duty. If no security staff member of the same sex is on duty, a non-uniformed staff member of the same sex shall be used. The staff member of the same sex shall conduct a hand scanner search and visual inspection of both the visitor and the removed item in a private area. If there is no staff member of the same sex on duty, and the visitor still refuses or cannot remove the item due to its personal nature in the visitor processing area, the visit will be denied.

(b) Once the detected item is removed and placed in the paper bag, staff shall reprocess the visitor via a hand scanner or walk-through metal detector and both the bag and it's contents shall be discreetly inspected for contraband. All visitors must be dressed in appropriate attire, as outlined in section 201.3 of this Title, when not within the private area. Once the visitor has cleared the detector, the personal items shall be returned and a private area made available for redressing. The outer covering shirt shall be returned to a security staff member.

(c) Whenever possible, the private area used to disrobe shall not be the same area that is used for redressing. Any private area shall be out of sight of the inmate population. If separate areas are not available, staff must search the area before the visitor enters to redress.

(4) Contact between processed and unprocessed visitors shall be prevented.

(5) If staff is unable to locate the source of the problem with the hand scanner or believes that there is probable cause for further processing, he/she shall follow the strip search procedures as set forth in subdivision (f) of this section, even if the visitor offers to voluntarily remove items of clothing other than coat, hat, or shoes.

(e) Substance detection/ion scan testing.

Visitors entering any department facility, by whatever gate, may be subject to ion scanning or other non-intrusive test for detection of illicit substances.

(1) A substance detection/ion scanner test means a search in which surface samples are taken using a handheld collection unit for testing in a drug and/or explosives detection device. The collection unit may come into contact with an individual's hands, areas of clothing, personal items, purses/handbags, packages, correspondence or any other articles that may retain microscopic traces of illicit substances. A positive test result may occur in any case where a person has come into contact with an illicit substance, whether the person has used that substance or not. All substance abuse detection/ion scan staff shall use the thresholds established and approved by the deputy commissioner for correctional facilities or his or her designee to determine whether or not a test is positive.

(2) If a visitor tests positive, a second test will be conducted to confirm or negate the first test result. Upon a confirmed positive test result, or test refusal, the visitor will be denied entrance into any correctional facility for two days. If that visitor is a minor child, that child's parent, guardian or approved escort will also be denied entrance into the correctional facility. Otherwise, a confirmed positive test result on a specific visitor will not serve as a basis to deny entrance to any other visitor. A confirmed positive test means that a second sample from the same area on the person or the person's belongings tests positive for the same substance.

(3) No disciplinary action shall be taken against an inmate solely because an individual that is attempting to visit the inmate tests positive or refuses to test.

(f) Strip Searches.

(1) If a visitor to a correctional facility has complied with all the aforementioned processes and the officer in charge reasonably believes further processing is required to prevent the introduction of contraband into the facility, the following action must be taken:

(i) The visitor shall be asked to remain. The officer in charge shall contact his or her immediate supervisor.

(ii) The supervisor will evaluate the situation to determine if further processing is warranted.

(2) If the supervisor determines that further processing is warranted, the superintendent or the officer of the day during non-business hours shall be notified and may authorize a consensual strip search after reviewing the matter.

(i) In order to justify a strip search of a particular visitor, the superintendent or officer of the day during non-business hours, must point to specific objective facts and rational inferences that he or she is entitled to draw from those facts in light of his or her experience. The superintendent must have reasonable cause to believe that contraband is concealed upon the person of the visitor, base upon specific and articulable facts and inferences reasonably drawn from those facts. Generalized suspicion of smuggling activity is insufficient.

(ii) Strip searches may not be authorized based on uncorroborated information or "tips" merely stating that visitors would attempt to introduce contraband into a facility where the informant's reliability cannot be assessed and observations of visitors by staff upon arrival at the facility do not contribute to reasonable suspicion that contraband is being concealed. Reasonable suspicion exists only if the uncorroborated information can be linked to other objective facts.

(3) The visitor must be informed that he/she has the option to submit to the requested search procedure or to refuse. If a visitor refuses to submit to a strip search the visit will be denied.

(4) Guilt is not to be assumed from a visitor's refusal to submit to a strip search.

(5) Future visits may not be denied on the basis of past refusal to a strip search.

(6) A visitor's past refusal to submit to a strip search may not be used as a basis or factor in establishing reasonable suspicion for future strip searches.

(7) If the visitor consents to a strip search, the supervisor will obtain the visitor's written consent on Form No. 2061, "Notice of Consent to Search." In the case of a minor child, the consent must be given by a parent or guardian. Absent consent from an accompanying parent or guardian, a minor child will not be subjected to a strip search and will not be permitted entry into the facility. For purposes of this section, the term minor child shall mean any person who is under the age of 18, but the term shall not include any person who is emancipated (i.e., 16 years of age or older who is married [with proof of age and marriage]) and who is related to the inmate to be visited.

(8) Strip search of a minor child.

(i) In an unusual circumstance when the visitor to be strip searched is a minor child, the parent or guardian shall be present and, at the discretion of staff, may participate in the strip search.

(ii) If at any time during the procedure the minor child or accompanying parent or guardian objects in any manner to the strip search, the procedure shall be terminated immediately and the visit denied. When a minor child is unable to clear the search procedure, the escorting parent or guardian shall also be denied entry into the facility.

(9) Strip searches shall be conducted in locations heated to a level of human comfort for disrobed persons.

(10) Strip searches shall be conducted by a correction officer of the same sex as the visitor being searched.

(11) In performing strip searches, staff shall conduct themselves professionally. Staff shall be alert to the sensitive nature of the strip search and conduct such searches in a manner least degrading to all involved while fulfilling the objective of the search.

(12) A strip search must be reported as an unusual incident in accordance with departmental directive No. 4004, "Unusual Incident Report." A subsidiary report of the circumstances surrounding the incident should accompany the unusual incident report. Particular care should be given to setting forth in detail the factor or factors which led to a determination that the visitor required processing under this subdivision.

(g) As a prerequisite to entry to a correctional facility, the superintendent or his or her designee shall have the authority to require any visitor to surrender any article or thing to the gate officer if the superintendent or his or her designee reasonably believes to be potentially dangerous to the safety and security of the facility or constitutes contraband as defined in section 200.3 of this Part.

7 CRR-NY 200.3 Unauthorized items/contraband {#sec-7-crr-ny-200.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 200.3}

(a) Contraband is defined as:

(1) any article or thing the possession of which would constitute an offense under any law applicable to the public;

(2) any article or thing which is readily capable of being used to cause death or serious physical injury, including but not limited to a hand gun, shoulder gun, cartridge, knife, explosive, or dangerous drug (including marijuana);

(3) any article or thing that is introduced into a correctional facility under circumstances showing an intent to transfer same to an inmate without the permission of the superintendent or his designee; or

(4) any article or thing that is not specifically authorized to be possessed by an inmate in a State correctional facility pursuant to the rules of the department or the local rules of the facility. Money and identifying documents are among the items inmates are not permitted to possess. (See section 270.2[B][14] of this Title, "Standards of inmate behavior, rule series 113 contraband.")

Note: The visitor's intent shall be controlling. At times, innocent oversights will occur (e.g., medication). Officers should use their discretion in judging a visitor's intent, when undeclared contraband is found, as to whether the visitor intentionally attempted to introduce contraband into the facility. Criteria to be considered include the visitor's demeanor, whether it appears that the contraband was for the visitor's personal use and was inadvertently left his/her pocket or handbag, and whether an effort was made to conceal the contraband where it would not readily be found and the visitor's past history.

(b) Upon the discovery of contraband as defined in paragraphs (a)(1) and (2) of this section, the contraband shall be confiscated and law enforcement officials shall be contacted.

(c) Prohibited Items.

Certain items are prohibited inside a State correctional facility.

(1) Cellular phones, wireless phones, pagers, laptop computers, personal digital assistants, any device with global positioning (G.P.S.) capabilities, any device with audio recording capabilities, radios, cameras or other similar electronic devices are prohibited. Other items including pocketknives, alcohol and other items posted at the facility entrance or as directed by staff are also prohibited.

(2) A visitor shall declare any prohibited item that is not specifically authorized to be possessed in a State correctional facility, but is otherwise legally possessed (e.g., medications). The visitor shall store the items in a locker, if available, until the visitor leaves the facility. If no locker is available, the visitor shall remove the item from the facility and secure it in an appropriate location (e.g., the visitor's vehicle).

Part 201 VISITATION

7 CRR-NY 201.1 Purpose {#sec-7-crr-ny-201.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 201.1}

Appropriate participation in the inmate visitor program provides inmates under custody of the New York State Department of Corrections and Community Supervision an opportunity to maintain relationships with friends and relatives and to promote better community adjustment upon release. Contact with persons from the outside provides all offenders emotional support in adjusting to the prison environment. This regulation sets forth the requirements of the inmate visitor program, provides for a uniform manner for the operation of the inmate visitor program, and provides guidance for department staff, inmates, and visitors to correctional facilities under the jurisdiction of the Department of Correction and Community Supervision.

7 CRR-NY 201.2 Procedures {#sec-7-crr-ny-201.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 201.2}

(a) Visitors.

(1) First-time visitors. First-time visitors will be allowed to visit if proper identification is presented and if the inmate to be visited agrees to the visit.

(2) Visitor record. A record of visitors for each inmate and a record of each visit will be maintained. The department visitor record will be updated as visitors register and are processed to visit inmates. This record will be updated by security staff in the area where visitors are processed.

(3) Cross-visiting. Cross-visiting is the participation of two inmates in a visit with one or more visitors. Cross-visiting is permitted with the approval of the superintendent and, in the case of immediate family members, is to be encouraged.

(i) Inmates wishing to cross-visit must submit requests to their respective counselors at least one month prior to the proposed visit.

(ii) Only persons who are on both inmates' visiting lists may participate in cross-visits.

(iii) Cross-visiting may be limited when necessary in order to accommodate all visitors.

(iv) Small children may play with each other with the permission of their families provided that they are not disruptive.

(v) When a cross-visit is taking place, the two inmates may participate in a common photograph.

(4) Visitors under 18 years of age.

(i) All minors must be escorted by an adult approved to visit or an adult in an official capacity with proper identification and the approval of the superintendent, or his or her designee, except as otherwise provided in subparagraphs (ii) through (vi) of this paragraph. Such adult will be responsible for the behavior and conduct of the minor while on facility property and for identification of the minor.

(ii) Unmarried minors under 18 years of age, who are not accompanied by their parent or guardian, must have prior written permission from their parent or guardian to visit an inmate. The written permission may be mailed to the facility in advance or presented by the accompanying adult at the time of the visit. The written permission must be signed before a witness and contain a telephone number of both the parent or guardian and the witness to permit staff to verify the permission at the time of the visit.

(iii) Children of inmates will be allowed to visit without prior written permission as long as no court order prohibiting such visiting is on file with the facility.

(iv) Allowance will be made for inmates' children 16 years of age and older to be admitted without escort.

(v) Married persons under 18 years of age who are related to an inmate do not need the permission of a parent, guardian, or an adult escort in order to visit an inmate; however, proof of age and marriage will be required.

(vi) Special arrangements approved by the superintendent of the facility may be made for groups of children to be brought to the facility by an adult approved to visit (e.g., Children's Center Program at Bedford Hills).

(5) Persons under probation or parole supervision will be allowed to visit an inmate only with the prior permission of the superintendent and the written permission of the person's probation or parole officer.

(6) An inmate released from any facility through the department's temporary release program will be allowed to visit another correctional facility only with the prior permission of both the superintendent of the facility from which the inmate is temporarily released and the superintendent of the facility which the inmate wishes to visit.

(7) Pending or past criminal proceedings, ex-inmate status, or a person's status as a former employee, contractor or volunteer, shall not solely disqualify such person from visiting an inmate in a correctional facility, except as provided herein.

(i) The superintendent of a facility may deny visiting privileges to such person by indicating in writing with specific reasons if he or she determines that the visitor's presence poses a threat to the security and good order of the facility. Criteria to be considered shall include: the purpose of the proposed visit; the institutional adjustment of an ex-inmate; the nature of a pending criminal proceeding against the visitor or inmate; the time frame between release and the proposed visit; the circumstances of separation from service of any prior employee, contractor or volunteer; and any other articulable factors the superintendent identifies, particularized to the visitor, the inmate and/or a facility or staff member, that establishes or tends to establish that such visitor may pose a threat.

(ii) Pending criminal charges related to conduct at a correctional facility or involving an inmate shall disqualify a person from visiting any department facility until the charges are resolved (e.g., promoting prison contraband).

(8) If an inmate is in a facility hospital or outside hospital, the inmate may be visited for limited periods of time by persons on his visitor list, an attorney, or his duly authorized representative, or visiting clergy. Such visits shall be subject to the approval of the superintendent, the facility's health services director or the inmate's doctor, and the visiting rules of the hospital.

(b) Conditions.

(1) No inmate is to be visited against his will by any person including attorneys or their duly authorized representatives or representatives of the news media.

(2) Visiting times.

(i) Unless a different schedule is approved by the commissioner, at maximum security facilities visiting is allowed every day of the year and at hours intended to encourage maximum visitation. At medium and minimum security facilities, visiting is allowed on weekends and holidays only. At work release facilities, only inmates held in restriction status shall be allowed visitors. At Upstate and Southport correctional facilities, visiting is allowed on weekends and holidays only and visits for inmates confined to a special housing unit (SHU) are limited to one non-legal visit per week. Visiting in special program units will be permitted on a schedule approved by the commissioner, or his or her designee.

(ii) Except in cases of emergency, and except for instances of denial, termination, term of suspension or indefinite suspension of either a visitor's or inmate's visiting privileges under the provisions of section 201.4 of this Part including any disciplinary disposition imposed under Chapter V of this Title, the number, length, and frequency of visits by each visitor will be limited only as necessary to accommodate all visitors who arrive during scheduled visiting times. However, a superintendent may deny, limit, suspend for a term, or indefinitely suspend visitation privileges of any inmate or visitor under the provisions of section 201.4 of this Part if the superintendent has reasonable cause to believe that such action is necessary to maintain the safety, security, and good order of the facility.

(3) The designated area or areas for visiting shall be specified and arranged to provide as much space as practical, along with adequate heat, light, and ventilation, convenient seating arrangements for both visitors and inmates, lavatory facilities, and any other appropriate accommodations. In facilities which have more than one visiting area, visiting room assignments may be made based upon the inmate's program assignment, institutional adjustment, or security risk level.

(4) The superintendent will designate an area for confidential meetings which will insure the privacy of conversations during professional visits of attorneys or their duly authorized representatives or visiting clergy.

(5) The visiting room and the visiting room lavatories will be searched before and after visiting to make certain that nothing has been concealed therein which might be removed by visitors or inmates.

(6) Inspection of an inmate's person, clothing, and possessions will be made in accordance with departmental directives concerning control of and search for contraband.

(7) Superintendents may modify department visiting rules to adjust to local conditions; however, no modification may be imposed without the prior approval of the commissioner.

7 CRR-NY 201.3 Guidelines {#sec-7-crr-ny-201.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 201.3}

(a) Inmates and their authorized visitors shall abide by the visiting rules and regulations, posted facility rules, and the instructions and guidelines given by facility staff. The department shall maintain on its website the full text of Part 200 of this Title and this Part.

(b) Violation of visiting rules and regulations, posted facility rules or instructions by staff by either an inmate or visitor may result in the denial or termination of a visit and the term of suspension or indefinite suspension of future visits under the provisions of section 201.4 of this Part.

(c) Inmates and visitors shall not be permitted to leave the visiting area together. The inmate must be accounted for by the visiting room officer prior to permitting the visitor to leave the facility. Visitors may be detained until the inmate is secured.

(d) Exchange or review of items.

During visits, inmates and visitors are not authorized to exchange or share any items without prior approval of the area sergeant.

(1) In general, the following items may be reviewed and exchanged: only personal legal papers, the Bible and Koran and similar religious writing, and personal photographs (excluding Polaroid photographs) after the materials have been examined for contraband by facility security personnel.

(2) If a visitor wishes to leave any materials with the inmate that the visitor brought into the visiting area, or to remove materials brought into the visiting area by the inmate, the exchange must take place through the package room.

(e) Prior to a visit, a visitor may leave a package for an inmate, containing authorized items only, which will be inspected prior to delivery to the inmate. An attempt to introduce contraband through a package may result in the denial or termination of a visit and the term of suspension or indefinite suspension of future visits.

(f) Only foodstuffs or beverages purchased by the visitor from vending machines located in the visiting area may be consumed in the visiting room. Visitors to correctional camps shall normally be permitted to share foods brought into the facility with the inmates they are visiting, at the discretion of the superintendent. An exception will be made for visitors with small children needing to utilize baby bottles. Plastic baby bottles will be allowed into the visiting room after the contents have been examined. Jars of baby food should be left in the designated area where the visitor may go to feed the child.

(g) Inmates and visitors will not be allowed to use the same lavatories.

(h) Visitors appearing in unacceptable attire will not be admitted to a correctional facility. Due to the large number of families and young children participating in the inmate visitor program, the following are unacceptable: see-through clothing, bare midriffs or backs, plunging necklines, short shorts or athletic shorts, mini-skirts, bare feet, and bathing suits. Shorts or skirts shorter than mid-thigh length are unacceptable. Visitors are cautioned that clothing containing metal (e.g., decorative buckles, buttons or studs) or wire, including, but not limited to underwire bras, may cause the metal detector to alert and require further processing pursuant to section 200.2 of this Title.

(i) Physical contact during contact visits.

(1) In general, kissing, embracing, and touching are allowed as long as they would be acceptable in a public place and do not offend other inmates and visitors or aid in the introduction of contraband or escape attempts.

(2) At a minimum, a visitor and inmate may embrace and kiss at the beginning and at the end of any contact visit. Brief kisses and embraces should also be permitted during the course of the contact visit. However, prolonged kissing and what is commonly considered "necking" or "petting" is not permitted.

(3) A visitor and an inmate may hold hands, as long as the hands are in plain view of staff.

(4) An inmate and visitor sitting next to one another may also rest their hands upon each others' shoulders or around each others' waists. Resting one's head on another's shoulder is also permitted when the inmate and visitor are sitting next to one another.

(5) No visitor or inmate may engage in unacceptable physical conduct, e.g., intercourse, sodomy, touching sexual or other intimate parts of another person, or masturbation.

(j) A visitor arriving with a small child will be allowed to take a diaper bag, three diapers and plastic baby bottles into the visiting room, provided all articles are thoroughly searched beforehand. If possible, a suitable area within the perimeter of the visiting room should be provided for the changing of diapers.

7 CRR-NY 201.4 Termination, term of suspension and indefinite suspension {#sec-7-crr-ny-201.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 201.4}

(a) General.

Pursuant to the procedures set forth in this section, a superintendent may deny, limit, suspend for a term or indefinitely suspend the visitation privileges of any visitor if the superintendent has reasonable cause to believe that such action is necessary to maintain the safety, security, and good order of the facility. A loss of visiting privileges may be imposed for an inmate pursuant to the procedures for implementing the standards of inmate behavior under Chapter V of this Title and as set forth in subdivision (d) of this section.

(1) A visit may be terminated at the discretion of the superintendent or his or her designee if objectionable behavior is displayed during such visit.

(i) Objectionable behavior may consist of loud, abusive, or boisterous actions, disruptive behavior, or sexual activities which constitute unacceptable physical contact. Facility staff supervising visiting areas should give inmates and visitors instructions on proper behavior and admonitions if they observe improper behavior prior to giving out an official warning.

(ii) Before termination of a visit, a verbal warning must be issued by the visiting room officer to the visitor and the inmate that the objectionable behavior is prohibited and that failure to cease such behavior will result in termination of the visit. Such warning will be noted on the visitor's record.

(2) A visit will be terminated without a warning if one or more of the following misconduct takes place:

(i) a visitor or inmate becomes apparently under the influence of alcohol or drugs during a visit;

(ii) unapproved parties continue to cross visit after a warning is given by facility staff;

(iii) a visitor or inmate refuses to follow instructions given by facility staff or posted facility rules;

(iv) visitor or inmate attempts to introduce or pass contraband to the other, as defined in section 200.3 of this Title;

(v) assault on facility staff, inmate, or other visitors;

(vi) a visitor and/or inmate engages in unacceptable physical conduct.

(3) Termination.

(i) The decision to terminate a visit is within the discretion of the superintendent, or his or her designee, who must be the watch commander or higher ranking official. If a visit is terminated on the weekend, the watch commander shall promptly notify the officer of the day.

(ii) If a visit is terminated, the area supervisor will advise the visitor and the inmate that his or her visiting privileges are suspended for a period not to exceed one week or until such time as the visitor receives written notification from the superintendent which reinstates, limits, suspends for a term, or indefinitely suspends the visitor's visiting privileges.

(iii) The watch commander will cause an entry to be made on the computerized visitor record imposing an interim suspension for one week and make an appropriate entry into the watch commander's log book.

(iv) Within one week, the superintendent shall issue a written notification reinstating visiting privileges, limiting visiting privileges, suspending visiting privileges for a term, or indefinitely suspending visiting privileges in accordance with subdivision (b) or (c) of this section.

(4) Limitation to non-contact visiting. Contact visiting privileges of either an inmate or a visitor may be suspended (i.e., an inmate or a visitor may be limited to non-contact visiting) by the superintendent for a violation of visiting rules and regulations, or for conduct which represents a threat to the safety, security, and good order of the facility. An inmate may also be limited to non-contact visiting as a penalty pursuant to a disciplinary disposition resulting from a superintendent's proceeding as set forth in section 254.7 of this Title.

(i) Contact visiting privileges may be suspended or indefinitely suspended as an alternative to the term of suspension or indefinite suspension of all visiting privileges for either a visitor or an inmate depending upon who committed the misconduct. The determination to limit a visitor or an inmate to non-contact visiting in lieu of a term of suspension or indefinite suspension of all visiting privileges is within the discretion of the superintendent or his or her designee.

(ii) A visitor or inmate will be limited to non-contact visiting in the area of the facility designated for that purpose during the suspension of contact visitation privileges.

(b) Visitor suspension for a term of less than six months.

A superintendent may suspend a visitor's visitation privileges for any term less than six months for a violation of visiting rules and regulations, which represents a threat to the safety, security, and good order of the facility as set forth in subdivision (e) of this section pursuant to the following procedures:

(1) Upon imposing a term of suspension, the superintendent shall notify the visitor in writing of his or her action.

(i) The notice shall contain:

(a) the reason for the suspension;

(b) the duration of the suspension; and

(c) copies of all charges and reports of misconduct relating to the charges.

(ii) The visitor shall also be notified of his or her right to appeal the decision of the superintendent and the manner in which to do so, including notification that such an appeal must be taken within 60 days of receipt of the notice.

(iii) A copy of such notice and related documents must be sent to the inmate.

(2) An appeal may be taken by the visitor.

(i) Such an appeal shall be addressed to the commissioner and shall be in writing. The visitor may submit any written material he/she wishes to be considered.

(ii) The commissioner, or his or her designee, shall render a written decision within 45 days of receipt of the appeal as follows:

(a) the decision shall affirm, reverse or modify the determination of the local facility;

(b) an affirmance shall be supported by a preponderance of the evidence; and

(c) the decision shall contain a statement of the evidence relied upon and a statement of the reasons therefor.

(c) Visitor suspension for a term of six months or more, up to and including an indefinite suspension pending reinstatement.

A superintendent may suspend a visitor's visitation privileges for a term of six months or more, or indefinitely suspend a visitor's visiting privileges (subject to reinstatement under section 201.6 of this Part), for misconduct that represents a serious threat to the safety, security, and good order of the facility as specified in subdivision (e) of this section pursuant to the following procedures:

(1) Upon imposition of such a term of suspension or indefinite suspension, the superintendent shall notify the visitor in writing of his action.

(i) The notice shall contain:

(a) the reason for the term of suspension or indefinite suspension;

(b) for a term of suspension of visiting privileges, the duration of such term;

(c) copies of all charges and reports of misconduct relating to the charges; and

(d) the reason for imposing the maximum penalty, if imposed.

(ii) The visitor shall also be notified of his or her right to a hearing to appeal the decision of the superintendent within 60 days of such notice.

(iii) Only the visitor may request a hearing.

(iv) If a hearing is not requested, a review based upon written submissions may be had as outlined in paragraph (b)(2) of this section.

(v) A copy of the notice and related documents shall be sent to the inmate.

(2) If a visitor requests a hearing, the commissioner shall appoint an impartial individual from outside the facility to conduct the proceeding and a hearing shall be conducted pursuant to section 201.5 of this Part.

(d) Inmate suspension.

A hearing officer may impose a loss of visiting privileges, including a limitation to non-contact visiting, on an inmate as a penalty pursuant to a disciplinary disposition resulting from a superintendent's proceeding based on visit related misconduct as set forth in section 254.7 of this Title. An inmate may appeal such a loss of visiting privileges in accordance with the provisions of Chapter V of this Title.

Note: The visiting privileges of an inmate in SHU may be subject to special precautions imposed by the superintendent under section 302.2(i)(1) of this Title.

(e) Visit related penalties.

(1) Effect of visiting penalty.

(i) A penalty imposed with respect to the visiting privileges of any visitor applies at all department facilities and to all inmates visited.

(ii) A loss of visiting privileges imposed on an inmate as a penalty pursuant to Chapter V of this Title applies at all department facilities and prohibits the inmate from visits with all visitors unless otherwise specified pursuant to the hearing disposition.

(iii) A visitor or inmate serving any limitation, term of suspension or indefinite suspension of visiting privileges, including a limitation to non-contact visiting, is also prohibited from participating in the family reunion program or a special events program that is attended by members of the general public.

(2) Types of visiting penalties.

(i) Termination. A visit may be ended before the end of the visiting period by staff for objectionable behavior or misconduct as set forth in subdivision (a) of this section.

(ii) Denial. A denial of visiting privileges may be for a specific visit (e.g., visitor fails to possess proper identification or clear a metal detector or an incident occurred inside the facility), for two days for a confirmed positive substance detection/ion scan test or refusal (see section 200.2[e] of this Title), or until a certain condition is satisfied (e.g., resolution of pending criminal charges).

(iii) Suspension. A suspension of visiting privileges must be set for a specific term. At the conclusion of the term of suspension, visiting privileges are automatically reinstated.

(iv) Indefinite suspension. An indefinite suspension of visiting privileges has no predetermined end date. An indefinite suspension is subject to review on an annual basis and restoration in accordance with section 201.6 of this Part, Reconsideration of indefinite suspension.

(3) The authorized visit related penalties are as follows:

Note: The following penalties are intended as maximum penalties for egregious conduct. When determining the appropriate penalty, the surrounding circumstances or the nature of the incident; the severity or egregiousness of the conduct; and/or past instances of misconduct should be considered.

| | | | | --- | --- | --- | | Type of misconduct | Initial offense | Maximum penalty | | Failure of visitor to possess proper identification | Visit denied | N/A | | Presentation of false identification | | | | (a) Regular visiting room or special events program | | Up to six months suspension of visiting privileges | | (b) Family reunion program | | Up to one year suspension of visiting privileges | | Search failure (i.e., metal detector) | Visit denied | N/A | | Substance detection test failure or refusal (i.e., metal detector) | Visit denied for two calendar days | N/A | | Visitor apparently under influence of alcohol or drugs | Visit denied | N/A | | Failure to comply with instructions at gate area (e.g., refusal to undergo search) | Visit denied | N/A | | Visitor fails to follow instructions of facility staff and facility rules | Visit denied or immediately terminated AND | Up to three months suspension of visiting privileges | | Inmate fails to comply with frisk procedures or instructions of facility staff and facility rules during processing before or after visit | Visit denied AND | Up to one year suspension of visiting privileges | | Visitor or inmate becomes apparently under the influence of alcohol or drugs during visit | Immediate termination of visit AND | Up to one year suspension of visiting privileges | | Cross-visiting by unapproved parties | Immediate termination of visit AND | Up to three months suspension of visiting privileges | | Visitor and/or inmate engage in unacceptable physical contact (i.e., prolonged kissing, necking) | Warning if misconduct continues, termination of visit AND | Up to six months suspension of visiting privileges | | Visitor and/or inmate engage in unacceptable physical conduct (intercourse, sodomy, touching the sexual and or other intimate parts of another person, masturbation, exposure) | Immediate termination of visit AND | Visitor - up to indefinite suspension of visiting privileges depending on the surrounding circumstances or the nature of the incident; the severity or egregiousness of the conduct; and/or past instances of misconduct Inmate - up to indefinite suspension of visiting privileges, however, the superintendent must review any disposition of a term of suspension for two years or longer of visiting privileges with all visitors. A term of suspension or Indefinite suspension shall be limited to the involved visitor if the visitor was the only direct participant in the misconduct, however, if other visitors, in particular children, were subjected to exposure then the term of suspension or Indefinite suspension may be imposed with all visitors. | | Visitor and/or inmate assault on facility staff, Inmate or visitor/fighting | Immediate termination of visit AND | Visitor - up to indefinite suspension of visiting privileges depending upon assault, injuries sustained and relationship of visitor to inmate and perpetrator to visitor Inmate - up to indefinite suspension of visiting privileges depending upon assault/fight, injuries sustained and relationship of inmate to victim, however, the superintendent must review any disposition of a term of suspension for two years or longer of visiting privileges with all visitors | | Attempt to introduce contraband/smuggling | | | | (a) Money | Visit denied or immediately terminated AND | Visitor - up to indefinite suspension of visiting privileges depending on the surrounding circumstances or the nature of the incident; the severity or egregiousness of the conduct; and/or past instances of misconduct Inmate - up to indefinite suspension of visiting privileges, however, the superintendent must review any disposition of a term of suspension of two years or longer of visiting privileges with all visitors. A term of suspension or indefinite suspension shall be limited to the involved visitor or visitors where the misconduct involved only the inmate and the specified visitor or visitors and the inmate did not attempt to remove the contraband from the visiting room | | (b) Alcohol | Visit denied or immediately terminated AND | Visitor - up to indefinite suspension of visiting privileges depending on the surrounding circumstances or the nature of the incident; the severity or egregiousness of the conduct; and/or past instances of misconduct Inmate - up to indefinite suspension of visiting privileges, however, the superintendent must review any disposition of a term of suspension of two years or longer of visiting privileges with all visitors. A term of suspension or Indefinite suspension shall be limited to the involved visitor or visitors where the misconduct involved only the inmate and the specified visitor or visitors and the inmate did not attempt to remove the contraband from the visiting room | | (c) Non-narcotic drugs | Visit denied or immediately terminated AND | Up to three months suspension of visiting privileges | | (d) Marijuana | Visit denied or immediately terminated AND | Visitor - up to indefinite suspension of visiting privileges depending on the surrounding circumstances or the nature of the incident; the severity or egregiousness of the conduct; and/or past instances of misconduct Inmate - up to indefinite suspension of visiting privileges, however, the superintendent must review any disposition of a term of suspension of two years or longer of visiting privileges with all visitors | | (e) Narcotic and other dangerous drugs | Visit denied or immediately terminated AND | Visitor - up to indefinite suspension of visiting privileges depending on the surrounding circumstances or the nature of the incident; the severity or egregiousness of the conduct; and/or past instances of misconduct Inmate - up to indefinite suspension of visiting privileges, however, the superintendent must review any disposition of a term of suspension of two years or longer of visiting privileges with all visitors | | (f) Item which is readily capable of being used to cause death or serious injury (except dangerous drugs) | Visit denied or immediately terminated AND | Visitor - up to indefinite suspension of visiting privileges Inmate - up to indefinite suspension of visiting privileges, however, the superintendent must review any disposition of a term of suspension of two years or longer of visiting privileges with all visitors | | (g) Item which may be used to aid in escape (e.g., cellular telephone, portable electronic storage media containing information which may be used to aid in escape) | Visit denied or immediately terminated AND | Visitor - up to indefinite suspension of visiting privileges Inmate - up to indefinite suspension of visiting privileges, however, the superintendent must review any disposition of a term of suspension of two years or longer of visiting privileges with all visitors | | (h) Any item not permitted to be possessed within a correctional facility under section 200.3(c)(1) of this Title (e.g., portable electronic storage media) | Immediate termination of visit AND | Visitor - up to one year suspension of visiting privileges if possessed by the visitor; up to indefinite suspension of visiting privileges if any such prohibited item is transferred to an inmate or possessed under circumstances indicative of an attempt to transfer the item to an inmate Inmate - up to indefinite suspension of visiting privileges, however, the superintendent must review any disposition of a term of suspension of two years or longer of visiting privileges with all visitors | | (i) Any other item not permitted to be possessed in the visiting room by either the visitor or the inmate (e.g., tobacco) | Immediate termination of visit AND | Up to six months suspension of visiting privileges |

7 CRR-NY 201.5 Visitor appeal hearings {#sec-7-crr-ny-201.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 201.5}

(a) Hearings.

(1) If a visitor requests a hearing, the commissioner shall appoint a hearing officer from outside the correctional facility to conduct the proceeding.

(2) The formal charge shall consist of the superintendent's notice to the visitor.

(3) The visitor may be represented by counsel.

(4) The visitor may call witnesses on his or her behalf provided they are material, their testimony is not redundant, and so doing does not jeopardize facility safety, security, and the good order of the facility, or correctional goals.

(i) A visitor shall advise the hearing officer of any witnesses the visitor intends to offer at the hearing no later than five days prior to the hearing.

(ii) If permission to call a witness is denied, the hearing officer shall provide a written statement of the reasons for such denial, including the threat to the facility safety, security, the good order of the facility, or correctional goals or why the proffered testimony was immaterial or redundant.

(iii) Any witness shall be allowed to testify at the hearing in the presence of the visitor unless the hearing officer determines that so doing would jeopardize facility safety, security, the good order of the facility, or correctional goals.

(a) If permission to be present during the testimony of a witness is denied, the hearing officer shall provide a written statement setting forth the reasons for such denial, including the threat to facility safety, security, the good order of the facility, or correctional goals.

(b) Where a visitor is not permitted to have a witness present, such witness shall be interviewed out of the visitor's presence and such interview recorded.

(c) The witness's statement is to be made available to the visitor at the hearing unless the hearing officer determines that so doing would jeopardize facility safety, security, the good order of the facility, or correctional goals.

(d) If the witness's statement is not to be made available, the hearing officer shall provide a written statement setting forth the reasons for such denial, including the threat to facility safety, security, the good order of the facility, or correctional goals.

(iv) A visitor may cross-examine adverse witnesses unless the hearing officer determines that so doing will jeopardize facility safety, security, the good order of the facility, or correctional goals. If permission to cross-examine is denied, the hearing officer shall provide a written statement stating the reasons for such denial, including the threat to facility safety, security, the good order of the facility, or correctional goals.

(v) The visitor shall be present at the hearing unless he or she refuses to attend. The inmate shall be present at the hearing if he or she is to be a witness, unless the hearing officer determines so doing will jeopardize facility safety, security, the good order of the facility, or correctional goals.

(a) If the inmate is denied permission to attend the hearing, the hearing officer shall provide a written statement setting forth the reasons for such denial, including the threat to facility safety, security, the good order of the facility, and correctional goals.

(b) If an inmate is denied permission to attend the hearing as a witness, he or she shall be interviewed. The interview shall be recorded and made available to the visitor at the hearing unless the hearing officer determines that so doing would jeopardize facility safety, security, the good order of the facility, or correctional goals. In such instance, the hearing officer shall provide a written statement setting forth the reasons for such denial, including the threat to facility safety, security, the good order of the facility, and correctional goals presented.

(5) The hearing shall be electronically recorded.

(6) The hearing officer shall issue a written decision within 60 days of the completion of the hearing. The decision of the superintendent shall be affirmed upon a finding supported by a preponderance of the evidence. The hearing officer shall set forth his or her decision in writing, stating the reasons therefore and the evidence relied upon. Such decision shall be effective 60 days after issuance unless appealed. The decision shall also notify the visitor and inmate of appeal procedures.

(7) The visitor may appeal the decision of the hearing officer to the commissioner. Such appeal must be taken within 60 days of the date the decision was issued and must be in writing.

(i) The commissioner shall issue a written decision within 60 days of the filing of an appeal.

(ii) Such decision must contain a statement of the reasons for the affirmance, modification, or reversal of the hearing officer.

7 CRR-NY 201.6 Reconsideration of suspension in excess of two years {#sec-7-crr-ny-201.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 201.6}

(a) In the event a visitor or inmate's visiting privileges have been suspended for a term over two years or indefinitely suspended, such person may request a reconsideration at any time after it has been in effect for one year, and on an annual basis thereafter, by writing to the superintendent of the facility housing the inmate to be visited.

(b) The superintendent shall evaluate such a request to determine if any factors exist that warrant a modification so as to permit visitation to resume at a specific time in the future. The criteria to be considered are:

(1) the inmate's institutional record;

(2) showing of special circumstances (e.g., age of visitor or inmate, serious illness, etc.);

(3) length of inmate's unserved sentence; and

(4) past history of violations; and

(5) other good cause factors.

(c) The superintendent shall advise the inmate and visitor of the results of his or her review by written decision, including the reasons therefor.

(d) Appeal of denial of request for reconsideration.

(1) A visitor or inmate may appeal the denial of a request for reconsideration, in writing, to the commissioner within 60 days if:

(i) such person's visiting privileges have been indefinitely suspended or suspended for a term over two years;

(ii) the indefinite suspension or term of suspension has remained in effect for three years; and

(iii) such person's request for reconsideration during the third year under subdivision (a) of this section has been denied by the superintendent.

(2) If the indefinite suspension or term of suspension of visiting privileges remains in effect, such person may appeal a subsequent denial every three years thereafter.

(3) Nothing in this subdivision shall be construed to preclude such person from making an annual request for reconsideration to the superintendent of the correctional facility then housing the inmate to be visited.

(4) No appeal of a denial of a request for reconsideration may be taken if the superintendent has modified the indefinite suspension or term of suspension to permit visitation, including non-contact visitation.

Part 220 FAMILY REUNION PROGRAM

7 CRR-NY 220.1 Description {#sec-7-crr-ny-220.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 220.1}

The Family Reunion Program is designed to provide approved incarcerated individuals and their families the opportunity to meet for an extended period of time in privacy. The goal of the program is to preserve, enhance and strengthen family ties that have been disrupted as a result of incarceration.

7 CRR-NY 220.2 Right to apply {#sec-7-crr-ny-220.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 220.2}

Any incarcerated individual has the right to submit an application for participation in the FRP, if that incarcerated individual’s current facility of residence offers the program and/or the applicant has not been denied participation by central office. Once an incarcerated individual is denied participation via appeal, no additional/subsequent applications will be accepted for a minimum period of two years. Once the incarcerated individual completes the two-year period of ineligibility, an FRP application can be submitted, if the incarcerated individual meets the basic eligibility standards. Eligibility for the FRP is to be determined during the processing of the incarcerated individual’s application. The date the application is received and date-stamped by the FRP offender rehabilitation coordinator (ORC) will be considered the application date. The incarcerated individual is responsible for the accuracy of the information provided on the application. Incomplete or inaccurate applications will be returned to the incarcerated individual, and the incarcerated individual may then submit a new application with the complete and accurate information. Modifications or revisions to an application or appeal are not allowed. Multiple applications or appeals will not be accepted.

7 CRR-NY 220.3 Reasonable accommodations {#sec-7-crr-ny-220.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 220.3}

Disabled incarcerated individuals and disabled visitors may request reasonable accommodations. Such incarcerated individuals shall utilize policies as outlined in department directives that outline reasonable accommodations for incarcerated persons with disabilities or sensorial disabilities. A written request from the visitor for reasonable accommodations must be forwarded to the FRP ORC. Such a request will be reviewed by the superintendent and the Americans with Disabilities Act coordinator. The reviews will be conducted in accordance with Titles II and III of the Americans with Disabilities Act. The FRP decision will be determined after the reasonable accommodation request is complete. Reasonable accommodation approval does not imply approval for participation in the FRP.

7 CRR-NY 220.4 Incarcerated individual eligibility {#sec-7-crr-ny-220.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 220.4}

(a) Preconditions.

An incarcerated individual must meet the following preconditions to be eligible to participate in the FRP:

(1) Time.

(i) New incarcerated individual. The incarcerated individual has been in the department's custody for at least six months, excluding initial reception, and is at the time of application a resident of a facility that offers the program.

(ii) Transferred incarcerated individual. An incarcerated individual who has successfully participated in the FRP at one facility and is transferred to another facility where the program is offered may apply immediately for participation. An incarcerated individual who has not participated at his or her previous facility must wait 30 days to apply for the program. This will give the incarcerated individual time to have an assessment at the new facility.

(iii) If an incarcerated individual is within 90 days to an approved release date, an application will not be accepted. If an incarcerated individual has already been approved by central office and received a date prior to the 90-day mark, the superintendent has the discretion to approve or deny the visit.

(2) Adjustment.

The incarcerated individual has exhibited a pattern of good institutional adjustment and has not had any major, chronic, severe, or excessive disciplinary problems. Any incarcerated individual serving disciplinary sanctions, to include loss of privileges, that run concurrently with a scheduled FRP visit, will have that visit cancelled. Upon completion of disciplinary sanctions, the visit may be rescheduled. Satisfactory behavior must be maintained throughout the duration of the application/appeal. Any major disciplinary problems incurred during the application/appeal process will result in a denial or termination of the application/appeal. The incarcerated individual will become ineligible to reapply for 60 days from the date the major disciplinary sanction is completed. If the incarcerated individual has a chronic disciplinary problem, a new application may be submitted 180 days from the date the chronic disciplinary sanction is completed. If the incarcerated individual has a Tier II severe disciplinary problem, a new application may be submitted 180 days after the sanction is completed; if it is a Tier III severe disciplinary problem, an application may be submitted 1 year after the sanction is completed. Reapplication is contingent upon the incarcerated individual meeting all criteria noted in the application process. If the criteria are met, the application must be sent to central office for a full-cycle review.

(i) Major disciplinary problem shall be defined as any Tier II or III disciplinary disposition in the 60 days prior to the application, resulting in confinement to cell, room, or dorm continuously, on certain days or during certain hours, for 15 days or more, or any loss of good time. Reapplication can be made 60 days from the confinement release date. Satisfactory behavior must be maintained throughout the duration of application and/or appeal. Any major disciplinary problems incurred during the application/appeal process will result in denial or termination of the application/appeal. The incarcerated individual will become ineligible to reapply for 60 days, as defined above.

(ii) Chronic disciplinary problem shall be defined as three or more Tier II or III disciplinary dispositions in the 180 days prior to the application, or an accumulation of 45 days or more keeplock/SHU in the 180 days prior to the application. Reapplication may be made 180 days from the confinement release date.

(iii) Severe disciplinary problem shall be defined as a conviction for a Federal or State crime while incarcerated or any Tier II or III disciplinary report for the following rule violations regardless of the length of the sanction:

(a) a penal law offense;

(b) rioting;

(c) escape;

(d) use or possession of drugs or alcohol;

(e) unauthorized group activities;

(f) gangs;

(g) assault on incarcerated individual;

(h) assault on staff;

(i) assault on other;

(j) sex offense;

(k) forcible touching;

(l) lewd exposure;

(m) lewd conduct;

(n) explosives;

(o) arson;

(p) escape paraphernalia; and/or

(q) unhygienic act.

A conviction or disciplinary finding for any of these severe infractions will render the incarcerated individual ineligible to participate in the program as follows: Tier II infractions will result in a 180-day ineligibility sanction, Tier III infractions will result in a one-year ineligibility sanction. The sanction will begin after any disciplinary confinement is served. Applications will not be accepted until sanction is completed. A Federal or State crime conviction, while incarcerated, will require immediate suspension and full-cycle review for any possible future participation.

(iv) Excessive disciplinary problems shall be defined as having 20 percent or more of the past 36 months prior to the application spent in disciplinary confinement. If, at the time of the application, the incarcerated individual has been incarcerated less than 36 months, the standard will be 20 percent of that time of incarceration. The incarcerated individual may reapply for FRP consideration 24 months after completion of any disciplinary sanction, provided all other eligibility requirements are met.

(3) Program participation.

The incarcerated individual applicant must have participated in or pursued required programs as identified on his or her program/earned eligibility plan. Program/earned eligibility plan refusals, negative removals or regressions make an applicant ineligible until that need is addressed. Any disciplinary behavior which has been exhibited in the incarcerated individual’s social, criminal, or institutional history will be factored into the option of participating in therapeutic services. Formal therapeutic programs sanctioned by DOCCS, such as the Alcohol and Substance Abuse Treatment Program (ASAT), Comprehensive Alcohol and Substance Abuse Treatment (CASAT), Driving While Intoxicated (DWI), or other approved specialized substance abuse treatment programs and the Aggression Replacement Training (ART) Program for aggression/violence, are the standards that must be met. Additionally, approved therapeutic self-help services such as Alcoholics Anonymous (AA) and Narcotics Anonymous (NA) may be considered. Attendance at volunteer led self-help groups is the preferred option and will be evaluated as such. Participation in self-help services is voluntary and is seen as a supplement to, and not a substitute for, a formalized substance abuse treatment need. Incarcerated individual’s who have actively pursued their plan yet who have not completed programs and satisfied their needs, will be evaluated according to their entire record. However, dependent on his or her criminal, disciplinary, and programming history, active participation or actual completion of a specific therapeutic or treatment program may be required to satisfy this precondition. When directed to complete a program, incarcerated individuals must wait until that program is completed prior to reapplication to FRP. Satisfactory completion of any program does not imply FRP approval.

(b) Disqualifying conditions.

An incarcerated individual is not eligible to participate in the FRP if any of the following conditions exists:

(1) the incarcerated individual is eligible for the temporary release program (unless that incarcerated individual's application for temporary release has been denied);

(2) the incarcerated individual has a higher security designation than permitted at the program site;

(3) the incarcerated individual is assigned to a special housing unit (SHU) for disciplinary reasons or is in administrative segregation or in a mental health unit (MHU) with concurrent SHU time (Behavioral Health Unit [BHU], Therapeutic Behavioral Unit [TBU], or Regional Mental Health Unit [RMHU]);

(4) the incarcerated individual has not been in general population for the required period of time;

(5) the incarcerated individual has not been in current facility for the required period of time;

(6) the application is submitted prior to meeting the conditions set in previous denial;

(7) an incarcerated individual participant found in violation of the FRP regulations/standards will have his or her eligibility suspended. Tier II violations impose a 180-day suspension; Tier III violations impose a 1-year suspension. A new application must be reviewed and approved by central office prior to the incarcerated individual’s future FRP participation. Prior approval does not guarantee readmission;

(8) the incarcerated individual or requested visitor is serving any suspension, restriction, or modification to visitation related to section 201.4 of this Title. This includes non-contact visit sanctions;

(9) if it is determined that a visitor commits or attempts to commit to introduce the following contraband into a correctional facility, that visitor may be denied by central office, thereby making the visitor ineligible for participation in the program for a minimum of two years. Once the visitor completes the two-year period of ineligibility, a FRP application can be submitted by the incarcerated individual with the visitor’s name, if the incarcerated individual meets the basic eligibility standards;

(i) any electronic device that can be used/modified for contact outside of the department/correctional facility (e.g., I-pad, laptop, cell phones, electronic charging devices, pagers, etc.)

(ii) drugs or intoxicants;

(iii) weapons, including explosives and/or incendiary material/devices;

(iv) maps;

(v) tools;

(vi) any item determined to be escape paraphernalia.

Note:

If any event in paragraphs (1)-(8) of this subdivision occurs, the incarcerated individual is considered ineligible at the facility level. The application should not be processed. The FRP ORC will notify the incarcerated individual, via an ineligible facility form, as to the reason for the ineligibility and any applicable corrective action and/or reapply date. A copy of this notice will be placed in the incarcerated individual’s facility FRP file.

In the event of subparagraphs (i)-(vi) of this paragraph, the case must be forwarded to central office for review and decision by the deputy commissioner for program services or designee. If it is determined that the incarcerated individual conspired to have contraband smuggled into the FRP site, the incarcerated individual may be denied participation in the program for a minimum of two years. Once the incarcerated individual completes the two-year period of ineligibility, an FRP application can be submitted, if the incarcerated individual meets the basic eligibility standards.

(c) Special review/incarcerated individual.

(1) A special review will be conducted by central office staff that will include consideration of the specifics of the crime, the age of the incarcerated individual at the time of the offense, progress in programs, custodial adjustment, victim impact, and the entire case record to determine eligibility if an incarcerated individual:

(i) has been designated a central monitoring case (CMC);

(ii) has any outstanding warrants, show cause order (e.g., Bureau of Immigration and Customs Enforcement);

(iii) has been convicted of a heinous or unusual crime;

(iv) has been convicted of a sex offense, including a sexually motivated felony, or any other offense where behavior of a sexual nature occurred during the commission of the crime;

(v) has been convicted of a violent crime against an elderly person, family member, or a child;

(vi) has been convicted of escape or an escape attempt;

(vii) has a history of domestic violence or order of protection;

(viii) is a returned parole violator;

(ix) is in or has a history of protective custody;

(x) requested visitor is a minor step-child;

(xi) prior participation has been suspended/terminated;

(xii) is in a special program such as the Assessment and Program Participation Unit (APPU) or assigned to a mental health unit;

(a) review must include consideration of evaluation by psychiatric staff;

(xiii) is diagnosed as having a communicable disease.

(2) Such special review shall be conducted only for those incarcerated individuals who have been otherwise approved in accordance with the process set forth in section 220.4 of this Part.

(3) Facility health services staff will notify the facility FRP ORC of any incarcerated individual approved for FRP who is diagnosed as having a communicable disease that may pose a health risk to a visitor. A FRP visit will not be denied solely on the basis of the HIV status of an incarcerated individual/applicant.

7 CRR-NY 220.5 Family participation {#sec-7-crr-ny-220.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 220.5}

(a) Eligible relations.

Applications for participation in the FRP may be made for the following family members, all of whom must have established a recent and consistent visiting pattern. A recent and consistent visiting pattern is defined as three visits, not including family reunion visits, within the past 12 months. Central office discretion may be used in situations where a family member is elderly, a minor, infirmed or resides more than 300 miles (in or out of State) from the FRP site. A prolonged (one year or more) disruption in a visit pattern will require a written explanation from the visitor, as to the reason for the disruption, and central office review. In such cases, reestablishment of a consistent visit pattern may be required before being reconsidered for the FRP. The number of allowed participants, to include the incarcerated individual, will be limited to five.

(1) Legal spouses—a husband/wife of the incarcerated individual to whom he or she has been married for at least six months, prior to submitting an application, and who is not himself or herself a resident of a New York State correctional facility. Spouses must possess documentation of a valid marriage certificate or a declaratory judgment stating the validity of an out-of-state common-law marriage.

(2) Children of the incarcerated individual, 18 years of age and older.

(3) Minor children of the incarcerated individual, (under 18 years of age) may participate when accompanied by the incarcerated individual's spouse, parents or grandparents, provided:

(i) the accompanying adult is otherwise eligible for the FRP; and

(ii) written notarized permission has been received from the child's legal guardian, if that person is not the accompanying adult.

(4) Unaccompanied minor children, if:

(i) written permission is received from the child's non-incarcerated parent or legal guardian; and

(ii) subject to special review and approval by the superintendent; and

(iii) provided the child will be escorted to and from the facility by their nonincarcerated parent or legal guardian, another adult designated by the non-incarcerated parent or legal guardian, or an adult in an official capacity with proper identification and such escort will remain available via telephone for the duration of the visit; or

(iv) If married and proof of age and marriage have been provided.

(5) Parents or step-parents (one parent biological). Long term relationship with step-parent must have been established and documented prior to incarceration if biological parent is not participating.

(6) Grandparents.

(7) Foster parents/guardian, when legal documentation is provided and verification can be assured.

(b) Special review/family.

The following family members, all of whom must have established a recent visiting pattern, may be considered for participation after a special review:

(1) nieces and nephews—18 of age and under when accompanied by an approved parent or legal guardian. Individual cases may receive special consideration in the review process for nieces and nephews over age 18 who have a history of prior FRP participation;

(2) ancestral aunts and uncles; an approved ancestral aunt or uncle may be accompanied by his or her spouse;

(3) siblings: full or half, must have at least one biological parent in common. A birth certificate must be provided to verify the relationship. Adult siblings may be accompanied by their legal spouses;

(4) cousins are not allowed;

(5) step children: notarized, written permission from noncustodial biological parent if the custodial parent claims that they no longer have contact with the noncustodial parent, they must provide a notarized letter explain why the noncustodial biological parent cannot/will not provide permission and that the custodial parent is assuming responsibility for the visit. Stepchildren must be accompanied by their biological parent if they are alive. Those over 18 years of age must have a history of prior FRP participation;

(6) grandchildren and step-grandchildren of the incarcerated individual when accompanied by an approved parent or legal guardian;

(7) in-laws: in-law relationships that may be considered: mother-in-law/father-in-law, son-in-law/daughter-in-law, brother-in-law/sister-in-law. Brother-in-law and sister-in-law are defined as the legal spouse/partner to the sibling of the incarcerated individual. All in-law relationships require special review and do not imply approval;

(8) incarcerated individuals are not allowed to participate with other incarcerated individuals;

(9) family members who are currently under parole/probation supervision require special review. In addition, they will need written approval from their parole/probation officer, stating specifically that they can participate in a FRP visit;

Note:

For relationships/situations requiring notarized letters, those letters must be updated for every visit.

(c) Suspension of eligibility.

A visitor participant found in violation of the FRP regulations/standards may have his or her eligibility suspended. Suspension will be levied according to the severity of the violation and in accordance with section 201.4 of this Title. Any suspension of FRP visitation will include a reapply date. Upon reapplication, the restoration of FRP or continuation of the suspension will be decided.

7 CRR-NY 220.6 Application processing (full cycle) {#sec-7-crr-ny-220.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 220.6}

The following full-cycle procedures are to be used in processing applications of incarcerated individuals who have not successfully participated in the program; prior participants who now have received a disapproval recommendation at the facility level; current participants who request to add new family members; and two or more documented, consecutive FRP visit cancellations/no shows by the incarcerated individual or requested visitor. Reapplication will require a notarized, written statement from the visitor explaining the reason for the cancellation and their desire/commitment to re-establish FRP visitation. Excessive cancellations/no-shows may lead to program suspension.

(a) Processing of the application.

The facility level process may take up to five weeks to conduct. The FRP ORC is responsible for tracking the application progress.

(1) Incarcerated individual:

(i) submits written request to the FRP ORC for an FRP application;

(ii) completes sections one and two; application must be completed in entirety and be legible;

(iii) returns completed application to FRP ORC; and

(iv) if a marriage occurred prior to incarceration, the incarcerated individual must provide the FRP ORC with a valid copy of the marriage certificate.

(2) Facility FRP ORC:

(i) receives the application from the incarcerated individual and date stamps it; logs receipt of application and assigns a log number on the FRP program log; and enters the log number on the FRP application. Only individuals listed on a specific application will be considered for the corresponding visit;

(ii) reviews application for completeness and accuracy; incomplete or illegible applications will be returned to the incarcerated individual;

(iii) ensures the total number of requested FRP participants, to include the incarcerated individual, does not exceed the occupancy capacity of the FRP unit (trailer/modular). Applications requesting participants exceeding this limit will be returned to the incarcerated individual;

(iv) FRP ORC prepares the FRP ORC Family Reunion Program preparation checklist;

(v) reviews for disqualifying conditions set forth in section 220.4(b) of this Part. Proceeds as warranted;

(vi) obtains authorization form for the release of health information including alcohol/drug treatment, mental health information, and confidential HIV-related information from every applicant who is applying for an FRP visit with his or her spouse. This authorization needs to be completed only once for a particular spouse at the current facility:

(a) reads and/or explains the above authorization to the applicant if the applicant cannot read, cannot understand, or has questions concerning the authorization;

(b) explains that this authorization in no way implies that the applicant is HIV positive or has AIDS; and

(c) files the notice of authorization in the incarcerated individual’s FRP folder;

(vii) returns incarcerated individual copy of the application with the log number to the incarcerated individual; and

(viii) if all above conditions are satisfied, forwards the application to incarcerated individual’s designated ORC.

(3) ORC.

(i) Confirms temporary release eligibility;

(ii) reviews incarcerated individual’s institutional program participation and adjustment which includes verifying current program status and any previous refusals and negative removals. This also includes verification of participation in any therapeutic self-help service (e.g., AA/NA/AVP) along with participation in any contract agency programs;

(iii) verifies that all requested visitors are on incarcerated individual’s approved visiting list; notes any order of protection known to exist;

(iv) recommends approval or disapproval, including reason(s) for recommendation;

(v) returns application to facility FRP ORC, who forwards it to the deputy superintendent for security services (DSS).

(4) DSS or designee (not below the rank of captain).

(i) Checks incarcerated individual’s security file for major, chronic, severe, or excessive disciplinary problems and reviews for unusual incidents;

(ii) checks for outstanding warrants; indicates whether incarcerated individual is an escape risk;

(iii) recommends approval or disapproval, including reason(s) for recommendation;

(iv) forwards application to the facility FRP ORC.

(5) Facility FRP ORC.

(i) Reviews incarcerated individual’s guidance unit records;

(ii) reviews family data from probation report and checks for psychiatric evaluation;

(iii) attaches pertinent supplemental data for superintendent's evaluation and review;

(iv) recommends approval or disapproval, including reason(s) for recommendation;

(v) forwards the FRP ORC Family Reunion Program preparation checklist to the DSP for review;

(vi) forwards application to superintendent.

(6) Facility superintendent (or designee: specifically, assistant deputy superintendent for program services [ADSP] and above).

(i) Reviews application in its entirety;

(ii) recommends approval or disapproval; if recommending disapproval, the reason(s) must be stated;

(iii) returns application and signed checklist to the facility FRP ORC, who makes a copy of the packet for the facility file and forwards the originals to central office.

(7) Director of ministerial, family and volunteer services (MFVS) (or designee).

(i) Date stamps and logs the application;

(ii) reviews the application to ensure completeness; incomplete and/or illegible applications will be returned to the facility FRP ORC with an explanation as to the deficiency. The FRP ORC will advise the incarcerated individual of the inaccuracy with direction to submit a new legible application. This will restart the whole process;

(iii) all FRP eligibility criteria must be established prior to the submission of the application;

(iv) the approval or disapproval shall specifically specify the reason(s) supporting the decision. In addition, any disapproval in full or in part, must contain any corrective action the incarcerated individual must make in order to reapply for reconsideration;

(v) MFVS will log out the application;

(vi) returns the application to the facility FRP ORC with the appropriate information.

Note:

An incarcerated individual may rescind an application prior to the central office decision. In order to do so, the incarcerated individual must submit their request in writing to the FRP ORC. The request must include the incarcerated individual’s name, identification number, date, application number, and explanation as to why he or she is rescinding the application. Any incomplete requests will be returned. The FRP ORC will forward the request to central office for determination. Central office will return the decision to the FRP ORC who will notify the incarcerated individual of the decision and file it in the FRP folder.

At no time will family members be given information related to the status of an application/appeal. Completion of suggested corrective action does not imply future approval. Compliance only affords the incarcerated individual eligibility to reapply.

(8) Facility FRP ORC.

Upon approval of the director of ministerial, family and volunteer services (or designee) or the superintendent, transmits the names of approved applicants to the facility health services unit. Approved spousal visit applicants shall be clearly highlighted. For initial spousal visits, the authorization for the release of health information including alcohol/drug treatment, mental health information, and confidential HIV-related information shall be provided to the health services unit. A copy of this authorization shall be retained on file in the incarcerated individual’s guidance unit record.

(9) Facility health services unit.

Upon receiving the name of a spousal visit applicant, verifies the existence of the signed authorization for the release of health information including alcohol/drug treatment, mental health information, and confidential HIV-related information and reviews the incarcerated individual’s medical record.

(i) Health services staff (e.g., MD, PA, NP, RN) will review the incarcerated individual’s medical record and screen for communicable diseases. A determination of the incarcerated individual’s medical clearance will be documented in the medical record for each FRP visit. For initial visits, and/or any confirmed changes in communicable disease status, health services staff will document, in the medical record, the completion of the notification letter to the incarcerated individual’s spouse. The notification letter will include educational materials and shall be placed in a sealed envelope with the spouse’s name written on the envelope. The envelope is returned to the FRP ORC who will forward it, with the seal unbroken, to the spouse in an interview prior to the visit.

(ii) If an incarcerated individual is HIV positive or known to have HIV disease, chronic hepatitis B, or chronic hepatitis C disease, a notification letter of known communicable diseases will be utilized.

(iii) If an incarcerated individual has no known communicable diseases, a notification letter of no known communicable diseases will be prepared for the incarcerated individual’s spouse of the inmate’s health status.

(iv) The incarcerated individual may have a medical condition other than HIV infection, chronic hepatitis B, or chronic hepatitis C disease that is communicable or otherwise prevents a FRP visit. The health services staff (e.g., MD, PA, NP, RN) shall notify the FRP ORC that the FRP visit is denied "for medical reasons" but that the incarcerated individual may reapply at a later date.

(b) Processing approval for incarcerated individual to participate.

The facility FRP ORC shall notify the inmate of their approved application.

(c) Processing approvals of family members to visit.

All visitors are required to submit two forms of identification. One must be a photo I.D. In addition, a birth certificate will be required to establish proof of biological relationship and remain on file in order to participate.

(1) First-time visitors. The FRP ORC shall:

(i) forward a notification packet to each adult that has been approved for participation in the FRP. Family members will be informed of the need for a photo identification interview and verification of documents by the facility FRP ORC. The notification packet should consist of the following: the FRP approval, the document verification form, and the FRP guidelines;

(ii) upon receipt of the required documents, schedule a photo identification interview, described below, for each first time visitor age 13 or older and for previously approved children at the time they become 13;

Note:

Approved relatives from out-of-state may be scheduled for this identification interview on the first day of an approved visit.

(iii) visitors shall be advised to bring with them two forms of identification to be presented during the interview. Spouses must bring marriage certificates, and brothers and sisters their birth certificates. Other relatives (aunt, uncle, etc.) must bring proof of relationship;

(iv) visitors shall be informed that a full front face photograph will be taken, which will be signed and dated by the visitor, and countersigned and dated by the facility FRP ORC or assistant;

(v) visitors shall be informed that the photograph will be retained in the incarcerated individual’s FRP file and will be used only for identification purposes at the time of the visit;

(vi) if a photograph is lost or destroyed, or if the facility's superintendent, deputy superintendent for security services, or FRP ORC determines that there is a demonstrably essential need for an additional photograph, it shall be taken.

(2) Processing for interview/photo identification interview. The FRP ORC shall:

(i) on the scheduled day, meet family members, collect and review all of the hard-copy documents requested for verification. Interview family members and address all concerns, and conduct a review of the FRP guidelines;

(ii) ensure that a full-front face photograph is taken for the photo identification that is required for each of the approved family members. The identification shall be signed and dated by the family member visitor and countersigned and dated by the FRP ORC or designee;

(iii) schedule the visit for the first available date. Issue the completed FRP visitor contact letter to the visitor with a copy going to the incarcerated individual and the FRP file.

(3) Prior to the FRP visit. The FRP ORC shall:

(i) complete the security card for the FRP no later than one week before visit and distribute it to appropriate areas;

(ii) place communicable disease educational material in an unaddressed envelope and give it to an adult visitor that is not the incarcerated individual’s spouse. Give each visiting spouse the addressed envelope prepared by facility health services containing communicable disease educational material (which will be distributed at the commencement of the scheduled FRP visit);

(iii) for the initial visit, if the FRP visit begins on a weekday, the FRP ORC will greet family members upon their arrival in order to provide orientation which will include, but is not limited to, FRP policy and procedures, consequences of FRP violations (for incarcerated individual and family members), prepared envelope, and the Prison Rape Elimination Act (PREA);

(iv) provide support and referral to family members who request assistance.

(d) Processing disapproval of incarcerated individual to participate: appeal process.

(1) The FRP ORC shall:

(i) inform incarcerated individual of disapproval, and the reason(s) for such disapproval using the appropriate form;

(ii) inform the incarcerated individual what steps they may take to remedy the reason(s) for disapproval; and

(iii) inform incarcerated individual of their option to appeal and the rules of appeal;

(a) FRP ORC will provide the documentation for the appeals process for FRP denials. Appeals must be submitted in accordance with this documentation;

(b) from the date of receiving the notice of disapproval, the incarcerated individual has 30 days to submit an appeal;

(c) the appeal must contain a copy of the disapproval notice issued by the FRP ORC and the incarcerated individual’s appeal statement which must include a clear description of why an appeal is being submitted. Incomplete appeal packets will not be considered and will be returned to the incarcerated individual. Resubmissions must be received within 30 days from the date the incomplete FRP appeal notice is returned to the incarcerated individual.

Note:

An incarcerated individual may rescind an appeal prior to the director of MFVS’s review. In order to do so, the incarcerated individual must submit their request in writing to the FRP ORC. The request must include the incarcerated individual’s name, identification number, date, application number, and explanation as to why he or she is rescinding the appeal. Any incomplete requests will be returned. The FRP ORC will forward the request to central office for a determination. Central office will return a decision to the FRP ORC who will notify the incarcerated individual of the decision and file it in the FRP folder.

(2) The director of ministerial, family and volunteer services (or designee) shall:

(i) review the appeal packet to ensure timeliness and completeness; untimely and incomplete appeals will not be considered eligible for review;

(ii) ensure that FRP criteria was met prior to the date of application;

(iii) forward a written decision to the incarcerated individual, with a copy to the FRP ORC. If the appeal is denied, the notice will inform the incarcerated individual as to his or her ability to reapply. If approved, the notice will give direction to the FRP ORC as how to proceed;

(iv) satisfactory completion of recommended programs does not imply approval for the FRP;

(v) the director of ministerial, family and volunteer services will respond within 90 days of receipt of the letter of appeal stating the reason(s) for sustaining or reversing the decision. Appeal decisions are final and cannot be appealed.

7 CRR-NY 220.7 Processing subsequent applications {#sec-7-crr-ny-220.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 220.7}

Once an incarcerated individual has successfully participated in the program, subsequent applications may be processed and approved at the facility level. This includes when an incarcerated individual is transferred from one Family Reunion Program site to another and continues to meet the basic eligibility criteria, and has maintained satisfactory program and disciplinary behavior. The facility level process may take up to five weeks to complete.

(a) Full-cycle review is required.

(1) Whenever the facility FRP ORC or superintendent recommends disapproval. The incarcerated individual’s application must be reviewed by the director of ministerial, family and volunteer services.

(2) When new family participants are added. The incarcerated individual’s application must be processed completely as set forth in Section 220.6 above, with new visitors being subject to the completion of the document verification report and photo interview.

(b) Scheduling subsequent visits.

(1) If a full-cycle review is not required, the FRP application will be reviewed. If approved, and all the conditions regarding photographs and documents are completed then:

(i) the FRP ORC will contact the family contact member to schedule the FRP date;

(ii) once the date is established, the FRP ORC will send a FRP confirmation letter to the family contact with a copy to the incarcerated individual and the FRP file.

7 CRR-NY 220.8 Termination of visit {#sec-7-crr-ny-220.8 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 220.8}

(a) An orderly, humane and dignified procedure for the departure of families and for the return of incarcerated individuals to the facility is expected at the cessation of all visits. The initial time and closing time for visitation should be clearly understood by incarcerated individuals and family participants. It is the responsibility of the officer in charge to notify all visiting families one hour before the time of the visit's termination via telephone.

(b) Normal termination.

It is the responsibility of the family and incarcerated individual participant to abide by the rules and regulations governing the termination of the visit.

(c) Unusual termination.

A visit may be terminated before the designated time upon the request of the participants. It may also be terminated by the judgment of the FRP ORC with the officer of the day (for example, if there is a family disturbance or a weather emergency). The visit will be terminated immediately if any participants are found to be under the influence of alcohol or drugs.

(d) Emergency termination.

Illness, deaths, immediate family problems or a facility emergency.

(e) Visitation denial.

Family can be denied entrance if found in the possession of drugs, alcohol, dangerous and lethal weapons, or any other contraband.

(f) In all cases thorough documentation is required with an unusual incident report filed with local institution, family reunion office, and director of ministerial, family and volunteer services.

7 CRR-NY 220.9 Sanctions for use of drugs/intoxicants {#sec-7-crr-ny-220.9 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 220.9}

(a) A urine sample will be obtained from a participating incarcerated individual at the following times:

(1) between 2 to 10 days prior to an FRP visit;

(2) immediately prior to an FRP visit; and

(3) immediately after an FRP visit.

(i) Urinalysis samples taken at points (1) and (3) will be tested at their respective draw times or shortly thereafter; the sample drawn at point (2) may be analyzed immediately or if the incarcerated individual tests positive at point (3).

(b) If the incarcerated individual tests positive for drugs or intoxicants at point (1), the FRP visit will be cancelled. Security will inform the FRP ORC, who will be responsible for advising the incarcerated individual’s family of the cancellation. If the incarcerated individual is found guilty at the time of the disciplinary hearing, he or she, in addition to being subject to penalties under the Standards of Inmate Behavior, 7 NYCRR Chapter V, will also be suspended from the FRP for one year. As a condition of reapplication, the incarcerated individual must have completed the ASAT program or equivalent in the interim, and must present documentation of same at the time of reapplication. If the incarcerated individual is found not guilty, the FRP visit will be rescheduled for a date that is acceptable to both the family and the facility.

(c) If the incarcerated individual tests negative at point (1) and positive at point (3), the urine sample taken at point (2) will be tested to determine if the incarcerated individual ingested drugs between points (1) and (2). If the point (2) sample is positive, the family cannot be implicated. However, if the point (2) sample is negative, it can be concluded that the drugs were ingested during the family reunion visit, this implicates the visitor(s). In this situation, the incarcerated individual will be subject to the sanctions outlined in subdivision (b) of this section; additionally, the visitor(s) will be ineligible for participation in the FRP for a minimum of two years. Once the visitor completes the two-year period of ineligibility, a FRP application can be submitted, if the incarcerated individual meets the basic eligibility standards.

7 CRR-NY 220.10 Reports {#sec-7-crr-ny-220.10 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 220.10}

(a) Accident report.

Should any participant in the FRP be injured while participating in FRP, minimally, an accident report will be completed and forwarded to the ministerial, family and volunteer services central office within two days of the incident, whether the facility deems it necessary to complete an unusual incident report. This information is also to be included in the FRP monthly report.

(b) Monthly report.

The FRP ORC is responsible for maintaining FRP files, collecting and completing a FRP monthly report. The FRP monthly report is due no later than the Monday of the last full week of each month. The report must be completed in its entirety and forwarded via outlook e-mail to central office.

7 CRR-NY 220.11 File retention {#sec-7-crr-ny-220.11 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 220.11}

(a) Ensuring accurate recordkeeping procedures are in place is essential to maintaining the integrity of the FRP. Therefore, whenever an incarcerated individual transfers to a facility that has the Family Reunion Program, the FRP ORC at the sending facility will forward the FRP file to the FRP ORC at the receiving facility. In maintaining this chain of custody, the sending FRP ORC will confirm this transaction via a chronological entry in the guidance and counseling folder. The receiving FRP ORC will acknowledge receipt of the file via a chronological entry in the guidance and counseling folder. If the incarcerated individual is transferred to a facility that does not have the Family Reunion Program, the sending facility will ensure that a copy of every central office decision, whether approved or denied, is filed in the program services section of the incarcerated individual’s guidance file. The entire FRP file will be maintained at the participating FRP site for seven years from the date of the last FRP visit.

7 CRR-NY 220.12 Family reunion guidelines {#sec-7-crr-ny-220.12 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 220.12}

(a) Transportation.

Visitors scheduled to participate in a Family Reunion Program (FRP) visit must arrange their transportation to and from the FRP site.

(b) Identification.

At the time of the scheduled visit, adult participants must present a valid form of identification containing a picture and/or signature (driver’s license, non-driver identification, social services card, etc). The adult participant is responsible to present identification (birth certificate, baptismal certificate or other creditable means of identification) for any minor infant or child participant under 18 years of age.

(c) Personal items.

Participants are allowed to bring only a minimum amount of personal property as necessary for the duration of the visit including personal clothing and items of personal hygiene, including sanitary pads and tampons. Please note that the facility shall provide pillows, blankets, bed linens, towels, soap, and condoms.

(d) Clearance.

All visitors to enter the FRP site shall be subject to search in accordance with the provisions outlined in related department directives and consistent with departmental policy. This shall include a metal detector search. All packages and articles accompanying the visitors will also be searched.

(e) Participants may not bring in any alcohol, illegal narcotics, dangerous drugs, weapons, cellular phones, wireless phones, pagers, laptop computers, personal digital assistants, any device with global positioning (G.P.S.) capabilities, any device with audio recording capabilities, radios, cameras or other similar electronic devices, or valuables such as credit cards, large sums of money, stamps or expensive articles of jewelry. Penalties may include attendance at a treatment program, program suspension/termination.

(f) Medication.

(1) All medications (including needles/controlled substances) must be declared and relinquished to the gate officer, shall be identified as indicated below and stored in a secure area. If needed during the visit, it may be obtained in accordance with facility procedures.

(2) Medication (prescribed) must be in original container with label showing patient’s name, name of medicine, dosage, administering information (how and when), pharmacy, and doctor’s name.

(3) Medication (non-prescribed), aspirin, vitamins, non-alcohol cold medications, etc., must be in the original container.

(g) Each residential unit contains cooking and refrigeration appliances, cookware, utensils, dishes, and silverware.

(h) Visitors may bring a three-day maximum supply of food, limited to an amount that will be readily consumed by themselves and the incarcerated individual during the course of the visit, subject to the following restrictions:

(1) food or beverages containing alcohol or hemp, in any content, is prohibited;

(2) glass containers are prohibited;

(3) foods must be commercially packaged in containers resistant to external influence (i.e., sealed cans, heat sealed plastic bags, and vacuum sealed pouches). Containers sealed solely with a paper or foil seal will not be allowed (e.g., tubular potato chip container or coffee creamer jar, with paper foil seal). Such items must have an additional tamper resistant commercially packaging (e.g., perforated twist top, pull ring or pull tab, vacuum sealed or heat sealed plastic covering) (e.g. beverages, condiments, oils, breads). A food item contained within a commercially packed glued outer paper or cardboard container does not, standing alone, make the item disallowed, if the item inside the container is further, commercially packed in a heat sealed bag (e.g., crackers, chips) it will be allowed.

(i) Foods allowed.

Although this list covers the basic categories, please be mindful that it is not all inclusive:

(1) Beverages:

(i) sodas, juice, etc.;

(ii) powdered drink mixes – Kool-Aid, etc.;

(iii) coffee;

(iv) teas – regular, herbal (no loose);

(v) milk – formula, fresh, powdered (boxed, plastic, canned containers);

(vi) bottled water (sealed plastic container).

(2) Bread (commercially heat sealed).

(3) Butter, margarine, etc., (commercially packaged).

(4) Cereal.

(5) Cheese and other cheese products.

(6) Condiments:

(i) salt – kosher, sea, regular, seasoned;

(ii) pepper – black, lemon mix;

(iii) ketchup;

(iv) mustard;

(v) sauces and gravies – barbeque, steak, hot, etc., (powdered, packaged or liquid);

(vi) dressings and salad oils – mayo, Miracle Whip, Italian, French, blue cheese, etc.;

(vii) dried herbs - parsley, sage, etc,. in original unopened container;

(viii) spice – cinnamon only;

(ix) seasoning – poultry, steak, fried chicken, Italian, Spanish, garlic, etc.;

(x) marinades;

(xi) creamers – powdered or liquid.

(7) Eggs and egg substitutes.

(8) Tofu.

(9) Fruits – fresh, frozen, canned, or dried (including raisins).

(10) Jell-O, puddings, yogurt.

(11) Meat (fresh or frozen), poultry and seafood:

(i) meat – beef, pork, lamb;

(ii) Poultry – chicken, turkey, duck, goose (no wild game - home prepared);

(iii) seafood – no hard-shell.

Note:

Commercially packaged items (i.e., from legitimate or readily recognizable sources such as a grocery stores etc.) requiring cooking shall be allowed so long they are in their original packaging. These items shall be thoroughly inspected by processing staff.

(12) Pastry – cakes, rolls, pies, donuts, etc.

(13) Nuts – without shells.

(14) Shortening and cooking oils.

(15) Snacks – candy, chips, cookies, crackers, cheese twist, and other similar items

(16) Sugar and sugar substitutes.

(17) Vegetables – fresh, frozen, or canned.

(18) Others - flour, meal, cake mixes, pie crust and fillings, etc.

(j) Once the FRP visit has begun, no participant (incarcerated individual or visitor) will be permitted to leave the site, except for emergency situations.

(k) Parents are responsible for supervising children at all times.

(l) No pets are allowed at the FRP site.

(m) Participants (incarcerated individuals and visitors) are responsible for ensuring that the residence is left clean and orderly and that all utensils are accounted for. The incarcerated individual will be held financially responsible for any lost or damaged items.

(n) Reasonable accommodations must be requested and approved prior to the visit.

Chapter V PROCEDURES FOR IMPLEMENTING STANDARDS OF INCARCERATED INDIVIDUAL BEHAVIOR AND FOR GRANTING GOOD BEHAVIOR TIME ALLOWANCES

Subchapter A PROCEDURES FOR IMPLEMENTING STANDARDS OF INMATE BEHAVIOR

Part 250 SCOPE AND INTERPRETATION OF RULES AND REGULATIONS IN THIS CHAPTER

7 CRR-NY 250.1 Applicability {#sec-7-crr-ny-250.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 250.1}

(a) The rules and regulations set forth in this Chapter establish procedures to supplement the department's ordinary programs for inmate indoctrination, guidance, counseling and training. They are to be applied for the following purposes:

(1) Implementation of standards of behavior where an inmate:

(i) violates a rule or regulation governing his behavior;

(ii) fails or refuses to comply with an instruction given to him by an employee of the department acting within the scope of his official duties in giving such instruction; or

(iii) attempts to escape or escapes or engages in any other unlawful conduct; and

(2) Administration of procedures for granting good behavior allowances (“good time”).

(b) The provisions of this Chapter shall apply to all correctional facilities in the department.

7 CRR-NY 250.2 [Repealed] {#sec-7-crr-ny-250.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 250.2}

7 CRR-NY 250.3 to 250.4 to 250.4 [Repealed] {#sec-7-crr-ny-250.3-to-250.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 250.3 to 250.4}

Part 251 CASES OF INMATE MISBEHAVIOR

Subpart 251-1 INITIAL ACTIONS IN CASES OF INMATE MISBEHAVIOR

7 CRR-NY 251-1.1 General policy {#sec-7-crr-ny-251-1.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 251-1.1}

All incidents of inmate violations of rules and regulations, inmate misbehavior and inmate failure or refusal to comply with an instruction given by an employee acting within the scope of his official duties shall be handled as quietly and routinely as possible, giving due regard to danger to life, health, security and property.

7 CRR-NY 251-1.2 Use of physical force {#sec-7-crr-ny-251-1.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 251-1.2}

(a) The greatest caution and conservative judgment shall be applied in determining:

(1) whether physical force is necessary; and

(2) the degree of such force that is necessary.

Each employee is personally charged under law and the policies of the department with responsibility for acting in good faith, with reasonable care and upon probable cause.

(b) Where it is necessary to use physical force, only such degree of force as is reasonably required shall be used.

(c) Unless there is an immediate danger to safety, security or property, an employee shall notify the superintendent of any situation where the use of physical force may be or become necessary and shall not attempt to use physical force except in accordance with instructions received from the person designated by the superintendent to take charge of such situation.

(d) An employee shall not lay hands on or strike an inmate unless the employee reasonably believes that the physical force to be used is reasonably necessary: for self-defense; to prevent injury to person or property; to enforce compliance with a lawful direction; to quell a disturbance; or to prevent an escape.

(e) An employee may use a weapon, other than a firearm (e.g., a baton or chemical agent) only when and to the extent that the employee reasonably believes such use is necessary: for self-defense; to prevent a serious assault or gross destruction of property; to quell a disturbance; or, to prevent an escape. Where it is necessary to use such a weapon, the employee should take due care to avoid, to the best of his ability in the circumstances, the infliction of serious physical injury.

(f)

(1) Firearms and deadly physical force shall not be used except as a last resort, and then only in situations where the employee reasonably believes that deadly physical force is necessary:

(i) to defend himself or a third person from what he reasonably believes to be the unlawful use or immediate danger of unlawful use of the kind of physical force that is readily capable of causing death or other serious physical injury;

(ii) to prevent or terminate what he reasonably believes to be the commission or attempted commission of arson; or

(iii) to prevent the escape of an inmate from the correctional facility or from custody while in transit thereto or therefrom.

(2) Where it is necessary to use a firearm, the weapon shall, whenever possible, be used to disable rather than to kill. Before aiming a firearm at any person an employee shall, whenever possible, give due warning, orally, or by firing a shot into the air or in some other readily understandable manner.

7 CRR-NY 251-1.3 Reports of use of physical force {#sec-7-crr-ny-251-1.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 251-1.3}

(a) An employee who has used physical force on an inmate shall make a written report in prescribed form immediately to the superintendent.

7 CRR-NY 251-1.4 [Repealed] {#sec-7-crr-ny-251-1.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 251-1.4}

7 CRR-NY 251-1.5 [Repealed] {#sec-7-crr-ny-251-1.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 251-1.5}

7 CRR-NY 251-1.6 Confinement {#sec-7-crr-ny-251-1.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 251-1.6}

(a) Incarcerated individuals in special populations as defined in section 1.5 of this Title shall not be placed in segregated confinement for any length of time.

(b) An incarcerated individual may be confined to a cell or room where such action appears reasonably necessary for protection of the incarcerated individual. In any such case, however, the incarcerated individual shall not be so confined for more than 17 hours, unless approval for an extension of this time has been granted by the facility superintendent and deputy commissioner for correctional facilities. In which case this period may be extended up to 48 hours.

(c) The provisions of this section shall not be construed so as to prohibit emergency action by the superintendent of the facility and, if necessary for the safety or security of the facility, all incarcerated individuals or any segment of the incarcerated individuals in a facility may, on the order of the person in charge of the facility, be confined in their cells or rooms for the duration of any period in which the safety or security of the facility is in jeopardy. In any such case the superintendent shall immediately notify the commissioner.

7 CRR-NY 251-1.7 Admission to special housing units {#sec-7-crr-ny-251-1.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 251-1.7}

Admission of an incarcerated individual to a special housing unit shall be in accord with Part 301 of this Title.

Subpart 251-2 REVIEW OFFICER

7 CRR-NY 251-2.1 [Repealed] {#sec-7-crr-ny-251-2.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 251-2.1}

7 CRR-NY 251-2.2 Misbehavior report review {#sec-7-crr-ny-251-2.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 251-2.2}

A review officer shall review all misbehavior reports, which have not yet been reviewed, at least once on each shift. The review officer shall also review the status of each incarcerated individual confined pursuant to a misbehavior report under review within 17 hours of such confinement and may order release from confinement where the act of misbehavior is ineligible for segregated confinement.

Subpart 251-3 MISBEHAVIOR REPORT

7 CRR-NY 251-3.1 Misbehavior report {#sec-7-crr-ny-251-3.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 251-3.1}

(a) Every incident of inmate misbehavior involving danger to life, health, security or property must be reported, in writing, as soon as practicable.

(b) The misbehavior report shall be made by the employee who has observed the incident or who has ascertained the facts of the incident. Where more than one employee has personal knowledge of the facts, each employee shall make a separate report or, where appropriate, each employee shall endorse his/her name on a report made by one of the employees.

(c) The misbehavior report shall include the following:

(1) a written specification of the particulars of the alleged incident of misbehavior involved;

(2) a reference to the inmate rule book number allegedly violated by the inmate, and a brief description of the rule;

(3) the date, time and place of the incident;

(4) when more than one inmate was involved in an incident, the report should, to the extent practicable under the given circumstances, indicate the specific role played by each inmate. Where two or more incidents are involved, all of them may be incorporated into a single misbehavior report. However, each incident must be separately stated.

(d) All misbehavior reports shall also contain the following language:

(1) “You are hereby advised that no statement made by you in response to the charge, or information derived therefrom may be used against you in a criminal proceeding.”

(2) “You will be permitted to call witnesses on your behalf provided that doing so does not jeopardize institutional safety or correctional goals.”

(3) “If restricted pending a hearing for this misbehavior report, you may write to the Deputy Superintendent of Security or his/her designee prior to the hearing to make a statement on the need for continued prehearing confinement.”

Note:

Paragraphs (2) and (3) of this subdivision shall not be included in misbehavior reports used in connection with violation hearings.

(e) Employees of the Division of Parole and the Office of Mental Health may write misbehavior reports to the same extent as department employees.

Subpart 251-4 INMATE'S ASSISTANT

7 CRR-NY 251-4.1 Employee assistance {#sec-7-crr-ny-251-4.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 251-4.1}

(a) An incarcerated individual shall have the opportunity to request assistance from an employee, to be designated by the facility, who shall assist the incarcerated individual when a misbehavior report has been issued against the incarcerated individual if:

(1) the incarcerated individual is either illiterate or non-English speaking; or

(2) the incarcerated individual is sensorially disabled (in which case the incarcerated individual will be provided reasonable accommodations including, but not limited to, the provision of a qualified sign language interpreter for a deaf and hard of hearing incarcerated individual who uses sign language to communicate); or

(3) the incarcerated individual is placed in segregated confinement pending a superintendent’s hearing to be conducted pursuant to Part 254 of this Title.

(b) In other cases where a misbehavior report has been issued, the review officer or hearing officer, in his absolute discretion, may offer an incarcerated individual the opportunity to seek employee assistance where such assistance would enable the incarcerated individual to adequately comprehend the case in order to respond to the charges.

7 CRR-NY 251-4.2 [Repealed] {#sec-7-crr-ny-251-4.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 251-4.2}

Subpart 251-5 TIMELINESS

7 CRR-NY 251-5.1 Timeliness {#sec-7-crr-ny-251-5.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 251-5.1}

(a) Where an incarcerated individual is placed in segregated confinement pending a superintendent's hearing, the hearing must be completed within five days of such placement in segregated confinement, unless the subject incarcerated individual requests a postponement for the purposes of seeking employee assistance and/or representation.

(b) Requests to postpone the hearing must be submitted by the charged individual to the hearing officer, in person, at the individual’s first appearance before the hearing officer. Failure to appear will result in the waiver of any postponement request and the hearing will be held in the charged individual’s absence. Postponement requests will not be accepted by escorting officers or other departmental staff.

7 CRR-NY 251-5.2 Representation {#sec-7-crr-ny-251-5.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 251-5.2}

(a) Where an incarcerated individual is placed in segregated confinement pending a disciplinary hearing or superintendent’s hearing, such incarcerated individual shall be permitted to be represented by:

(1) an attorney, having good standing, admitted to practice in any state;

(2) a law student, provided that an attorney member of the law school’s faculty certifies to the department, in writing, that the faculty member has direct supervisory authority over the student, shall make reasonable efforts to ensure that the student’s conduct is compatible with the professional obligations of a lawyer, and provide the faculty member’s contact information through the school’s publicly listed business phone number and school issued email address;

(3) a paralegal, provided that an attorney, having good standing, admitted to practice in any state certifies to the department, in writing, that shall make reasonable efforts to ensure that the paralegal’s conduct is compatible with the professional obligations of the lawyer and the paralegal has met one or more of the following requirements:

(i) successful completion of the Certified Paralegal (CP) certifying examination of NALA;

(ii) graduation from an ABA approved program of study for paralegals;

(iii) graduation from a course of study for paralegals which is institutionally accredited but not ABA approved, and which requires not less than the equivalent of 60 semester hours of class-room study;

(iv) graduation from a course of study for paralegals, other than those set forth above, plus not less than six months of in-house training as a paralegal;

(v) a baccalaureate degree in any field, plus not less than six months in-house training as a paralegal;

(vi) a minimum of three years of law-related experience under the supervision of an attorney, including at least six months of in-house training as a paralegal; or

(vii) two years of in-house training as a paralegal;

(4) another incarcerated individual, provided that the proposed representative is willing to serve as such representative and meets the following objective criteria:

(i) is located at the same facility where the charged individual is located. If a charged individual with an approved incarcerated representative is transferred prior to any pre-hearing contact with their representative, the charged individual may request a postponement for representation by a different incarcerated individual, subject to all departmental criteria for such representation;

(ii) is medically able to participate in the hearing and has a Beta IQ score above 70;

(iii) has not been found guilty of any Tier III offense within the last year;

(iv) has received a high school or equivalency diploma or is currently enrolled in a high school equivalency program; and

(v) is pursuing their most recently assigned earned eligibility or program plan with no current program refusals.

7 CRR-NY 251-5.3 Notice of outside representation {#sec-7-crr-ny-251-5.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 251-5.3}

At least two business days before the scheduled hearing, the attorney, law student, or paralegal must contact the facility by email, providing notice of representation, written certification such representative meets all departmental requirements for such representation, and a publicly listed business phone number where they can be reached by the hearing officer at scheduled date and time of the hearing.

7 CRR-NY 251-5.4 Outside representative requests {#sec-7-crr-ny-251-5.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 251-5.4}

(a) Outside representatives may make one written request for postponement for rescheduling or additional employee assistance requests, provided that such request is submitted by email with the notice of outside representation and reasonably describe the assistance sought.

(b) Reasonable postponement requests may be granted dependent upon the scheduling needs of the facility; however, such postponements may not exceed 14 calendar days from the charged initial placement in segregated confinement.

Part 252 VIOLATION HEARING

7 CRR-NY 252.1 Violation officer {#sec-7-crr-ny-252.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 252.1}

(a) There shall be in each correctional facility one or more officers of the rank of sergeant or above who shall function as a violation officer, the number to be dependent upon the needs of the facility.

(b) The violation officer shall be responsible for conducting the violation hearing.

7 CRR-NY 252.2 Function of the violation hearing {#sec-7-crr-ny-252.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 252.2}

The purpose of the violation hearing shall be to hear and determine allegations of rule violations contained in the misbehavior reports referred for violation hearing.

7 CRR-NY 252.3 Procedure {#sec-7-crr-ny-252.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 252.3}

(a) Upon receipt of a misbehavior report from the review officer, the violation officer shall:

(1) give a copy of the misbehavior report to the incarcerated individual at the violation hearing;

(2) allow the incarcerated individual to be present at the violation hearing, unless he refuses to attend; and

(3) allow the incarcerated individual to present documentary evidence, to submit a written statement on his behalf, and to reply to the charge. The incarcerated individual shall not have the right to call witnesses on his behalf.

(b) The violation officer may allow any evidence necessary to aid in his decision.

7 CRR-NY 252.4 Non-English speaking and sensorially disabled inmates {#sec-7-crr-ny-252.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 252.4}

A non-English speaking inmate who cannot read and understand English must be given charges translated and provided with a translator who shall be present at the hearing. A deaf or hard of hearing inmate who uses sign language to communicate shall receive the assistance of a qualified sign language interpreter who shall be present at the hearing. A hard of hearing inmate who uses an amplifier or other device as a reasonable accommodation must have the opportunity to use such device during the hearing.

7 CRR-NY 252.5 Dispositions at violation hearing {#sec-7-crr-ny-252.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 252.5}

(a) Upon affirming a charge, the violation officer may impose any two of the following penalties to be served within a 13-day period. Penalties may be suspended for a period of 13 days:

(1) loss of all or part of recreation (game room, day room, television, movies, yard, gym, special events) for up to 13 days;

(2) loss of maximum of two of the following privileges: one commissary buy, excluding items related to the inmate's health and sanitary needs, withholding of radio for up to 13 days, withholding of packages for up to 13 days, excluding perishables that cannot be returned;

(3) the imposition of one work task per day other than a regular work assignment for a maximum of seven days, excluding Sundays and public holidays, to be performed on the inmate’s housing unit or other designated area. Inmates given such disposition who are participating in a regular work assignment shall not be required to work more than eight hours per day. The eight-hour limitation excludes such non-work assignments as educational or vocational school programming; and

(4) counsel and/or reprimand.

(b) Following the violation hearing, the inmate shall receive a written statement indicating the penalty imposed as soon as possible, but not later than 24 hours after the conclusion of the hearing.

(c) Records of dispositions of violation hearings shall not be used for any purpose, except as follows:

(1) a violation officer shall have available records of an inmate's suspended and uncompleted dispositions when conducting a hearing with regard to the inmate; and

(2) In determining the appropriate level at which an inmate's misbehavior report should be handled, a review officer may consider descriptions of an inmate's charges and dispositions of violation hearings dated within 14 days of the review.

(d) All misbehavior reports for violation hearings are to be destroyed 14 days after the hearing is held. Dispositions for violation hearings shall not be made part of any inmate's institutional records.

7 CRR-NY 252.6 Appeal procedures {#sec-7-crr-ny-252.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 252.6}

Appeals must be submitted within 24 hours of receipt of the violation disposition to the superintendent or his designee. A decision shall be issued within seven days of receipt of the appeal.

7 CRR-NY 252.7 Discretionary review by superintendent {#sec-7-crr-ny-252.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 252.7}

At any time during which a penalty imposed pursuant to a violation hearing is in effect, the superintendent may reduce the penalty.

Part 253 DISCIPLINARY HEARING

7 CRR-NY 253.1 Establishment of the disciplinary hearing officer {#sec-7-crr-ny-253.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 253.1}

(a) There shall be at each correctional facility one or more hearing officers of the rank of lieutenant or above who shall function as a disciplinary hearing officer, the number to be dependent upon the needs of the facility. The superintendent may, in his discretion, designate some other employee to conduct disciplinary hearings.

(b) The disciplinary hearing officer shall be responsible for conducting disciplinary hearings in an impartial manner. No person who has participated in any investigation of the acts shall be a hearing officer at a hearing relating to those acts, nor shall any person who has prepared or caused to be prepared the misbehavior report on which a hearing is held, act as the hearing officer on that charge.

7 CRR-NY 253.2 Non-English speaking and sensorially disabled inmates {#sec-7-crr-ny-253.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 253.2}

A non-English speaking inmate who cannot read and understand English must be given a translated notice of the charges and statements of evidence relied upon and reasons for actions taken, and provided with a translator who shall be present at the hearing. A deaf or hard of hearing inmate who uses sign language to communicate shall receive the assistance of a qualified sign language interpreter who shall be present at the hearing. A hard of hearing inmate who uses an amplifier or other device as a reasonable accommodation must have the opportunity to use such device during the hearing.

7 CRR-NY 253.3 Formal charge {#sec-7-crr-ny-253.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 253.3}

The formal charge shall consist of the misbehavior report which shall be prepared in accordance with the provisions of section 251-3.1 of this Title.

7 CRR-NY 253.4 Assistance {#sec-7-crr-ny-253.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 253.4}

The inmate shall be provided with an assistant in accordance with the provisions of Subpart 251-4 of this Subchapter.

7 CRR-NY 253.5 Inmate witnesses {#sec-7-crr-ny-253.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 253.5}

(a) The inmate may call witnesses on his behalf provided their testimony is material, is not redundant, and doing so does not jeopardize institutional safety or correctional goals. If permission to call a witness is denied, the hearing officer shall give the inmate a written statement stating the reasons for the denial, including the specific threat to institutional safety or correctional goals presented.

(b) Any witness shall be allowed to testify at the hearing in the presence of the inmate unless the hearing officer determines that so doing will jeopardize institutional safety or correctional goals. Where an inmate is not permitted to have a witness present, such witness may be interviewed out of the presence of the inmate and such interview tape recorded. The recording of the witness' statement is to be made available to the inmate at the hearing unless the hearing officer determines that so doing would jeopardize institutional safety or correctional goals.

(c) An inmate may request a witness by either:

(1) informing his assistant or the hearing officer before the hearing; or

(2) informing the hearing officer during the hearing.

7 CRR-NY 253.6 Method of determination {#sec-7-crr-ny-253.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 253.6}

Upon receipt of a misbehavior report from the review officer, the hearing officer shall commence the disciplinary hearing as follows:

(a) The misbehavior report shall be served on the inmate at least 24 hours before the disciplinary hearing. If the inmate requests an assistant and is eligible for an assistant in accordance with the provisions of Subpart 251-4 of this Title, the hearing may not be held until 24 hours after the assistant's initial meeting with the inmate.

(b) The inmate shall be present at the hearing unless he refuses to attend, or is excluded for reason of institutional safety or correctional goals. The entire hearing must be electronically recorded.

(c) The inmate, when present, may reply orally to the charge and/or evidence and shall be allowed to submit relevant documentary evidence or written statements on his behalf.

7 CRR-NY 253.7 Dispositions and mandatory surcharge {#sec-7-crr-ny-253.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 253.7}

(a) Dispositions.

(1) Upon affirming a charge, the hearing officer may impose one or more of the following penalties:

(i) counsel and/or reprimand; and

(ii) any non-confinement sanction in accordance with departmental directive 4932;

(a) a loss of visiting privileges may be imposed under this subparagraph for any confirmed charge;

(1) a loss of visiting privileges with a specified visitor or visitors may be imposed where the misconduct involved only the incarcerated individual and the specified visitor or visitors. Where the misconduct was not limited to the specified visitor or visitors a loss of visiting privileges with all visitors may be imposed. Misconduct involving unacceptable physical conduct during which other visitors were subjected to exposure is misconduct which is not limited to only the inmate and the specified visitor or visitors. Misconduct involving an attempt to introduce money, alcohol, marijuana, narcotic and other dangerous drugs, any item which is readily capable of being used to cause death or serious injury, or any item which may be used to aid in escape is misconduct which is not limited to only the incarcerated individual and the specified visitor or visitors;

(2) a loss of visiting privileges may be imposed under subparagraph (ii) of this paragraph only for the length of time stated in departmental directive 4932; and

(3) the hearing officer may, within his or her discretion, limit an incarcerated individual to noncontact visiting in lieu of suspending all visiting privileges;

(b) restitution may be imposed for loss or intentional damage to property up to be made from an incarcerated individual’s existing and future funds;

(c) the imposition of one work task per day other than a regular work assignment for a maximum of seven days, excluding Sundays and public holidays, to be performed on the incarcerated individual's housing unit or other designated area. Incarcerated individuals given such disposition who are participating in a regular work assignment shall not be required to work more than eight hours per day. The eight-hour limitation excludes such non-work assignments as educational or vocational school programming; and

(d) forfeiture of money confiscated as contraband.

(2) As soon as possible, but not later than 24 hours after the conclusion of the hearing, the incarcerated individual shall be given a written statement of the disposition of the hearing. This statement shall set forth the evidence relied upon by the hearing officer in reaching his decision and also set forth the reasons for any penalties imposed.

(b) Mandatory disciplinary surcharge.

Upon the conclusion of a disciplinary hearing wherein the incarcerated individual admits the charges, or where the hearing officer affirms one or more charges, a mandatory disciplinary surcharge in accordance with departmental directive 4932 shall be assessed automatically against the incarcerated individual.

7 CRR-NY 253.8 Appeal procedures {#sec-7-crr-ny-253.8 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 253.8}

The inmate shall be advised of his right to appeal the disposition of the disciplinary hearing to the facility superintendent. Such appeal shall be submitted in writing to the superintendent within 72 hours of the receipt of the disposition. The superintendent or his designee shall issue a decision within 15 days of receipt of the appeal.

7 CRR-NY 253.9 Discretionary review by superintendent {#sec-7-crr-ny-253.9 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 253.9}

At any time during which a penalty imposed pursuant to a disciplinary hearing is in effect, the superintendent may reduce the penalty.

Part 254 SUPERINTENDENT'S HEARING

7 CRR-NY 254.1 Hearing officer {#sec-7-crr-ny-254.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 254.1}

The person appointed to conduct the superintendent's hearing shall be either the superintendent, a deputy superintendent, captain or commissioner's hearing officer employed by the department's central office, but the superintendent may, in his or her discretion, designate an employee who holds a title that has been approved by central office to conduct the proceeding. The following persons shall not be appointed to conduct the proceeding: a person who actually witnessed the incident; a person who was directly involved in the incident; the review officer who reviewed the misbehavior report, or a person who has investigated the incident. Prior to presiding over a superintendent’s hearing, the hearing officer shall receive training on relevant topics, including implicit bias and procedural due process rights.

7 CRR-NY 254.2 Non-English speaking and sensorially disabled inmates {#sec-7-crr-ny-254.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 254.2}

A non-English speaking inmate who cannot read and understand English must be given a translated notice of the charges and statements of evidence relied upon and reasons for actions taken, and provided with a translator who shall be present at the hearing. A deaf or hard of hearing inmate who uses sign language to communicate shall receive the assistance of a qualified sign language interpreter who shall be present at the hearing. A hard of hearing inmate who uses an amplifier or other device as a reasonable accommodation must have the opportunity to use such device during the hearing.

7 CRR-NY 254.3 Formal charge {#sec-7-crr-ny-254.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 254.3}

The formal charge shall consist of the misbehavior report which shall be prepared in accordance with the provisions of section 251-3.1 of Subpart 251-3 of this Subchapter.

7 CRR-NY 254.4 Notice and assistance {#sec-7-crr-ny-254.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 254.4}

The inmate shall be provided with an assistant in accordance with the provisions of Subpart 251-4 of this Subchapter.

7 CRR-NY 254.5 Inmate witness {#sec-7-crr-ny-254.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 254.5}

(a) The inmate may call witnesses on his behalf provided their testimony is material, is not redundant, and doing so does not jeopardize institutional safety or correctional goals. If permission to call a witness is denied, the hearing officer shall give the inmate a written statement stating the reasons for the denial, including the specific threat to institutional safety or correctional goals presented.

(b) Any witness shall be allowed to testify at the hearing in the presence of the inmate unless the hearing officer determines that so doing will jeopardize institutional safety or correctional goals. Where an inmate is not permitted to have a witness present, such witness may be interviewed out of the presence of the inmate and such interview tape recorded. The recording of the witness' statement is to be made available to the inmate at the hearing unless the hearing officer determines that so doing would jeopardize institutional safety or correctional goals.

(c) An inmate may request a witness by either:

(1) informing his assistant of the hearing officer before the hearing; or

(2) informing the hearing officer during the hearing.

7 CRR-NY 254.6 Method of determination {#sec-7-crr-ny-254.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 254.6}

(a) Generally.

Upon receipt of a misbehavior report from the review officer, the hearing officer shall commence the superintendent's hearing as follows:

(1) The misbehavior report shall be served on the inmate at least 24 hours before the superintendent's hearing. If the inmate is confined and requests an assistant, the hearing may not start until 24 hours after the assistant's initial meeting with the inmate.

(2) The inmate shall be present at the hearing unless he or she refuses to attend, or is excluded for reasons of institutional safety or correctional goals. The entire hearing must be electronically recorded.

(3) The inmate when present may reply orally to the charge and/or evidence and shall be allowed to submit relevant documentary evidence or written statements on his or her behalf.

(4) When applicable, the information identified in subparagraphs (b)(1)(i), (ii), (iv), (v) and (2)(i), (ii), (iii), and subdivision (h) of this section, derived from the department's electronic databases, shall automatically appear on a computer generated hearing record sheet that shall be provided to the hearing officer for use at the hearing.

(b) Mental state or intellectual capacity.

When an inmate's mental state or intellectual capacity is at issue, a hearing officer shall consider evidence regarding the inmate's mental condition or intellectual capacity at the time of the incident and at the time of the hearing in accordance with this section.

(1) For the purposes of this section, an inmate's mental state shall be deemed at issue when:

(i) the inmate is classified as level 1 by the Office of Mental Health (OMH), as indicated on the hearing record sheet;

(ii) the inmate is designated as an “S” by OMH, as indicated on the hearing record sheet;

(iii) the inmate is charged with engaging in an act of self-harm in violation of rule 123.10 (section 270.2[B][23][i] of this Title), as indicated on the misbehavior report;

(iv) the incident occurred while the inmate was being transported to or from the Central New York Psychiatric Center (CNYPC), as alleged in the misbehavior report;

(v) the inmate was an inpatient at the CNYPC within nine months prior to the incident, as indicated on the hearing record sheet;

(vi) the incident occurred while the inmate was assigned to an OMH satellite unit or intermediate care program, as indicated on the hearing record sheet;

(vii) the incident occurred while the inmate was being escorted to or from an OMH satellite unit or intermediate care program, as alleged in the misbehavior report;

(viii) the hearing was delayed or adjourned, after an extension of time was obtained in accordance with section 251-5.1 of this Title, because the inmate became an inpatient at the CNYPC or was assigned to the OMH satellite unit; or

(ix) it appears to the hearing officer, based on the inmate's testimony, demeanor, the circumstances of the alleged offense or any other reason, that the inmate may have been mentally impaired at the time of the incident or may be mentally impaired at the time of the hearing.

(2) For the purposes of this section an inmate's intellectual capacity shall be deemed at issue when:

(i) the incident occurred while the inmate was assigned to the special needs unit (SNU) at Wende, Clinton, Woodbourne, Bedford Hills or Sullivan Correctional Facilities, as indicated on the hearing record sheet;

(ii) the inmate has not scored above a 69 on any intelligence testing instrument administered to the inmate by the department and has not scored above a 3.0 grade level in any reading comprehension testing instrument administered to the inmate by the department, as indicated on the hearing record sheet; or

(iii) the incident occurred while the inmate was assigned to the correctional alternative rehabilitation program (CAR) at Sullivan Correctional Facility, as indicated on the hearing record sheet; or

(iv) it appears to the hearing officer, based on the inmate's testimony, demeanor, the circumstances of the alleged offense or any other reason, that the inmate may have been intellectually impaired at the time of the incident or may be intellectually impaired at the time of the hearing.

(c) When an inmate's mental state or intellectual capacity is at issue, pursuant to subdivision (b) of this section, the hearing officer shall:

(1) ask the inmate whether he or she understands the disciplinary charge, the purpose of the hearing and the role of the participants in the hearing;

(2) inquire of other witnesses to the incident, as may be called in accordance with section 254.5 of this Part, concerning any observations that they may have regarding the inmate's mental condition or intellectual capacity at the time of the incident; and

(3) where an inmate's mental state is at issue, out of the presence of the inmate and on a confidential tape, interview an OMH clinician as may be available concerning the inmate's mental condition at the time of the incident and the time of hearing; or

(4) where an inmate's intellectual capacity is at issue, out of the presence of the inmate and on a confidential tape, interview a correction counselor or teacher as may be available concerning the inmate's intellectual capacity at the time of the incident and the time of the hearing.

(d) If it is determined that the inmate is unable to participate in the hearing process because the inmate does not understand the disciplinary charge, the purpose of the hearing and the role of the participants in the hearing, the hearing shall be adjourned until such time as the inmate is able to participate in the hearing process and, if necessary, a request for a time extension shall be made in accordance with section 251-5.1 of this Title.

(e) If it is determined that the inmate is able to participate in the hearing process but is in need of assistance, the hearing shall be adjourned and the inmate shall be offered an assistant in accordance with section 251-4.1 of this Title. Pursuant to section 251-4.2 of this Title, the assistant may be required by the hearing officer to be present at the hearing.

(f) If it is determined that the inmate is capable of proceeding with the hearing and a finding of guilt is subsequently made with regard to one or more of the charges, the hearing officer shall consider the inmate's mental condition or intellectual capacity at the time of the incident, if at issue in accordance with paragraph (b)(l) or (2) of this section, respectively, in determining the appropriate penalty to be imposed under section 254.7 of this Part. In addition, if in light of the inmate's mental condition or intellectual capacity, the hearing officer believes that a penalty with regard to one or more of the charges would serve no useful purpose, the hearing officer may dismiss the charge or charges altogether. The written statement of the disposition of the charges, if any, shall, in accordance with section 254.7(a)(5) of this Part, reflect how the inmate's mental condition or intellectual capacity was considered.

(g) A copy of a written statement of the disposition of the charges issued in accordance with subdivision (f) of this section shall, if the disposition includes confinement to SHU and the inmate is housed in a correctional facility designated by OMH as level 1 or 2, be provided to the OMH unit at the facility for use in connection with any mental health assessments. In a correctional facility designated by OMH as level 1, the inmate's status shall also be the subject of the next scheduled meeting of the facility's special housing unit case management committee in accordance with Part 310 of this Title.

(h) Juveniles.

When an inmate is under the age of 18 at the time of the incident, as indicated on the hearing record sheet, the hearing officer shall consider the inmate’s age as a mitigating factor. The written statement of the disposition of the charges, if any, shall, in accordance with section 254.7(a)(5) of this Part, reflect how the inmate's age affected the disposition (e.g., reduction of a penalty, alternative to a confinement penalty, dismissal of one or more charges).

7 CRR-NY 254.7 Dispositions and mandatory disciplinary surcharge {#sec-7-crr-ny-254.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 254.7}

(a) Dispositions.

(1) Where the incarcerated individual admits the charges, or where the hearing officer affirms the charges on the basis of the evidence, the hearing officer may impose one or more of the following penalties:

(i) counsel and/or reprimand;

(ii) any non-confinement sanction in accordance with departmental directive 4932;

(a) a loss of visiting privileges may be imposed under this subparagraph for any confirmed charge;

(1) a loss of visiting privileges with a specified visitor or visitors may be imposed where the misconduct involved only the incarcerated individual and the specified visitor or visitors. Where the misconduct was not limited to the specified visitor or visitors a loss of visiting privileges with all visitors may be imposed. Misconduct involving unacceptable physical conduct during which other visitors were subjected to exposure is misconduct which is not limited to only the incarcerated individual and the specified visitor or visitors. Misconduct involving an attempt to introduce money, alcohol, marijuana, narcotic and other dangerous drugs, any item which is readily capable of being used to cause death or serious injury, or any item which may be used to aid in escape is misconduct which is not limited to only the incarcerated individual and the specified visitor or visitors;

(2) a loss of visiting privileges may be imposed under this subparagraph only for the length of time specified in departmental directive 4932; and

(3) the hearing officer may, within his or her discretion, limit an incarcerated individual to noncontact visiting in lieu of suspending all visiting privileges;

(b) restitution may be imposed for loss or intentional damage to property up to be made from an incarcerated individual’s existing and future funds;

(c) the imposition of one work task per day other than a regular work assignment for a maximum of seven days, excluding Sundays and public holidays, to be performed on the incarcerated individual's housing unit or other designated area. Incarcerated individuals given such disposition who are participating in a regular work assignment shall not be required to work more than eight hours per day. The eight-hour limitation excludes such non-work assignments as educational or vocational school programming;

(d) forfeiture of money confiscated as contraband; and

(e) where applicable, removal from the elected inmate grievance resolution committee (IGRC) and/or loss of the privilege of participating as a voting member of the IGRC for a specified period of time;

(iii) segregated confinement for a specified period; and

(iv) loss of a specified period of good behavior allowance (good time), subject to restoration upon substantial completion of the incarcerated individual’s rehabilitation plan.

(2) As soon as possible, but not later than 24 hours after the conclusion of the hearing, the incarcerated individual shall be given a written statement of the disposition of the charges. This statement shall set forth the evidence relied upon by the hearing officer in reaching his decision; the reasons for any penalties imposed; if applicable, pursuant to section 254.6(b) of this Part, how the incarcerated individual’s mental condition or intellectual capacity was considered; and, if applicable, pursuant to section 254.6(h) of this Part, how age affected this disposition.

(b) Mandatory disciplinary surcharge.

Upon the conclusion of a superintendent's hearing wherein the incarcerated individual admits the charges, or where the hearing officer affirms one or more charges, a mandatory disciplinary surcharge in accordance with departmental directive 4932 shall be assessed automatically against the incarcerated individual.

7 CRR-NY 254.8 Appeal procedures {#sec-7-crr-ny-254.8 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 254.8}

Any inmate shall have the right to appeal the disposition of any superintendent's hearing, to which he was a party, to the commissioner within 30 days of receipt of the disposition. The commissioner or his designee shall issue a decision within 60 days of receipt of the appeal. The commissioner or his designee may:

(a) affirm the hearing disposition;

(b) modify the hearing disposition by dismissing certain charge(s) and/or reducing the penalty imposed;

(c) reverse the hearing disposition; or

(d) reverse the hearing disposition and order a new hearing. Whenever a new hearing is ordered pursuant to this subdivision, the penalty imposed at the new hearing may not exceed the penalty imposed at the original hearing.

7 CRR-NY 254.9 Discretionary review by superintendent {#sec-7-crr-ny-254.9 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 254.9}

At any time during which a penalty imposed pursuant to a superintendent's hearing is in effect, the superintendent may reduce the penalty.

Part 255 MISCELLANEOUS PROVISIONS

7 CRR-NY 255.1 Time-cuts {#sec-7-crr-ny-255.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 255.1}

Incarcerated individuals serving a disciplinary sanction resulting in placement within segregated confinement or keeplock confinement shall be eligible for a reduction in sanction duration so long as the infraction does not involve the following disciplinary infractions: escape, possession of escape items, assault, forcible touching, weapons, fighting, rioting, possession of explosives, arson, an unhygienic act, commission of a sex offense or violent conduct. For purposes of this section, the term unhygienic act shall mean causing or attempting to cause another person to come into contact with saliva, blood, seminal fluid, urine, feces, or the contents of a toilet bowl, by throwing, tossing, or expelling such fluid or material:

(a) incarcerated individuals who receive segregated confinement sanctions less than 90 days, which are served in segregated confinement or a residential rehabilitation unit, in the absence of a subsequently issued tier II or III misbehavior report, shall earn a reduction of 7 days from the original sanction after serving 30 days of the sanction and an additional 7-day reduction after serving 60 days; and

(b) incarcerated individuals who receive segregated confinement sanctions of 90 days or more, which are served in segregated confinement or a residential rehabilitation unit, in the absence of a subsequently substantiated tier II or III misbehavior report, will be presumptively awarded a reduction of 25 percent of the original sanction after the individual has served one-half of their sanction. Nothing in this section shall restrict the superintendent of the facility at which the incarcerated individual resides from exceeding the reduction, up to and including release from segregated confinement;

(c) incarcerated individuals who receive keeplock confinement sanctions, in the absence of a subsequently substantiated tier II or III misbehavior report, will be presumptively awarded a reduction of 25 percent of the original sanction after the individual has served one-half of their sanction. Nothing in this section shall restrict the superintendent of the facility at which the incarcerated individual resides from exceeding the reduction, up to and including release from keeplock confinement. If it is necessary for a keeplock confinement sanction to be served in segregated confinement or a residential rehabilitation unit, service of the sanction will be credited at the rate of three days for every two days served.

7 CRR-NY 255.2 Release from units and suspension of sanctions {#sec-7-crr-ny-255.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 255.2}

Incarcerated individuals placed in a residential rehabilitation unit or a step-down unit shall be released to general confinement no later than the expiration of the sanction imposed or upon successful completion of a residential rehabilitation unit or step-down unit program, whichever is earlier, unless the individual agrees to continue until completion of the program. The remainder of the incarcerated individual's sanction, if any, will be suspended upon the incarcerated individual's release from the residential rehabilitation unit or step-down unit program. If the incarcerated individual does not engage in any sanctionable conduct during the duration of the suspended sanction, that disciplinary sanction will expire on the earlier of the sanction end-date or six months from the date of release to general confinement. Service of suspended penalties may be imposed as a sanction, based on an individualized assessment, only for serious misbehavior or for committing the same or similar violation as that leading to the suspended sanction.

7 CRR-NY 255.3 Progressive inmate movement system {#sec-7-crr-ny-255.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 255.3}

The Progressive Inmate Movement System (PIMS) is a uniform behavioral incentive program for all incarcerated individuals assigned to special housing units and residential rehabilitation units. PIMS provides these incarcerated individuals with the opportunity to earn progressive increases in privileges based upon their positive adjustment and behavior.

7 CRR-NY 255.4 Additional misbehavior {#sec-7-crr-ny-255.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 255.4}

If an individual housed in a special housing unit, residential rehabilitation unit or step-down unit engages in further misbehavior, staff assigned to the unit shall use de-escalation, conflict/dispute resolution, informational reports and/or withdrawal of incentives in the Progressive Inmate Movement System as the preferred methods of responding to misbehavior unless the department determines that non-disciplinary interventions have failed or shall be unsuccessful. Formal misbehavior reports shall only be used where the individual is accused of a serious offense, the alleged behavior demonstrates a threat to safety, or the individual has engaged in repeated disruptive behavior.

7 CRR-NY 255.5 Training {#sec-7-crr-ny-255.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 255.5}

All staff assigned to special housing units, residential rehabilitation units or step-down units shall receive specialized training in dealing with incarcerated individuals assigned to those units including interpersonal communications skills, de-escalation techniques, implicit bias, non-punitive therapeutic environment, trauma-informed care, and dispute resolution.

7 CRR-NY 255.6 Reporting {#sec-7-crr-ny-255.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 255.6}

The department shall conspicuously publish monthly reports on its website of the total number of incarcerated individuals who are in segregated confinement, the total number of incarcerated individuals who are in a residential rehabilitation unit, and the total number of incarcerated individuals in a step-down unit on the first day of each month. The department shall publish an annual cumulative report of the total number of incarcerated individuals who were in segregated confinement, the total number of incarcerated individuals who were in a residential rehabilitation unit and the total number of incarcerated individuals who were in a step-down unit for the preceding year. The annual report shall include the average length of stay in each of the units.

7 CRR-NY 255.7 Designation of units {#sec-7-crr-ny-255.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 255.7}

Whenever the department seeks to establish or designate a unit or housing location for the placement of an incarcerated individual following a disciplinary hearing or an administrative segregation proceeding, such unit shall either be a special housing unit, a residential mental health treatment unit, a residential rehabilitation unit, a step-down unit, a separate keeplock unit, or an I-ASAT unit as defined in this Title. The duration of the placement of the incarcerated individual into one of these units, and the conditions within each unit and the requirements for out-of-cell programming, treatment, services and exercise, shall be governed by the applicable provisions of this Title.

Part 256 ALTERNATIVE DISCIPLINARY RESOLUTION

7 CRR-NY 256.1 Alternative disciplinary resolution {#sec-7-crr-ny-256.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 256.1}

The department may institute an alternative disciplinary resolution (ADR) pilot program for incarcerated individuals who are awaiting a Tier II disciplinary hearing (Part 253 of this Title) or a Tier III superintendent's hearing (Part 254 of this Title) for non-serious offenses. Pursuant to the ADR program, an incarcerated individual shall have an opportunity to waive his or her right to a hearing and the appeal process in exchange for pleading guilty to one or more charges and/or penalties using the department's disciplinary sanction guidelines as referenced in section 270.2 of this Title. The potential offer shall be discussed with the incarcerated individual by a designated member of the facility executive team. If an agreement is reached, it shall become final and binding and documented in a written instrument. An incarcerated individual's participation in the program shall be voluntary and he or she can reject an offer and proceed to a hearing. The ADR offer, and the incarcerated individual's statements or admissions made in connection with the ADR process shall not be admissible at the hearing and no staff member involved in the ADR process shall be a participant in the hearing.

Subchapter B PROCEDURES FOR GRANTING GOOD BEHAVIOR ALLOWANCES

Part 260 GENERAL PROVISIONS

7 CRR-NY 260.1 Application of good behavior allowances {#sec-7-crr-ny-260.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 260.1}

(a) The opportunity to earn good behavior allowances offers inmates a tangible reward for positive efforts made during incarceration.

(b) For those inmates serving indeterminate sentences imposed for crimes committed prior to September 1, 1967, good behavior allowances shorten the amount of time to be served prior to parole consideration.

(c) For all inmates serving determinate or indeterminate sentences (other than life sentences) who are not granted parole or a reparole, but who nevertheless have performed well within the correctional facilities, good behavior allowances can be used to obtain release under supervision and to demonstrate prior to expiration of the term of the sentence that they can follow acceptable behavior patterns in the community as well as in a correctional facility.

7 CRR-NY 260.2 Nature of allowances {#sec-7-crr-ny-260.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 260.2}

Good behavior allowances are in the nature of a privilege to be earned by the inmate and no inmate has the right to demand or to require that any good behavior allowance be granted to him.

7 CRR-NY 260.3 Criteria for allowances {#sec-7-crr-ny-260.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 260.3}

(a) All recommendations and decisions must be made through completely impersonal, impartial and fair and reasonable evaluations.

(b) In evaluating the amount of allowance to be granted, the statutory criteria (i.e., good behavior, efficient and willing performance of duties assigned, progress and achievement in an assigned treatment program) shall be viewed in the light of the following factors:

(1) the attitude of the inmate;

(2) the capacity of the inmate; and

(3) the efforts made by the inmate within the limits of his capacity.

7 CRR-NY 260.4 Forfeitures and disallowances {#sec-7-crr-ny-260.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 260.4}

(a) An incarcerated individual shall not automatically forfeit or automatically be disallowed any good behavior allowance by reason of the fact that he or she has been confined after being found guilty at a superintendent’s hearing for committing a tier III offense. If such an individual receives a disciplinary sanction which includes a recommended loss of good time and is placed in a special housing unit, residential rehabilitation unit, or a step-down unit and successfully completes his or her rehabilitative programming, there shall be a presumption that any recommended loss of good time shall be restored subject to committee review and in accordance with the other provisions and requirements set forth in this Subchapter.

(b) A disposition involving loss of a specified period of good behavior allowance made in a superintendent's hearing under Part 254 of this Title shall be deemed to be tentative until such time as it actually affects consideration for parole or for conditional or other release, and shall then either be confirmed or be modified by the commissioner or his designee.

Part 261 TIME ALLOWANCE COMMITTEES

7 CRR-NY 261.1 Establishment of time allowance committees {#sec-7-crr-ny-261.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 261.1}

(a) There shall be in each correctional facility a committee to be known as the time allowance committee.

(b) Such committee shall consist of at least three members designated by the superintendent. The superintendent shall appoint one of the members as chairman. The members shall be selected from a list of at least eight employees preselected by the superintendent and filed with the deputy commissioner for correctional facilities. The list of names filed by the superintendent shall be deemed approved by the deputy commissioner for correctional facilities unless and until the deputy commissioner for correctional facilities removes an individual from the list in writing.

(c) Each such committee shall have a chairman designated by the superintendent from among the members and the chairman shall be responsible for the proper operation of the committee.

7 CRR-NY 261.2 Role of time allowance committees {#sec-7-crr-ny-261.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 261.2}

The purpose of the time allowance committee shall be to make recommendations as to the amount of good behavior allowance to be granted to inmates who are eligible to be considered for such allowance.

7 CRR-NY 261.3 Procedure of time allowance committees {#sec-7-crr-ny-261.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 261.3}

(a) For inmates entitled to be considered for good behavior allowances, the file of each such inmate shall be considered in the fourth month preceding the month of the earliest possible date he or she would be entitled to consideration for release if that date depends on the amount of good behavior allowance to be granted.

(b) The committee shall consider the entire file of the inmate, and then shall decide upon a recommendation as to the amount of good behavior allowance to be granted, applying the principles set forth in sections 260.3 and 260.4 of this Title. At such meetings, conducted in accordance with subdivision (a) of this section, any inmate who has had a recommended loss of good behavior allowance from a superintendent's hearing shall appear before the committee. The committee shall consider whether, and set forth its recommendation as to whether, the inmate's subsequent behavior merits restoration of all or part of the lost allowance and its reasons therefor.

(c) The committee shall not recommend the granting of the total allowance authorized by law or the withholding of any part of the allowance in accordance with any automatic rule, but shall appraise the entire institutional experience of the inmate and make its own determination.

(d) The committee shall promptly report the results of its deliberations in writing to the superintendent. Such report shall set forth its recommendation for the time to be allowed for the period under consideration and the reasons for the recommendation.

(e) All recommendations of the committee shall be pursuant to a decision of a majority of the members, but any member who disagrees shall note his recommendations and the reasons therefor on the report of the committee. Where a majority of the members are unable to agree upon a recommendation, the chairman shall report such fact and each member shall report his recommendation and his reasons in the report made by the chairman.

(f) Where the time allowance committee has recommended an allowance which will extend the period of incarceration beyond the earliest or any previously established release date, the inmate may be scheduled to reappear before another time allowance committee in accordance with the direction of the commissioner, superintendent or committee chairperson.

7 CRR-NY 261.4 Time allowance hearing {#sec-7-crr-ny-261.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 261.4}

(a) Where the committee has determined that there may be sufficient reason present after a review of the file not to recommend the granting of the total allowance authorized, other than time lost as the result of a superintendent's hearing, or upon direction of the superintendent pursuant to section 263.2(b) of this Title, the committee shall schedule a time allowance committee hearing to be held for the purpose of determining if sufficient reason is present not to recommend the granting of the total allowance authorized and to determine the amount of time to be recommended for allowance and the reasons for the recommendation.

(b) At least 48 hours prior to the time allowance hearing and for the purposes stated in subdivision (a) of this section, the chairman shall designate an employee to file and deliver to the inmate a formal notice of such hearing. The formal notice shall contain a written specification of the particulars that caused the time allowance committee to believe that there may be sufficient reason not to grant the total allowance authorized.

(c) The chairman of the time allowance committee shall designate an employee to furnish assistance to the inmate. Such employee shall be of the inmate's choice selected from a list established by the superintendent or any other employee upon approval of the superintendent.

(d) Such employee shall explain the nature of the hearing and the particulars specified in the formal notice. He also shall ask the inmate whether there is any factual matter that can be presented in his behalf and he shall investigate any reasonable factual claim that the inmate may make.

(e) A written report of the action taken and the results of the investigation, if any, including documentary evidence and witness statements shall be delivered to the chairman of the time allowance committee prior to the commencement of the special meeting.

(f) The time allowance committee shall reconsider the entire file of the inmate, shall interview the inmate, shall consider any factual matter brought to its attention by the inmate or the person designated to provide assistance to the inmate, and may in the committee's discretion interview any person who may have information relevant to the hearing.

(g) The time allowance committee shall advise the inmate of any factual circumstances that appear to support a determination not to recommend the granting of the total time allowance authorized, and shall afford him the opportunity to comment thereon and to make any statement he may care to submit in respect to his time allowance.

(h) Where the time allowance committee is satisfied, after hearing the inmate, that the record of the proceeding contains substantial evidence in support of a determination not to grant the total allowance authorized, they shall set the amount of time they will recommend to be withheld and shall so advise the superintendent as provided for in section 261.3(d) of this Part.

(i) In any case where the time committee is not satisfied, after considering all available evidence, that the record of the proceeding contained substantial evidence to support the determination not to grant the total allowance authorized, they shall recommend the granting of a total allowance authorized and shall so advise the superintendent as provided for in section 261.3(d) of this Part.

(j) A written report, including a statement of the reasons for the recommendation, shall be provided to the inmate following review by the superintendent and by the commissioner or his designee.

Part 262 GRANTING OF TIME ALLOWANCES

7 CRR-NY 262.1 Procedure for granting good behavior allowances {#sec-7-crr-ny-262.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 262.1}

(a) After consideration of the file by the committee, and after fulfilling any other requirements set forth in this Subchapter, the committee shall make a recommendation to the superintendent as to the amount of good behavior allowance to be accorded to the inmate.

(b) The superintendent shall promptly review the report of the committee and shall endorse any comments he may deem appropriate thereon and immediately forward the report of the committee and his comments, if any, to the commissioner or his designee.

(c) The commissioner or his designee will then transmit to the superintendent an order either confirming or modifying the amount of time to be granted or, remand the matter back to the committee for reevaluation and a hearing in accordance with section 261.4 of this Title.

(d) The time allowance specified in the final order of the commissioner or his designee shall be the good behavior allowance to be granted to the inmate. The grant of the good behavior allowance shall be contingent on the inmate's continued good behavior, efficient and willing performance of duties assigned, and progress and achievement in an assigned treatment program. The inmate shall be given a copy of this determination promptly.

7 CRR-NY 262.2 to 262.3 to 262.3 [Repealed] {#sec-7-crr-ny-262.2-to-262.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 262.2 to 262.3}

Part 263 STAY OF GOOD BEHAVIOR ALLOWANCE

7 CRR-NY 263.1 Stay of good behavior allowance {#sec-7-crr-ny-263.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 263.1}

Between the time a decision has been made with respect to good behavior allowance and the time that an inmate would be eligible for parole consideration or for conditional or other release, the award of any good behavior allowance that has been granted shall be stayed and such allowance shall be suspended as provided by section 263.2 of this Part.

7 CRR-NY 263.2 Procedure for stay of good behavior allowance {#sec-7-crr-ny-263.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 263.2}

(a) Superintendent's hearing

(1) The decision directing that a misbehavior report be heard in a superintendent's hearing against an inmate shall stay the award of any good behavior allowance that has been granted such inmate, and such allowance shall be suspended and of no force and effect until a final decision has been made in the superintendent's hearing.

(2) At the conclusion of the hearing, if the disposition does not involve loss of good behavior allowance, the allowance previously granted shall be reinstated.

(3) Where the disposition does involve loss of good behavior allowance, and the inmate has an approved conditional release date earlier than his or her maximum expiration date, the disposition shall automatically be reviewed by the commissioner or his designee.

(4) If the hearing decision is affirmed, the recommended loss of good behavior allowance shall be applied to the inmate's conditional release date. Any modification or other decision rendered by the commissioner or his designee shall be applied as specified in such decision. The inmate shall be given a copy of this determination promptly.

(b) Disregard for statutory criteria.

(1) If an inmate who has been granted a good behavior allowance subsequently acts in disregard of the statutory criteria for good behavior allowances (i.e., good behavior, efficient and willing performance of duties assigned, and progress and achievement in an assigned treatment program), the superintendent may direct the time allowance committee to conduct a hearing in accordance with section 261.4 of this Title to reconsider the amount of good time to be granted.

(2) The provisions of this Part and Part 262 of this Title shall apply after any hearing conducted pursuant to this subdivision.

Subchapter C STANDARDS OF INMATE BEHAVIOR IN ALL FACILITIES

Part 270 STANDARDS OF INMATE BEHAVIOR—BEHAVIOR PROHIBITED IN ALL FACILITIES AND THE CLASSIFICATION OF EACH INFRACTION

7 CRR-NY 270.1 [Expired] {#sec-7-crr-ny-270.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 270.1}

7 CRR-NY 270.2 Standards of incarcerated individual behavior {#sec-7-crr-ny-270.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 270.2}

The following is a list of prohibited behavior in all correctional facilities. Violation of any of the rules will result in appropriate disciplinary action.

A. PENAL LAW OFFENSES

| | | Tier | | --- | --- | --- | | Rule 1.00 | Any Penal Law offense may be referred to law enforcement agencies for prosecution through the courts. In addition, departmental sanctions may be imposed based upon a criminal conviction. | II, III |

Note:

This rule does not preclude an incarcerated individual from being disciplined at any time for any violation of the following rules of conduct based upon the same incident.

B. INSTITUTIONAL RULES OF CONDUCT

| 1. Rule Series 100 Assault and Fighting. | Tier | | | | --- | --- | --- | --- | | i. | 100.10 | An incarcerated individual shall not assault or inflict or attempt to inflict bodily harm upon any other incarcerated individual. | II, III | | ii. | 100.11 | An incarcerated individual shall not assault or inflict or attempt to inflict bodily upon any staff member. | II, III | | iii. | 100.12 | An incarcerated individual shall not assault or inflict or attempt to inflict bodily harm upon any person not included in rules 100.10 and 100.11. | II, III | | iv. | 100.13 | An incarcerated individual shall not engage in fighting. | I, II, III | | v. | 100.14 | An incarcerated individual shall not practice or instruct others in martial arts (aikido, judo, karate, juijitsu, kung fu, t'ai chi ch'uan, etc.) | I, II | | vi. | 100.15 | An incarcerated individual shall not engage in unauthorized sparring, wrestling, body-punching, or other forms of disorderly conduct. | I, II |

| 2. Rule Series 101 Sex Offenses. | Tier | | | | --- | --- | --- | --- | | i. | 101.10 | An incarcerated individual shall not engage in or encourage, solicit or attempt to force another to engage in sexual acts. | I, II, III | | ii. | 101.11 | An incarcerated individual shall not intentionally and forcibly touch the sexual or other intimate parts of an employee for the purpose of degrading or abusing such employee or for the purpose of gratifying the incarcerated individual's sexual desire. Forcible touching includes squeezing, grabbing, pinching and kissing. | I, II, III | | iii. | 101.20 | An incarcerated individual shall not engage in lewd conduct by intentionally masturbating in the presence of an employee, or intentionally exposing the private parts of his or her body unless as part of a strip frisk, strip search, medical examination or other authorized purpose. | I, II, III | | iv. | 101.21 | An incarcerated individual shall not engage in physical contact with another incarcerated individual. Prohibited conduct includes, but is not limited to, kissing, embracing or hand-holding. | I, II | | v. | 101.22 | An incarcerated individual shall not stalk an employee, visitor or other person. Stalking includes, but is not limited to, conduct directed at a specific employee, visitor or other person where the incarcerated individual knows, or reasonably should know, that such conduct is likely to cause reasonable fear of material harm to the physical health, safety or property of such person. | I, II, III |

| 3. Rule Series 102 Threats. | Tier | | | | --- | --- | --- | --- | | i. | 102.10 | An incarcerated individual shall not, under any circumstances make any threat, spoken, in writing, or by gesture. | I, II, III |

| 4. Rule Series 103 Bribery and Extortion. | Tier | | | | --- | --- | --- | --- | | i. | 103.10 | An incarcerated individual shall not bribe or extort or attempt to bribe or extort any person. | I, II, III | | ii. | 103.20 | An incarcerated individual shall not request or solicit goods or services from any business or any person other than an immediate family member without the consent and approval of the facility superintendent or designee. | I, II |

| 5. Rule Series 104 Riot, Disturbances and Demonstrations. | Tier | | | | --- | --- | --- | --- | | i. | 104.10 | An incarcerated individual shall not conspire or take any action which is intended to or results in the takeover of any area of the facility. | II, III | | ii. | 104.11 | An incarcerated individual shall not engage in any violent conduct or conduct involving the threat of violence either individually or in a group. | II, III | | iii. | 104.12 | An incarcerated individual shall not lead, organize, participate, or urge other incarcerated individuals to participate, in a work-stoppage, sit-in, lock-in, or other actions which may be detrimental to the order of facility. | II, III | | iv. | 104.13 | An incarcerated individual shall not engage in conduct which disturbs the order of any part of the facility. This includes, but is not limited to, loud talking in a mess hall, program area or corridor, talking after the designated facility quiet time, playing a radio, television or tape player without a headphone or through a headphone in a loud or improper manner, or playing a musical instrument in a loud or improper manner. | I, II |

| 6. Rule Series 105 Unauthorized Assembly or Activity. | Tier | | | | --- | --- | --- | --- | | i. | 105.10 | An incarcerated individual shall not form a group of incarcerated individuals or join an assembly of incarcerated individuals without authorization. The size of the group is determined by local policy. | I, II | | ii. | 105.11 | An incarcerated individual shall not conduct a religious service or make a speech or address without authorization by the superintendent or designee. | I, II | | iii. | 105.12 | [Reserved] | | | iv. | 105.13 | An incarcerated individual shall not engage in or encourage others in gang activities or meetings, or display, wear, possess, distribute or use gang insignia or materials including, but not limited to, printed or handwritten gang or gang related material. | I, II, III | | | | Note: For purposes of this rule, a gang is a group of individuals, having a common identifying name, sign, symbol or colors, who have individually or collectively engaged in a pattern of lawlessness (e.g., violence, property destruction, threats of harm, intimidation, extortion, or drug smuggling) in one or more correctional facilities or that are generally recognized as having engaged in a pattern of lawlessness in the community as a whole. For purposes of this rule, printed or handwritten gang or gang related material is written material that, if observed in the incarcerated individual's possession, could result in an inference being drawn about the incarcerated individual's gang affiliation, but excludes published material that the incarcerated individual has obtained through the facility library or that has been approved for the incarcerated individual to possess through the media review process. | | | v. | 105.14 | An incarcerated individual shall not engage in or encourage others to engage in unauthorized organizational activities or meetings, or possess printed or handwritten material relating to an unauthorized organization where such material advocates either expressly or by clear implication, violence based upon race, religion, sex, sexual orientation, creed, law enforcement status or violence or acts of disobedience against department employees or that could facilities organizational activity within the institution by an unauthorized organization. | I, II, III | | | | Note: For purposes of this rule, an unauthorized organization is any organization which has not been approved by the deputy commissioner for program services. Printed or handwritten material that could facilitate organizational activity includes, but is not limited to, a membership roster, organizational chart, constitution or bylaws. This rule excludes possession of published material that the incarcerated individual has obtained through the facility library or that has been approved for the incarcerated individual to possess through the media review process. During the pendency of an application to obtain authorization for a proposed incarcerated individual organization, the rule also excludes specific printed or handwritten material that the Deputy Superintendent for Programs or higher ranking employee has requested in writing that the incarcerated individual submit as part of the application process. | |

| 7. Rule Series 106 Refusal to Obey a Direct Order. | Tier | | | | --- | --- | --- | --- | | i. | 106.10 | AN INCARCERATED INDIVIDUAL SHALL OBEY ALL ORDERS OF DEPARTMENT PERSONNEL PROMPTLY AND WITHOUT ARGUMENT. | I, II | | ii. | 106.11 | An incarcerated individual shall promptly obey an order by department personnel to provide a DNA sample | I, II |

| 8. Rule Series 107 Interference with an Employee or Other Person. | Tier | | | | --- | --- | --- | --- | | i. | 107.10 | An incarcerated individual shall not physically or verbally obstruct or interfere with an employee at any time. | I, II, III | | ii. | 107.11 | An incarcerated individual shall not harass an employee or any other person verbally or in writing. Prohibited conduct includes, but is not limited to, using insolent, abusive, or obscene language or gestures, or writing or otherwise communicating messages of a personal nature to an employee or any other person including a person subject of an order of protection with the incarcerated individual or who is on the incarcerated individual's negative correspondence list. | I, II | | iii. | 107.20 | An incarcerated individual shall not lie or provide an incomplete, misleading and/or false statement or information. | I, II | | iv. | 107.21 | An incarcerated individual shall not file or record any document or instrument of any description which purports to create a lien or record a security interest of any kind against the person or property of any officer or employee of the department, the State of New York or the United States absent prior written authorization from the superintendent or a court order authorizing such filing. | I, II |

| 9. Rule Series 108 Escape and Abscondence. | Tier | | | | --- | --- | --- | --- | | i. | 108.10 | An incarcerated individual shall not escape, attempt to escape, conspire to, or be an accessory to an escape from any correctional facility or correctional custody. | III | | ii. | 108.11 | An incarcerated individual shall not exceed the authorized limits of travel on any work release or furlough-type program. | I, II | | iii. | 108.12 | An incarcerated individual shall not exceed any time limit imposed on any work release or furlough-type program. | I, II | | iv. | 108.13 | An incarcerated individual shall not be in possession of any article or paraphernalia which gives reasonable grounds to believe escape is planned. | II, III | | v. | 108.14 | An incarcerated individual shall comply with temporary release programming rules and regulations. | I, II | | vi. | 108.15 | An incarcerated individual shall not abscond, attempt to abscond, conspire to abscond, or be an accessory to an abscondence from temporary release from a correctional facility or correctional custody. An incarcerated individual is guilty of absconding when, as a temporary release participant, he or she intentionally fails to return at or before the time prescribed for return. | II, III |

| 10. Rule Series 109 Incarcerated Individual Movement. | Tier | | | | --- | --- | --- | --- | | i. | 109.10 | An incarcerated individual shall not be out of place in any area of the facility. | I, II | | ii. | 109.11 | An incarcerated individual shall not leave an assigned area without authorization. | I, II | | iii. | 109.12 | An incarcerated individual shall follow all facility regulations and staff directions relating to movement within the facility. This includes, but is not limited to, seating, lock-in, lock-out, call slip procedures, and all activities of a similar nature. | I, II | | iv. | 109.13 | An incarcerated individual who is on an outside work assignment, such as a community service project or outside ground detail, shall not leave his or her assigned area or communicate with members of the public without authorization. | I, II | | v. | 109.14 | An incarcerated individual shall wear religious robes and garments at scheduled and approved religious ceremonies or services only. | I, II | | vi. | 109.15 | An incarcerated individual shall accept double-cell assignments when such an assignment is directed by facility staff. | I, II |

| 11. Rule Series 110 Incarcerated Individual Identification and Grooming. | Tier | | | | --- | --- | --- | --- | | i. | 110.10 | Unless otherwise directed, an incarcerated individual shall at all times carry his or her departmental ID card and promptly produce the ID at the direction of any departmental employee. | I, II | | ii. | 110.20 | An incarcerated individual shall not alter, deface, or in any other way tamper with the issued ID card. Whenever replacement is required, as a result of this action, the replacement cost will be borne by the incarcerated individual. Refusal to voluntarily pay for replacement cost may result in restitution being imposed through the disciplinary process. | I, II | | iii. | 110.21 | An incarcerated individual shall not be in possession of any type of an identification card or identification paper other than those authorized. | I, II | | iv. | 110.30 | An incarcerated individual shall report the loss of his or her ID card promptly to an employee. Reimbursement costs may be imposed. | I, II | | v. | 110.31 | An incarcerated individual shall pay the cost of a replacement ID card whenever the incarcerated individual's appearance is changed as a result of a beard, mustache, or change in hair length or color. Refusal to voluntarily pay for replacement cost may result in restitution being imposed through the disciplinary process. | I, II |

| 12. Rule Series 111 Impersonation. | Tier | | | | --- | --- | --- | --- | | i. | 111.10 | An incarcerated individual shall not impersonate any employee or any other person in any manner. | II, III | | ii. | 111.11 | An incarcerated individual shall not be in possession of any security key, badge, employee identification or employee clothing. | II, III |

| 13. Rule Series 112 Count Procedures. | Tier | | | | --- | --- | --- | --- | | i. | 112.10 | An incarcerated individual shall not cause a miscount. | I, II, III | | ii. | 112.20 | An incarcerated individual shall not delay the count. | I, II | | iii. | 112.21 | An incarcerated individual shall comply with all facility count procedures. | I, II | | iv. | 112.22 | An incarcerated individual shall not obstruct visibility into his or her cell, room or cube. | I, II |

| 14. Rule Series 113 Contraband. | Tier | | | | --- | --- | --- | --- | | i. | 113.10 | An incarcerated individual shall not make, possess, sell or exchange any item that may be classified as a weapon or dangerous instrument by description, use or appearance. A dangerous instrument is any instrument, article or substance which, under the circumstances in which it is used, attempted to be used or threatened to be used, is readily capable of causing bodily harm. | II, III | | ii. | 113.11 | An incarcerated individual shall not possess any authorized item that has been altered in any manner so as to change its original intent and/or purpose. | I, II | | iv. | 113.14 | An incarcerated individual shall not possess outdated or unauthorized types or quantities of medication, nor shall an incarcerated individual sell, exchange or provide any medication to anyone. | I, II | | v. | 113.15 | An incarcerated individual shall not purchase, sell, loan, give or exchange a personally owned article without authorization. | I, II | | vi. | 113.16 | An incarcerated individual shall not be in possession of stamps in excess of $22.50 in value, money, credit card, credit card numbers, check or unauthorized valuable or property. | I, II | | vii. | 113.17 | An incarcerated individual shall not be in possession of jewelry other than that which is authorized by the facility. | I, II | | viii. | 113.18 | An incarcerated individual shall not be in possession of a tool without authorization. | I, II, III | | ix. | 113.19 | An incarcerated individual shall not possess tobacco products in excess of an amount authorized by the facility. An incarcerated individual may not have more than two packages of cigarettes on his or her person other than for transporting tobacco products from the commissary or package room to the housing unit for storage. | I, II | | x. | 113.20 | An incarcerated individual shall not possess State clothing or bedding in excess of authorized issue. The altering of State-issued clothing or bedding is prohibited. An incarcerated individual shall be required to pay for State clothing or bedding that has been altered without authorization. | I, II | | xi. | 113.21 | An incarcerated individual shall not possess literature or any other material which has been disapproved by the Media Review Committee. | I, II | | xii. | 113.22 | An incarcerated individual shall not use or possess an article in an area where its use or possession if prohibited. | I, II | | xiii. | 113.23 | In addition to those items of contraband specifically identified by this rule series, an incarcerated individual shall not possess any item unless it has been specifically authorized by the superintendent or designee, the rules of the department or the local rules of the facility. | I, II, III | | xiv. | 113.24 | An incarcerated individual shall not use or be under the influence of any narcotics or controlled substances unless prescribed by a health service provider and then only in the amount prescribed. Note: For purposes of this rule, a controlled substance is any substance listed in section 3306 of the Public Health Law; section 812 of title 21 of the United States Code; sections 1308.11 through 1308.15 of title 21 of the Code of Federal Regulations; or section 9.1 of Title 10 NYCRR. | I, II | | xvi. | 113.26 | An incarcerated individual shall not, without written authorization of the superintendent, solicit, possess or exchange personal identifying information (e.g. social security number, home address, private e-mail address or home telephone number) belonging to a person who is a present or former employee of the department or presently or formerly employed in a department facility, or to any member of the person's household, unless the incarcerated individual is an immediate family member of such person. | II, III | | xvii. | 113.27 | An incarcerated individual shall not solicit, possess or exchange any disciplinary or grievance document pertaining to another incarcerated individual, or any document which contains crime and sentence information pertaining to another incarcerated individual who is not a codefendant, without authorization from the superintendent. | I, II | | xviii. | 113.28 | An incarcerated individual shall not possess any description or depiction of any correctional facility; any facility post a description, staffing chart or related document; any Directive with a distribution code of "D" or any corresponding topical manual or facility policy and procedure. | II, III | | xix. | 113.29 | An incarcerated individual shall not possess poppy seeds or any product containing poppy seeds. | I, II | | xx. | 113.30 | An incarcerated individual shall not possess any Uniform Commercial Code (UCC) article 9 form, including but not limited to any financing statement (UCC1, UCC1Ad, UCC1AP, UCC3, UCC3Ad, UCC3AP, UCC1CAd), correction statement (UCC5) or information request (UCC11), whether printed, copied, typed or hand written, or any document concerning a scheme involving an incarcerated individual's “strawmen,” “House Joint Resolution 192 of 1933,” the “Redemptive Process,” “Acceptance for Value” presentments or document indicating copyright or attempted copyright of an incarcerated individual's name absent prior written authorization from the superintendent. | I, II | | xxi. | 113.31 | An incarcerated individual shall not use, possess or be under the influence of any alcoholic beverage or intoxicant, yeast, or any other fermenting agent. | I, II | | xxii. | 113.32 | An incarcerated individual shall not make, sell, or exchange any alcoholic beverage or intoxicant. Sale or exchange of yeast or any other fermenting agent is prohibited. An incarcerated individual shall not conspire with any person to introduce such items into the facility. | I, II, III | | xxiii. | 113.33 | An incarcerated individual shall not make, possess, sell or exchange any narcotic, narcotic paraphernalia, controlled substance or marijuana. | I, II, III | | xxiv. | 113.34 | An incarcerated individual shall not conspire with any person to introduce any narcotic, narcotic paraphernalia, controlled substance or marijuana into the facility. | I, II, III |

| 15. Rule Series 114 Smuggling. | Tier | | | | --- | --- | --- | --- | | i. | 114.10 | An incarcerated individual shall not smuggle or attempt to smuggle or solicit others to smuggle any item in or out of the facility or from one area to another. | I, II, III |

| 16. Rule Series 115 Searches and Frisks. | Tier | | | | --- | --- | --- | --- | | i. | 115.10 | An incarcerated individual shall comply with all frisk and search procedures. | I, II |

| 17. Rule Series 116 Destruction of, Tampering with, and Theft of Property. | Tier | | | | --- | --- | --- | --- | | i. | 116.10 | An incarcerated individual shall not lose, destroy, steal, misuse, damage or waste any type of State property. | I, II | | ii. | 116.11 | An incarcerated individual shall not alter, tamper with or attempt to repair any type of State or personal property without authorization. | I, II | | iii. | 116.12 | An incarcerated individual shall not alter, forge or counterfeit any document. An incarcerated individual shall not distribute or be in possession of any departmental document without authorization. | I, II | | iv. | 116.13 | An incarcerated individual shall not steal, destroy or intentionally damage any property belonging to others or possess any stolen property. | I, II |

| 18. Rule Series 117 Explosion or Explosive Devices. | Tier | | | | --- | --- | --- | --- | | i. | 117.10 | An incarcerated individual shall not cause or attempt to cause an explosion. The possession of an explosive device, material that can be used to make an explosive device, or material which depicts or describes the construction or use of an explosive device, is prohibited. | II, III |

| 19. Rule Series 118 Creating a Fire, Health or Safety Hazard. | Tier | | | | --- | --- | --- | --- | | i. | 118.10 | An incarcerated individual shall not start or attempt to start a fire unless directed to do so by facility staff. | II, III | | ii. | 118.20 | An incarcerated individual shall not tattoo or otherwise permanently mark his or her or another's body, or allow his or her body to be tattooed or permanently marked by another. An incarcerated individual shall not be in possession of an instrument or device used for the purpose of making tattoos. | I, II | | iii. | 118.21 | An incarcerated individual shall not create a fire, health or safety hazard in any area of the facility by improperly storing or using flammable materials or other property, in his or her living quarters or any other area of the facility. | I, II | | iv. | 118.22 | An incarcerated individual shall not commit an unhygienic act such as spitting, urinating or defecating on the floor or any other area; propelling urine, feces, bodily fluids, water, or food; or storing urine, feces or bodily fluids. | I, II, III | | v. | 118.23 | An incarcerated individual shall promptly report illness or injury to a facility employee. | I, II | | vi. | 118.24 | An incarcerated individual shall follow posted safety regulations. | I, II | | viii. | 118.30 | An incarcerated individual shall maintain the cleanliness and orderliness of his her living quarters, clothing and person. | I, II | | ix. | 118.31 | An incarcerated individual shall not alter, rewire, tamper or attempt to repair electrical outlets or any electrical device. | I, II | | x. | 118.32 | An incarcerated individual shall participate in a fire drill or fire alarm in a prompt and orderly fashion. | I, II | | xi. | 118.33 | An incarcerated individual shall not intentionally cause flooding in his or her housing area or other part of the facility. | I, II |

| 20. Rule Series 119 False Alarms. | Tier | | | | --- | --- | --- | --- | | i. | 119.10 | An incarcerated individual shall not make a false report of a fire, emergency, disturbance or other threat to the safety of a facility. | II, III | | ii. | 119.11 | An incarcerated individual shall not tamper with any fire or extinguishing device unless authorized by a facility staff member. | I, II, III |

| 21. Rule Series 120 Gambling. | Tier | | | | --- | --- | --- | --- | | i. | 120.20 | An incarcerated individual shall not engage in any form of gambling, betting or wagering, or be in possession of gambling paraphernalia. | I, II |

| 22. Rule Series 121 Abuse of Telephone Privileges. | Tier | | | | --- | --- | --- | --- | | i. | 121.10 | An incarcerated individual shall not communicate by telephone with any department employee without the authorization of the superintendent or designee. | I, II | | ii. | 121.11 | An incarcerated individual shall not engage in a telephone call to a telephone number which has been connected through call-forwarding or a call-forwarding service. Telephone calls and telephone conversations shall be restricted to the telephone number dialed or otherwise placed by or for the incarcerated individual. Telephone call-forwarding, the use of a call forwarding service or other third-party phone call function, and the use of a credit card to place a call are prohibited. | I, II | | iii. | 121.12 | An incarcerated individual shall comply with and follow the guidelines and instructions given by the staff regarding facility telephone programs pursuant to the requirements of departmental Directive No. 4423 (7 NYCRR Part 723). | I, II | | iv. | 121.13 | An incarcerated individual shall not use facility telephones without the authorization of facility staff. An incarcerated individual in an outside work gang or other type of supervised community project shall not use and outside telephone without the authorization of facility staff. | I, II | | v. | 121.14 | An incarcerated individual shall not exchange a personal identification number (PIN), or use the PIN of another incarcerated individual. | I, II |

| 23. Rule Series 122 Smoking. | Tier | | | | --- | --- | --- | --- | | i. | 122.10 | An incarcerated individual may only smoke outdoors in designated areas. | I, II |

| 25. Rule Series 124 Mess Hall or Dining Areas. | Tier | | | | --- | --- | --- | --- | | iii. | 124.12 | An incarcerated individual shall take all silverware or plasticware offered on the mess hall line and dispose of such items in accordance with facility policy. | I, II | | iv. | 124.13 | An incarcerated individual shall attend all mandatory meals as designated by facility policy. | I, II |

| 26. Rule Series 180 Miscellaneous Rules and Regulations. | Tier | | | | --- | --- | --- | --- | | i. | 180.10 | An incarcerated individual shall comply with and follow the guidelines and instructions given by staff regarding facility visiting procedures pursuant to the requirements of departmental Directive No. 4403 (7 NYCRR Part 200). | I, II | | ii. | 180.11 | An incarcerated individual shall comply with and follow the guidelines and instructions given by staff regarding facility correspondence procedures pursuant to requirements of departmental Directive Nos. 4422 and 4421 (7 NYCRR Parts 720 and 721). | I, II | | iii. | 180.12 | An incarcerated individual shall comply with and follow the guidelines and instructions given by staff regarding facility package procedures pursuant to the requirements of departmental Directive No. 4911 (7 NYCRR Part 724). | I, II | | iv. | 180.13 | An incarcerated individual shall comply with and follow the guidelines and instructions given by staff regarding Family Reunion Program pursuant to the requirements of departmental Directive No. 4500 (7 NYCRR Part 220). | I, II | | v. | 180.14 | An incarcerated individual shall comply with and follow the guidelines and instructions given by staff regarding urinalysis testing pursuant to the requirements of departmental Directive No. 4937 (7 NYCRR Part 1020). This includes providing a urine sample when ordered to do so. | I, II | | vii. | 180.17 | An incarcerated individual may not provide legal assistance to another incarcerated individual without prior approval of the superintendent or designee. An incarcerated individual shall not receive any form of compensation for providing legal assistance. | I, II | | viii. | 180.18 | An incarcerated individual shall accept a program assignment in accordance with established facility program committee procedures. | I, II | | ix. | 180.19 | An incarcerated individual shall comply with and follow the guidelines and instructions given by staff regarding alcohol screening tests. This includes providing a urine sample or taking a field test when ordered to do so. | I, II |

| 27. Rule Series 181 Disciplinary Hearings. | Tier | | | | --- | --- | --- | --- | | i. | 181.10 | An incarcerated individual shall comply with the dispositions imposed by a hearing officer in a Tier I, Tier II and Tier III hearings. | I, II |

In order to promote progressive discipline, the department shall establish disciplinary sanction guidelines which may include sanction ranges for certain charges based upon the level of seriousness of the offense. Disaggregation will not result in additional numbered charges under the department’s disciplinary rules, and previous offenses relating to the same numbered charge, regardless of disaggregation, will be considered “prior charges” for the purpose of determining whether a particular violation is a “first”, “second”, or “third” offense.

7 CRR-NY 270.3 Tiers of disciplinary hearings {#sec-7-crr-ny-270.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 270.3}

(a) The following tiers of disciplinary hearings serve the purpose of determining allegations of rule violations contained in misbehavior reports:

(1) Tier I - violation hearing; provided for in Part 252 of this Title;

(2) Tier II - disciplinary hearing; provided for in Part 253 of this Title; and

(3) Tier III - superintendent's hearing; provided for in Part 254 of this Title.

The facility review officer shall review the misbehavior report to consider the seriousness of the alleged violations and refer the report to the lowest appropriate disciplinary body (tier level) for action.

(b) Incarcerated individuals involved in attempts or conspiracies to violate institutional rules of conduct, or as accessories to rule violations will be punishable to the same degree as violators of such rules. Incarcerated individuals may be cited for attempts, conspiracies or as accessories whether or not the text of an actual rule contains such terms. These terms have the following meanings:

(1) Attempt. Any act which constitutes a step in a course of conduct which would result in an act of misbehavior.

(2) Conspiracy. Agreement with one or more persons to engage in an act of misbehavior.

(3) Accessory. Providing assistance in any manner prior to, during or after a person commits an act of misbehavior.

7 CRR-NY 270.4 [Repealed] {#sec-7-crr-ny-270.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 270.4}

7 CRR-NY 270.5 [Repealed] {#sec-7-crr-ny-270.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 270.5}

7 CRR-NY 270.6 [Repealed] {#sec-7-crr-ny-270.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 270.6}

Subchapter D MERIT TIME

Part 280 PROCEDURES FOR GRANTING MERIT TIME

7 CRR-NY 280.1 Purpose {#sec-7-crr-ny-280.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 280.1}

Inmates serving sentences for certain nonviolent crimes may receive merit time allowances against their sentences provided they have achieved certain significant programmatic objectives, have not committed any serious disciplinary infractions and have not filed any frivolous lawsuits. In the case of an indeterminate sentence, the merit eligibility date is the parole eligibility date minus the merit time allowance as outlined in section 280.3 of this Part. In the case of a determinate sentence, the merit eligibility date is five-sevenths of the imposed term, as outlined in section 280.3 of this Part. When granted, merit time allowances enable inmates to appear before the Board of Parole for possible release on parole on their merit eligibility dates. A merit time allowance is a privilege to be earned by the inmate and no inmate has the right to demand or require that any such allowance be granted. This Subchapter sets forth the policy and procedures for granting and withholding merit time allowances.

7 CRR-NY 280.2 Eligibility {#sec-7-crr-ny-280.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 280.2}

An inmate must satisfy all criteria set forth in subdivisions (a) through (d) of this section to be eligible for merit time consideration.

(a) Crime, sentence and commitment criteria.

(1) An inmate cannot be presently serving a sentence for an A-1 felony other than an A-1 felony defined in article 220 of the Penal Law or a violent felony offense (this will include any sentence for a violent felony offense which has been imposed by another state).

(2) An inmate cannot be presently serving a sentence for any of the following or any attempt thereof:

(i) manslaughter in the second degree;

(ii) vehicular manslaughter in the first or second degree;

(iii) criminally negligent homicide;

(iv) incest;

(v) any offense defined in article 130 of the Penal Law (sex offenses);

(vi) any offense defined in article 263 of the Penal Law (use of a child in a sex performance); or

(vii) aggravated harassment of an employee by an inmate.

(3) An inmate cannot be presently serving an indeterminate sentence of imprisonment authorized for an A-1 felony other than an A-1 felony defined in article 220 of the Penal Law.

(4) An inmate must be serving a sentence of one year or more.

(b) Disciplinary record criteria.

An inmate must not commit any serious disciplinary infraction. A serious disciplinary infraction shall be identified as behavior which results in criminal or disciplinary sanctions as follows:

(1) any conviction for a State or Federal crime that was committed after the inmate was committed to the Department of Correctional Services;

(2) a finding under Part 253 or 254 of this Title of violation of any of the following rules as described in section 270.2 of this Title:

(i) 1.00 – Penal Law offenses;

(ii) 100.10 – assault on inmate;

(iii) 100.11 – assault on staff;

(iv) 100.12 – assault on other;

(v) 101.10 – sex offense;

(vi) 101.20 – lewd exposure;

(vii) 104.10 – rioting;

(viii) 105.12 – unauthorized organization;

(ix) 108.10 – escape;

(x) 108.15 – abscondance;

(xi) 113.10 – weapon;

(xii) 113.13 – alcohol;

(xiii) 113.24 – drug use;

(xiv) 113.25 – drug possession;

(xv) 117.10 – explosives;

(xvi) 118.10 – arson;

(xvii) 118.22 – unhygienic act (under Part 254 of this Title only);

(xviii) 180.14 – urinalysis violation;

(3) receipt of disciplinary sanctions under Part 253 or 254 of this Title which total 60 or more days of SHU and/or keeplock time; or

(4) receipt of any recommended loss of good time as a disciplinary sanction under Part 254 of this Title.

(c) Frivolous lawsuit.

An inmate must not have filed an action, proceeding or claim against a State agency officer or employee that was found to be frivolous pursuant to:

(1) section 8303-a of the Civil Practice Law and Rules; or

(2) rule 11 of the Federal Rules of Civil Procedure.

(d) Program criteria.

(1) An inmate must:

(i) successfully perform and pursue his or her most recently assigned earned eligibility plan or program plan; and

(ii) subsequent to the date of that most recently earned eligibility plan or program plan, undertake and complete one of the following:

(a) earn a general equivalency diploma (G.E.D.);

(b) receive an alcohol and substance abuse treatment certificate;

(c) receive a vocational trade certificate following at least six months of programming in that program; or

(d) perform 400 hours or more of service as part of a community work crew/outside assignment.

Note:

An earned eligibility plan is a work and treatment program applicable to an inmate serving a minimum term of not more than eight years developed under the Earned Eligibility Program. A program plan refers to a work and treatment program applicable to an inmate serving a minimum term exceeding eight years. In either case, the individualized program plan is created by the department's guidance staff in consultation with the inmate during classification, assessment or intake interviews. It may be modified during later reviews as necessary.

(2) An inmate shall not be eligible for merit time if the inmate:

(i) entered the shock incarceration program but failed to successfully complete the program for any reason other than an intervening circumstance beyond the control of the inmate;

(ii) was a participant in the temporary release program but was removed for any reason other than an intervening circumstance beyond the control of the inmate; or

(iii) was temporarily placed in a relapse program.

7 CRR-NY 280.3 Effect on the sentence {#sec-7-crr-ny-280.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 280.3}

(a) Indeterminate sentences.

(1) The merit time allowance is one-third of the minimum term or period imposed by the court for an inmate convicted of an A-1 felony under article 220 of the Penal law and one-sixth of the minimum term or period imposed by the court for an inmate convicted of any other eligible offense.

(2) An inmate serving a sentence for any Class A-II through Class E drug offense may earn supplemental merit time in the amount of an additional one-sixth of the minimum period of the sentence imposed for the drug felony if he or she has either:

(i) completed two or more of the four possible merit program objectives listed in section 280.2(d)(1)(ii) of this Part; or

(ii) completed one of the four and also successfully maintained employment in a work release program or other continuous temporary release program for a period of not less than three months.

(b) Determinate sentences.

The merit time allowance is an additional one-seventh of the determinate term imposed by the court for an eligible offense.

7 CRR-NY 280.4 Procedure {#sec-7-crr-ny-280.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 280.4}

(a) Merit time reviews.

(1) The records of an inmate eligible for a merit time allowance under the criteria set forth in section 280.2 of this Part shall be reviewed by facility guidance staff prior to his or her merit eligibility date.

(2) The inmate's program history and record will be reviewed by a senior counselor, deputy superintendent for programs, and superintendent, or their respective designees to identify any inmate whose behavior, subsequent to commitment to the department, may be regarded as inconsistent with the intent of Correction Law, section 803(1)(d) and public safety. Factors which will be viewed negatively include:

(i) evidence of escape or attempted escape; and

(ii) refusal to participate in the Shock Incarceration Program.

(b) Merit time determination.

(1) Merit time determinations shall be made by the commissioner or designee after central office review.

(2) The decision of the commissioner or designee to grant or withhold a merit time allowance is final, except as provided in paragraph (4) of this subdivision.

(3) The merit time determination notice shall be delivered to the inmate approximately one week before the scheduled Parole Board hearing. Copies shall also be provided to facility parole staff and the inmate's guidance folder.

(4) A merit time allowance may be revoked at any time prior to an inmate's release on parole if the inmate commits a serious disciplinary infraction or fails to continue to perform and pursue his or her assigned program plan or earned eligibility plan.

7 CRR-NY 280.5 Effect of merit time {#sec-7-crr-ny-280.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 280.5}

(a) Any inmate who is granted a merit time allowance will appear before the Board of Parole for possible release on parole at a date computed by subtracting the merit time allowance from his or her parole eligibility date.

(b) If the Board of Parole grants the inmate parole, he or she will be released to parole supervision.

(c) If parole is withheld by the board, the inmate will again be considered by the board for possible release when he or she reaches the original parole eligibility date.

Subchapter E LIMITED CREDIT TIME ALLOWANCES

Part 290 LIMITED CREDIT TIME ALLOWANCES

7 CRR-NY 290.1 Purpose {#sec-7-crr-ny-290.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 290.1}

Certain inmates serving either a determinate or indeterminate sentence for a crime that is not a merit eligible offense as defined in Correction Law section 803, may be eligible to earn a six-month Limited Credit Time Allowance (LCTA) against their sentences pursuant to Correction Law section 803-b, provided that they have achieved certain significant programmatic accomplishments, have not committed a serious disciplinary infraction or maintained an overall poor institutional record, and have not filed any frivolous lawsuits. In the case of an inmate serving a sentence with a maximum term of life for an eligible A-I felony, the six-month LCTA benefit is subtracted from the minimum period to establish the inmate’s LCTA date. In the case of all other LCTA eligible offences, the LCTA benefit is subtracted from the conditional release date to establish the inmate’s LCTA date. An LCTA benefit is a privilege to be earned by the inmate and no inmate has the right to demand or require that any such allowance be granted. This directive sets forth the policy and procedures for granting or withholding an LCTA benefit.

7 CRR-NY 290.2 Eligibility {#sec-7-crr-ny-290.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 290.2}

An inmate must satisfy all of the criteria set forth in subdivisions (a) through (d) of this section to be eligible for an LCTA benefit.

(a) Eligibility by crime.

An inmate is eligible for an LCTA benefit if:

(1) he or she IS NOT serving a sentence for murder in the first degree;

(2) he or she IS NOT serving a sentence for an offense defined in article 130 of the Penal Law;

(3) he or she IS NOT serving a sentence for an attempt or conspiracy to commit such offense; and

(4) he or she IS serving an indeterminate sentence fora non-drug A-I felony, such as murder in the second degree;

(5) he or she IS serving a determinate or indeterminate sentence for a violent felony offense as defined in subdivision 1of Penal Law section 70.02; or

(6) he or she IS serving a determinate or indeterminate sentence for an offense defined in article 125 of the Penal Law.

(b) To be eligible.

An inmate cannot have committed a “serious disciplinary infraction” or “maintained an overall poor institutional record” during the current term of incarceration. This means that an inmate cannot have received a recommended loss of good time sanction within the five year period preceding the LCTA date. Inmates serving maximum life terms will be considered reviewable when there are no recommended loss of good time sanctions within the five years prior to the review date, rather than within the five years prior to their LCTA date. Any recommended loss of good time that occurred earlier will be separately reviewed by the facility LCTA committee. Furthermore, an inmate’s overall disciplinary history will be subject to review relative to date, substance and number of incidents.

(c) Frivolous lawsuit.

An inmate must not have filed an action, proceeding or claim against a State agency officer or employee that was found to be frivolous pursuant to:

(1) section 8303 of the Civil Practice Law and Rules; or

(2) Rule 11 of the Federal Rules of Civil Practice.

(d) Program criteria.

An inmate must be successfully pursuing his or her most recent recommended Earned Eligibility Plan(EEP)/Program Plan and must complete at least one of the nine significant program accomplishments listed below during the current term of incarceration. Programming standards for LCTA are consistent with those applied to earned eligibility, merit time and presumptive release reviews, whereas, if an inmate is removed from a recommended program due to unsatisfactory program efforts or due to discipline, he or she must return to that program and establish a period of successful program effort in order to be considered for LCTA.

(1) A minimum of two years successful participation in college programming. College participation is defined as two years cumulative participation in an institution of higher education that is accredited, provides transcripts, credit-bearing courses that can lead to a degree or certificate and are transferrable to other institutions of higher learning. The LCTA College criteria will be satisfied if at least one of the following two criteria is accomplished:

(i) Successful completion of an Associates or Bachelors Degree from an accredited college while serving the current term of incarceration;

(ii) two years cumulative participation in an accredited college program during the current term of incarceration; having earned a minimum of 24 credits and having participated in college for a minimum of four semesters.

(2) A Masters of Professional Studies degree issued at Sing Sing Correctional Facility. Successful completion of the Masters of Professional Studies Program (New York Theological Seminary) at Sing Sing Correctional Facility.

(3) A minimum of two years successful participation as an Inmate Program Associate (IPA). The IPA must have completed the inmate program associate training and have served for two years atone module a day consecutively * in the IPA title during this term or an aggregate consisting of consecutive time in a retired title and the IPA title. Or, the IPA must have completed the Inmate Program Associate Training and have served for two years at one module a day consecutively * in one of the following retired titles, prior to September,2011, during this term:

(i) Academic Teacher Aide;

(ii) Vocational Teacher Aide;

(iii) Chaplain Aide;

(iv) Program Aide II;

(v) Transitional Services Director;

(vi) Casework Supervisor;

(vii) ART/Transitional Services Facilitator;

(viii) HIV/AIDS Peer Educators;

*The exceptions to the consecutive criteria involve the following: Inmates were removed from the program: (a) to complete a recommended program for EEP/Program Plan purposes, or (b) due to a break in assignment through no fault of their own, e.g., transfer, court trip, program reduction, or closure AND go on to participate for a total of two years at one module a day in a retired title or in the Inmate Program Associate title during this term. An IPA who does not hold an IPA position for more than one year, or has had a break in service of one year or greater, or has an unsuitable disciplinary record as specified in the IPA Policy and Procedure Handbook, will be required to be rescreened for participation and repeat the full IPA training program.

(4) Certification for the New York State Department of Labor for successful participation in an apprenticeship program. Attainment of a New York State Department of Labor apprenticeship certification during this term.

(5) A minimum of two years successful work as an Inmate Hospice Aide. Hospice Aides must have completed a Hospice Aide training program and have served in the capacity of a Hospice Aide for two consecutive years.*

*The exceptions to the consecutive criteria involve the following. Inmates were removed from the program: (a) to complete a recommended program for EEP/Program Plan purposes, or (b) due to a break in assignment through no fault of their own, e.g., transfer, court trip, program reduction or closure.

(6) A minimum of two years successful participation in the Puppies Behind Bars Program.

An inmate must have participated in the Puppies Behind Bars Program for a minimum of 24 months as a puppy handler or alternate puppy handler AND earned job title 875Dog Trainer.

(7) Successfully worked in the Division of Correctional Industries Optical Program for a minimum of two years and received a certification as an optician from the American Board of Opticianry.

Successfully completed vocational training and worked in various areas of fabrication for a minimum of two years. Must have taken and passed the American Board of Opticianry exam for certification.

(8) Received an asbestos handling certificate from the Department of Labor and a minimum of 18 months work in the Division of Correctional Industries Asbestos Abatement Program as a Hazardous Materials Removal Worker or a Hazardous Materials Removal Group Leader.

Successfully completed a 32-hour training program to earn an asbestos handling certificate from the Department of Labor. Upon completion of the training program, successfully worked in the title of either Hazardous Materials Removal worker or a Hazardous Materials Removal Group Leader for a minimum of 18 months.

(9) Successfully completed the course curriculum and passed the minimum competency screening process performance exam for Sign Language Interpreter and a minimum of one year of work as a Sign Language Interpreter for deaf inmates.

Successfully completed the course curriculum of Signing Naturally Level I and II. Must have taken and passed the course exams with a score of 80 percent or better. Must have taken and passed the Minimum Competency Screening Process (MCSP) exam and earned a MCSP certificate. Upon receipt of the MCSP certificate, must have successfully worked as a Sign Language Interpreter for a minimum of one year.

7 CRR-NY 290.3 Effect of LCTA on the sentence {#sec-7-crr-ny-290.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 290.3}

In the case of an eligible A-I inmate or persistent offender serving an indeterminate sentence with a maximum life term, such inmate may be eligible for release on parole six months before his or her parole eligibility date. In the event such an eligible inmate has appeared before his/her Initial Parole Board, been given a reappearance date and thereafter receives an LCTA certificate, then that information will be forwarded to the Parole Board, which can then carefully weigh this achievement at the inmate’s next parole reappearance hearing. In the case of any other eligible inmate who is serving either a determinate or indeterminate sentence, such inmate may be eligible for an LCTA conditional release six months before the regular conditional release date.

7 CRR-NY 290.4 Application and appeal process {#sec-7-crr-ny-290.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 290.4}

The department’s central office computer identifies those inmates at each facility who presently are eligible and reviewable for a possible LCTA approval. An otherwise eligible inmate may be considered for LCTA approval when he or she is within seven months of his or her LCTA conditional release date. However, eligible inmates will only be screened for reviewability when they have been in the department’s custody for two years. On a monthly basis, each facility, through its computer capability, will print the list of those inmates who have been determined to be both eligible and suitable to apply for the LCTA benefit. The name of an otherwise eligible inmate will not appear on the LCTA list if such inmate had a recommended loss of good time sanction within the five-year period prior to his or her LCTA date. The Deputy Superintendent for Program Services, or designee, will forward the LCTA list to the facility law library. The law library officer will provide a Form #4120, “Application for Limited Credit Time Allowance,” to any interested and eligible inmate whose name appears on the LCTA list. The application is a two-sided document.It is the sole responsibility of the eligible inmate to complete an LCTA application and submit it to his or her assigned Offender Rehabilitation Coordinator. The Offender Rehabilitation Coordinator will review the application in accordance with the disciplinary evaluation criteria and the program evaluation criteria.A separate review by the Limited Credit Time Allowance Committee will be required in any case where the inmate received a recommended loss of good time sanction for an incident that occurred more than five years prior to such inmate’s LCTA date.Any application that is denied at the facility level may be appealed by the inmate to the commissioner’s office within 30 days of receipt. If the denial is based upon the inmate’s disciplinary record, it shall be forwarded to the Director of Special Housing/Inmate Disciplinary Programs, as the commissioner’s designee. If the denial is based upon a failure to satisfy program requirements, the appeal shall be forwarded to the Director of Guidance and Counseling, as the commissioner’s designee.An application that is approved through all levels of review at the facility must then be submitted for final review by central office. The decision of central office either to approve or disapprove the LCTA application is final. An inmate may not further appeal an LCTA denial by central office.The commissioner may revoke, at any time, LCTA credit for any disciplinary infraction committed by the inmate or any failure to continue to pursue his or her Earned Eligibility Plan/Program Plan.

Chapter VI SPECIAL HOUSING UNITS

Part 300 GENERAL PROVISIONS

7 CRR-NY 300.1 Purpose {#sec-7-crr-ny-300.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 300.1}

(a) To establish standards for the operation of special housing units (SHU's) at the department's facilities. Unless otherwise provided, the provisions contained herein apply to designated special housing units only.

(b) Set forth herein are the minimum conditions of confinement for inmates admitted to SHU's pursuant to Part 301 of this Title. These inmates shall be housed in an area designed to maximize facility safety and security.

(c) [Reserved]

(d) Whenever the provisions of any Part of this regulation are inconsistent with the provisions of a Federal or State court order, such court order will be controlling.

7 CRR-NY 300.2 Definition {#sec-7-crr-ny-300.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 300.2}

(a) The superintendent may, by written order, designate certain areas or cells as special housing units. A copy of any such designation shall be transmitted to the commissioner immediately for approval by the commissioner or his designee.

(b) A special housing unit (SHU), in maximum security facilities as well as in designated medium security facilities, shall consist of single- or double-occupancy cells grouped so as to provide separation from the general population, and may be used to house incarcerated individuals confined to such units pursuant to Part 301 of this Title.

7 CRR-NY 300.3 [Repealed] {#sec-7-crr-ny-300.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 300.3}

Part 301 SPECIAL HOUSING UNIT ADMISSIONS

7 CRR-NY 301.1 Purpose {#sec-7-crr-ny-301.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 301.1}

Incarcerated individuals may be admitted to special housing units for any of the several situations described in this Part. Incarcerated individuals in special populations as defined in section 1.5 of this Title shall not be placed in segregated confinement for any length of time. No incarcerated individual may be placed in segregated confinement (SHU) for longer than necessary and for no more than 15 consecutive days or 20 total days in any 60-day period, except where a specific act constitutes a violent felony act, if occurring more than once in a 60-day period, the incarcerated individual may serve an additional 15 consecutive days but must spend at least 15-days in a residential rehabilitation unit (RRU) in between each placement in SHU. Incarcerated individuals will be transferred or moved to an RRU if they have additional confinement time after completing 15-days in SHU.

7 CRR-NY 301.2 Disciplinary admissions {#sec-7-crr-ny-301.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 301.2}

(a) An incarcerated individual shall only be placed in segregated confinement for behavior that violates institutional rules and regulations involving conduct that poses an unreasonable risk to the health, safety or security of staff, incarcerated individuals, the facility, or the community by:

(1) causing or attempting to cause injury or death to another person or making a credible threat of such injury or death;

(2) engaging in a sexual act, or compelling or attempting to compel another person to engage in a sexual act;

(3) coercing another, by force or threat of force, to violate any rule;

(4) leading, organizing, inciting, or attempting to cause a riot, insurrection, strike, or other serious disturbance that may result in physical harm to another person, significant property damage or significant interference with facility operations;

(5) procuring, possessing, brandishing, or using a weapon that poses a threat to the health, safety, or security of staff, incarcerated individuals, or security of the facility;

(6) procuring, possessing, using or distributing dangerous contraband that poses a threat to the health, safety, or security of staff, incarcerated individuals, or security of the facility;

(7) escaping, attempting to escape or facilitating an escape from a facility, or absconding or attempting to abscond outside of the facility; or

(8) engaging in conduct constituting a felony under the penal law.

Such disposition shall be for a designated period of time as specified by the hearing officer (section 254.7 of this Title) and in accordance with the disciplinary sanction guidelines as referenced in section 270.2 of this Title.

(b) An incarcerated individual may be placed in segregated confinement in connection with a disciplinary disposition rendered at another facility.

7 CRR-NY 301.3 Detention admissions {#sec-7-crr-ny-301.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 301.3}

(a) Detention admissions may be used in the following cases:

(1) in the case of an incarcerated individual who is awaiting initial appearance before or determination of a superintendent's hearing, if a security supervisor, with written approval of the superintendent or designee, reasonably believes the person fits the criteria for segregated confinement in subparagraph (ii) of paragraph (k) of section 137 of the Correction Law.

(b) In the case of any detention admission, if a misbehavior report has been issued, the provisions of section 251-2.2 of this Title shall be applicable. If pursuant to Part 251-1.6(b) of this Title, the facility's deputy superintendent of security or a watch commander shall review the detention admission incarcerated individual’s status at least once every 24 hours.

7 CRR-NY 301.4 [Repealed] {#sec-7-crr-ny-301.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 301.4}

7 CRR-NY 301.5 [Repealed] {#sec-7-crr-ny-301.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 301.5}

7 CRR-NY 301.6 [Repealed] {#sec-7-crr-ny-301.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 301.6}

7 CRR-NY 301.7 [Repealed] {#sec-7-crr-ny-301.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 301.7}

7 CRR-NY 301.8 [Expired] {#sec-7-crr-ny-301.8 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 301.8}

7 CRR-NY 301.9 [Expired] {#sec-7-crr-ny-301.9 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 301.9}

Part 302 ADMISSION PROCEDURE

7 CRR-NY 302.1 Guidelines {#sec-7-crr-ny-302.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 302.1}

Whenever an inmate is admitted to an SHU, a security supervisor will be present and the inmate will:

(a) Undergo a strip-frisk followed by a hand-held metal detector and/or B.O.S.S. chair search in accord with the provisions outlined in department directives concerning “Control of and Search for Contraband.”

Note:

An inmate being transferred from another facility shall not be strip- frisked upon admission without probable cause. The metal detector search shall be conducted by the receiving facility.

(b) Be examined by a qualified member of the facility health services staff as soon as possible, but not later than 24 hours after admission. Those inmates who were involved in a fight, a use of force, or a use of chemical agent incident will be examined immediately.

(c) Receive a copy of all rules (in Spanish when applicable) pertaining to the unit and be permitted to discuss these rules with a member of the SHU staff.

(d) Be assigned to a cell within the SHU.

(1) Each cell shall be heated adequately for comfort as well as being lighted adequately to permit reading. Each cell shall be equipped with the following:

(i) one toilet and sink;

(ii) one mattress per occupant;

(iii) one bed per occupant; and

(iv) one pillow per occupant.

(2) An inventory of cell equipment will be taken in the presence of the inmate.

(3) A statement to the effect that all equipment listed is present and in an undamaged state shall be signed by the inmate and the officer in charge of the SHU. If the inmate refuses to sign, a statement to that effect will be affixed to the list, signed by the officer.

7 CRR-NY 302.2 Issue items (initial) {#sec-7-crr-ny-302.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 302.2}

(a) Clothing.

(1) All new admissions to the SHU shall be provided with a clean State- issue set of clothing from an established SHU inventory. The following items shall be provided immediately after the required search:

(i) 1 pair of pants;

(ii) 1 shirt;

(iii) 1 set of underwear (including bra for female inmates); and

(iv) 1 pair of slippers (where available; if not available, 1 pair of sneakers).

(2) After the inmate is secured in a cell, the following State-issue items shall be provided for both male and female inmates:

(i) 1 sweat shirt;

(ii) 1 pair of socks; and

(iii) 1 pair of sneakers (if not already provided).

Female inmates shall be provided with basic feminine hygiene items as required.

Note:

Two additional State-issue sets of underwear (including bras for female inmates) and socks shall be provided within 72 hours of admission from the inmate's property.

(3) Subsequent to admission, the above-listed initial issue items (other than underwear and socks) may be replaced by the same State-issue items from the inmate's property. If replaced, the initial issue items shall be laundered and returned to the SHU inventory for future admissions.

(b) Bedding/flatwork.

Upon admission, each inmate will be issued the following State- issue items:

(1) 1 set sheets;

(2) 1 towel;

(3) 1 pillowcase;

(4) 1 washcloth; and

(5) 1 blanket.

(c) Toilet articles.

As soon as possible, but no more than 24 hours after admission, each inmate will be issued the following State-issue toilet articles, which will be replaced as needed:

(1) 1 bar soap (1 oz. size);

(2) 1 plastic comb;

(3) 1 toothbrush (mini);

(4) 1 roll toilet tissue; and

(5) 1 tube toothpaste.

(d) Writing materials.

Upon request, each inmate will be issued the following writing materials:

(1) writing paper;

(2) envelopes; and

(3) mini pen (once issued, will only be replaced on an exchange basis).

(e) Personally owned items.

Inmates may request personally owned items as specified in this subdivision. Permitted items will be thoroughly searched before delivery.

(1) As soon as possible, but no more than 24 hours after admission, inmates will be permitted the following personally owned items:

(i) 1 pair eyeglasses, prescription only;

(ii) 1 hearing aid, prescription only;

(iii) dentures;

(iv) prescription medicines as authorized by medical staff;

(v) denture cleanser (effervescent tablet form only; a cup may be issued for use); and

(vi) denture adhesive (one 2.4 oz. tube only; to be issued on a use-and-exchange basis).

(2) Within 72 hours of admission, each inmate will be permitted the following personally owned items:

(i) 1 religious book;

(ii) 1 prayer rug;

(iii) 1 religious medal and chain or cord;

(iv) 1 prayer shawl;

(v) tefillin;

(vi) talit katan;

(vii) 1 kufi, yarmulke, fez, khimar or tsalot-kob;

(viii) rosary or dhikr beads;

(ix) 1 plain wedding band;

(x) photographs (maximum of 10);

(xi) personal mail, up to 20 letters of the inmate's choice;

(xii) address book (no spiral binding);

(xiii) stamps;

(xiv) 1 calendar (no spiral binding);

(xv) personal legal materials (i.e., papers, transcripts, briefs);

Note:

May be limited to materials related to active cases; quantity should not constitute a fire hazard; questions shall be referred to counsel's office.

(xvi) books, magazines and newspapers (maximum of 5);

(xvii) legal books and publications (maximum 15);

(xviii) 1 shampoo (issued only during shower);

(xix) 1 shaving cream/soap (issued only during shower);

Note:

Inmates in double-occupancy special housing units shall be provided with State-issue shampoo and shaving cream until they have satisfied their post-adjustment period.

(xx) 1 unsealed medicine bag;

(xxi) 1 rosette; and

(xxii) 1 small pouch of sacred herbs (excluding tobacco products).

Note:

On request, a Native American inmate will be provided one facility- issued disposable ashtray for smudging, to be replaced on a one-for-one basis.

(f) Denial of specific items.

If possession of any item specified in subdivisions (a)-(e) of this section is determined to present a threat to the safety or security of staff, inmates, or State property, an inmate may be deprived of specific items upon issue of a deprivation order (see section 305.2 of this Title).

(g) Other property.

(1) All other inmate property not mentioned above will be confiscated upon admission and securely stored in accord with the provisions of department directives concerning “Inmate Property—Temporary Storage of Personal Belongings,” until the inmate is released or transferred from the SHU.

(2) All items confiscated will be inventoried by the officer in charge within five days of admission and the inventory sheet will be signed by the officer and the inmate. If the inmate refuses to sign, that refusal will be so noted and signed by a witnessing officer. A copy of the signed inventory sheet will be given to the inmate. To avoid claims of improper handling of property, the inmate should be permitted to view the inventory in process. However, if it is determined by the area supervisor that the inmate's presence may pose a threat to the safety and security of the facility, permission may be denied upon issue of a deprivation order (see section 305.2 of this Title).

(h) Correspondence.

Upon admission, each inmate in addition to the items authorized above or mandated by law will be granted the right to receive and/or send privileged or personal correspondence.

(1) Within 72 hours of admission, and every 30 days thereafter, an inmate may make a special stamp buy in accordance with the provisions of section 720.8 of this Title.

(2) If an inmate has sufficient funds in his inmate account, the inmate may also purchase postage by attaching a disbursement form to the correspondence. (See section 720.8 of this Title.)

(i) Other privileges.

(1) Visiting. Except as otherwise provided by this Part, no incarcerated individual shall be deprived of the visiting privileges available to incarcerated individuals in the general population.

(i) One nonlegal visit per week will be permitted during visiting hours scheduled by the facility. There will be no limits on the number of legal visits, subject to reasonable scheduling.

(ii) Visits for persons in special housing units shall be in accordance with any special precautions deemed necessary or appropriate by the superintendent of the facility. Such special precautions may include, but are not limited to, restriction to noncontact visiting for all visits or with a specified visitor or visitors; denial of visiting with a specified visitor or visitors; or other special precautions to maintain the safety, security or good order of the department or its correctional facilities. However, no employee shall be permitted to monitor the content of conversation between an incarcerated individual and his legal or spiritual advisor.

(iii) An incarcerated individual serving a penalty of confinement to a special housing unit pursuant to Part 254 of this Title shall be subject to the provisions regarding visitation contained in this Part, regardless of the location of actual confinement.

(2) An incarcerated individual shall be permitted to make at least one personal phone call within 24 hours of placement in segregated confinement, and at weekly intervals thereafter for the duration of such confinement, except when doing so would create an unacceptable risk to the safety and security of incarcerated individuals or staff. Emergency and legal telephone calls are permitted, as approved by the superintendent.

(3) No packages may be received at any time by an incarcerated individual in an SHU except in accordance with departmental directive 4933.

7 CRR-NY 302.3 [Expired] {#sec-7-crr-ny-302.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 302.3}

Part 303 POST-ADMISSION ADJUSTMENT

7 CRR-NY 303.1 Procedures {#sec-7-crr-ny-303.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 303.1}

(a) After completing a period of 30 consecutive days of satisfactory adjustment, i.e., a period free of disciplinary sanctions (including time spent serving a keeplock or special housing disposition prior to transfer to a SHU), each inmate will be permitted additional items/privileges as set forth below. Determination of satisfactory adjustment shall be based on a review of log entries and the disciplinary record for the period by the superintendent or his designee. An inmate assigned to Southport Correctional Facility or a double-celled SHU must also have completed an orientation period prior to receiving these additional items/privileges.

(b) Actions resulting in disciplinary sanctions during the “post adjustment” period may result in a loss of privileges and the imposition of a new 30-day adjustment period.

7 CRR-NY 303.2 Additional in-cell items {#sec-7-crr-ny-303.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 303.2}

Upon request of each inmate, additional in-cell items (provided they are not restricted by the issuance of a deprivation order in accord with section 305.2 of this Title) will be permitted as follows:

(a) playing cards (one deck);

(b) earphones (facility issue only, if cells are equipped with a jack);

Note:

In facilities not equipped with jacks, inmates may be allowed to have their personal radios/tape-players for use with an earplug, no tapes permitted. Batteries may be purchased from the commissary.

(c) books, magazines or newspapers (not to exceed a total of 10 per inmate in the cell, excluding legal publications);

(d) photos (personal, additional 10, not to exceed a total of 20 per inmate in the cell, no frames/albums);

(e) stamps;

(f) skin cream, 1 oz. size.

7 CRR-NY 303.3 Commissary purchase {#sec-7-crr-ny-303.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 303.3}

Each inmate will be permitted to make one commissary purchase per month of those items listed below in a monetary amount not to exceed 50 percent of the monthly total permitted general population inmates:

(a) stamps (up to maximum buy and possession limits set forth in Part 720 of this Title);

(b) writing pad without spiral binding;

(c) legal paper;

(d) carbon paper;

(e) legal folders without metal clips/fasteners;

(f) shampoo (one container, not to be kept in cell);

(g) shaving cream (one only, not to be kept in cell);

(h) toothbrush, mini (one only);

(i) toothpaste (one only);

(j) deodorant, stick type only;

(k) personal soap (if larger than 1 oz. bar to be given at shower time);

(l) skin cream (1 oz. size containers - up to 10 containers may be purchased per buy; 1 container in cell, others to be issued on use and exchange basis); and

(m) denture cleanser (effervescent tablet form only; a cup may be issued for use);

(n) shower slippers;

(o) knit cap (1 green);

(p) playing cards (one deck);

(q) batteries (for inmates allowed to possess personal radios/tape players);

(r) nicotine patches (for smoking cessation); and

(s) denture adhesive (one 2.4 oz. tube only; to be issued on a use-and-exchange basis).

Note:

Shampoo and shaving cream/soap will be issued at shower time.

7 CRR-NY 303.4 to 303.5 to 303.5 [Expired] {#sec-7-crr-ny-303.4-to-303.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 303.4 to 303.5}

7 CRR-NY 303.6 [Expired] {#sec-7-crr-ny-303.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 303.6}

7 CRR-NY 303.7 [Expired] {#sec-7-crr-ny-303.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 303.7}

Part 304 SERVICES

7 CRR-NY 304.1 Purpose {#sec-7-crr-ny-304.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 304.1}

(a) The provision of an essential service to an incarcerated individual shall not be denied, restricted or limited as a means of discipline or punishment. The provision of an essential service shall include, but not be limited to correspondence, hygiene items, clothing, bedding, outdoor exercise, food services, health services, religious items and services, printed materials and publications, and legal reference materials.

(b) The following incarcerated individual support services are mandated and must be furnished at any time following admission unless deprived by issuance of a deprivation order in accord with section 305.2 of this Title.

(c) Incarcerated individuals in segregated confinement shall be offered out-of-cell programming at least four hours per day, including at least one hour for recreation. However, if an incarcerated individual commits a specific act while housed in a SHU and poses a significant risk, their participation in certain programs may be restricted but they must still be provided with at least four hours out-of-cell time daily, of which two hours are therapeutic programming and two hours of recreation.

7 CRR-NY 304.2 Food {#sec-7-crr-ny-304.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 304.2}

Incarcerated individuals confined in a special housing unit, residential rehabilitation unit or step-down unit will be provided meals of the same type as the meals available to incarcerated individuals in general population and in sufficient quantity to be nutritionally adequate, except as provided in this section.

(a) All food items will be delivered to the incarcerated individuals upon receipt from the food service area, and in a manner that will ensure receipt of the food in an appropriate condition.

7 CRR-NY 304.3 Exercise {#sec-7-crr-ny-304.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 304.3}

Incarcerated individuals confined in the SHU must be permitted one hour of outdoor exercise daily, exclusive of the time it takes to go to and return from the exercise area, beginning on the day following admission.

(a) Incarcerated individuals normally will be offered the opportunity for outdoor exercise despite weather conditions. If during the exercise period the weather significantly deteriorates, the incarcerated individual may request and shall be permitted to return to his/her cell. If this occurs, the outdoor exercise opportunity for that day will be considered to have been satisfied.

(b) Except at double-celled SHU's, coats and galoshes or rubbers will be maintained on the unit and will be provided during exercise periods in the event of cold or inclement weather.

(c) On those rare occasions when the weather so reduces visibility that it significantly impacts the ability of security staff to visually observe the exercise area (i.e., fog, blizzard, etc.), exercise may be curtailed for the duration of the extreme weather conditions by issuance of a deprivation order in accord with section 305.2 of this Title.

7 CRR-NY 304.4 Medical services {#sec-7-crr-ny-304.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 304.4}

(a) A qualified medical practitioner (physician, physician's assistant, registered nurse) will be required to examine each incarcerated individual upon admission to an SHU in accord with section 302.1(b) of this Title.

(b) A qualified medical practitioner (as listed above) is required to visit the SHU once in every 24-hour period to examine into the state of health of the incarcerated individuals confined in such unit.

(c) Sick call will be conducted daily.

(1) The officer in charge will prepare a list of all incarcerated individuals who request to see a medical practitioner.

(2) Any incarcerated individual who requests to see a medical practitioner will be permitted an opportunity to do so in accord with all good security precautions.

(3) The medical encounter will be recorded in each incarcerated individual's medical file and in the appropriate SHU file.

(d) If an incarcerated individual has a medical complaint, requests health services other than at sick call, or a medical emergency occurs, the facility health services unit will be contacted immediately. The response/action taken by health services staff shall be logged.

(e) To the extent consistent with the safety and good order of the facility, staff shall respect an incarcerated individual's right to privacy during medical encounters and the confidential nature of communications between incarcerated individuals and health care providers.

7 CRR-NY 304.5 Personal hygiene {#sec-7-crr-ny-304.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 304.5}

Each inmate shall have access to the following:

(a) Showers.

Minimum of two per week for a minimum of five minutes per shower, exclusive of the time it takes to go to and return from the shower area. Use of shampoo is permitted.

(b) Shaves.

Minimum of two per week. Shaving equipment will be on an issue basis and must be returned after use. Use of shaving cream/soap is permitted.

(c) Hot water will be provided two times per day where hot water is not available in the cell.

(d) Haircuts.

One per month if requested by inmate.

(e) Cell-cleaning materials will be made available three times per week to permit inmates to adequately clean their cells and cell ventilation grates.

(f) Inmates may be deprived of personal hygiene services by a deprivation order issued in accord with section 305.2 of this Title.

7 CRR-NY 304.6 Laundry {#sec-7-crr-ny-304.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 304.6}

Clothing items, bedding (excluding blankets), flatwork and the washcloth will be exchanged one for one on a weekly basis. The towel will be exchanged one for one a minimum of two times per week except in those facilities which elect to exchange two towels once per week. Any item issued to an inmate will be freshly laundered.

7 CRR-NY 304.7 Law library services {#sec-7-crr-ny-304.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 304.7}

The facility law library will provide a list of legal books, journals and papers in the facility law library. This list will be made available to the inmates in the SHU upon request.

(a) An inmate may obtain legal material from the law library, subject to the following restrictions, by submitting a written request:

(1) A maximum of two items may be ordered at one time.

(2) The law library will deliver the requested items, if available, to the SHU within 24 hours of receiving the request.

(3) Inmates may retain said legal material for a period of not less than 16 hours nor more than 24 hours at a time.

(b) Inmates may receive legal materials pursuant to procedures set forth in department directives concerning “Law Libraries and Inmate Legal Assistance.”

(c) No inmate advisors or inmate law clerks will be permitted to visit the SHU.

(d) All communications between inmates in the SHU and the law library will be monitored by facility staff.

(e) All inmate legal materials going to or coming from the law library will be subject to search.

(f) Whenever a “law library service” item is deemed to be improper or inappropriate, it shall be referred to the watch commander for a determination as soon as possible. The staff member doing this shall notify the inmate and record the action in the SHU log.

(g) Inmates may be deprived of law library services by issuance of a deprivation order after consultation with counsel's office.

(h) Incarcerated individuals may utilize law library tablets in accordance with departmental directive 4933.

7 CRR-NY 304.8 Notary public {#sec-7-crr-ny-304.8 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 304.8}

Notarial services will be provided to an inmate at least two times per week.

7 CRR-NY 304.9 Religious counseling {#sec-7-crr-ny-304.9 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 304.9}

(a) Counseling by a member of the facility's ministerial services staff will be provided upon the written request of an inmate.

(b) The facility senior chaplain or a designated member of the ministerial services staff will be required to make a minimum of one round per week in the SHU.

(c) No inmate religious advisor or assistant will be permitted to visit the SHU.

(d) Attendance at congregate religious services will not be permitted.

7 CRR-NY 304.10 Counseling services {#sec-7-crr-ny-304.10 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 304.10}

Inmates who have displayed such adverse behavior as to warrant assignment to a SHU generally require counseling services to a greater extent than most inmates in general population.

(a) A correction counselor will visit the SHU on a daily basis (excluding weekends and holidays) to provide appropriate counseling services. This will include responding to inmate requests, correction counselor referrals, emergency services, and to see each new admission.

(b) Counseling contacts will be noted in each inmate's guidance and counseling unit file and in the appropriate SHU file.

7 CRR-NY 304.11 Education {#sec-7-crr-ny-304.11 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 304.11}

Inmates in special housing units will be offered the opportunity to participate in a cell study program. However, an inmate assigned to a disciplinary housing unit will be offered the opportunity to participate in a cell study program to the extent possible based upon the inmate's overall behavioral adjustment. Education counselors, teachers or other appropriate staff members may visit the special housing inmates as needed to provide assistance to any inmate participating in a cell study program.

7 CRR-NY 304.12 General library services {#sec-7-crr-ny-304.12 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 304.12}

There shall be available to inmates in the SHU, general library materials in a quantity equal to at least two books and one magazine/periodical for each inmate. This reading material will be rotated in the special housing unit every 60 days.

(a) Items selected from the general library shall be considered part of the maximum allowed as set forth in section 302.2(e) or 303.2(c) of this Title, whichever is applicable.

(b) Each facility will develop a system for the maintenance of an appropriate inventory record.

7 CRR-NY 304.13 Correspondence {#sec-7-crr-ny-304.13 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 304.13}

(a) Each inmate shall be permitted to send and to receive privileged and regular correspondence, in accordance with Parts 721, “Privileged Correspondence,”and 720, “Inmate Correspondence Program,” of this Title. The inmate's ability to send or receive correspondence may not be limited by a deprivation order.

(b) An inmate may at any reasonable time address a written communication to the superintendent or the commissioner. When an inmate makes a request for permission to write such a communication, the responsible employee to whom the request is made shall: supply the inmate with necessary writing materials and an envelope; allow the inmate to write his communication in privacy; and forward it promptly to the addressee.

7 CRR-NY 304.14 Inmate grievance program {#sec-7-crr-ny-304.14 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 304.14}

Inmates assigned to the SHU will have access to the inmate grievance mechanism as follows:

(a) Grievance forms will be made available upon request to an SHU officer.

(b) A staff representative of the inmate grievance resolution committee will visit the SHU a minimum of once per week, or more often if necessary or requested to do so by the supervisor in charge of the SHU, to interview the inmate and investigate the grievance.

(c) Appropriate procedures as required by Part 701, “Inmate Grievance Program,” of this Title will be implemented.

Part 305 CONTROLS/RESTRICTIONS/RESTRAINTS

7 CRR-NY 305.1 Frisks {#sec-7-crr-ny-305.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 305.1}

In accordance with the provisions of directives concerning “Control of and Search for Contraband,” the following procedures will be followed in such designated special housing units.

(a) Strip frisk.

(1) On initial entry to an SHU, an inmate will be strip-frisked.

(2) When an inmate is transferred from one facility disciplinary SHU to another facility disciplinary SHU, he may be strip-frisked on exiting the facility but may not be strip-searched or strip-frisked without probable cause upon entry to the receiving facility and/or its SHU.

(b) Pat frisk.

An inmate will be pat-frisked whenever he goes out of or returns to the SHU; and/or prior to and upon returning from any exercise periods, hearings, interviews, etc.

7 CRR-NY 305.2 Deprivation order {#sec-7-crr-ny-305.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 305.2}

(a) The provision of an essential service to an incarcerated individual shall not be denied, restricted, or limited unless the facility deputy superintendent for security, officer of the day (O.D.), or higher-ranking authority determines that providing such an essential service would cause a threat to the safety or security of the facility, or the safety, security, or health of the incarcerated individual, staff or other incarcerated individuals. Initial authorization may be given verbally but must be confirmed in writing within 24 hours with a copy to the superintendent, and one copy to the incarcerated individual. The writing shall state specific facts and reasons underlying the determination.

(b) Each deprivation order must be reviewed on a daily basis by the deputy superintendent for security or, in his or her absence, the O.D. or higher-ranking authority. If the O.D. is not present at the facility (weekends or holidays), the watch commander will personally review the deprivation order and sign the form indicating approval or discontinuance. This review shall be documented by the reviewing officer, who shall initial and date the order, adding any comments that are appropriate.

(c) Any determination made pursuant to this Part shall be reviewed by the facility superintendent at intervals not to exceed seven days. If a deprivation order has been in effect for seven days, the superintendent and incarcerated individual shall receive a written notice of renewal on the seventh day and, thereafter, every seventh day that the order remains in effect.

(d) The written order and any notice of renewal thereafter must briefly state the reason(s) for the deprivation and contain the following notice to the incarcerated individual: “You may write to the deputy superintendent for security or his/her designee to make a statement on the need for continuing the deprivation order.”

(e) A review conducted by the facility superintendent pursuant to this Part which may impact an incarcerated individual’s health shall include consultation with qualified facility health staff who shall record, in writing, any determination that continuing the deprivation would not risk significantly compromising the health of the incarcerated individual. Following each such review, the facility superintendent shall document, in writing, whether such determination shall continue or cease, and state the specific facts and reasons underlying the continuance or termination.

(f) Any deprivation order depriving an incarcerated individual of minimum standard items (e.g., bedding, clothing, etc.) for mental health or psychiatric reasons must be approved by an appropriate clinical professional or, in their absence, by the ranking facility health service professional.

(g) If there is an order depriving an incarcerated individual of in-cell water, the incarcerated individual's cell water shall be turned on for at least 10 minutes, 5 times per day, as follows: approximately 30 minutes prior to the service of each meal, once at the beginning of tour I (nights), and once during tour III (evenings) in accordance with a schedule established by the superintendent. Staff shall notify the incarcerated individual prior to turning on the water and record the times that the water is turned on and off in the unit activity log.

7 CRR-NY 305.3 Use of restraints, generally {#sec-7-crr-ny-305.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 305.3}

(a) Definition.

For the purposes of this section, mechanically restrained means either:

(1) handcuffed in front with a waist chain; or

(2) handcuffed in back with or without a waist chain.

(b) Application of restraints.

An inmate assigned to SHU will be placed in mechanical restraints as described herein prior to exiting his or her cell. If the inmate is to remain under escort, the inmate shall be handcuffed in back without a waist chain. If the inmate is not to remain under escort, the inmate shall be handcuffed in front with a waist chain. In order to accommodate the restraint procedure, the inmate will be required to place his or her hands through the feed-up port, if available, or the partially opened cell door.

(c) Temporary removal of restraints.

(1) Once outside the cell, restraints shall be removed to accommodate the following:

(i) a request of a physician or a physician's assistant (P.A.) when removal is necessary to permit medical treatment;

(ii) a request of the Parole Board at a parole hearing;

(iii) a request of a judge or magistrate; or

(iv) an order of the deputy superintendent for security services or higher ranking authority.

(2) Once outside the cell, restraints shall also be removed to accommodate the following unless otherwise specified in a restraint order pursuant to section 305.4 of this Part:

(i) a scheduled shower, when the inmate can be secured in a shower room;

(ii) a scheduled period of exercise when the inmate can be secured in an exercise area; however, an inmate at Southport Correctional Facility will remain restrained (handcuffed in front with waist chain) in the exercise area unless he is in post adjustment status; or

(iii) a visit, however, an inmate at Southport Correctional Facility or any double celled SHU facility will remain restrained (handcuffed in front with waist chain) in the visiting area unless he is in post adjustment status.

(3) If mechanical restraints have been removed, they will be reapplied prior to return to the SHU cell.

7 CRR-NY 305.4 Restraint orders {#sec-7-crr-ny-305.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 305.4}

(a) Any inmate assigned to an SHU who has history of assaultive behavior and/or who presents a threat to the safety or security of himself/herself, other persons, or State property may be placed under a restraint order by the deputy superintendent for security or, in his/her absence, the O.D. or higher ranking authority.

(b) A restraint order will be valid for no more than seven days and may be renewed by the deputy superintendent for security or, in his/her absence, the O.D. or higher ranking authority.

(c) A copy of the restraint order and any renewal thereafter must be forwarded to the superintendent and the inmate within 24 hours. The order and any renewal thereafter must briefly state the reason(s) for the order or renewal and contain the following notice to the inmate: “You may write to the deputy superintendent for security or his/her designee to make a statement as to the need for continuing the restraint order.”

(d) A restraint order will describe the types of restraints to be used and the manner in which they are to be applied (e.g., handcuffed in front or in back, with or without waist chain, with or without leg irons).

(e) If an inmate is under a restraint order directing that he/she be mechanically restrained whenever he/she leaves the SHU cell for any reason, the inmate will remain mechanically restrained during the entire period of time he/she is out of the SHU cell, except:

(1) upon request of a physician, nurse practitioner, or a physician's assistant (P.A.) when removal is necessary to permit medical treatment;

(2) upon request of the Parole Board at a parole hearing;

(3) upon the request of a judge or magistrate;

(4) when the inmate can be secured in a shower room during the scheduled shower period;

(5) when the inmate has been secured in the exercise area, unless the restraint order (or renewal) includes a written determination stating the reason(s) why the removal of restraints in the exercise area would, in the light of the particular circumstances relative to the affected inmate, present a treat to the safety or security of the inmate, other persons or State property. Such a determination, in any restraint order or renewal, shall only remain in effect for three days unless approved in writing by the superintendent or acting superintendent, based upon his or her review of the relevant facts. Note: This paragraph does not apply to Southport Correctional Facility;

(6) upon order of the deputy superintendent for security services or higher ranking authority; or

(7) when in a general population visiting room and not in a noncontact area.

(f) When mechanical restraints are removed pursuant to subdivision (e) of this section, they will be reapplied as specified in the restraint order prior to return to the SHU cell.

7 CRR-NY 305.5 Closing cell hatch covers {#sec-7-crr-ny-305.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 305.5}

(a) In those SHU cells which have only one solid door, vision panels will be maintained with the hatch coverings in an opened position, unless a deprivation order is issued. A deprivation order to close such hatch coverings may be issued for good cause, including but not limited to the reasons listed below which warrant their being closed:

(1) The throwing of feces, urine, food, or other objects through the aforementioned openings.

(2) The inmate refuses to keep his/her hands within the cell and/or otherwise attempts to assault or harass staff.

(3) The inmate is so disruptive as to adversely affect the proper operation of the unit.

(b) Hatch coverings may be closed temporarily on all cells when it is necessary to move an inmate for other than routine reasons, e.g., when an inmate is being disruptive during movement or use of a chemical agent is necessary or anticipated.

(c) Feed-up hatches shall remain closed except during feed-up activities or when it is necessary to open the hatches to pass items to or from the inmate.

7 CRR-NY 305.6 Use of cell shields {#sec-7-crr-ny-305.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 305.6}

(a) A cell shield is a transparent cell front covering, equipped to provide adequate ventilation.

(b) Cell shields may be ordered for good cause, including but not limited to the reasons listed below:

(1) Spitting through the cell door, or the throwing of feces, urine, food, or other objects through the cell door.

(2) The inmate refuses to keep his/her hands within the cell and/or otherwise attempts to assault or harass staff.

(3) The inmate is so disruptive as to adversely affect the proper operation of the unit.

(c) Use of the cell shield shall be ordered by the deputy superintendent for security or, in his/ her absence, the O.D. or higher ranking authority. The cell shield order shall be valid for no more than seven days and may be renewed by the deputy superintendent for security or, in his/her absence, the O.D. or higher ranking authority.

(d) A copy of the cell shield order and any renewal thereafter shall be forwarded to the superintendent and the inmate within 24 hours. The order and any renewal thereafter shall briefly state the reason for the order or renewal and contain the following notice to the inmate: “You may write to the deputy superintendent for security or his/her designee to make a statement as to the need for continuing the cell shield order.”

Part 306 OTHER SPECIAL HOUSING UNITS

7 CRR-NY 306.1 General requirements {#sec-7-crr-ny-306.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 306.1}

(a) The commissioner may designate portions of correctional facilities as other special housing units to be used for purposes such as, but not limited to, the following:

(1) inmates required to be confined in a special housing unit as a reception center, detention center or diagnostic and treatment center (as these terms are defined in the Correction Law);

(2) a special housing unit used for outside work gangs or inmates assigned to work release programs;

(3) a special housing unit used for inmates who are physically unable to participate in the programs of the facility;

(4) a special housing unit used for inmates assigned there temporarily by the central office division of classification and movement for the purpose of evaluation and reclassification; or

(5) other purposes in the discretion of the commissioner.

(b) Inmates may be assigned to these other special housing units in the complete discretion of the commissioner or his designees.

(c) No hearing shall be required in connection with the admission or retention of inmates placed in such other special housing units provided for in this Part.

(d) In the case of special housing units provided for in this Part, the superintendent shall transmit to the commissioner, with the order of designation, a complete description of the activities available for inmates of the unit. Such description shall include, at least, a specification as to the availability and the extent of the following:

(1) individual or group counseling or therapy;

(2) educational and vocational training;

(3) industrial or other work;

(4) exercise opportunities and yard time; and

(5) number of showers per week.

(e) Such other special housing units shall not house inmates in discipline or administrative segregation status.

(f) Part 1704 of this Title shall govern the minimum standards of confinement for inmates confined in a special housing unit designated pursuant to this Part.

Part 310 SPECIAL HOUSING UNIT CASE MANAGEMENT COMMITTEE

7 CRR-NY 310.1 Establishment of the special housing unit case management committee {#sec-7-crr-ny-310.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 310.1}

(a) There shall be in each correctional facility designated as level 1 by the Office of Mental Health (OMH), a committee to be known as the special housing unit case management committee.

(b) Such committee shall be co-chaired by the first deputy superintendent or deputy superintendent for security or designee and the unit chief or clinical director of the OMH mental health satellite unit or designee.

(c) Each co-chairperson shall select at least two individuals to sit as additional committee members from among the following staff within the facility: facility health services director or designee; deputy superintendent for security (if not a chairperson); OMH clinical staff assigned to the SHU; SHU sergeant; ICP counselor; correction officers assigned to the SHU; SHU guidance counselor, and other OMH or department staff within the facility as may be deemed appropriate. If the OMH co-chairperson is not a clinician, at least one of the additional individuals selected to sit on the committee shall be an OMH clinician. A committee member or other staff will be designated to take summary notes of the committee meetings.

7 CRR-NY 310.2 Role of the special housing unit case management committee {#sec-7-crr-ny-310.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 310.2}

The purposes of the special housing unit case management committee are to review, monitor and coordinate the behavior and treatment plan for those inmates assigned to SHU in a correctional facility designated as level 1 by OMH who are on the OMH mental health caseload and other SHU inmates based upon a recent request to the committee from OMH or department staff, and to initially review the status of all inmates newly assigned to SHU in a correctional facility designated as level 1 by OMH following a superintendent's hearing in which the inmate's mental state or intellectual capacity was deemed to be at issue in accordance with subdivision (b) of section 254.6 of this Title.

7 CRR-NY 310.3 Procedure of the special housing unit case management committee {#sec-7-crr-ny-310.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 310.3}

(a) The committee shall meet at least once every two weeks. A minimum of four committee members to include staff representation from OMH and department shall be present at each meeting. At least one of the committee members present at each meeting shall be an OMH clinician.

(b) The agenda for each meeting shall include an initial review of the status of any inmate newly assigned to SHU at the facility following a superintendent's hearing in which the inmate's mental state or intellectual capacity was deemed to be at issue, a review of the status of any SHU inmate based upon a recent request to the committee from OMH or department staff, and a review of the status of SHU inmates on the OMH mental health caseload.

(c) During the review of an inmate's status:

(1) security staff will present the inmate's disciplinary and criminal history, including an assessment of the inmate's propensity for acts of violence and security risk;

(2) OMH clinical staff will present the inmate's mental health diagnoses, including behaviors and treatment needs associated with such a diagnoses, psychiatric medications, including the purpose of the medication, side effects and medication compliance, acts of self-harm and psychiatric history, including psychiatric hospitalizations, during and prior to the inmate's current assignment to the SHU; and

(3) guidance staff, if on the committee, will present the inmate's programming history and general custodial adjustment during and prior to the inmate's current assignment to the SHU. If no guidance staff are on the committee, other participating staff will present this information.

(d) After reviewing the inmate's status, the committee may do one or more of the following:

(1) recommend to the superintendent the temporary or permanent restoration of one or more privileges, the suspension or reduction of confinement time, or a housing reassignment; and

(2) recommend to the OMH unit chief that the inmate's psychiatric medications be reevaluated or that the inmate be examined by two physicians employed by OMH for possible commitment to the Central New York Psychiatric Center.

Note:

Nothing in this paragraph shall be deemed to, in any way, limit the ability of department staff to, at any time, refer an inmate to OMH for evaluation and appropriate mental health care and treatment or for OMH to, at any time, evaluate an inmate and provide appropriate mental health care in the absence of such a referral.

(e) The review of a SHU inmate's status by the special housing unit case management committee and any recommendations to the superintendent or OMH unit chief shall be reflected in the inmate's guidance folder.

Part 315 RESIDENTIAL REHABILITATION UNITS

7 CRR-NY 315.1 Purpose {#sec-7-crr-ny-315.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 315.1}

Residential rehabilitation units are housing units used for the treatment and rehabilitative programming of incarcerated individuals serving disciplinary sanctions which extend beyond the maximum duration of placement set forth in section 301.1 of this Title. Incarcerated individuals placed in a residential rehabilitation unit shall be afforded out-of-cell time in the most congregate setting available and shall be provided the least restrictive environment necessary to maintain the safety and security of the facility.

7 CRR-NY 315.2 Admissions {#sec-7-crr-ny-315.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 315.2}

(a) Incarcerated individuals admitted to a residential rehabilitation unit shall be offered the following:

(1) at least five hours of out-of-cell programming, activities, or recreation five days per week, excluding holidays, and at least two hours of recreation on the remaining days; and

(2) out-of-cell programs and activities that promote personal development and group engagement, addressing underlying causes of problematic behavior resulting in placement in segregated confinement or a residential rehabilitation unit, and helping prepare for discharge from the unit to general confinement or the community; and

(3) the opportunity to earn additional privileges under the progressive inmate movement system.

(4) An incarcerated individual can be denied out-of-cell activities described in this section, if the commissioner or his designee determines that the incarcerated individual’s participation in such activities presents an imminent risk of danger to the incarcerated individual or to others.

(b) Upon admission to a residential rehabilitation unit, a program management team shall:

(1) develop an individual rehabilitation plan in consultation with the incarcerated individual based upon his or her programming needs, identifying specific goals, program(s) to be offered, including discharge from the unit or a recommendation to transition to a step-down unit; and

(2) conduct periodic reviews of the incarcerated individuals.

(c) An incarcerated individual serving a disciplinary sanction in a residential rehabilitation unit will only be discharged to a special housing unit under the following specific, limited circumstances:

(1) When it is determined by the program management team that an incarcerated individual has been chronically failing to comply with the program objectives, the program management team will first attempt to obtain program compliance. De-escalation, intervention and informational reports and the withdrawal of incentives shall be the preferred methods of responding to less serious negative behavior. All efforts to obtain compliance will be fully documented by the program management team. Absent compliance, a recommendation may be made for alternate program placement or discharge to a special housing unit. The recommendation by the program management team shall be forwarded to the superintendent for determination. The superintendent’s determination will be forwarded to central office for review, and if necessary, transfer action. Misbehavior reports can only be issued in circumstances where the incarcerated individual is accused of serious offenses, the alleged behavior demonstrates a threat to safety and/or the incarcerated individual has engaged in repeated acts of disruptive misbehavior despite prior alternative interventions.

(2) When it is determined that an incarcerated individual poses an immediate or continuing unacceptable threat to the safety of staff or other incarcerated individuals or to the security of the facility, the deputy superintendent for security will consult with the program management team and make a recommendation. The recommendation by the deputy superintendent for security will be forwarded to the superintendent for determination. The superintendent’s determination will in turn be forwarded to central office for review, and if necessary, transfer action.

(d) Incarcerated individuals placed in a residential rehabilitation unit shall be released to general confinement no later than the expiration of the sanction imposed or upon successful completion of a residential rehabilitation unit program, whichever is earlier. The remainder of the incarcerated individual’s sanction, if any, will be suspended upon the incarcerated individual’s release from the residential rehabilitation unit program. If the incarcerated individual does not engage in any sanctionable conduct during the duration of the suspended sanction, that disciplinary sanction will expire on the earlier of the sanction end-date or six months from the date of release to general confinement. Service of suspended penalties may be imposed as a sanction, based on an individualized assessment, only for serious misbehavior or for committing the same or similar violation as that leading to the suspended sanction.

(e) An incarcerated individual assigned to keeplock status in a residential rehabilitation unit pursuant to this section shall:

(1) be subject to the property limitations set forth in section 302.2(a)-(g) of this Title;

(2) be subject to the visiting conditions set forth in sections 302.2(i)(1) and 255.03 of this Title, unless restricted by disciplinary or administrative action;

(3) be subject to the package limitations set forth in sections 302.2(i)(3) and 255.03 of this Title;

(4) have their commissary privileges suspended pending a determination in a disciplinary proceeding;

(5) be subject to the limitation on telephone calls contained in section 302.2(i)(2) of this Title;

(6) be afforded correspondence privileges as set forth in section 302.2(h) of this Title; and

(7) be credited at the rate of three days for every two days served.

Part 316 STEP-DOWN UNITS

7 CRR-NY 316.1 Purpose {#sec-7-crr-ny-316.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 316.1}

To provide incarcerated individuals with a productive alternative to segregated confinement by preparing them for the transition back to general confinement or the community.

7 CRR-NY 316.2 Definition {#sec-7-crr-ny-316.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 316.2}

A step-down unit means a housing unit used for the progressive programming of an incarcerated individual with a violent or behavioral history that has led to long-term periods of segregated confinement in order to prepare him or her for return to general population or the community. Incarcerated individuals placed in a step-down unit shall be afforded out-of-cell time in the most congregate setting available and shall be provided the least restrictive environment necessary to maintain the safety and security of the facility.

7 CRR-NY 316.3 Admissions {#sec-7-crr-ny-316.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 316.3}

(a) Incarcerated individuals may be admitted to a step-down unit from either segregated confinement or a residential rehabilitation unit.

(b) Incarcerated individuals admitted to a step-down unit shall be offered the following:

(1) at least five hours of out-of-cell programming, activities, or recreation four days per week, excluding holidays, and at least two hours of recreation on the remaining days; and

(2) out-of-cell programs and activities that promote personal development and group engagement, addressing underlying causes of problematic behavior resulting in placement in segregated confinement or a residential rehabilitation unit, and helping prepare for discharge from the unit to general confinement or the community; and

(3) the opportunity to lessen restrictions and earn additional privileges under the progressive inmate movement system by meeting established benchmarks and individual goals.

(4) An incarcerated individual can be denied out-of-cell activities described in this section, if the commissioner or his designee determines that the incarcerated individual’s participation in such activities presents an imminent risk of danger to the incarcerated individual or to others.

(c) Upon admission to a step-down unit, a program management team shall:

(1) develop an individual rehabilitation plan in consultation with the incarcerated individual based upon his or her programming needs, identifying specific goals, program(s) to be offered, including discharge from the unit to general confinement or the community; and

(2) conduct periodic reviews of the incarcerated individuals.

(d) An incarcerated individual serving a disciplinary sanction in a step-down unit will only be discharged to a special housing unit under the following specific, limited circumstances:

(1) When it is determined by the program management team that an incarcerated individual has been chronically failing to comply with the program objectives, the program management team will first attempt to obtain program compliance. De-escalation, intervention and informational reports and the withdrawal of incentives shall be the preferred methods of responding to less serious negative behavior. All efforts to obtain compliance will be fully documented by the program management team. Absent compliance, a recommendation may be made for alternate program placement or discharge to a special housing unit. The recommendation by the program management team shall be forwarded to the superintendent for determination. The superintendent’s determination will be forwarded to central office for review, and if necessary, transfer action. Misbehavior reports can only be issued in circumstances where the incarcerated individual is accused of serious offenses, the alleged behavior demonstrates a threat to safety and/or the incarcerated individual has engaged in repeated acts of disruptive misbehavior despite prior alternative interventions.

(2) When it is determined that an incarcerated individual poses an immediate or continuing unacceptable threat to the safety of staff or other incarcerated individuals or to the security of the facility, the deputy superintendent for security will consult with the program management team and make a recommendation. The recommendation by the deputy superintendent for security will be forwarded to the superintendent for determination. The superintendent’s determination will in turn be forwarded to central office for review, and if necessary, transfer action.

(e) Incarcerated individuals placed in a step-down unit shall be released to general confinement no later than the expiration of the sanction imposed or upon successful completion of a step-down unit program, whichever is earlier. The remainder of the incarcerated individual’s sanction, if any, will be suspended upon the incarcerated individual’s release from the step-down unit program. If the incarcerated individual does not engage in any sanctionable conduct during the duration of the suspended sanction, that disciplinary sanction will expire on the earlier of the sanction end-date or six months from the date of release to general confinement. Service of suspended penalties may be imposed as a sanction, based on an individualized assessment, only for serious misbehavior or for committing the same or similar violation as that leading to the suspended sanction.

Part 319 MENTAL ILLNESS

7 CRR-NY 319.1 Effective date {#sec-7-crr-ny-319.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 319.1}

This provision shall take effect on the 2 years and 180th day after it shall become a law.

7 CRR-NY 319.2 Purpose {#sec-7-crr-ny-319.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 319.2}

To help ensure that incarcerated individuals with serious mental illness who are placed in segregated confinement for disciplinary purposes receive timely assessments and a heightened level of mental health care and, absent exceptional circumstances, are placed in a residential mental health treatment unit.

7 CRR-NY 319.3 Admissions and placement {#sec-7-crr-ny-319.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 319.3}

(a) Except as set forth in paragraph (b)(5) of this section, the department, in consultation with mental health clinicians, shall divert or remove incarcerated individuals with serious mental illness, as defined in Correction Law section 137, from segregated confinement or confinement in a residential rehabilitation unit or step-down unit, where such confinement could potentially be for a period in excess of 30-days, to a residential mental health treatment unit. Nothing in this paragraph shall be deemed to prevent the disciplinary process from proceeding in accordance with department rules and regulations for disciplinary hearings.

(b)

(1) Upon placement of an incarcerated individual into segregated confinement, or a residential rehabilitation unit, or step-down unit at a level one or level two facility, a suicide prevention screening instrument shall be administered by staff from the department or the office of mental health who has been trained for that purpose. If such a screening instrument reveals that the incarcerated individual is at risk of suicide, a mental health clinician shall be consulted, and appropriate safety precautions shall be taken. Additionally, within one business day of the placement of such an incarcerated individual into segregated confinement at a level one or level two facility, the incarcerated individual shall be assessed by a mental health clinician.

(2) Upon placement of an incarcerated individual into segregated confinement, or a residential rehabilitation unit, or step-down unit at a level three or level four facility, a suicide prevention screening instrument shall be administered by staff from the department or the office of mental health who has been trained for that purpose. If such a screening instrument reveals that the incarcerated individual is at risk of suicide, a mental health clinician shall be consulted, and appropriate safety precautions shall be taken. All incarcerated individuals placed in segregated confinement or a residential rehabilitation unit, or step-down unit at a level three or level four facility shall be assessed by a mental health clinician, within seven days of such placement into segregated confinement.

(3) At the initial assessment, if the mental health clinician finds that an incarcerated individual suffers from a serious mental illness, that person shall be diverted or removed from segregated confinement, or a residential rehabilitation unit, or step-down unit and a recommendation shall be made whether exceptional circumstances, as described in paragraph (5) of this subdivision, exist. In a facility with a joint case management committee, such recommendation shall be made by such committee. In a facility without a joint case management committee, the recommendation shall be made jointly by a committee consisting of the facility’s highest-ranking mental health clinician, the deputy superintendent for security, and the deputy superintendent for program services, or their equivalents. Any such recommendation shall be reviewed by the joint central office review committee. The administrative process described in this clause shall be completed within 7 days of the initial assessment, and if the result of such process is that the incarcerated individual should be removed from segregated confinement, or a residential rehabilitation unit, or step-down unit, such removal shall occur as soon as practicable, but in no event more than 72 hours from the completion of the administrative process. Except in exceptional circumstances, nothing in this section shall permit the placement of an incarcerated individual with serious mental illness into segregated confinement at any time, even for the purposes of assessment. For purposes of this paragraph, exceptional circumstances shall mean the occurrence of an act of serious misconduct by the incarcerated individual with serious mental illness, and, in the judgment of the superintendent, or, if unavailable, the highest ranking security individual at the facility when the serious misconduct occurred, that there exists an immediate threat to the health and well-being of the incarcerated individual, one or more other incarcerated individuals or staff, such that the incarcerated individual cannot be safely housed in any other immediately available housing unit at the facility. Upon a finding of exceptional circumstances, the incarcerated individual may be housed in segregated confinement for a period not to exceed 48 hours. As soon as possible during such temporary placement of the incarcerated individual in segregated confinement, however, an assessment shall be made by a staff member from the office of mental health, as well as by a facility health services practitioner, to ascertain the current condition of the incarcerated individual in segregated confinement. If either individual determines that such temporary placement in segregated confinement poses a significant risk of harm to the incarcerated individual, then the superintendent, or highest-ranking security official, at the facility, shall arrange for the immediate removal of such individual and transfer to a different facility where the individual can be safely housed in a setting that is not segregated confinement.

(4) If an incarcerated individual with a serious mental illness is not diverted or removed to a residential mental health treatment unit, such incarcerated individual shall be diverted to a residential rehabilitation unit or step-down unit and reassessed by a mental health clinician within 14-days of the initial assessment and at least once every 14-days thereafter. After each such additional assessment, a recommendation as to whether such incarcerated individual should be removed from a residential rehabilitation unit or step-down unit shall be made and reviewed according to the process set forth in paragraph (3) of this subdivision.

(5) A recommendation or determination whether to remove an incarcerated individual from a residential rehabilitation unit or step-down unit shall take into account the assessing mental health clinicians’ opinions as to the incarcerated individual’s mental condition and treatment needs, and shall also take into account any safety and security concerns that would be posed by the incarcerated individual’s removal, even if additional restrictions were placed on the incarcerated individual’s access to treatment, property, services or privileges in a residential mental health treatment unit. A recommendation or determination shall direct the incarcerated individual’s removal from a residential rehabilitation unit or step-down unit except in the following exceptional circumstances:

(i) when the reviewer finds that removal would pose a substantial risk to the safety of the incarcerated individual or other persons, or a substantial threat to the security of the facility, even if additional restrictions were placed on the incarcerated individual’s access to treatment, property, services or privileges in a residential mental health treatment unit; or

(ii) when the assessing mental health clinician determines that such placement is in the incarcerated individual’s best interests based on his or her mental condition and that removing such incarcerated individual to a residential mental health treatment unit would be detrimental to his or her mental condition. Any determination not to remove an incarcerated individual with serious mental illness from a residential rehabilitation unit or step-down unit shall be documented in writing and include the reasons for the determination.

(c) Incarcerated individuals with serious mental illness who are not diverted or removed from a residential rehabilitation unit or step-down unit shall be offered a heightened level of mental health care, involving a minimum of three hours daily of out-of-cell therapeutic treatment and programming. This heightened level of care shall not be offered only in the following circumstances:

(1) The heightened level of care shall not apply when an incarcerated individual with serious mental illness does not, in the reasonable judgment of a mental health clinician, require the heightened level of care. Such determination shall be documented with a written statement of the basis of such determination and shall be reviewed by the Central New York Psychiatric Center clinical director or his or her designee. Such a determination is subject to change should the incarcerated individual’s clinical status change. Such determination shall be reviewed and documented by a mental health clinician every 30-days, and in consultation with the Central New York Psychiatric Center clinical director or his or her designee not less than every 90-days.

(2) The heightened level of care shall not apply in exceptional circumstances when providing such care would create an unacceptable risk to the safety and security of incarcerated individuals or staff. Such determination shall be documented by security personnel together with the basis of such determination and shall be reviewed by the facility superintendent, in consultation with a mental health clinician, not less than every seven days for as long as the incarcerated individual remains in a residential rehabilitation unit or step-down unit. The facility shall attempt to resolve such exceptional circumstances so that the heightened level of care may be provided. If such exceptional circumstances remain unresolved for 30-days, the matter shall be referred to the joint central office review committee for review.

(d) All incarcerated individuals in segregated confinement in a level one or level two facility who are not assessed with a serious mental illness at the initial assessment shall be offered at least one interview with a mental health clinician within seven days of their initial mental health assessment, unless the mental health clinician at the most recent interview recommends an earlier interview or assessment. All incarcerated individuals in a residential rehabilitation unit or step-down unit in a level three or level four facility who are not assessed with a serious mental illness at the initial assessment shall be offered at least one interview with a mental health clinician within 30-days of their initial mental health assessment, and additional interviews at least every 90-days thereafter, unless the mental health clinician at the most recent interview recommends an earlier interview or assessment.

Part 320 RESIDENTIAL MENTAL HEALTH TREATMENT UNITS

7 CRR-NY 320.1 Purpose {#sec-7-crr-ny-320.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 320.1}

This Part defines the models of residential mental health treatment units operated jointly by the department and the Office of Mental Health.

7 CRR-NY 320.2 Residential mental health unit model {#sec-7-crr-ny-320.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 320.2}

A residential mental health unit (RMHU) is a program that includes a separate housing location within a correctional facility designed to address the corrections-based therapeutic treatment of inmates currently diagnosed with a serious mental illness who, due to their behavior, would otherwise be serving a confinement sanction in a special housing unit (SHU) or separate keeplock housing unit. These inmates often present with a complex interplay of antisocial behaviors and psychological factors. The unit is designed to meet the therapeutic needs of the inmates, while maintaining appropriate safety and security on the unit. Although an RMHU is not operated as a disciplinary housing unit, in light of the security concerns associated with the behaviors that resulted in their confinement and other sanctions, inmates on the unit are subject to limitations on the quantity and type of property they are permitted to have in their cells and are afforded access to programs that are more restrictive than those afforded general population inmates, in order to maintain security and order on the unit. After a brief orientation period and absent exceptional circumstances, in addition to exercise, inmates are offered four hours of structured out-of-cell therapeutic programming and/or mental health treatment on a daily basis, except on weekends and holidays.

7 CRR-NY 320.3 Behavioral health unit model {#sec-7-crr-ny-320.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 320.3}

A behavioral health unit (BHU) is a program that includes a separate housing location within a correctional facility designed to address the corrections-based therapeutic treatment of inmates currently diagnosed with a serious mental illness who, due to their behavior, would otherwise be serving a confinement sanction in a SHU or separate keeplock housing unit. These inmates have displayed a marked inability to conform their behavior to societal and/or institutional standards of conduct. They present with a complex interplay of antisocial behaviors and psychological factors that have resulted in their not having benefited from habilitation efforts in the community or rehabilitation efforts during a series of institutional placements. The unit is designed to meet the therapeutic needs of these inmates, while maintaining adequate safety and security on the unit. Although a BHU is not operated as a disciplinary housing unit, in light of the security concerns associated with the behaviors that resulted in their confinement and other sanctions, inmates on the unit are subject to limitations on the quantity and type of property they are permitted to have in their cells and are afforded access to programs that are more restrictive than those afforded general population inmates, in order to maintain security and order on the unit. After a brief orientation period and absent exceptional circumstances, in addition to exercise, inmates housed in a BHU are offered four hours of structured out-of-cell therapeutic programming and/or mental health treatment on a daily basis, excluding weekends and holidays; provided, however, the department may maintain housing for 38 BHU inmates who are offered two hours rather than four hours of structured out-of-cell therapeutic programming and/or mental health treatment. The therapeutic behavioral unit (TBU) is the functional equivalent of the BHU for female inmates.

7 CRR-NY 320.4 Intermediate care program model {#sec-7-crr-ny-320.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 320.4}

The intermediate care program (ICP) is a program that includes a separate housing location within a correctional facility designed to address the corrections-based therapeutic treatment of inmates currently diagnosed with what is, generally, a serious mental illness. The ICP is a therapeutic community which provides rehabilitative services to inmates who are unable to function in general population because of their mental illness. The goal of the program is to improve the inmates' ability to function through programming and treatment so that they may return to general population. In addition to inmates with a mental illness who cannot function in a general population setting, inmates with a mental illness who have a relatively short amount of confinement time to serve may be considered for keeplock in an ICP during non-program hours. After a brief orientation period and absent exceptional circumstances, in addition to exercise, inmates are offered at least four hours of structured out-of-cell therapeutic programming and/or mental health treatment on a daily basis, except on weekends and holidays. Selected ICP inmates are permitted to temporarily leave the unit to receive therapeutic and other programming in a general population setting. An ICP is not operated as a disciplinary housing unit.

7 CRR-NY 320.5 Intensive intermediate care program model {#sec-7-crr-ny-320.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 320.5}

The intensive intermediate care program (IICP) is a program that includes a separate housing location within a correctional facility designed to address:

(a) the corrections-based therapeutic treatment of inmates currently diagnosed with a serious mental illness who, due to their behavior, would otherwise be serving primarily long-term keeplock; and

(b) the corrections-based therapeutic treatment of other inmates who require alternate placement from an ICP due to a less than satisfactory custodial adjustment.

The unit seeks to address the therapeutic needs of the inmates, while maintaining adequate safety and security on the unit. Although an IICP is not operated as a disciplinary housing unit, in light of the security concerns associated with the behaviors that resulted in their confinement and other sanctions, inmates on the unit are subject to limitations on the quantity and type of property they are permitted to have in their cells and are afforded access to programs that are more restrictive than those afforded general population, in order to maintain security and order on the unit. After a brief orientation period and absent exceptional circumstances, in addition to exercise, inmates are offered at least four hours of structured out-of-cell therapeutic programming and/or mental health treatment on a daily basis, except on weekends and holidays. Programming is similar to an ICP, with additional therapeutic programs centering on increasing behavioral control and future adjustment to the correctional environment.

Part 330 PROTECTIVE CUSTODY STATUS INMATES

7 CRR-NY 330.1 Purpose {#sec-7-crr-ny-330.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 330.1}

This Part sets forth the minimum conditions of confinement for inmates in protective custody within the department. Inmates in this status shall be housed in an area which will best maximize the safety and security of both the inmates and the facility.

7 CRR-NY 330.2 Definitions {#sec-7-crr-ny-330.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 330.2}

(a) Voluntary protective custody inmate.

An inmate who is a potential victim or a witness likely to be intimidated, or who lacks the ability to live in the general facility community and who may for good cause be restricted from communication with the general inmate population, and who voluntarily accepts admission into protective custody status.

(b) Involuntary protective custody inmate.

An inmate who may be a potential victim or a witness likely to be intimidated, or who lacks the ability to live in the general facility community and who may for good cause be restricted from communication with the general inmate population, and who does not voluntarily accept admission into protective custody status.

7 CRR-NY 330.3 Admission and transfer policy {#sec-7-crr-ny-330.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 330.3}

Consistent with the department's policy of providing appropriate programming, inmates placed in protective custody status will be evaluated and recommended for transfer to facilities where they may be appropriately programmed in general population. This provision is not applicable, however, to inmates at reception centers or Upstate Correctional Facility, or to inmates assigned to the Merle Cooper or APPU programs at Clinton Correctional Facility.

(a) Voluntary protective custody inmate.

An inmate in this status may request reassignment to general population. Such request shall be evaluated and within 14 days the inmate shall either be assigned to general population or be subject to a hearing, conducted in accordance with the provisions of Part 254 of this Title, to determine the need for assignment to involuntary protective custody status.

(b) Involuntary protective custody inmate.

(1) An inmate in this status shall have a hearing, conducted within 14 days in accordance with the provisions of Part 254 of this Title, to determine the need for protective custody admission.

(2) An inmate in this status shall have such status reviewed every 30 days by a three- member committee consisting of a representative of the facility executive staff, a security supervisor, and a member of the guidance and counseling staff. The results of such review shall be forwarded, in writing, to the superintendent for final determination.

7 CRR-NY 330.4 Conditions of confinement {#sec-7-crr-ny-330.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 330.4}

(a) Out-of-cell time.

Inmates will be afforded the opportunity to be out of their cells for a minimum of three hours per day between the hours of 7 a.m. and 11 p.m. A minimum of one hour out-of-cell time shall be scheduled for outdoor exercise. The additional two hours of out-of-cell time may be used for, but not limited to, the following activities (see section 330.5 of this Part for exceptions):

(1) gallery or yard recreation;

(2) meals;

(3) telephone calls;

(4) showers;

(5) visiting;

(6) gallery programs; and/or

(7) additional outdoor exercise.

(b) Exercise/recreation.

(1) Weather permitting, one hour of exercise per day will be out- of-doors, excluding the time necessary to process and escort the inmate to and from the outdoor exercise area.

(2) Gallery recreation will include opportunities for inmates to participate in passive board games, watch television, play cards, read or write outside of their cells.

(c) Meals.

(1) Inmates in protective custody status will be afforded the opportunity to participate in two meals per day outside of their cells. (See section 330.5 of this Part for exceptions.)

(2) Inmates will be provided meals of the same type as the meals available to inmates in general population, and in sufficient quantity to be nutritionally adequate.

(d) Religious programs.

The facility chaplains will visit inmates in protective status once a week to provide religious counseling.

(e) Law library services.

The facility law library will provide a list of legal books, journals and papers in the facility law library that are available to inmates in protective custody status. This list will be made available to these inmates upon request.

(1) An inmate may obtain legal materials from the law library by submitting a written request subject to the following conditions:

(i) a maximum of two items may be ordered at one time;

(ii) the law library will deliver the requested items, if available, within 24 hours of receiving the request; and

(iii) inmates may retain said legal material for a period of not less than 16 hours nor more than 24 hours at a time.

(2) Inmates may receive the legal services (i.e., legal research, photocopying, typing) normally available to the general population (see directive 4483, Law libraries and inmate legal assistance).

(3) Notwithstanding the requirements of paragraph (2) of this subdivision, no inmate advisers or inmate law clerks will be permitted to visit inmates in protective custody status.

(4) All communications between inmates in protective custody status and the law library will be monitored by facility staff.

(5) All inmate legal materials going to or coming from the law library will be subject to search.

(6) Whenever a law library service item is deemed to be improper or inappropriate, it shall be referred to the area supervisor for a determination as soon as possible. The staff member doing this shall notify the inmate and record the action in the appropriate log.

(7) Inmates may be deprived of law library services by issuance of deprivation order after consultation with counsel's office.

(8) Notary services will be available two times per week.

(f) General library services.

There shall be available, to inmates in protective custody status, general library materials in the quantity equal to at least two books and one magazine/periodical for each inmate. This reading material will be rotated every 60 days.

(1) Inmates may request and maintain these general library books, magazines or newspapers in their cells for a period of at least one week.

(2) Inmates assigned to protective custody status may, in the discretion of the facility superintendent, be permitted access to other materials in the general facility library either through a referral system or by visiting the library at times when general population inmates do not have access to that area.

(g) Education.

Inmates in protective custody status will be offered the opportunity to participate in cell study program. Education counselors, teachers or other appropriate staff members may visit the protective custody inmates as needed to provide assistance to any inmate participating in a cell study program.

(h) Commissary/packages.

Except for restrictions imposed as a result of a disciplinary action, packages and commissary will be delivered to the inmates in protective custody status. Inmates will not go to the package room or commissary to pick up their own items.

(i) Telephone calls.

Except for restrictions imposed as a result of a disciplinary action, inmates in protective custody status will be permitted to participate in the telephone home program.

(j) Visitation/correspondence.

Except for restrictions imposed as a result of a disciplinary action or restrictions imposed pursuant to appropriate departmental directives, there shall be no limitations on the visitation and correspondence for inmates in protective custody status.

(k) Family reunion program.

Inmates in protective custody status shall be eligible to apply for participation in the family reunion program pursuant to Part 220 of this Title.

(l) Inmate grievance program.

(1) Inmates in protective custody status shall have access to the inmate grievance program in accordance with the requirements of Part 701 of this Title, inmate grievance program. The superintendent shall establish procedures to ensure that the grievance mechanism is available to inmates in protective custody status without jeopardizing institutional safety and security.

(2) Inmates in protective custody status are not required to personally appear before the grievance committee.

(m) Laundry services.

Laundry services for inmates in protective custody status shall be provided in the same manner and with the same frequency as provided to inmates in general population.

(n) Personal property.

Inmates will be issued their personal property when assigned to in protective custody status, subject to safety and security considerations.

7 CRR-NY 330.5 Exceptions {#sec-7-crr-ny-330.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 330.5}

(a) This directive shall not apply to the operation of Green Haven's protective custody unit, which is governed by the provisions of the stipulation in the action entitled Honeycutt v. Coughlin.

(b) The additional two-hour out-of-cell time requirement in section 330.4(a) of this Part, and the out-of-cell meal requirement in section 330.4(c), shall not apply to Clinton Correctional Facility because the limitations of the physical configuration of the area housing inmates in protective custody status do not afford adequate protection for such activities. The out-of-cell meal requirement in section 330.4(c) of this Part shall also not apply to Upstate Correctional Facility because the facility is specifically designed for meals to be provided within each double- occupancy cell.

7 CRR-NY 330.6 Local rules and regulations {#sec-7-crr-ny-330.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 330.6}

Each facility housing immates in protective custody status shall promulgate rules and regulations for care and custody and submit them to the deputy commissioner for facility operations for review and approval.

Chapter VII REAL PROPERTY ACQUISITION

Part 400 PAYMENTS TO AN OWNER OR TENANT OF RESIDENTIAL PROPERTY OR COMMERCIAL PROPERTY UPON THEIR APPLICATION FOR ALLOWANCE OF MOVING EXPENSES IN VACATING PROPERTY ACQUIRED BY THE COMMISSIONER OF CORRECTIONAL SERVICES FOR SUPPLEMENTAL RELOCATION PAYMENTS, FOR LOSS OF FAVORABLE MORTGAGE FINANCING AND FOR CLOSING COSTS

7 CRR-NY 400.1 Purpose {#sec-7-crr-ny-400.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 400.1}

The laws stated above provide that the Commissioner of Correctional Services, with the approval of the Director of the Budget shall establish and may amend rules and regulations authorizing the payment of reasonable and necessary moving expenses, supplemental relocation payments, loss of favorable mortgage financing and closing costs to occupants of property acquired pursuant to such laws. The following rules and regulations shall apply to moving expenses, supplemental relocation payments, loss of favorable mortgage financing and closing costs to eligible persons caused by their displacement from real property acquired pursuant to such laws.

7 CRR-NY 400.2 Definitions {#sec-7-crr-ny-400.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 400.2}

For the purposes of this Part, the following terms shall mean:

(a) Commissioner.

The State Commissioner of Correctional Services.

(b) Department.

The State Department of Correctional Services.

(c) Individual.

A person who is not a member of a family as herein defined.

(d) Family.

The term family means two or more individuals, one of whom is the head of a household, plus all other individuals regardless of blood or legal ties who live with and are considered a part of the family unit. Where two or more individuals occupy the same dwelling with no identifiable head of a household, they shall be treated as one family.

(e) Business.

The term business means any lawful activity, expecting a farm operation, conducted primarily:

(1) for the purchase, sale, lease and rental of personal and real property, and for the manufacture, processing, or marketing of products, commodities, or any other personal property;

(2) for the sale of services to the public;

(3) by a nonprofit organization; or

(4) solely for the purpose of moving and related expenses, for assisting in the purchase, sale, resale, manufacture, processing, or marketing or products, commodities, personal property, or services by the erection and maintenance of an outdoor advertising display or displays, whether or not such display or displays are located on the premises on which any of the above activities are conducted.

(f) Nonprofit organization.

A corporation, partnership, individual or other public or private entity, engaged in a business, professional or instructional activity on a nonprofit basis, necessitating fixtures, equipment, stock in trade, or other tangible property for the carrying on of the business, profession or institutional activity on the premises.

(g) Farm operation.

The term farm operation means any activity conducted solely or primarily for the production of one or more agricultural products or commodities, including timber, for sale or home use and customarily producing such products or commodities in sufficient quantity to be capable of contributing materially to the operator's support.

(h) Moving expenses.

The reasonable necessary expenses of moving personal property, including the costs of dismantling, disconnecting, crating, loading, insuring, temporary storage, transporting, unloading and reinstalling such personal property. Reimbursement for necessary moving expenses is also intended to include payment for temporary lodging and transportation and the cost of transferring licenses, exclusive of legal fees. Moving expense reimbursement is exclusive of any betterments or improvements (except when required by law) or additives to the replacement site.

(i) Counted rooms.

That space in the appropriated structure containing a substantial and usual quantity of household furniture, equipment and personal property. They shall include the usual acceptable defined rooms such as bedrooms, living rooms, kitchens, etc. but will exclude vestibules, hallways, bathrooms and powder rooms.

(j) Dwelling.

Any single family house, a single family unit in a multi-family building, a unit of a condominium or cooperative housing project, a mobile home, or any other residential unit.

(k) Comparable replacement dwelling.

One which is:

(1) decent, safe and sanitary as otherwise defined in this Part;

(2) functionally equivalent and substantially the same as the acquired dwelling with respect to:

(i) number of rooms;

(ii) area of living space;

(iii) type of construction;

(iv) age; and

(v) state of repair.

(3) fair housing (open to all persons regardless of race, color, religion, sex or national origin);

(4) in areas not generally less desirable than the dwelling to be acquired in regard to:

(i) public utilities; and

(ii) public and commercial facilities.

(5) reasonably accessible to the relocatee's place of employment;

(6) adequate to accommodate the relocatee;

(7) in an equal or better neighborhood;

(8) available on the market to the displaced person; and

(9) within the financial means of the displaced family or individual.

(l) Mortgage.

Such classes of liens as are commonly given to secure advances on, or the unpaid purchase price of, real property, under the laws of the State, together with the credit instruments, if any, secured thereby.

(m) Owner.

An individual owning, legally or equitably, the fee simple estate, a life estate, a 99 year lease; the contract purchaser of any of the foregoing estates or interests or who has succeeded to any of the foregoing interests by devise, bequest, inheritance or operation of law.

(n) Loss of favorable mortgage financing.

The amount to compensate a displaced person for the increased interest costs he is required to pay for financing a replacement dwelling based on the existing and replacement housing mortgage.

(o) Incidental expenses.

The amount necessary for the actual reasonable and necessary costs incurred incident to the purchase of a replacement dwelling, not including prepaid expenses.

(p) Hardship case.

A situation determined by the commissioner to represent an extenuating or unusual circumstance where serious financial, social or personal hardship would be imposed upon an owner/tenant because of a delay in receiving payment of moving expenses, supplemental housing benefits, or related eligible expenses.

(q) Initiation of negotiations for the parcel.

The date of the first personal contact with the owner of any property to be acquired or his designated representative where price is discussed.

(r) Initiation of negotiations for the project.

The date of the first personal contact with the owner of any property or his designated representative where price is discussed except where such contact is made solely for protective buying or because of hardship.

(s) Date of eligibility for benefits.

Eligibility for the payments enumerated in this Part are specified under the respective subdividion hereof. However, no eligibility will accrue to any person moving onto any project subsequent to the date of initiation of negotiations for the project, except for the payment of moving expenses, unless it be determined by the commissioner to be in the public interest to so make a finding of eligibility.

(t) Standards for decent, safe and sanitary housing.

A decent, safe and sanitary dwelling is one which meets all of the following minimum requirements:

(1) Conforms to State and local housing codes and ordinances.

Conforms with all applicable provisions for existing structures that have been established under State or local building, plumbing, electrical, housing and occupancy codes and similar ordinances or regulations.

(2) Water.

Has a continuing and adequate supply of potable safe water.

(3) Kitchen requirements.

Has a kitchen or an area set aside for kitchen use which contains a sink in good working condition and connected to hot and cold water, and an adequate sewage system. A stove and refrigerator in good operating condition shall be provided when required by local codes, ordinances or custom. When these facilities are not so required by local codes, ordinances or custom, the kitchen area or area set aside for such use shall have utility service connections and adequate space for the installation of such facilities.

(4) Heating system.

Has an adequate heating system in good working order which will maintain a minimum temperature of 70 degrees Fahrenheit in the living area under local outdoor design temperature conditions. Bedrooms are not included in the “living area” as referred to in this paragraph.

(5) Bathroom facilities.

Has a bathroom, well lighted and ventilated and affording privacy to a person within it, containing a lavatory, basin and a bathtub or stall shower, properly connected to an adequate supply of hot and cold running water, and a flush closet, all in good working order and properly connected to a sewage disposal system.

(6) Electric system.

Has an adequate and safe wiring system for lighting and other electrical services.

(7) Structurally sound.

Is structurally sound, weathertight, in good repair and adequately maintained.

(8) Egress.

Each building used for dwelling purposes shall have a safe unobstructed means of egress leading to safe open space at ground level. Each dwelling unit in a multi-dwelling building must have access either directly or through a common corridor to a means of egress to open space at ground level. In buildings of three stories or more, the common corridor on each story must have at least two means of egress.

(9) Habitable floor space.

Has 150 square feet of habitable floor space for the first occupant in a standard living unit and at least 100 square feet (70 square feet for mobile home) of habitable floor space for each additional occupant. The floor space is to be subdivided into sufficient rooms to be adequate for the family. All rooms must be adequately ventilated. Habitable floor space is defined as that space used for sleeping, living, cooking or dining purposes and excludes such enclosed places as closets, pantries, bath or toilet rooms, service rooms, connecting corridors, laundries and unfurnished attics, foyers, storage spaces, cellars, utility rooms and similar spaces.

(10) The standards for decent, safe and sanitary housing as applied to rental of sleeping rooms shall include the minimum requirements contained in paragraphs (1), (4), (6), (7) and (8) of this subdivision and the following:

(i) Habitable floor space. At least 100 square feet of habitable floor space for the first occupant and 50 square feet of habitable floor space for each additional occupant.

(ii) Bathroom facilities. Lavatory, bath and toilet facilities that provide privacy including a door that can be locked if such facilities are separate from the room.

(11) A mobile home is to be considered to be decent, safe and sanitary if it meets the standards set forth above except that the space requirements are reduced to a minimum of 150 square feet of habitable floor space for the first occupant and a minimum of 70 square feet of habitable floor space for each additional occupant and that one means of egress is available.

7 CRR-NY 400.3 General provisions applicable to residential and commercial moving expenses {#sec-7-crr-ny-400.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 400.3}

Application for payment of moving expenses shall be made by an eligible person in writing to the commissioner upon forms prescribed by him and shall be accompanied by such information, evidence and executed vouchers as he may require. Such application shall be submitted to the commissioner through the Office of Real Property, Facilities Development Corporation and payment of such moving expenses will be made to eligible persons under the circumstances and to the extent set forth herein.

(a) Any individual, family, business, or farm operator is eligible to receive payment for the reasonable expenses of moving his personal property subsequent to the earlier of the following two dates:

(1) he is in occupancy at the initiation of negotiations for the acquisition of the real property in whole or in part; or

(2) he is in occupancy at the time he is given a written notice by the State that it is their intent to acquire the property by a given date or he is given notice to vacate the property by a specific date.

(b) Where the acquisition of real property used for a business or farm operation which is eligible for a payment under subdivision (a) of this section causes a person to vacate a dwelling from other real property not acquired or move his personal property from other real property not acquired, the additional expenses of moving such personalty are eligible for the appropriate moving payments.

(c) Moving expenses shall not exceed the cost of transportation beyond 50 miles, except in the case of a business or farm when the State determines that relocation cannot be accomplished within the 50 mile area; such exceptions may only be allowed to the nearest adequate and available site.

(d) The cost of insurance premiums covering loss and damage of personal property while in storage or transit will be eligible for reimbursement; such insurance coverage shall not exceed the reasonable replacement value of the personal property. Moving expenses shall not include any direct losses or losses due to negligence.

(e) The type of interest acquired does not affect the eligibility of relocation costs for reimbursement provided the interest acquired is sufficient to cause displacement. If, in the opinion of the commissioner, the acquisition of a portion of an entire premises or of access thereto renders all or the remainder of such premises unsuitable for continued use and occupation or renders it without suitable access the removal of personal property from the entire property may be considered eligible for the payment of moving expenses.

(f) Moving expenses shall not include the costs of moving, installing or replacing any fixtures or equipment considered part of the realty from the acquired property nor will reimbursement be made for any cost of construction or improvement to the new location or for any remodeling, redecorating or reinforcing of the new structure to accommodate the eligible person or his personal property, unless required by law, or deemed to be in the public interest by the commissioner.

(g) Reimbursement for electrical wiring and plumbing charges and communication systems work covers only that work which is directly related to the personal property being relocated. Reimbursement is to exclude any costs of bringing electrical or plumbing services to the new site but may, where circumstances warrant and prior approval is given, include costs of labor and materials for distributing these services to the personal property relocated. Reimbursement under this subdivision excludes costs of installing basic electrical wiring or plumbing to a new structure or that normally found and expected in an existing structure and is intended to cover only those costs necessary to provide sufficient and adequate but not super-adequate utilities to operate the displaced business.

(h) It is expected that in anticipation of moving, the business or farm will reduce their inventories of stock or merchandise as much as practicable in order to have the removal accomplished in the most businesslike and economical manner.

(i) Application for payment of moving expenses must be made within 12 months after vacating of acquired premises or six months after final award determination in a case litigated in the courts of the State, whichever is the later. Such limitation shall include any eligible storage period.

(j) In case a building or structure acquired by the State is returned to the owners under an agreement, an eligible person will be entitled to the moving expenses for any personal effects, furniture and household equipment remaining in the building or structure at the time of removal of such building or structure; however, the cost of moving the structure is not eligible for moving expenses. The eligible person, at his option, may accept a room count allowance or receive reimbursement on the actual cost basis.

(k) In the case where the acquisition of real property causes the displacement of an advertising sign and such sign constitutes the only improvement to the property acquired or where the acquisition causes a person to remove his advertising sign from real property not acquired, the owner of the advertising sign is eligible for appropriate moving payments. However, where the advertising sign is owned by and located on the business or farm displaced there will be no separate moving or related expenses considered.

(l) Moving junkyards and automobile graveyards. The State will pay the cost to put the junk or automobile bodies in an acceptable condition for delivery to the nearest reasonable salvage collection point, together with the transportation costs from the appropriated property to said salvage collection point. In the case of moving the material from an appropriated junkyard to a substitute location the State will pay the processing cost to prepare the junk for removal by the most economical means. The State will not pay the cost of disassembly for resale of parts.

(m) An advertising sign, junkyard or automobile graveyard that is otherwise eligible for moving payments will not be eligible when it is moved to a site in violation of State, Federal or local regulations.

(n) An otherwise eligible owner of an advertising sign or a nonprofit business is not entitled to an “in lieu of” moving expense payment.

(o) If the actual costs incurred by the eligible person exceed the departments approved limit of moving expenses, the eligible person may submit to the department a fully detailed explanation for the excess costs. The department's approval limit may be adjusted accordingly.

(p) The cost of necessary storage for a period not to exceed six months may be considered as part of moving expenses and will be subject to the following provisions:

(1) Moving expenses may include the cost of moving into dead storage at the prevailing rate in a commercial storage facility or warehouse; no payment will be made for storage on premises owned or occupied by the eligible person, members of his immediate family, or his legal or financial representative.

(2) If personal property is subsequently sold or delivered from storage to third parties, reimbursement for storage or moving out of storage will not be allowed.

(q) The costs of storage or moving out of storage will not be considered in calculating a figure for determining the extent of participation in any other benefits defined herein.

(r) Payment of moving expenses is based upon the pre-approval of estimates and bids before commencing the move. All aspects and phases of the move will be considered in arriving at an approved moving expense. (Such consideration may include, for example, anticipated storage charges, necessary supervision or overtime payments when deemed necessary and reasonable by the department.) If, due to extraordinary circumstances, a move is completed without the necessary bids or without the necessary pre-approval or, if the bids, estimates or bills submitted in support of the moving expenses appear unreasonable, unnecessary or noncompensable, then the eligible person will be required to submit a fully detailed explanation of all costs and upon sufficient written justification for failure to comply with this Part will limit the payment to its determination of that amount which it considers to be actual, reasonable and necessary moving expenses.

(s) In the case of a hardship where advance payment of moving expenses is requested, the eligible person must submit in advance a written application setting forth the full extent and circumstances of the hardship. A written determination will be made by the department. If the department determines a hardship exists, an advanced payment of reasonable necessary moving expenses may be made.

(t) In unusual or hardship situations, when determined to be in the public interest, the commissioner may authorize a payment even though the strict requirements of eligibility specified herein are not met.

7 CRR-NY 400.4 Residential moving expenses {#sec-7-crr-ny-400.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 400.4}

All eligible residential occupants will be entitled to reimbursement of actual, reasonable and necessary moving expenses or may elect a fixed amount in accordance with the counted room allowance.

(a)

(1) If the eligible person elects to receive a scheduled payment in lieu of actual, reasonable and necessary moving expenses, the following schedules will apply:

ROOM COUNT SCHEDULE

| Unfurnished units | Each additional | | | | | | --- | --- | --- | --- | --- | --- | | room | | | | | | | 1st room | 2nd | 3rd | 4th | 5th | 6th | | $75 | $110 | $150 | $190 | $225 | $25 each |

| Mobile homes | | | | | | | --- | --- | --- | --- | --- | --- | | sq. ft. | 300 | 300/500 | 500/700 | 700/800 | 800 over | | | $100 | $150 | $200 | $250 | $300 |

| Furnished units, sleeping rooms (including mobile homes) | | | --- | --- | | 1st room | 2nd + remaining | | $25 | $15 |

(2) In addition to the amounts specified in paragraph (1) of this subdivision, each relocated individual or family will be entitled to an additional $200 dislocation allowance. When garages, sheds, and outbuildings are acquired and the eligible person's place of residence is not disturbed, or when the eligible person's principal place of residence is not the appropriated site, a fixed allowance may be applied per the aforementioned room count schedules less the $200 dislocation allowance.

(b)

(1) If the eligible residential occupant elects to receive reimbursement on the basis of actual, reasonable and necessary moving expenses he must notify the department at least six weeks prior to the starting date of moving. At the option of the department, it may conduct an inventory of personal property and merchandise to be moved, and will obtain at least one estimate or bid of the cost of moving. The eligible person will be notified in writing of the amount of the State's estimate and will be given authorization to commence moving. Upon completion of the move, actual, reasonable and necessary moving expenses will be paid based upon receipted bills submitted to the department in an acceptable form consistent with section 400.6 of this Part, limited to an amount not to exceed the approved estimate.

(2) In the case of a residential self move performed by the eligible person, his family and others not normally in the moving business, the move must be in compliance with all applicable State and Federal laws. All charges must be detailed in the form of a summary affidavit. In the event of failure to meet any of the above requirements as provided, payment will be limited to a lump sum amount based on the counted room schedule plus the dislocation allowance.

7 CRR-NY 400.5 Commercial moving expenses {#sec-7-crr-ny-400.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 400.5}

An eligible person occupying a business, farm operation or a nonprofit organization will be reimbursed for actual, reasonable and necessary moving expenses, actual reasonable and necessary expenses in searching for a replacement site and actual direct losses of tangible personal property in moving or discontinuing the operation or activity.

(a) The eligible person shall notify the department eight weeks prior to the starting date of the move of his definite intentions regarding the manner and method of moving. At the option of the department, personnel of the department may conduct an inventory of personal property and merchandise to be moved, including a description of each phase of the work to be performed and an explanation of any unusual or peculiar circumstances that will be pertinent to arriving at a comprehensive cost of moving figure. The address of the appropriated property, address the eligible person is moving to and the approximate distance between is to be included therein. This inventory is to be signed by the eligible person and is to be supplied to all estimators and bidders for each phase of the work and they are to base their estimates and bids on removal of the items listed therein. The occupant may at his own expense, obtain competitive bids on the costs of moving and may submit a competitive self-move bid on all or a portion of the removal.

(b) Actual costs must be documented upon receipted, detailed bills from recognized movers, skilled craftsmen and are not to exceed the total of the lowest acceptable bids or estimates obtained on each phase of the move.

(c) Estimates and bids on each phase of the move shall be obtained by the department from generally recognized, qualified movers and skilled craftsmen. Upon receipt and review of all estimates and bids, the department will determine the lowest acceptable bid. This bid will be sent to the eligible person advising him to commence moving and setting forth the limits of reimbursement and the time and manner in which payment will be made. After the removal has been accomplished actual costs must be documented by detailed, receipted bills from recognized movers, skilled craftsmen and are not to exceed the approved amount based on a total of the lowest acceptable bids or estimates obtained on each phase of the move. All bids from movers and craftsmen must be submitted in accordance with section 400.6 of this Part.

(d) In the case of a self move the eligible person may at the option of the department be paid an amount to be negotiated by the State not to exceed the lower of two firm bids or estimates obtained by the department from qualified moving firms. In the case of a self move performed by the eligible person, his family and others not normally in the moving business, the move must be in compliance with all applicable State and Federal laws. All charges must be detailed in the form of a summary affidavit.

(e) When personal property which is used in connection with the business to be moved is of low value and high bulk and the estimated cost of moving would be disproportionate in relation to the value, the State may negotiate with the owner for an amount not to exceed the difference between the cost of replacement of comparable item(s) on the market and the amount which would probably have been received for the item(s) on liquidation, but such amount may not exceed the reasonable costs of moving these items.

(f) All books and records kept by eligible persons shall be subject to review and audit by a State representative during reasonable business hours.

(g) Payment of moving expenses is based upon the preapproval of estimates and bids submitted to the department before commencing the move. If, due to extraordinary circumstances a move is completed without submitting necessary bids, the commissioner may, upon receipt of sufficient written justification for failure to submit estimates, pay reasonable and necessary actual expenses upon verification and support for the expenses incurred.

7 CRR-NY 400.6 Procedure for actual cost basis moving expenses {#sec-7-crr-ny-400.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 400.6}

On an actual cost basis, all bids, estimates and final bills being submitted on each phase of the move by moving concerns or skilled craftsmen, herein referred to as contractors, shall contain as a minimum the following information:

(a) Name and address of the contractor and date prepared.

(b) If estimates, bids or bills are to be made on an hourly rate or some other basis, then such method must contain sufficient data and explicit details to expedite meaningful analysis.

(c) An itemized list of the estimated or actual charges for packing, unpacking, crating, dismantling, disconnecting, reassembling and reconnection.

(d) If any material is required in the reinstallation of personal property it must be itemized together with the costs. No reimbursement will be made for materials used for the replacement or reinstallation of acquired property. The reasonable cost of new materials used in the reinstallation of personal property will be reimbursed only when it is in the best interest of the State to do so.

(e) In cases where use of trucks and other equipment are necessary, an itemized list of charges shall be based upon an hourly, daily, weekly or monthly rate, whichever total amount is lesser, based upon the number of estimated hours equipment will be used. The estimated equipment rate or hourly wage rate shall not exceed the prevailing industry rate for such equipment or labor. If the eligible person utilized equipment or labor at a rate less than the rates paid by commercial movers, the lesser rate will be used.

(f) If it is determined by the commissioner that the bids, estimates or bills submitted appear unreasonable, unnecessary or noncompensable, the eligible person may be required to submit additional information considered necessary to determine the reasonable and necessary cost of moving.

7 CRR-NY 400.7 “In lieu of” moving expenses for business or farm occupants {#sec-7-crr-ny-400.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 400.7}

In lieu of actual, reasonable and necessary moving expenses, searching fees and actual direct losses of tangible personal property, a business or farm operation is eligible for a payment equal to the average annual net earnings of the displaced business or farm, except such payment shall not be less than $2,500 nor more than $10,000 providing the following requirements are met:

(a) Business.

The owner of the business eligible for relocation expenses must submit a written application as prescribed by the commissioner, with eligibility for payment contingent upon the State's determination that the business:

(1) cannot be relocated without a substantial loss of patronage, herein defined as the average dollar volume of business transacted during the two taxable years immediately preceding the year in which the business is relocated, and

(2) is not part of a commercial enterprise having at least one other establishment which is not being acquired by the State or the United States and which is engaged in the same or similar business, and

(3) the business contributes materially to the income of the displaced owner of a part-time occupation in the home.

(b) Farm.

The owner of a displaced farm operation must submit a written application as prescribed by the commissioner, with eligibility for payment contingent upon the State's determination that:

(1) The farm operator has discontinued or relocated his entire operation at the present location, and

(2) in the case of a partial taking, the property remaining after the acquisition is no longer an economic unit as determined by the State in its appraisal process.

(c) The department will calculate a payment in lieu of moving expenses equivalent to the average annual net earnings. The term average annual net earnings means one-half of any net earnings of the business or farm before Federal, State and local income taxes during the two taxable years immediately preceding the taxable year in which the business or farm is relocated. Such earnings shall include any compensation paid by the business or farm to the owner and his immediate family during the base year period. In the case of a corporation, earnings shall include any compensation paid by the corporation to the owner of a majority interest in the corporation. For purposes of determining majority ownership, stock held by a husband and his immediate family shall be treated as one unit.

(d) If the business affected can show that it was in business 12 consecutive months during the two taxable years prior to the taxable year in which it is required to relocate; had income during such period and is otherwise eligible to receive the in lieu of payment. Where the business was in operation for 12 consecutive months or more but was not in operation during the entire two preceding taxable years, the payment shall be computed by dividing the net earnings by the number of months the business was operated and multiplying by 12. A taxable year is defined as any 12 month period used by the business in filing income tax returns.

(e) For the owner of a business or farm to be entitled to this payment, the business or farm must provide information to support the net earnings. State or Federal income tax returns for the years in question are acceptable as evidence of earnings. Any commonly accepted method of verifying earnings may be offered provided it grants the State the right to review the records and accounts of the business or farm. The eligible person will be notified in writing by the department regarding his eligibility and the amount of the in lieu of payment, if any, will be set forth therein.

7 CRR-NY 400.8 Actual, reasonable and necessary searching fees {#sec-7-crr-ny-400.8 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 400.8}

(a) In the case of a business, farm operation, or nonprofit organization, the eligible person or his qualified representative may be reimbursed for the actual, reasonable and necessary expenses in searching for a replacement site not to exceed $500. The owner of a displaced advertising sign, eligible under section 400.3 of this Part, may be reimbursed his actual, reasonable expenses in searching for a replacement sign site not to exceed $100. Reimbursement will be limited to the above amounts unless in exceptional cases the commissioner deems otherwise.

(b) The expenses in searching for a replacement site may include transportation expenses, meals and lodging away from home and the reasonable value of time actually spent in searching for but not including any commission for the sale of a property.

(c) The application for reimbursement shall take the form of a summary affidavit which is to include the name and address of the eligible person, a detailed summary of the work performed, dates and hours worked and wage rate applied not to exceed $10 per hour. Lodging, mileage, and subsistence charges will be allowed according to and consistent with the prevailing rates approved for State travel and expense purposes by the State Comptroller for those type of expenditures.

(d) All actual, reasonable and necessary expenses directly related to the search for replacement property must be documented by detailed, receipted bills.

7 CRR-NY 400.9 Actual direct losses of tangible personal property {#sec-7-crr-ny-400.9 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 400.9}

(a) Actual direct losses of tangible personal property are allowed in the case of a business, farm, or nonprofit organization when an eligible person who is displaced is entitled to relocate such personal property but elects not to do so. Payments for such losses may only be made after a bona fide effort has been made by the owner to sell the item(s) involved. When the item(s) is sold, payment will be made according to the following standards:

(1) If the business, farm, etc. is reestablished, but the personal property is replaced with a comparable item at the new location, payment shall be the lesser of:

(i) the replacement cost less the net proceeds of the sale; or

(ii) the estimated cost of moving the item.

(2) If the business, etc. is discontinued, or the item is not replaced in the reestablished business, payment shall be the lessor of:

(i) the depreciated value of the item in place less the net proceeds of the sale; or

(ii) the estimated cost of moving the item.

(b) If a bona fide sale is not effected above because no offer is received for the personalty, the owner shall be entitled to the reasonable expenses of the sale plus the estimated cost of moving the item(s). Payment to the owner for losses for the item involved in this circumstance will not be made unless and until the owner thereof submits a suitable declaration of abandonment of the item(s) invloved. Upon receipt of this abandonment notice, the item(s) become the property of the State, subject to disposal in the most economical manner. If the person makes no attempt to dispose of the property by sale or removal, the owner will not be entitled to payment of any moving expenses, or losses, for the item involved.

(c)

(1) Under the above conditions, the eligible person shall notify the department at least three months prior to the starting date of the move of his definite intentions toward application for a payment for direct losses of tangible personal property. Upon receipt of this notice, an inventory will be compiled by the department distinguishing the realty and the personalty, and the eligible person will sign this inventory. The department will further obtain estimates on the costs of moving the personal property to the new location. Upon written notification from the department, the eligible person may make arrangements for a public sale, advertising to be accomplished in the most economical manner and with provision for adequate notification through the media appropriate for the sale of the personalty. The sale will be held publicly during reasonable hours and in the presence of representatives of the department.

(2) The sale price, if any, and the actual, reasonable costs of advertising costs or related costs in conducting the sale incurred by an auctioneer or sales manager, shall be supported by a copy of the bill of sale or similar documents and by copies of any advertisements, offers to sell, auction records and other data supporting the bona fide nature of the sale are to be presented to the department when making application for payment under this subdivision.

(3) The eligible owner of an advertising sign may be reimbursed for actual direct losses when he is entitled to relocate the sign but does not do so; the owner need not attempt to conduct a bona fide sale; the loss will be the lesser of

(i) the depreciated reproduction cost of the sign as determined by the State, or

(ii) the estimated cost of moving the sign.

7 CRR-NY 400.10 Supplemental relocation payments, loss of favorable mortgage financing, incidental expenses {#sec-7-crr-ny-400.10 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 400.10}

In addition to other payments and benefits authorized by State law, individuals and families displaced from dwellings on real property acquired by the Department of Correctional Services, who were in occupancy on or after July 1, 1971 are entitled to supplemental relocation payments, payment for loss of favorable mortgage financing, and incidental expenses, in accordance with the following criteria and eligibility standards.

(a) General requirements to receive replacement housing payments.

(1) In addition to the occupancy requirements as specifically enumerated herein, a displaced person is otherwise eligible for the appropriate payments when he relocates and occupies a decent, safe and sanitary dwelling within one year, beginning on the latter of the following dates: the date on which the owner receives final payment from the State for legal damages directly connected with the acquisition of the dwelling unit in negotiated settlements; or in the event an amicable settlement is not reached, the date on which the full amount of the offered fair market value is made available to the owner; or the date required to move from the dwelling acquired, or the date on which the eligible occupant actually moves from the dwelling acquired; if in fact this latter date is earlier than the date required to move. The date required to move is here defined and elsewhere in this section as that date specified in writing by the State, by which the property must be vacated.

(2) Application for payments under this section shall be in writing on forms prescribed by the commissioner. The application must be filed no later than six months after the expiration of the one-year period specified in paragraph (1) of this subdivision, except that in cases litigated in the Court of Claims, the six month period shall start from the date of final judgment of that court.

(3) If two or more eligible families occupy the same family dwelling unit, each family is eligible for a replacement housing payment if they relocate to separate dwelling units.

(4) If two or more eligible individuals with no identifiable head of household occupy the same single family dwelling unit they are considered as one "family" for replacement housing payment purposes. When all individuals do not relocate to decent, safe and sanitary housing the department shall determine and pay those individuals who do not relocate into decent, safe and sanitary housing a pro-rata share of the amount that would have been received if all of the individuals had relocated together in the same ownership or rental status they had at the time of initiation of negotiations.

(b) Supplemental payments; owner-occupants over 180 days who repurchase.

(1) A displaced owner-occupant of a dwelling may receive additional payments, the combined total of which may not exceed $15,000, for the additional cost necessary to purchase replacement housing; to compensate the owner for the loss of favorable financing on his existing mortgage in the financing of replacement housing; and to reimburse the owner for incidental expenses incident to the purchase of replacement housing when such costs are incurred as specified herein.

(2) The owner-occupant is eligible for such payments when:

(i) he is in occupancy at the initiation of negotiations for the acquisition of the real property, in whole or in part; or

(ii) he is in occupancy at the time he is given a written notice by the State that it is their intent to acquire the property by a given date; and

(iii) such occupancy has been for at least 180 consecutive days immediately prior to the date of vacation of initiation of negotiations whichever is earlier; and

(iv) he purchases and occupies a decent, safe and sanitary dwelling within the time period specified in paragraph (a)(1) of this section.

(3) The replacement housing payment is the amount, if any, which when added to the amount for which the State acquired his dwelling, equals the actual cost which the owner is required to pay for a decent, safe and sanitary dwelling, or the amount determined by the department as necessary to purchase a comparable dwelling, whichever is less. The State's determination of the amount necessary to purchase a comparable dwelling may be made on the basis of either of the two following methods:

(i) The State may establish a schedule of probable selling prices of comparable dwellings in the various types of dwellings being acquired. Such schedule may be prepared from an analysis of the current probable selling prices of dwellings available on the market.

(ii) The State may determine the probable selling price of a comparable dwelling by analyzing those selected comparable dwellings available for sale which are most nearly comparable to the property being acquired by the State. All calculations or supplemental relocation payments are to be predicated on the basis of the probable selling price of the available comparable housing, not the asking prices.

(4) An owner-occupant desiring to retain his acquired dwelling may be paid a replacement housing payment according to the following computations:

(i) If the dwelling to be moved is decent, safe and sanitary, the payment shall be the amount by which the cost to relocate the dwelling exceeds the acquisition price of the dwelling. The costs to relocate may include the reasonable costs of acquiring the dwelling, acquiring a new site and other expenses incident to retaining, moving the dwelling and restoring it to a condition comparable to that before the move.

(ii) If the dwelling to be moved is not decent, safe and sanitary, the payment shall be computed as above except that the costs to cure the decent, safe and sanitary deficiencies shall be included in the costs to relocate.

(iii) The payments computed under subparagraphs (i) or (ii) of this paragraph may not exceed the amount which the owner would have obtained had he purchased a replacement dwelling and his payment computed as per paragraph (b) (3) of this section.

(c) Owner-occupant over 180 days; who rents replacement housing.

An owner-occupant eligible for a replacement housing payment under subdivision (b) of this section who elects to rent a replacement dwelling is eligible for a rental replacement housing payment not to exceed $4,000. The payment shall be computed and disbursed according to the following criteria:

(1) The payment shall be determined by subtracting from the amount necessary to rent a comparable dwelling for the next four years, 48 times the economic rental of the dwelling unit occupied as computed by the State.

(2) In cases where the economic rental of the acquired dwelling exceeds 25 percent of the owner's gross monthly income, and he elects to relocate into public subsidized rental housing the computation of benefits will be in accordance with paragraph (f) (3) of this section.

(3) The State may determine the rental rates of comparable housing by a schedule or an individual analysis of comparable available rentals.

(4) The payment under this section may not exceed the maximum amount the owner would have received had he elected to repurchase a dwelling unit under the provisions of subdivision (b) of this section.

(d) Owner-occupant less than 180 days but more than 90 days; who purchases.

A displaced owner-occupant otherwise eligible under subdivision (b) of this section except that he has owned and occupied the dwelling for less than 180 days but more than 90 days may receive an amount, not to exceed $4,000, to enable him to make a downpayment on the purchase of a replacement dwelling and reimbursement for actual expenses incident to such purchase; or for additional costs to relocate his retained dwelling in accordance with the following regulations:

(1) The amount of the downpayment shall be determined by the State as the amount required as a downpayment on a comparable dwelling if such purchase was financed with a conventional loan.

(2) The expenses incident to the purchase of replacement housing as described in subdivision (j) of this section.

(3) Upon purchase and occupancy of a decent, safe and sanitary dwelling by the relocatee within the time limits specified in paragraph (a) (1) of this section, the relocatee may be reimbursed:

(i) The full amount of the downpayment determined in paragraph (1) of this subdivision if such total amount does not exceed $2,000; or, if more than $2,000.

(ii) $2,000, plus 50 percent of the amount in excess of $2,000 providing the relocatee contributes 50 percent of the amount in excess of $2,000.

(4) The full amount of the downpayment must be applied to the purchase price of the replacement property and any downpayment and incidental costs claimed must be shown in the closing statement. To process for payment, the State must be furnished a copy of the closing statement. If the owner elects to retain his dwelling, the replacement housing payment will be determined in accordance with paragraph (b) (4) of this section, except that such payment shall not exceed $4,000. If the owner first elects to rent a replacement property, but later decides to apply for a downpayment on a purchase of a replacement property, any payments made under the rental provisions are to be deducted from the payments authorized under this paragraph.

(e) Owner-occupant less than 180 days but more than 90 days; who rents.

An owner-occupant otherwise eligible under subdivision (b) of this section except that he has owned and occupied the dwelling for less than 180 days but more than 90 days, and elects to rent a replacement dwelling is eligible for a rental housing payment not to exceed $4,000. The specific payment will be determined in accordance with the provisions of paragraphs (c) (1) and (3) of this section.

(f) Tenant-occupant over 90 days; renting replacement housing.

(1) A displaced tenant is eligible for a rental replacement housing payment, not to exceed $4,000, when:

(i) he is in occupancy at the beginning of negotiations for the acquisition of the real property; or

(ii) he is in occupancy at the time he is given a written notice by the State that it is their intent to acquire the property by a given date; and

(iii) such occupancy has been for at least 90 consecutive days immediately prior to the date of vacation or initiation of negotiations, whichever is earlier; and

(iv) he rented and occupied a decent, safe and sanitary dwelling within the time period specified in paragraph (a) (1) of this section.

(2) The payment not to exceed $4,000, shall be determined by subtracting from the amount necessary to rent a comparable dwelling for the next four years the following amount:

(i) 48 times the average monthly rental paid by the relocated individual or family during the last three months; or

(ii) if such average monthly rental is not reasonably equal to market rentals for similar dwellings, the economic rent as established by the State shall be used.

(iii) The “rent being paid” shall include any rent supplements supplied by others except when, by law, such supplement is to be discontinued upon vacation of the property.

(3) When the average monthly rental being paid by the relocatee, not including supplemental rent by public agencies, exceeds 25 percent of the monthly gross income of such individual or family, the payment, not to exceed $4,000, shall be determined by subtracting 12 times the average monthly income of the relocatee from:

(i) 48 times the monthly rental determined by the State as necessary to rent a private comparable dwelling if the relocatee moves into private housing; or

(ii) if the relocatee moves into public subsidized housing, the lessor of:

(a) 48 times the monthly rental determined by the State as necessary to rent a private comparable dwelling; or

(b) 48 times the monthly rental the relocatee is required to pay if he relocates in the subsidized housing.

(4) The State may determine the rental rates of comparable housing by a schedule or an individual analysis of comparable rentals.

(g) Tenant-occupant over 90 days; downpayment for purchase.

A tenant-occupant eligible for a rental replacement payment under subdivision (f) of this section who elects to purchase a replacement dwelling is eligible to receive an amount, not to exceed $4,000, to enable him to make a downpayment on the purchase of a replacement dwelling, including the incidental expenses incident to such purchase. The payment will be computed in accordance with the provisions of subdivision (d) of this section.

(h) Sleeping room tenant; over 90 days.

A displaced tenant of a sleeping room who is eligible for a replacement housing payment under subdivision (f) of this section receive an amount, not to exceed $4,000, as a rental replacement housing payment or to enable him to make a downpayment on a replacement dwelling in accordance with the following:

(1) For rental replacement housing the payment, not to exceed $4,000, shall be determined by subtracting from the amount necessary to rent a comparable sleeping room for the next four years the following amount:

(i) 48 times the average monthly rental paid by the displaced tenant during the last three months; or

(ii) If such average monthly rental is not reasonably equal to market rentals for similar sleeping rooms, the economic rent as established by the State.

(2) The State may determine the rental rates of comparable housing by a schedule or an individual analysis of comparable available rentals.

(3) The downpayment amount, including the expenses incident to purchase of the replacement dwelling are to be computed in accordance with the provisions of subdivision (d) of this section.

(i) Increased interest payments; owner-occupant over 180 days who purchases.

(1) An owner-occupant, otherwise eligible under subdivision (b) of this section, is entitled to a payment for the loss of favorable financing on his existing mortgage in the financing of replacement housing, providing such payment falls within the $15,000 limit established in subdivision (b) of this section, and further providing that the following conditions are met:

(i) the dwelling acquired was encumbered by a bona fide mortgage which was a valid lien on such dwelling for not less than 180 days prior to the established eligibility date as specified in subdivision (b) of this section, and

(ii) the mortgage on the replacement dwelling bears a higher rate of interest than the mortgage interest rate on the acquired dwelling.

(2) The increased interest payment will be based on and limited to the lesser of the following amounts:

(i) the present worth of the right to receive the monthly difference in mortgage payments on the existing mortgage using the old and new interest rates; or

(ii) the present worth of the right to receive the monthly difference in mortgage payments on the new mortgage using the old and new interest rates.

(3) Payment computation.

The amount of increased interest payment will be computed in accordance with the following procedures:

(i) The monthly principal and interest payment differences caused by the change in interest rates is computed for both the existing mortgage and new mortgage for their respective remaining terms and amounts. The old and new interest rates are used in each case.

(ii) The present worth of the monthly interest difference found in subparagraph (i) of this paragraph is computed for each mortgage by discounting the annual difference (the sum of the monthly difference for one year) at the savings deposit interest rate for the remaining term of each mortgage. The lesser of the amounts so derived is the increased interest payment.

(4) Interest rate of replacement dwelling mortgage.

(i) The interest rate shall be the actual rate but may not exceed the prevailing interest rate currently charged by mortgage lending institutions in the vicinity.

(ii) When the lending agency imposes debt service charges as an incident to the extension of credit, and such charges are normal to the market, the annual percentage rate shown in the truth in lending statement shall be used in lieu of the mortgage interest rate in computing the monthly principal and interest payments.

(5) Discount rate.

The discount rate shall be the prevailing rate of interest paid on passbook savings account deposits by commercial banks in the general area in which the replacement dwelling is located.

(6) To whom payment made.

The payment described in this paragraph may be made directly to the relocated individual or family, or upon written instruction from the relocated individual or family, directly to the mortgagee of the replacement dwelling.

(7) Partial acquisition.

(i) Where the dwelling is located on a tract normal for residential use in the area, the interest payment shall be reduced to the percentage ratio that the acquisition price bears to the before value; except, the reduction shall not apply when the mortgagee requires the entire mortgage balance to be paid because of acquisition and it is necessary to refinance.

(ii) Where a dwelling is located on a tract larger than normal for residential use in the area, the interest payment shall be reduced to the percentage ratio that the value of the residential portion bears to the before value. This reduction shall apply whether or not it is required that the entire mortgage balance be paid.

(8) Multi-use properties.

The interest payment on multi-use properties shall be reduced to the percentage ratio that the residential value of the multi-use property bears to the before value.

(9) Other highest and best use.

If a dwelling is located on a tract where the fair market value is established on a higher and better than residential use, and if the mortgage is based on residential value, the interest payment shall be computed as provided above. If the mortgage is obviously based on the higher use, however, the interest payment shall be reduced to the percentage ratio that the estimated residential value of the parcel bears to the before value.

(j) Incidental expenses.

(1) An otherwise eligible owner-occupant or tenant who purchases a replacement dwelling, is entitled to a payment for the incidental expenses incident to the purchase of the replacement dwelling, providing such payment falls within the $15,000 and $4,000 limits as otherwise established in this section. The following expenses, insofar as they do not constitute prepaid expenses, are eligible for reimbursement on an actual cost basis:

(i) Legal closing and related costs including title search, preparing conveyance contracts, notary fees, surveys, preparing drawings or plats, and charges paid incident to recordation;

(ii) Lenders, FHA or VA appraisal fees;

(iii) FHA or VA application fee;

(iv) Certification of structural soundness;

(v) Credit report;

(vi) Owner's title policy or abstract of title;

(vii) Escrow agent's fee;

(viii) State revenue stamps;

(ix) Sales or transfer of taxes.

(2) No fee, cost, charge or expense is reimbursable as an incidental expense which is part of the debt service, or finance, charge under the Federal Truth in Lending Act.

(3) Reimbursement for these eligible incidental expenses shall be contingent upon showing the actual expense and shall be accompanied by a copy of the closing statement for the replacement dwelling.

(k) Mobile homes; replacement housing payments; general provisions.

(1) A mobile home is considered to be decent, safe and sanitary if it meets the defined standards in this Part.

(2) Where the department determines that a sufficient portion of a mobile home park is taken to justify the operator of such park to move his business or go out of business and the operator does in fact move or go out of business, the owners and occupants of the mobile home dwellings not within the actual taking but who are forced to move are eligible to receive the same payments as though their dwellings were within the actual taking.

(3) When a comparable mobile home dwelling is not available, the supplemental relocation payment is to be calculated on the basis of the next higher type dwelling that is available and meets the applicable requirements and standards i.e., a higher type mobile home or a conventional dwelling.

(4) When a mobile home park entrance fee, as distinguished from a security deposit is required to relocate a mobile home, such fee may be considered in the computation of a rental replacement housing payment if the park with the entrance fee is only comparable park available and the fee is not refundable or returnable to the tenant.

(l) Mobile homes; owner-occupants over 180 days.

A displaced owner of a mobile home who has occupied, for a least 180 days, the mobile home on the site from which he is being displaced and is otherwise eligible under the provisions of paragraph (b) (2) of this section, is eligible for payments, the total of which may not exceed $15,000, for the additional costs necessary to purchase replacement housing under the following circumstances:

(1) When owner-occupant owns both mobile home and site, the replacement housing payment will be the amount, if any, when added to the amount for which the State acquired his mobile home and site equals the lesser of

(i) the amount the owner is required to pay for a decent, safe and sanitary conventional dwelling or a decent, safe and sanitary replacement mobile home and site; or

(ii) The amount determined by the State as necessary to purchase a comparable mobile home and site. If the owner-occupant decides to rent, the rental replacement payment shall be the difference between the State's determination of the amount necessary to rent a comparable mobile home and site for a period of four years and 48 times the economic rent of the existing mobile home and site. The calculated rental replacement payment may not exceed the amount determined by the State in subparagraph (i) of this paragraph, or $4,000 whichever is lesser.

(2) Owner-occupant; acquisition of site only.

(i) Upon acquisition of an owned site, but not the home situated upon the site and the mobile home is required to be moved, the replacement housing payment will be determined as follows: The amount, if any, when added to the amount for which the State acquired his mobile homesite equals the lesser of:

(a) the amount the owner is required to pay for a comparable homesite, or

(b) the amount determined by the State as necessary to purchase a comparable mobile homesite. If the owner elects to rent, the rental replacement payment shall be the difference in the amount determined by the State as necessary to rent a comparable mobile homesite for a period of four years and 48 times the economic rent of the site acquired. The calculated rental replacement payment may not exceed the amount determined by the State as necessary to purchase a comparable mobile homesite, or $4,000, whichever is lesser.

(ii) Upon acquisition of a rented site, but not the home situated upon the site and the mobile home is required to be moved, the replacement housing payment, not to exceed $4,000, will be the amount as determined by the State as the amount required as a downpayment on the purchase of a comparable mobile homesite. If the owner elects to rent, the rental replacement payment shall be the difference in the amount determined by the State as necessary to rent a comparable mobile homesite for a period of four years and 48 times the rent being paid on the site acquired.

(3) When owner-occupant owns mobile home; rents site. The replacement housing payment will be the amount, if any when added to the amount for which the State acquired his mobile home equals the lesser of:

(i) the amount the owner is required to pay for a replacement dwelling; or

(ii) the amount determined by the State as necessary to purchase a comparable mobile home, plus either the amount determined by the State as the amount required as a downpayment on the purchase of a comparable mobile homesite, or the difference in the amount determined by the State as necessary to rent a comparable mobile homesite for a period of four years and 48 times the rent being paid on the site acquired. If the owner elects to rent a replacement mobile home, the rental replacement housing payment, not to exceed $4,000, shall be the difference in the amount determined by the State as necessary to rent a comparable mobile home and site for four years and 48 times the economic rent of the mobile home plus the actual rent of the site acquired.

(4) In addition to the replacement housing payments specified above, the owner-occupant is entitled to a payment to compensate him for the loss of favorable financing on his existing mortgage in the financing of replacement housing and payment for incidental expenses incident to the purchase of replacement housing. These payments will be calculated and paid in accordance with subdivisions (i) and (j) of this section.

(m) Mobile homes; owner-occupants less than 180 days, but more than 90 days.

A displaced owner of a mobile home who has occupied, for less than 180 days but more than 90 days, the mobile home on the site from which he is displaced and who is otherwise eligible under the provisions of paragraph (b) (2) of this section, is eligible for an amount, not to exceed $4,000, to enable him to make a downpayment on the purchase of replacement housing and to reimburse him for the actual expenses incident thereto in accordance with the following provisions:

(1) Owner-occupant owning both mobile home and site.

If the owner purchases a replacement dwelling, the replacement housing payment will be determined in accordance with the heretofore defined provisions relating to downpayment calculations, except that the amount of the downpayment shall be determined by the State as the amount required on the purchase of a comparable mobile home and site. If the owner-occupant elects to rent, the rental replacement payment, not to exceed $4,000, shall be the difference in the amount determined by the State as necessary to rent a comparable mobile home and site for a period of four years and 48 times the economic rental of the mobile home and site.

(2) Owner-occupant; acquisition of site only.

If the owner purchases conventional housing or a site to which the mobile home is moved, the replacement housing payment will be in an amount determined in accordance with the provisions relating to downpayment calculations except that the amount of the downpayment shall be determined by the State as the amount required as a downpayment on the purchase of a comparable site. If the owner-occupant elects to rent, the rental replacement payment, not to exceed $4,000, shall be the difference in the amount determined by the State as necessary to rent a comparable site for four years and 48 times the economic rent of the site acquired.

(3) Owner-occupant owns mobile home; rents site.

If the owner purchases replacement housing, the replacement housing payment, not to exceed $4,000, will be:

(i) an amount determined in accordance with the provisions relating to downpayment calculations, except that the amount of the downpayment shall be determined by the State as the amount required as a downpayment on the purchase of a comparable mobile home; plus

(ii) either the amount determined by the State as the amount required as a downpayment on the purchase of a comparable mobile homesite, or the difference in the amount determined by the State as necessary to rent a comparable mobile homesite for four years and 48 times the rent being paid on the site acquired. If the owner elects to rent, the rental replacement payment shall be the difference in the amount determined by the State as necessary to rent a comparable mobile home and site for four years and 48 times the economic rent of the mobile home and the actual rent of the site acquired.

(n) Mobile homes; tenants over 90 days.

A displaced tenant of a mobile home who has occupied for at least 90 days the mobile home on the site from which he has been displaced and is otherwise eligible under the provisions of paragraph (f) (1) of this section, is eligible for a replacement housing payment, not to exceed $4,000:

(1) to enable him to make a downpayment on the purchase of replacement dwelling and to reimburse him for the expenses incident to such purchase; or

(2) if he elects to rent, payment shall be the difference in the amount determined by the State as necessary to rent a comparable mobile home and site for four years and 48 times the actual rent being paid for the mobile home and site acquired.

(o) Supplemental replacement housing payments; miscellaneous provisions.

(1) Inspection of replacement dwelling.

In order to be eligible for and receive supplemental relocation payments, the State must inspect the replacement dwelling and determine that it meets the decent, safe and sanitary standards as defined in section 400.2 of this Part. In any application for payment, the individual or family must indicate that to the best of their knowledge and belief, the replacement dwelling meets the defined standards for decent, safe and sanitary housing.

(2) Advanced replacement housing payments in litigated cases.

An advance replacement housing payment can be authorized and paid to a property owner if the determination of the State's acquisition price will be delayed pending the outcome of a trial in the Court of Claims. A provisional replacement housing payment may be calculated by deeming the State's maximum offer for the property as the acquisition price. Payment of such amount may be made upon owner-occupant's agreement that:

(i) Upon final judgment of the Court of Claims the replacement housing payment will be recomputed using the acquisition price determined by the court as compared to the actual price paid or the amount determined by the State necessary to acquire a comparable decent, safe and sanitary dwelling, and

(ii) If the amount awarded by the court as the fair market value of the property acquired plus the amount of the recomputed replacement housing payment exceeds the price paid for, or the State's determined cost of a comparable dwelling, the owner will refund to the State from the judgment amount, an amount equal to the excess. In no event, however, shall he be required to refund more than the amount of the replacement housing payment advanced, and

(iii) If the property owner does not agree to such adjustment, the replacement housing payment shall be deferred until the case is finally adjudicated and computed on the basis of the final determination, using the award as the acquisition price.

(3) Ownership of replacement dwelling prior to displacement.

Any person who has obtained legal ownership of a replacement dwelling any time after the initiation of negotiations on the project and occupies the replacement dwelling after being displaced but within the time limit specified in paragraph (a) (1) of this section, is eligible for a replacement housing payment if the replacement dwelling meets decent, safe and sanitary standards.

(4) Partial taking situations.

(i) Where a dwelling is located on a tract normal for residential use in the area, the maximum replacement housing payment shall be determined by subtracting the “before value” of the property from the estimated selling price of a comparable dwelling on a lot typical for the area.

(ii) Where a dwelling is located on a tract larger than normal for residential use in the area, the maximum replacement housing payment shall be determined by estimating the value of the dwelling at the present location on a homesite typical in size for the area and deducting this amount from the selling price of a comparable dwelling on a site typical for the area.

(5) Dwelling on land with higher and better use.

Where a dwelling is located on a tract where the fair market value is established on a higher and better than residential use, the maximum replacement housing payment shall be determined by estimating the value of the dwelling at the present location on a homesite typical for the area and zoned for residential use and deducting this amount from the selling price of a comparable dwelling on a typical residential homesite for the area.

(6) Joint residential and business use.

Where displaced individuals or families occupy living quarters on the same premises as a displaced business, farm or nonprofit organization, such individuals or families are separate displaced persons for purposes of determining entitlement to payments.

(7) Payments on assignments.

Payments described herein may be made, upon written instructions and assignment from the displaced person, directly to a lessor for rent or to a seller for application on a payment for a decent, safe and sanitary dwelling.

(8) Owner-occupant; prohibitions on double payments.

If an owner-occupant eligible for the maximum $15,000 payment elects initially not to repurchase a replacement dwelling, but rather to claim benefits on the four year rent differential basis, he cannot receive double payment in excess of $15,000 if he later decides (within the allowable period) to purchase a replacement house. The amount of any payment made on the rent differential basis is to be deducted from the calculated differential necessary to purchase a replacement dwelling.

(9) All rental replacement housing payments in excess of $500 may be made in four equal installments on an annual basis, except that prior to receiving such installment payment the tenant must certify to the State that he is occupying decent, safe and sanitary housing.

7 CRR-NY 400.11 Appeals procedure {#sec-7-crr-ny-400.11 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 400.11}

(a) An applicant for a moving expense and/or replacement housing payment shall be notified promptly in writing concerning his eligibility for the payment claimed; the amount, if any, he is entitled to receive, and the time and manner in which such payment will be made. If any or all of the amounts claimed are disallowed or require additional documentation, the eligible person will be so notified in writing to this effect.

(b) If the claimant is not satisfied with the payment offered, he may within 18 months of vacating or six months after final award determination by the courts of the State request an informal conference to present his case. When requested, such a conference is scheduled in the regional office conducted by the local real property officer. The claimant may bring whomever he wishes to represent him or present some facet of his claim. The decision of the local real property officer will be made in writing directed to the claimant or his representative and may be appealed to the director of real property.

(c) The director of real property shall then make an independent determination according to the data submitted to him by the claimant and the local real property officer. This determination will be made in writing to the claimant.

(d) In the event the claimant is not satisfied with the results achieved at this stage he may then request a formal hearing. This request will be directed to the director of real property. The formal hearing will be conducted by a hearing officer designated by the commissioner at a time and place to be determined by the hearing officer. Minutes of the proceedings will be taken.

(e) Based upon all the evidence produced at the hearing, the hearing officer will make his recommendation to the commissioner who will then make a final determination regarding the claim presented.

(f) In the instance of an appeal, no payment of such calculated moving expenses or supplemental housing and related benefits is to be made until a decision has been rendered by the director. In the instance where an owner files a claim in the Court of Claims for adjudication of the fair market value of the property acquired, and similarly files for an appeal hearing disputing the amount of the supplemental payment proffered, no appeal hearing will be held until final award determination by the courts of the State.

7 CRR-NY 400.12 Hardship cases {#sec-7-crr-ny-400.12 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 400.12}

(a) Notwithstanding any other provisions contained in this Part, the commissioner is authorized in hardship cases to make advance payments in anticipation of the eligible persons actually completing his moving of personal property or actually purchasing or renting and occupying decent, safe and sanitary replacement housing. The commissioner may authorize the advance payment of the amount determined by him to represent reasonable and necessary moving expenses or the amount of the approved supplemental relocation payment deemed necessary to purchase or rent decent, safe and sanitary replacement housing. In the case of a supplemental relocation payment, payment can only be made if there is a signed contract for the purchase of a replacement property, or in the case of a replacement rental unit, if there is a signed lease or some other firm commitment. In both instances, the proposed replacement housing must be inspected prior to payment for a determination of compliance with decent, safe and sanitary standards.

(b) When determined by the commissioner that an unusual or hardship situation exists and it is determined to be in the public interest, he may authorize relocation payments even though the strict requirements of eligibility and reimbursement specified in this Part are not met.

Part 410 PAYMENT OF COSTS FOR PROSECUTION OF INMATES

7 CRR-NY 410.1 Statement of purpose {#sec-7-crr-ny-410.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 410.1}

(a) The purpose of this Part is to implement the provisions of section 606 of the Correction Law and section 29.28 of the Mental Hygiene Law.

(b) Section 606 of the Correction Law and section 29.28 of the Mental Hygiene Law provide for the payment of costs for the prosecution of inmates.

(1) When an inmate of an institution of the department is alleged to have committed an offense while an inmate of such institution, or when an inmate-patient as defined in section 29.27 of the Mental Hygiene Law in the Central New York Psychiatric Center who was committed from a department institution for care and treatment pursuant to the provisions of article 16 of the Correction Law is alleged to have committed an offense in such facility while his or her underlying determinate or indeterminate sentence of imprisonment is still running, the State shall pay all reasonable costs for the prosecution of such offense, including but not limited to, costs for: a grand jury impaneled to hear and examine evidence of such offense, petit jurors, witnesses, the defense of any inmate or inmate patient financially unable to obtain counsel in accordance with the provisions of the County Law, the district attorney, the costs of the sheriff and the appointment of additional court attendants, officers or other judicial personnel.

(2) It shall be the duty of the board of supervisors of any county wherein such prosecution occurs to cause a sworn statement of all costs to be forwarded to the department. Upon certification by the department that such costs as authorized by this statute have been incurred, the department shall forward the proper vouchers to the State Comptroller. It shall be the duty of the Comptroller to examine such statement and to correct same by striking therefrom any and all items which are not authorized pursuant to the provisions of this section, and after correcting such statement, the Comptroller shall draw his warrant for the amount of any such costs in favor of the appropriate county treasurer, which sum shall be paid to said county treasurer out of any moneys appropriated therefore.

(c) Pursuant to the authority provided for in the Correction Law and the Mental Hygiene Law, this Part provides counties with guidelines concerning which costs associated with the prosecution and defense of a State inmate or inmate patient are reimbursable by New York State. Provided, however, the Oneida County district attorney shall provide written notification to the commissioner of the department of any decision to go forward with the prosecution of an inmate-patient for an offense alleged to have been committed in the Central New York Psychiatric Center within 30 days of the filing of an accusatory instrument. The commissioner’s designee shall acknowledge receipt of the notice and verify whether or not the individual is an inmate-patient as set forth in the Mental Hygiene Law. Department staff shall thereafter refrain from initiating any communication with the Office of the Oneida County District Attorney concerning such prosecution.

7 CRR-NY 410.2 Effective date {#sec-7-crr-ny-410.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 410.2}

Expenses incurred in connection with the prosecution for an offense alleged to have been committed in a department institution on or after September 1, 1985, or expenses incurred in connection with the prosecution for an offense alleged to have been committed by an inmate-patient as defined in section 29.27 of the Mental Hygiene Law in the Central New York Psychiatric Center on or after July 24, 2011 shall be governed by the provisions of this Part.

7 CRR-NY 410.3 Reimbursable expenses {#sec-7-crr-ny-410.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 410.3}

(a) Counties will be reimbursed for reasonable expenses which are associated with the prosecution and defense of:

(1) State inmates alleged to have committed crimes while incarcerated; or

(2) inmate-patients committed from a department institution to the custody of the Office of Mental Health for care and treatment pursuant to the provisions of article 16 of the Correction Law alleged to have committed crimes while hospitalized in the Central New York Psychiatric Center while the underlying determinate or indeterminate sentence of imprisonment was still running, provided however, that the written notification required by section 410.1(c) of this Part was first sent to the commissioner of the department by the Oneida County district attorney.

(b) Reimbursable expenses shall include those for:

(1) reasonable expenses of a grand jury impaneled to hear and examine evidence of the offense;

(2) the per diem fees of petit jurors;

(3) reasonable expenses of witnesses, the expense of which was paid for by the county;

(4) the assignment of counsel in accordance with the provisions of the County Law to an inmate financially unable to obtain counsel, as set forth in subdivision (c) of this section;

(5) the appointment of and expenses for special counsel for such prosecution and/or defense, as approved by a court of competent jurisdiction;

(6) the appointment of additional court attendants, officials or other judicial personnel;

(7) services of the district attorney or other prosecutor for time spent on inmate prosecutions, as set forth in subdivision (d) of this section;

(8) the salary, prorated on an hourly basis of sheriff department's personnel, or other officers or attendants assigned to perform courtroom duties, for time spent on inmate prosecution;

(9) reasonable costs of a sheriff in connection with providing custody during the pendency of a prosecution;

(10) reasonable secretarial salaries prorated on a hourly basis, for time spent on inmate prosecution and defense;

(11) reasonable expenses and compensation of defender investigators, in conformance with County Law, article 18-b;

(12) reasonable expenses and compensation of prosecution investigators;

(13) presentence investigation report expenses;

(14) expert witnesses and/or other reasonable expert services;

(15) stenographic or other reasonable transcription expenses;

(16) court ordered psychiatric evaluations;

(17) expenses incurred in the appeal of such inmate prosecutions; and

(18) such other reasonable expenses as may be necessary to effective prosecution and/or defense of the inmate.

(c) Defense counsel compensation.

(1) Where the claim for reimbursement covers an assigned counsel's expenses, other than an assigned public defender or legal aid attorney, the reimbursable hourly compensation rate shall be as provided for in section 722-b of the County Law.

(2) Where the claim for reimbursement covers the expenses for a county funded public defender or legal aid attorney, the county in consultation with the defender's office shall choose to be reimbursed, based on either:

(i) the attorney's and secretary's salaries, prorated on an hourly basis, based upon the attorney's and secretary's annual salary; or

(ii) in accordance with the rate schedule provided for in County Law, article 18-b, which shall be deemed to include all expenses of such law office personnel.

(d) District attorney salary expenses.

In the case of a district attorney or special prosecutor, the county shall choose to be reimbursed, based on either:

(1) the attorney and secretary's hourly rate of pay, prorated based on the individual's annual salary; or

(2) in accordance with the rate schedule provided for in County Law, article 18-b, which shall be deemed to include all expenses of such legal officer.

(e) Other reasonable expenses.

Claims for reimbursement of other reasonable expenses shall be reviewed on a case-by-case basis.

(f) Fringe benefits.

In any case, where the county is entitled to reimbursement for actual salary expenses, the county shall also be entitled to reimbursement for prorated fringe benefit expenses that are mandated by New York State or Federal law or regulations. Such fringe benefits include, but are not limited to the employer's retirement, social security and workers' compensation contributions.

7 CRR-NY 410.4 Expenditures not reimbursable {#sec-7-crr-ny-410.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 410.4}

Expenditures not reimbursable include:

(a) capital additions or improvements;

(b) debt service costs for capital improvements;

(c) rental of office space;

(d) costs in excess of statutorily prescribed limits;

(e) other overhead expenses not provided for in this Part; and

(f) excessive, improper or inadequately substantiated costs.

7 CRR-NY 410.5 Claims for reimbursement {#sec-7-crr-ny-410.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 410.5}

Claims for reimbursement shall be made on standard State vouchers signed by the county treasurer or other authorized person, with the following documentation:

(a) information to establish expense eligibility;

(b) itemization of services provided or expenses incurred;

(c) date(s) of service;

(d) basis for calculating costs, such as the hourly rate multiplied by the number of hours involved, or such other financial documentation as may be necessary to justify the requested reimbursement;

(e) court orders directing the assignment of counsel and the payment of legal fees or other expenditures;

(f) a sworn affidavit from the assigned counsel, or other attorney assigned to represent the inmate, including an accounting of the time spent by the attorney in representing the inmate;

(g) other documentation necessary to the prompt determination of claims for reimbursement;

(h) a notarized statement from the county clerk acknowledging that expenses incurred are true and accurate;

(i) a copy of court order authorizing a grand jury, if applicable; and

(j) a copy of the indictment, if applicable.

7 CRR-NY 410.6 Records for reimbursement of expenses {#sec-7-crr-ny-410.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 410.6}

Counties shall keep and maintain complete books and records concerning any and all expenses for which the county seeks reimbursement pursuant to this Part. Such books and records shall be kept available for examination by authorized personnel of the Department of Corrections and Community Supervision and the Office of the State Comptroller at all reasonable times at the county offices for six years from the date of payment.

7 CRR-NY 410.7 Nonreimbursable entities {#sec-7-crr-ny-410.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 410.7}

Governmental subdivisions of New York State other than counties cannot be directly reimbursed for inmate prosecution related expenses. Such local governments may, however, request that their county representative seek reimbursement from New York State pursuant to the procedures set forth in section 410.5 of this Part.

Chapter VIII INSTITUTIONAL PROGRAMS

Part 700 APPEAL OF CORRECTIONAL INDUSTRIES PRICES

7 CRR-NY 700.1 Scope of regulation {#sec-7-crr-ny-700.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 700.1}

Chapter 413 of the Laws of 1980 authorizes establishment by the commissioner or his designee of prices for correctional industries products and services, and also establishes a mechanism for appeal of such prices to a price review board. This Part implements that act by providing the procedures for bringing price appeals.

7 CRR-NY 700.2 Who may appeal; timeliness {#sec-7-crr-ny-700.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 700.2}

A purchaser of any correctional industries product or service (other than license plates) may appeal the price of the product or service to the Price Review Board at any time prior to or within 30 days of the time of sale and upon payment of the price. The board may permit the filing of an appeal prior to actual payment of the price upon a satisfactory showing by appellant that it has completed all acts necessary on its part to make payment and that payment will be made no later than 60 days after the filing of the appeal. Where the board permits such an appeal to be filed prior to actual payment, and appellant thereafter fails to make actual payment within 60 days after filing its appeal, such failure to pay shall divest the board of jurisdiction and the appeal will be dismissed. The sole grounds for bringing such appeal is that the price as established by the commissioner unreasonably exceeds the fair market price for such goods or services as defined in this Part, or that the fair market price was not established in accordance with section 186(2) of the Correction Law.

7 CRR-NY 700.3 Statutory time limit for filing an appeal {#sec-7-crr-ny-700.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 700.3}

To invoke the statutory jurisdiction of the board, all notices of appeal must be received at the Office of the Commissioner, Department of Correctional Services, Building 2, State Office Campus, Albany, NY 12226 at any time prior to or within 30 days of the time of sale as defined in section 700.5 of this Part.

7 CRR-NY 700.4 Manner of bringing appeal {#sec-7-crr-ny-700.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 700.4}

(a) An appeal shall be brought by filing a notice of appeal in writing. The party making the appeal, or his legal representative, shall sign the notice of appeal, The appeal and matters relating thereto must be addressed to the Commissioner of Correctional Services, Building 2, State Office Campus, Albany, NY 12226. No particular form is required, but the writing, in order to qualify, must be entitled “Notice of Appeal”, and must set forth the goods or services purchased, the amount paid therefor, the date paid, the date the goods or services were delivered or rendered to purchaser, the purchase order or invoice number and a certified statement setting forth the basis for an alternative fair market price in accordance with section 186(2) of the Correction Law, and the reasons why the appellant deems the commissioner's price to be unreasonably in excess of the fair market price and the reasons why the price is not deemed established in accordance with section 186(2), if that is one of the appellant's grounds for appeal. A notice of appeal delivered to or received by State agencies other than as stated in this section shall be deemed improperly filed. Appeals improperly filed shall be dismissed.

(b) Within 20 days of receipt of the notice of appeal, the Price Review Board shall either:

(1) reduce the purchase price to the appellant's proposed alternative fair market price, or such other price as may be mutually agreed upon, and agree to refund or credit any excess amount paid by the purchaser. Any price thus reduced shall apply prospectively to any future purchasers until new prices are established by the commissioner or his designee in accordance with section 186(2) of the Correction Law; or

(2) acknowledge the appeal if timely.

(c) No notice of acknowledgment will be prepared when the filing of an appeal is deemed untimely pursuant to section 700.2 of this Part. The board will enter an order of dismissal acknowledging therein its filing without further proceedings.

(d) The Commissioner of Correctional Services shall promptly notify the Director of Correctional Industries and all members of the Price Review Board of the date the notice of appeal was received, and will also provide copies of all documents submitted by the appellant. This notification shall be within the 20-day period provided for by subdivision (b) of this section and shall recommend that either:

(1) the price be reduced in accordance with paragraph (b)(1) of this section; or

(2) the appellant should be sent an acknowledgment and a hearing scheduled.

7 CRR-NY 700.5 Deinitions {#sec-7-crr-ny-700.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 700.5}

For purposes of this Part:

(a) fair market price shall mean a reasonable price selected by the commissioner or his designee at which a vendor of the same or similar product or service who is regularly engaged in the business of selling such product or service offers to sell such a product or service under similar terms in the same market.

(b) Market shall mean the territorial boundaries of the State of New York.

(c) Time of sale shall mean the date on which the product or service is delivered to the purchaser or the date on which payment is made, whichever occurs first.

(d) Price Review Board shall mean the Commissioner of Correctional Services, Commissioner of the Office of General Services and Director of the Budget, or their designees.

(e) Appellant shall mean the purchaser bringing the appeal.

(f) Respondent shall mean the Director of Correctional Industries.

(g) The parties shall mean the appellant and respondent.

7 CRR-NY 700.6 Office of the Price Review Board {#sec-7-crr-ny-700.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 700.6}

The board shall not maintain a separate office per se. Interested persons may obtain information, including copies of the rules of the board, or make submissions or request, by writing the Office of the Commissioner, New York State Department of Correctional Services, Building 2, State Office Campus, Albany, N.Y. 12226.

7 CRR-NY 700.7 Chairman {#sec-7-crr-ny-700.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 700.7}

The chairman shall be the Commissioner of the New York State Department of Correctional Services or his designee. The chairman shall serve as the chief executive officer of the board. As such, he or she has the power and the duty to assign members to appropriate functions, as may be needed, to promote the efficient transaction of the business of the board. Wherever it is required by this Part that matters be submitted to the board, they shall be addressed to the chairman. The chairman shall act on behalf of the board in receiving and acknowledging notices of appeals and related documents. Copies of all papers and supporting documents submitted by the parties shall be provided by the chairman to other members of the Price Review Board.

7 CRR-NY 700.8 Powers and duties of the Price Review Board {#sec-7-crr-ny-700.8 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 700.8}

(a) Jurisdiction of the board.

The filing of a price appeal, by any purchaser of a correctional industries product or service as otherwise provided for in this Part, shall invoke the exclusive statutory jurisdiction of the board under section 186 of the Correction Law.

(b) The board's function.

The board is authorized to review and/or hear timely appeals brought by any purchaser of a correctional industries product or service who has paid the price therefor.

(c) Organization of the board.

Appeals may, in the board's discretion, be heard by one member or the chairman of the board, but a majority vote of the board, including the chairman and the members, shall be necessary for determination thereof.

(d) The board may, in its discretion, sever an appeal or may consolidate two or more appeals.

(e) The board may require the parties to submit such papers and documentation as it deems necessary for its determination.

7 CRR-NY 700.9 Appearance before the board {#sec-7-crr-ny-700.9 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 700.9}

(a) By any party to the appeal.

Upon a decision of the board not to reduce the price in accordance with paragraph (b)(1) of section 700.4 of this Part, any party to an appeal before the board may represent himself or herself in matters relating to the appeal. Any such party also has the right to be accompanied, represented and advised by an attorney admitted to practice before the New York State Supreme Court; provided, however, that all hearings shall be informal and an appellant shall not be required to be represented by an attorney.

(b) By an attorney-at-law.

An attorney-at-law, engaged to represent or appear for any party to a proceeding on appeal, must file with the board a written notice of appearance. The notice shall identify the proceeding, set forth the name of the party on whose behalf the attorney appears, contain a demand that copies of subsequent written communications or notices to such party be sent to the attorney at a designated office and mailing office address, and be dated and endorsed with the name of the attorney.

7 CRR-NY 700.10 Hearings {#sec-7-crr-ny-700.10 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 700.10}

(a) Oral argument.

(1) The board may hear oral argument with respect to an appeal or motion.

(2) Within 10 days of receipt by appellant of an initial decision by the board not to reduce the price in accordance with paragraph (b)(1) of section 700.4 of this Part, any party or the board may request that a hearing on the appeal be scheduled.

(3) The appellant shall be deemed to have received notice of the board's decision under paragraph (2) of this subdivision, three days from the date of mailing of such decision.

(b) Time and place of hearing.

The chairman will designate a date, time and place for the scheduled hearing and will give notice of hearing to all parties and members of the board.

(c) Notice of hearing.

The notice of hearing shall state the date, time, place and purpose of the hearing. It will be served upon all parties and the members of the board at least 15 days before the date of hearing.

(d) Nonappearance or lateness.

Parties should appear in person or by counsel at the scheduled hearing.

(1) Unexcused nonappearance by the appellant at the time and place of hearing will result in the dismissal of his or her appeal for default. The presiding member may excuse nonappearance when good cause is established by documented proof or by a sworn statement submitted to the board within 72 hours after the scheduled hearing. Unreasonable lateness by the appellant will be deemed as nonappearance.

(2) Respondent. If the respondent fails to appear, or is late, he/she will be deemed to have submitted on the record.

(e) Hearing procedures.

In the conduct of hearings, the board shall not be bound by the technical or formal rules of procedure or evidence. It may proceed in such manner and order as it deems best to protect the rights of all parties. Parties presenting oral arguments shall be subject to such restrictions as to form, subject matter and time as the board, or the presiding member designated by the board to hear the appeal, may require. All relevant evidence shall be admitted, unless privileged or excessively cumulative.

(f) Objections.

Objections made during a hearing with respect to the conduct of a hearing may be stated at the hearing and must be submitted to the board in writing within 72 hours thereafter if the board, or presiding member designated to hear the appeal, so requires. The presiding member may reserve ruling on an objection until rendering of the board's final decision.

(g) Substitution of presiding member.

The chairman may designate another member of the board to preside at any time prior to a scheduled hearing when a member or chairman designated to hear an appeal is ill or otherwise unavailable.

(h) Adjournment by presiding member.

A hearing may be adjourned by the presiding member when he/she is unable to continue to preside due to sudden illness. Where the appeal is heard by the entire board, the hearing need not be adjourned due to the sudden illness and absenting of a member, unless the board so determines in its discretion.

(i) At the hearing, the appellant shall have the burden of establishing, by substantial credible evidence, that the price being appealed is unreasonably in excess of the fair market price or that the fair market price was not established in accordance with section 186(2) of the Correction Law. A showing by the purchaser, that the alternative fair market price he has submitted was established in accordance with the standard set forth in section 186(2) of such law, shall be required, but shall not be sufficient grounds for the board to set aside the price appealed from in the absence of a showing that the appealed price is unreasonably in excess of the fair market price or that the fair market price has not been established in accordance with section 186(2) of such law and relevant provisions of this Part.

(j) Exhibits and briefs.

If exhibits or briefs are to be submitted by any party, five copies of all such exhibits or briefs shall be required. One is for each member of the board, one for the case file and one for the adverse party. A brief must be presented to all parties within 15 days of the date of the board's notice of acknowledgment. Reply briefs must be presented within 30 days from the date of the notice of acknowledgment. Requests for extensions of these periods should be in writing and addressed to the Commissioner of Correctional Services and the adverse party, and both must agree to said extension.

(k) Settlement attempts.

Settlement attempts shall not be received in evidence.

(l) Adjournments.

Requests for adjournments shall be in writing and addressed to the chairman. Adjournments may be granted by the chairman only upon good cause shown.

(m) Orders.

All orders of the board shall be in writing, stating the reason for the decision. They shall be final, and they shall be filed with the Director of Correctional Industries. Certified copies of the order shall be served upon all parties.

(n) Hearings of the board may, in the presiding member's discretion, be open to the public. Upon filing a notice of appeal, the party appealing a correctional industries price may request that the hearing be opened to the public. If the board consents to such request, the board or the designated presiding member may direct the purchaser to publish a notice of the hearing in such newspapers and at such intervals as may be designated. Where such notices have been ordered, the purchaser shall be required to provide proof of such publication upon convening the hearing.

(o) The Department of Correctional Services shall arrange for and pay for the stenographic recording of the appeals hearing. Each party may request and pay for their respective transcribed minutes of the hearing.

7 CRR-NY 700.11 Authorized dispositions {#sec-7-crr-ny-700.11 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 700.11}

(a) Initial screening and review.

Upon initial screening and review of the record, or upon the hearing, the board may dismiss the appeal if it finds that it lacks jurisdiction, or the filing of an appeal is untimely.

(b) Default.

Upon appellant's failure to appear in person or by counsel at the date, place and time of the scheduled hearing due to unexcused absence or lateness, the board may dismiss the appeal.

(c) Abandonment.

Upon appellant's failure to notify the board of any change of address prior to a scheduled hearing, the board may dismiss the appeal.

(d) Upon convening the hearing and after submission by the parties of the evidence, the board may dismiss the appeal upon a finding that the purchaser has not met his burden of proof.

(e) Upon a finding by the board that the price of a correctional industries product or service unreasonably exceeds the fair market price, or that the fair market price was not established in accordance with the standard provided by section 186(2) of the Correction Law, then the board may redetermine the sales price with respect to such purchaser. The price redetermined by the board may or may not be the alternative fair market price submitted by the purchaser, and shall apply prospectively to purchases made subsequent to such redetermination until such time as new prices are established for such product or service by the commissioner for such product or service in accordance with section 186(2) of such law. If the board redetermines the price, any excess paid to correctional industries shall be repaid to the purchaser or, at the option of the purchaser, may be credited by the Commissioner of Correctional Services toward any future purchase.

7 CRR-NY 700.12 Change of address {#sec-7-crr-ny-700.12 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 700.12}

(a) Appellant.

An appellant must keep the board advised at all times of any change of address. Failure to do so can lead to dismissal of the appeal on the basis of abandonment.

(b) Respondent.

A respondent must notify the board of any change of address.

7 CRR-NY 700.13 Withdrawal of appeal {#sec-7-crr-ny-700.13 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 700.13}

Any party or his/her attorney may withdraw an appeal at any time by submitting a written notice of withdrawal to the Commissioner of Correctional Services prior to the scheduled hearing. An oral statement of withdrawal may be made at the hearing and a statement confirming such withdrawal must be filed with the board within 48 hours after the hearing. The board shall issue an order to that effect without leave to reinstate the appeal.

7 CRR-NY 700.14 Construction {#sec-7-crr-ny-700.14 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 700.14}

This Part shall be liberally construed to further the general purposes stated in section 186 of the Correction Law and the special purposes of the particular provisions involved.

Part 701 INMATE GRIEVANCE PROGRAM

7 CRR-NY 701.1 Purpose {#sec-7-crr-ny-701.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 701.1}

(a) The inmate grievance program (IGP) provides each inmate an orderly, fair, simple and expeditious method for resolving grievances, pursuant to section 139 of the Correction Law, and allegations of discriminatory treatment, pursuant to 9 NYCRR Part 7695.

(b) This program is intended to supplement, not replace, existing formal or informal channels of problem resolution as set forth in section 701.3(a) of this Part. It is not intended to support an adversary process, but to promote mediation and conflict reduction in the resolution of grievances.

(c) This program enables any inmate who is personally affected by an issue for which there is no avenue for redress or correction to seek resolution of a complaint through a facility committee of elected peers and appointed staff members: the inmate grievance resolution committee (IGRC). If not satisfied, an inmate may appeal to the facility superintendent; if still not satisfied, an inmate may appeal to a committee of central office staff acting on behalf of the commissioner: the central office review committee (CORC).

(d) Facilities such as camps, shock incarceration correctional facilities, alcohol and substance abuse treatment centers, and work release facilities may follow the modified plan set forth in Part 702 of this Title when approved by the director, IGP.

7 CRR-NY 701.2 Definitions {#sec-7-crr-ny-701.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 701.2}

(a) Grievance - a complaint, filed with an IGP clerk, about the substance or application of any written or unwritten policy, regulation, procedure or rule of the Department of Correctional Services or any of its program units, or the lack of a policy, regulation, procedure or rule. A letter addressed to facility or central office staff is not a grievance.

(b) Departmental grievance - a grievance which affects an inmate during his/her confinement at various facilities throughout the department.

(c) Institutional grievance - a grievance in which the grievant is only affected as long as he/she remains a resident of the facility in which the grievance is filed.

(d) Like grievances - those grievances emanating from a substantially similar situation/issue or with a similar action requested, or complaints which could be resolved with the same action.

(e) Harassment grievances - those grievances that allege employee misconduct meant to annoy, intimidate or harm an inmate.

(f) Unlawful discrimination grievances - those grievances that allege acts or policies which adversely affect individuals based on race, religion, national origin, sex, sexual orientation, age, disabling condition(s) or political belief, except as provided by law.

(g) Strip search or strip frisk grievances - those grievances that allege violations of departmental policy regarding strip searches or strip frisks.

(h) Advisor - a person who assists the grievant in filing, preparing or expressing the grievant's complaint. An advisor is not a substitute grievant. An advisor is not needed to argue a case since the grievance procedure is not adversarial. An advisor is not needed to appeal a grievance; that is a simple procedure requiring only that the grievant contact the grievance clerk. An advisor is not a direct party to a grievance. Staff members from the IGRC or from the facility at large may serve as advisors. Staff members must be willing to accept this function.

(i) Direct party - an individual so uniquely affected by the grievance that fair play dictates that he/she should be afforded an opportunity to provide input prior to any decision and also to appeal any disposition rendered. In harassment allegations, the employee who allegedly committed the misconduct is a direct party.

(j) Definitions related to sexual abuse and sexual harassment - The terms sexual abuse and sexual harassment shall have the definitions as set forth in the Prison Rape Elimination Act (PREA) Standards (28 C.F.R. section 115.06).

7 CRR-NY 701.3 General policies {#sec-7-crr-ny-701.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 701.3}

(a) Inmate's responsibility.

An inmate is encouraged to resolve his/her complaints through the guidance and counseling unit, the program area directly affected, or other existing channels (informal or formal) prior to submitting a grievance. Although a facility may not impose preconditions for submission of a grievance, the failure of an inmate to attempt to resolve a problem on his/her own may result in the dismissal and closing of a grievance at an IGRC hearing.

(b) Grievances must be personal.

An inmate must be personally affected by the policy or issue he/she is grieving, or must show that he/she will be personally affected by that policy or issue unless some relief is granted or changes made. All grievances must be filed in an individual capacity.

(c) Visitor complaints.

Visitor complaints shall be processed via the office of diversity management in accordance with the departmental procedure on discriminatory treatment complaints of visitors.

(d) Class actions not accepted.

Individuals personally affected by a matter which affects a class of inmates may only file a grievance on their own behalf. Grievances which are raised in terms of class actions should be referred to the inmate liaison committee.

(e) Non-grievable issues.

(1) An individual decision or disposition of any current or subsequent program or procedure having a written appeal mechanism which extends review to outside the facility shall be considered non-grievable.

(2) An individual decision or disposition of the temporary release committee, time allowance committee, family reunion program or media review committee is not grievable. Likewise, an individual decision or disposition resulting from a disciplinary proceeding, inmate property claim (of any amount), central monitoring case review or records review (freedom of information request, expunction) is not grievable. In addition, an individual decision or disposition of the commissioner, or his designees, on a foreign national prisoner application for international transfer is not grievable.

(3) The policies, rules, and procedures of any program or procedure, including those above, are grievable.

Note:

If an inmate is unsure whether an issue is grievable, he/she should file a grievance and the question will be decided through the grievance process in accordance with section 701.5 of this Part.

(f) Outside agencies excluded.

Any policy, regulation or rule of an outside agency (e.g., the division of parole, immigration and customs enforcement, the office of mental health, etc.) or action taken by an entity not under the supervision of the commissioner is not within the jurisdiction of the IGP.

(g) Reasonable accommodations.

The IGP supervisor will ensure that disabled inmates are provided the necessary assistance to facilitate their access to and use of the IGP. Reasonable accommodations shall include, but not be limited to, meetings with inmates at accessible sites and the provision of qualified sign language interpreters for deaf and hard-of-hearing inmates who use sign language to communicate. Copies of all grievance decisions concerning reasonable accommodations for disabled inmates shall be sent to the ADA coordinator in central office.

(h) Translators.

Translators will be used to facilitate access to the IGP for those inmates who do not speak English.

(i) Sexual abuse and sexual harassment complaints.

The department has zero tolerance for sexual abuse and sexual harassment. Consistent with this policy and the Prison Rape Elimination Act (PREA) Standards (28 C.F.R. section 115.52[a]), an inmate is not required to file a grievance concerning an alleged incident of sexual abuse or sexual harassment to satisfy the Prison Litigation Reform Act (PLRA) exhaustion requirement (42 U.S.C. section 1997e[a]) before bringing a lawsuit regarding an allegation of sexual abuse as long as the matter was reported as set forth below. For purposes of the Prison Rape Elimination Act (PREA) Standards (28 C.F.R. section 115.52) and the exhaustion requirement, any allegation concerning an incident of sexual abuse or sexual harassment (See, Departmental Directives #4027A Sexual Abuse Prevention & Intervention - Inmate-on-Inmate and #4028A Sexual Abuse Prevention & Intervention - Staff-on-Inmate) shall be deemed exhausted if official documentation confirms that:

(1) an inmate who alleges being the victim of sexual abuse or sexual harassment reported the incident to facility staff; in writing to central office staff; to any outside agency that the department has identified as having agreed to receive and immediately forward inmate reports of sexual abuse and sexual harassment to agency officials under the PREA Standards (28 C.F.R. section 115.51[b]); or to the department’s office of the Inspector General; or

(2) a third party reported that an inmate is the victim of sexual abuse and the alleged victim confirmed the allegation upon investigation.

A sexual abuse or sexual harassment complaint may be submitted at any time, however, a timely complaint is essential to providing services and proper investigation. Acceptance of a late complaint does not waive the applicable statute of limitations with respect to any related lawsuit.

Any inmate grievance filed regarding a complaint of sexual abuse or sexual harassment shall immediately be reported by the IGP supervisor to the watch commander for further handling in accordance with departmental policies. The complaint shall be deemed exhausted upon filing for PLRA purposes. If the grievance does not set forth any additional matters that require a response, the grievance shall be closed.

7 CRR-NY 701.4 Inmate grievance resolution committee (IGRC) {#sec-7-crr-ny-701.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 701.4}

(a) Composition.

Pursuant to section 139 of the Correction Law, a facility's IGRC must be a five-member body consisting of two voting inmates, two voting staff members, and a non-voting chairperson. The non-voting chairperson may be an inmate, staff member, or a volunteer associated with the facility's program. There shall be at least two alternate inmate representatives, two alternate staff representatives, and four non-voting chairpersons in each facility.

(1) From time to time, or prior to the establishment of a new IGRC, the superintendent shall determine whether an institution's size warrants additional alternates or non-voting chairpersons.

(2) The IGP supervisor supervises and coordinates the IGP activities of each inmate and staff representative, clerk and chairperson.

(b) IGRC inmate representatives and clerks.

(1) Minimum qualifications.

(i) An inmate must have completed high school or obtained a G.E.D. equivalency certificate to be eligible to function as an IGRC representative or clerk.

(ii) An inmate testing above the eighth grade level is eligible to participate as an IGRC representative or clerk as long as he or she is enrolled in one unpaid module of school and remains enrolled in school until a G.E.D. certificate is earned.

(2) Selection of inmate representatives. The inmate representatives and alternates shall be elected by their peers.

(i) The IGP supervisor shall submit a nomination and election procedure for his/her facility to the director, IGP, for approval.

(ii) The approved nomination and election procedure shall be conspicuously posted five working days prior to nominations being held.

(3) Filling vacancies between elections.

(i) Alternate inmate representatives (those placing third or fourth in the most recent election) will be used to fill vacancies between elections.

(ii) When there is a need for additional inmate representatives or alternate representatives to complete a term until the next regular election, the supervisor has the option of: exhausting the most recent election list in numerical sequence for representatives; having the current IGRC agree upon the appointment of a new representative who meets with the approval of the superintendent; or holding another election.

(4) Inmate representative's tenure. An inmate representative's term shall be six months. Representatives who are unseated will return to their former job assignments whenever feasible. However, leave of absence from a former job assignment may not exceed seven months. The inmate representative's position is a full-time assignment unless otherwise authorized in writing by the director, IGP.

(c) Removal of inmate representatives.

(1) Before an elected inmate representative or an inmate representative who has permanently replaced an elected representative of the IGRC may be removed from his/her position on the committee or transferred to another facility, a limited due process hearing must be held. When the inmate is served with the notice of charges, the notice must indicate that the affirmation of these charges may result in removal from the IGRC. This hearing may be a disciplinary Tier III hearing or an IGRC impeachment hearing (procedurally the same as a Tier III hearing; see Part 254 of this Title). The hearing determines whether or not the representative should be removed from his/her representative position and for how long he/she should be precluded from holding a representative position. Although other sanctions may result from a disciplinary Tier III hearing, no other sanctions may result from an IGRC impeachment hearing.

(2) If an elected inmate representative or inmate representative who has permanently replaced an elected representative of the IGRC requests a transfer out of his/her facility or reassignment to another program, the inmate must sign a resignation vacating the protection afforded the representatives prior to realizing that transfer or reassignment.

(3) In order to prevent improper transfers of IGRC representatives, the following identification procedures must be followed:

(i) The IGP supervisor or the superintendent shall notify the following within 24 hours of an inmate's election or appointment as an IGRC representative:

(a) director of the IGP;

(b) superintendent;

(c) first deputy superintendent;

(d) all deputy superintendents;

(e) inmate records coordinator;

(f) review officer - disciplinary.

(ii) To identify an inmate as an IGRC representative and alert any reader that this inmate may not be transferred without a due process hearing, a conspicuous non-permanent marker shall be attached to or provided for:

(a) the guidance and counseling unit folder;

(b) the inmate records coordinator's office folder/card; and

(c) the disciplinary office.

(iii) When an inmate is no longer a full-time representative, the IGP supervisor or the superintendent is responsible for notifying the individuals listed in subparagraph (i) of this paragraph, and for removing the identifying marker from the locations listed in subparagraph (ii) of this paragraph, within 24 hours.

(iv) If an inmate representative's presence or conduct at a facility creates an emergency and transfer is immediately necessary to protect the facility or its personnel, the superintendent shall notify the superintendent of the receiving facility of the need to conduct the limited due-process hearing as soon as practicable, shall provide the superintendent of the receiving facility with all documentation necessary to hold such a hearing and shall notify the director of the IGP, of the transfer. These actions shall be taken within 24 hours of the inmate representative's transfer.

(d) Staff IGRC representatives.

Staff representatives and alternates shall be selected by the superintendent from an established list of personnel who have successfully completed a training course designed specifically for individuals who will be serving as IGRC representatives. In order for the IGP to function effectively and in accordance with specified time limits, the superintendent must ensure that trained staff coverage is made available to the IGP.

(e) Representatives' job duties.

Both the inmate and staff IGRC representatives are responsible for the job duties enumerated in the IGP Training Manual under the supervision of the IGP supervisor.

(f) IGRC chairperson selection.

Chairpersons for IGRC hearings shall be selected by the IGP supervisor from a list submitted by the IGRC representatives.

(g) Grievance clerks.

(1) A grievance clerk and such additional clerks as may be needed shall be selected by the IGP supervisor after consultation with the superintendent.

(2) At the conclusion of their IGP assignments, clerks will be reinstated to their former job assignments whenever feasible. Clerks may be reasonably assured of reinstatement for a period of 12 months.

(3) The clerks shall report to and take direction from the IGP supervisor.

(4) If the supervisor has personal knowledge or reliable information of adverse behavior on the part of a clerk, he/she shall recommend dismissal setting forth the reasons in writing to the superintendent. The superintendent shall forward a recommendation, accompanied by a copy of the supervisor's report, to the director of the IGP. The clerk will be suspended pending the director's decision.

7 CRR-NY 701.5 Procedure {#sec-7-crr-ny-701.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 701.5}

Note:

If an inmate is deaf or hard-of-hearing, any expression of difficulty in communicating or understanding shall be considered a request for assistance. Reasonable accommodations (including assignment of a sign language interpreter, if needed, and a grievance clerk) will be made to ensure the inmate's full access to all steps in the grievance process.

(a) Filing the complaint.

(1) Time limit for filing. An inmate must submit a complaint to the clerk within 21 calendar days of an alleged occurrence on an inmate grievance complaint form (form #2131). If this form is not readily available, a complaint may be submitted on plain paper. The complaint may only be filed at the facility where the inmate is housed even if it pertains to another facility.

Note:

Exceptions to this time limit or any appeal time limits may be approved by the IGP supervisor under section 701.6(g) of this Part.

(2) Contents. In addition to the grievant's name, department identification number, housing unit, program assignment, etc., the grievance should contain a concise, specific description of the problem and the action requested and indicate what actions the grievant has taken to resolve the complaint, i.e., specific persons/areas contacted and responses received. The IGP supervisor shall review the grievance complaint and designate the grievance code and title. If the IGP supervisor determines that the grievance may be a harassment, discrimination or strip frisk/strip search grievance, it shall be processed in accordance with the respective expedited procedure (section 701.8, 701.9 or 701.10 of this Part). The clerk shall consecutively number and log each grievance at the time of receipt.

(3) Like grievances. "Like grievances" may be consolidated at the option of the IGP supervisor or IGRC and assigned one grievance calendar number. The first complaint received will be given the next sequential grievance number in the clerk's log (form #2136). The grievants shall select three or four spokespersons from their number to be grievants of record and to represent them at the hearing and to ensure expeditious processing of the cases. Any like complaint submitted at this time or during processing may be addressed under the same grievance calendar number. A list of the names of every inmate who submitted a complaint on the issue shall be included with the grievance materials and submitted with any appeal which may result. Every effort will be made to notify all of the grievants of the response at each level to which the grievance is appealed either by written response, posting on inmate bulletin boards or radio announcement. Not every complainant may receive an individual written response, but the three or four grievants of record will. If none of the grievants of record appeal to the next level, any inmate who submitted a complaint may continue the appeal. Any inmate on the list of those submitting the complaint will be given the number of the grievance of record to submit to the court in order to verify exhaustion of the IGP.

(b) First step, IGRC.

(1) Informal resolution. The representatives of the IGRC shall have up to 16 calendar days after a grievance is filed to resolve it informally. If the matter is resolved to the satisfaction of the grievant, the resolution and the grievant's consent must be entered on the inmate grievance complaint form.

(2) IGRC hearing.

(i) If there is no resolution, the full committee shall conduct a hearing to answer the grievance or make a recommendation to the superintendent.

(ii) The clerk, together with the staff, shall schedule the hearing to take place within 16 calendar days after receipt of the grievance, making certain that the grievant and all direct parties and witnesses, if any, are afforded an opportunity to appear (except as exempted in section 701.7[d] of this Part).

(a) Any inmate whose confinement status precludes his/her attendance at an IGRC hearing and who will be released within 30 calendar days shall be given the option of having the hearing held in his/her absence or postponed until release from confinement. The grievant's decision shall be obtained in writing. If the grievant is not scheduled for release from confinement within 30 calendar days, the hearing shall be held in his/her absence. If any person elects not to appear, the clerk shall so inform the IGRC.

(b) If a grievant does not appear for the hearing without a legitimate reason (visit, parole hearing, program committee, sick call, keeplock, etc.), the IGRC will hold a hearing in absentia. The IGRC has the authority in this circumstance to dismiss and close the grievance by majority vote (3 of 4), or to make a recommendation on the action requested and forward same to the grievant.

(c) If a grievant misses three scheduled hearings due to legitimate reasons, the IGRC shall act on the grievance at the third scheduled hearing.

(iii) The full IGRC shall conduct the hearing at the time and place set. The grievant or his/her advisor and any other direct party to the grievance may present relevant information, comments, or other evidence in furtherance of their respective positions. The IGRC shall be the judge of the relevance and materiality of the evidence offered.

(3) Committee decision/recommendation.

(i) After the chairperson closes the hearing, the committee shall deliberate in private session. Its decision must be communicated to the grievant and any direct party in writing with reasons stated, within two working days. In its discretion, the IGRC may also communicate its decision to the grievant orally immediately after its deliberations.

(ii) Matters which neither require superintendent/central office action nor involve changes in policy may be resolved by agreement of the committee, the inmate, and the party directly affected. Committee decisions which do require superintendent or central office action, including, but not limited to, changes in institutional or departmental policy or procedure, shall be written in the form of recommendations and referred to the superintendent. Any matter on which the committee cannot reach a decision by majority vote shall also be referred to the superintendent for action and response.

(4) Dismissals.

(i) The IGRC may dismiss and close a grievance after a hearing if it determines, by majority vote (3 of 4), that:

(a) the grievant has made no effort to resolve the complaint through existing channels;

(b) the grievant has not been or will not be personally affected by the issue in his/her complaint;

(c) the grievant is seeking a decision or an appeal of a decision otherwise attainable through the established procedures for:

(1) temporary release, family reunion and media review programs;

(2) disciplinary and time allowance committee proceedings;

(3) central monitoring (CMC), inmate claims, or record's review (freedom of information requests, expunction) procedures; or

(4) any other program or procedure having a written appeal mechanism which extends review to outside the facility (see section 701.3[e] of this Part);

(d) the grievant is seeking action with respect to any policy, regulation, rule or action of an agency not under the supervision of the Commissioner of Correctional Services (see section 701.3[f] of this Part); or

(e) the grievance is institutional in nature and only affects or no longer affects a grievant who has been released or paroled (see section 701.6[i] of this Part).

(ii) In such cases, the IGRC shall clearly cite the portions of this section and of section 701.3(a), (b), (e) and (f), or 701.6(i) of this Part which provide the basis for dismissal, and shall, where appropriate, refer the grievant to appropriate existing mechanisms.

(iii) If a grievant believes that a dismissal in his/her case is not authorized by this directive, he/she may apply directly to the facility IGP supervisor for review within seven calendar days after receipt of the IGRC's decision to dismiss the grievance. If the supervisor determines that the grievance does not fall into one of the categories cited in this section, then the grievance will be returned to the IGRC for a hearing and recommendation. The supervisor's written response shall be forwarded to the grievant within seven calendar days of receipt. An inmate may pursue a complaint that the IGP supervisor failed to reinstate an improperly dismissed grievance by filing a separate grievance.

(iv) If there is less than a majority vote to determine whether a complaint constitutes a grievable issue, the IGRC will hear the grievance and provide its recommendations with reasons stated on the specific requested action(s).

(c) Second step, appeal to the superintendent.

(1) Filing an appeal. If the grievant or any direct party wishes to appeal to the superintendent, he or she must complete and sign the appeal section on the IGRC response form (form #2131) and submit it to the grievance clerk within seven calendar days after receipt of the IGRC's written response. If no appeal is filed upon denial by the IGRC, it will be presumed that the grievant or direct party accepts the committee's recommendation. An exception to this appeal time limit may be approved by the IGP supervisor under section 701.6(g) of this Part.

(2) Referral to the superintendent. In all cases where action by the superintendent is required, the grievance papers and all relevant supplemental data shall be transmitted to the superintendent. Such transmittal shall be within one working day after receipt of an appeal.

(3) Superintendent's action. The superintendent's office shall date stamp all grievances forwarded showing when they were received. The superintendent or his designee shall determine if the grievance is departmental in nature.

(i) Departmental issue. If a matter concerns an altering or revision of a departmental policy/directive, the superintendent shall promptly forward the grievance papers and a recommendation regarding said policy to the IGP supervisor for forwarding to the CORC which shall render a decision in accordance with the third step. Such transmittal must be within seven calendar days from the time the appeal was received. The grievant, the grievance clerk, and the direct party, if any, shall receive notice of said transmittal. Departmental issues which do not involve creation or revision of a departmental policy or directive shall be answered by the superintendent within 20 calendar days from the time the appeal was received.

(ii) Institutional issue. If a matter concerns an institutional issue, the superintendent shall render a decision on the grievance and transmit said decision, with reasons stated, to the grievant, the grievance clerk, and direct party, if any, within 20 calendar days from the time the appeal was received.

(4) Implementation of decisions. The IGP supervisor or the superintendent must verify compliance with superintendents' responses that require some form of implementation. Documentation of compliance must be filed with the grievance record. If a decision is not implemented within 45 days, the grievant may appeal to CORC citing lack of implementation as a mitigating circumstance.

(d) Third step, appeal to the central office review committee (CORC).

(1) Appeal.

(i) If the grievant or any direct party wishes to appeal to the CORC, he or she must complete and sign form #2133 and submit it to the grievance clerk within seven calendar days after receipt of the superintendent's written response to the grievance. The superintendent's response form contains simple directions for appeal to the CORC. An exception to this appeal time limit may be approved by the IGP supervisor under section 701.6(g) of this Part.

(ii) The grievance clerk shall transmit the signed appeal and the accompanying grievance papers to the IGP supervisor within one working day after receipt of the signed appeal statement. The supervisor must forward appeals within seven calendar days to the CORC.

(2) The CORC.

(i) The CORC shall consist of the deputy commissioner and counsel, deputy commissioner for correctional facilities, deputy commissioner for program services, deputy commissioner for administrative services, and the deputy commissioner and chief medical officer, or their designees expressly authorized to act for them. A representative of the office of diversity management will attend CORC hearings and have input on grievances alleging discrimination, but will not vote.

(ii) The CORC functions on behalf of the commissioner and under his authority. CORC decisions have the effect of directives. Decisions requiring remedial action must be implemented by the facility and/or departmental office to which they apply.

(iii) The director, IGP, is not a voting member of the CORC. The director will, however, be responsible for the administrative function of the IGP. The director, IGP, as the commissioner's designee, shall ensure implementation of CORC decisions.

(2) CORC action.

(i) The IGP central office staff shall date stamp all appeals showing when they were received and shall notify facility grievance staffs in writing as grievances are received. The facility IGP staff shall forward a copy of the written notice of receipt to the grievant of record. If a grievant does not receive a copy of the written notice of receipt within 45 days of filing an appeal, the grievant should contact the IGP supervisor in writing to confirm that the appeal was filed and transmitted to CORC.

(ii) The CORC shall review each appeal, render a decision on the grievance, and transmit its decision to the facility, with reasons stated, for the grievant, the grievance clerk, the superintendent, and any direct parties within 30 calendar days from the time the appeal was received.

(4) Implementation of decisions. The director, IGP, must obtain verification of compliance with CORC dispositions. Documentation of compliance must be filed in the central office and facility grievance records.

7 CRR-NY 701.6 Procedural safeguards {#sec-7-crr-ny-701.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 701.6}

(a) Advisors.

An inmate may present or appeal a grievance unaided, or may be advised or assisted by a staff member or another inmate of his/her choosing subject to the restrictions set forth in sections 701.2(h) and 701.7(c)(3) of this Part. At the discretion of the superintendent, inmate advisors for keeplocked inmates may be limited to inmate clerks or inmate representatives on the IGRC and keeplocked inmates may be prohibited from serving as advisors to other inmates.

(b) Reprisals prohibited.

No reprisals of any kind shall be taken against an inmate or employee for good faith utilization of this grievance procedure. An inmate may pursue a complaint that a reprisal occurred through the grievance mechanism. A grievant shall not receive a misbehavior report based solely upon an allegedly false statement made by the inmate to the grievance committee.

(c) Objection to IGRC representative.

No inmate will take part in the resolution of a grievance over a grievant's objection. If a grievant objects to both inmate representatives and both alternate inmate representatives, then the two staff representatives shall hold the hearing. An inmate representative may not function as a voting representative at a hearing on his/her grievance. An alternate inmate representative must be utilized. A staff representative may not function as a voting representative at a hearing on a grievance in which that staff person is a direct party. An alternate staff representative must be utilized.

(d) IGRC access/movement within the institution.

(1) A pass system (institutional or point to point) which permits inmate representatives, and grievance clerks to perform their IGP duties shall be developed in accordance with specifications established by the superintendent. Security restrictions will preclude inmates from entering certain areas of the facility.

(2) At any facility where a pass system is not feasible, the superintendent must develop a procedure to ensure that the IGRC can obtain necessary information, keep within established time frames and maintain confidentiality. This procedure must be in writing and approved by the director, IGP.

(3) Upon written recommendation of the IGP supervisor and with the approval of the director, IGP, the superintendent may restrict or remove a specific inmate's IGRC pass privileges.

(e) IGRC interviews of employees.

(1) Formal interviews with staff members, if necessary to an IGRC investigation, should be conducted jointly by an inmate and a staff representative whenever feasible. Employees should be questioned in a diplomatic and non-adversarial manner.

(2) If inmate representatives cannot accompany staff representatives on an investigation because of security restrictions, and if interviews cannot be conducted in the grievance office or through less formal means (e.g., by telephone), the inmate representatives shall provide the staff representatives with the questions they would like answered. The staff representatives shall make every effort to obtain answers for the inmate representatives.

(f) Code of ethics.

(1) A code of ethics (see section 701.11 of this Part) for IGRC staff and inmate representatives, clerks, and chairpersons has been established to strengthen the credibility and effectiveness of the IGP. Violations of this code may result in removal from the IGP.

(2) Inmate representatives may be removed from the committee only in accordance with procedures set forth in section 701.4(c) of this Part.

(3) The IGP supervisor is responsible for insuring that the full-time and alternate IGRC representatives have read, understand and received a copy of the code of ethics.

(g) Time limit exceptions and extensions.

(1) Time limit for filing a grievance or appeal:

(i) An inmate may request an exception to the time limit for filing a grievance, or for filing an appeal to the superintendent or to CORC. Such a request shall be in writing and shall be submitted to the grievance clerk with the grievance or appeal the inmate wishes to file.

(a) The IGP supervisor may grant an exception to the time limit for filing a grievance based on mitigating circumstances (e.g., timely attempts to resolve a complaint informally by the inmate, etc.). An exception to the time limit may not be granted if the request was made more than 45 days after an alleged occurrence.

(b) The IGP supervisor may grant an exception to the time limit for filing an appeal of an IGRC or superintendent's decision based on mitigating circumstances (e.g., failure to implement action required by the IGRC or superintendent's decision within 45 days, etc.). An exception to the time limit may not be granted if the request was made more than 45 days after the date of the decision unless the late appeal asserts a failure to implement the decision.

(ii) An inmate may pursue a complaint that an exception to the time limit was denied by filing a separate grievance.

(2) Time limit for IGP action. Time limit extensions may be requested at any level of review (e.g., time limits for holding an IGRC hearing, answering a grievance or an appeal, etc.), but such extensions may be granted only with the written consent of the grievant. Absent such extension, matters not decided within the time limits may be appealed to the next step.

(h) Processing grievances and appeals after transfer.

(1) Any response to a grievance filed by an inmate who has been transferred shall be mailed directly to that inmate, via privileged correspondence, at his/her new facility or location.

(2) An inmate transferred to another facility may continue an appeal of any grievance. If the grievant wishes to appeal, he or she must mail the signed appeal form back to the IGP supervisor at the facility where the grievance was originally filed within seven calendar days after receipt. The IGP supervisor will refer it to the facility grievance clerk for processing.

(i) Processing grievances pending at release or parole.

A grievance pending at the time an inmate has been released or paroled shall be processed as follows:

(1) If the IGRC majority determines that the grievance affects other members of the facility population and encompasses an issue that has not been reviewed by CORC within a year, the IGRC shall provide a recommendation and forward the case to the superintendent for a determination. If the grievance affects only the grievant and encompasses an issue that has been reviewed by CORC within a year, it is subject to dismissal under section 701.5(b)(4) of this Part.

(2) The superintendent shall answer any grievance received pursuant to paragraph 1 above and any appeal pending at the superintendent's level. The superintendent shall make a recommendation in the case of any departmental grievance (as defined in section 701.5[c][3][i] of this Part) and forward it to the IGP supervisor. The superintendent shall make a determination in all other cases.

(3) Upon receipt of the superintendent's response, the IGP supervisor shall forward all case materials to the CORC for a final disposition.

(j) Procedures for transient inmates.

Each correctional facility housing a reception/classification/transit inmate population must develop and implement a written procedure insuring all inmates access to the IGP. This procedure must be approved by the director, IGP.

(k) File maintenance/confidentiality.

(1) Grievance files will be maintained in a specific area for use by the IGRC and the grievance clerk. No copies of grievance documents may go into the grievant's central file or facility file without the grievant's direct written consent. Likewise, no copies of grievance documents may go into an employee's file without the direct written consent of the employee. No grievance documents shall be disseminated to persons other than the grievant, a direct party, or an individual involved in the review process without the approval of the IGP supervisor. Any requests for grievance documents by the grievant or any direct party may be addressed through the Freedom of Information Law (FOIL) as outlined in Part 5 of this Title.

(2) The superintendent is responsible to ensure the confidentiality and maintenance of grievance records. Complete grievance records must include the original grievance, responses from each level of review, the investigation, referenced documentation and verification of implementation, when appropriate.

(3) Grievance files shall be preserved for the current calendar year, plus the previous four calendar years.

(l) IGRC reference materials.

The IGRC at each facility is responsible for maintaining an up-to-date set of code "A B" departmental directives and a set of the IGP monthly index of written opinions. A copy of the IGP monthly index of written opinions must also be maintained in the facility law library.

(m) Emergencies.

The IGP supervisor shall refer any grievance of an emergency nature directly to the appropriate response level (superintendent or CORC) having authority to issue an immediate or expeditious and meaningful response. An emergency shall include, but is not limited to, a situation, action, or condition in which an inmate's or an employee's health, safety, or welfare is in serious threat or danger. The supervisor will determine if a grievance falls within this category.

7 CRR-NY 701.7 Procedures for inmates in special housing units (SHU's) {#sec-7-crr-ny-701.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 701.7}

The IGP supervisor shall monitor and ensure the proper functioning of the grievance procedure in SHU's. The following minimal standards shall be instituted to provide SHU inmates with access to the IGP:

(a) Forms and envelopes.

(1) A supply of inmate grievance complaint forms (form #2131) will be maintained in all special housing areas and will be given to inmates requesting them. The area supervisor is responsible for ensuring that a supply of these forms is available at all times. Additional forms, when needed, will be obtained from the IGP supervisor's office.

(2) Envelopes will be given to inmates for use in forwarding their completed grievance forms to the IGP office. The sealed envelopes will assure the confidentiality of the inmate's complaint while enroute to the IGP office.

(3) Area supervisors will ensure that the completed grievance forms are placed in sealed envelopes, collected and forwarded to the IGP office.

(b) IGP deposit boxes.

Where available, SHU inmates shall use centrally located IGP deposit boxes to send grievance forms and IGP correspondence to the IGP office. These boxes shall be kept locked at all times. The IGP supervisor and staff representatives (IGRC sergeant/ officer) will have the only keys to these boxes and will collect their contents at least two times per week. Broken boxes or locks will be reported to the IGP supervisor immediately, and he or she will arrange for their repair or replacement. In the interim, grievance forms shall be submitted as stated in paragraph (a)(3) of this section.

(c) Rounds, access to IGP members and advisors.

(1) An IGRC staff member (sergeant, officer) or grievance supervisor shall make rounds of all special housing areas at a reasonable time at least once a week to allow inmates direct access to the program. These rounds will give inmates who are having communication problems or difficulty writing their complaints an opportunity to request and receive assistance. Staff noting problems or requests for assistance shall report them to the IGP supervisor. The IGP supervisor will work with the deputy superintendent(s) of programs and/or security to obtain necessary assistance.

(2) The superintendent, at his/her discretion, may grant direct access to the full IGRC, or to either an inmate member or a staff member of the IGP office for those inmates in certain special housing areas such as reception or transient units.

(3) Since there is a security interest in restricting confined inmates access to other inmates, the superintendent may prohibit any inmate in SHU from using another inmate as an advisor or from serving as an advisor to another inmate. Staff members from the IGRC or from the facility at large can serve this function. A staff member must be willing to accept this function.

(d) Attendance at hearings.

A grievant confined to SHU who will be released within 30 calendar days shall be given the option of having the hearing held in his/her absence or postponed until release from confinement. The grievant's decision shall be obtained in writing. If a grievant is not scheduled for release from confinement within 30 calendar days, the hearing shall be held in his/her absence.

(e) Time limits.

The time limits for processing of grievances as delineated in section 701.6(g) of this Part, also apply to grievances submitted from special housing units.

7 CRR-NY 701.8 Harassment {#sec-7-crr-ny-701.8 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 701.8}

Allegations of employee harassment are of particular concern to the administrators of department facilities. Therefore, the following expedited procedure for the review of grievances alleging harassment shall be followed.

Note:

Grievances alleging sexual harassment shall be reported to the watch commander for further handling in accordance with departmental policies and shall be deemed exhausted upon filing for PLRA purposes.

(a) An inmate who wishes to file a grievance complaint that alleges employee harassment shall follow the procedures set forth in section 701.5(a) of this Part.

Note:

An inmate who feels that he/she has been the victim of harassment should report such occurrences to the immediate supervisor of that employee. However, this is not a prerequisite for filing a grievance with the IGP.

(b) A grievance alleging harassment shall be given a grievance calendar number and recorded in sequence with all other grievances on the grievance clerk's log (form #2136). All documents submitted with the allegation must be forwarded to the superintendent by close of business that day.

(c) The superintendent or his/her designee shall promptly determine whether the grievance, if true, would represent a bona fide case of harassment as defined in section 701.2 of this Part. If not, then it shall be returned to the IGRC for normal processing.

(d) If it is determined that the grievance is a bona fide harassment issue, the superintendent shall:

(1) initiate an in-house investigation by higher ranking supervisory personnel into the allegations contained in the grievance;

(2) request an investigation by the inspector general's office; or

(3) if the superintendent determines that criminal activity may be involved, request an investigation by the New York State Police, Bureau of Criminal Investigation.

(e) Once a grievance has been referred to the superintendent and determined to be an allegation of harassment, that grievance cannot be withdrawn. The superintendent must address the grievant's allegations.

(f) Within 25 calendar days of receipt of the grievance, the superintendent will render a decision on the grievance and transmit said decision, with reasons stated to the grievant, the grievance clerk, and any direct party of interest. Time limit extensions may be requested, but such extensions may be granted only with the consent of the grievant.

(g) If the superintendent fails to respond within the required 25 calendar day time limit the grievant may appeal his/her grievance to CORC. This is done by filing a notice of decision to appeal (form #2133) with the inmate grievance clerk.

(h) If the grievant wishes to appeal the superintendent's response to CORC, he/she must file a notice of decision to appeal (form #2133) with the inmate grievance clerk within seven calendar days of receipt of that response.

(i) Unless otherwise stipulated in this section, all procedures, rights, and duties pertaining to the processing of any other grievance as set forth in section 701.5 of this Part shall be followed.

7 CRR-NY 701.9 Allegations of unlawful discrimination {#sec-7-crr-ny-701.9 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 701.9}

Allegations of acts or policies which adversely affect individuals based on race, religion, national origin, sex, sexual orientation, age, disabling condition(s) or political belief, except as provided by law, are of particular concern to the administrators of this department and its facilities. Therefore, the following expedited procedure for the review of grievances alleging unlawful discrimination shall be followed:

(a) An inmate who wishes to file a grievance complaint that alleges discrimination by an employee, program, policy or procedure shall follow the procedures set forth in section 701.5(a) of this Part.

Note:

An inmate who feels he/she is being unlawfully discriminated against by an employee, program, policy or procedure shall report such incident to the immediate supervisor of the employee or supervisor/administrator of such program. However, this is not a prerequisite for filing a grievance with the IGP.

(b) A grievance alleging unlawful discriminatory acts, policies or procedures shall be given a grievance calendar number and recorded in sequence with all other grievances on the grievance clerk's log (form #2136).

(c) A grievance alleging unlawful discrimination, and its related documentation, shall be forwarded to the superintendent with a copy to the office of diversity management, within 24 hours.

(d) The superintendent shall initiate an in-house investigation by higher ranking supervisory personnel and/or request the office of diversity management to conduct an investigation.

(e) Within 25 calendar days of receipt of the grievance, the superintendent will render a decision on the grievance and transmit said decision, with reasons stated, to the grievant, the grievance clerk, the office of diversity management, and any direct party of interest.

(f) If the superintendent fails to respond within the required 25 calendar day time limit the grievant may appeal the grievance to CORC. This is done by filing a notice of decision to appeal (form #2133) with the inmate grievance clerk.

(g) If the grievant wishes to appeal the superintendent's response to CORC, he/she must file a notice of decision to appeal (form #2133) with the inmate grievance clerk within seven calendar days of receipt of that response.

(h) The director, office of diversity management, or his/her designee shall be present whenever CORC reviews grievance appeals regarding alleged unlawful discrimination.

(i) Unless otherwise stipulated in this section, all procedures, rights, and duties pertaining to the processing of any other grievance as set forth in section 701.5 of this Part shall be followed.

7 CRR-NY 701.10 Strip search/strip frisk {#sec-7-crr-ny-701.10 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 701.10}

The following expedited procedure for the review of grievances alleging violation of department policy regarding strip searches or strip frisks shall be followed.

(a) An inmate who wishes to file a grievance complaint that alleges violation of department policy regarding a strip search or strip frisk shall follow the procedures set forth in section 701.5(a) of this Part.

(b) A grievance alleging violation of department policy regarding strip searches or strip frisks shall be given a grievance calendar number and recorded in sequence with all other grievances on the grievance clerk's log (form #2136). All documents submitted with the allegation must be forwarded to the superintendent by close of business that day.

(c) The superintendent or his/her designee shall promptly determine whether the grievance, if true, would represent a bona fide violation of department policy regarding strip searches or strip frisks as defined in section 701.2 of this Part. If not, then it shall be returned to the IGRC for normal processing.

(d) If it is determined that the grievance is a bona fide strip search/strip frisk issue, the superintendent shall initiate an in-house investigation by the correction captain or functional equivalent into the allegations contained in the grievance. This responsibility cannot be delegated. Where a deputy superintendent has authorized the grieved strip search or strip frisk, the superintendent will supervise the investigation with the assistance of the captain.

(e) Once a grievance has been referred to the superintendent and determined to be a bona fide strip search/strip frisk issue, that grievance cannot be withdrawn. The superintendent must address the grievant's allegations.

(f) Within 25 calendar days of receipt of the grievance, the superintendent will render a decision on the grievance and transmit said decision, with reasons stated to the grievant, the grievance clerk, and any direct party of interest. Time limit extensions may be requested, but such extensions may be granted only with the consent of the grievant.

(g) If the superintendent fails to respond within the required 25 calendar day time limit the grievant may appeal his/her grievance to CORC. This is done by filing a notice of decision to appeal (form #2133) with the inmate grievance clerk.

(h) If the grievant wishes to appeal the superintendent's response to CORC, he/she must file a notice of decision to appeal (form #2133) with the inmate grievance clerk within seven calendar days of receipt of that response.

(i) Unless otherwise stipulated in this section, all procedures, rights, and duties pertaining to the processing of any other grievance as set forth in section 701.5 of this Part shall be followed.

7 CRR-NY 701.11 Code of ethics {#sec-7-crr-ny-701.11 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 701.11}

A code of ethics for IGRC staff and inmate representatives, clerks, and chairpersons has been established to strengthen the credibility and effectiveness of the IGP. Violations of this code may result in dismissal from participation in the IGP.

(a) No member shall obstruct an inmate from exercising his/her right to file a grievance nor ridicule an inmate or his/her grievance.

(b) A willing and tactful attitude is required in the performance of a member's duties.

(c) No member shall expect or receive preferential treatment because of his/her participation in the IGP.

(d) Particular duties, responsibilities, and assignments shall not be abused by any member.

(e) Members shall not disclose confidential medical information as defined in the DOCS Health Services Policy Manual, item 4.10, or non-medical information of a confidential nature except where necessary in fulfilling their duties under the grievance mechanism.

(f) Members shall be responsible for safekeeping grievance files and ensuring against unauthorized use.

(g) No member of IGRC shall intentionally undermine the IGRC's operation or credibility.

(h) Members of the IGRC shall have a working knowledge of the IGP and their responsibilities as members.

(i) Members shall obey all institutional and departmental rules and regulations.

7 CRR-NY 701.12 [Repealed] {#sec-7-crr-ny-701.12 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 701.12}

7 CRR-NY 701.13 [Repealed] {#sec-7-crr-ny-701.13 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 701.13}

7 CRR-NY 701.14 [Repealed] {#sec-7-crr-ny-701.14 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 701.14}

7 CRR-NY 701.15 [Repealed] {#sec-7-crr-ny-701.15 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 701.15}

7 CRR-NY 701.16 [Repealed] {#sec-7-crr-ny-701.16 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 701.16}

Part 702 INMATE GRIEVANCE PROGRAM MODIFICATION PLAN

7 CRR-NY 702.1 Purpose {#sec-7-crr-ny-702.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 702.1}

The purpose of this Part is to modify the instructions contained in Part 701, “Inmate Grievance Program,” of this Title and to assist facilities specifically approved by the Director, Inmate Grievance Program in implementing the program at those facilities.

7 CRR-NY 702.2 General {#sec-7-crr-ny-702.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 702.2}

(a) This plan recognizes that there are certain unique factors present in some facilities' operations which are not present in general confinement facilities. This plan addresses itself to the following factors which limit the availability of inmates to function as inmate representatives or to participate in the grievance program:

(1) inmates transferred to some facilities generally are within six months of meeting the parole board; and

(2) inmates at some facilities are involved in temporary release programs, spending from 6 to 14 hours daily in pursuit of employment or education, and have regular weekend furloughs as well as daily family visits.

(b) Facilities authorized to implement this modification plan shall comply with Part 701 except as specified in this Part.

7 CRR-NY 702.3 Staff coordination {#sec-7-crr-ny-702.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 702.3}

The superintendent shall designate a staff member to be responsible for coordinating grievance activities within the facility, recording and processing grievances through each step, and reporting monthly grievance activity to the Director, Inmate Grievance Program.

7 CRR-NY 702.4 Procedures {#sec-7-crr-ny-702.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 702.4}

(a) First step.

(1) Inmate grievance forms shall be made available to any inmate through the facility's duty office within 24 hours of request.

(2) The inmate may seek assistance from any other inmate or staff member.

(3) The completed grievance form shall be transmitted to the designated staff person who shall attempt to help resolve the grievance informally. At shock incarceration facilities an inmate may, if appropriate, air his or her grievance during a scheduled evening network community meeting in an attempt to resolve it informally.

(4) If the grievance cannot be resolved informally the designated staff shall convene an IGRC hearing within 16 calendar days from the date the grievance was received by that staff person. The IGRC shall be composed of two staff representatives appointed by the superintendent, two inmates selected by the grievant, and a non-voting chairperson designated by the superintendent or designee.

(5) At the IGRC hearing, the inmate, the advisor, and the other parties shall hear the grievance and the IGRC shall render a decision/recommendation.

(b) Second step.

(1) Within seven calendar days of receiving the written decision/recommendation by the IGRC on the grievance complaint form, the inmate or any direct party to the grievance may appeal the IGRC decision/recommendation to the superintendent by filing an appeal with the person designated by the superintendent. If no appeal is filed, it will be presumed that the inmate or direct party accepts the committee's decision/recommendation.

(2) The normal procedure for step two (section 701.5[c] of this Title) shall then be followed.

(c) Third step.

(1) Within seven calendar days after receipt of the superintendent's written response to the grievance, the inmate or any direct party to the grievance may appeal the superintendent's action to the Central Office Review Committee (CORC) by completing the Notice of Decision to Appeal and returning it to the person designated by the superintendent.

(2) The normal procedure for step three (section 701.5[c] of this Title) shall then be followed.

7 CRR-NY 702.5 Harassment {#sec-7-crr-ny-702.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 702.5}

The procedures for processing grievances regarding allegations of employee harassment as outlined in section 701.8 of this Title, shall be followed.

7 CRR-NY 702.6 Unlawful discrimination {#sec-7-crr-ny-702.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 702.6}

The procedures for processing grievances regarding allegations of unlawful discrimination as outlined in section 701.9 of this Title, shall be followed.

7 CRR-NY 702.7 Strip search/strip frisk {#sec-7-crr-ny-702.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 702.7}

The procedures for processing grievances alleging violation of department policy regarding strip searches or strip frisks as outlined in section 701.10 of this Title, shall be followed.

Part 711 MARRIAGES DURING CONFINEMENT

7 CRR-NY 711.1 Policy {#sec-7-crr-ny-711.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 711.1}

A major departmental objective is to foster ties to the community that will help create stability in the inmate's personal life. The department recognizes that a marriage can assist in creating that personal stability. Accordingly, the department will provide appropriate assistance to inmates who wish to become married. The department also recognizes that a person's confinement will in itself present impediments and difficulties to the contracting of a marriage during that period of confinement. The purpose of this directive is to outline the responsibilities of the inmate and the intended spouse and the obligations of the department to ensure that an intended marriage is legally acceptable.

7 CRR-NY 711.2 Legal and administrative prerequisites {#sec-7-crr-ny-711.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 711.2}

(a) Any inmate may marry, providing there are no legal or administrative impediments to the marriage. Legal impediments may fall into the following areas:

(1) Age.

In accordance with New York State law, all persons making an application for a marriage license must be 18 years of age or older. Those who are under age must submit written consent of both parents, or of one parent if the whereabouts of the other parent has been unknown for a period of one year, or of a legal guardian. Persons under the age of 16 years must obtain the written approval of a justice of the Supreme Court or a judge of the appropriate Family Court as stipulated in section 15 of the Domestic Relations Law.

(2) Competency.

Both parties must be mentally capable of consenting to the marriage.

(3) Prior marriages.

(i) All prior marriages must be legally dissolved. It is solely the responsibility of the inmate and the intended spouse to secure documented proof that any prior marriages to which they have been party have been legally dissolved.

(ii) The superintendent will not permit any marriage to take place until the inmate and his/her intended spouse have procured a valid marriage license.

(4) Inmate status.

When two persons are both confined in New York State correctional facilities, they will not be permitted to marry until at least one of them has been released from such confinement.

(b) Administrative impediments exist as follows:

(1) Inmate status.

An inmate may not marry another inmate.

(2) Disciplinary status.

The superintendent is authorized to prohibit the marriage of an inmate during the period that the inmate is confined pursuant to the disposition of a superintendent's or disciplinary hearing.

(3) Threat to safety and security.

If, in his/her judgment, the superintendent concludes that a proposed marriage presents a real threat to the safety and security of the facility, the marriage may be prohibited until such time as the threat is removed.

7 CRR-NY 711.3 Procedures {#sec-7-crr-ny-711.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 711.3}

(a) Notice to the superintendent.

(1) To ensure mutual agreement, the inmate and the intended spouse shall write to the superintendent expressing an intent to marry.

(2) The notices are to be recorded and filed in the inmate's guidance file.

(3) The superintendent shall designate an offender rehabilitation coordinator to be responsible for processing the request, interviewing the inmate and intended spouse, and ensuring that the inmate has a valid marriage license and that administrative requirements have been fulfilled.

(b) Offender rehabilitation coordinator's interviews.

(1) The offender rehabilitation coordinator shall conduct an initial interview with the inmate to explain the entire marriage procedure, emphasizing that while the department will assist the inmate, the primary responsibility for making all arrangements and securing the necessary documents rests with the inmate and the intended spouse.

(2) The offender rehabilitation coordinator shall explain that the temporary release program and the family reunion program operate independently of the marriage process and any applications or arrangements for those programs are likewise the responsibility of the inmate. An inmate who wishes to be married while on temporary release must conform to the procedures delineated in Subchapter A of Chapter XII of this Title.

Note:

For family reunion program purposes, legal spouses must be married for at least 12 months prior to submitting a family reunion program application; and both parties can not be himself/herself a resident of a New York State correctional facility.

(3) The offender rehabilitation coordinator shall examine the inmate's entire folder, including the presentence report, paying particular attention to information which may present legal impediments to a marriage (e.g., the existence of a previous marriage).

(4) Subsequently, the offender rehabilitation coordinator shall interview the intended spouse at the facility to explain the marriage process and the complications imposed by the inmate's confinement in a correctional facility. In the course of this interview, the offender rehabilitation coordinator should advise the intended spouse to discuss with the inmate the circumstances surrounding his/her incarceration. The offender rehabilitation coordinator shall inform the intended spouse of the inmate's parole eligibility date, conditional release date, and maximum expiration of sentence date.

(5) If the intended spouse refuses to participate in the offender rehabilitation coordinator’s interview, the offender rehabilitation coordinator shall explain that the interview is a part of the total procedure for processing marriage requests. The participation of the intended spouse shall be encouraged; however, a refusal to participate shall not be grounds for disallowing the marriage.

(c) [Reserved]

(d) Application for marriage license.

(1) The inmate and the intended spouse must appear before a town, city or county clerk to apply for a marriage license. A marriage license is valid for 60 days from the date of validation.

(2) In some facilities, an official at the facility is designated a town clerk. In such cases, this person shall receive the application for the marriage license.

(3) At other facilities, the offender rehabilitation coordinator or head clerk shall make every effort to get the local town, city or county clerk to either visit the facility or to designate a deputy in the facility community for the completion of the license application form.

(4) An inmate may choose to coordinate the application for a marriage license with a scheduled temporary release application if eligible under the guidelines of the temporary release program. The inmate must, however, conform to all the requirements of this directive, including but not limited to prior notification to the superintendent and participation in counseling.

(5) Under no circumstances will an inmate be allowed to proceed to the town, city or county clerk's office under escort by department personnel.

(6) The responsibility to determine whether a marriage can be contracted under the law rests with the town, city or county clerk. The license-issuing agency reviews competency and questions both parties regarding the legal dissolution of prior marriages.

(e) Solemnization of the marriage.

(1) A marriage, whether it takes place in the facility or in the community, must be solemnized by either:

(i) a clergyperson or minister of any religion or a leader of the Society for Ethical Culture licensed to perform marriages in New York State;

(ii) a justice or judge of a court of record or a municipal court, or a police justice of a village or town; or

(iii) others as indicated in the Domestic Relations Law.

(2) If the marriage ceremony takes place within the facility, the inmate and the intended spouse may select two individuals to serve as witnesses, e.g., employees who are willing, inmates, relatives or friends.

(3) The ceremony will be limited to the participating partners, the official solemnizer and two witnesses who may be selected according to the inmate's wishes.

(4) If the marriage is to be solemnized in the facility by someone other than the facility chaplain, the assigned offender rehabilitation coordinator should assist the inmate in recruiting the clergyman, minister, or civil official chosen to perform the ceremony.

(5) If the facility chaplain officiates at the ceremony, he or she may not accept any fee or honorarium.

(6) There must be an interval of 24 hours between the date that the marriage license is issued and the date of the marriage ceremony (Domestic Relations Law, section 13-b).

(f) Responsibility for expense incurred.

The marriage license fee and other expenses incurred for solemnization of the marriage shall be the responsibility of the inmate and the intended spouse.

(g) The offender rehabilitation coordinator assigned will notify the superintendent in writing upon completion of the solemnization of the marriage providing the information required in subdivision (i) of this section.

(h) Notification of marriage to central office.

By Monday of the last full week of the month, the Director of Ministerial and Family Services shall be advised in writing, by the superintendent, of the various facts concerning the marriage ceremony (i.e., names and addresses of partners, date of ceremony, name and address of church, witnesses and officiating chaplain, clergyperson or civil official).

Part 712 MEDIA REVIEW

7 CRR-NY 712.1 Policy {#sec-7-crr-ny-712.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 712.1}

(a) It is departmental policy to encourage inmates to read publications from varied sources if such material does not encourage them to engage in behavior that might be disruptive to orderly facility operations. Accordingly, inmates shall be allowed to subscribe to and possess a wide range of printed matter such as books, magazines and newspapers, subject to the provisions of this regulation, as these items may promote constructive individual development.

(b) In the event that the superintendent, or his designee, believes that printed material addressed to an inmate represents a possible threat to orderly facility operations, that material will be referred to the Facility Media Review Committee (FMRC) for its assessment and disposition.

(c) Exception.

At Auburn Correctional Facility and Clinton Correctional Facility the provisions of the Dumont stipulation take precedence whenever they differ from the provisions of this directive.

7 CRR-NY 712.2 Standards {#sec-7-crr-ny-712.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 712.2}

The department adopts the following guidelines by which literature for inmates will be evaluated:

(a) In general, the materials should be acceptable for regular mailing according to United States Postal Law and regulations.

(b) Publications which contain child pornography or which promote a sexual performance of a child in violation of Penal Law, article 263 are unacceptable. Publications in which models of any age are depicted or portrayed as underage persons in sexually provocative poses or engaged in sexual activity are unacceptable. Publications depicting nude children in a non-pornographic context, but which would promote or encourage prurient interest in the sexual performance of children, are unacceptable. Publications which, taken as a whole, by the average person applying contemporary community standards, appeal to prurient interest, and which depict or describe in a patently offensive way sexual bestiality, sadism, masochism, necrophilia, or incest and which taken as a whole, lack serious literary, artistic, political or scientific value are obscene and are unacceptable.

(c) The publication should not incite violence based on race, religion, sex, sexual orientation, creed, or nationality. Incite violence, for purposes of this guildeline, means to advocate, expressly or by clear implication, acts of violence.

(d) Any publication which advocates and presents a clear and immediate risk of lawlessness, violence, anarchy, or rebellion against governmental authority is unacceptable.

(e) The publication should not incite disobedience towards law enforcement officers or prison personnel. Incite disobedience, for purposes of this guideline, means to advocate, expressly or by clear implication, acts of disobedience.

(f) The publication should not give instruction in the use or manufacture of firearms, explosives, and other weapons, or depict or describe their manufacture. Mere depictions of the use of hunting and/or military weapons which reasonably would not affect the safety and/or security of the facility are not prohibited.

(g) The publication should not provide instruction by word(s) or picture(s) regarding martial arts skills. Martial arts includes, but is not limited to, aikido, jiujitsu, judo, karate, kung fu, and tai chi chu'an. Publications which discuss martial arts without providing instruction are acceptable.

(h) The publication should not:

(1) contain information which appears to be written in code; or

(2) depict or describe methods of lock picking; or

(3) depict or describe methods of escape from correctional facilities or which contain maps which could aid an inmate in an escape from a correctional facility (i.e. immediate area of the facility, detailed road maps, etc.); or

(4) depict or describe procedures for the brewing of alcoholic beverages or the manufacture of drugs or use of illegal drugs; or

(5) depict or describe methods or procedures for smuggling prison contraband; or

(6) depict or describe techniques or methods for rioting and/or information instructive in hostage or riot negotiation techniques; or

(7) depict or describe hand signs, insignias, graffiti, or any other identifiers depicting or pertaining to a gang, or text that describes or depicts gang or other unauthorized group activity in such a way that it would promote or instruct in the formation of such groups inside a correctional facility.

Note:

The above paragraph includes written material that, if observed by a fellow inmate in the inmate's possession, could result in an inference being drawn about the inmate's gang affiliation and thereby target him or her for assault or result in other disruptive conduct. It also includes certain written material that could facilitate organizational activity within an institution by an organization that has not been approved by the deputy commissioner for program services to operate within that institution. Material that could facilitate organizational activity includes, but is not limited to, a membership roster, organizational chart, constitution or bylaws. All such material can be disallowed although otherwise determined not to incite or advocate for violence or disobedience.

(i) The department reserves the right to deny the inmate publications which may be held noninciteful or nonadvocative, as the case may be, during the media review process, but which actually result in violence or disobedience after entrance into a facility, as is clearly set forth in paragraphs (h)(3) and (6) of this section. Such items shall be referred to the Facility Media Review Committee, and if appealed, referred to the Central Office Media Review Committee, for decision.

(j) Publications which discuss different political philosophies and those dealing with criticism of governmental and departmental authority are acceptable as reading material provided they do not violate the above guidelines. For example, publications such as Fortune News, The Militant, The Torch/La Antorcha, Workers World, and Revolutionary Worker shall generally be approved unless matter in a specific issue is found to violate the above guidelines.

(k) The purposes of the foregoing guidelines are to facilitate access by inmates to a wide range of literature.

(l) Superintendents and staff of correctional facilities are urged to use whatever means they have available to provide facility libraries with literature which presents differing points of view relevant to the issues of the day.

7 CRR-NY 712.3 Procedure {#sec-7-crr-ny-712.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 712.3}

In view of the above considerations, the department specifies the following procedures for the evaluation and approval or disapproval of literature for inmates.

(a) Establishment of Facility Media Review Committee (FMRC).

(1) Each institution will establish a media review committee and designate a Facility Media Review Committee Chairperson, who will be responsible for the oversight of the day to day operations of the FMRC. It is suggested that this committee consist of representatives from program services (for example, representatives from the guidance unit, mental health staff, chaplains' office, education staff, recreation staff, and library staff) and representatives from security staff. All FMRC activities will be reported monthly to the Central Office Media Review Committee (COMRC).

(2) The superintendent will inform the deputy commissioner for program services or his or her designee of the membership of the Facility Media Review Committee. The superintendent will also inform the deputy commissioner for program services or his or her designee of any changes in said membership.

(b) Referral of publications to FMRC, notice to inmate.

(1) Publications properly received at the facility for an inmate in mail or packages shall be delivered to the inmate in the ordinary course of mail or package delivery unless referred to the FMRC upon a reasonable good faith belief that the publication violates one or more of the media review guidelines listed in section 712.2 of this Part.

(2) When there is a good faith belief that a publication already belonging to or in possession of an inmate violates one or more of the media review guidelines, said publication shall be confiscated and referred to the FMRC for review and decision.

(3) Publications referred to the FMRC shall be delivered promptly to the FMRC. Notice to the inmate is made by using Exhibit A (see subdivision [j] of this section) which must be placed in the institutional mail at the same time as the publication is referred, unless doing so would interfere with an ongoing investigation.

(c) Facility Media Review Committee operations.

(1) The FMRC shall meet at least once weekly unless there are no publications for review.

(2) A decision regarding a publication shall be rendered by the FMRC within 10 working days of the publication's receipt at the facility. In the event that an FMRC does not respond to the inmate within 10 working days, the lack of a response shall constitute a constructive denial by the FMRC, and the inmate can appeal such denial, in writing, to the COMRC.

(3) Should the FMRC approve a publication, said publication shall be forwarded promptly to the inmate.

(4) Should the FMRC disapprove a publication, such decision shall be set forth in Exhibit B (see subdivision [k] of this section) and include a brief statement of reasons explaining why the publication is deemed to violate one or more of the media review guidelines and identifying by page number, article title, and location on the page, the contents objected to. (The FMRC shall not state that a publication is unacceptable in its entirety.) An example concerning such brief statement of reasons is set forth below:

(i) The following is an acceptable statement of reasons: “This publication incites inmates to commit assaults on correctional officers in the article ‘Prison Rebellion Now' on page 10, near the bottom.”

(ii) The following is not an acceptable statement of reasons: “This publication incites disobedience towards law enforcement personnel on page 10.”

(5) Notice to Inmate. When the FMRC disapproves a publication or any portion thereof, a copy of Exhibit B (see subdivision [k] of this section) shall be sent promptly to the inmate, unless doing so would interfere with an ongoing investigation.

(6) Notice to sender.

When the FMRC disapproves a publication, or any portion thereof, a copy of the Inmate Disposition Notice, Exhibit B, together with a copy of form #4572C, Sender Disapproval Notice, Exhibit C, notifying the sender of the right to appeal, shall be sent to the sender at the same time that the Inmate Disposition Notice is sent to the inmate, unless doing so would interfere with an ongoing investigation. No notice to the sender is required if the FMRC previously provided notice to the same sender of an identical FMRC decision regarding the same publication, notwithstanding that the intended inmate recipient is not the same. For purposes of this regulation, the term sender shall refer to the person or entity that sent the inmate the publication, if known, or if that person or entity is unknown, then the publisher, if known.

(d) Inmate options regarding appeal or other disposition when notified that a publication has been disapproved by Facility Media Review Committee.

When the FMRC disapproves a publication, the inmate shall be permitted to select one of the following options (see Exhibit B, subdivision [k] of this section):

(1) Appeal to COMRC.

The inmate shall not be entitled to appeal unless he chooses this option within 30 days of the FMRC decision.

(2) Receive the publication with the objectionable matter removed or blotted out.

This option shall be available only if the objectionable portions of the publication constitute eight or fewer individual pages or if they constitute a single chapter, article or section of any length. This option need not be made available if the publication is in a form other then a book, magazine, or newspaper, and if removing or blotting out portions would present physical difficulties. The choice between blotting out or removing objectionable material is made at the discretion of the facility.

(3) Have the publication sent, at the inmate's expense, to a person of the inmate's choice, not another inmate or a Department of Corrections and Community Supervision official, either immediately or after 30 days.

(4) Have the publication destroyed after 30 days.

If the inmate does not make a choice among these options within 30 days of the FMRC decision, the facility may dispose of the publication in any manner.

Note:

If the inmate chooses not to appeal, the publication will be held, as is, for at least 30 days from the date of the Inmate Disposition Notice to allow time for the sender to submit an appeal, if any. If the sender submits an appeal, the publication will be held, as is, pending the COMRC determination.

If neither the inmate nor the sender submits a timely appeal and the inmate has not made a choice among disposal options, disposal of the material(s) will be at the discretion of the superintendent or his or her designee.

(e) Appeals to Central Office Media Review Committee.

When an inmate elects to appeal the FMRC's disapproval of a publication, the inmate shall check the appropriate box on the disposition notice, Exhibit B (see subdivision [k] of this section). The inmate may also, at his or her option, include an appeal letter.

When the sender elects to appeal the FMRC's disapproval of a publication, the sender shall provide a written statement in support of the appeal, a copy of the inmate disposition notice (Exhibit B), and, if available, a copy of the issue of the publication found to be unacceptable.

An appeal by the inmate or sender must be submitted to the FMRC within 30 days of the date of the inmate disposition notice. After 30 days from the date of the inmate disposition notice, the FMRC shall forward any appeal received from the inmate and/or sender along with the Inmate Disposition Notice and the publication in question to the COMRC. Appeals shall be forwarded at facility expense by first class mail or equally prompt means.

(f) Establishment of Central Office Media Review Committee (COMRC).

The Central Office Media Review Committee (COMRC) will consist of representatives of program services, security services, counsel's office and administrative services. The committee will be chaired by the deputy commissioner for program services or his designee.

(g) Central Office Media Review Committee (COMRC) Operations.

(1) The COMRC shall meet at least bi-weekly unless there are no publications awaiting review.

(2) All publications appealed to the COMRC will be reviewed and a decision rendered thereon within three weeks of the date the appeal was received by the COMRC.

(3) THE COMRC in deciding whether to approve or disapprove a publication shall consider any statements submitted in a timely manner.

(4) If the inmate has appealed, he or she shall receive the inmate appeal determination (see subdivision (m) of this section, Exhibit D), which will set forth the COMRC appeal determination along with the reason for the determination. If both the sender and the inmate have appealed the FMRC determination, the sender will be notified by attaching a copy of Exhibit D to the sender appeal determination (see subdivision (n) of this section, Exhibit E). If only the sender has appealed, then the COMRC will notify the sender of its determination via Exhibit E, and set forth the reason for the determination on the form. The COMRC will notify the FMRC chairperson, in addition to the inmate and/or sender. The COMRC shall return its appeal determination (Exhibit D, E or both) and the publication in question to the FMRC chairperson. The inmate will receive a copy of the inmate appeal determination (Exhibit D) only.

Note:

In cases where the COMRC has approved a publication the FMRC shall return material directly to the inmate.

(5) When the COMRC disapproves a publication, the inmate shall have the following options:

(i) Receive the publication with the objectionable portions blotted or cut out. This option is available only if the objectionable portion is eight pages or less, or a single chapter, article, or section of any length.

(ii) Have the publication sent, at the inmate's expense, to a person of the inmate's choice, not another inmate or a Department of Corrections and Community Supervision official, either immediately or after 30 days.

(iii) Have the publication destroyed.

(iv) Have the publication retained at the facility for 30 days while the inmate makes arrangements for its disposition, including being picked up by a visitor during the period. If a choice is not made within 30 days, disposal of the material will be at the discretion of the superintendent or his or her designee.

(h) List of approved publications approved by the Central Office Media Review Committee.

On a monthly basis, the COMRC shall prepare a list of all the publications it has approved and forward a copy of that list to each Deputy Superintendent for Programs. Each Deputy Superintendent for Programs shall share that list with the respective FMRC chairperson.

(i) Action by the Facility Media Review Committee on held items approved by the Central Office Media Review Committee.

The chairman of each FMRC shall determine whether the names of any publications previously disapproved by the FMRC appears on the list, and whether said publication is being held pursuant to inmate choice. Should any such publication be in the possession of the FMRC, it shall immediately be forwarded to the inmate.

(j) Exhibit A.

INMATE REFERRAL NOTICE

FACILITY MEDIA REVIEW COMMITTEE

____ CORRECTIONAL FACILITY

Date: __

Inmate Name: ______

Identification No.: ______

Cell Location: ______

The following publication

(Title)

(Author, Date or Volume and Number)

has arrived at the facility addressed to you and has been held for review by the Facility Media Review Committee. You are invited to submit a written statement in support of the admission of the publication. Address your comments to: ___________, Chairperson of the Facility Media Review Committee, promptly, since the committee must reach a decision usually within ten working days of the date of this notice.

(k) Exhibit B.

INMATE DISPOSITION NOTICE

FACILITY MEDIA REVIEW COMMITTEE

______CORRECTIONAL FACILITY

Date: ______

INMATE NAME NUMBER CELL LOCATION

The publication

(Title)

(Author, Date or Volume & Number)

has been reviewed by the Facility Media Review Committee and the following portions:

(Pages, Articles, or Location of Offensive Portions)

have been found unacceptable for the following reasons:

---

(Guideline Number and Reason)

Do you wish to appeal this disposition?

() Yes. Appeal to the Central Office Media Review Committee by checking this box and sending this form and (if you desire) a letter in support of your appeal to the Facility Media Review Committee (FMRC).

() No. Choose only one the following disposal options:

() Receive the publication with the objectionable portions blotted or cut out. This option is available only if the objectionable portion is eight pages or less, or is a single chapter, article, or section of any length.

() Have the publication sent to a person of your choice, not another inmate or a Department of Corrections and Community Supervision official, at your expense.

Send to (include name and address):

() Have the publication destroyed. If the FMRC receives notice that the publication has been approved based upon an appeal by the sender, you will receive it.

Note: If you choose not to appeal, the publication will be held, as is, for at least 30 days from the date of this notice to allow time for the sender to submit an appeal if any. If the sender submits an appeal, the publication will be held, as is, pending the COMRC appeal determination. For the purposes of this notice, the term "sender" shall refer to the person or entity that sent you the publication, if known, and if that person or entity is unknown, then the term "sender" refers to the publisher, if known.

If you do not make a choice and the sender does not submit a timely appeal, disposal of your material will be at the discretion of the Superintendent or his or her designee.

INMATE NAME

DATE

(l) Exhibit C.

SENDER DISAPPROVAL NOTICE

FACILITY MEDIA REVIEW COMMITTEE

[Name and address of the correctional facility should be printed here]

This is to advise you that a publication, or a portion thereof, that was sent to one or more inmates at this correctional facility has been found unacceptable by our Facility Media Review Committee (FMRC) for the reason(s) set forth in the attached Inmate Disposition Notice (IDN). Included in this notice is a listing of the Department's guidelines by which the publication was evaluated.

As sender, you have 30 days from the date of the IDN to appeal the FMRC's decision. The appeal shall consist of a copy of the IDN, a written statement in support of your appeal, and, if available, a copy of the issue of the publication found unacceptable. The appeal must be submitted to the FMRC at the address above. The FMRC will forward your appeal to the Central Office Media Review Committee (COMRC) for a determination.

In the event that the inmate also appealed the decision, you will be provided with a copy of the COMRC decision that was sent to the inmate. If only you appealed the decision, you will be sent the COMRC decision using Attachment E, Sender Appeal Determination Notice.

If your appeal is granted, the inmate will be given the publication still in the FMRC's facilities possession. If the inmate had previously elected to dispose of the publication and the Department does not have a copy of the publication, you may send the inmate another copy.

For purposes of this notice, the term sender shall refer to the person or entity that sent the inmate the publication, if known, and if that person or entity is unknown, then the term sender refers to the publisher, if known.

SENDER DISPOSITION NOTICE - GUIDELINES

The Department adopts the following guidelines by which literature for inmates will be evaluated.

A. In general, the materials must be acceptable for regular mailing according to United States Postal Law and regulations.

B. Publications which contain child pornography or which promote a sexual performance of a child in violation of Penal Law article 263 are unacceptable. Publications in which models of any age are depicted or portrayed as underage persons in sexually provocative poses or engaged in sexual activity are unacceptable. Publications depicting nude children in a non-pornographic context, but which would promote or encourage prurient interest in the sexual performance of children, are unacceptable. Publications which, taken as a whole, by the average person applying contemporary community standards, appeal to prurient interest, and which depict or describe in a patently offensive way sexual bestiality, sadism, masochism, necrophilia or incest, and which taken as a whole, lack serious literary, artistic, political or scientific value are obscene and are unacceptable.

C. The publication should not incite violence based on race, religion, sex, sexual orientation, creed, or nationality. Incite violence, for purposes of this guideline, means to advocate, expressly or by clear implication, acts of violence.

D. Any publication which advocates and presents a clear and immediate risk of lawlessness, violence, anarchy, or rebellion against governmental authority is unacceptable.

E. The publication should not incite disobedience towards law enforcement officers or prison personnel. Incite disobedience, for purposes of this guideline, means to advocate, expressly or by clear implication, acts of disobedience.

F. The publication should not give instruction in the use or manufacture of firearms, explosives, and other weapons, or depict or describe their manufacture. Mere depictions of the use of hunting and/or military weapons which reasonably would not affect the safety and/or security of the facility are not prohibited.

G. The publication should not provide instruction by word(s) or picture(s) regarding martial arts skills. Martial arts include, but are not limited to, aikido, jujitsu, judo, karate, kung fu, and tai chi chu'an. Publications which discuss martial arts without providing instruction are acceptable.

H. The publication should not:

1. Contain information which appears to be written in code; or

2. Depict or describe methods of lock picking; or

3. Depict or describe methods of escape from correctional facilities or contain maps which could aid an inmate in an escape from a correctional facility (i.e. immediate area of the facility, detailed road maps, etc.); or

4. Depict or describe procedures for the brewing of alcoholic beverages or the manufacture of drugs or use of illegal drugs; or

5. Depict or describe methods or procedures for smuggling prison contraband; or

6. Depict or describe techniques or methods for rioting and/or information instructive in hostage or riot negotiation techniques.

7. Depict or describe hand signs, insignias, graffiti, or any other identifiers depicting or pertaining to a gang, or text that describes or depicts gang or other unauthorized group activity in such a way that it would promote or instruct in the formation of such groups inside a correctional facility.

The Department reserves the right to deny the inmate publications which may be held non-inciteful or non-advocative, as the case may be, during the Media Review Process, but which actually result in violence or disobedience after entrance into a facility, as is clearly set forth in guidelines 3 and 6 above. Such items shall be referred to the Facility Media Review Committee (FMRC), and if appealed, referred to the Central Office Media Review Committee (COMRC), for decision.

Publications which discuss different political philosophies and those dealing with criticism of Governmental and Departmental authority are acceptable as reading material provided they do not violate the above guidelines. For Example, publications such as Fortune News, The Militant, The Torch/La Antorcha, Workers World, and Revolutionary Worker shall generally be approved unless matter in a specific issue is found to violate the above guidelines.

The purposes of the foregoing guidelines are to facilitate access by inmates to a wide range of literature.

Superintendents and staff of correctional facilities are urged to use whatever means they have available to provide facility libraries with literature which presents differing points of view relevant to the issues of the day.

(m) Exhibit D.

INMATE APPEAL DETERMINATION

DEPARTMENT OF CORRECTIONS AND COMMUNITY SUPERVISION

CENTRAL OFFICE MEDIA REVIEW COMMITTEE

Building 2, Harriman State Campus

Albany, New York 12226-2050

Date: ______

INMATE NAME NUMBER FACILITY

The decision of the __ Facility Media Review Committee denying you the right to receive the publication

(Title) (Author, Date, or Volume and Number)

has been affirmed () reversed () by the Central Office Media Review Committee for the following reason:

If the decision was reversed, you should receive the publication with this form. If the decision was upheld, you now have the following options:

() 1. Receive the publication with the objectionable portions blotted or cut out. This option is available only if the objectionable portion is eight pages or less, or is a single chapter, article, or section of any length.

() 2. Have the publication sent to a person of your choice, not to another inmate or a Department of Corrections and Community Supervision Official, at your expense.

Send to:

Name:

Address:

() 3. Have the publication destroyed.

If you do not make this choice within 30 days, disposal of the material will be at the discretion of the Superintendent or his or her designee.

Send this form to your Facility Media Review Committee, since all censored publications are returned to this committee.

(n) Exhibit E.

SENDER APPEAL DETERMINATION

DEPARTMENT OF CORRECTIONS AND COMMUNITY SUPERVISION

CENTRAL OFFICE MEDIA REVIEW COMMITTEE

Building 2, Harriman State Campus

1220 Washington Avenue

Albany, New York 12226-2050

Date: __

The decision of the __ Facility Media Review Committee (FMRC) that denied the receipt, or portion(s) thereof, of the publication:

(Title) (Author, Date, or Volume and Number)

that was sent to:

Inmate Name Number Facility

has been ( ) affirmed ( ) reversed by the Central Office Media Review Committee (COMRC) for the reason(s) stated on the attached "Inmate Appeal Determination" or, if no inmate appeal was submitted, for the following reason(s):

If the denial was also appealed by the inmate, please see the reasons.

If the appeal is granted, the inmate will be given the publication in the FMRC's possession. If the inmate had previously elected to dispose of the publication and the Department does not have a copy of the publication, another copy may be sent to the inmate.

7 CRR-NY 712.4 Subscriptions {#sec-7-crr-ny-712.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 712.4}

Inmates will not be prohibited from subscribing to newspapers, magazines, and periodicals, but shall be informed that individual issues may be withheld if material contained therein is confirmed to be in violation of the guidelines set forth in this directive. If, after being advised of these conditions, inmates wish to subscribe to newspapers, magazines, and periodicals, they will be allowed to do so.

7 CRR-NY 712.5 Source of publication {#sec-7-crr-ny-712.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 712.5}

(a) Books, magazines and periodicals received from other than the publisher may be delayed through the package room up to six days while being subject to media review guidelines. All material is subject to media review guidelines.

(b) Newspapers may only be received from the publisher or an approved distributor, subject to media review guidelines.

(c) Printed or photocopied materials.

(1) No more than five newspaper clippings or five pages of printed or photocopied materials including materials printed off of the internet may be received from other than the publisher within a piece of regular correspondence.

(2) The pages or clippings must not be taped, glued, or pasted together or to other papers.

(3) Correspondence which includes printed or photocopied materials may be delayed through the correspondence unit up to six days while subject to media review guidelines.

(d) Audio tapes.

(1) Audio tapes (cassettes), commercially made and sealed in cellophane or similar material, may only be received from a distributor, retailer or manufacturer, and are subject to media review guidelines.

(2) Religious tapes may be received from a bona fide religious organization. These tapes must be in clear packaging and be reviewed by the chaplain's office or media review committee.

7 CRR-NY 712.6 Rereview {#sec-7-crr-ny-712.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 712.6}

A rereview of a publication which has been disapproved by a FMRC will be conducted by the FMRC upon the request of an inmate no less than 18 months subsequent to the previous disapproval. Nothing contained herein shall prevent review of such publications by the FMRC or COMR prior to 18 months after disapproval, where conditions warrant.

Part 720 INCARCERATED INDIVIDUAL CORRESPONDENCE PROGRAM

7 CRR-NY 720.1 Purpose {#sec-7-crr-ny-720.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 720.1}

This Part contains and describes the policies and procedures governing the correspondence program available to all inmates. The exchange of correspondence between an inmate and another person or business must be in accord with the regulations contained in this Part. (For policies and procedures governing privileged correspondence, see Part 721 of this Title.)

7 CRR-NY 720.2 Policy {#sec-7-crr-ny-720.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 720.2}

(a) These regulations are specified for staff, inmates, and the general public to provide efficient mail service to all concerned.

(b) General correspondence is mail between an inmate and someone other than a person approved for privileged correspondence (see Part 721 of this Title, “Privileged Correspondence”).

(c) Correspondents are personally responsible for the contents of their mail. Violation of the regulations governing inmate correspondence or the standards of inmate behavior through correspondence will be considered a serious offense and may result in disciplinary proceedings and/or the monitoring of outgoing correspondence for a specified period of time. Inmates and all correspondents are advised that sending obscene, threatening or fraudulent materials through the mails may be a crime under State and Federal laws. The department will urge prosecution whenever such mail is brought to its attention.

(d) The sending and receiving of mail by inmates will be restricted only to the extent necessary to prevent a threat to the safety, security and good order of the facility or the safety or well-being of any person, and to prevent unsolicited and unwanted mail.

(e) Inmates who are unable to read or write may request the assistance of a staff member, volunteer, or another inmate for correspondence purposes.

(f) The superintendent shall have the overall responsibility for the administration of the correspondence program at his or her facility.

(1) Specific responsibilities may be delegated by the superintendent.

(2) At the superintendent's discretion, a record of incoming and outgoing mail may be kept by the correspondence unit.

7 CRR-NY 720.3 Outgoing mail {#sec-7-crr-ny-720.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 720.3}

An inmate may submit correspondence to be sent to any person or business, subject to the conditions and limitations herein.

(a) Negative correspondence and telephone list.

Whenever the recipient of inmate correspondence indicates, in any manner, that he or she does not wish to receive further correspondence from the inmate, the correspondence unit, the package room, the Deputy Superintendent for Security, the Supervising Offender Rehabilitation Coordinator, the Facility Community Supervision Office and the inmate shall be notified. Departmental Form 3402 shall be used for notification. A copy will be filed.

(1) The negative correspondence and telephone list shall contain the name of any person or business that has indicated, in any manner, that further correspondence from the inmate is not desired. If a request to be removed from an inmate's telephone or correspondence list is received, a confirmation letter shall be sent to the person making the request. If such a person indicates, at a later time, that further correspondence is not objectionable, the superintendent or his/her designee may, but need not, direct the name of that person or business be removed from the negative correspondence and telephone list. Upon receipt of a request to be placed on an inmate's negative correspondence and telephone list, the requester is to be informed of the toll-free telephone number for the Office of Victim Assistance. The requester should also be told that the Office of Victim Assistance is available to explain release notification options and access to Crime Victim Compensation funds, and when appropriate, to make referrals to support groups or community services such as those assisting victims of domestic violence or sexual assault.

(2) A parent, custodian or legal guardian of an inmate's child who requests that the facility prohibit correspondence between the inmate and the inmate's child should be informed that the request cannot be granted absent a court order. However, if an inmate violates department correspondence procedures, correspondence may be limited as with any other person.

(3) No inmate shall continue to submit mail to be sent to a person or business which currently appears on the inmate's negative correspondence and telephone list. Any inmate who continues to submit mail to such a person or business may be subject to disciplinary action and/or monitoring of outgoing mail for a specified period of time.

(4) No inmate may correspond or make telephone calls to any person who is listed on an active court order of protection which prohibits such contacts. The name of the person(s) will be added to the negative correspondence and telephone list. Departmental form 3402 will be completed and used for notification. A copy will be filed.

(b) Advance approval.

Correspondence by an inmate to the following persons requires special advance approval.

(1) Unrelated minors under 18 years of age. Written approval of the minor's parent or legal guardian must be obtained prior to correspondence with an unrelated minor. The inmate may address a letter to the parent or legal guardian to obtain such approval.

(2) Persons under probation or community supervision. Authorization from the superintendent and the probation or parole officer must be obtained before the inmate may correspond with a probationer or parolee. Such correspondence will usually be limited to immediate family members.

(3) Inmates in New York State, Federal or other correctional facilities. Authorization from the superintendents concerned must be obtained before an inmate may correspond with another inmate. See section 720.6 of this Part.

(4) Persons presently or formerly employed by the department or in a department facility. Unless an inmate is an immediate family member, authorization from the superintendent must be obtained before an inmate may correspond with any person who is a present or former employee of the department or presently or formerly employed in a department facility, or with any member of such person's household, at their personal or private residence address.

(5) Victims. Authorization from the superintendent must be obtained before an inmate may correspond with any victim of a crime for which the inmate has been convicted or is presently under indictment, or with any member of said victim's household who is not an immediate family member of the inmate. The name of the person(s) will be added to the negative correspondence and telephone list. Departmental form 3402 will be completed and used for notification. A copy will be filed.

(c) Except for oversize envelopes and parcels, inmate-to-inmate correspondence, and correspondence specified in section 721.3(a)(2) of this Title, outgoing correspondence may be sealed by the inmate.

(d) Oversize correspondence, defined as mail which cannot be enclosed in a standard business envelope, shall be inspected in the presence of the inmate by a designated security staff person for the presence of contraband.

(1) The superintendent may designate block, law library, package room, correspondence unit, “legal mail,” “notary public,” or other staff to conduct these inspections.

(2) Inspections shall be completed as soon as possible, but not later than 24 hours after request.

(3) Legitimate correspondence may be sealed by the inmate after inspection, and the inspecting staff person shall then sign the back of the envelope or parcel certifying inspection, and promptly deliver or forward the mail to the correspondence unit or business office, as appropriate.

(e) Outgoing correspondence, except as specified in section 721.3(a)(2) of this Title, shall not be opened, inspected, or read without express written authorization from the facility superintendent.

(1) The superintendent shall not authorize the opening or inspection of such outgoing mail unless there is a reason to believe that the provisions of any department directive, rule or regulation have been violated, that any applicable state or Federal law has been violated, or that such mail threatens the safety, security, or good order of a facility or the safety or well being of any person. Such written authorization shall set forth the specific facts forming the basis for the action.

(2) If after inspecting the contents of outgoing mail it is determined that the provisions of a directive, rule, regulation, or state or Federal law have been violated, or that such correspondence threatens the safety, security or good order of the facility or the safety or well being of any person, then the correspondence may be confiscated. The inmate must be informed in writing unless doing so would interfere with an ongoing investigation.

(3) Where the inmate has been so notified, he or she may appeal the action to the superintendent.

(f) All outgoing inmate mail will be stamped with the name and address of the correctional facility from which it is being sent and a postage meter star symbol.

(g) Outgoing mail should include the full address of the person to whom it is addressed. It should include the name, street address, city, state, and ZIP code. Inmates shall not submit correspondence to be sent to a post office box without a specifically identified addressee; the addressee (either a person or a business) shall be clearly identified. An insufficiently addressed envelope shall be opened to ensure that the letter is returned to the originator.

(h) An inmate may use envelopes and writing paper provided by the facility, or personal writing paper. Any printing on personalized writing paper is limited to the inmate's commitment name (unless the inmate's name has been legally changed), department identification number, and facility address. Personalized writing paper (not envelopes) may be ordered by the inmate from a commercial source.

(i) It is the responsibility of each incarcerated individual to print or type his or her return address on the front upper-left-hand corner and on the back flap of each outgoing envelope exactly as illustrated below. The incarcerated individual shall use his or her commitment name unless it has been legally changed. Failure to include all return address information in the order indicated may result in the opening and return of the mail to the incarcerated individual. If the correspondence unit is unable to identify the incarcerated individual sender, the mail will be destroyed by the facility.

| | | | --- | --- | | Great Meadow Correctional Facility | New York State | | Box 51 | Department of Corrections and Community Supervision | | Comstock, New York 12821–0051 | Incarcerated Individual Correspondence Program | | John Doremi, 00-A-0000 | John Doremi, 00-A-0000 | | (Envelope - front - upper left) | (Envelope - back flap - centered) |

(j) A facility may restrict what appears on the outside of an outgoing envelope.

(k) Incarcerated individuals who are unable to read or write may request the assistance of a staff member, volunteer, or another incarcerated individual for correspondence purposes.

(l) Incarcerated individuals shall not conduct a mail-order or other business while under the custody of the department. Superintendents may direct administrative services, program services, or security services deputies to monitor correspondence patterns and financial accounts to detect any irregularities which would indicate this type of activity. Violation of this policy by an incarcerated individual may result in disciplinary action and/or the monitoring of outgoing correspondence for a specified period of time.

(m) Incarcerated individuals shall not use their correspondence privileges to solicit or otherwise commercially advertise for money, services, or goods.

(n) Correspondence privileges shall not be used by an incarcerated individual to engage in any form of gambling or to participate in any lottery, sweepstakes, or chain letter operation.

(o) An incarcerated individual may send, at his/her own expense, a certified or registered letter, and the incarcerated individual upon request will be provided with a “return receipt” after delivery has been made.

(p) An incarcerated individual must request and pay for certified or registered mail service in order to have a valued personal document mailed out from personal property secured by the facility inmate records coordinator. Whenever such mail is prepared and sent by the I.R.C., a copy of the disbursement form and postal documentation showing the item has been sent will be filed in that incarcerated individual's personal property folder. If a "return receipt" has been requested as part of the postal service, it shall go directly to the incarcerated individual.

(q) An incarcerated individual shall not include any written material in outgoing mail not specifically intended for the addressee identified on the exterior of the envelope. Likewise, an incarcerated individual shall not include in outgoing mail any written material for an incarcerated individual not specifically identified as the sender on the exterior of the envelope. This practice, sometimes known as “kiting” may be the basis for disciplinary action.

(r) Outgoing correspondence that does not comply with this Part will be opened and returned to the incarcerated individual. The correspondence unit shall indicate the reason for return.

7 CRR-NY 720.4 Incoming mail {#sec-7-crr-ny-720.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 720.4}

(a) Inspection of incoming correspondence.

(1) Before opening, incoming mail should be checked to make sure that the addressee can be accurately identified and is currently at the facility. If the addressee is no longer at the facility, the mail shall be forwarded in accordance with Part 722 of this Title. All incoming general correspondence must have a clearly identifiable name of sender and return address. A letter which does not have a return address will not be delivered to the inmate. It will be considered contraband and handled in accordance with departmental directive.

(2) All incoming general correspondence will be opened and inspected for cash, checks, money orders, printed or photocopied materials or contraband. The inmate's presence is not required during the inspection of incoming general correspondence. See Part 721 of this Title for the procedure to be followed for the opening of privileged correspondence and Part 712 of this Title for publications deemed to be unacceptable.

(3) Publications received at the facility which are in a language other than English shall be referred for translation services to the Central Office Director of Education prior to referral to the Facility Media Review Committee (FMRC).

(b) Monies received.

When, in the course of inspection, cash, checks, or money orders from a clearly identifiable source are found, they shall be mailed back to the sender, in accordance with departmental directive #4422. Facilities will continue to process cash received in the mailroom in accordance with departmental directive #4422. All anonymously received monies will be considered contraband and handled accordingly.

(c) Printed or photocopied materials.

(1) When, in the course of inspection, printed or photocopied materials are found, the entire contents of such correspondence may be delayed through the correspondence unit for up to six days while the materials are subject to media review guidelines (see Part 712 of this Title).

(2) A limit of five pages of printed or photocopied materials (an individual newspaper clipping will be considered one page) may be received within a piece of regular correspondence (except as provided in paragraphs [3] and [4] of this subdivision). In order to facilitate media review, pages or clippings must not be taped, glued, or pasted together or to other papers.

(3) Not to exceed once every four months, an inmate may make a written request to the superintendent to receive in excess of five pages of printed or photocopied legal papers specifically related to the inmate's current legal matter (e.g., legal brief or trial transcript relating to the inmate's active case) within a piece of regular correspondence. The inmate shall make the request in advance, specifically identifying the legal papers, including the approximate number of pages, and state why they cannot be obtained via the facility law library or privileged correspondence (e.g., from a court, attorney, or the New York State Law Library). If approved, the piece of correspondence must be received within 30 days thereafter. Upon timely receipt, it shall be processed in accordance with this section and shall not be deemed privileged correspondence.

(4) The five page limit on printed or photocopied materials shall not apply to incoming mail from the entities listed in section 721.2(b)(2) through (6) of this Title.

(d) Contraband.

When, in the course of inspection, contraband is found, it shall be removed and given special handling according to type:

(1)

Third party mail. Defined as correspondence from a party who is not identified as the sender in the return address. The facility shall return the entire correspondence to the sender with a letter explaining that third-party mail is considered contraband, is against department rules and, therefore, will not be delivered to the inmate.

(2) Unauthorized items. Such items shall be either returned to the sender at the expense of the inmate, or otherwise disposed of. Such will be the choice of the inmate and accomplished at the inmate's expense. An inmate should be allowed 30 days to obtain funds to pay the cost of disposing of the contraband. If, after 30 days, the inmate is unable to pay for disposal of the contraband, it will be donated or destroyed.

(3) Personal identifying information. Any material which appears to contain personal identifying information (e.g., social security number, home address, private e-mail address or home telephone number) belonging to any person who is not a member of the inmate's immediate family shall be examined. If the information identifies a present or former employee of the department or a person presently or formerly employed in a department facility, or a member of such person's household, it shall be withheld for investigation unless it is determined that the inmate has authorization from the superintendent to receive such correspondence, or the personal identifying information pertains to a member of the inmate's immediate family.

(4) Crime and sentence information on other inmates. Any material which contains crime and sentence information on any other inmate shall be confiscated and delivered to the superintendent.

(5) Illegal items. Illegal items, e.g., drugs, weapons, etc., shall be forwarded to the security office, with appropriate chain-of-custody documentation. When appropriate, the State Police or other police agency shall be notified.

(6) Items received anonymously. Such items (e.g., cash, checks, money orders, etc.) will be confiscated, labeled, and forwarded to the fiscal office for safekeeping. An investigation will be conducted in an attempt to verify the source. If, after proper investigation, no source is identified, the monies will be turned over to the State Comptroller as miscellaneous receipts.

(7) Uniform Commercial Code (UCC) financing statements. Any UCC article 9 form, including but not limited to any financing statement (UCC1, UCC1Ad, UCC1AP, UCC3, UCC3Ad, UCC3AP, UCC1CAd), correction statement (UCC5) or information request (UCC11), whether printed, copied, typed or hand written, or any document concerning a scheme involving an inmate's “strawman,” “House Joint Resolution 192 of 1933,” the “Redemptive Process,” “Acceptance for Value,” or document indicating copyright of an inmate's name is prohibited absent prior written authorization from the superintendent. All such material and any other material contained within the correspondence shall be examined by the superintendent in consultation with counsel's office and may be withheld for investigation. An inmate may request authorization from the superintendent to receive specific materials by providing the superintendent with specific, legitimate legal reasons why such materials are required.

(e) Reading of incoming correspondence.

Incoming general correspondence, other than inmate-to-inmate letters and inmate business mail, will not be read unless there is evidence that the correspondence may contain one or more of the following:

(1) plans for sending contraband in or out of the facility;

(2) plans for criminal activity, including escape; or

(3) information which, if communicated, would create a clear and present danger to the safety of persons and/or the security and good order of the facility.

(f) Authorization to read incoming correspondence.

Written authorization from the facility superintendent to read incoming correspondence must be placed in the inmate's file specifying the reasons such action is considered necessary, and whether all mail or certain correspondence shall be read.

(1) Such authorization shall be for a 60-day period, subject to renewal by the superintendent.

(2) The superintendent shall request documentation from the person recommending inspection to determine that there are sufficient grounds for reading the mail, that the reasons for reading the mail are related to the legitimate interests of safety, security, and order, and that the reading is no more extensive than is necessary to further these interests.

(g) Withholding of correspondence.

(1) When incoming general correspondence is withheld by the designated staff member for any of the above listed reasons, notification shall be sent to the sender and the intended correspondent of the action taken and the reasons therefore, unless doing so would interfere with an ongoing investigation.

(2) The sender and inmate may appeal this action by writing the superintendent.

(3) Correspondence with a particular person may be withheld, by the disposition of a superintendent's hearing, where the inmate has been involved in improper conduct in connection with correspondence with such person.

(h) Mail received for inmates no longer at the facility.

Mail received at a facility from which an inmate has been transferred or released shall be handled in accordance with the procedures set forth in Part 722 of this Title, Forwarding Inmate Mail.

(i) Inmates are authorized to retain all of their personal correspondence, subject only to the limitations expressed in Directive #4913, “Inmate Property,” and any other applicable rule or regulation.

(j) Incoming mail that is deemed to constitute a form of gambling, lottery, sweepstakes, or chain letter operation is prohibited from coming into a facility. Such mail shall be stamped “ RETURN TO SENDER” upon entering the facility.

(k) When an inmate's incoming correspondence is stamped "RETURN TO SENDER" or something similar, the correspondence unit should take precautions to ensure that the letter is not an attempt to circumvent the department's inmate-to-inmate correspondence procedures. When such mail is opened to check for contraband, it shall be inspected to determine if it was written by the inmate to whom it is being “returned.” If it was not written by that inmate, it shall be withheld.

7 CRR-NY 720.5 Collection and distribution of mail {#sec-7-crr-ny-720.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 720.5}

(a) Outgoing mail.

Outgoing inmate mail shall be collected from mail boxes, placed in convenient locations in the facility, by a correctional employee at least once a day, except Saturdays, Sundays, and State and postal holidays; mail service on Saturdays and State holidays is optional. At no time shall an inmate collect the mail. Collected mail shall be processed and forwarded to a post office at least once a day, except as noted above.

(b) Incoming mail.

Incoming general correspondence will be delivered to inmates on normal business days by a correctional employee. Inmates are not permitted to deliver mail to other inmates.

(1) If the incoming general correspondence is registered or certified, the inmate to whom it is addressed shall sign a receipt for such correspondence.

(2) If the inmate refuses to sign a receipt, the correspondence shall be returned to the Postal Service marked “refused.”

7 CRR-NY 720.6 Inmate-to-inmate correspondence {#sec-7-crr-ny-720.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 720.6}

(a) The superintendent or chief administrator at each facility may designate a staff member to process inmate-to-inmate correspondence requests.

(b) These requests will be investigated by both facilities to determine that the exchange of such correspondence will not create problems relating to the safety, security, or good order of the facilities, or the safety or well-being of any individual before any inmate-to-inmate correspondence is authorized.

(c) Authorization for such correspondence must come from the involved superintendents or their designees.

(1) Exception. Only the approval of the superintendent of the facility where the state inmate is housed is required when a state inmate requests to correspond with an inmate in the custody of the New York City department of corrections. This exception is based on the New York City department of corrections' policy which permits inmates to write to whomever they choose, including other inmates.

(2) Restrictions. Inmates are only permitted to correspond with immediate family members and codefendants in active cases. Immediate family members are defined as spouses, children, parents, siblings, and grandparents. Other inmate-to-inmate correspondence may only be approved in exceptional circumstances. Changes to the inmate-to-inmate correspondence lists are permitted only on a quarterly basis at the time of the inmate's scheduled interview. Photographs should not be included in inmate-to-inmate correspondence.

(3) Transfer of inmates. When an inmate is transferred, his/her approval to correspond with other inmates will remain in effect. The guidance staff at the receiving facility will notify the correspondence unit of the names of inmates with approvals for inmate-to-inmate correspondence.

(d) Denial and withdrawal of authorization.

(1) Denial of authorization. Denials of authorization for inmate-to-inmate correspondence shall include a statement of reasons for the denial, and shall be placed in both inmates' files. A denial of authorization may be appealed to the commissioner or his designee, in writing, within 30 days.

(2) Withdrawal of authorization. Authorization to correspond may be withdrawn by a superintendent in a particular case when it is demonstrated and documented that one or both inmates have violated facility or department rules and regulations, that the reason for the original approval no longer applies or has been determined to have been erroneous or deceptive, that the safety, security or good order of a facility is jeopardized, or that the safety or well being of any individual is jeopardized. Documentation shall be placed in both inmates' files.

(e) Inmate-to-inmate correspondence must not be sealed. If it is sealed, it may be opened and returned to the inmate sender.

(f) Inmate-to-inmate correspondence may be read by a superintendent (or his/her designee) of either the sending or receiving facility or by both. No inmate-to-inmate correspondence shall be deemed in any way to be privileged correspondence.

(g) There shall be no exchange of funds or packages between inmates without the specific approval of their respective facility superintendent(s). Transfers are limited to gifts between inmates related to each other.

7 CRR-NY 720.7 Business mail {#sec-7-crr-ny-720.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 720.7}

All correspondence addressed to a business entity, other than a member of the media, shall be considered business mail and shall be processed as follows:

(a) Business mail obligating an inmate's funds (e.g., requests to an outside vendor for goods or services, etc.) must be accompanied by a signed and approved disbursement form.

(b) When processing this business mail, the facility must ensure that the inmate has sufficient funds. If sufficient funds are available, a check or money order will be drawn against the inmate's account and inserted in the envelope as advance payment.

(c) Inmates are prohibited from using business correspondence to order any items on credit or installment plans, and are also prohibited from obligating their funds for anything more than the immediate purchase which is being reviewed.

(1) Inmates may not join a club or purchase plan in which items are automatically sent to the facility along with invoices for payment each week, month, etc.

(2) Inmates may make one single payment for items which will be delivered over an extended period of time, provided that there is no additional billing for the items being delivered in the future.

(d) All business mail, except business mail to the media, will be submitted by the inmate unsealed. Such business mail is subject to inspection.

(e) All business mail addressed to the media may be submitted sealed. Such business mail shall not be subject to opening, inspection, or confiscation, except in accordance with the provisions of section 720.3(c) of this Part.

(f) Notwithstanding the above, mail addressed to a box number in care of a media entity shall not be considered to be mail addressed to the media.

7 CRR-NY 720.8 Postage {#sec-7-crr-ny-720.8 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 720.8}

(a) Purchase/possession of stamps.

(1) Inmates may not receive stamps through the mail or through inmate packages.

(2) The maximum value of stamps in an incarcerated individual’s personal possession should not exceed the amount specified in department directive #4422.

(3) Postage shall be made available by the sale of stamps in the commissary. Inmates may purchase up to 50 domestic first class stamps for one ounce letters per commissary buy.

(4) An inmate, who has sufficient funds available in his inmate account, may purchase postage by attaching a disbursement form to a letter only in the following circumstances:

(i) the inmate is newly arrived at a facility, has no stamps, and has not yet had an opportunity for a commissary buy;

(ii) the inmate has had commissary buy privileges suspended and is not eligible for or does not get a special commissary buy;

(iii) a particular letter or parcel, because of size, weight, special handling, or any other special postal feature requires an unusual amount of postage; or

(iv) there are extenuating circumstances which, in the discretion of the superintendent, warrant processing a disbursement form.

(5) An inmate who has lost commissary privileges shall be able to make a monthly “stamp buy” of up to 50 domestic first class stamps for one ounce letters. This special buy shall be offered within 72 hours of the imposition of the penalty and every 30 days thereafter. Inmates who have been admitted to a special housing unit shall be offered a “stamp buy” within 72 hours of admission and every 30 days thereafter.

(b) Free postage.

(1) Inmates may receive free postage for privileged correspondence. See Part 721 of this Title.

(2) Inmates received at reception/classification facilities (except cadre) shall be allotted free postage in the amount equivalent to five domestic first class letters of one ounce per week for personal correspondence for a period not to exceed four weeks.

(3) Inmates may not accumulate, from week to week, credit for unused postage.

(c) Advances for legal postage.

Funds may be advanced to an inmate for the purpose of sending legal mail in accordance with the procedures set forth in Part 721 of this Title.

(d) Advances for personal postage.

Funds may be advanced to an inmate for one domestic first class one ounce letter per month in the following circumstances:

(1) The inmate has been confined to SHU for disciplinary or administrative segregation for 30 days or more, and has a zero or negative account balance.

(2) The inmate has been in keeplock status for 30 days or more, has lost telephone privileges, and has a zero or negative account balance.

(3) The inmate has lost telephone privileges, has a zero or negative account balance, and has not refused to accept available program assignments.

(e) Inmate organizations.

Inmate organizations must pay the postage costs for all of their outgoing mail.

Part 721 PRIVILEGED CORRESPONDENCE

7 CRR-NY 721.1 Purpose {#sec-7-crr-ny-721.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 721.1}

This Part contains and describes the policies and procedures governing privileged correspondence. Privileged correspondence, as defined in section 721.2 of this Part, is entitled to a greater degree of confidentiality during processing within the facility than that which is accorded general correspondence (see Part 720 of this Title, “Inmate Correspondence Program”).

7 CRR-NY 721.2 Definition {#sec-7-crr-ny-721.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 721.2}

(a) Privileged correspondence is defined as correspondence addressed by an inmate to any of the following persons or entities at their official business address, or, except as noted in subdivision (b) of this section, received from such persons or entities:

(1) Governmental/public officials. Any American Federal, state, or local government official, department or agency; any official of a nation, state, or tribe of which the inmate is a citizen; or the correctional association of New York State;

(2) Legal services. Any attorney, approved legal representative, representative employed or supervised by an attorney, or any legal services organization; or

(3) Medical services. Medical personnel such as physicians and dentists; or hospitals.

(b) The following shall not be defined as privileged correspondence but shall be processed as general incoming correspondence in accordance with Part 720 of this Title, "Inmate Correspondence Program":

(1) mail which is not delivered in an envelope bearing the identity and official business return address of one of the above listed persons or entities;

(2) mail received from a board of elections;

(3) mail received from the Department of Motor Vehicles;

(4) mail received from the State Education Department, excluding materials sent to inmates marked "legal mail" by the New York State Library's Prisoner Services Project;

(5) mail received from any county or local tax assessor or clerk, except for a clerk of a court (note: notwithstanding that a county clerk may also be a clerk of a court, mail from a county clerk shall be processed as general incoming correspondence); and

(6) mail received from the Secretary of State, Department of State, corporation division or uniform commercial code unit of any state.

(c) This regulation does not, in itself, establish a confidential relationship between the sender and recipient of correspondence identified herein as privileged (e.g., a central office official in receipt of privileged mail may share that mail, and any response to it, as deemed appropriate). The privileges which apply to correspondence defined in this section relate to processing controls, allowances of limited free postage and advances of inmate funds for postage. These privileges are detailed in section 721.3 of this Part.

7 CRR-NY 721.3 Procedure {#sec-7-crr-ny-721.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 721.3}

Note:

Unless otherwise provided for in this directive, the general correspondence procedures set forth in Part 720 of this Title, “Inmate Correspondence Program,” (such as the requirement to put return addresses on the front and back of outgoing envelopes) shall be followed.

(a) Outgoing privileged correspondence.

(1) For the purpose of this directive, outgoing mail will not be considered to be privileged correspondence until it has been placed in the control of the facility administration for processing.

(2) Outgoing privileged correspondence may be sealed by the inmate, and such correspondence shall not be opened, inspected, or read without express written authorization from the facility superintendent as specified in subdivision (c) of this section. Notwithstanding the foregoing or any other provision of this Chapter, outgoing mail to the Secretary of State, Department of State, corporation division or uniform commercial code unit of any state shall be submitted by the inmate unsealed and is subject to inspection.

(3) Postage for privileged correspondence.

(i) Inmate letters addressed to the commissioner or other central office staff shall be mailed by the facility at no cost to the inmate. This service shall only apply to regular letters; special handling charges for services such as certified mail, return-receipt, or express mail must be paid for by the inmate.

(ii) Each inmate will receive a weekly free postage allowance equivalent to five domestic first class one ounce letters to pay for first class postage on outgoing privileged correspondence.

(a) This allowance may not be used to pay for any special handling charges such as for certified, return-receipt, express mail, etc., unless such mail services are required by statute, court rule or court order.

(b) Any unused allowance will not be accumulated from week to week. Inmates will have to pay for postage costs which exceed this weekly allowance.

(iii) A postage-prepaid envelope received within correspondence from a court or an attorney which has been pre-addressed by the court or attorney may be received (subject to inspection by the security staff) and used by the inmate for the intended return correspondence.

(iv) To ensure that indigent inmates maintain their right of access to the courts, the facility shall approve and IAS 2708 advance request to pay for first class mail postage if the inmate has insufficient funds and if the following conditions are met:

(a) the mail is legal mail (e.g., it is addressed to a judge, clerk of court, attorney, or authorized legal representative; or is directly related to a potential or ongoing legal matter);

(b) any balance of the inmate's free weekly postage allowance is applied to the legal mail postage costs; and

(c) the requested advance and the balance of unpaid previous advances for legal mail postage do not exceed $20, except as may be approved under subparagraph (vi) of this paragraph.

(v) Advances for “special handling” (e.g., certified mail, return receipt, express mail, etc.) will not be approved unless required by a statute, court rule or court order.

(vi) Exceeding the $20 limit shall only be approved if the inmate can show by court rule, court order, a statute of limitations, or other legal deadline applicable to his or her individual circumstance that the legal mail must be sent prior to receipt of the next week's free postage allowance. The inmate must provide justification for such advance.

(vii) No request for a legal mail advance will be denied by facility staff without prior consultation with the department's office of counsel. Any question whether a particular item qualifies as “legal mail,” or whether an advance is allowable should be directed to such office.

(b) Incoming privileged correspondence.

(1) Incoming privileged correspondence shall not be opened outside the presence of the inmate to whom it is addressed, and shall not be read without express written authorization from the facility superintendent (see subdivision [c] of this section).

(2) A log entry should document any incoming privileged correspondence erroneously opened outside the presence of the inmate to whom it is addressed (see paragraph [3] of this subdivision). If appropriate, a photocopy of an erroneously opened envelope shall be included.

(3) Incoming privileged correspondence shall be given priority handling and shall be delivered in a consistent manner at a time when the inmates are available to receive it and which does not interfere with programming. If the inmate to whom privileged correspondence is addressed is not currently at the facility, the provisions of Part 722 of this Title shall be followed.

(4) A log shall be created to record receipt and delivery of incoming privileged mail. It shall identify the sender and include the inmate's name and number, the delivery date and time, the title of the delivery person, and note if the inmate refused to sign a receipt, refused delivery of the mail, or would not respond to delivery calls. If privileged mail is erroneously opened outside the presence of the inmate, that fact and any relevant explanation shall be noted in the log.

(5) Inspection.

(i) Where x-ray capability exists, incoming privileged correspondence should be x-rayed prior to being opened.

(ii) Except as provided in subdivision (c) of this section, all incoming privileged correspondence shall be opened and inspected, in the presence of the inmate to whom it is addressed, for the presence of cash, checks, money orders, and contraband and to verify, as unobtrusively as possible, that the correspondence does not contain material that is not entitled to the privilege.

(iii) When, in the course of inspection, cash, checks, or money orders are found, they shall be removed and credited to the inmate's account.

(iv) When, in the course of inspection, contraband is found, it shall be removed and forwarded to the security office, with appropriate chain-of-custody documentation. When appropriate, the State Police shall be notified.

(v) When, in the course of inspection, material is found that does not appear to be entitled to the privilege, all parts of the correspondence shall be forwarded directly to the superintendent without further inspection, and a report from the person opening and inspecting shall detail the circumstances.

(vi) A postage-prepaid envelope received within correspondence from a court or an attorney which has been pre-addressed by the court or attorney may be received (subject to inspection by the security staff) and used by the inmate for the intended return correspondence.

(6) Receipt.

(i) The inmate to whom privileged correspondence is addressed shall sign a receipt for such correspondence. All receipts for incoming privileged correspondence shall be retained in an appropriate file.

(ii) If the inmate refuses to sign a receipt, the delivering employee shall so indicate on the receipt, note the date and time of the refusal to sign, and deliver the correspondence to the inmate.

(7) Refusal.

(i) If the inmate refuses to accept the privileged correspondence when it is offered, the delivering employee shall note the refusal in the log and any known reason for non-acceptance. The privileged correspondence should be returned to the sender stamped “addressee refused to accept.”

(ii) If the inmate refuses to respond to the privileged mail delivery call, a second attempt should be made to deliver the letter. If the inmate again refuses to respond, note the date and time, and any known reason for not responding to privileged mail calls in the privileged mail log. The receipt with this information shall be retained in an appropriate file. The privileged correspondence should be returned to the sender stamped “addressee refused to accept.”

(8) Privileged correspondence originally sent out of the facility by an inmate, but subsequently returned to the inmate sender by the postal service, shall be processed as incoming privileged correspondence in accordance with the procedures as set forth in paragraphs (1) and (2) of this subdivision.

(c) Authorization to read privileged mail.

(1) The superintendent shall not authorize the reading of incoming or outgoing privileged correspondence unless there is a reason to believe that the provisions of this or any directive or rule or regulation have been violated, that any applicable State or Federal law has been violated, or that the content of such correspondence threatens the safety, security, or good order of a facility or the safety or well being of any person. Such authorization by the superintendent shall be in writing and shall set forth facts forming the basis for the action.

(2) The superintendent is advised to consult with the department's office of counsel before issuing such authorization. If the facility superintendent authorizes the reading of privileged correspondence, it shall be read only by the superintendent, a deputy superintendent or central office staff.

(3) If after reading the contents of privileged correspondence there is reason to believe that the provisions of this or any directive or rule or regulation have been violated, or that any State or Federal law has been violated, or that the content of such correspondence threatens the safety, security good order of a facility or the safety or well-being of any person, then the correspondence may be confiscated, and the inmate must be given written notice of the confiscation, unless doing so would be inconsistent with the need to safeguard an investigation. The notice must include the reason(s) for the confiscation, and it must inform the inmate of the right to appeal the confiscation to the deputy commissioner for program services. In the case of incoming correspondence, the correspondent must also be given a copy of such notice and accorded the right to appeal, unless doing so would be inconsistent with the need to safeguard an investigation. Reason to believe that privileged correspondence is being used to introduce contraband or other materials not entitled to the privilege shall be sufficient reason for confiscation.

(4) This subdivision shall not be deemed to require the express written authorization of the superintendent to inspect incoming privileged correspondence, in the presence of the inmate, to ensure that the materials contained in the correspondence are entitled to the privilege.

7 CRR-NY 721.4 [Repealed] {#sec-7-crr-ny-721.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 721.4}

7 CRR-NY 721.5 [Repealed] {#sec-7-crr-ny-721.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 721.5}

Part 722 FORWARDING INCARCERATED INDIVIDUAL MAIL

7 CRR-NY 722.1 Policy {#sec-7-crr-ny-722.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 722.1}

(a) The department will forward all first class and legal mail for any inmate transferred for as long as he/she remains in the custody of the department. All other mail will be forwarded as directed upon receipt of a change of address order, form 2101, from any inmate who guarantees payment of forwarding postage.

(b) Upon release from custody of the department, an inmate, if he/she wishes to ensure the forwarding of mail, must file a change of address order with the correspondence unit at the facility from which he/she is released.

(c) No mail will be forwarded to a released inmate unless a change of address order is on file. Mail will be forwarded for a period of two months.

7 CRR-NY 722.2 General information {#sec-7-crr-ny-722.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 722.2}

(a) Local post offices provide facilities with bulk delivery service only, sorting all mail by facility address, not the individual addressee. The post office's responsibility ends when such mail is delivered to the facility address.

(b) Once the mail is delivered in bulk to the facility, it becomes the responsibility of the department to see that each individual inmate receives all mail addressed to him/her.

(c) A postal change of address order, which normally provides for the forwarding of an individual's mail, is not honored by the post office for the forwarding of inmate mail as this is handled as “bulk delivery.” Therefore, the forwarding of inmate mail is the responsibility of the department.

(d) Facilities must comply with the United States Postal Service requirements which require the facility to assume financial responsibility for forwarding any inmate mail it opens. Each facility will be required to establish a procedure to verify the presence of inmates at the facility prior to opening inmates' mail. When the facility opens the letter of an inmate no longer at the facility, it has the option of using the facility mail pouch or returning it to the post office for forwarding. When it is returned to the post office for forwarding, it must be placed in a new envelope, be properly addressed and be stamped with the appropriate amount of postage.

(e) Facilities are also required to assume responsibility for any accountable mail for which they sign. Accountable mail is deemed to be any mail which requires a signature to be received. Once the facility signs for accountable mail, it will assume responsibility for any financial cost of forwarding it to the inmate. The facility will forward legal (i.e., from a judge, clerk of court or attorney), accountable mail forthwith and assume financial liability if forwarded through the post office. Non-legal accountable mail may be forwarded in the facility's mail pouch if forwarded within five business days.

(f) The correspondence unit at the facility which receives the mail is responsible for checking to see if the inmate is in the facility and for the proper delivery or forwarding of all inmate mail.

7 CRR-NY 722.3 Description {#sec-7-crr-ny-722.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 722.3}

(a) This procedure is designed to provide guidelines for the handling of inmate mail and the processing required by facility personnel whenever an inmate leaves the custody of the department, is transferred to another facility, or is otherwise temporarily absent from the facility, i.e., furlough, leave of absence, out to court, or out to hospital.

(b) Forwardable mail is considered to be: first class mail; mail with endorsements, i.e., special services requested to forward or provide address correction; second and personal third class mail whereby an inmate has completed a change of address order, form 2101, guaranteeing postage.

(c) Non-forwardable mail is considered to be: general distribution mail addressed to “Box Holder,” “Occupant,” or similar impersonal addresses and second and personal third class mail for which the inmate has not completed a change of address order, form 2101. Non-forwardable mail should be disposed of as it cannot be returned to the post office.

(d) Holding of mail or disposing of it other than as outlined herein may be construed as a violation of statutes concerning obstruction of mails. It is therefore extremely important that mail be forwarded without delay following the instructions set forth below.

(e) The correspondence unit is responsible for forwarding inmate mail.

7 CRR-NY 722.4 Procedure—orientation {#sec-7-crr-ny-722.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 722.4}

(a) Reception facility.

An employee delegated by the superintendent shall inform newly received inmates of:

(1) the department's correspondence procedures as set forth in Part 720 of this Title;

(2) United States postal regulations regarding forwarding of mail (see section 722.7[a] of this Part); and

(3) their responsibilities regarding the forwarding of mail when transferred or discharged which are to:

(i) notify all correspondents of the change of address in a timely manner to ensure receiving mail after transfer or discharge;

(ii) complete a change of address order, form 2101 at the current facility prior to transfer, when possible, to guarantee the postage for the forwarding of second class mail (magazines and newspapers), and/or personal third class materials (i.e., catalogues, newsletters, and photographs); and

(iii) consider the possibility of transfer before ordering publications or subscriptions or placing mail orders.

Note: When the change of address order, form 2101 cannot be completed prior to transfer, the inmate should fill out the form and send it to the correspondence unit of the receiving facility. The receiving facility will mail it back to the transferring facility.

(b) Other facilities.

An employee designated by the superintendent shall:

(1) inform incoming inmates of the department's policy regarding the forwarding of mail as set forth in this Part;

(2) provide incoming inmates with change of address order, form 2101, to inmates who did not complete the form at the transferring facility;

(3) assist incoming inmates in filling out change of address order, form 2101, to inmates who did not complete the form at the transferring facility;

(4) collect completed forms, send to the correspondence unit and forward to the appropriate transferring facility.

7 CRR-NY 722.5 Procedure—forwarding of mail (correspondence unit) {#sec-7-crr-ny-722.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 722.5}

(a) Transfer.

(1) An employee designated by the superintendent shall provide transferring inmates with a change of address order, form 2101, to be sent to the correspondence unit of the transferring facility.

(2) The correspondence unit of the transferring facility shall, upon notification via the facility “Change Sheet,” pull the file card(s) for the inmate(s) transferred from the active file noting facility transferred to and refile in the transfer file.

(3) Forward all first-class, legal mail, and applicable magazines and newspapers to the incarcerated individual at his/her new facility by adhering a new address label to the envelope.

(4) If a completed change of address order, form 2101, is filled out at the facility or received from the incarcerated individual after transfer, transfer all other forwardable mail as specified by the incarcerated individual. The receiving facility shall pay any postage due and debit the incarcerated individual’s account or encumber it if the incarcerated individual does not have enough money to cover the charges.

(5) If the incarcerated individual refuses to guarantee postage for some or all personal third class mail, it will be disposed of, as it cannot be returned to the post office in bulk.

(b) Releases.

(1) When the inmate to be released signs for his/her property, he/she shall be given a change of address order, form 2101, and instructed to complete it and turn it in when the inmate picks up and signs for his/her money.

(2) As the inmate signs for his/her money, he/she shall be given the opportunity to file a change of address order, form 2101, with the correspondence unit.

(3) If the inmate files a change of address order, form 2101, the correspondence unit shall:

(i) upon notification via the facility's “Change Sheet,” remove inmate's file card from the active file and place in the inactive file;

(ii) readdress forwardable mail, as specified by the inmate, for a period of two months;

(iii) dispose of second or personal third class mail for which the inmate has refused to guarantee postage;

(iv) after a two-month period, stamp all mail received “Not Here” and return to the post office; and

(v) retain the change of address order, form 2101, in a dead file for a year to document inmate's instructions.

(4) If a completed change of address order, form 2101, has not been filed:

(i) upon notification via the facility's “Change Sheet,” remove inmate's file card from the active file and place in the inactive file; and

(ii) stamp all first class and forwardable mail received for that particular inmate “Not Here” and return to the post office;

(iii) dispose of any second or personal third class non-forwardable mail received for that particular inmate.

(c) “Out-to-Court.”

(1) The correspondence unit, upon notification via the facility “Change Sheet” placing an inmate on out-to-court status, shall hold all mail received for that inmate until such time as:

(i) a completed change of address order, form 2101, is received from the inmate;

(ii) the inmate is out to court six months or more; or

(iii) the inmate returns from court.

(2) Upon receipt of a completed change of address order (form 2101), the correspondence unit shall forward all mail to the address indicated on the form.

(3) (i) If an inmate does not file a change of address order (form 2101), all mail, including legal mail, will be held until the inmate's return.

(ii) The senders of legal mail shall be advised by form letter (see section 722.7[b] of this Part) that the inmate is temporarily absent from the facility and that the legal mail received for the inmate will be held until the inmate's return.

(d) “Out-to-Hospital” inmates.

(1) Mail for inmates confined to a local hospital shall be hand-delivered from the facility to the hospital by the supervisor in charge of the hospital detail on his inspection tour or by any employee assigned to visit the hospital.

(2) The correspondence unit shall, upon receipt of a completed change of address order (form 2101), forward all mail received for an inmate confined to a hospital (other than local) to the address indicated on the form.

(3) If the inmate has not filed a change of address order (form 2101), all mail, including legal mail, will be held until the inmate's return. The senders of legal mail shall be advised by form letter (see section 722.7[b] of this Part) that the inmate is temporarily absent from the facility and that the legal mail received for the inmate will be held until the inmate's return.

(e) Turned over to another jurisdiction.

(1) If the inmate files a change of address order, form 2101, the correspondence unit shall:

(i) readdress forwardable mail, as specified by the inmate, for a period of six months;

(ii) after a six-month period, stamp all mail received “Not Here” and return to the post office;

(iii) dispose of any second or personal third class non-forwardable mail received for that particular inmate; and

(iv) retain the change of address order, form 2101, in a dead file for a year to document inmate's instructions.

(2) If a completed change of address order, form 2101, has not been filed, stamp all first class and forwardable mail received for that particular inmate “Not Here” and return to the post office. Dispose of non-forwardable second and personal third class mail for that particular inmate.

(f) Forwarding of parcel post.

(1) With a completed change of address order, form 2101, on file:

(i) The facility contacts the inmate at the address on record informing him/her that:

(a) a package was received for him/her;

(b) the amount of postage required to forward it; and

(c) if the required postage is not received within a two-week period, the package will be returned to sender.

(ii) Upon receipt of the postage, forward the package or, if the inmate refuses to pay the forwarding postage, return the package to sender.

(2) Without a completed change of address order, form 2101, on file, return the package to sender.

(3) Notwithstanding the provisions of this section, packages shall not be forwarded to inmates in work release facilities. If a change of address order indicates a work release facility, the package should be returned to the sender.

7 CRR-NY 722.6 Completion of change of address order (form 2101, inmate) {#sec-7-crr-ny-722.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 722.6}

(a) Complete a change of address order, form 2101.

(b) Give particular attention to:

(1) legible printing of date;

(2) effective date of change;

(3) name and department identification number (DIN);

(4) new facility for transferred inmates or new addresses for released inmates;

(5) check ( ) “do” or “do not” as it relates to guarantee of postage; and

(6) ensure that the form is signed and dated.

7 CRR-NY 722.7 Attachments {#sec-7-crr-ny-722.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 722.7}

(a) Attachment “A”, US Postal Service forwarding rules and rates.

| Class | Rules | Rates | | --- | --- | --- | | 1st (Including Post Cards) and Priority Mail | Will not be forwarded if it has been opened. | No additional fees. | | 2nd (Magazines, Newspapers) | Subject to additional postage for forwarding at the transient rate computed on each individually addressed copy. | The transient rate is for the first two ounces and each additional ounce or fraction, or at the 4th Class rate, whichever is lower. Should be marked ″2nd Class.″ | | 3rd (Catalogs, Newsletters, Photographs, etc.) | Subject to collection of additional postage, must weigh less than 16 oz. | Rates based on each 2 oz. or fraction of 2 oz. | | 4th (Parcel Post) | Subject to collection of forwarding postage at 4th Class rate upon delivery. | Rates vary according to distance and weight. Outsize and over 15 pound items have different rate schedule. | | Certified, C.O.D., Insured, Registered, Special Delivery, and Special Handling. | Subject to any ordinary forwarding postage charges. Will not be forwarded to a foreign country. | No additional fees. |

(b) Form letter.

DATE

ADDRESSEE

RE: Legal Mail for Inmate

INMATE NAME, DIN

Dear Sir/Madam:

Legal mail for the above-named inmate was recently received from your office. Please be advised that this inmate is temporarily absent from this facility, and may not return in the immediate future.

To avoid the confusion and delay that can accompany repeated attempts to forward this mail, it will be held at this facility until the inmate's return. If your correspondence requires a timely response from the inmate, you may wish to ascertain the current whereabouts of the inmate by contacting the Inmate Records Coordinator of this facility at (phone number). You may then direct a second copy to the inmate at the temporary location.

Sincerely,

Superintendent

Part 723 INMATE TELEPHONE CALLS

7 CRR-NY 723.1 Purpose {#sec-7-crr-ny-723.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 723.1}

To set forth policy and procedures for operation of the inmate “call home” program.

7 CRR-NY 723.2 Description {#sec-7-crr-ny-723.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 723.2}

(a) The department operates a telephone system for inmates as one of the modes by which they may maintain contact with family and friends at home. This system provides a controlled list of up to 15 phone numbers accessible to each inmate which, at most locations, can be self-dialed at telephones in housing units. Employee assisted dialing is used for calls outside of the continental United States, Canada, U.S. Virgin Islands, Puerto Rico, Guam and Central Northern Marianna Islands, and for emergency calls.

(b) Facilities may, with the prior approval of the Deputy Commissioner for Program Services, add additional restrictions in order to meet certain unique facility needs.

7 CRR-NY 723.3 General policy relating to all inmate telephone calls {#sec-7-crr-ny-723.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 723.3}

(a) Collect calls.

Calls will be made collect, except for calls outside of the continental United States, Canada, U.S. Virgin Islands, Puerto Rico, Guam and Central Northern Marianna Islands and some emergency telephone calls.

(b) Facility telephone schedule.

“Call-home” program operations shall be permitted everyday, including holidays within the hours of 7:00 a.m. to 11:00 p.m. Calls started at 11:00 p.m. or earlier will be allowed a full 30-minute call. Calls attempted after 11:00 p.m. will not be processed. Each superintendent will determine suitable time frames for calling within those hours, and a schedule for calls will be established. Every effort will be made to maintain this schedule.

(c) Monitoring notice.

The following notice shall be posted adjacent to any telephone to be used by inmates advising them that their telephone calls may be monitored. This notice shall be in both English and Spanish and shall state:

NOTICE

ALL INMATE TELEPHONE CONVERSATIONS ARE SUBJECT TO

ELECTRONIC MONITORING AND/OR RECORDING BY DEPARTMENT PERSONNEL.

AVISO

TODAS LAS LLAMADAS TELEPHONICAS DE LOS RECLUSOS PUEDEN SER

ESCUCHADAS POR MEDIOS ELECTRONICOS

YPUEDEN SER GRAVADAS POR EL PERSONAL DEL DEPARTMENTO.

(d) Negative correspondence and telephone list.

(1) Each facility will maintain a negative correspondence and telephone list in the guidance and counseling unit case folder of each inmate.

(2) Whenever the recipient of an inmate's correspondence or telephone calls indicates, in any manner, that he or she does not wish to receive further correspondence or phone calls from the inmate, the correspondence unit, the package room, the Deputy Superintendent for Security, the Senior Correction Counselor, the facility parole office and the inmate shall be notified. Departmental form 3402 shall be used for notification. A copy will be filed.

(3) Negative correspondence and telephone list: The negative correspondence and telephone list shall contain the name of any person or business that has indicated, in any manner, that further correspondence from the inmate is not desired. If a request to be removed from an inmate's telephone or correspondence list is received, a letter of confirmation shall be sent to the person making the request. If such a person or business indicates, at a later time, that further correspondence is not objectionable, the superintendent or his designee may, but need not, direct the name of the person or business be removed from the negative correspondence and telephone list.

(4) No inmate shall continue to submit mail to or make telephone calls to any person or business that currently appears on his or her negative correspondence and telephone list. Any inmate continuing to do so may be subject to disciplinary action and/or monitoring of outgoing mail for a specific period of time.

(e) Prohibited calls.

(1) Inmates are prohibited from placing telephone calls to the following (unless the individual is a member of the inmate's immediate family e.g., wife, child, parent, grandparent, brother, sister, aunt, or uncle):

(i) present or former employees of the Department of Correctional Services and their families;

(ii) present or former employees of the Division of Parole and their families;

(iii) present or former employees of Federal, State and local criminal justice agencies, including but not limited to police agencies, district attorneys, Federal and local correctional agencies, probation departments, and the families of such employees;

(iv) jurors involved in the conviction of the inmate, and their families;

(v) judges involved in the conviction or indictment of the inmate, and their families; and

(vi) crime partners who are not incarcerated.

(2) No inmate may place a telephone call to the residence of a victim of the crime(s) for which the inmate has been convicted or is presently under indictment regardless of whether immediate family members maintain the same residence, unless prior written authorization has been received from the superintendent. The name of the person(s) will be added to the negative correspondence and telephone list. Departmental form 3402 will be completed and used for notification. A copy will be filed.

(3) No inmate may call the phone number of any person listed on a court order of protection which prohibits telephone communication, unless the order specifically states that the inmate is not prohibited from communication by phone with another person at that same phone number. The name of the person(s) will be added to the negative correspondence and telephone list. Departmental form 3402 will be completed and used for notification. A copy will be filed.

Note:

Should the facility receive two or more orders, the terms of which appear to be in conflict with one another, the facility should contact counsel's office for direction.

(4) Inmates are prohibited from making telephone calls for the purpose of harassing or intimidating any person. Staff and inmates are advised that such telephone calls may violate Federal and/or State laws. Facility superintendents shall report serious and/or continuing telephone calls of this type to the proper law enforcement authorities.

(5) Inmates are prohibited from making telephone calls for the purpose of conspiring to violate Federal, State or local laws or ordinances, and are prohibited from using facility telephones to conduct a continuing criminal enterprise.

(6) Inmates are prohibited from making telephone calls to inmates in other New York State, Federal, other state, county or local correctional facilities.

Exception: In special situations, subject to the approval of the superintendents of the two facilities, inmate-to-inmate telephone calls between immediate family members or the parents of a child may, but need not be authorized once a month. Such telephone calls, when permitted shall be employee assisted and monitored.

(7) Inmates are prohibited from making telephone calls to persons under probation or parole supervision without the written approval of the superintendent and the parole officer who is supervising the parolee or the probation officer who is supervising the probationer. Such approvals will usually only be granted in cases involving immediate family members. A copy of the written approval of the superintendent and probation or parole officer authorizing such telephone calls will be retained in the inmate's guidance and counseling unit case file.

(8) Inmates are prohibited from making toll-free telephone calls. Inmates are prohibited from making telephone calls to order goods and services from private vendors or to conduct business-related activities.

(9) Inmates are prohibited from making telephone calls to Operator Information.

(10) Inmates are prohibited from making telephone calls to unrelated minor persons under 18 years of age without the written approval of the minor's parent or legal guardian.

(i) The parent or legal guardian must forward a letter to the superintendent granting such approval before such telephone calls may take place.

(ii) A copy of the letter from the parent or legal guardian granting such approval will be retained in the inmate's guidance and counseling unit case folder.

(11) Inmate telephone calls and telephone conversations shall be restricted to the telephone number dialed or otherwise placed by or for the inmate, and shall terminate at the billing address of the called party. Telephone call forwarding or third- party phone calls are prohibited.

(12) Inmates are prohibited from placing calls to wireless communications devices, e.g., cellular or PCS telephones, pagers, etc. except that an emergency call to such a device may be authorized under subdivision (g) of this section.

(13) An inmate may not use another inmate's PIN number to place calls.

(f) Calls upon transfer or return to a facility.

(1) Transferred inmates. Within 24 hours of arrival at a new facility an inmate shall be permitted one collect telephone call to the family. If security precautions prevent the inmate from placing this call, a staff person designated by the superintendent, usually from the guidance and counseling unit, shall make the call to a person of the inmate's choice.

(i) Exception. This procedure does not apply to an inmate in “transit status” or temporarily at a transit facility overnight or for a weekend during transfer, but it does apply to inmates in holding units in Auburn and Sing Sing.

(2) Out to court/hospital. An inmate out to court or in a hospital for a period of five days or more will be allowed to make a collect telephone call within 24 hours of return to the correctional facility. Collect calls from an outside hospital, other than a secure ward, may be made only with the approval of the superintendent or his/her designee.

(3) Returned parole violators. A returned parole violator will be allowed to make one collect telephone call within 24 hours after arrival to a person of his/her choice.

(g) Emergency calls.

(1) (i) Whenever an inmate must place any type of emergency telephone call, the inmate shall contact his assigned correction counselor, explain the emergency situation, and request that an emergency telephone call be permitted.

(ii) The correction counselor will make a recommendation to the senior correction counselor, and if the senior correction counselor approves, the call can be placed. Inmates confined in SHU status must have the superintendent's approval.

(iii) In the absence of a correction counselor or a senior correction counselor, the inmate shall contact the watch commander or chaplain, and one of them shall make a decision whether the request for an emergency telephone call should be granted. The decision of the watch commander or chaplain does not require additional approval, but the senior correction counselor must be advised the next day of the decision.

(2) Facility correction counselor staff shall make chronological entries in the inmate's guidance and counseling unit case folder whenever an emergency telephone call is approved and completed. This chronological entry shall clearly indicate:

(i) the date of the call;

(ii) the name of the correction counselor, senior correction counselor, or other employee who authorized the call;

(iii) the name and telephone number of the person to whom the call was made; and

(iv) the nature of the emergency call.

(3) Whenever possible, emergency telephone calls shall be collect calls to the person receiving the call.

(4) When a person receiving the emergency call is unable and/or unwilling to accept a collect call, the cost of the call will be charged to the inmate. The assisting employee shall contact the operator prior to the call and ask that the call be placed as a "time and charges" call. The operator will then be able to call the facility back and provide the amount of the toll. A disbursement form authorizing payment for the call will then be completed, signed by the inmate and forwarded to the fiscal office for posting. Any charge from the telephone company related to securing this information will be borne by the facility.

(5) In cases of extreme emergency, a senior correction counselor, chaplain or watch commander may authorize that emergency telephone calls be made at facility expense. However, this procedure should only be permitted when it is clear that both the inmate and the party receiving the call cannot pay for the call.

(6) Whenever a senior correction counselor, chaplain or watch commander authorizes an emergency call at the facility's expense, a chronological entry shall be made in the inmate's guidance and counseling unit case folder clearly indicating the reason(s) why this unusual procedure was permitted, as well as recording the other information required pursuant to this subdivision.

(h) Calls outside the continental United States, Canada, U.S. Virgin Islands, Puerto Rico, Guam and Central Northern Marianna Islands.

Telephone calls outside of the continental United States, Canada, U.S. Virgin Islands, Puerto Rico, Guam and Central Northern Marianna Islands will be employee-assisted pursuant to section 723.4 of this Part, with the following additional specifications:

(1) Calls will be permitted two times per month, except in emergency situations.

(2) Calls must first be checked by an employee designated by the superintendent to verify whether:

(i) the inmate has sufficient funds in his/her account to cover the cost of the call; and

(ii) the inmate has not reached the two-call per month limit.

(3) All toll costs will be charged to the inmate. The assisting employee shall contact the operator prior to the call and ask that the call be placed as a "time and charges" call. The operator will then be able to call the facility back after the call and provide the amount of the toll. A disbursement form authorizing payment for the call will then be completed, signed by the inmate, and forwarded to the fiscal office for posting. Any charge from the telephone company related to securing toll information will be borne by the facility.

(4) In cases of extreme emergency, the senior correction counselor may authorize emergency telephone calls at the facility's expense. However, this procedure should only be permitted when it is clear that both the inmate and the party receiving the call cannot pay for the call. In such cases, a chronological entry shall be made in the inmate's guidance and counseling unit case folder clearly indicating the reason(s) why this unusual procedure was permitted, as well as recording the other information required by subdivision (g) of this section.

7 CRR-NY 723.4 Employee assisted calls {#sec-7-crr-ny-723.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 723.4}

(a) Procedure.

(1) Placing call.

All employee assisted telephone calls will be placed and verified by the employee (usually a correction officer) assigned to monitor the inmate telephone call.

(2) Completing call.

Once the employee has made initial contact with the recipient of a telephone call and collect charges have been accepted, the employee will signal the inmate to start the conversation.

Note:

Calls to locations outside the continental United States, Canada, U.S. Virgin Islands, Puerto Rico, Guam and Central Northern Marianna Islands will not be made "collect" but will be paid for as specified in section 723.3(h) of this Part.

(3) Time limit.

Conversations are not to exceed 10 minutes. The superintendent may limit these calls to five minutes due to logistical constraints, with the advance approval of the deputy commissioner for program services. When 30 seconds remain on the allotted time limit, the inmate and his party will be buzzed. At the end of the allotted time, the call will be disconnected.

(4) Alternative calls.

Inmates may select one alternative person to call if their initial choice is unable to accept the call.

(b) Telephone calls involving calls to the hearing impaired.

Inmates may place collect telephone calls to hearing impaired persons through the assistance of a chaplain or family services staff person, provided the hearing impaired persons possess the necessary telecommunications device.

(1) The inmate must submit a written request to the appropriate staff person for such a telephone call. The request must include the most opportune times for the call to be placed, the number to be called, and the name of the individual to be called. The time of the call may not coincide with the inmate's program hours.

(2) The staff person will arrange for the inmate to place the collect telephone call and, as necessary, assist the inmate in doing so. A local telephone directory provides instructions for planing a collect call through the New York Relay Center for a non-TTY (voice) user to a TTY user.

(3) Telephone calls to the hearing impaired may be time and/or frequency limited. However, each inmate who has not lost telephone privileges is entitled to a minimum of one such call each calendar month for a minimum duration of 10 minutes, provided (s)he submits a request and the party called accepts the charges.

(4) For inmates with sensorial disabilities, please refer to the departmental directive on inmates with sensorial disabilities.

7 CRR-NY 723.5 Inmate self-dial calling {#sec-7-crr-ny-723.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 723.5}

(a) Description.

Self-dial telephones will only handle outgoing collect telephone calls within the continental United States, Canada, U.S. Virgin Islands, Puerto Rico, Guam and Central Northern Marianna. No credit card calls may be made nor incoming calls received.

(1) The self-dial system is the property of the department which is responsible for its installation and maintenance. System abuse or failure to follow established rules and procedures may result in its removal or the imposition of restrictions or limitations. Damaged hardware will be replaced or repaired at the discretion of the superintendent. In cases where the damage is the result of vandalism, other repairs will be considered a higher priority.

(2) System changes (moves, additions or deletions) must be discussed with the Division of Management Information Services.

(b) Access.

(1) System use should not interfere with program and work assignments.

(2) System access should be available to as many inmates as possible, but access may be restricted or denied to an inmate.

(3) System use will normally be on a “first come-first call” basis. During peak periods such as holidays, however, it may be necessary to schedule calls with “sign-up sheets.” A sign-in log may be maintained at each telephone location at the discretion of the facility administration.

(4) In order to assure that all inmates have fair and equal access to the facility's inmate self-dial telephones as well as to minimize abuses of these telephone systems, inmate self-dial telephones should be installed adjacent to, or in close proximity to, or in view of the regularly covered correction officer posts.

(5) Superintendents must develop and implement a monitoring/review system to prevent individual inmates or groups of inmates from monopolizing self-dial telephones. This system should meet the facility's need to assure that all inmates have equal access to the use of the facility's inmate telephones.

(6) Call should be limited in duration based on facility needs and will automatically terminate when the specified time limit has been reached. No call shall exceed 30 minutes. When other inmates are waiting to place calls, a 10-minute limit may be imposed.

(7) When a facility-wide emergency situation exists, the superintendent or his designee has the authority to temporarily suspend the telephone call home program. The superintendent shall immediately advise the deputy commissioners for correctional facilities and program services.

(c) Telephone number registration list.

(1) At the reception center, the inmate's DIN number is entered into the self-dial telephone system on the first day of arrival. The number will be activated on the department's system overnight.

(2) To establish the permanent telephone list, the inmate must fill out a “telephone form” and give it to his/her correction counselor for approval. No inmate may add any person who is listed on an active court order of protection which prohibits such contacts.

(i) Each inmate shall be limited to 15 approved names and phone numbers which will be maintained as his/her “telephone list.” Except for immediate family members, revisions to the telephone list will only be made when the inmate is due a quarterly review. Phone number changes for immediate family members already on the list will be permitted.

(ii) If the inmate's telephone list contains the allotted 15 names and numbers, deletions must occur before the new names and numbers may be added. If deletions are not provided by the inmate, the new names and telephone numbers will not be added to the telephone list.

(3) A computer generated record including, but not limited to, the following information shall be maintained in the central office management information services' data base:

(i) date;

(ii) time;

(iii) number called;

(iv) duration of call; and

(v) location of telephones used.

(d) Calling procedure.

The inmate shall access the system by utilization of an individual PIN number which is the inmate DIN number modified so that the alpha letter is converted to the corresponding numeral. The detailed procedures for inmate self-dial calling are set forth in the departmental directive on inmate telephone calls which are located in inmate libraries and may be viewed by the public at www.docs.state.ny.us under the “Directives” menu options, titled: “Inmate Telephone Calls (Directive 4423).”

(1) To place a telephone call, the inmate picks up the telephone, waits for a dial tone, and dials 0 + the 10-digit telephone number. After the 10th digit is entered, the caller will hear a “bong” sound. The caller then enters his/her PIN number.

(2) If the phone number is not on the caller's list or an erroneous PIN number has been entered, the caller will hear the message, “You have dialed an unauthorized number,” and will be disconnected.

(3) If the telephone number and PIN number are valid, the inmate will hear a message to dial “1” if they want English or “2” if they want Spanish. Another message will be heard, dial “ 1” for a station-to-station call, or dial “2” for a person-to-person call.

(4) The caller will be requested to give his/her name which is then recorded and incorporated into the next message. Only the inmate's name will be recorded.

(5) The party called will be informed: “You have a collect call from (name stated), an inmate at a New York State correctional facility. If you do not wish to accept the call, hang up now. If you accept the call, dial ‘55’ now.”

(6) If the party accepts the call, the connection is made; otherwise, the call will be disconnected.

7 CRR-NY 723.6 Suspension or revocation of inmate telephone call privileges {#sec-7-crr-ny-723.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 723.6}

(a) Inmates may have their telephone call privileges limited, suspended or revoked pursuant to a disposition of a disciplinary hearing or superintendent's hearing.

(b) Additionally, if during the course of a continuing investigation, the facility superintendent has reason to believe that the safety, security, good order or well-being of the facility or any person is threatened, the superintendent may immediately take action to limit, suspend or revoke an inmate's telephone privileges.

(1) In such instances, the superintendent must inform the inmate, in writing, of the underlying basis for the limitation, suspension or revocation, consistent with the need to safeguard the ongoing investigation.

(2) The inmate must be afforded an opportunity to respond to the action of the superintendent, usually by a written reply to the superintendent. When the inmate's written reply is received, the superintendent will consider the inmate's comments in deciding whether or not to continue the limitation, suspension or revocation of the inmate' s telephone call privileges.

(c) An inmate may appeal the superintendent's limitation, suspension or revocation of his telephone call privileges in writing to the Deputy Commissioner for Program Services. A response to the appeal must be provided within 30 days of receipt of the appeal in central office.

7 CRR-NY 723.7 Telephone out of order {#sec-7-crr-ny-723.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 723.7}

When a facility telephone which can be utilized by inmates in accordance with this Part is out of service, the superintendent shall so advise management information services, and indicate if the outage is due to inmate damage.

Part 724 PACKAGES AND ARTICLES SENT OR BROUGHT TO INSTITUTIONS

7 CRR-NY 724.1 Description {#sec-7-crr-ny-724.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 724.1}

This Part establishes the policy of the department concerning packages and articles sent or brought to facilities and received through facility package rooms.

7 CRR-NY 724.2 Applicability {#sec-7-crr-ny-724.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 724.2}

This Part applies to all incarcerated individuals except for those:

(a) assigned to a special housing unit or in special housing status (see Chapter VI of this Title);

(b) in reception or in-transit status; or

(c) housed in a shock incarceration facility, drug treatment campus, alcohol and substance abuse treatment or work release facility except as may be specifically authorized and limited by the deputy commissioner for correctional facilities.

7 CRR-NY 724.3 Policy {#sec-7-crr-ny-724.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 724.3}

(a) General.

(1) The commissioner may, at his discretion, suspend all or any portion of this Part at any or all facilities.

(2) No changes shall be made in the application of the provisions of this Part without the expressed authorization of the Deputy Commissioner for Correctional Facilities.

(3) Articles received in a package must comply with departmental directives concerning packages and personal property limits. Articles received that are not for the incarcerated individual’s personal use, which cause the recipient to exceed the number of allowable packages, weight limits, or in-cell limits, or which otherwise violate departmental directives will not be allowed and will be disposed of in accordance with departmental directives. When an incarcerated individual signs for a package, the individual will attest that the articles are only for personal use and that receipt will not cause the incarcerated individual to exceed personal property limits. If an incarcerated individual refuses to sign for a package, it will be disposed of in accordance with the departmental directive on personal property limits.

(4) The department is not responsible for articles damaged in shipping or received in spoiled condition. Spoiled food articles or items which are contaminated or in broken or leaking containers are considered a health risk and will be destroyed by the facility. Such destruction will be recorded on the incarcerated individual's package records.

(b) Searches of packages.

(1) Packages shall be searched thoroughly to ensure that all articles conform to regulations and departmental directives. Articles will be removed from the original shipping container (box or bag in which the package was shipped or brought into the facility) and inspected visually and/or by use of the X-ray machine. In searching and examining packages, care shall be taken not to damage or destroy the contents. The shipping container (bag or box) will not be given to the incarcerated individual.

(2) Absent security concerns, original product packaging will not be opened or removed. If there are security concerns, e.g., if abnormalities are detected in X-rays, packaging, feel or texture, weight, labeling, etc., then the contents of individual articles may be removed from the originally sealed packaging for the inspection process. Food articles may be transferred to clear plastic bags or other appropriate containers. Absent security concerns, original labels that show product information (e.g., expiration date, ingredients, warranty, quantity, etc.) shall be preserved with their related products.

(3) Promotional materials (e.g., prizes, informational discs, etc.) or other non-product items or substances sealed within original packaging or attached to an allowed article will be removed prior to issue. These materials will be disposed of in accordance with the departmental directive on personal property limits.

(4) Inspection and processing of religious articles shall be conducted in such a manner as to respect their religious significance. If an article's religious significance is in doubt, the facility chaplain shall be consulted. If an article is suspected of being contraband, it may be tested as appropriate. Articles which are considered or suspected of being contraband or which are under evaluation for authenticity or religious significance shall be secured by the deputy superintendent for security pending disposition and notification of the affected incarcerated individual. If the incarcerated individual files a grievance within 21 days of receipt of a notice that an article has been denied, such religious article shall be retained by the facility pending the final resolution and closing of the grievance.

(5) Contraband. Contraband articles shall be confiscated and the superintendent or designee notified. Contraband will include any article:

(i) which possession of is prohibited under any law applicable to the general public;

(ii) which is readily capable of being used to cause death or serious physical injury, including but not limited to handguns, shoulder guns, cartridges, knives, explosives, or dangerous drugs;

(iii) which has been introduced into a correctional facility with the intent to transfer it to an incarcerated individual without the permission of the superintendent or his or her designee;

(iv) which could be utilized to assist or affect an escape or undermine the safety and security and/or practices consistent with the department’s mission; or

(v) which is an approved item but has been altered from its original intent and/or purpose.

(6) Articles not permitted (other than contraband) will be disposed of in accordance with departmental directive.

(7) Articles shall not be altered or modified by the manufacturer or vendor, except for removal of external radio antennas.

(c) Package records.

All articles received shall be recorded in accordance with departmental directive.

(d) Loss of package privileges.

Packages received for an incarcerated individual serving a disciplinary disposition which includes “loss of package privileges” will be handled in accordance with departmental directive.

(e) Packages received for incarcerated individuals in SHU.

Pending disciplinary action, or during first five days of a “loss of packages” disposition: Package items, except for books, periodicals, legal materials and perishables, shall be placed in the incarcerated individual’s property and added to the incarcerated individual’s property transferred inventory form; books, periodicals and legal materials may be given to the incarcerated individual subject to the limitations in Chapter VI of this Title, but perishables shall be disposed of in accordance with the departmental directive on personal property limits.

(f) Packages received for incarcerated individuals transferred or temporarily absent from the facility shall be handled in accordance with departmental directives.

7 CRR-NY 724.4 Local permits {#sec-7-crr-ny-724.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 724.4}

(a) Certain articles cannot be approved department-wide because of programmatic and physical plant characteristics of individual facilities. In order that those locations which can accommodate special articles are not governed by those which cannot, each facility shall consider the issuance of “local permits” in accordance with departmental directives.

(b) Each superintendent is required to maintain a current list of all approved local permits.

7 CRR-NY 724.5 Listing of approved items and disposal procedures {#sec-7-crr-ny-724.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 724.5}

(a) The department shall maintain a departmental directive concerning the receipt of packages, including a detailed listing of items approved for receipt by incarcerated individuals through facility package rooms, and policy for the disposal of disallowed packages and items, which shall be available to incarcerated individuals in all facility libraries, posted in all facility package rooms and visiting rooms, and posted on the department’s website.

Chapter IX INSTITUTIONAL SECURITY

Part 1000 CENTRAL MONITORING CASE DESIGNATION PROCESS

7 CRR-NY 1000.1 Purpose {#sec-7-crr-ny-1000.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1000.1}

To ensure that any inmate identified as a central monitoring case (CMC) is reviewed and approved by central office staff prior to transfer to another facility or assignment to any program of temporary release or in connection with consideration for release pursuant to articles 24 and 26 of the New York State Correction Law.

7 CRR-NY 1000.2 Description {#sec-7-crr-ny-1000.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1000.2}

Certain inmates, because of the nature of their crime, status or behavior, require special evaluation and tracking of their movement through the correctional system. The (CMC) process is a comprehensive internal management system that provides a discretionary means for the department to identify certain inmates for special evaluation and tracking purposes based upon a standardized set of criteria and identification procedures.

7 CRR-NY 1000.3 Procedure {#sec-7-crr-ny-1000.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1000.3}

(a) The department shall adopt internal procedures for the classification, tracking and movement of inmates designated as central monitoring cases. Such procedures shall describe:

(1) the classification process, which shall include:

(i) identification of qualifying inmates;

(ii) designation criteria;

(iii) referral for designation;

(iv) designation; and

(v) review procedures;

(2) a mechanism by which an inmate who is classified CMC may appeal such classification;

(3) criteria and procedures for inmate transfer and movement; and

(4) temporary release, earned eligibility, and merit time evaluations.

(b) The department shall publish the aforementioned internal procedures as directive 0701, “central monitoring cases”.

7 CRR-NY 1000.4 Policy {#sec-7-crr-ny-1000.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1000.4}

In accordance with Correction Law section 112, the commissioner reserves the right to expeditiously revise and/or amend CMC procedures as deemed necessary in the best interests of public safety, and the safe, secure, and orderly operation of all department correctional facilities.

7 CRR-NY 1000.5 [Repealed] {#sec-7-crr-ny-1000.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1000.5}

7 CRR-NY 1000.6 [Repealed] {#sec-7-crr-ny-1000.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1000.6}

Part 1010 CONTRABAND DRUGS

7 CRR-NY 1010.1 Policy {#sec-7-crr-ny-1010.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1010.1}

The Department of Corrections and Community Supervision will utilize its resources to identify, whenever possible, any substances which are found and suspected of being contraband drugs and to hold individuals responsible for possessing or introducing contraband drugs into a correctional facility.

7 CRR-NY 1010.2 Description {#sec-7-crr-ny-1010.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1010.2}

The department utilizes a two-step testing process of a substance suspected of containing a contraband drug: a presumptive field test or presumptive visual identification of pharmaceutical drugs and a confirmatory test conducted by an accredited forensic laboratory.

7 CRR-NY 1010.3 Background {#sec-7-crr-ny-1010.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1010.3}

The possession, importation of, and trafficking in contraband drugs presents a serious threat to the safety and security of the department’s correctional facilities and negatively impacts the incarcerated population and correctional staff. Contraband drugs within a correctional facility also undermines the rehabilitation of incarcerated individuals provided by the department. The accurate identification of suspected contraband drugs, the utilization of appropriate disciplinary measures, and criminal prosecutions for the possession of contraband drugs can assist the department in detecting and suppressing these threats. Further, the department is devoted to holding incarcerated individuals, visitors, volunteers, staff, and others accountable for violating departmental rules and criminal laws related to the possession of illicit drugs or the introduction of contraband drugs into a facility.

7 CRR-NY 1010.4 Procedure {#sec-7-crr-ny-1010.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1010.4}

Investigators from the department’s office of special investigations (OSI), in coordination with facility staff, will investigate the circumstances of the possession of suspected illicit drugs and the introduction of such contraband into the facility. If an OSI investigator is not available, the superintendent or their designee shall contact an OSI supervisor and, with OSI authorization, pursue a preliminary facility investigation which shall be turned over to OSI for review, follow-up, and pursuit of potential criminal prosecution. When a substance is found which is suspected of being a contraband drug, the following steps shall be taken in accordance with department directive number 4938, “Contraband Drug Testing” by the officer, security supervisor, executive team member or employee who found the substance.

(a) Secure the substance in an evidence container.

(b) Initiate a request for a presumptive field test of suspected contraband drugs.

(c) Submit written documentation by the employee recovering the suspected drug contraband to OSI which describes the circumstances of events resulting in the seizure of the contraband drugs.

(d) Store evidence with form number 2080 and written documentation.

(e) Conduct a presumptive field test or presumptive visual identification of the substance. Presumptive field testing shall be conducted within the department by either an investigator with OSI or another trained, qualified department employee, in accordance with the manufacturer’s instructions. Substances in pill form, in lieu of a presumptive field test, may be presumptively identified by qualified facility pharmacy personnel, or by a medical professional (e.g., physician or nurse).

(f) Submit a suspected contraband drug to an independent forensic laboratory. Any substance that was preliminarily identified as a suspected contraband drug by trained security personnel or the OSI investigator through a presumptive field test or presumptive visual identification shall be submitted to a forensic laboratory for confirmatory testing as soon as practicable if there is a disciplinary action or criminal prosecution contemplated. Any substance that has tested inconclusive but is still believed to be a suspected drug by the OSI investigator, upon consultation with an OSI supervisor, may be submitted to an independent forensic laboratory for confirmatory testing. The evidence along with the appropriate submission form shall then be submitted to the relevant laboratory for confirmatory testing.

(g) Disposal.

Any suspected contraband drug, regardless of any test results, will be disposed of in accordance with directive number 4910A “Contraband/Evidence – Handling, Storage and Disposition”. If a substance is determined to not be a contraband drug, the trained security personnel or OSI investigator shall return the contraband to the facility’s evidence control supervisor for appropriate handing and disposition, in accordance with directive number 4910A and commencement of disciplinary action against an incarcerated individual (directive number 4932), if applicable. If no individual is associated with the substance, the trained security personnel or OSI investigator shall secure it as property for subsequent destruction.

7 CRR-NY 1010.5 Use of results, as follows {#sec-7-crr-ny-1010.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1010.5}

In a subsequent disciplinary hearing, the positive result of a test of suspected contraband drugs may be used as evidence of the identity and nature of the suspected substance (e.g., controlled substance, marijuana, etc.) as proof that the suspected substance is what the test result indicates. The certified laboratory report of a positive result of a confirmatory test by a forensic laboratory is the only basis to initiate a disciplinary proceeding against an incarcerated individual. The certified laboratory report shall also be admissible evidence in a subsequent disciplinary hearing.

7 CRR-NY 1010.6 Leftover drug substances, as follows {#sec-7-crr-ny-1010.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1010.6}

Substances remaining after testing and/or disciplinary proceedings should be disposed of in accordance with NYSDOCS departmental directive number 4910A, “Contraband/Evidence-Handling, Storage, and Disposition.”

7 CRR-NY 1010.7 Positive test reporting, as follows {#sec-7-crr-ny-1010.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1010.7}

A positive confirmatory test by an accredited forensic laboratory for contraband drugs must be reported as an unusual incident in accordance with departmental directives number 4938, “Contraband Drug Testing” and number 4004, “Unusual Incident Report”.

7 CRR-NY 1010.8 [Repealed] {#sec-7-crr-ny-1010.8 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1010.8}

Part 1020 URINALYSIS TESTING

7 CRR-NY 1020.1 Policy {#sec-7-crr-ny-1020.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1020.1}

Urinalysis test procedures shall be used to verify whether or not an inmate has used drugs and may be used to verify whether or not an inmate has used alcohol.

7 CRR-NY 1020.2 Description {#sec-7-crr-ny-1020.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1020.2}

This regulation outlines the procedures to be followed by each facility in the administration of inmate urinalysis testing.

7 CRR-NY 1020.3 Background {#sec-7-crr-ny-1020.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1020.3}

The use by inmates of illicit drugs and alcohol presents a serious threat to the safety and security of a correctional facility. Urinalysis testing of inmates can be an effective means by which to detect and discipline inmate use of illicit drugs or alcohol. Aggressive and consistent urinalysis testing will be one of many components of a program to ensure a drug free environment within the department's facilities.

7 CRR-NY 1020.4 Procedure {#sec-7-crr-ny-1020.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1020.4}

Urinalysis testing of inmates shall be conducted as set forth below:

(a) Reasons for testing:

(1) when correctional staff has reason to believe the inmate has used drugs or alcohol and/or the inmate is alleged to have been involved in an act of violent misconduct;

(2) when the inmate is found to be in possession of suspected illicit drugs or alcohol or associated paraphernalia or when suspected illicit drugs or alcohol or associated paraphernalia are detected or found in an area controlled, occupied or inhabited by the inmate;

(3) when the inmate is observed to be in possession of or using illicit drugs or alcohol, but correctional staff are unable to obtain a sample of the substance;

(4) when correctional staff receives information from a source that the inmate is currently under the influence of or has recently used illicit drugs or alcohol;

(5) when an inmate returns late from, or on a random or routine basis when the inmate returns from:

(i) a furlough, work release or other temporary release program;

(ii) community services; or

(iii) an outside work detail;

(6) prior to and after an inmate participates in a family reunion program;

(7) as part of a computer-generated program for random testing of all inmates;

(8) as part of a computer-generated program for random testing of inmates who have been found guilty of drug or alcohol related misconduct in the previous two-year period; and

(9) a watch commander or higher authority may also order inmates to be tested as part of random urinalysis testing program on any identifiable unit of the facility, or on any identifiable program area, or on any identifiable group of inmates. A random urinalysis testing program shall not be used for the purpose of harassing or intimidating any inmate.

(b) Identifying the inmate to be tested.

The inmate for whom a urinalysis test is requested shall be identified by an employee to a lieutenant or higher authority, and each urinalysis test shall be approved by the lieutenant or higher authority and documented on the request for urinalysis test form. Note: In facilities where sergeants serve as watch commanders, such sergeants may approve urinalysis testing.

(c) Ordering the inmate to be tested.

The inmate ordered to submit a urine specimen for urinalysis testing shall be informed of the underlying reason (whether suspicion, routine or random) why s/he is being ordered to submit the specimen. If the inmate refuses to submit the specimen, s/he shall be informed that this refusal constitutes a violation of facility rules and that s/he may incur the same disciplinary disposition that a positive urinalysis result could have supported. The resultant misbehavior report shall indicate that the inmate was informed of the above.

(d) Obtaining the urine specimen.

(1) The inmate shall be escorted (or shall report) to the facility infirmary, clinic or other appropriate area.

(2) Security or medical staff shall hand to the inmate the specimen bottle, labeled with the inmate's name and number, the date, and any other relevant identifying information. This information shall be typed or written in indelible ink. The inmate shall also be asked if s/he has been taking any medication in the past month, and the inmate's response shall be noted on the request for urinalysis test form. If the inmate's response is “yes” and the subsequent test results are positive, an inquiry shall be made to medical personnel as to what medications the inmate has received in the past month which may lead to a positive result.

(3) Security or medical staff shall ensure that the inmate submits an unadulterated urine specimen in the specimen bottle provided by witnessing the inmate urinate into the bottle. The inmate must be pat frisked prior to submitting the urine specimen and s/he may be required to wash hands or wear gloves to further ensure that the specimen submitted is that of the inmate. The foregoing shall be conducted by security or medical staff of the same sex, in private and outside the presence of other inmates or staff. Female inmates may be required to urinate into a urine collector or an unused plastic cup, rather than the specimen bottle itself. The contents of the collector or the cup shall then be transferred to the specimen bottle by the inmate, or by the witnessing staff person in the presence of the inmate.

(4) If the inmate is unable to provide a urine specimen immediately, s/he shall be detained until s/he is able to provide a urine specimen. Drinking water should be available in an amount not to exceed eight ounces per hour. An inmate who is unable to provide a urine specimen within three hours of being ordered to do so shall be considered to be refusing to submit the specimen. The inmate shall be informed that this refusal constitutes a violation of facility rules and that s/he may incur the same disciplinary disposition that a positive urinalysis result could have supported. The resultant misbehavior report shall indicate that the inmate was informed of the above and it should include an alleged violation of rule 180.14 as described in section 270.2 of this Title.

(5) The staff person witnessing the submission of the specimen by the inmate shall make the appropriate notation on the request for urinalysis test form. If the inmate is unable within three hours of being ordered or if the inmate refuses to submit a urine specimen, this fact shall be noted on the request for urinalysis test form.

(e) Procedure for inmates claiming to be unable to urinate in presence of others.

The following procedures shall be employed when the watch commander reasonably believes that the inmate is unable to provide a urine specimen due to an alleged inability to urinate in the presence of others (shy bladder). Reasonable belief is based upon the following criteria, including, but not limited to: medical or mental health records supporting the inmate's claim (to be evaluated by health services or OMH staff), prior disciplinary and/or computerized urinalysis testing data indicating a history of urinalysis testing violations, if applicable, and the inmate's behavior and demeanor at the time of request for the urine sample.

(1) Authorization. The watch commander shall be notified by the staff member assigned to obtain the urine sample and provide verbal authorization for these procedures.

(2) Location. The procedure shall take place in temporary isolation in the facility drug watch cell/room or other appropriate area.

(3) Procedure.

(i) The inmate shall be strip frisked, subject to a metal detector search and given a gown or other garment to wear prior to placement in the drug watch cell/room and will be required to wash their hands or wear gloves, to further ensure that the sample is unadulterated. The cell/room shall be thoroughly searched prior to admission of the inmate and, if applicable, the water supply to the cell/room shall be turned off.

(ii) Security staff shall hand to the inmate the specimen container, labeled with the inmate's name and number, the date and any other relevant identifying information. Staff shall not witness the inmate urinate into the specimen container.

(iii) The inmate shall be detained until he/she is able to provide a urine specimen for up to three hours including any time prior to a determination that special arrangements are necessary. Drinking water should be made available in an amount not to exceed eight ounces per hour. Water given to the inmate shall be consumed under the direct observation of staff. The inmate shall not be allowed to retain any amount of water.

(iv) An inmate who is unable to provide a urine specimen within three hours of the initial order to produce a sample shall be considered to be refusing to submit the specimen. The inmate shall be informed that this refusal constitutes a violation of facility rules and that s/he may incur the same disciplinary disposition that a positive urinalysis result could have supported. The resultant misbehavior report shall indicate that the inmate was informed of the above and it should include an alleged violation of rule 180.14 as described in section 207.2 of this Title, noting that the procedures listed above in subparagraphs (i)-(iii) of this paragraph were followed.

(f) Process the urine specimen.

(1) If the facility has urinalysis testing apparatus:

(i) All persons handling the specimen shall make an appropriate notation under Chain of Custody on the request for urinalysis test form. The number of persons handling the specimen shall be kept to the minimum. The specimen shall be kept in a secure area at all times.

(ii) Place the specimen in a secured refrigerator if it is not to be tested immediately. If it is anticipated that the specimen will not be tested within one day, place it in a secured freezer. It is recommended that the specimen be stored frozen. A log book shall be kept in the vicinity of the refrigerator/freezer, and each person accessing the specimens shall note his or her name, the date, and the time of each such access.

(iii) The individual performing the urinalysis testing shall have been appropriately trained in the use of the testing apparatus and shall precisely follow procedures recommended by the manufacturer for the operation of the testing apparatus.

(iv) If a positive result is obtained on the first test, the procedure followed and the results obtained shall be noted by the operator on the urinalysis procedure form. A second test shall be performed on the same sample. The results of the second test shall be noted on a second urinalysis procedure form. If a positive result is obtained from the second test, the individual performing the urinalysis testing shall cause a misbehavior report to be issued. The inmate's copy of the misbehavior report shall be accompanied by the request for urinalysis test form, the urinalysis procedure form, the inmate's printed results produced by the urinalysis testing apparatus for the positive tests and a statement of the scientific principles and validity of the testing apparatus.

(v) If a negative test result is obtained on the second test, the specimen shall be considered negative and no misbehavior report shall be written.

(2) If the facility does not have its own urinalysis testing apparatus, the specimen may be forwarded to an independent laboratory or to another facility that has urinalysis testing apparatus.

(i) Place the specimen in a secured refrigerator/freezer if it is not to be forwarded immediately. All persons handling the specimen shall make an appropriate notation on the request for urinalysis test form. The number of persons handling the specimen shall be kept to a minimum. A log book shall be kept in the vicinity of the refrigerator/freezer, and each person accessing the specimens shall note his name, the date, and the time of such access.

(ii) Forward the specimen in accordance with procedures recommended by the testing laboratory or facility.

(iii) If a positive result is obtained, a misbehavior report shall be issued. The (inmate's copy of the) misbehavior report shall be accompanied by the request for urinalysis test form, the inmate's test report from the laboratory or facility, a copy of the methods and procedures used by the testing laboratory or facility, and a statement of the scientific principles and validity of the testing apparatus used by the laboratory or facility.

7 CRR-NY 1020.5 Use of results {#sec-7-crr-ny-1020.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1020.5}

In a subsequent disciplinary proceeding:

(a) Positive test results.

A positive urinalysis result may be used as evidence of the illicit use by the inmate of the drug or alcohol indicated by the result. The record of the disciplinary proceeding must include the request for urinalysis test form and:

(1) the urinalysis procedure forms, any printed documents produced by the urinalysis testing apparatus, and the appropriate statement of the scientific principles and validity of the testing apparatus if the facility has urinalysis testing apparatus; or

(2) the report of the testing laboratory or facility, a copy of the methods and procedures used by the testing laboratory or facility, and a statement of the scientific principles and validity of the testing apparatus used by the laboratory or facility if a laboratory or another facility is used.

7 CRR-NY 1020.6 Statistical data {#sec-7-crr-ny-1020.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1020.6}

All results obtained in the course of urinalysis testing shall be entered on the computerized drug testing system.

7 CRR-NY 1020.7 Required participation in proficiency testing {#sec-7-crr-ny-1020.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1020.7}

The facility shall enroll in the Urine Toxicology Proficiency Testing Service of the American Association of Bioanalysts, 205 West Levee, Brownsville, TX 78520.

7 CRR-NY 1020.8 [Repealed] {#sec-7-crr-ny-1020.8 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1020.8}

7 CRR-NY 1020.10 [Repealed] {#sec-7-crr-ny-1020.10 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1020.10}

7 CRR-NY 1020.15 [Repealed] {#sec-7-crr-ny-1020.15 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1020.15}

7 CRR-NY 1020.20 [Repealed] {#sec-7-crr-ny-1020.20 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1020.20}

7 CRR-NY 1020.25 [Repealed] {#sec-7-crr-ny-1020.25 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1020.25}

7 CRR-NY 1020.30 [Repealed] {#sec-7-crr-ny-1020.30 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1020.30}

Chapter X FACILITY ADMINISTRATION

Part 1700 INMATE PERSONAL PROPERTY CLAIMS

7 CRR-NY 1700.1 Purpose {#sec-7-crr-ny-1700.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1700.1}

There is a need to provide a procedure by which inmates may file claims to recover the value of personal property which has been lost, damaged or destroyed while they have been under custody of the department.

7 CRR-NY 1700.2 Policy {#sec-7-crr-ny-1700.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1700.2}

(a) It is department policy to pay legitimate claims promptly and in reasonable amounts; to expeditiously reject claims that are without merit; and to use claims as a management tool to identify problem areas, and take corrective action. Claims may originate from:

(1) acts of other inmates; or

(2) improper acts or omissions of department employees or agents.

7 CRR-NY 1700.3 Claim review process {#sec-7-crr-ny-1700.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1700.3}

The department has a two-tier system of administrative review for inmate personal property claims.

(a) Initial review.

All inmate personal property claims shall be filed with and reviewed by the deputy superintendent for administration or functional equivalent, or by a claims reviewer designated by the head of the facility.

(1) The reviewer is responsible for insuring that the claim is processed pursuant to the provisions of this Part and department directive 2733.

(2) The reviewer shall make the initial decision to approve or deny the claim and will advise the inmate accordingly.

(b) Appeal.

If an inmate desires further review, (s)he may appeal as follows:

(1) Appeal of claims up to $500. The appeal shall be made to, reviewed and decided by the facility superintendent or designee.

(2) Appeal of claims over $500. The appeal shall be forwarded to central office for review.

(3) The appeal reviewer shall examine the entire record, secure additional information as needed, and render a written decision. The initial claim decision should be reversed only where the provisions of this Part and department directive 2733 have not been followed.

(4) No further administrative review is available after appeal. The remaining option is for the inmate to pursue the claim in the Court of Claims.

7 CRR-NY 1700.4 Timeframes {#sec-7-crr-ny-1700.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1700.4}

An inmate must report a loss orally or in writing as soon as possible after its discovery. The report shall be made to the inmate's block officer, area sergeant, or other area supervisor and noted in the area log book.

(a) Within five days.

An inmate must file an “inmate claim form” (form 1421) within five days after discovery of the loss with the deputy superintendent for administration or his designee. This timeframe should be interpreted with some flexibility. There may be extenuating circumstances which would excuse late filing.

(b) Initial review.

The initial review shall be completed within 15 working days of receipt of the claim by the reviewer.

(c) Decision.

A claim should be disposed within three months.

(d) Appeal.

An inmate must file a claim appeal within five working days after initial disapproval of the claim. Failure to file within this time frame will result in the case being closed. The appeal should be reviewed within 15 working days of receipt by the reviewer.

7 CRR-NY 1700.5 Claim processing procedure {#sec-7-crr-ny-1700.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1700.5}

(a) The facility in which the inmate is housed at the time the claim is filed is responsible for investigating and processing an inmate claim.

(b) If an inmate is transferred, the facility in which the loss occurred must cooperate with the processing facility and provide investigative assistance as requested.

(c) Claim limits.

The limits on inmate claims are as follows:

(1) Actions of another inmate. The amount paid on a claim for personal property damaged or destroyed by another inmate of a department facility shall not exceed $350 (State Finance Law, section 8[12]).

(2) Tort of officer or employee. The amount paid on a claim for loss, damage or destruction of personal property caused by the tort of a department officer or employee while acting as such officer or employee shall not exceed $5,000 (State Finance Law, section 8[12-a]).

(d) The facility in which the claim was filed is responsible for payment of any approved claim. The inmate shall sign the “release” section of the claim and release form (form 1144) upon acceptance of the offer set forth in an approved claim. All support forms, investigation reports, etc. must be retained by the facility for post audit review.

(1) Claims $1,000 and under. All claims approved for $1,000 or under are to be paid from facility appropriations; further review and approval is not required prior to payment.

(2) Claims over $1,000. All claims approved for over $1,000 must be reviewed and approved in sequence by the Superintendent, Division of Budget and Finance (Office of Inmate Accounts) and the Attorney General (AG). Upon final approval, the facility will process a voucher to the Office of the State Comptroller (OSC) for payment.

7 CRR-NY 1700.6 General principles {#sec-7-crr-ny-1700.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1700.6}

The following principles must be applied to the claim review process:

(a) Requirements.

In order to approve payment of a claim for the loss, damage or destruction of an inmate's personal property, the reviewer must determine:

(1) that the inmate has made a timely claim;

(2) that the inmate has satisfactorily proved ownership or authorized possession of some or all of the property;

(3) that the department or its agents have been negligent and that such negligence caused the loss of some or all of the property;

(4) whether or not the inmate contributed to the loss of the property; and

(5) what is the proper amount to be paid.

(b) Timeliness issue.

Section 1700.4 of this Part requires the inmate to report the loss as soon as possible after the discovery of the loss and to file the claim within five working days after the discovery of the loss. This timeframe should be interpreted with some flexibility. There may be extenuating circumstances that would call for discretion to excuse late filing, including:

(1) inmate was in transit at the time of the loss, in an outside hospital, enroute to a new facility, in restricted housing where access to required proof and forms may have been limited, and so on;

(2) inmate was ill or otherwise unable to pursue the claim;

(3) it was not clear whether or not any loss had taken place, for example, facility staff indicated that they were still checking to find the property in question in the package room, IRC Office, housing unit storage areas, etc.; or

(4) other unusual situations.

(c) Ownership or possession.

The inmate must be able to prove ownership or possession of the items claimed in some reasonable fashion.

(1) In this regard copies of the following are acceptable:

(i) package room receipts;

(ii) mailroom receipts;

(iii) commissary receipts;

(iv) special purchase disbursements; or

(v) Form #2064, “Personal Property Transferred,” and related records.

(2) Other appropriate proof may be accepted as long as it adequately describes the item and indicates authorized possession by the inmate claimant. The courts sometimes accept oral proof for good reasons; the department may do so too.

7 CRR-NY 1700.7 Liability {#sec-7-crr-ny-1700.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1700.7}

(a) Property last in control of the inmate.

When property was last in the control of the inmate, there is no presumption that its unexplained loss is the fault of the department or its agents, without further showing that the loss was caused by the negligence of the department or its agents. The department's staff would be negligent if it failed to carry out in an acceptable way its responsibility to take reasonable steps to protect the inmate's property. Examples of negligence by the department or its agents include, among other things:

(1) failure to follow required procedures which failure permits another person to steal, damage or destroy an inmate's property; or

(2) negligently creating a flood, fire or other accident which causes a loss.

(b) Property last in control of the department.

When an inmate's property was last in the control of the department or its agents, and the department fails without good explanation to deliver it in to the inmate or the inmate's designee in the same condition as when received by the department, then there is a rebuttable presumption that the department is negligently responsible for the loss.

(1) To rebut the presumption of negligence, the reviewer must determine that all department staff who had a duty to protect the inmate's property carried out their duties in an acceptable way. If that is not shown or if it is shown that the department's staff failed to meet their responsibilities, then the department will be deemed to have been negligent.

(i) Shipment. When an inmate's property is lost in the process of shipment from a department facility by department staff there is a rebuttable presumption of negligence by the department. The presumption may be rebutted if the investigation shows:

(a) that the department did not receive the property for shipment;

(b) that the department received the property but delivered it to a shipper who could reasonably be expected to deliver it in good condition to its intended destination; or

(c) that the property was received at its intended destination in the same condition as when received by the department.

(c) Comparative liability of the inmate claimant.

If the investigation reveals that there was negligence on the part of both the department or its agents and on the part of the inmate claimant, then the claims reviewer must determine a percentage allocation of negligence causing the loss, and use that percentage in calculating the proper amount to be paid.

7 CRR-NY 1700.8 Payment {#sec-7-crr-ny-1700.8 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1700.8}

(a) Valuation and proper amount to be paid.

The value of lost or destroyed property shall be a reasonable level of compensation, considering the age, condition, original cost and market value of the lost item(s). For damaged property, the value is the lower of: the cost to repair or restore the property to its condition at the time of loss; or the cost to replace the property considering its age and condition.

(1) The proper amount to be paid shall be no more than the reasonable value of the property.

(2) If the value of an item which the inmate was permitted to possess exceeds the limitations contained in department directives 4911, 4912, or 4913, then the proper amount to be paid for that item is no more than the amount of the applicable limitation. If the lost or damaged item was in the department's control because the inmate was not permitted to possess it, then the amount to be paid for the loss of the item may exceed the limitations of the directives.

(3) Items of sentimental or artistic value. It is not possible to evaluate the “sentimental value” of items such as personal photographs, writings, mementos, or the “artistic value” of personal artwork or handicrafts. Such items can only be evaluated for their intrinsic value unless there is some proof of actual market value such as an appraisal of a painting.

(4) Lost legal papers often have no value. If records in a criminal case are lost when there is no further right of appeal and no further use for them, then the records have no more than “sentimental value,” that is, no value. If the lost legal papers can still be used, for example, in a pending or future legal proceeding, then the loss may be compensated by either replacing the papers or paying the reasonable cost to reproduce them. If an inmate can obtain replacement copies for no cost, then the lost papers have no value. If an inmate claims that there is a cost to reproduce the lost papers, then the inmate should produce an estimate for the cost to reproduce the lost papers, which normally should not exceed the cost shown in the bill for the original papers.

(5) All claims submitted which refer to artwork created by an inmate will be reimbursed only for the cost equal to the materials required to create the artwork.

(b) Amount of payment.

(1) The amount paid should not exceed the amount requested by the inmate. However, the reviewer may approve payment of an amount less than that requested by the inmate. If the inmate accepts an offer of a lesser amount, the claim will be processed for that amount. If the inmate does not respond to the offer within 14 days, it will be deemed a rejection of the offer and the claim will be considered closed.

(2) The amount of any payment must be reduced by the amount of any insurance payment or other compensation received from other sources by the inmate.

(3) The proper amount to be paid shall be further reduced by the percentage of the inmate's comparative liability.

7 CRR-NY 1700.9 Investigation report {#sec-7-crr-ny-1700.9 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1700.9}

The object of the claims investigation shall be an impartial and thorough determination of facts. The investigator shall complete the “claim investigation report” (form 1422) and:

(a) thoroughly and impartially examine the inmate's assertions;

(b) determine whether the inmate's statements are wholly or partially supported by any other evidence;

(c) question all persons who could reasonably have information pertinent to the determination of facts including facility staff, inmate claimant, other inmates, visitors, any witnesses, and any other persons who might have any information germane to the investigation. Signed and dated statements should be taken from all individuals questioned and included in the record;

(d) determine whether the inmate secured the personal property appropriately and whether the inmate contributed to the loss in any way;

(e) determine where the property was at the time of loss and who was responsible for the property at the time, and obtain a signed statement from the individual who was responsible for the property to be included in the record;

(f) insure that the claim was filed in a timely manner;

(g) verify that the inmate adequately proved ownership of the property;

(h) determine the reasonable level of compensation;

(i) review the investigation report to insure its completeness (incomplete reports shall be returned for further information); and

(j) at the appeal stage, the lack of a complete investigation report is reasonable grounds for supporting the original claim.

7 CRR-NY 1700.10 Quarterly reports {#sec-7-crr-ny-1700.10 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1700.10}

Facilities are required to provide annual reports of inmate property claims to the Division of Budget and Finance, Office of Inmate Accounts. The annual reports will reflect the period of April 1st through March 31st and will be due on the 15th of April each year. Reports shall include: inmate names and numbers; short descriptions of their losses; the dates of those losses; the amounts of the settlements; and claim approval dates.

Part 1701 DOUBLE-CELL HOUSING IN EXISTING CORRECTIONAL FACILITIES

7 CRR-NY 1701.1 Purpose {#sec-7-crr-ny-1701.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1701.1}

To provide protocols for the management of double-cell housing constructed before 1996 in existing maximum and medium security facilities where approval has been granted by the State Commission of Correction (SCOC).

7 CRR-NY 1701.2 Definitions {#sec-7-crr-ny-1701.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1701.2}

As used in this Part, double-cell housing shall mean a maximum or medium security cell (i.e., an individual self-contained space with a controlled locking device secured from inmate access) originally designated to accommodate a single inmate that has been equipped to accommodate two inmates and has been inspected and approved by the SCOC for conversion to double-cell use.

7 CRR-NY 1701.3 Cell selection {#sec-7-crr-ny-1701.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1701.3}

(a) The commissioner or deputy commissioner for correctional facilities shall establish the specific number of proposed double-cells within a correctional facility.

(b) The superintendent shall designate specific cells within the facility for proposed conversion to double-cell housing. Such cells should be distributed as evenly as possible between cell tiers in general population and located as close to an officer's station as feasible. Cells within designated special housing units may not be considered for double-cell housing without approval from the commissioner or deputy commissioner for correctional facilities.

(c) Upon approval by the commissioner or deputy commissioner for correctional facilities, the facility double-cell housing plan shall be submitted for authorization to the SCOC in accordance with Part 7621 of Title 9 NYCRR.

7 CRR-NY 1701.4 Double-cell housing equipment {#sec-7-crr-ny-1701.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1701.4}

(a) Inmates assigned to double-cell housing shall be afforded all rights and privileges specified in Part 1704 of this Title, except that the equipment provided in a double-cell shall be in accordance with this section.

(b) Each double-cell shall contain:

(1) lighting equal to at least 20 foot candles at desk level and in the personal grooming area (each cell will be equipped with one permanent light fixture and, if electrical capacity permits, one clip-on light for the bottom bunk bed);

(2) one sink;

(3) one toilet;

(4) one bed, mattress and pillow for each inmate;

(5) one locker for each inmate;

(6) one audio signal “splitter” for those cells equipped with a functioning audio outlet; and

(7) one bar of antibacterial soap for each inmate, in addition to personal hygiene items and flatwork normally provided.

(c) In double-cells less than 80 square feet:

(1) the cells shall also contain one electric fan (plastic casing and blades), electrical capacity permitting; and

(2) inmates shall be permitted to place a privacy curtain, approved by the deputy superintendent for security, between the toilet and bed while the toilet is in use. The curtain shall not obstruct the view of either inmate from the front of the cell.

7 CRR-NY 1701.5 Selection of inmates for double-cell housing {#sec-7-crr-ny-1701.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1701.5}

(a) Responsibility.

The deputy superintendent for security shall be responsible for the selection of inmates for double-cell housing. The deputy superintendent for security or designee shall conduct a risk assessment using the eligibility, suitability and compatibility criteria set forth in subdivisions (b), (c) and (d) of this section.

(b) Eligible population.

In determining which inmates shall be considered for assignment to double-cell housing, the facility shall first consider those inmates newly transferred into the facility; provided, however:

(1) an inmate temporarily moved to attend an outside court, a death bed/funeral visit or to receive outside medical/psychiatric treatment may not be assigned to double-cell housing upon return to the facility, unless the inmate was assigned to double-cell housing prior to such move; or

(2) a general population inmate transferred for nondisciplinary reasons may not be assigned to double-cell housing in general confinement at the receiving facility, if the inmate meets all of the following criteria:

(i) the inmate has been with the department for at least two years following initial reception/classification and transfer to a permanent facility;

(ii) the inmate has had no Tier II or III disciplinary determinations of guilt within the last two years; and

(iii) the inmate has not volunteered for double-cell housing (a transfer sought by an inmate may be conditioned upon the inmate volunteering to be housed in a double-cell at the receiving facility).

(c) Assessment of suitability.

(1) Information assessment. When determining an inmate's suitability for a double-cell assignment, the deputy superintendent for security or designee shall review the information contained in the inmate population management system and other records as deemed appropriate to determine if factors exist that would preclude such assignment.

(2) Physical status.

(i) Size. Any inmate over 6′5″ or currently weighing over 299 pounds shall be precluded from a double-cell assignment.

(ii) Age. Except for volunteers, any inmate 70 years of age or over shall be precluded from a double-cell assignment.

(iii) Health. Any inmate with a communicable disease or physical disability who facility medical staff conclude should not be housed in a double-cell, based on screening, see paragraph (6) of this subdivision, shall be precluded from a double-cell assignment (e.g., confinement to a wheelchair or receiving “directly observed therapy” for treatment of Tuberculosis - so long as the inmate is on active treatment).

(3) Mental status.

(i) Level 1. Any inmate currently classified as level 1 by OMH staff shall be precluded from a double-cell assignment;

(ii) Levels 2 and 3. If an inmate is classified as level 2 or 3 by Office of Mental Health (“OMH”) staff, the inmate's record must be closely scrutinized prior to assignment to a double-cell. Factors that may preclude such an assignment would be:

(a) extremely poor disciplinary adjustment;

(b) input from OMH staff specifically recommending a single-cell assignment; or

(c) any other documented behavior that, when coupled with such OMH designation, would lead the deputy superintendent for security or designee to determine that the inmate would not be an appropriate double-celling candidate.

(4) History and behavior. The following inmates shall not be approved for double-cell housing, except in accordance with paragraph (5) of this subdivision:

(i) Victim prone. Inmates currently in “voluntary protective custody” or “involuntary protective custody” status in accordance with Part 330 of this Title. In addition, any inmate with a pattern of being victimized by other inmates resulting in serious physical injury or sexual abuse;

(ii) Assaultive inmates. Inmates with a pattern of predatory assaults on other inmates by the use of contraband weapons or where the assaults resulted in serious physical injury to the victims;

(iii) Criminal histories of extreme violence. Inmates whose criminal histories involve a pattern of acts of violence resulting in serious physical injury to victims, or inmates whose crime(s) of commitment involve acts of violence resulting in serious physical injuries to multiple victims or intentional and depraved infliction of extreme physical pain resulting in serious physical injury to any one victim; or

(iv) Same gender sexual violence. Inmates found guilty at facility disciplinary hearings of engaging in same gender sexual violence while incarcerated.

(5) Since the assessment of an inmate's ineligibility for double-celling is based upon a history of demonstrated behavior in paragraph (4) of this subdivision and it is possible for the inmate to positively change such behavior, the deputy superintendent for security may exercise a limited amount of flexibility when determining double-cell assignments. For this reason, an “override factor” has been included in the screening process and may be utilized when more recent history and behavior by the inmate show a positive adjustment factor mitigating in favor of double-cell housing despite earlier events. Whenever the override factor is utilized, the deputy superintendent for security must provide the specific reason on the double-cell information sheet (see section 1701.9 of this Part).

(6) Medical screening.

(i) Medical records screening. The deputy superintendent for security or designee shall provide a list of inmates under consideration for double-cell housing to the facility health services director or designee. The facility health staff shall conduct a medical records review prior to possible double-cell assignment and advise the deputy superintendent for security or designee of the existence of a medical condition that would preclude double-cell housing or require placement in a bottom bunk bed.

(ii) Physical assessment. Either prior to or within 48 hours after an inmate's placement in a double-cell, a physical assessment will be conducted. If facility health staff determine that a change in the inmate's current housing is required, that information shall be conveyed to the deputy superintendent for security or designee and the appropriate change in housing shall be made.

(iii) The form used. The facility health staff shall utilize the screening and physical assessment for placement in a double-cell form (see section 1701.9 of this Part) when both conducting the medical records screening review and physical assessment.

(d) Assessment of compatibility.

After an inmate's record has been appropriately screened and the deputy superintendent for security or designee has determined that the inmate is a suitable candidate, an assessment of compatibility with the other inmate assigned to the cell shall be made. The following criteria shall be used in making this determination:

(1) Volunteers. Whether two inmates have requested to be housed together.

(2) Ethnic or religious background. The facility should attempt to take into account the ethnic and religious background of both candidates for the same double-cell. It is not necessary, however, that they share the same ethnic or religious background.

(3) Language. The ability of inmates to communicate with each other.

(4) Size or other physical characteristics. The physical capabilities and needs of inmates (e.g., two inmates both requiring a bottom bunk should not be housed in the same cell).

(5) Age. The respective ages of the inmates. Inmates age 60 and over must be assigned bottom bunk.

(6) Criminal history/length of sentence. Years to earliest release and nature of crimes.

(7) Program/job assignment. The inmates' program or job assignments (certain program and job assignments require inmates to house on the same location).

(8) Family relationship. Familial relationship between inmates (e.g., siblings or cousins).

(9) Known enemies. Inmates who are known enemies of record or who the department has otherwise determined should be kept apart.

(e) Double-cell information sheet.

The list of factors governing both suitability and compatibility is not exhaustive. Other factors may also be considered. The double-cell information sheet (see section 1701.9 of this Part) has been developed to properly record each step in the screening/risk assessment process. Each applicable section must be completed by the deputy superintendent for security or designee. “Health service review results” and “mental health status” sections may be completed based on verbal or written input from the appropriate areas. A copy of the completed form should be forwarded to the inmate records coordinator and the movement and control officer for each inmate approved for double-celling.

(f) Notwithstanding any other provision of this section, no inmate has a right to be housed in a double-cell or to be housed in a double-cell with a particular inmate. An inmate's request to be housed in a double-cell or to be housed in a double-cell with a particular inmate can be denied by the deputy superintendent for security or designee in the exercise of his or her sound discretion.

7 CRR-NY 1701.6 Personal property {#sec-7-crr-ny-1701.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1701.6}

(a) Inmates will be responsible for proper storage of property and the neat and orderly appearance of their individual cell space.

(b) Double-cell property limit.

Personal property possessed by each inmate in a double-cell shall be limited to the amount of property that will fit in three standard draft bags (including legal material). Personal property shall be stored in the individual locker. Any property beyond what can be stored in the individual locker may be stored in two draft bags provided by the department for storage of property. The floor space under the bottom bunk bed may be used by both inmates for storage of property. Of the total available space under the bottom bed, the half closest to the cell door will be utilized by the inmate assigned to the bottom bunk. The remaining space may be utilized by the inmate assigned to the top bunk.

(c) Secure area storage.

In addition to the property inmates may store in a double-cell, each inmate may elect to store up to two standard draft bags of personal property in a secure area designated by the superintendent for the duration of his or her double-cell assignment. Form #2064 will be utilized to inventory all stored property. Upon written request, the inmate will be given access to such stored property once every 30 days to withdraw or store items.

(d) Inmate personal property beyond the amount permitted in the cell and the two bags held in storage, will be disposed of pursuant to the department's established procedure regarding the disposal of surplus or disallowed property.

7 CRR-NY 1701.7 Movement of inmates after selection for double-cell housing {#sec-7-crr-ny-1701.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1701.7}

(a) No inmate may refuse placement in double-cell housing.

(b) The movement of inmates out of double-cell housing shall be the responsibility of the deputy superintendent for security.

(c) The movement of an inmate out of double-cell housing shall be based upon the length of time in double-cell housing, the needs of the facility, and the inmate's medical needs, program and work assignments.

(d) No inmate shall be confined in a double-cell for a period of more than 60 days unless such inmate volunteers to remain in the double-cell for a longer period of time. At the expiration of the 60 days, if an inmate does not volunteer to remain in a double-cell, the inmate shall be moved to a single-cell or multiple occupancy housing at either his or her current facility or a new facility.

(e) Inmates in double-cell housing will be specifically assigned to either the upper or lower bunk and may not change such assignment without the approval of the deputy superintendent for security or designee. If the lower bunk was assigned for medical reasons, the deputy superintendent for security or designee shall consult with medical staff before any change.

7 CRR-NY 1701.8 Restrictive confinement of inmates assigned to double-cell housing {#sec-7-crr-ny-1701.8 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1701.8}

(a) Except for inmates housed in double-cells measuring a total of 80 square feet or larger, every effort shall be made to avoid simultaneous occupancy of a double-cell by inmates who have been confined to cell pursuant to section 253.7 or 254.7 of this Title.

(b) Where double-cells measure less than a total of 80 square feet, the facility watch commander shall be immediately notified if any inmate housed therein has been confined to a cell pursuant to section 253.7 or 254.7 of this Title. To avoid two inmates being simultaneously confined for an extended period, the watch commander shall, within seven days, order one of the inmates moved to another double-cell or to other housing as deemed appropriate.

7 CRR-NY 1701.9 Forms {#sec-7-crr-ny-1701.9 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1701.9}

Form #3117

STATE OF NEW YORK - DEPARTMENT OF CORRECTIONAL SERVICES

SCREENING AND PHYSICAL ASSESSMENT FOR PLACEMENT IN A DOUBLE-CELL

D.I.N. ____ NAME: ________

I. Medical Record Screening Review

A. Has the person been diagnosed to have any of the following communicable illnesses that are currently contagious?

| | | | | | --- | --- | --- | --- | | □ Amebiasis | □ Diptheria | □ Lymphogranuloma | □ Rubella | | □ Chancroid | □ E. coli 0157:H7 | venereum | □ Salmonellosis | | □ Chickenpox/Herpes | □ Encephalitis | □ Measles | □ Shigellosis | | Zoster | □ Giardiasis | □ Meningitis | □ Syphilis | | □ Chlamydia trachomatis | □ Gonococcal Infection | □ Meningococcemia | □ Tuberculosis | | □ Cholera | □ Hepatitis | □ Mumps | □ Typhoid | | □ Crytosporidiosis | | □ Pertussis | □ Yersiniosis | | | | □ Plague | |

B. Has the person been noted to currently have symptoms that indicate an acute illness which could be contagious at this time? □ No □ Yes If so, please specify these symptoms:

C. Are there known medical contraindications to him being placed in a double-cell? (e.g., any conditions noted in I-A or B above or chronic debilitating disease, skin lesions, open sores, cardiac condition-stage 4) □ No □ Yes (single-cell)

D. Are there any known medical indications requiring him or her to be placed in a bottom bunk bed? (e.g., medically documented - back problems {through radiologic or surgical physician review}, medication for seizure disorder, diabetes/insulin dependent, age over 60 years, permanent physical disability {e.g., amputee, rheumatoid arthritis}, diagnosis of sleep apnea, current acute injury or serious medical conditions {e.g., fractures, recent MI, advanced arthritis}) □ No □ Yes (bottom bunk)

Signed: ________ Date: ______

II. Physical Assessment (A physical assessment as indicated below must be conducted prior to or within 48 hours of placement in a double-cell.)

A. Based upon your physical assessment of the person, does he or she:

□ No □ Yes Appear acutely ill?

□ No □ Yes Have evidence of persistent cough?

□ No □ Yes Currently have severe diarrhea?

□ No □ Yes Have respiratory check sounds that could indicate an acutely communicable illness?

□ No □ Yes Have skin rashes, jaundice or lesions that could indicate an acutely communicable illness?

B. From your physical assessment of this person, are there medical contraindications to him being placed in a double-cell? (e.g., any conditions noted in Part II. A.) □ No □ Yes (single-cell)

C. From your physical assessment of this person, are there medical indications requiring him to be placed in a bottom bunk bed? □ No □ Yes (bottom bunk)

Signed: ________ Date: ______

Rev. 6/16

Form #2201

STATE OF NEW YORK - DEPARTMENT OF CORRECTIONAL SERVICES

I. SUITABILITY History and Behavior

"Yes" in any above category requires override reason prior to affirmative double cell recommendation.

□ No □ Yes Has the inmate been with DOCS for at least 24 months? □ No □ Yes Has the inmate remained free of Tier II or III convictions within the last 24 months?

□ No □ Yes Has the inmate volunteered for double-cell housing?

If "Yes" in all of the above categories, the inmate is currently ineligible for double-celling.

□ No □ Yes Is the inmate over 6′5″, over 299 lbs.? If "yes" do not double-cell.

□ No □ Yes Is the inmate 70 years of age or older? If “yes” do not double-cell, unless inmate volunteered.

II. COMPATIBILITY CELL _ _ --_ -- _ _

| | | | | | --- | --- | --- | --- | | CANDIDATE _ _ - _ - _ _ _ _ | CURRENTLY ASSIGNED _ _ - _ - _ _ _ _ | | | | Age | Race | Age | Race | | □ 16-21 | □ Black | □ 16-21 | □ Black | | □ 22-35 | □ Hispanic | □ 22-35 | □ Hispanic | | □ 36-59 | □ White | □ 36-59 | □ White | | □ 60+ bottom bunk | □ Other | □ 60+ bottom bunk | □ Other | | | | | | | Language | Religion | Language | Religion | | □ English | □ Christian | □ English | □ Christian | | □ Spanish Only | □ Muslim | □ Spanish Only | □ Muslim | | □ Other _____ | □ Jewish | □ Other | □ Jewish | | | □ Other _____ | | □ Other | | | | | | | Years to E.R. D. | Size | Years to E.R. D. | Size | | □ less than 3 | □ less than 150 lbs | □ less than 3 | □ less than 150 lbs | | □ 3-8 | □ 150-260 | □ 3-8 | □ 150-260 | | □ 9-15 | □ 261-299 | □ 9-15 | □ 261-299 | | □ 16+ | | □ 16+ | |

Rev. 4/18

Part 1704 MINIMUM PROVISIONS FOR HEALTH AND MORALE

7 CRR-NY 1704.1 Description {#sec-7-crr-ny-1704.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1704.1}

(a) This Part is designed to describe the minimum standards with regard to those items necessary for an inmate's cleanliness, health and morale.

(b) Personal and frequent inspection by the superintendent and daily supervision by assigned staff shall be carried out to insure compliance with these standards.

(c) This Part is not intended to cover special housing units; see Part 302 of this Title.

7 CRR-NY 1704.2 Cell equipment {#sec-7-crr-ny-1704.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1704.2}

(a) This section does not apply to double-cell housing in converted single cells; see Part 1701 of this Title.

(b) The following items shall be provided:

(1) lighting equal to at least 20 foot-candles at desk level and in the personal grooming area;

(2) washstand;

(3) toilet; and

(4) bed, mattress and pillow (for each inmate).

7 CRR-NY 1704.3 Multiple occupancy housing unit equipment {#sec-7-crr-ny-1704.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1704.3}

(a) As used in this Part, a multiple occupancy housing unit shall mean an inmate housing unit which is designed to accommodate three or more inmates.

(b) The following items shall be provided in multiple occupancy cells:

(1) lighting equal to at least 20 foot-candles at desk level and in the personal grooming area;

(2) at least one functional toilet for every 12 inmates, provided that urinals may be made available in lieu of one half of the toilets required under this section in male facilities;

(3) at least one functioning sink for every 12 inmates;

(4) at least one functioning shower for every 15 inmates;

Note:

Paragraphs (2)-(4) of this subdivision, do not apply to units constructed prior to September 19, 1990, provided they contain sufficient showers, toilets, and sinks to assure the personal hygiene of inmates in such units.

(5) a bed, mattress and pillow for each inmate; and

(6) a safe storage area.

7 CRR-NY 1704.4 Flatwork {#sec-7-crr-ny-1704.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1704.4}

(a) The following items shall be provided for each inmate:

(1) pillow case;

(2) two sheets;

(3) blanket;

(4) bath towel; and

(5) washcloth.

7 CRR-NY 1704.5 Personal hygiene items {#sec-7-crr-ny-1704.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1704.5}

(a) The following shall be provided or, where specified below, made available to each inmate at time of reception:

(1) bar of soap;

(2) toothbrush;

(3) toothpaste;

(4) disposable razor (this item may be made available as needed; to be returned when the shave is completed);

(5) drinking cup;

(6) roll of toilet paper;

(7) comb of nonhazardous design and material; and

(8) sanitary napkins for female inmates.

(b) Reissue.

(1) The items listed in subdivision (a) of this section will be replenished on an as-needed basis, the frequency to be determined by a reasonable period of time for consumption of the item and subject to review by the issuing officer.

(2) The disposable razor shall be replaced on an exchange basis (or made available as needed; to be returned when the shave is completed).

(3) In those facilities where inmates are housed in “multiple occupancy housing units” and toilet paper is maintained in a communal toilet room, the issuing officer will ensure that adequate replenishment is made for the room rather than to the individual inmates.

7 CRR-NY 1704.6 Showers and exercise {#sec-7-crr-ny-1704.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1704.6}

(a) An inmate shall be permitted to shower at least three times a week.

(b) An inmate shall be permitted to exercise outside of his or her cell for at least one hour daily, except as provided in subdivisions (c) and (d) of this section. Such exercise shall be provided out-of-doors, weather permitting, unless the size of the population or the physical plant of the facility renders such daily exercise out-of-doors unfeasible. If daily exercise out-of-doors is not feasible, outdoor exercise shall be provided at least once every other day, indoor exercise shall be provided as a substitute on those days that outdoor exercise is not available and the Deputy Commissioner of Correctional Facilities shall be notified.

(c) An inmate newly arrived at a correctional facility will not be permitted out-of-cell activities until it is reasonably concluded that he/she has no known enemies at the facility. This restriction shall not exceed five days unless extenuating circumstances exist and approval is granted by the Deputy Commissioner of Correctional Facilities or his designee.

(d) An inmate who has lost recreation privileges but who is not otherwise keeplocked or confined to his or her cell need not be permitted the daily exercise referred to in subdivision (b) of this section. However, an inmate who is on loss of recreation status and who has no program shall be permitted the daily exercise referred to in subdivision (b) of this section.

(e) This section shall not be construed so as to prohibit emergency action by the superintendent of the facility. If necessary for the safety and security of the facility, the superintendent may suspend shower and exercise privileges for all inmates or for any segment of the inmate population until the emergency has passed. In any such case the superintendent shall immediately notify the deputy commissioner for correctional facilities.

(f) Whenever in the judgment of the officer in charge, there is imminent danger that a “keeplock” inmate will do injury to himself/herself or to another, if permitted out of the cell for a shower or exercise, the officer with the approval of the area supervisor, may deprive the inmate of the shower or exercise. A written report shall be prepared immediately and delivered to the superintendent or deputy superintendent for security indicating the reason for the deprivation. In all cases the activity will be restored as soon as it can be deemed consistent with safety.

7 CRR-NY 1704.7 Visiting, correspondence and phone calls {#sec-7-crr-ny-1704.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1704.7}

(a) Visiting, correspondence and phone calls are seen as means of reinforcing family ties that will be beneficial to inmates upon their release. The visiting, family reunion, correspondence, privileged correspondence and phone call programs are described in Parts 201, 220, 720, 721 and 723 of this Title, respectively.

(b) An inmate may at any reasonable time address a written communication to the superintendent or the commissioner. When an inmate makes a request for permission to write such a communication, the responsible employee to whom the request is made shall supply the inmate with necessary writing materials and an envelope; allow the inmate to write his communication in privacy, and forward it promptly to the addressee.

(c) Inmates are to be afforded pastoral visiting opportunities upon request. It shall be the responsibility of the chaplain to determine whether his/her immediate attention is required.

(d) An inmate confined to a cell or room for more than 30 days pursuant to Part 254 of this Title shall be limited to one non-legal visit per week. However, the inmate's visitation privileges may be subject to further restriction under this Title in accordance with:

(1) an administrative action under Part 201 of this Title;

(2) a disciplinary disposition under Chapter V of this Title; or

(3) special precautions applicable to inmates to SHU under section 302.2(i)(1) of this Title.

7 CRR-NY 1704.8 Food {#sec-7-crr-ny-1704.8 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1704.8}

(a) Food must be nourishing and palatable, of a sufficient caloric intake as recommended by the Director of Nutritional Services.

(b) Variety in the weekly menu must be afforded.

(c) Inmates may refrain from eating those food items served to the general population which are contrary to their religious beliefs. An inmate may petition the directors of ministerial, family and volunteer, and nutritional services for provision of a nutritionally adequate alternative diet consistent with his or her religious beliefs.

(d) Therapeutic diets may be specified by the director of facility health services when appropriate.

7 CRR-NY 1704.9 Other minimum provisions {#sec-7-crr-ny-1704.9 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1704.9}

(a) The following items shall be provided for each inmate:

(1) standard issue of clothing as per department directives concerning inmate clothing;

(2) utensils and supplies for daily cell cleaning; and

(3) writing materials (paper, pen or pencil, envelopes).

Part 1705 BODY IMAGING SCANNING EQUIPMENT

7 CRR-NY 1705.1 Purpose {#sec-7-crr-ny-1705.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1705.1}

The purpose of this Part shall be to ensure that body imaging scanning equipment is used in correctional facilities to prevent the entry of contraband, in a manner that ensures the safety and security of incarcerated individuals, visitors and employees.

7 CRR-NY 1705.2 Definitions {#sec-7-crr-ny-1705.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1705.2}

For the purposes of this Part:

(a) Body imaging scanning equipment shall mean equipment that utilizes a low dose of ionizing radiation to produce an anatomical image capable of detecting objects placed on, attached to, or secreted within a person’s body.

(b) Employee shall mean any individual employed by the department, outside agency, volunteer or service provider.

7 CRR-NY 1705.3 General use of body imaging scanning equipment {#sec-7-crr-ny-1705.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1705.3}

(a) The department shall ensure that the installation, registration, recordkeeping, maintenance, operation and inspection of any body imaging scanning equipment utilized in a state correctional facility shall comply with the regulatory requirements promulgated by the Department of Health.

(b) An individual who is pregnant shall not be subject to body imaging scanning equipment at any time.

(c) Procedures for identifying pregnant individuals shall be implemented by the department, consistent with applicable Department of Health regulations.

(d) Body imaging scanning equipment may not be used for medical examinations or to diagnose an illness or injury.

(e) Absent exigent circumstances, all body scans must be conducted by an officer of the same sex as the individual being scanned. Individuals who are transgender or intersex may request that they be scanned by an officer of a specific gender.

7 CRR-NY 1705.4 Body imaging scanning of employees {#sec-7-crr-ny-1705.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1705.4}

(a) Employees may randomly be processed utilizing the body imaging scanner when entering a facility or when directed as part of an official investigation. Any employee who declines to undergo body imaging scanning will be excluded from being scanned and will be processed in accordance with Directive #4936, “Search of DOCCS Employees,” unless security considerations warrant otherwise.

(b) Any employee who is pregnant, has a medical condition, or declines to undergo body imaging scanning will be excluded from being scanned and will be processed in accordance with Directive #4936, “Search of DOCCS Employees,” unless security considerations warrant otherwise.

(c) No employee who chooses to be searched by an alternative method in lieu of body imaging scanning shall be subjected to any form of harassment, intimidation, or disciplinary action.

Part 1706 HEAT MITIGATION PLAN

7 CRR-NY 1706.1 Purpose {#sec-7-crr-ny-1706.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1706.1}

The purpose of this Part shall be to establish an annual heat mitigation plan for all department correctional facilities to address extreme heat events and provide guidance and direction for preparing for these events. This shall include assessing vulnerable staff and incarcerated individuals, taking actions to relieve discomfort and provide cooling, monitoring temperatures, and providing consideration for building improvements for sustainable cooling solutions. The superintendent or designee shall coordinate and ensure all measures for the heat mitigation plan are being implemented, as feasible and consistent with the facility’s safety and security protocols.

7 CRR-NY 1706.2 Temperature Monitoring During Extreme Heat Conditions {#sec-7-crr-ny-1706.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1706.2}

The heat mitigation plan shall be in effect when there are extreme heat conditions such that the outside temperature exceeds the degree set forth in the plan.

(a) Outdoor temperature shall be monitored by each facility superintendent or their designee in advance of, and during, any extreme heat conditions.

(b) During extreme heat conditions, indoor and outdoor temperatures shall be monitored and reviewed by the facility executive team for any areas needing increased cooling protocols to relieve discomfort and heat-related issues.

(c) Consideration shall be given to the feasibility of the cancellation of programs, including industry, in areas that exceed the designated temperature or in indoor areas where cooling below the designated temperate is not operationally feasible.

7 CRR-NY 1706.3 Cooling Protocols {#sec-7-crr-ny-1706.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1706.3}

(a) Facilities shall operationally prepare in the beginning of each calendar year for heat related events by verifying that all available items needed for cooling, including air conditioning systems (where equipped), generators, ventilation equipment, fans, showers and ice machines, are operational.

(b) The heat mitigation plan will set forth the necessary steps to ensure that each facility is prepared with the appropriate equipment and resources to the extent feasible, to mitigate extreme heat events.

7 CRR-NY 1706.4 Staff and Incarcerated Individuals at High Risk {#sec-7-crr-ny-1706.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1706.4}

(a) Exposure to high temperatures over a period can increase the risk of heat stress and heat-related illness. People who are at an elevated risk include the elderly, those that perform outdoor work, those that exercise outdoors, and those who have chronic respiratory disease, such as asthma. Special attention shall be given to all vulnerable populations, including those individuals receiving mental health medications.

(b) When the heat mitigation plan is in effect, the superintendent or designee shall ensure monitoring and wellness checks for all staff and incarcerated individuals by increasing the frequency of rounds to address any individual who may be more susceptible to heat and individuals that may develop a heat-related illness during any single heat event.

Chapter XI SHOCK INCARCERATION

Part 1800 SHOCK INCARCERATION PROGRAM

7 CRR-NY 1800.1 General {#sec-7-crr-ny-1800.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1800.1}

The rules and regulations set forth in this Part govern the administration of the department's shock incarceration program.

7 CRR-NY 1800.2 Purpose {#sec-7-crr-ny-1800.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1800.2}

There is a present need to provide to selected young inmates a special six-month program of shock incarceration, stressing a highly structured routine of discipline, intensive regimentation, exercise and work therapy, together with substance abuse workshops, education, prerelease counseling and self-improvement counseling. If an inmate successfully completes the shock incarceration program, he or she will be eligible for parole release and will be awarded a certificate of earned eligibility pursuant to Correction Law, sections 805 and 807.

7 CRR-NY 1800.3 Composition and function of the shock incarceration selection committee {#sec-7-crr-ny-1800.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1800.3}

(a) The superintendent of designated shock incarceration facilities shall appoint a shock incarceration selection committee, which shall meet at least once weekly to review applications for the shock incarceration program.

(b) Eligible inmates may make application to the shock incarceration selection committee for permission to participate in the shock incarceration program.

(c) If the shock incarceration screening committee determines that an inmate's participation in the shock incarceration program is consistent with the safety of the community, the welfare of the applicant and the selection criteria for the program, the committee shall forward the application to the commissioner or his designee for approval or disapproval.

7 CRR-NY 1800.4 Eligibility {#sec-7-crr-ny-1800.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1800.4}

(a) An inmate sentenced to an indeterminate term of imprisonment may apply for participation in the shock incarceration program if the inmate meets all of the following requirements:

(1) has not reached 40 years of age;

(2) will become eligible for release on parole within three years;

(3) unless already provided, has agreed to provide a DNA sample for forensic analysis;

(4) has not previously been convicted of a felony upon which an indeterminate term of imprisonment was imposed; and

(5) was at least 16 but less than 40 years of age at the time of commission of the crime upon which his or her present sentence was based.

(b) Notwithstanding the foregoing, a person who is convicted of any of the following crimes is not eligible to participate in the shock incarceration program:

(1) a violent felony offense as defined in article 70 of the Penal Law;

(2) an A-1 felony offense;

(3) unless already provided, has agreed to provide a DNA sample for forensic analysis;

(4) manslaughter in the second degree, vehicular manslaughter in the second degree, vehicular manslaughter in the first degree, and criminally negligent homicide as defined in article 125 of the Penal Law;

(5) rape in the second degree, rape in the third degree, sodomy in the second degree, sodomy in the third degree, attempted sexual abuse in the first degree, attempted rape in the second degree and attempted sodomy in the second degree as defined in articles 110 and 130 of the Penal Law; and

(6) any escape or absconding offense as defined in article 205 of the Penal Law.

(c) An inmate who has successfully completed a shock incarceration program shall be eligible to receive a certificate of earned eligibility pursuant to Part 2100 of this Title.

7 CRR-NY 1800.5 Transfer {#sec-7-crr-ny-1800.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1800.5}

Inmates will be given preliminary screening at reception centers to determine if they meet the statutory eligibility criteria for participation in the shock incarceration program. Selected inmates may then be transferred to designated shock incarceration facilities for final screening and approval for program participation.

7 CRR-NY 1800.6 Program structure {#sec-7-crr-ny-1800.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1800.6}

(a) General.

Shock incarceration is an alternative form of correctional life stressing a highly structured and regimented daily routine which includes extensive discipline and counseling. The program is designed to be a resocialization and learning period, with inmates expected to participate in considerable physical work, exercise and therapeutic programs.

(b) The daily inmate schedule at each shock incarceration facility will include an early morning regimen of physical training, military style drilling, and cleaning of residence areas, a complete workday, daily group meetings, high school equivalency education, substance abuse counseling and organized physical recreation.

(c) Evaluations.

(1) Inmates will be frequently evaluated, in order to obtain an objective assessment of the inmates' progress in the shock incarceration program.

(2) Each inmate will be evaluated daily by his drill instructor and work supervisor. Inmates will be evaluated weekly by their academic/vocational teacher, drug counselor, recreation leader and network officer. The evaluations will be based on indicators which reflect program expectations.

(3) The evaluations will be reviewed at least monthly by supervisors and department head. A monthly review summary sheet will be completed, to be forwarded to the inmate's facility file, to be available to the parole board prior to release. All unsatisfactory determinations will be forwarded to the superintendent's committee for a final recommendation concerning the inmate's continuation in the shock incarceration program.

(4) The inmate's final review must be at least satisfactory in order for the inmate to successfully complete this program.

7 CRR-NY 1800.7 Discipline {#sec-7-crr-ny-1800.7 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1800.7}

(a) Inmates are expected to adhere to strict standards of discipline within the shock incarceration correctional facility. After orientation, inmates will be expected to know and comply with the rules and regulations of the shock incarceration program.

(b) The following standardized procedures will be complied with:

(1) stand-up count procedures;

(2) living areas clean at all times;

(3) laundry completed in a timely manner;

(4) mandatory attendance at all scheduled activities; and

(5) no disrespect or disobedience to lawful orders will be tolerated at any time.

(c) The procedures set forth in Chapter V of this Title shall be utilized in the conducting of disciplinary hearings at shock incarceration facilities. However, the decision to conduct a Tier III hearing must be reviewed by the superintendent of the correctional facility.

(d) As part of a disciplinary hearing disposition, a disciplinary hearing officer may recommend that an inmate be removed from the shock incarceration program. Such recommendation will be forwarded to the superintendent's committee for review.

7 CRR-NY 1800.8 Shock incarceration grooming standards {#sec-7-crr-ny-1800.8 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1800.8}

(a) All incoming shock inmates will have a haircut on the first day in the facility. Haircuts will be military style, ¼″ in length and completely trimmed around the ears.

(b) All shock inmates are required to be clean-shaven each day. No facial hair is allowed.

(c) Shock inmates' hair will be allowed to grow after the first haircut, but must be maintained and cut to a maximum on top of one-half inch for males and one and one half inches for females. Ears are to show at all times. Hair will be kept combed and neat.

(d) Fingernails and toenails will be kept clipped and clean at all times.

(e) Every shock inmate will take one shower every day. All other personal hygiene is to be attended to on a daily basis.

(f) Shock inmate boots are to be kept polished with laces threaded to the top of the boot and boots worn whenever leaving the building or during class and inspection. Pants are to be kept neat and pressed. No cuffs allowed. Shirts are to be tucked inside the pants at all times and edge of shirt is to be in line with edge of pants fly. Caps are to be worn when outside only.

(g) Every shock inmate will be fully dressed between the hours of 5:30 a.m. and 9:30 p.m. On free time or time off, pants and shirts are to be worn at all times.

(h) There will be no writing or printing allowed of any kind that shows on the clothing. Shirts are to be marked with shock inmate's DOCS number on the inside of the neck collar and name and number on the shirt.

(i) No combs or other items will be allowed in pants pockets where they can be seen. Only pens, pencils, eyeglasses, I.D. cards and/or cigarettes are to be carried in shirt pockets.

(j) Shock inmates may wear tennis shoes or sneakers for physical training or organized sports.

(k) Jewelry will be limited to one wedding ring and one religious medal.

7 CRR-NY 1800.9 Inmate agreement {#sec-7-crr-ny-1800.9 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1800.9}

(a) Prior to being transferred to a shock incarceration correctional facility, each participating inmate will sign an agreement, specifying the terms and conditions of participation in the shock incarceration program. This agreement is provided for in subdivision (b) of this section.

(b) Memo of agreement.

Shock Incarceration Program

Memo of Agreement

Name Facility DIN

1. As authorized pursuant to Correction Law, article 26-A, I agree to participate in the Department of Correctional Services Shock Incarceration Program. This agreement is made voluntarily and without coercion.

2. I understand the Shock Incarceration Program is a six-month discipline and treatment-oriented program. The activities involve intensive instructions in military bearing, courtesy, drills, physical exercise, network training, intensified structured work program, substance and alcohol counseling and structured educational programming. From the outset, I am required to practice good grooming and personal hygiene habits.

3. I promise that I shall abide by all the conditions specified in this agreement and all other conditions and instructions given to me by any representative of the Department of Correctional Services and will be subject to removal from the program for failure to do so.

4. I understand that during this six-month period, I will wear only a uniform provided for me. Other civilian clothing and jewelry will not be permitted.

5. Packages will not be permitted and personal property will be limited, in accordance with Shock Incarceration rules.

6. Visits, telephone, religious services, commissary privileges and recreational activities will be limited.

7. I agree to abide by all rules of the Shock Incarceration Facility. I understand that strict discipline will be exercised at all times and that failure to comply with such rules will result in my removal from the Shock Incarceration Program.

8. I understand that at any time during the six-month shock incarceration period, I may voluntarily request removal from the program and that I will be transferred to a general confinement correctional facility to continue my court-imposed sentence.

9. I agree that I will not apply to participate in any other correctional program during the six-month shock incarceration program period.

10. If additional criminal charges are lodged against me, I agree that I may be removed from the program in the discretion of the Department of Correctional Services.

I accept the foregoing program and agree to be bound by the terms and conditions thereof. I understand that my participation in the program is a privilege that may be revoked at any time at the sole discretion of the Commissioner. I understand that I must successfully complete the entire program to obtain a certificate of earned eligibility upon the completion of said program, and in the event that I do not successfully complete said program, for any reason, I will be returned to a nonshock incarceration correctional facility to continue service of my sentence.

I have read and understand the above Memo of Agreement, and I agree to fully abide by the terms of the memo.

Inmate Signature Date

Witness Date

cc: Inmate Central Office File Institutional File Parole Institutional File

7 CRR-NY 1800.10 Removal from shock incarceration program {#sec-7-crr-ny-1800.10 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1800.10}

(a) An inmate's privilege to continue to participate in the shock incarceration program may be revoked at the sole discretion of the commissioner or his designee, the deputy commissioner for facility operations or the director of shock development or upon recommendation of the shock incarceration correctional facility's superintendent's committee. The superintendent's committee shall consist of at least three persons appointed by the superintendent and approved by the deputy commissioner for facility operations.

(b) Procedure before superintendent's committee.

Upon receiving a request to review a participant's unsatisfactory or deteriorating adjustment in the shock incarceration program, the chairperson of the superintendent's committee will evaluate the referral and schedule a meeting of the superintendent's committee in accordance with the urgency of the referral. If the inmate has not had a disciplinary violation sustained via a disciplinary hearing pursuant to Part 253 or 254 of this Title, the inmate shall be interviewed by the committee. This interview may be by telephonic means if, for security reasons, the inmate has already been transferred to another correctional facility. The purpose of this interview is to give the inmate the opportunity to discuss his program participation. The chairperson shall give the inmate a written statement of the reasons for his referral to the superintendent's committee and a written record shall be made of the inmate being served with this notice.

(c) Post-disciplinary hearing cases.

The disciplinary hearing officer at either a Tier II or Tier III hearing may, as a disposition, refer an inmate's case to the superintendent's committee for review. In such cases, the superintendent's committee shall make a recommendation to the superintendent concerning whether the inmate will be removed from the program after review of the disciplinary hearing and any other materials the committee deems appropriate to review. The chairperson shall forward to the superintendent a written statement of such recommendation.

(d) Voluntary removal.

At any time an inmate may request in writing to be removed from the shock incarceration program. Such request will be processed as a transfer request. The requesting inmate will be transferred to a general confinement correctional facility to continue the court-imposed sentence.

(e) Any inmate who is eligible for the shock incarceration program who chooses not to participate in it, or who is removed from the program will be considered ineligible for participation in the temporary release program, unless the reason for the removal was due to an intervening circumstance beyond the control of the inmate.

Chapter XII TEMPORARY RELEASE, RESIDENTIAL TREATMENT FACILITY DAY REPORTING CENTER, AND COMPREHENSIVE ALCOHOL AND SUBSTANCE ABUSE TREATMENT CENTER

Subchapter A TEMPORARY RELEASE PROGRAMS

Part 1900 TEMPORARY RELEASE PROGRAM RULES AND REGULATIONS

7 CRR-NY 1900.1 General {#sec-7-crr-ny-1900.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1900.1}

The rules and regulations set forth in this Part govern the administration of the department's temporary release program.

7 CRR-NY 1900.2 Composition and function of the temporary release committee {#sec-7-crr-ny-1900.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1900.2}

(a) Each institution having a potential body of inmates who could qualify for temporary release programs shall have a temporary release committee. The temporary release committee shall be composed of a chairperson at salary grade 22 or above, unless otherwise authorized, and two staff members from either community supervision, program services, or security, unless otherwise authorized.

(b) The chairperson, two committee members, and no more than three alternates (unless otherwise authorized) for each of the three committee positions shall be nominated by the superintendent and shall be subject to approval by the commissioner or his/her designee. One of the two members shall also be designated as an alternate chairperson. Members shall continue service at the pleasure of the commissioner. To assure familiarity of members of the committee with the process and consistency in decisionmaking, changes in the membership of the committee shall not be made frequently and only with the approval of the commissioner or his/her designee.

(c) The temporary release committee shall meet at least once a week, unless otherwise authorized by the director of temporary release, in a formal meeting for the consideration of temporary release applications. Three committee members (including the chairperson) shall be present at each temporary release committee meeting.

(d) The chairperson shall be responsible for all administrative duties and the functioning of the temporary release committee. The chairperson shall participate in committee selection decisions as a voting member.

(e) Once a year, the entire facility temporary release committee membership must be submitted to the Director of temporary release for approval of the commissioner or designee.

7 CRR-NY 1900.3 Types of temporary release {#sec-7-crr-ny-1900.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1900.3}

(a) Leave of absence.

Any inmate may apply for this program regardless of time criteria, as long as all other eligibility requirements are satisfied. A minimum score of 30 is necessary for participation for a leave of absence. With the exception of the point score requirement, the commissioner reserves the right to waive all eligibility requirements for a leave of absence, unless otherwise prohibited by the Correction Law. A leave of absence lets an inmate leave an institution:

(1) to visit his/her spouse, child, brother, sister, grandchild, parent, grandparent or ancestral aunt or uncle during his or her grave illness when death appears to be imminent. (For the purposes of this section the term spouse includes a person who is the same sex as the inmate, if the same-sex marriage was performed in New York State or if a same sex marriage or civil union was performed in any other jurisdiction that authorizes such marriage or union. Counsel's office may be consulted to determine whether the outside jurisdiction does authorize same-sex marriages or civil unions.);

(2) to attend a funeral of such individual; or

(3) to undergo surgery or to receive medical, mental health or dental treatment not available in the correctional institution, only if deemed absolutely necessary to the health and well-being of the inmate and where approval is granted by the commissioner or his/her designated representative. A temporary release programs medical leave of absence form 4188 must be completed and signed by the facility health services director.

(b) Community services leave.

This allows eligible inmates to be granted the privilege of leaving the premises of an institution for up to 14 hours in one day for the purpose of participation in religious services, volunteer work, in nonprofit organizations, public agencies or special community projects, athletic events or cultural events not available in the facility. A minimum score of 30 is necessary for participation on a one-day basis; however, continuous community services work on a daily basis requires a minimum score of 32.

(c) Furlough.

(1) This allows an eligible inmate to leave a facility for up to seven days:

(i) to solve family problems (family being those individuals identified in paragraph (a)(1) of this section) and maintain family ties;

(ii) to seek employment;

(iii) to seek post-release housing;

(iv) to attend a short accredited academic or vocational leave training program or class; or

(v) for rehabilitation therapy.

(2) A minimum point score of 30 is necessary for participation in the furlough program. General confinement inmates who have been previously accepted for furlough may apply only if they are eligible under the following rules:

(i) No one may take:

(a) more than 28 days in any furlough year;

(b) more than 14 days in the first six months of any furlough year; or

(c) more than seven days in any 28-day period.

(ii) No one may take a furlough longer than seven days.

(iii) The furlough year begins on the date an inmate takes his/her first furlough and ends 365 days thereafter.

(3) If the timing of the application does not conform to these guidelines, the application may be deferred from immediate consideration by the temporary release committee until he/she is time eligible.

(d) Industrial training leave.

This program allows an eligible inmate to leave a facility for up to 14 hours in any day to participate in an industrial training program. Thirty-two points are necessary for industrial training leave participation.

(e) This program allows an inmate to leave a facility for up to 14 hours in any day to attend an academic or vocational training program or class. Prior to application for educational leave, he/she must have applied to a college within commuting distance of a participating facility and must have been accepted to the academic or vocational training program or class. Thirty-two points are necessary for educational leave participation.

(f) Work release.

The work release program allows an eligible inmate to leave a facility for up to 14 hours in any day to work or for on-the-job training. Thirty-two points are necessary for work release participation.

7 CRR-NY 1900.4 Procedures for temporary release committees when considering temporary release applications {#sec-7-crr-ny-1900.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1900.4}

(a) Inmate application.

Inmates may apply for temporary release by completing a notification to temporary release committee form 4133E indicating the type of temporary release program and their reasons for applying. In cases where the inmate is incapacitated, the facility health services director or an authorized staff person may submit the application for him/her.

(b) Application process.

The offender rehabilitation coordinator (ORC) shall complete the application on the automated system.

(c) Eligibility.

The ORC shall make sure that the inmate is statutorily or otherwise eligible for temporary release.

(1) (i) An inmate must be within 24 months of possible release to community supervision (except for leaves of absence).

(ii) Under the Drug Law Reform enacted on April 7, 2009, inmates serving determinant sentences as 2nd felony drug inmates wherein one of the present convictions is a Class B felony drug offense must have a total amount in custody, including any jail time, of at least 18 months to be eligible to participate in temporary release.

(iii) Except as provided by paragraph (4) of this subdivision, an inmate's current commitment must not be the result of a conviction or a youthful offender adjudication (YO) for any of the following violent felony offenses where the crime involved either being armed with, the use of, the threatened use of, or the possession with the intent to use unlawfully against another, a deadly weapon or a dangerous instrument, or the crime involved the infliction of serious physical injury. The offender rehabilitation coordinator must submit a violent felony offense (VFO) review to central office temporary release programs for inmates where current instant offenses are of the following or YO for any of the following violent felony offenses.

| Offense | Penal Law Section | | --- | --- | | | | | Assault 2 | 120.05 | | Gang Assault 2 | 120.06 | | Gang Assault 1 | 120.07 | | Assault on a peace officer, police officer, fireman or emergency medical services professional | 120.08 | | Assault 1 | 120.10 | | Aggravated Assault upon a police officer or a peace officer | 120.11 | | Burglary 2 | 140.25 | | Burglary 1 | 140.30 | | Attempted Arson 1 | 150.20 | | Robbery 2 | 160.10 | | Robbery 1 | 160.15 | | Intimidating a victim or witness 1 | 215.17 | | Criminal Possession of a Weapon 2 | 265.03 | | Criminal Possession of a dangerous Weapon 1 | 265.04 | | Criminal Use of a Firearm 2 | 265.08 | | Criminal Use of a Firearm 1 | 265.09 |

(iv) An inmate who can provide the temporary release committee chairperson with a court-generated document or document generated by the Office of the District Attorney which establishes that his/her current commitment is for a subdivision of one of the above listed crimes which did not involve: being armed with, the use of or threatened use of, or the possession with the intent to use unlawfully against another of, a deadly weapon or a dangerous instrument or the infliction of a serious physical injury as defined in the Penal Law, shall be otherwise eligible for temporary release.

(2) (i) An inmate is ineligible if he/she has ever been convicted of the following absconding or escape offenses:OffensePenal Law SectionEscape, third degree 205.05Escape, second degree 205.1Escape, first degree 205.15Absconding, second degree 205.16Absconding, first degree 205.17Absconding from furlough 205.18Absconding from a community treatment facility205.19

(ii) Except as provided by paragraph (4) of this subdivision, if an inmate's current commitment is the result of a conviction or YO for any of the following offenses, he/she is ineligible for the program:

| Offense | Penal Law Section | | --- | --- | | | | | Criminally negligent homicide | 125.10 | | Aggravated criminally negligent homicide | 125.11 | | Vehicular manslaughter 2 | 125.12 | | Vehicular manslaughter 1 | 125.13 | | Manslaughter 2 | 125.15 | | Manslaughter 1 | 125.20 | | Aggravated manslaughter in the second degree | 125.21 | | Aggravated manslaughter in the first degree | 125.22 | | Murder 2 | 125.25 | | Aggravated murder | 125.26 | | Murder 1 | 125.27 | | Abortion 2 | 125.40 | | Abortion 1 | 125.45 | | Self-abortion in the second degree | 125.50 | | Self-abortion in the first degree | 125.55 | | Issuing abortional articles | 125.60 | | Sexual misconduct | 130.20 | | Rape 3 | 130.25 | | Rape 2 | 130.30 | | Rape 1 | 130.35 | | Criminal sexual act in the third degree | 130.40 | | Criminal sexual act in the second degree | 130.45 | | Criminal sexual act in the first degree | 130.50 | | Forcible touching | 130.52 | | Persistent sexual abuse | 130.53 | | Sexual abuse 3 | 130.55 | | Sexual abuse 2 | 130.60 | | Sexual abuse 1 | 130.65 | | Aggravated sexual abuse in the fourth degree | 130.65-A | | Aggravated sexual abuse 3 | 130.66 | | Aggravated sexual abuse 2 | 130.67 | | Aggravated sexual abuse 1 | 130.70 | | Course of sexual conduct against a child 1 | 130.75 | | Course of sexual conduct against a child 2 | 130.80 | | Female genital mutilation | 130.85 | | Facilitating a sex offense with a controlled substance | 130.90 | | Sexually motivated felony | 130.91 | | Predatory sexual assault | 130.95 | | Predatory sexual assault against a child | 130.96 | | Aggravated harassment of an employee by an inmate | 240.32 | | Incest in the third degree | 255.25 | | Incest in the second degree | 255.26 | | Incest in the first degree | 255.27 | | Use of a child in a sexual performance | 263.05 | | Promoting an obscene sexual performance by a child | 263.10 | | Possessing an obscene sexual performance by a child | 263.11 | | Promoting a sexual performance by a child | 263.15 | | Possessing a sexual performance by a child | 263.16 | | Soliciting or providing support for an act of terrorism in the second degree | 490.10 | | Soliciting or providing support for an act of terrorism in the first degree | 490.15 | | Making a terroristic threat | 490.20 | | Crime of terrorism | 490.25 | | Hindering prosecution of terrorism in the second degree | 490.30 | | Hindering prosecution of terrorism in the first degree | 490.35 | | Criminal possession of a chemical weapon or biological weapon in the third degree | 490.37 | | Criminal possession of a chemical weapon or biological weapon in the second degree | 490.40 | | Criminal possession of a chemical weapon or biological weapon in the first degree | 490.45 | | Criminal use of a chemical weapon or biological weapon in the third degree | 490.47 | | Criminal use of a chemical weapon or biological weapon in the second degree | 490.50 | | Criminal use of a chemical weapon or biological weapon in the first degree | 490.55 |

(iii) An inmate is ineligible for participation in any program of temporary release when the current crime of commitment is included in the following or the current crime of commitment is an attempt or a conspiracy to commit the crime of:

(a) an act of terrorism as defined in article 490 of the Penal Law;

(b) except as provided in paragraph 4 of this subdivision, a homicide offense as defined in article 125 of the Penal Law;

(c) a sex offense as defined in article 130 of the Penal Law;

(d) an offense involving the sexual performance of a child as defined in article 263 of the Penal Law; and

(e) incest as defined in article 255 of the Penal Law.

(3) Except as provided by paragraph (4) of this subdivision, an out-of-state conviction for any offense comparable to one listed in paragraphs (1) and (2) of this subdivision shall also be considered a bar to eligibility. Any conviction for attempt to commit an offense listed in paragraph (1) of this subdivision, other than a conviction for assault in the second degree, shall render an inmate ineligible. Any conviction for attempt to commit or conspiracy to commit an offense listed in paragraph (2) of this subdivision shall render an inmate ineligible. Additionally, subparagraphs (1)(i), (ii) and (iii) and paragraph (2) of this subdivision do not apply to inmates who were transferred to work release or residential treatment facilities on or before April 11, 1994, except, however, if such inmates are subsequently removed from either facility.

(4) Conviction for homicide or assault shall not be considered a bar to eligibility if:

(i) the victim of such homicide or assault was a member of the inmate's immediate family, i.e., the spouse, former spouse, parent, child, sibling, or any other person who regularly resides or who has resided in the household of the inmate, or had a child in common with the inmate; and

(ii) the inmate was subjected to substantial physical, sexual, or psychological abuse by the victim of such homicide or assault; and

(iii) such abuse was a substantial factor in causing the inmate to commit the homicide or assault.

(5) Unless already provided, the inmate must agree to provide a DNA sample for forensic analysis.

(6) No inmate shall be considered eligible for participation in the temporary release program if the inmate:

(i) was eligible to participate in the shock incarceration program and chose not to participate in that program; or

(ii) entered the shock incarceration program but failed to successfully complete the program for any reason other than an intervening circumstance beyond the control of the inmate.

(7) Outstanding warrants/detainers, commitments, open charges or immigration status.

(i) The offender rehabilitation coordinator shall ensure that the inmate has none of the following warrants/detainers which would bar the inmate from participation in a temporary release program:

(a) Family Court warrant (except alimony, child support or paternity);

(b) out-of-state or Federal criminal detainer;

(c) felony arrest warrant for a crime which is not barred by the statute of limitations, as provided by CPL section 30.10;

(d) misdemeanor arrest warrant for a crime committed on or after the imposition of the inmate's current sentence of imprisonment which is not barred by the statute of limitations as provided by CPL section 30.10;

(e) bench warrant;

(f) violation of probation warrant, in or out-of-state, or out-of-state parole warrant;

(g) immigration warrant;

(h) military warrant;

(i) securing order; or

(j) if there is an indication of an active warrant and the warrant has not been filed at the facility, the offender rehabilitation coordinator must initiate correspondence to the issuing agency to determine the status of the warrant. If no response is received to official departmental communication within 30 days of the request, it will be construed that the warrant in question is no longer active and is not a bar to the inmate's participation in temporary release programs.

(ii) The offender rehabilitation coordinator shall make sure that the inmate has none of the following commitments which would bar him/her from participation in temporary release:

(a) concurrent and/or consecutive commitment to a local N.Y.S. jurisdiction for a definite sentence that will have to be served in local custody upon the inmate's release from this department's custody (unless the sentencing court has indicated in writing that there is no objection to the inmate's participation in temporary release programs); or

(b) concurrent and/or consecutive out-of-state or Federal commitments, unless the other jurisdiction has paroled or released the inmate in writing, or the sentencing authority has submitted, in writing, that there is no objection to the inmate's participation in temporary release programs; or

(c) a failure to respond to official communication within 30 days will be construed as an indication that no objection exists by the sentencing authority of the inmate's participation in a temporary release program. The letter to the sentencing authority must advise them of this 30-day deadline.

(iii) All outstanding charges must be resolved, regardless if there are active warrants or not and regardless of the time frame. The following procedure will be operative:

(a) Upon identification of an outstanding felony charge that is not barred by the statute of limitations, as provided by CPL section 30.10, the offender rehabilitation coordinator shall initiate correspondence with the appropriate court in order to ascertain whether the charge is still outstanding.

(b) Upon identification of an outstanding misdemeanor charge for a crime committed on or after the imposition of the inmate's present sentence of imprisonment that is not barred by the statute of limitations as provided by CPL section 30.10, the offender rehabilitation coordinator shall initiate correspondence with the appropriate court in order to ascertain whether the charge is still outstanding.

(c) A failure to respond to official communication within 30 days shall be construed as proof that the charge is no longer outstanding. After the 30-day period has elapsed, the inmate's application is to be processed using the information readily available. Open charges for which no disposition is received are not to be counted against the inmate in determining his/her point score.

(d) Immigration status.

(1) Prior to the processing of a temporary release program application, the Department of Corrections and Community Supervision must request clarification of an alien inmate applicant's immigration status. The purpose of this inquiry is to determine the inmate's immigration status and to clarify whether Immigration and Customs Enforcement (ICE) is going to order deportation proceedings upon the inmate's release from State custody.

(2) A letter must be forwarded to ICE regarding the possibility of deportation proceedings against the inmate. A failure by ICE to respond to an inquiry within 30 days will be construed as an indication by ICE that they do not intend to initiate deportation proceedings. The letter must advise ICE of the 30-day deadline.

(3) An inmate shall be ineligible for temporary release consideration if a response from ICE:

(i) indicates deportation proceedings are underway;

(ii) indicates a show cause order for deportation; and

(iii) there is an actual ICE warrant on file.

(8) Recent serious disciplinary infraction. The offender rehabilitation coordinator shall make sure that the inmate has not, in the eight weeks prior to application, been confined in special housing, keeplocked, or subject to room/dorm restrictions for longer than 30 days, or had any recommended loss of good time. The eight-week period will be counted beginning with the first day after his/her release from disciplinary confinement or at the time of restoration of good time. Applications will not be accepted from inmates while they are in special housing, keeplock or subject to room/dorm restrictions.

(9) Absconding from a temporary release program. The offender rehabilitation coordinator shall make sure that the inmate has not been found guilty of absconding from a temporary release program since September 1, 1977. Inmates found guilty in a disciplinary proceeding of returning more than 10 hours late beyond the time they were due shall be deemed absconders and, therefore, ineligible for temporary release.

(10) (i) Time in system. Inmates under sentence for offenses as described in Correction Law, section 851.2(a), (b) and (c), shall not be permitted to participate in temporary release programs if they have not served at least six months in custody. Jail time shall be credited toward that six-month requirement (except leave of absence).

(ii) Inmates not under sentence for offenses as described in Correction Law, section 851.2(a), (b) and (c), may apply for and be permitted to participate in temporary release programs upon reception provided that a parole eligibility date is known, and that they are in all other ways eligible and qualified pursuant to the Correction Law and the rules and regulations of the temporary release program.

(iii) Return parole violators (RPV) must serve at least six months state time after their most recent return before they can apply for temporary release.

(iv) Interruptions in the serving of a sentence due to the inmate being out to court will not be counted toward the six-month custody requirement.

(11) Application timing. Anyone whose last application for temporary release has been disapproved must wait at least eight weeks from date of original disapproval before reapplication for the same type of temporary release, unless otherwise directed to wait a longer period prior to reapplication except for leave of absence.

(12) Youthful offender status. If the inmate is a youthful offender, the point system will not be used in deciding on his/her case. Youthful offenders will be treated as if they scored in the regular consideration range. The inmate will appear before the temporary release committee and the temporary release committee will make a recommendation.

(d) Notice to inmate.

(1) The offender rehabilitation coordinator shall notify the inmate via the notification to inmate form of the results of the preliminary screening. The inmate should receive specific notice of statutory ineligibility, outstanding warrants, a serious disciplinary penalty, failure to follow furlough timing guidelines, improper furlough or leave of absence purpose. If eligible, the inmate will be notified of his/her scheduled preliminary meeting with the offender rehabilitation coordinator/offender rehabilitation coordinator aide and temporary release committee appearance.

(2) If the inmate disputes any information used to determine his/her ineligibility, the inmate may request a meeting with his/her assigned offender rehabilitation coordinator.

(3) The offender rehabilitation coordinator will assist the inmate in clarifying any discrepancies with the official record.

(e) Scoring the application.

The offender rehabilitation coordinator shall score the application using the temporary release point system on the application work sheet making one copy for his/her department files and one for the inmate. The offender rehabilitation coordinator will then do the preliminary screening for those cases described in subdivision (n) of this section. There are 11 items in the point score system. Six are based on criminal history and five are based on behavior while under departmental custody. The items in the point system and the manner in which they should be scored are as follows:

(1) Criminal history.

(i) Prior incarceration(s) following adjudication, if within the last 10 years prior to his/her current incarceration the inmate has not been in jail or prison as a result of a conviction, he/she scores +1 point. If the only incarceration in the last 10 years resulted from a misdemeanor or YO adjudication, he/she scores 0 points. If he/she was incarcerated within the last 10 years for a felony adjudication, he/she scores −1 point. Sentences to time served are counted as incarceration after adjudication. (The 10-year period is counted back from the date of the current incarceration, excluding any period of incarceration in that time, in effect, extending the 10-year period by an equal amount of time.)

(ii) Prior or subsequent felony convictions.

(a) This item penalizes an inmate for felony convictions satisfied prior to his/her current incarceration and penalizes inmates for felony convictions resulting from criminal acts committed during the current period of incarceration.

(b) If the instant offense(s) is the inmate's only felony conviction within the last 10 years, he/she scores 2 points. If he/she was convicted of a felony once before in the last 10 years, he/she scores 0 points. If in addition to the current conviction(s) and one additional prior conviction, he/she had other arrests resulting in a felony conviction (including an arrest and conviction subsequent to his/her instant reception and during the present incarceration), he/she scores −2 points.

(c) If the inmate receives a felony conviction for a criminal act committed during his/her current period of incarceration and he/she has no prior felony convictions, he/she shall score no points. Two or more subsequent felony convictions will score −2 points.

(d) Where violation of probation or parole results in a new commitment(s), the felony on which the inmate was convicted resulting in that probation or parole, will be counted, for point score purposes, as a prior felony conviction(s). (The 10-year period is counted back from the date of the current incarceration, excluding any period of incarceration in that time, in effect, extending the 10-year period by an equal amount of time.)

(iii) Prior or subsequent misdemeanor convictions.

(a) This item penalizes an inmate for misdemeanor convictions satisfied prior to his/her current incarceration and penalizes the inmate for misdemeanor convictions resulting from criminal acts committed during the current period of incarceration.

(b) If the inmate has not been convicted of a misdemeanor within the last 10 years, he/she scores +1 point. He/she scores no points if he/she has been convicted of three or fewer misdemeanors in the last 10 years (including arrests and convictions subsequent to his/her instant reception and during the present incarceration). If he/she has been convicted of four or more misdemeanors within the past 10 years, (including arrests and convictions subsequent to his/her instant reception and during the present incarceration), he/she scores −1 point.

(c) If the inmate receives a misdemeanor conviction for a criminal act committed during his/her current period of incarceration and he/she has no prior misdemeanor convictions, he/she shall score no points. Misdemeanor convictions resulting from acts committed during the present incarceration are counted the same as prior convictions. (The 10-year period is counted back from the date of the current incarceration, excluding any period of incarceration in that time, in effect, extending the 10-year period by an equal amount of time.)

(iv) Outstanding warrants at time of or subsequent date of commitment. (+2 points if none, 0 points if 1 or more.) If an inmate had any outstanding criminal warrants at the time of his/her incarceration or had any lodged after he/she was incarcerated, he/she gets no points. He/she gets 2 points if he/she had no outstanding criminal warrants. Alimony, child support or paternity warrants and warrants which the inmate can show were cleared solely for lack of evidence or solely due to mistaken identity shall not be counted. Those New York State parole violators returned to custody are scored as having no New York State parole warrants pending.

(v) Previous arrest and conviction or revocation while on parole or probation in last 10 years (or subsequent to commitment date of current incarceration) if resulting from abscondance, rearrest or technical violation (+2 points if none, 0 points if one or more). (The 10-year period is counted back from the date of the current incarceration, excluding any period of incarceration in that time, in effect, extending the 10-year period by an equal amount of time.) If within the last 10 years, the inmate never had parole or probation revoked because of arrest, absconding or technical violation, he/she get 2 points. Otherwise, he/she gets no points. It is presumed in the absence of a formal revocation proceeding that parole or probation has been revoked following rearrest and conviction, or absconding.

(vi) Nature of prior, current and subsequent convictions of crimes against the person within the last 10 years or subsequent to date of commitment of current incarceration (−6 points as noted below; −4 points as noted below; −2 points as noted below; 0 points if crime is not listed below or is an attempt of a crime not listed below. The 10-year period is counted back from the date of current incarceration, excluding any period of incarceration in that time, in effect, extending the 10-year period by an equal amount of time.

(a) In this item, the more serious the crime against the person, the more points the inmate loses. Attempted crimes will be included in the same categories as completed crimes.

(b) The inmate will lose 6 points if he/she has been convicted of any of the following crimes within the last 10 years (Temporary Release Category 1):

| Offense | Penal Law Section | | --- | --- | | | | | Murder in 1st degree | Section 125.27 | | Murder in 2nd degree | Section 125.25 | | Kidnapping 1st degree | Section 135.25 | | Kidnapping 2nd degree | Section 135.20 | | Rape in 1st degree | Section 130.35 | | Rape in 2nd degree | Section 130.30 | | Rape in 3rd degree | Section 130.25 | | Sodomy in 1st degree | Section 130.50 | | Sodomy in 2nd degree | Section 130.45 | | Sodomy in 3rd degree | Section 130.40 | | Sexual abuse 1st degree | Section 130.65 | | Incest | Section 255.25 | | Use of child in sexual performance | Section 263.05 | | Promoting an obscene sexual performance by a child | Section 263.10 | | Promoting a sexual performance by a child | Section 263.15 |

(c) He/she will lose 4 points if he/she has ever been convicted of any of the following offenses within the last 10 years (Temporary Release Category 2):

| Offense | Penal Law Section | | --- | --- | | | | | Assault 1st degree | Section 120.10 | | Manslaughter 1st degree | Section 125.20 | | Manslaughter 2nd degree | Section 125.15 | | Arson 1st degree | Section 150.20 | | Arson 2nd degree | Section 150.15 | | Burglary 1st degree | Section 140.30 | | Robbery 1st degree | Section 160.15 | | Sexual misconduct | Section 130.20 | | Sexual abuse 2nd degree | Section 130.60 | | Sexual abuse 3rd degree | Section 130.55 | | Endangering the welfare of a child | Section 260.10 |

(d) He/she will lose 2 points if he/she has ever been convicted of any of the following crimes within the last 10 years (Temporary Release History Category 3):

| Offense | Penal Law Section | | --- | --- | | | | | Criminal trespass 1st degree | Section 140.17 | | Robbery 2nd degree | Section 160.10 | | Robbery 3rd degree | Section 160.05 | | Criminally negligent homicide | Section 125.10 | | Assault 2nd degree | Section 120.05 | | Assault 3rd degree | Section 120.00 | | Firearms and other dangerous weapons | Sections 265.01- 265.15 | | Menacing | Section 120.15 | | Reckless endangerment 1st degree | Section 120.25 | | Unlawful imprisonment | Section 135.10 | | Coercion 1st degree | Section 135.65 | | Riot 1st degree | Section 240.06 | | Arson 3rd degree | Section 150.10 | | Arson 4th degree | Section 150.05 | | Vehicular assault | Section 120.03 | | Vehicular manslaughter | Section 125.12 |

(e) Crimes not listed above are Temporary Release History Category 4. He/she will not gain nor lose points for this category.

(f) If an inmate has ever been convicted of more than one of these crimes, he/she is to be scored according to his/her most serious crime. For instance, if he/she has been convicted of manslaughter and second degree robbery, he/she would lose 4 points.

(g) Youthful offender adjudicated offenses will not be considered in this item if the adjudication falls within the 10-year rule.

(2) (i) Institutional behavior. Program participation I (maximum 16 points). Participation months are used to calculate this score.(a) Participation month. A 30-day period of regular participation in either a program or work assignment within the two years prior to application. An inmate must participate in at least one segment of a day, five days per week, four weeks a month. The three segments of the participation day are morning, afternoon and evening.(b) Points. An inmate can earn up to 16 points for participating in programs and/or work assignments during the two years immediately prior to his/her application as follows:(1) Up to two points may be accumulated for each three month period the inmate participates in either a work assignment (1 point) and/or program participation (1 point).(2) Inmates in involuntary protective custody (IPC) who have not had an opportunity to participate in programs shall be awarded 1 point for every six months spent in IPC during the two years immediately prior to his/her application.

(ii) Program participation II (maximum 1 point). An inmate may earn this point by accumulating eight months of participation in a program or work assignment for the period of 25-36 months prior to application. An inmate can earn 1 point by getting eight months credit for participation in programs or work assignment in the period 25-36 months prior to his/her application. He/she cannot earn this point unless he/she has been incarcerated for more than 24 months.

(iii) Discipline I (maximum 4 points) (+1 point if 0 disciplinary proceeding decisions in the last three months imposing a loss of any privileges for 14 days or more, or any term of special housing or keeplock; +1 point if one or fewer disciplinary proceeding decisions imposing such penalties in the last six months; +1 point if two or fewer disciplinary proceeding decisions imposing such penalties in the last nine months; +1 point if three or fewer disciplinary proceeding decisions imposing such penalties in the last 12 months. Good time lost will be equated to keeplock for point-scoring purpose). In this subparagraph an inmate can earn up to 4 points. He/she can earn a point for having a good disciplinary record over the last three months, another point for having a good record over the last six months, another point for having a good record over the last 9 months, and a fourth point for having a good record over the last year. Therefore, it is possible to score 0, 1, 2, 3, or 4 points on this item. An inmate gets 1 point for having no counted disciplinary proceedings in the last three months, another point for having one or fewer counted proceedings over the last six months, another point for having two or fewer counted proceedings over the last nine months, and another point for having three or fewer counted proceedings over the last 12 months. Only disciplinary proceedings resulting in penalties of room/dorm restrictions, keeplock or special housing, or 14 days or more loss of privileges are counted for the purposes of this item.

(iv) Discipline II (maximum 1 point). (+1 point if three or fewer disciplinary proceedings decisions imposing any term of special housing or decisions imposing any term of special housing or keeplock, or a loss of any privilege for 14 days or more in the period 12-24 months prior to application, provided that the inmate has been incarcerated at least 24 consecutive months in a New York State Department of Corrections and Community Supervision facility at the time of application; 0 points if four or more). An inmate can earn 1 point on this item if he/she has been incarcerated for at least 24 months and if during the period 12-24 months prior to application he/she had three or fewer disciplinary proceedings resulting in any penalty of special housing or keeplock, room/dorm restrictions or in a loss of privileges for 14 days or more.

(v) Temporary release record.

(a) (−6 points if convicted of a crime while on temporary release within the last year; −3 points if removed from work release or educational leave for disciplinary reasons other than rearrest within the last year; −3 points if convicted while on temporary release within the period 13-24 months prior to application; −2 points if within the last six months returned late or under the influence of drugs or alcohol or violated any temporary release program rules other than by rearrest or by disciplinary removals specified above; +2 points if most recent unescorted participation on temporary release was successful and occurred during the past year; or +4 points if the two most recent unescorted participations on temporary release were successful and occurred during the past year; 0 points if none of the above).

(b) This subparagraph gives an inmate points if he/she has been out successfully on temporary release. It takes away points if he/she was out on temporary release and violated the conditions of his/her release. He/she gets no points if he/she has never been out on unescorted temporary release. This item applies only to temporary release participation during the current period of incarceration. A returned parole violator' s term of incarceration is deemed to begin on the date of his/her latest return as a parole violator.

(c) If his/her most recent unescorted participation in temporary release was a success and took place in the last year during his/her current incarceration, he/she gets 2 points. If the two most recent participations on temporary release were a success and took place in the last year during his/her current incarceration, he/she gets 4 points. He/she gets no points if it took place more than one year ago or was an escorted or a supervised group activity, or if he/she has had his/her parole revoked since his/her last successful participation in temporary release.

(d) Under the new temporary release law, effective September 1, 1977, anyone who, after disciplinary proceedings, has been found to be an absconder shall be ineligible for participation in temporary release.

(e) He/she will lose 3 points if during the last year he/she has been removed from a work or educational release program for reasons other than rearrest.

(f) He/she will lose 2 points if within the last six months he/she has violated any temporary release program rules other than by rearrest or by disciplinary removals specified above.

(g) If any of these violations took place over six months ago, he/she loses no points. In figuring out the point score for this item an inmate may lose points on some things and gain some on others. For instance, if he/she was removed from work release for reasons other than rearrest or absconding 10 months ago, he/she would lose 3 points. But if the last furlough six months ago was a success, he/she would gain 2 points. His/her overall point score for subparagraph (ii) of this paragraph is −1 (−3 + [+2]) = −1.

(3) Total score.

(i) After each individual has been scored, the number of points is totaled. A standard adjustment, +26 points, is added to that total to assure the final score is not negative.

(ii) There are five scoring ranges: low-denied, low-open date (O.D.), low probation eligible, nonstatutory high, and refer to temporary release committee. Low-denied scores cannot be accepted into temporary release programs. Other scores will be referred to the temporary release committee for recommendation.

(f) Schedule inmate meeting.

If the preliminary review reveals that the inmate is eligible for temporary release, the offender rehabilitation coordinator will notify the inmate of the scheduled temporary release committee appearance.

(1) At the first temporary release committee meeting, the inmate’s appearance is mandatory.

(2) For subsequent applications for the same type temporary release program, the offender rehabilitation coordinator must advise the inmate that he/she may waive the right to appear before the temporary release committee in writing.

(3) For incapacitated inmates, the appearance before the temporary release committee may be waived.

(g) Offender rehabilitation coordinator/offender rehabilitation coordinator aide meets with inmate.

It is mandatory for the offender rehabilitation coordinator/offender rehabilitation coordinator aide to meet with the inmate to discuss his/her application eligibility or ineligibility. Inmates who score in the low range must be informed. After scoring the application and preliminary screening for review categories, the ORC shall meet with the inmate to explain how the application was scored and the range into which he/she falls. Possible inclusion in a central monitoring case category, statutory review or special review category shall be noted, where necessary. Any disputes about information used to score the application must be documented by the offender rehabilitation coordinator.

(h) Verification.

(1) If there is no indication in the files that information is inaccurate, the offender rehabilitation coordinator shall require the inmate to provide some proof that the information in the file is inaccurate. The offender rehabilitation coordinator will assist the inmate to clarify any discrepancies in the official record. The inmate will be referred to Freedom of Information Act procedures regarding access to inmate files. At the close of the interview, the offender rehabilitation coordinator shall give the inmate a copy of the application work sheet/point score.

(2) To confirm an inmate's eligibility pursuant to paragraph (c)(4) of this section, the offender rehabilitation coordinator shall:

(i) review all available inmate records to determine if official documentation exists to verify that the inmate was subjected to substantial physical, sexual, or psychological abuse, committed by the victim, and that such abuse was a substantial factor in causing the inmate to commit the crime. This documentation may include, but is not limited to, witness statements, social service records, hospital records, and law enforcement records, and a showing based in part on documentation prepared at or near the time of the commission of the offense or the prosecution thereof tending to support the inmate's claim; and

(ii) send letters to the prosecuting district attorney and the sentencing court requesting opinions on the inmate's claim of eligibility for temporary release pursuant to subdivision (c) of this section and advising that responses will be taken into consideration if received within 45 days.

(i) Determination of official score.

After the interview, the inmate has two work days to challenge information used in the point score. At the end of that time, if the inmate has not challenged the scoring, or as soon as all disputes have been reviewed, the offender rehabilitation coordinator shall refer the scored application to the temporary release committee chairperson.

(j) Temporary release committee chairperson reviews.

The temporary release committee chairperson must review all applications for eligibility including central monitoring cases (CMC), special reviews and statutory status. The chairperson will then review the score which becomes official upon his/her approval. He/she will also check the file to determine possible low-point status or possible inclusion in CMC, statutory review or special review categories.

(1) A low-point inmate who would not normally be considered for temporary release because he/she scores in the low range, may be considered for release by the temporary release committee if one of the following conditions applies:

(i) he/she has been given an O.D. (community preparation open date) status by the parole board and central office approval has been obtained;

(ii) he/she is a graduate of the shock incarceration program;

(iii) he/she is a graduate of the CASAT annex program;

(iv) he/she is a first felony offender who legally would have been eligible to receive a sentence of probation instead of the sentence of imprisonment that was actually imposed: probation eligible.

(2) Youthful offenders. Point score cannot be used in determining the case if the inmate is a youthful offender.

(3) The chairperson will then schedule an interview for all inmates scoring in the regular consideration range, low probation eligible range or low-O.D. range. Notice of hearing forms will be prepared and sent out by the chairperson.

(4) Only in the case of furlough application, where an inmate has a high point score of 40 or more and the inmate is not serving a sentence for crimes described in section 851(2); are not designated as a CMC; are not low O.D. cases; are not low probation eligible cases and are not cases which fall into the special review or statutory categories, the temporary release committee does not make a recommendation. The application will automatically be forwarded by the temporary release committee to the superintendent for approval or denial recommendation.

(k) Notification of official score.

Inmates shall be notified of their official point score, the range into which it falls, and any scheduled appearance before the temporary release committee via the notification to inmate form.

(l) Inmate appearance before the temporary release committee.

(1) The temporary release committee will schedule a personal interview with all initial applications. This appearance may be waived for incapacitated inmates.

(2) The temporary release committee must inform the inmate of inclusion of statutory review, CMC or special review categories and must inform the inmate of his/her point score.

(3) After meeting the inmate, the temporary release committee will make a recommendation regarding the inmate’s suitability as a candidate for temporary release programs.

(4) The committee’s recommendation must be made at a meeting of the full committee and approved.

(5) A recommendation must be approved by a majority vote of all three committee members. In making its recommendation, the committee should center its attention on the inmate's score on the 11 items in the point-scoring system and on their interview with the inmate as well as the other methods of evaluating inmates, including recommendations by staff. Committee members may also take note of those aspects of the applicant's record not formally taken into account by the point system, such as the quality of the inmate's performance in programs or on work assignment, performance in other correction systems where concurrent sentence has been served and where information is available, or the nature of prior disciplinary infractions. The committee shall also take into account any factors, besides the items in the point system, which, in their best judgment, they find significant. In general, the applicant's ability to profit from participation in temporary release should be weighed against whatever risk to the community or to the integrity of the program that would be posed by his/her participation in a temporary release program.

(6) Review of the inmate folder. When examining the folder, the committee should review the crime and determine the circumstances involved in the instant offense. If it is a crime of violence against a person, the degree of aggressiveness involved and whether it resulted in serious physical injury to any party, or involved the use of or threat of use of a weapon should be established. The presentence and sentencing documents should be considered in determining the circumstances of the crime.

(7) Standard for referral. Inmates should not be recommended for temporary release programs if their presence in the community or in a temporary release program would pose an unwarranted threat to their own or public safety, if public reaction is such that the inmate's successful participation in the program would be made difficult, if public acceptance of the temporary release program would be jeopardized, or if there is substantial evidence to indicate the inmate cannot successfully complete his/her requested temporary release program.

(8) New case information. If at any stage in the recommendation process, new or additional information in the case becomes available, the temporary release committee shall review that information to determine if it could affect the recommendation made by the temporary release committee. The temporary release committee chairperson shall determine if the temporary release committee should review that new information, meet with the inmate and render an official updated decision. That information will be conveyed to central office.

(m) All recommendations by the temporary release committee will be forwarded to the superintendent accompanied by any supporting documentation. The superintendent shall review the application and supporting documentation prior to submitting his/her recommendation to the office of temporary release programs.

(n) Referral to central office.

All applications must be referred to central office for review and decision.

(1) Statutory review categories. Instant offenses involving the possession, use or threatened use of a weapon; a case resulting in prolonged physical injury, disability or death of the victim; a sexual offense by forcible compulsion. Final approval for statutory review cases rests with the commissioner or designee. Serious physical injury means physical injury which creates a substantial risk of death, injury which causes death, or injury which causes serious and protracted impairment of health or protracted loss or impairment of the function of any body organ.

(2) Central monitoring cases (CMC). A CMC case must also be approved by the commissioner or his/her designee.

(3) Low-open date (O.D.) and low probation eligible (P.E.) cases must be approved by the commissioner or his/her designee.

(4) Special review categories. While the commissioner need not approve special review cases, the director of temporary release or designee will make the final determination.

(i) any prior or instant arson-related convictions;

(ii) prior or instant sex-related felonies;

(iii) any convictions for conspiracy, criminal facilitation or criminal solicitation, involving cases which would normally be considered "statutory" in nature;

(iv) cases with three or more felony convictions, including any YO adjudications or felony offenses;

(v) prior parole violations and/or prior temporary release program violations or removals;

(vi) a mental health history includes one or more of the following factors:

(a) prior hospitalization for mental illness, including treatment in a military hospital;

(b) a prior suicide attempt;

(c) prior referral to a hospital or institutional unit for psychiatric diagnosis and evaluation;

(d) any contraindications noted by mental hygiene staff;

(e) a history of out-patient services;

(vii) any kidnapping convictions; and

(viii) if the victim(s) or bystander(s) as a result of the instant offense (I.O.) incurred physical injury and the I.O. is not already statutory review.

(5) Applications whose eligibility was established pursuant to paragraph (c)(4) of this section. Copies of official documentation used to verify the abuse, and letters sent the district attorney and the sentencing court and responses, if any, shall be transmitted to central office temporary release at the same time as the application. Any responses received after 45 days shall be immediately transmitted to central office temporary release.

(6) Under no circumstances shall any temporary release application for inmates within the aforementioned categories be deemed approved without central office approval.

7 CRR-NY 1900.5 Central office review procedures and policies {#sec-7-crr-ny-1900.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1900.5}

Director, temporary release programs.

(a) Upon receipt by central office of a temporary release application form, inmates within the aforementioned central office review categories, the director of temporary release programs and his staff shall review requests, and when he or a member of his staff concurs with the decision of the temporary release committee and the superintendent, he, when applicable, shall transmit that application to the commissioner who shall then review the application in accordance with the procedure hereinafter described in this directive.

(b) When statutory applications are approvable by the central office reviewer, he shall transmit to the commissioner the summary prepared by the temporary release committee, the superintendent's endorsement, the criminal history summary, the temporary release decision guidelines, and the recommendation of the central office staff.

(c) Statutory and special review cases shall require central office temporary release program staff to not only review each application to assure compliance with program guidelines and policy, but such monitoring shall be a review of the file to determine that the release decision is consistent with the welfare of the inmate, the safety of the community, and the general purposes of section 851 of the Correction Law. Where the review by central office temporary release program staff reveals a lack of compliance with the guidelines or that the decision to permit the inmate to participate in a temporary release program is inconsistent with the welfare of the inmate, the safety of the community, or the general purpose of section 851 of the Correction Law, the application shall be disapproved. Such disapprovals shall be appealable in accordance with the relevant provisions provided for in section 1900.6 of this Part.

7 CRR-NY 1900.6 Appeal process {#sec-7-crr-ny-1900.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1900.6}

(a) An inmate may appeal the following kinds of negative decisions:

(1) point scores;

(2) decision of the superintendent;

(3) decision of TRC (including presumptive CASAT); and

(4) decision of central office reviewer.

(b) Inmates with a low-point score can only appeal the scoring of their applications to central office.

Inmates with a low-point score and who have received an open date may appeal the scoring of their application to central office. Inmates with a low-point score and an open date who have been referred to the TRC can appeal on grounds paragraphs (1) and (3) of this subdivision, provided each ground is relevant to the case. An inmate may appeal a denial by the superintendent under paragraph (a)(2) of this section, by submitting form 4145 and any pertinent information to the director of central office temporary release programs. An inmate has 10 working days from the date of the notice of denial to submit his or her intent to appeal a decision of the superintendent. A perfected appeal must be received within 30 days of the date of notice of denial by the superintendent.

(c) Paragraph (a)(3) of this section will be used by inmates who have been approved by the TRC and then turned down by the office of temporary release programs on central office review. Inmates may petition to have their applications reconsidered by the director if they think the disapproval was unfair or unreasonable. However, a disapproval by the commissioner of the department, or his designee, cannot be appealed.

(d) Inmates may appeal decisions of the TRC by submitting form 4145 and any pertinent information to the director of central office temporary release programs. An inmate has 10 working days from the date of the notice of denial to submit his intent to appeal a decision of the TRC. A perfected appeal must be received within 30 days of the disapproval decision. If at the end of the 10-day period, no intent to appeal has been indicated, the central office reviewer shall assume no appeal will be taken. Appeals for LOA, furloughs, and CASAT should be accompanied with a copy of the TRC and superintendent's denial decision, and any other pertinent information. The central office reviewer will notify the inmate and the TRC of its findings on the notice of results of appeal form.

(e) Appeals of a designation as a central monitoring case (CMC) must be made in accordance with existing departmental policy. The CMC designation appeals are not handled by central office temporary release staff.

(f) A subsequent application for the same requested program will not be considered until the appeal process on the prior application is complete. An inmate may withdraw a pending appeal, in writing, at any time.

7 CRR-NY 1900.10 [Repealed] {#sec-7-crr-ny-1900.10 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1900.10}

7 CRR-NY 1900.15 [Repealed] {#sec-7-crr-ny-1900.15 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1900.15}

7 CRR-NY 1900.20 [Repealed] {#sec-7-crr-ny-1900.20 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1900.20}

Part 1901 SHORT-TERM TEMPORARY RELEASE PROGRAMS

7 CRR-NY 1901.1 Criteria for participation in short-term temporary release {#sec-7-crr-ny-1901.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1901.1}

The following section contains the criteria for participation in the three types of short-term temporary release programs, leave of absence, community services programs and furlough. Each program is individually handled. However, it is also necessary to refer to other sections in this Part to properly process each individual case.

(a) Leave of absence program.

Any inmate may apply for this program, regardless of time criteria, as long as all other eligibility requirements are satisfied. The point score must, however, be at least 30. A leave of absence lets the inmate leave an institution to visit his/her spouse, child, brother, sister, grandchild, parent (natural or legally adoptive), grandparent or ancestral aunt or uncle during his or her last illness if death appears to be imminent; to attend the funeral of such individual, or to undergo surgery or to receive medical or dental treatment not available in a correctional institution only if deemed absolutely necessary to the health and well-being of the inmate and where approval is granted by the commissioner or his designee. A temporary release committee form 4188 must be completed and signed by the facility health services director in the last instance.

(1) Deathbed/funeral visit. One deathbed visit may be granted for each terminally ill relative. If one escorted visit has been previously granted, no leave of absence can be considered.

(i) During normal working hours.

(a) Upon receipt of the inmate's application, the temporary release committee chairperson shall verify the facts of the case. A leave of absence can be granted to inmates who wish to visit their spouse, child, brother, sister, grandchild, parent (natural or legally adoptive), grandparent or ancestral aunt or uncle only. (For the purposes of this section the term spouse includes a person who is the same sex as the inmate, if the same-sex marriage was performed in New York State or if a same sex marriage or civil union was performed in any other jurisdiction that authorizes such marriage or union. Counsel's office may be consulted to determine whether the outside jurisdiction does authorize same-sex marriages or civil unions.) For a deathbed visit, it is necessary that the temporary release committee chairperson contact the patient's doctor or a hospital administrator directly in order to verify the patient's medical condition and to ascertain if death is imminent. The chairperson must also verify the name, address and telephone number of the hospital and attending physician along with any other facts necessary to consider this case.

(b) For a funeral visit, it is necessary that the temporary release committee chairperson contact the funeral home director to verify the death and to ascertain the dates, times and addresses of the wake, funeral and interment.

(c) The temporary release committee then meets to render a decision. If approved by the temporary release committee, the superintendent's approval is then required. Central office review cases will need the required approval as outlined in section 1900.4(n) of this Title.

(d) The inmate will be granted only the length of time necessary to accomplish the purpose of the leave.

(e) Only with the commissioner's approval will out-of-state leaves of absence be allowed, and only for deathbed or funeral visits only for those relatives listed in subdivision (a) of this section.

(ii) Weekends or nights. If the temporary release committee chairperson or the temporary release interviewer are not available, the superintendent, acting superintendent, or officer of the day should be contacted directly. The superintendent of such facility alone will decide on those cases which do not require central office review, whether to let the inmate go out and whether the inmate will be escorted or unescorted. He may use whatever information he has available in making a decision, including the point system. However, central office review cases will need the required approval as outlined in section 1900.4(n) of this Title.

(2) Medical/dental. A leave of absence for this purpose will be granted only for surgery or to receive medical treatment not available in a correctional institution only if deemed absolutely necessary to the health and well-being of the inmate and where approval is granted by the commissioner or his designee.

(i) All inmates applying for a leave of absence for the purposes of obtaining dental or medical treatment must be willing to obtain such treatment within the county where the facility is located or in a city or town located within 30 miles of the facility.

(ii) Upon request of an inmate who is approved for dental or medical leave, a list of three dentists or doctors will be provided to him from which to choose in those cases where the inmate does not have his own dentist or doctor within the radius or area as stated in subparagraph (i) of this paragraph.

(iii) If the specific type of treatment required is not available in the nearby area, the facility medical officer shall report in writing that required treatment is not available nearby. The report must also specifically state the area in which treatment can be obtained by the inmate.

(iv) All medical or dental leaves of absence more than one day in duration, even when not a central office review case, must be approved by the director of temporary release programs.

(v) The following steps must be followed by temporary release committee chairpersons prior to an inmate being granted a leave of absence for the purposes of obtaining dental or medical treatment in the community:

(a) Obtain a temporary release committee form 4188 completed and signed by the facilty health services director.

(b) Obtain a detailed treatment plan that delineates the expected number of visits required to accomplish the objective and specific treatment to be provided during each visit.

(c) Arrange for examination by the facility dentist or physician following each visit to the outside practitioner to ensure the treatment has been performed. Leaves of absence on consecutive days should not be granted as a rule, unless it is possible for the facility to make the above-mentioned examinations after each visit.

(d) The inmate's bounds of confinement must state that he will proceed directly to the dentist's or physician's office upon release and return directly to the facility upon completion of the office visits.

(e) Ensure that leaves of absence granted for dental or medical treatment are never more than a reasonable number of hours within a single day, with the inmate leaving the facility and returning on the same day unless a leave of more than one day is determined necessary by the facility dentist or medical officer. In such cases where more than one day is deemed necessary, final approval must be obtained from the director of temporary release programs.

(b) Community services program (volunteer work).

(1) The temporary release statute permits eligible inmates to engage in volunteer work in the community for a period not exceeding 14 hours in any day. Such volunteer work should be confined to nonprofit organizations or public agencies (e.g., hospitals, service clubs, special community projects, etc.) that have established volunteer service programs with a definite job description outlining the duties and responsibilities of a volunteer.

(2) Inmates should not be used to solicit funds even though a given agency may use volunteers for this program. Under no circumstances is an inmate volunteer to replace a paid employee or otherwise fill a position that may be occupied by a paid worker.

(3) Volunteers may receive from their sponsors, where appropriate, a uniform, meals, and a modest allowance for out-of-pocket expenses with the knowledge and permission of the temporary release committee chairperson. As a rule, however, participants in a volunteer work program will receive an allowance from facility temporary release program appropriations. The allowances will be equivalent to the highest incentive allowance granted to an inmate, i.e., grade four, step four (currently $1.15 plus one dollar which will total $2.15).

(4) At an institution designated a work release facility, the work release parole officer will assume responsibility for supervision of the inmate volunteer worker in the community. At all other facilities, arrangements must be made for appropriate parole supervision in the community before any volunteer program is approved.

(5) If there are any questions about the legitimacy of a volunteer program proposal for any inmate, or if assistance is required to arrange for community supervision, the matter should be referred to the director of temporary release programs.

(6) Religious services participation under this title is permitted for eligible inmates only when the services are not available within the facility.

(7) Participation in athletic and cultural events is permitted provided those events are not available in the facility.

(8) No out-of-state community services program requests will be approved.

(c) Furlough program.

Furlough program means a program under which eligible inmates may be granted the privilege of leaving the premises of an institution for a period not exceeding seven days for the purpose of maintaining family ties, solving family problems, seeking post-release housing, seeking employment, attending a short-term educational or vocational training course, or for any matter necessary to the furtherance of any such purpose. No out-of-state furloughs will be approved.

(1) Types of furlough.

(i) One-day furlough. A one-day furlough allows the inmate to leave the institution for up to 14 hours in any 24-hour period for the purposes listed in paragraph (2) of this subdivision.

(ii) Extended furlough. An extended furlough is a furlough for more than one day, not exceeding seven days for the purposes listed in paragraph (2) of this subdivision.

(2) Furlough purpose. Furloughs may be granted for only the following purposes:

(i) Family-tie furlough. A family-tie furlough is for the purpose of maintaining family ties and/or solving family problems.

(a) An approved residence is required for a one-day or an extended family tie furlough. The residence must be one of the following:

(1) blood relative;

(2) verifiable guardian;

(3) spouse (see clause [a][1][(i][a] of this section for the scope of the term);

(4) common law spouse where the relationship had existed for more than one year before incarceration.

(b) For an inmate whose family resides out-of-state, the inmate may request facility temporary release committee and central office approval of a transient location (motel, hotel, private home, etc.) within the State of New York.

(c) Where inmates from different facilities request furloughs at the same time to the same residence based upon their familiar relationships, the superintendent of both facilities must consent to simultaneous furloughs. The temporary release committee chairperson is responsible to inquire of the inmate to be furloughed whether any family member or anyone else will be furloughed to that address simultaneously.

(ii) Job-search furlough. A job-search furlough is for the purpose of seeking employment to prepare for the inmate's release to the community.

(a) There is no residence requirement for a one-day job-search furlough.

(b) For an extended job-search furlough, an inmate may be allowed to furlough to an approved residence listed in clause (i)(a) of this paragraph or, if such approved residence is not available, may instead be allowed to furlough to a legal and verifiable residence provided, however, that such residence is not also a publicly funded premises utilized for members of the general public requiring temporary housing.

(iii) Post-release housing furlough. A post-release housing furlough is for the purpose of seeking housing to prepare for the inmate's return to the community.

(a) There is no residence requirement for a one-day furlough.

(b) For an extended post-release housing search furlough, the imate may be allowed to furlough to an approved residence listed in clause (i)(a) of this paragraph, or if such approved residence is not available, may instead be allowed to furlough to a legal and verifiable residence, provided, however, that such residence is not also a publicly funded premises utilized for members of the general public requiring temporary housing.

(iv) Short-term educational/vocational training course furlough. A short-term educational/vocational training course furlough includes both a rehabilitation therapy furlough for the purpose of attending a rehabilitation therapy program and educational/vocational furlough for the purpose of attending a short-term noncontinuous educational course/program.

(a) Rehabilitation therapy furlough. Such a furlough is for the purpose of permitting an inmate to attend an outside alcohol/substance abuse therapy program, Gambler's Anonymous or for any matter necessary to the furtherance of any such purposes.

(1) A rehabilitation therapy furlough is a one-day furlough only. There is no extended furlough.

(2) There is no residence requirement.

(b) Education furlough. Such a furlough could be for the purpose of taking an examination for entrance to an education institution, attending an education conference, short course or seminar.

(1) Educational furlough purpose and residence require central office approval.

(2) An educational furlough may be a one-day or an extended furlough final approval will be made by central office.

(3) Furlough timing guidelines.

(i) Application timing. See section 1900.4(c)(9) of this Title.

(ii) Holiday scheduling. Due to the increase in holiday applications, the director of temporary release programs shall promulgate a schedule which will require inmates to submit applications for furlough during holiday periods, specifically Christmas and Thanksgiving, at dates sufficiently in advance of each holiday to allow for completion of the process as described in the rules and regulations, and in sufficient time to notify the inmates of the decisions prior to such holiday. This procedure may require that some furlough applications be approved well before the effective date of furlough.

(iii) Furlough timing. All general confinement inmates must meet the following timing requirements:

(a) No inmate may take:

(1) more than 28 days in any furlough year;

(2) more than 14 days in the first six months of any furlough year;

(3) more than 7 days in any 28-day period; or

(4) a furlough longer than seven days.

(b) The furlough year begins on the date an inmate takes his first furlough and ends 365/366 days thereafter.

(c) Furlough timing does not apply to short educational/vocational training course furloughs or job-search furloughs with the exception of subclause (a)(4) of this subparagraph.

(d) Approval contingencies.

(1) All furlough approvals made by the temporary release committee for nonstatutory cases and by central office for special review and statutory cases shall be considered continuous, unless otherwise stated in the decision. After the initial furlough, subsequent furlough requests shall be scheduled by the superintendent or his designee and need only be approved as to the qualification of the inmate by the facility temporary release committee unless the case status changes as outlined in this subdivision. Under the situations described in this subdivision, recission is mandatory.

(2) Approval to participate in any type of temporary release program is a conditional approval until such time as participation has commenced. Approval is contingent upon the inmate's continuing good behavior from the time the conditional approval is granted until the time the inmate begins each period of temporary release. The inmate will be notified, in writing, of the above conditions at the same time he is notified of an approval.

(3) Conditional approval shall be rescinded by a change in the inmate's disciplinary record as indicated by imposition of a penalty at a disciplinary hearing or a superintendent's hearing, by a deterioration in the inmate's program participation or upon receipt of significant and adverse information not available when the inmate was originally approved for temporary release participation.

(4) In those cases where the conditional approval is rescinded the inmate's de novo application may be resubmitted immediately except as noted in section 1900.4(c)(5) of this Title.

(5) If the conditional approval is rescinded as noted above, the superintendent must, in writing, notify the inmate and the director of temporary release programs clearly stating the reason(s) for rescission.

(6) In the event that an inmate's eligibility for temporary release as defined in section 851 of the Correction Law, changes, subsequent applications for temporary release shall be processed de novo.

(7) An inmate pending transfer to a work release or educational release program/facility after central office approval shall be eligible for furlough from the transferring facility. The superintendent and temporary release committee of the transferring facility, with discretion, shall utilize this furlough approval to appropriately maintain the efficient and orderly operation of the transferring facility.

(8) Approval by the commissioner for work or educational release shall be deemed to be approval for assignment to a work or educational release facility and approval for furlough from such facility. The superintendent of such facility may, however, at his discretion elect to postpone furlough as he feels is most appropriate to achieve the efficient and orderly operation of such facility.

(9) If approved for furlough only, the inmate is not approved for any other temporary release programs. However, approval for continuous temporary release programs also implies approval for all other temporary release programs at the discretion of the temporary release committee and the facility superintendent.

7 CRR-NY 1901.2 Procedures for the operation of short-term temporary release {#sec-7-crr-ny-1901.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1901.2}

This following section describes the procedures necessary for the successful operation of the short-term temporary release programs.

(a) Before release.

(1) Notification to inmates. Inmates shall be notified of the final decision as soon as it is known so that the inmate may make any further arrangements necessary to successfully complete a temporary release program.

(2) Parole field investigations. Field investigations shall be requested for those cases where the temporary release committee feels there is insufficient information regarding the requested residence or whenever there is some question relative to that residence, the individuals with whom the inmate may be staying, or any aspect of the case and its community impact. This will be done as soon as the inmate is finally approved for furloughs or leaves of absence. If the field investigation is negative, the inmate should be notified of the results honestly and diplomatically in consultation with counseling and parole staff where necessary.

(3) In those cases where there is no specific question raised by the temporary release committee relative to residence or community feelings, and the temporary release committee approves the case for furlough, a residence questionnaire, form 4118-A, will be sent to the requested residence if the residence is an occupied premises. That affidavit must be notarized and returned to the facility before the inmate is released. In any other case involving an otherwise legal and verifiable approved residence but the temporary release committee feels there is insufficient information regarding the residence, the procedure established in paragraph (2) of this subdivision shall be followed.

(4) Central monitoring case designations. Any nonstatutory case which has been designated a central monitoring case by the inspector general's office is a central office review case. All other nonstatutory cases must be screened by the inspector general's office prior to release to determine whether or not a central monitoring case designation is appropriate. A list of temporary release committee approved nonstatutory cases should be forwarded to the inspector general's office in Albany within three working days after each temporary release committee meets, on form 1171. Any cases which are returned designated central monitoring cases must be submitted to central office for review and will require final approval of the deputy commissioner for security. Those cases that are not designated central monitoring cases may be processed for release.

(5) Notification to local law enforcement offices. (i) At least five working days before releasing an inmate on a temporary release program, the superintendent shall notify, in writing, the sheriff or chief of police of the community into which the inmate is to be released.

(ii) Henceforth, form 4186 (TRP-8) shall be mailed to the appropriate law enforcement official at least five working days prior to the release of any inmate on any type of temporary release except in cases of emergency leaves of absence where telephone contact shall be made and the form 4186 (TRP-8) shall be mailed as soon as practical. In the cases of furloughs, community services leaves and leaves of absence where the inmate is not under supervision by a parole officer or is leaving the supervision area of his assigned parole officer, a form 4186 (TRP-8) shall then be forwarded to the appropriate parole area office to alert them of the impending release of an inmate subject to supervision.

(iii) A copy of the form 4186 (TRP-8) shall be filed in the inmate's institutional file.

(iv) A copy of the form 4186 (TRP-8) will also be sent to the area parole office administering the area in which the inmate is being released. This is to alert that office to expect the inmate to make phone contact. The notification shall include:

(a) The name and relationship of the person with whom the inmate plans to reside while on temporary release.

(b) The full address, including apartment number.

(c) The telephone number at that address, if available.

(d) In the case of medical leaves of absence, the name, address and telephone number of the inmate's hospital and physician.

(6) Short-term temporary release financial procedures. (i) Only in exceptional circumstances will an inmate be allowed to take with him or have access to more than $100 above his transportation costs.

(ii) Any short-term temporary release program may be postponed until the inmate can finance transportation. Inmates leaving the facility on a short-term temporary release program will assume all expenses in connection with the trip. If sufficient funds are not available in the inmate's account, an advance to cover transportation and minimal personal expenses may be granted but only in exceptional cases. Travel request form AC28H should be used by facility personnel where possible to purchase tickets for the inmate. Those costs must be reimbursed by the inmate.

(iii) The temporary release committee chairperson will tell the inmate the department's policy concerning reimbursement according to section 1900.4 of this Title. The inmate's repayment schedule should include reimbursement for transportation, lodging and personal expenses if required.

(7) Processing procedures. All inmates will leave and return to the facility through the processing room. General confinement facilities may modify these procedures to meet their unique needs. Each temporary release committee chairperson shall assure that their processing procedures are filed with the director of temporary release programs.

(i) Each temporary release approved inmate shall be photographed for a temporary release identification card. The identification card must be in the possession of the inmate when he leaves the facility, at all times during his release, and must be surrendered and destroyed upon his return to the facility.

(ii) The processing officer will arrange for the inmate's clothing, making sure to record what clothing is being worn from the facility. The inmate will not be allowed to return with any article other than what was taken out with him.

(iii) The temporary release committee chairperson will assure that the memorandum of agreement, rules and regulations (see Part 1902 of this Title), and other required forms are explained to the inmate and properly signed prior to the inmate going to the processing-out area. In the event an inmate cannot speak English, a notation will be made on the memo of agreement that it was explained to the inmate in a language which he/she understands and the notation will be signed by the temporary release committee chairperson. The temporary release committee chairperson will assure that the processing officer will double-check all papers and be sure that there is proper authorization to leave the facility and that no restriction order exists. The memorandum of agreement will be in the inmate's possession when he leaves the institution and surrendered upon his return.

(iv) The processing officer will then see that the inmate receives his approved funds and arranges for his departure from the facility.

(b) Release and return.

(1) Release of the inmate. Inmates approved for participation in temporary release programs in accordance with these regulations may be permitted to go outside the premises of the institution within the limits of the extended bounds of confinement described in the memorandum of agreement which must be signed by the inmates. The canary copy shall be sent to central office. Section 856(1) of the Correction Law requires every inmate leaving the premises of an institution to participate in a temporary release program to have on his or her person an identification card and to exhibit such card to any peace officer upon request. The temporary release committee chairperson shall arrange for all inmates to be issued an identification card as they are processed out of the facility. The memorandum of agreement will be in the inmate's possession when he leaves the institution and surrendered upon his return.

(2) Supervision of furlough, leave of absence and short-term community services leave.

(i) Section 852(5) of the Correction Law requires that all inmates participating in temporary release programs be supervised by parole officers.

(ii) Inmates who are already under the supervision of a parole officer in a work release, educational release, long-term community services leave, or other continuous temporary release programs are deemed to be also under the continuous supervision of this same parole officer for furlough supervision purposes and are not subject to the furlough supervision guidelines described in this paragraph. Instead, these inmates are the subject to a special supervision category described in Part 1903 of this Title.

(iii) Inmates who are not in any type of continuous temporary release program and are not already under the supervision of a parole officer shall be subject to the furlough supervision guidelines described in this paragraph.

(iv) Each inmate shall be explicitly instructed by the temporary release committee chairperson or his designee of his or her reporting obligations prior to leaving the facility.

(v) Failure to comply with these requirements shall subject an inmate to disciplinary penalties and shall be seriously considered upon any subsequent temporary release application.

(vi) The facility is to include on the inmate's release papers the address and telephone number of the area parole office which the inmate is to contact.

(vii) The inmate is to be informed that he or she is to call the reception desk at that area office the first weekday he is at home and shall follow any directions given him by the area parole office personnel.

(viii) No inmate may be released unless provision is made as stated in this paragraph, or in a commensurate manner for the inmate to contact an area parole office.

(ix) The staff person at the reception desk in the area office will verify the inmate's arrival and residence.

(x) Special arrangements or waiver of the requirements of this paragraph may have to be made by the area office, if the inmate is living in a rural area or is in the area for a very short period of time and is unable to get to either the area office or the nearest reporting station.

(xi) In New York City, all reports and telephone calls are to be made to the Division of Parole, 314 West 40th Street, and not to the Bronx substation.

(xii) Within one week of the termination of the temporary release, the area office will submit a report to the facility detailing its contacts with the inmate.

(xiii) In the event that an inmate on whom the area office has received a form 4186 (TRP-8) fails to contact the area office, or fails to keep his or her appointment for reporting to the area office, the area office shall notify the facility of such failure as soon as practicable; when necessary, delinquency action will be taken.

(xiv) In the event the parole officer becomes aware of an inmate's arrest or behavior which has caused concern in the community, the parole office will advise the facility of the inmate's delinquency through a memorandum outlining the facts of the case, with a copy sent to the director of temporary release programs as soon as possible.

(xv) Any further reports will be requested through the institutional parole office, which will issue a form IS-2 to the parole field office.

(3) Evaluation on return. After the inmate's release and subsequent return to the facility, his participation in temporary release shall be evaluated. Late returns or returns under the influence of drugs and alcohol and other program violations shall be noted on the inmate's temporary release record and referred for disciplinary action where appropriate. In the event of a failure, form 4132 will be used, with copies appropriately distributed.

(i) Lateness. The rules governing late returns to the facility are as follows:

(a) An inmate is late if he or she has not returned to the facility by the time he or she was due.

(b) Inmates who are late:

(1) lose 2 points pursuant to section 1900.4(e)(2)(v) of this Title; and

(2) shall be subject to disciplinary action and penalties, including loss of privileges, keeplock and special housing, and the temporary release committee may take time from the next furlough at the rate of three hours for every hour or part of an hour they are late.

(c) Inmates who are late with an excuse shall be subject to disciplinary action and penalties, including loss of privileges, keeplock and special housing, and the temporary release committee may take time from the next furlough at the rate of three hours for every hour or part of an hour they are late.

(d) If an inmate does not return to the facility by the time he is due because of delays in public transportation beyond his control, he should not be considered late if the temporary release committee chairperson can verify the delay through the bus company, train station or other transportation provider.

(e) If an inmate is late for a reason other than proven delays in public transportation, he will be considered late. If he is able to show that his reason for being late is a good one, he shall be considered late with an excuse. Any inmate who wishes to be considered late with an excuse must be able to provide proof of the reason for his lateness. A note of receipt for services from the filling station, tow truck or State Police would be acceptable proof for documenting a breakdown. A note from a doctor would be sufficient to show that return to the facility was delayed by tending to a sick child. The temporary release committee chairperson should decide what kind of documentation is required in each case.

(ii) Drug use and alcohol abuse.

(a) If an inmate returns to the facility with evidence of drug use or alcohol use/abuse (see clause [e] of this subparagraph for alcohol clarification), he will lose 2 points on the point system and be subject to losing more points for disciplinary action. If he returns to the facility both late and under the influence of drugs or alcohol, he will lose 4 points, with the possibility of losing more points for any disciplinary action.

(b) During the review of a temporary release application, careful attention must be given to the possibility that the inmate/applicant has had alcohol-related problems in the past. If the case file reveals that the inmate has ever experienced problems related to the use of alcohol, then the memorandum of agreement that the inmate signs before leaving on any form of temporary release must be amended to indicate that he or she must completely abstain from the use of alcohol while on temporary release.

(c) For those who have been directed to completely abstain, failure to abide by this rule will mean that disciplinary action will be taken against the inmate and violation of this rule could mean revocation of temporary release privileges.

(d) For inmates whose case files do not indicate any alcohol-related problems, their memorandum of agreement must contain a prohibition against the abuse of alcohol while on temporary release.

(e) Abuse is defined as the concentration of alcohol in the system of more than 0.10 as determined through the use of a breathalyzer, urinalysis or blood sample analysis.

(f) For those who have been directed to refrain from the abuse of alcohol, failure to abide by this rule will mean that disciplinary action will be taken against the inmate and violation of this rule could mean revocation of temporary release privileges.

(g) Any facility employee who observes that an inmate, who has recently returned from temporary release, appears to be under the influence of alcohol, or has the odor of liquor on his breath or clothes or is staggering or slurring his speech, must notify the temporary release committee chairperson or watch commander so that appropriate testing can be accomplished which will verify the presence and indicate the level of alcohol in the inmate's system.

(iii) Other program rule violations.

(a) Any other program rule violations known to have existed or occurred during the course of the furlough or leave of absence and the inmate's return to the facility must be reported on an inmate misbehavior report to the superintendent.

(b) The inmate misbehavior report must be written by the institutional employee who becomes aware of the violation. If a violation is noted during processing in procedures, but not reported on a misbehavior report, the temporary release committee chairperson will write the report and submit it for disciplinary hearing review. The same will be true of any violation of the rules realized by the temporary release committee chairperson subsequent to completion of the furlough.

(c) All violations of temporary release rules and regulations will be reported to the superintendent through the existing disciplinary procedures as with all other disciplinary cases. Any documentation relevant to the misbehavior should be reviewed by the disciplinary process to assist in a determination.

(d) The hearing officer should adjudicate the case according to Chapter V of this Title. The temporary release committee, however, has sole discretion to make temporary release decisions.

(iv) Absconding.

(a) Failure to return on time.

(1) Should an inmate be unable to return to the correctional facility where he is confined by the time that he is scheduled to return, the inmate must do one of the following:

(i) contact the facility temporary release committee chairperson (at night or on weekends, the watch commander) in advance of the time that he is due to return, and try to arrange for an extension of his return time; or

(ii) contact the facility temporary release committee chairperson (at night or on weekends, the watch commander) to let the facility know that he is returning late for reasons beyond his control, and state the reason why.

(2) The temporary release committee chairperson, or someone designated by the superintendent, must make the decision whether the inmate should be granted an extension of time on temporary release or is to be considered late. He should also make arrangements for the late return of inmates who telephone the facility after the time that they are due back.

(3) An inmate is to be considered a temporary release absconder if he fails to return to the correctional facility where he is confined by the time that he is scheduled to return as specified in the memo of agreement which he signed. If an inmate has not returned to the correctional institution within five hours after the time that he was due to return, or fails to follow the procedures set forth in this subparagraph, the facility will assume the inmate does not intend to return, a warrant for detention and return of temporary release inmate, form 4116 (TRP-6), is to be issued, and the inmate is to be dropped from the official facility count.

(4) Unusual incident report will be made in accordance with existing departmental policy.

(5) Section 856(2) of the Correction Law states that "The failure of an inmate to voluntarily return to the institution of his confinement more than 10 hours after his prescribed time of return shall create a rebuttable presumption that the failure to return was intentional. Any inmate pursuant to this subdivision shall be an absconder in violation of his temporary release program and will not be an eligible inmate as defined in this Chapter."

(6) Therefore, in the event that any participant returns to a correctional facility more than 10 hours late, the facility shall conduct a superintendent's hearing, during which the inmate will be given the opportunity to rebut the presumption that his failure to return on time was intentional. However, in the absence of such a rebuttal, the inmate is to be found guilty of the disciplinary charge, and removed from all temporary release programs. Further, the inmate is to be considered ineligible to take part in any kind of temporary release program at any time in the future.

(7) The temporary release committee chairperson shall see to it that a copy of such superintendent's hearing shall be made part of the inmate's case file at the facility and at central office as well as the institution's Division of Parole folder so that this information will be available to the Board of Parole at the inmate's next scheduled appearance before the board.

(b) When a program participant absconds—procedures to be followed. The following procedures shall be followed when any temporary release participant absconds from his temporary release program:

(1) A warrant for detention and return of temporarily released inmate, form 4116 (TRP-6), signed by the facility superintendent, acting superintendent, or an employee of the Inspector General's office, shall be issued for the absconder's arrest. Each warrant issued shall be numbered consecutively, and the number shall be prefixed by the abbreviated letters which correspond to the facility name. Line two of the warrant shall contain the inmate's full name and line three shall contain his New York State IIS identification number.

(2) The employee who caused the superintendent or acting superintendent to authorize the issuing of a warrant shall immediately notify the Department of Correctional Services command control center in central office that the inmate has absconded and that a warrant has been issued in accordance with departmental policy. This same employee shall also notify the facility's head correctional clerk and temporary release committee chairperson about the absconder.

(3) The employee who causes the warrant to be issued shall notify the local New York State Police and local police station houses about the absconded inmate according to the facility's local procedure.

(4) The chairperson of the facility's temporary release committee shall, at his earliest opportunity, telephone the office of the director of temporary release programs in central office and alert the director of temporary release programs that the inmate has absconded. It will then be the responsibility of the director of temporary release programs to immediately contact the Department of Correctional Services' inspector general's office to alert them to the absconder. It will then be the responsibility of the department's inspector general's office, in coordination with the various New York State Police violent felony warrant squads, to search for and apprehend the temporary release absconder.

(5) The chairperson of the facility's temporary release committee will then have the responsibility, within one working day of the inmate's absconding, to prepare and place in the mail five copies of an absconder packet which shall contain each of the following items:

(i) a certified copy of the warrant for the absconder's arrest. The notary certification should be on the back of the warrant itself, and should not be on a separate sheet of paper attached to the warrant;

(ii) a completed copy of the temporary release program absconder notification form 4190;

(iii) a set of the most recent photographs of the absconder;

(iv) a set of very clear copies of the absconder's fingerprints;

(v) a copy of the absconder's receiving blotter sheet. This must also comply with confidentiality requirements (see subparagraph [vi] of this paragraph);

(vi) a copy of the absconder's superintendent's card showing disciplinary violations. All references on that card to drug or alcohol use must be eliminated to comply with confidentiality requirements;

(vii) a copy of the absconder's correspondence sheet, a copy of the record of the absconder's visitors received with their names and addresses and a copy of the record of the absconder's telephone calls from the facility; and

(viii) a photostatic copy of the memo of agreement form which the absconder signed prior to leaving the facility.

(6) The chairperson of the temporary release committee shall afterwards forward one of each of these five absconder packets along with a letter requesting assistance in apprehending the absconder to:

(i) Absconder Search Unit

Inspector General's Office

New York State Department of Correctional Services

10-06 35th Avenue

Long Island City, NY 11106

(ii) The New York State Police barracks which covers the geographical area where the absconder went on his program of temporary release. In New York City this address is:

New York State Police

Violent Felony Warrant Squad

Inwood Station

Bronx, NY 10034

(iii) The Division of Parole area office which covers the geographical area where the absconder had been on temporary release. This absconder packet to the Division of Parole is for informational purposes only in the event that the staff of the area parole office unexpectedly learns of the absconder's whereabouts during the course of their investigations of parolees, and is not to be interpreted as an indication that the Division of Parole has any responsibility whatsoever to seek out the absconder. In New York City these packets should be mailed to:

Senior Warrant Officer

Warrant Unit

New York State Division of Parole

314 West 40th Street

New York, NY 10018

(iv) Two copies to:

Director of Temporary Release Programs

Room 308

New York State Department of Correctional Services

State Office Building Campus, Bldg. 2

Albany, NY 12226

(7) The director of temporary release programs, upon receipt of the absconder packet from the facility's temporary release committee chairperson, will have the responsibility to immediately post a form DCJS-20, wanted person form, with the New York State Division of Criminal Justice Services alerting both the Division of Criminal Justice Services (DCJS) and National Crime Information Center (NCIC) systems that the inmate is wanted for the crime of absconding from temporary release. Under no circumstances are correctional facilities to forward form DCJS-20 directly to the Division of Criminal Justice Services.

(c) Absconder's arrest. Procedures to be followed. The following procedures shall be followed when any temporary release absconder has a form 4116, warrant for detention and return of temporarily released inmate, lodged against him:

(1) The inspector general agent, parole officer, or other State employee who lodges the warrant against the absconder shall immediately telephone the director of temporary release programs to alert him where and when the warrant was lodged.

(2) That same employee shall afterwards telephone the correctional facility from which the inmate absconded from temporary release and request that both the facility's head correctional clerk and temporary release committee chairperson be alerted where and when the warrant was lodged.

(3) The director of temporary release programs, upon being advised that a warrant has been lodged, will alert the Department of Correctional Services command control center in central office about the warrant being lodged against the absconder and shall afterwards file a form DCJS-20, cancel notice, with the New York State Division of Criminal Justice Services alerting both the Division of Criminal Justice Services and National Crime Information Center systems that the inmate is no longer wanted.

(4) The chairperson of the temporary release committee at the facility from which the inmate absconded, upon being alerted that the inmate has had a warrant lodged against him, shall afterwards telephone the director of temporary release programs, to make absolutely certain that a warrant has, in fact, been lodged.

(5) Once the temporary release committee chairperson verifies with the director of temporary release programs that a warrant has actually been lodged against the absconder, the temporary release committee chairperson shall prepare five short memos stating that the absconder is back in custody, giving the date and location where the warrant was lodged, and requesting that the agency in question discontinue its efforts to search for the absconder. Most importantly, this memo should request that the agency in question immediately return the form 4116, warrant for detention and return of temporarily released inmate, to the temporary release committee chairperson. Copies of this memo should then be forwarded to:

(i) Absconder Search Unit

Inspector General's Office

New York State Department of Correctional Services

10-06 35th Avenue

Long Island City, NY 11106

(ii) The New York State Police barracks which was first notified when the inmate absconded from temporary release. In New York City this address is:

New York State Police

Violent Felony Warrant Squad

Box 61

Inwood Station

Bronx, NY 10034

(iii) The Division of Parole area office which was first notified when the inmate absconded from temporary release. In New York City this address is:

Senior Warrant Officer

Warrant Unit

New York State Division of Parole

314 West 40th Street

New York, NY 10018

(iv) Two copies to:

Director of Temporary Release Programs

Room 308

New York State Department of Correctional Services

State Office Building Campus, Bldg. 2

Albany, NY 12226

(v) Any local police jurisdiction notified of an absconder shall be notified when that absconder is back in custody.

(6) The temporary release committee chairperson shall follow-up to make certain that all temporary release absconder warrants which were mailed out when the inmate absconded are returned to the facility file (except, of course, the warrant which is filed against the inmate as a detainer). It is important that the temporary release committee chairperson assure that all other warrants are actually returned to the facility, as these nonreturned warrants could possibly result in the inmate being mistakenly and illegally arrested when he is released from custody in the future. Besides creating unnecessary work for the arresting law enforcement agency and inconvenience and hardship for the inmate, an illegal arrest under such circumstances could result in an inmate bringing a legal suit for damages against the Department of Correctional Services in the courts.

(7) In those cases where an inmate has been confined in other custody within New York State awaiting trial for new criminal charges or to serve a new local sentence, the temporary release committee chairperson shall maintain regular contact with the inmate's new place of custody to follow the progress of the pending criminal charges and to make certain that the department's form 4116, warrant, continues to be on file as further detainer. When the inmate is due to be released from local custody, the temporary release committee chairperson, in coordination with the director of temporary release programs, shall arrange for the inmate's return to Department of Correctional Services custody.

(8) In those cases where an inmate has been confined in other custody outside of the State of New York, the director of temporary release programs shall contact the appropriate officials in the other state to follow-up on the progress of any new criminal charges and to make certain the department's form 4116, warrant, continues to be on file as further detainer. The director of temporary release programs shall also be responsible to determine whether or not the inmate is willing to waive extradition from the other state and shall initiate extradition proceedings in the event that the inmate indicates a refusal to waive extradition back to New York. Once the inmate is scheduled to be released from out-of-state custody, the director of temporary release programs, in coordination with the department's absconder/escape extradition and return unit, shall arrange for the absconder's return to Department of Correctional Services custody.

(d) Receiving a returned absconder—procedures to be followed. The following procedures shall be followed when any temporary release absconder is returned to a Department of Correctional Services facility.

(1) The head correctional clerk at the receiving facility shall notify both the head correctional clerk at the facility from which the inmate absconded and the director of temporary release programs that the absconded inmate has been returned to his facility.

(2) The head correctional clerk at the receiving facility shall then contact the director of classification and movement for a transfer order to have the inmate returned to the facility from which he absconded, provided, the original facility is a maximum security facility. However, if it is not a maximum security facility, the head correctional clerk at the facility where the absconder is received shall secure from the director of classification and movement a T.O. to an appropriate maximum security facility as close to the facility from which the inmate absconded as possible so that the original facility may more easily conduct a superintendent's hearing on the absconded inmate.

(3) The head correctional clerk at the facility where the absconder is received shall prepare form 2054, notice of returned violator, and forward copies of this form to central office. He shall also make certain that the facility's temporary release committee chairperson at the original facility is aware of the absconded inmate's return.

(4) An employee having knowledge of the absconding offense should complete a misbehavior report and prepare charges for a superintendent's hearing.

(5) In all cases, the temporary release committee chairperson at the facility from which the inmate absconded shall follow-up to make certain that a superintendent's hearing is completed on the absconding charge.

(6) Absconding from temporary release is a felony crime. Therefore, once the temporary release committee chairperson at the facility from which the inmate absconded becomes aware that a superintendent's hearing has affirmed an absconding charge, the temporary release committee chairperson should, as soon as possible, forward a written statement to the prosecuting attorney or district attorney in the county where the facility is located, alerting the district attorney about the inmate's abscondence, return, and present status, and request that the district attorney bring new criminal charges of violation of Penal Law 205.17, absconding from temporary release, 1st degree against the inmate. A copy of this letter to the district attorney is to be forwarded to the director of temporary release programs so that it may be included in the inmate's central office case file.

(v) New arrest procedures of short-term temporary release participants.

(a) If an inmate is arrested while participating in a short-term temporary release program, the Department of Correctional Services employee who first becomes aware of the arrest shall immediately report this information to the facility's temporary release committee chairperson, head correctional clerk and superintendent.

(b) The temporary release committee chairperson, or in his absence whoever is designated by the superintendent, shall have the responsibility of contacting the arresting agency in order to secure the details of the new arrest (date, place, charge, arresting officer, precinct of arrest in New York City, arrest number in New York City, and court disposition to date). This will be followed up by a short memo to the case folder, Division of Parole folder and director of temporary release programs.

(c) If the temporary release committee chairperson learns that criminal charges are pending as a result of an inmate's new arrest while on temporary release, a form 4116, warrant of detention and return of temporarily released inmate, shall immediately be issued and shall be lodged against the inmate at his place of confinement.

(d) If the new arrest charge was dismissed when the inmate appeared in court on the charge, the facility superintendent or acting superintendent shall make a decision whether or not a form 4116, warrant, shall be issued.

(e) Whether or not a form 4116, warrant, is issued, the superintendent or acting superintendent, shall see to it that the department's command control center is advised of the arrest, and given the details of the arrest if they are available.

(f) The temporary release committee chairperson at his earliest opportunity shall telephone the director of temporary release programs and provide him with the details of the new arrest. He shall also make certain that the facility's head correctional clerk has been advised of the arrest.

(g) In the event that a temporary release participant is held in other custody following his new arrest and is unable to return to the facility, the head correctional clerk is to drop him from the official facility count as an absconder. This action is to be taken in spite of the fact that the inmate's whereabouts is very well known to all concerned, and in spite of the fact that he is not to be considered a temporary release absconder for legal or other administrative purposes, and is not to have criminal or departmental charges filed against him for absconding from temporary release. However, the facility remains free, and is encouraged, to bring departmental charges against the inmate for other reasons connected with the new arrest (i.e., new convictions, abuse of alcohol, use of illegal drugs, out-of-bounds of confinement, etc.).

(h) In those cases where a temporary release participant is arrested in New York State and is held in other custody to either await trial or to serve a new local sentence, the temporary release committee chairperson shall monitor all stages of the court process in regards to the inmate's pending criminal charges until there has been a court disposition. The temporary release committee chairperson shall then maintain regular contact with the inmate's new place of custody to make certain that he is still confined there and that the department's form 4116, warrant, continues to be on file as further detainer. When the inmate is due to be released from local custody, the temporary release committee chairperson, in coordination with the director of temporary release programs, shall arrange for the inmate's return to Department of Correctional Services custody.

(i) In those cases where a temporary release participant is arrested out-of-state and is being held in out-of-state custody to either await trial or to serve a new sentence, the director of temporary release programs shall monitor all stages of the court process in regards to the inmate's pending criminal charges until there has been a court disposition. The director of temporary release programs shall then maintain regular contact with the inmate's new place of custody to make certain that he is still confined there and that the department's form 4116, warrant, continues to be on file as further detainer. The director of temporary release programs shall also determine whether or not the inmate is willing to waive extradition from the other state, and shall initiate extradition proceedings in the event that the inmate indicates a refusal to waive extradition back to New York.

(4) Reports to central office.

(i) A temporary release furlough/leave of absence result document will be completed and sent to the director of temporary release programs upon the completion of all actions regarding the immediately completed temporary release activity. Nonpoint scoring facilities will generate their own form or report. Contained in that locally developed report will be:

(a) the inmate's name, DIN, and facility;

(b) the type of temporary release participation;

(c) inclusive dates of the participation;

(d) whether or not the activity has been deemed successful; and

(e) if not, any disciplinary proceedings/dispositions.

(ii) The yellow copy of the memo of agreement will be sent to central office for each participation.

(iii) Temporary release program monthly reports (forms 4114, 4115, 4115.1 and 4115.2) are due in the office of the director of temporary release programs no later than the fifth working day of the succeeding month.

Part 1902 MEMORANDUM OF AGREEMENT

7 CRR-NY 1902.1 Memorandum of agreement rules and regulations {#sec-7-crr-ny-1902.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1902.1}

In order for an inmate applicant to accept any temporary release program, such inmate shall, prior to being released to such program, agree to be bound by the following rules and regulations, and such other special conditions as may be necessary in a given circumstance:

STATE OF NEW YORK DEPARTMENT OF CORRECTIONS AND COMMUNITY SUPERVISION

RULES AND REGULATIONS GOVERNING TEMPORARY RELEASE PROGRAMS

Facility __ Inmate name __ DIN __

I understand that participation in a temporary release program is a privilege which may be terminated when the temporary release committee believes my participation to be inconsistent with the welfare and safety of the community and/or integrity of the program. I will abide by the conditions specified in this agreement and all other conditions and instructions given to me by any representative of the Department of Corrections and Community Supervision, and will be subject to disciplinary proceedings and/or program removal for failure to do so.

1. I will abide by the standards of inmate behavior (institutional rule book).

2. (a) I will proceed directly to the place to which I have been temporarily released and designated on my signed memorandum of agreement contract.

(b) If I am participating in the furlough or leave of absence program, I will call the area community supervision office and/or my assigned correctional facility as indicated in my memorandum of agreement contract on the first day of my leave or as indicated and arrange for my report to that office if so instructed.

3. (a) I will not travel outside my approved geographical areas as specified in my memorandum of agreement contract without the approval of my facility superintendent.

(b) I will not leave the State of New York. In the event that I leave the jurisdiction of the State of New York, I hereby waive my right to resist extradition to the State of New York from any state in the union and from any territory or country outside the United States.

4. (a) I will reply promptly/fully and truthfully to any inquiry of/or communication by any representative of the Department of Corrections and Community Supervision. I am fully aware that providing false information shall be considered a violation of the conditions of my temporary release program.

(b) I will promptly and fully comply with directions given to me. I am aware that failure to follow directions from any representative of the Department of Corrections and Community Supervision shall be considered a violation of the conditions of my temporary release program.

5. (a) I fully understand that my parole officer will visit me or contact me at my residence, place of employment and/or educational/training/vocational facility and/or my program of rehabilitation.

(b) I fully understand that my person, residence and property are subject to search and inspection.

(c) I shall not change my residence, employment or temporary release program without the approval of my offender rehabilitation coordinator. I will discuss any proposed changes with my parole officer and offender rehabilitation coordinator.

(d) I understand that I remain in the custody of the Department of Corrections and Community Supervision.

(e) I will abide by a curfew as stipulated on my memorandum of agreement contract.

6. (a) I will not use, possess, or purchase any alcoholic beverages or intoxicants.

(b) I will not frequent any establishment where alcohol is served as its main business.

7. I will not use, possess or purchase any drug paraphernalia or use, possess or purchase any controlled substances or intoxicants without prior medical authorization and the written permission from DOCCS. I will not consume any poppy seeds or items containing poppy seeds since it has been determined that the consumption of poppy seeds may cause a positive result for opiates in urinalysis.

8. I will not own, possess or purchase any shotgun, rifle or firearm of any type. I will not own, possess or purchase any deadly weapon as defined in the Penal Law or any dangerous knife, dirk, razor, stiletto or imitation pistol. In addition, I will not own, possess or purchase any instrument readily capable of causing physical injury.

9. (a) I will not behave in such a manner as to violate the provision of any law, nor will my behavior threaten the safety or well-being of myself or others.

(b) I will not be in the company of or fraternize with any person I know to have a criminal record or whom I know to have been an adjudicated YO except for accidental encounters in public places, work, school or in any other instance without the permission of my parole officer, offender rehabilitation coordinator and/or superintendent.

(c) I understand that I have a responsibility to immediately advise my parole officer and assigned correctional facility any time I am in contact with or arrested by any law enforcement agency.

10. I will conform to NYS Department of Corrections and Community Supervision directives before applying for a license to marry.

11. I will not return to the facility with any form of contraband.

12. I will not apply for or renew any driver's license, nor will I own, operate or possess any motor vehicle without the approval of the superintendent.

13. I will return to the facility on or before the date and time specified in my memorandum of agreement contract or be subject to disciplinary proceedings in accordance with Department Rule #108.15 (section 270.2 of this Title) (Absconding from Temporary Release Programs) and possibly felony prosecution.

14. I will submit to drug, intoxicants and alcohol testing.

15. I will surrender my I.D. card and memorandum of agreement contract to the processing officer upon my return to the facility.

16. I will not engage in any legal or business contract including but not limited to personal or business loans, licenses, credit cards, installment purchases or bank accounts. I will not become involved with personal or business loans, cell phones, licenses, credit card or installment purchases, or other contracts without the written approval of my parole officer, offender rehabilitation coordinator and superintendent.

17. (a) I will not terminate my temporary release program participation without the prior approval of my parole officer, offender rehabilitation coordinator and/or superintendent.

(b) If I am terminated from my employment or any other program, I will report this to my parole officer and offender rehabilitation coordinator immediately and will then follow directions from staff.

(c) I will adhere to my work schedule. I will report immediately to my parole officer and offender rehabilitation coordinator any deviation from the schedule.

(d) I will contribute to the support of my dependents, if any, and assume toward them my legal and moral obligations.

(e) I will surrender the full amount of my employment earnings, Federal/State tax refunds or educational/training stipends upon my return to the facility for deposit into my inmate account.

(f) I will pay a mandatory participation charge of 20 percent of my net earnings.

18. If I apply for any public assistance benefits or any government subsidy, I will notify my facility offender rehabilitation coordinator within seven business days.

19. (a) I fully understand I am required to have a land line telephone prior to approval of my residence. This phone line must remain operational during my temporary release programs participation and any changes to the telephone number must be provided within 24 hours to my assigned parole officer and to my offender rehabilitation coordinator no later than the next business day.

(b) I fully understand the land line phone must not have third party calling or forwarding, no block restriction and may not be on an answering machine mode during curfew hours.

20. (a) I fully understand that I must provide the number of any cell phone that I use (contract or non contract) to my offender rehabilitation coordinator and my parole officer. I fully understand that any changes to my cell phone number must be provided within 24 hours to my assigned parole officer and to my offender rehabilitation coordinator, not later than the next business day.

(b) I understand that I cannot enter a contract to possess a cell phone for a long or short term period and/or obtain a non-contract cell phone without the prior written approval from the superintendent and temporary release committee.

21. Special Conditions:

I have read and understand the above rules and regulations or have had them read to me.

I understand them and I agree to fully abide by them.

I was informed and I understand that I have the right to request the verbal and/or written translation of this contract in my dominant/native language.

Inmate Signature __________ Date _________

Witness ____________ Date _________

Part 1903 CONTINUOUS TEMPORARY RELEASE PROGRAMS

7 CRR-NY 1903.1 Criteria for participation in continuous temporary release programs {#sec-7-crr-ny-1903.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1903.1}

A continuous temporary release program is a program under which eligible and approved inmates are granted the privilege of leaving the premises of a correctional institution on a daily basis, but not exceeding 14 hours in any day, for the purpose of participating in a work release program, an educational release program, a community services leave program or an industrial training leave program as defined in section 851 of the Correction Law. Central office approval for any long-term temporary release program also implies approval for all other temporary release programs at the discretion of the temporary release committee and the facility superintendent. No out-of-state continuous temporary release applications will be approved.

(a) A work release program is a continuous temporary release program under which approved inmates may be granted the privilege of leaving the premises of certain correctional facilities for a period not exceeding 14 hours in any day for the purpose of on-the-job training or employment, or for any matter necessary to the furtherance of any such purpose. In order for an inmate to be approved for participation in a work release program, he must, in addition to the previously mentioned criteria in this manual, be physically, mentally and emotionally capable of seeking and maintaining steady, gainful employment.

(b) Educational release program.

(1) An educational release program is a continuous temporary release program offered at certain correctional facilities under which eligible and approved inmates may be granted the privilege of leaving the premises of a correctional institution for a period not exceeding 14 hours in any day for the purpose of educational or vocational training, or for any matter necessary to the furtherance of any such purpose. In order for an inmate to be approved to participate in an educational release program, he must meet the criteria previously mentioned in this manual. Further, if the inmate is proposing an educational release program to pursue an academic (as opposed to a vocational) program of study in the New York City, Nassau, Suffolk, Westchester or Rockland County area, he must, prior to submitting his application for educational release, have:

(i) completed six credit hours of college level study;

(ii) submitted an application for admission to a program of study at an accredited college or university in that area which has agreed to maintain a record of the inmate's class attendance as specified in section 852.3 of the Correction Law; and

(iii) submitted his temporary release application to his facility's temporary release committee by the first week in July for the fall semester, the first week in November for the spring semester, or by the first week of April for the summer semester.

(2) Inmates who are approved to participate in an educational release program and are transferred to a correctional facility in New York City in order to take part in such a program, but whose applications for admission are later rejected by their college or university, shall be considered approved to participate in the work release program provided that they are physically capable of maintaining steady, gainful employment.

(3) However, if the inmate is proposing an educational release program from an upstate correctional facility, or if he is proposing a vocational training educational release program at any correctional facility either upstate or in the New York City metropolitan area, he is not required to have first completed six credit hours of college level study prior to submitting an application for educational release. Nevertheless, the inmate must still have submitted an application for admission at a school which agrees to maintain a record of his class attendance and must file his application by the dates stated above.

(c) A community services leave program is a continuous temporary release program offered at certain correctional institutions under which eligible and approved inmates may be granted the privilege of leaving the premises of a correctional institution for a period not exceeding 14 hours in any day for the purpose of participating in volunteer or community service work projects. In order for an inmate to be approved to participate in a continuous community services leave program (as opposed to a one-day community services leave program) an inmate must, in addition to other criteria previously mentioned in this manual, score a minimum of 32 points in the point- scoring system for temporary release applicants.

(d) An industrial training leave program is a continuous temporary release program offered at certain correctional institutions under which eligible and approved inmates may be granted the privilege of leaving the premises of a correctional institution on a daily basis for a period not exceeding 14 hours in any day for the purpose of participating in an industrial training leave program under which an inmate will be assigned to the supervision of a Federal, State, county or local government employee who is not a correction officer, and be permitted to assist such governmental employees in performing their job assignments. In order for an inmate to be approved to participate in a continuous industrial training leave program (as opposed to a one-day industrial training leave program), an inmate must, in addition to other criteria previously mentioned in this manual, score a minimum of 32 points on the point-scoring system for temporary release applicants.

(e) The following is a list of correctional facilities currently operating continuous temporary release programs:

| | | | Capacity | | --- | --- | --- | --- | | (1) Albion C.F. | Male/Female | For inmates from Central, Southern Tier and Western regions of the State. Participants work in Rochester, Buffalo and surrounding areas. | 68 | | (2) Buffalo | Male | For inmates from the Western Region of the State who will be employed in the Buffalo area or surrounding counties. | 132 | | (3) Camp Georgetown | Male | In-house community services leave program for camp residents only. | 5 | | (4) Camp Pharsalia | Male | In-house community services leave program for camp residents only. | 10 | | (5) Edgecombe | Male | Work release program for inmates from Manhattan and Bronx. | 421 | | (6) Fishkill | Male | For inmates from the Mid-Hudson region of the State. | 70 | | (7) Fulton | Male | Work release program for inmates from Bronx, Westchester County, Rockland County and Manhattan. | 407 | | (8) Hudson | Male | For inmates from the Capital District and the Northeastern region of the State. | 60 | | (9) Lincoln | Male | For inmates from Brooklyn and Manhattan. | 408 | | (10) Mid-Orange | Male | For inmates who desire an industrial training program. | 15 | | (11) Mt. McGregor | Male | For inmates from the Capital District and Northern regions of the State who desire industrial training and community services leave programs. | 74 | | (12) Parkside | Female | For inmates from New York City, Long Island, Mid-Hudson, Catskill, Capital District regions of the State. | 70 | | (13) Queensboro | Male | For inmates from Queens, Nassau and Suffolk Counties. | 340 | | (14) Rochester | Male | For inmates from the City of Rochester and the Counties of Wayne, Ontario, Monroe, Livingston, Genesee and Orleans. | 60 |

The above residence requirements are subject to change depending on population levels.

7 CRR-NY 1903.2 Procedures for the operation of continuous temporary release programs {#sec-7-crr-ny-1903.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1903.2}

(a) Transfer.

(1) An inmate may not be transferred to another correctional facility for continuous temporary release programming unless his care has first been approved for such programming by the director of temporary release programs. Under no circumstances shall the director of classification and movement issue transfer orders to have inmates transferred to another correctional facility for continuous temporary release programming unless that inmate has first been approved for such programming by the director of temporary release programs.

(2) Any inmate transferred to a facility, who is approved for participation in a continuous temporary release program at the receiving facility, will have his release clothing issued at the transferring facility. That facility will send the clothing to the receiving facility on the same bus with the inmate and his other property.

(3) Prior to allowing an inmate to be transferred, the transferring facility's temporary release committee chairperson must check the inmate's record to ascertain whether or not any changes in the inmate's record would cause recision of approval as outlined in section 1901.1(d) of this Title.

(b) Orientation.

(1) As soon as possible after arrival at a correctional facility for continuous temporary release programming, each inmate shall be individually interviewed by a correction counselor and a temporary release parole officer. These interviews shall include the following:

(i) a clarification of the inmate's objectives in his continuous temporary release program and a compilation of his past employment and/or educational history;

(ii) an identification of the inmate's problem areas, and plans for dealing with them;

(iii) initial explanation of the program rules and expectations;

(iv) initial preparation of a time schedule and a financial plan for the inmate;

(v) a description of the correction counselor's responsibility for initial in-house preparation for continuous temporary release programming; and

(vi) a description of the temporary release parole officer's field responsibilities, including home and job visits.

(2) As soon a possible upon entry into any correctional facility where an inmate has been transferred in order to take part in a continuous temporary release program, the inmate shall participate in an orientation program which shall introduce the inmate to the facility and the program. This orientation shall include:

(i) a tour of the facility;

(ii) an explanation of the in-house maintenance programs, including the in-house work assignments which the inmate will be required to perform;

(iii) a detailed explanation of the facility rules as well as the rules of the temporary release program;

(iv) an explanation of the job development, alcohol counseling, narcotic drug counseling, and mental health counseling services which, if in operation, are available to the inmates;

(v) scheduling of further meetings with the correction counselor and temporary release parole officer staff;

(vi) explanations of facility financial processing procedures for the disbursement of inmate funds, advances of funds in special situations, and the surrender of pay checks and other monies to the facility processing officer upon the inmate's return to the facility each day as specified in more detail in this section. Those who conduct the orientation shall emphasize to the orientation group of inmates that failure to turn in pay checks and other monies which have come into the inmate's control shall be considered a serious violation of the rules of the temporary release program, and may result in the inmate's removal from such programming;

(vii) inmates shall be advised that they should try to have available in their inmate account sufficient funds to cover incidental expenses during job search furlough beyond that specified in subdivision (f) of this section;

(viii) inmates shall be advised that during the orientation period they will continue to earn an incentive wage allowance at step 2, grade II, and should be advised to budget some portion of these funds for incidental job search expenses described above;

(ix) inmates who have no funds in their inmate account upon arrival in program may be granted financial advances from the facility's business office to cover the incidental expenses connected with their job search furloughs on their initial furloughs provided the chairperson of the facility's temporary release committee and/or facility's superintendent has reason to believe that these funds will be repaid by the inmate once he begins receiving wages from his employment. Once these funds are actually disbursed to the inmate, the temporary release committee chairperson, in coordination with the facility's counseling, parole and business office staff, shall be responsible to see to it that these funds are repaid once the inmate is in a financial position to repay them. The refusal of an inmate to repay funds which were advanced to him, provided that the inmate is actually able to repay them, shall be an indication that the inmate is too untrustworthy a person to continue in his program of temporary release, and may be grounds for removing the inmate from program;

(x) explanation of the furlough eligibility requirements and furlough scheduling;

(xi) actual preparation for job search furlough, work release, or educational release by the facility's correction counselor or temporary release parole officer's staff, and the completion of the inmate's temporary release memo of agreement which the preparer shall make certain has been signed by the inmate; and

(xii) notification to local enforcement officers (form 4186 [TRP-8]) shall be sent out once indicating that the inmate is a continuous temporary participant. This will be done five working days to commencement of furlough/work release or community service leave.

(c) Processing procedures.

(1) All inmates who are confined in facilities which are exclusively continuous temporary release facilities shall leave and return to the facility through the processing room. However, general confinement facilities which have only a small number of inmates participating in continuous temporary release programs may modify these procedures to meet their unique needs. Notice of these processing procedures shall be filed with the director of temporary release programs.

(2) All inmates in continuous temporary release programs shall be assigned a numbered processing room locker, and shall be given a lock to protect their clothing and personal belongings. The facility may demand financial reimbursement for the lock which is provided to the inmate. The inmate will hold one of the two keys to the lock, while the second key will be sealed in an envelope, and kept in a locked, secure place in the facility. The inmate's locker may be opened at any time by the facility's superintendent or his designee.

(3) Facilities are encouraged to provide small lock boxes to the inmates participating in continuous temporary release programs in which they will keep their weekly allowance. Again, the inmate will be given one of the two keys to the lock box, while the second key will be sealed in an envelope, and kept in a locked, secure place in the facility. The contents of these lock boxes may be opened at any time by the facility's superintendent or his designee. However, a written notice must be filed in the inmate's case folder that this was done.

(4) Where the facility does not provide the continuous temporary release participant with a lock box for the inmate to secure his weekly allowance, the inmate will be given an envelope containing his funds each morning prior to leaving the facility, and must sign a receipt for receiving these funds. Further, upon his return to the facility, the inmate will turn in all of his funds to the processing room officer, and shall receive a receipt from the processing room officer documenting the amount of money which was turned in. This receipt should be signed by both the inmate and the processing room officer.

(5) No inmate shall be permitted to even enter the processing room unless the processing office has in his possession a temporary release program memo of agreement and a temporary release program inmate identification card. The facility's superintendent shall designate a correction counselor, temporary release parole officer, or correction officer who shall have the responsibility to deliver memos of agreement and identification cards to the processing room, and this same person shall be responsible to see to it that the memo of agreement and identification cards are removed from the processing area and placed in the inmate's case file in the event that the inmate is placed on restriction.

(6) The employee who is delegated by the superintendent with the responsibility to deliver and remove the memo of agreement and identification cards to the processing room shall not deliver any memos of agreement unless they have been signed by the inmate, and shall be held responsible if an inmate leaves a correctional facility without having signed a memo of agreement.

(7) The superintendent shall designate an employee in the facility's businesss or fiscal office to be responsible for delivering to the processing room the inmate's daily or weekly funds which are to be distributed by the officers in the processing room.

(8) In accordance with section 856.1 of the Correction Law, each inmate leaving a correctional facility in order “to participate in a temporary release program shall have on his or her person, a temporary release identification card identifying him or her as a participant in a temporary release program as signed by the superintendent of the institution, and shall exhibit such card to any peace officer upon request of the officer.” The superintendent shall designate an employee to be responsible for the preparation of this card.

(i) All information required on the card is to be completed. Note that the section marked “effective date _____ to _____” shall be completed so that the first date of the inmate's participation in program shall appear in the left hand blank space and right hand blank space may remain uncompleted.

(ii) The temporary release identification card shall be given to the inmate as soon as possible after his reception in a continuous temporary release program. If the facility permits, he may keep it on his person for identification purposes in the facility and must carry it while he is outside of the facility.

(iii) [Reserved]

(iv) The loss of a temporary release identification card shall be deemed as an act of misconduct for which the inmate should be written up and taken through at least minimal disciplinary proceedings which would require reimbursement to the facility for the expense of issuing a new temporary release identification card.

(v) When a continuous temporary release participant is paroled, conditionally released, transferred to another correctional facility, or moved from his temporary release program, it is the responsibility of the chairperson of the temporary release committee to confiscate the inmate's temporary release identification card from the inmate, and see to it that the card is destroyed.

(9) Prior to the inmate's actual release from the processing room, the processing officer shall make certain that the inmate has in his possession a signed temporary release identification card and sufficient travel money to get him to the destination indicated on his memo of agreement and back to the facility. The processing officer is also responsible to see to it that no restriction order has been placed against the inmate. In the event that the inmate's papers are not in order or a restriction is in effect, the processing room officer shall advise the watch commander, and the chairperson of the temporary release committee by telephone, and shall refer the inmate to the facility's staff member who can clarify or correct the unusual situation. Under no circumstances shall the processing room officer permit an inmate whose status in his temporary release program is in question to wait for clarification of his situation in the processing room area.

(10) The inmate will change from his institutional clothing to his civilian clothing prior to leaving the facility, and will lock his institutional clothing in his locker.

(11) After a visual inspection by the processing officer, the inmate will go to the officer's desk area where he will be issued funds which were previously authorized by the program staff. The inmate will sign a receipt for monies received.

(12) Upon this return to the facility from temporary release, the inmate will empty his belongings into the appropriate receptacle at the entrance door and then proceed through a metal detector, if the facility has one, into the processing room.

(13) All money and tokens not used by the inmate when he was out of the facility will be either deposited in the inmate's lock box under the processing officer's supervision, or will be turned in to the officer. The officer will record the amount of money deposited in the lock box, or will give the inmate a receipt for money turned in to him. Under no circumstances shall continuous temporary release participants be permitted to take money, tokens, or other funds into the other parts of the facility.

(14) When the processing officer takes note than an inmate has returned to the facility with money in excess of what the inmate has been expected to bring back, the processing officer will either telephone the temporary release committee chairperson, correction counselor, or temporary release parole officer (depending upon who he was directed to contact by the superintendent). Immediately thereafter, an investigation shall be conducted into the source of these funds. If the inmate cannot offer an acceptable explanation for the source of these funds, he shall be placed on restriction, and referred to the temporary release committee for program evaluation.

(15) The inmate will remove his civilian clothing and be subject to an appropriate search as determined by the facility's superintendent. If the superintendent so directs, on an individual basis, the inmate may be directed to submit to a search of his or her internal body cavities.

(16) After the inmate has been searched and cleared by the processing officer, the officer shall verify the inmate's return time in the processing log book. The inmate will afterwards dress into his institutional clothing, and proceed to the residence area of the facility.

(d) Employment procurement.

(1) Employment program.

(i) No work release participant may be employed by or with a co-defendant unless specific permission is granted by the director of temporary release programs in writing.

(ii) No work release participant may work at the scene of his crime, nor may he be employed by the same company if his crime was related in any way to his employment, unless specific permission is granted by the director of temporary release programs in writing.

(iii) If a work release participant obtains employment which requires him to move about within a specific geographical area, he must supply an itinerary to his work release parole officer and also a phone number(s) where he can be contacted.

(iv) The temporary release committee, with the concurrence of the superintendent, has the authority to disapprove an employment program when, in their judgment, the inmate will have too great an opportunity to return to the same type of crime.

(v) Self-employment of continuous temporary release participants. Because of the extra demands which self-employment places upon employed people and because of the high level of maturity which is required in order to successfully compete in the labor force as a self-employed person, continuous temporary release participants must receive the approval of the temporary release committee, superintendent, and the director of temporary release programs before they may become self-employed while participating in a continuous temporary release program. Generally speaking, the director of the temporary release program will only approve continuous temporary release participants to become self-employed if these inmates were successfully self-employed before they were received in the correctional system and then only if the inmate displays a higher than average level of emotional maturity. In those cases where approval is granted, it will be contingent upon the inmate's compliance with any applicable laws and licensing procedures.

(2) Work search.

(i) Inmates who have been approved to participate in a work release program and who are unemployed may be granted job search furloughs.

(ii) Generally speaking, inmates who have been approved to participate in a work release program and are unemployed will be granted work search furloughs. On the inmate's day when he remains in the facility, the inmate will be interviewed by a correction counselor or temporary release parole officer, his/her activities of the previous day will be evaluated, job leads for the next day will be developed, and a new form 4182.3, temporary release memo of agreement, will be prepared and signed by the inmate. The correction counselor or temporary release parole officer, on a case-by-case basis and when possible considering time factors, shall make an effort to verify the inmate's previous day's job search efforts by telephone calls to the places where the inmate went to search for employment, and shall also make an effort to verify in advance any employment interviews which the inmate has scheduled.

(iii) If an inmate requests an extension of time on his job search furlough, he must immediately contact the correction counselor or temporary release parole officer who granted him the furlough, or in his absence the chairperson of the temporary release committee, or in his absence the superintendent, and request such an extension. Extensions of time may be granted only if the inmate has scheduled another verifiable employment interview, and the person who grants such an extension shall make an effort to verify the inmate's employment interview. Extensions of job search furloughs generally should not be for more than two hours.

(iv) Upon his return to the facility from a job search furlough, the inmate should, previously required by his correction counselor or temporary release parole officer, be able to provide the facility with a list of employers' names and addresses where he went during the day to attend employment interviews, or to search for employment. The inmate should also be able to account for the time spent at each prospective employment address and for transportation time between these prospective employment addresses. The refusal or failure of an inmate to account for his time spent searching for employment as described above, when the inmate has been previously required to do so, or the discovery that the inmate has been making false reports to the facility staff about his activities while on a job search furlough, may be considered an indication that the inmate is too untrustworthy and/or too unmotivated a person to continue in continuous temporary release programming, and may be grounds for the inmate's removal from the program.

(v) If an inmate has failed to secure employment three weeks after completion of orientation, the temporary release counselor should hold an interview with the inmate and review his efforts towards obtaining employment and counsel the inmate concerning attitude and motivation.

(vi) If an inmate has still not secured employment six weeks after completion of orientation, the temporary release counselor must refer the case to the temporary release committee for review. At this point the temporary release committee may remove the inmate from the program if they decide that the inmate is either unwilling or unable to obtain employment.

(e) Procedures following procurement of a work release, educational release or other continuous temporary release program.

(1) Inmates are to be advised that their employers or schools must be told of their status as inmates serving sentences in a correctional facility, and the inmates should be encouraged to notify their employers or schools about their status as inmates (in the event that the employer or school is not already aware of this fact).

(2) When an inmate returns to a correctional facility and has secured employment or made arrangements to begin an educational release program, the correction counselor or temporary release parole officer, depending upon who has been assigned this responsibility by the chairperson of the temporary release committee or superintendent, if there is not already some documentation in the inmate's case folder that the employer or school is already aware of his inmate's status, shall telephone the employer of school and make certain that the inmate's immediate employment supervisor, or the dean of academic affairs, or some other official in the school management, is fully aware of the inmate's status. If requested, the correction counselor or temporary release parole officer may give the employer or school the name of the type of crime for which the inmate was convicted, the sentence which he received, the date that the inmate will be eligible for parole and conditional release, and the inmate's maximum expiration date. Under no circumstances shall any correction counselor or temporary release parole officer give the employer or school, or for that matter any outside agency, any information whatsoever about the inmate's use of illegal narcotic drugs, excessive use of alcohol, mental health status, or physical health status without first obtaining a written statement from the inmate authorizing the department to release such information.

(3) After verifying that the employer or school is aware that the inmate is currently serving a sentence in a correctional facility, the correction counselor or parole officer shall obtain information concerning the inmate's work hours, place of employment and other information needed to complete the inmate's form 4182.2, continuous temporary release memo of agreement, and will inform the employer or school about the monitoring activities by the temporary release parole officer especially of the temporary release parole officer's requirements to make a positive on-site employment visit once a month.

(4) A form 4182.2, continuous temporary release memo of agreement, will then be prepared, and shall be signed by the inmate. The memo of agreement will include the employer's (or education institution's) name, address, and telephone number, the inmate's extended bounds of confinement (the most direct route to and from work or school), the salary of stipend which the inmate will earn or receive, and the hours that the inmate is to be out of the facility. The hours of release are to be computed according to the following formula:

(i) the hours of work or school, plus;

(ii) the basic travel time to and from work or school, plus;

(iii) one-half the basic travel time (the total travel time should never be less than one half hour).

(5) At the bottom of the inmate's form 4182.2, temporary release memo of agreement, the preparer shall indicate that there is already documentation in the inmate's case file that the employer or school is aware that the subject is an inmate, or that on the given date the correction counselor or temporary release parole officer advised the inmate's employer or school (name of person advised should be given) about the inmate's status.

(6) Time extensions.

(i) An inmate's request for an extension of time on work or educational release or in any other continuous temporary release program may be approved by a correction counselor or temporary release parole officer, or in their absence the chairperson of the temporary release committee, or in his absence by the superintendent, only for overtime work or medical and dental appointments.

(ii) Requests for time extensions for medical or dental appointments, except in emergency situations, must be submitted by the inmate to his correction counselor or temporary release parole officer 24 hours in advance of the appointment. These appointments should afterwards be verified by the staff member who authorized the extension of time.

(iii) Requests for time extensions to work overtime must be verified by the correction counselor or temporary release parole officer by means of a contact with the inmate's employer before approval can be granted.

(iv) Under no circumstances shall an inmate be given any extension of time in any continuous temporary release program as enumerated in sections 1903.1 of this Part which would cause him to be in the community more than 14 hours in any given day. However, nothing herein shall be construed to preclude an inmate who is participating in any continuous temporary release program from also receiving a furlough which would otherwise permit him to be in the community for more than 14 hours in any given day.

(7) If the inmate's release from the facility is required for some purpose which is not covered by the inmate's form 4182.2, continuous temporary release memo of agreement, a separate form 4182.1, temporary release memo of agreement, must be prepared and signed by the inmate before he may be permitted to leave the facility. Correction counselors and temporary release parole officers, upon being authorized to do so by the chairperson of the temporary release committee or superintendent, may only grant such furloughs (usually on weekday evenings or weekends) for the following purposes:

(i) for required court appearances upon verification;

(ii) for medical or dental services upon verification;

(iii) for attending A.A., substance abuse counseling, gamblers anonymous, or mental health counseling upon verification;

(iv) for taking part in community service activities upon verification and also upon receiving the approval of the facility's temporary release committee and superintendent to take part in such community service activities;

(v) for personal and family emergencies upon verification;

(vi) for doing laundry if the facility's laundry equipment is inoperable;

(vii) for local shopping for necessities needed to successfully adjust in the inmate's continuous temporary release program provided that he/she turns in receipts for purchases made to the facility employee who authorized the inmate's release; and

(viii) for other specific, verifiable purposes in keeping with section 851 of the Correction Law.

(8) All such requests for special furloughs must be submitted at least 24 hours in advance, except in cases of emergencies.

(9) No inmate is to be released from a correctional facility on a continuous community services leave program or continuous industrial training leave program unless a completed form 4182.2, continuous temporary release memo of agreement, has been prepared and signed by the inmate.

(10) Motor vehicle licenses and ownership of motor vehicles.

(i) Continuous temporary release participants who have motor vehicle licenses are not to be given their motor vehicle licenses while participating in continuous temporary release programs unless these inmates need them for employment purposes. If necessary for employment, the inmate must request and receive approval from the facility's temporary release committee.

(ii) No temporary release participant may apply for or renew any motor vehicle license without first receiving the written approval of his temporary release parole officer to do so.

(iii) No temporary release participant is to purchase, own, or operate, or have in his possession, any motor vehicle for his personal use without first receiving the written approval of the facility's temporary release committee, the superintendent, and the director of temporary release programs. Generally speaking, continuous temporary release participants should only be given authorization to own or operate a motor vehicle for personal use when there is unsuitable public transportation for the inmate to travel to and from his place of work, or when the inmate is in some way physically handicapped.

(f) Financial guidelines and procedures for continuous temporary release participants.

The following financial procedures regarding inmates in continuous temporary release programs are to be followed at all times:

(1) Approved conditions for appropriation advances. Continuous temporary release participants who do not have funds available for program participation may, but do not have to, be granted advances from the facility's temporary release appropriation account for the following purposes only:

(i) Work release and industrial training leave expenses.

(a) Inmates on job search. An inmate on job search may receive an advance in an amount not to exceed $20 per day for all of his expenses, including meals and transportation costs not provided by the facility.

(b) Inmates employed on work release or on industrial training leave who have not received their first paycheck. A facility superintendent may advance an inmate on work release or industrial training leave who has not yet received his first paycheck a maximum of $20 per day for all of his expenses, including meals and other expenses not provided by the facility. The facility's superintendent may also advance funds to purchase necessary work clothing, tools needed on the job, or other incidental expenses necessary for the inmate's successful participation in his/her program of temporary release if in his/her judgment there is a substantial likelihood that these funds will be reimbursed by the inmate.

(ii) Educational release.

(a) For tuition costs up to $500 each semester, where the source of reimbursement is verified. All advanced money must be reimbursed.

(b) For clothing costs up to $100 each semester, where the source of reimbursement is verified.

(c) For books and school supplies up to $100 each semester, where the source of reimbursement is verified.

(d) For transportation costs.

(iii) Furloughs. For transportation costs up to $25 for one weekend furlough if the inmate meets all of the other furlough criteria. All advanced money will be reimbursed.

(iv) Emergency leave of absence. For transportation costs, and, if the inmate has no relative or friend who has agreed to provide him with lodging and meals, funds to cover the cost of lodging and meals. All money advanced must be reimbursed.

(2) Business or fiscal office responsibilities.

(i) Accounting for advances.

(a) Inmates, as a general rule, should only be granted financial advances when the facility's superintendent or the chairperson of the facility's temporary release committee feels that there is a substantial likelihood that the funds to be advanced to the inmate will eventually be reimbursed. Once these funds are actually advanced to the inmate, the temporary release committee chairperson, in coordination with the facility's counseling, parole, and business office staff, shall be responsible to see to it that these funds are repaid once the inmate is in a financial position to repay them. The refusal of an inmate to repay funds which were advanced to him when the temporary release committee has concluded that he has the financial resources to repay them shall be grounds for removing the inmate from the program.

(b) Funds will not be issued to any inmate from the facility's appropriated advance account until the business office receives a written request from the inmate's correction counselor, temporary release parole officer, the temporary release committee chairperson, or the superintendent detailing the amount to be advanced and the repayment schedule. Any requests for advances of more than $25 must be first approved by the superintendent.

The business officer shall report to the temporary release committee chairperson any repeated or unusual requests for advances of funds which do not appear to conform to what is thought to be the facility's financial guidelines.

(c) All funds advanced to inmates will be recorded on form 2759, inmate account ledger. Funds will subsequently be deducted from the inmate's account to repay the advances in accordance with the repayment schedule which was previously agreed upon between the inmate and the correction counselor or temporary release parole officer and will be deposited into the respective program advance account. Proper entries will be made on the inmate account ledger to reduce each inmate's advance balance.

(d) In those unusual incidents where funds advanced to an inmate become uncollectable, a voucher will be processed against the facility's appropriations to repay the advance account, and the procedure established by the department shall be followed.

(ii) Inmate's personal account.

(a) Funds will not be issued to any inmate from an inmate's personal account until a form IAS 2706, disbursement request has been completed, signed by the inmate, approved by the superintendents or his designee, and forwarded to the business office.

(b) If an inmate does not have sufficient funds in his personal account, his request will be rejected and returned to the correction counselor or temporary release parole officer who approved the request. The correction counselor or temporary release parole officer will subsequently make a casework decision whether funds should be requested from the facility's appropriation advance account.

(c) Once a continuous temporary release participant begins to regularly participate in his program of temporary release, he must submit form IAS 2706, disbursement request, each week to obtain funds from his personal account for work release expenses.

(d) The business office shall report to the temporary release committee chairperson any requests for an unusually large amount of money or repeated requests for funds which do not appear to conform to what is thought to be the facility's financial guidelines.

(iii) Report preparation.

(a) A monthly statement of each continuous temporary release participant's account will be prepared by the business office and copies will be distributed to the inmate and his correction counselor or temporary release parole officer depending upon who the superintendent has designated to receive them.

(b) The facility's steward shall prepare an annual report of financial operations in the continuous temporary release program to include total net earnings, total payment of fines, total payment of support of dependents, total savings accumulated, and total weeks of employment. This report will be submitted to the facility's superintendent and to the chairperson of the temporary release committee no later than January 5th of each year. The temporary release committee chairperson shall forward a copy of this report to the director of temporary release programs.

(3) Daily work release and industrial training leave financial procedures.

(i) Regular allowances.

(a) Inmates assigned to a work release program will assume all expenses related to their participation in this program.

(b) Once an inmate becomes employed, a weekly allowance will be established by agreement between the inmate and his correction counselor or temporary release parole officer, and an IAS 2706 disbursement request for the allowance will be prepared and turned into the business office. Upon receipt of the IAS 2706, the business office will issue the funds which were authorized from the inmate's account on one regularly scheduled day each week. It will then be the inmate's responsibility to live within this financial allowance until the next regularly scheduled day when the business office issues inmate funds.

(c) Unless the business office staff has been directed to do otherwise by the inmate's correction counselor, temporary release parole officer, the temporary release committee chairperson, or the superintendent, the business office will issue the amount of funds which were requested on the IAS 2706 on each of the regularly scheduled days when funds are issued.

(d) Under no circumstances shall the business office draw funds from an inmate's personal account for any reason unless a signed and approved IAS 2706 has been received.

(e) The business office will disburse all funds in amounts under $5 in cash.

(ii) Transportation costs.

(a) Inmates will assume all costs related to their travel to and from work as well as to and from their weekend furlough address.

(b) In those cases where transportation is provided by the facility, an appropriate charge to cover the cost of gasoline, oil, lubricants and other nonfixed costs of the transporting vehicle may be assessed to each inmate who uses such transportation. These charges will be included in the inmate's requested weekly allowance, and must be approved by his correction counselor or temporary release parole officer who is in charge of the IAS 2706 disbursement request. The business office, upon receipt of the inmate's signed IAS 2706 will draw a check from the inmate funds account and handle in accordance with prescribed fiscal procedures.

(iii) Inmate wages.

(a) All inmates must turn in their earnings, or any other funds which come under their control, to the facility's processing officer immediately upon their return to the facility. All funds must be turned in to the processing officer in the form in which they were received (check or cash). Under no circumstances shall an inmate be allowed to cash a check received from an employer. An inmate may convert cash to a check form for receipt by the facility, but only with the prior permission of his correction counselor or parole officer. When money is turned in, the processing officer will issue the inmate a receipt for the full amount. These funds will subsequently be delivered to the business office, and will be deposited in the inmate's personal account.

(b) The failure of an inmate to turn in his earnings, or any other funds which come under his control, shall be considered a serious violation of the inmate's temporary release memo of agreement, and will make the inmate subject to disciplinary action which may result in his removal from the program. The inmate's repeated failure to turn in the full amount of his earnings or the full amount of any other funds which come under his control should be considered an indication that the inmate is too untrustworthy, immature, and/or unmotivated to continue to participate in a continuous temporary release program, and this should be considered to be a presumption against the inmate continuing to participate in program.

(c) The superintendent shall designate a facility employee the responsibility for the preparation of a schedule one day each week which lists the names of all of the employed continuous temporary release participants in the facility and the day of the week that these inmates should receive their paychecks. This list will afterwards be delivered to the processing room officer who will have the responsibility to notify the temporary release committee chairperson in the event that an inmate returns to the facility on the indicated day without his paycheck.

(iv) Work release inmate's dependents receiving public assistance.

(a) The superintendent shall designate a facility employee the responsibility to review the case folder of every work release participant once he begins working, and attempt to determine whether or not the inmate's acknowledged and legal dependents are receiving public assistance. If the case folder is unclear whether or not the inmate's dependents are receiving public assistance, the designated employee shall contract (preferably by telephone) the Department of Social Services center which covers the address where the inmate's dependents reside, and determine whether or not the inmate's dependents are receiving public assistance. Where the facility is far removed from the address of the inmate's dependents, the public assistance status of an inmate's dependents shall be determined by a letter to the Department of Social Services center in the area, a copy of which shall be filed in the inmate's facility folder. The designated employee will have the responsibility to follow-up to make certain that the letter is answered.

(b) When it is determined that an inmate's acknowledged or legal dependents are not receiving public assistance, the designated employee shall sign and place a form letter in the inmate's facility file to that effect.

(c) When it is determined that an inmate's acknowledged or legal dependents are, in fact, receiving public assistance, the designated employee shall have the responsibility to complete and sign a form letter to the Department of Social Services office in question informing them of this fact. This form letter should indicate the inmate's name, departmental number, social security number, and the names and addresses of his dependents who are receiving public assistance. The form letter should, likewise, give the name and address of the inmate's employer, the date when he began working, and the inmate's weekly earnings. If the inmate is contributing, or plans to contribute to, the support of his dependents, the Department of Social Services office shall be so advised.

(d) When it is determined that the inmate's acknowledged or legal dependents are receiving public assistance, the designated employee shall report this information to the correction counselor or temporary release parole officer who has the responsibility to approve the inmate's form IAS 2706, disbursement request. The correction counselor or temporary release parole officer will afterwards make contact with the inmate's dependents' caseworker at the Department of Social Services center, and a casework conference should be held to determine whether, or how much, an inmate should be required to contribute toward the support of his dependents. The correction counselor or temporary release parole officer shall assure that all future IAS 2706, disbursement requests, reflect the required support payments.

(e) Whenever possible, the facility will arrange for the business office to deduce support payments from the inmate's personal account, and shall forward these funds directly to the inmate's family, the Family Court, or the Department of Social Services.

(f) If a work release participant refuses to make financial payments toward the support of this acknowledged or legal dependents, he is likely to be charged with the crime of nonsupport. His continued temporary release participation is, therefore, in jeopardy. The inmate is to be immediately placed on restriction and referred to the temporary release committee for program evaulation.

(4) Educational release expenses and financial procedures—regular allowances.

(i) Inmates assigned to an educational release program will assume all expenses related to their participation in that program.

(ii) Inmates who enter the educational release program shall be cautioned that all funds which have been advanced to them, except funds for meals and their miscellaneous daily allowance, are reimbursable to the Department of Correctional Services. Should the inmate obtain, or be expected to obtain, financial assistance for any outside source (e.g., G.I. bill, veteran's benefits, Social Security, scholarships, family assistance) he or she will be required to reimburse the Department of Correctional Services for all funds which were advanced to them.

(iii) Inmates are to be instructed that they are not to apply for, or to receive funding for, any kinds of educational release reimbursement without the knowledge of the facility's temporary release committee chairperson. This includes all benefits from the Veterans Administration, Social Security, school stipends, or any other sources.

(iv) The superintendent shall delegate a correction counselor or temporary release parole officer the responsibility and authority to coordinate the educational release participant's application for, and utilization of, all educational release funding. The inmate shall be instructed that he is responsible to report all funds which he receives for educational release purposes to this same correction counselor or temporary release parole officer.

(v) If an educational release participant receives any kind of financial aid which is not paid directly to the college or school, this stipend must be reported to the facility, and placed in the inmate's personal account for the purpose of paying educational expenses.

(vi) If it is discovered that an educational release participant has failed to report all funds received by him for educational purposes, he is to be immediately placed on restriction and referred to the temporary release committee for program evaluation.

(vii) Educational release participants are eligible for the following funds:

(a) A maximum of $20 per day for all expenses, including transportation costs or meals not provided by the facility. Meal allowances are only for meals which the inmate is required to purchase while he is out of the facility. The facility must make every attempt to provide the inmate with a breakfast before he leaves the facility and with a dinner after he returns to the facility in the evening.

(b) A miscellaneous allowance of $2 per school day.

(1) The miscellaneous allowances of $2 per school day will only be given for each day that an inmate attends class. The inmate is not given this allowance for any day that he was held in the facility or was not in class.

(2) The miscellaneous allowance is not to be considered an advance which the inmate must repay. Inmates may still be assigned to perform institutional duties during days on which they do not attend classes.

(c) Advances for transportation costs if the facility does not provide the inmate with transportation to and from school.

(d) Advances for clothing costs, books and school supplies up to $200 each semester, where the source of reimbursement is verified. This advanced money must be reimbursed prior to the start of the next semester.

(e) Educational expenses for education release inmates are the responsibility of the college staff and the inmate. The college financial aid office or coordinator's staff should initiate inquiries into the financial capabilities of the inmate's families and the inmate himself 4-6 weeks before the start of the semester and final payment arrangements for the financial obligations must be completed before registration. Therefore, the Department of Correctional Services will identify potential students to the college 6-8 weeks before the start of the semester. If neither personal financing nor other educational funding (i.e., TAP or BEOG) is available to an inmate, that inmate cannot enroll.

(5) Community services leave financial procedures.

(i) Inmates participating in the community services leave program will receive an allowance which is the equivalent to the highest incentive allowance granted to an inmate plus one dollar, and will be credited for this allowance each day they leave the facility to perform volunteer community service work.

(ii) Inmates participating in the community services leave program will also receive their transportation costs and the meal allowances which were specified for the educational release participants in this subdivision, in the event that the facility elects not to provide the inmate with transportation and a boxed lunch.

(6) Leave of absence financial procedures.

(i) Inmates leaving a correctional facility to make a death bed visit or to attend a funeral will assume all expenses connected with this type of leave. The inmate may request the disbursement of money from his personal account to cover the costs of transportation, lodging, and meals when these needs are not going to be met by a relative or friend, and up to $25 for incidental expenses. However, the money requested by the inmate for incidental expenses is subject to review by the inmate's correction counselor or temporary release parole officer and by the superintendent.

(ii) Inmates leaving a correctional facility in order to receive medical or dental treatment which is not available in the New York State Department of Correctional Services system must assume the total financial responsibility for all medical and dental expenses incurred by them, except for those medical and dental expenses which the Department of Correctional Services had contracted with the doctor, dentist, hospital or clinic to provide for the inmate prior to his release from the institution on emergency leave of absence.

(iii) An inmate leaving the facility on emergency medical leave of absence may request the same funds as were detailed in paragraph (1) of this subdivision from his personal account. However, in those cases where the Department of Correctional Services has contracted with a doctor, dentist, hospital or clinic to provide medical or dental services for a temporary release participant, the department, itself, will assume the cost of all transportation, lodging and meals when the department has not already made arrangements for transportation, lodging and meals to be provided to the inmate.

(7) Furlough expenses.

(i) Family tie, housing, job search furloughs. Continuous temporary release participants who are granted furloughs for the purpose of seeking employment, seeking post-release housing, or maintaining family ties must use their own funds to cover all expenses connected with such furlough participation.

(ii) Job search furloughs.

(a) If a work release approved inmate does not have sufficient funds in his personal account to cover the expenses connected with searching for employment, the inmate's correction counselor or temporary release parole officer, depending upon who has been assigned this duty by the superintendent, may authorize the business office to disburse funds to cover the cost of the inmate's transportation, meals and telephone calls.

(b) If a work release approved inmate does not have sufficient funds in his personal account to cover the expenses connected with searching for employment, the inmate's correction counselor or temporary release parole officer, depending upon who has been designated this duty by the superintendent, may authorize the business office to advance to the inmate a maximum of $20 per day for all of his expenses, including meals and transportation costs not provided by the facility. The inmate should be made to understand that all money advanced to him must be repaid to the department as soon as the inmate has funds to repay these advances.

(iii) Furloughs.

(a) If a newly arrived continuous temporary release participant has never gone out of the facility on a family ties furlough since his arrival in the facility and cannot go on a family ties furlough because he has insufficient funds in his personal account, the inmate's correction counselor or temporary release parole officer, depending upon who has been assigned this responsibility by the facility's superintendent, may authorize the business office to advance the inmate up to $25 to cover the transportation costs of one furlough. However, the inmate may only be advanced funds to cover the transportation costs of one, and only one, furlough, and all other furlough expenses must be deducted from his own personal account.

(b) If a continuous temporary release participant has sufficient funds in his personal account, the inmate will be allowed to request the business office to release his funds for transportation and expenses. However, the disbursement of furlough funds from a continuous temporary release participant's personal account should not be allowed to deplete the inmate's personal account to the point that he may not be able to meet the following week's work or educational leave expenses, and the correction counselor or temporary release parole officer should make certain that the inmate's request for funds will not do so before approving his IAS 2706.

(c) For the same reason as was given above, the inmate's correction counselor, temporary release parole officer, and the superintendent should be very selective when reviewing the requests for out-of-area furloughs from inmates whose proposed furlough residences are far removed from the facility and who are requesting larger than usual amounts of transportation money to travel to and from these distant furlough addresses.

(8) Credit and installment purchases. Continuous temporary release participants are prohibited from taking out business or personal loans, applying for credit or credit cards, or making purchases on credit or on an installment basis without first receiving the written approval of the temporary release committee and superintendent to do so. It is expected that such approval will rarely be given, and then only for very unusual situations involving only the most emotionally mature inmates.

(g) Supervision standards in continuous temporary release programs.

(1) Casework and caseload assignment.

(i) Correction counselors and temporary release parole officers shall have concurrent responsibility to supervise inmates who are participating in continuous temporary release programs. The correction counselor shall have major casework responsibility and major supervisory responsibility for inmates who are in orientation, are unemployed, or who, for one reason or another, do not regularly leave the facility, while the temporary release parole officer shall have major casework responsibility and major supervisory responsibility for inmates who are employed, attending classes, and leaving the facility regularly each day. During the transition phase when an inmate is going out on job search furloughs, it will be necessary for the correction counselor and temporary release parole officer to coordinate their efforts to supervise the inmate and assist him in his quest for employment.

(ii) The chairperson of the facility's temporary release committee shall, therefore, assign every temporary release participant to the supervision of a correction counselor and, after consultation with the senior parole officer, make certain that each continuous temporary release participant has been assigned to the supervision of a temporary release parole officer at the ratio of no more than 33 inmate participants to each temporary release parole officer. The temporary release committee chairperson shall maintain records which clearly indicate which correction counselor and which temporary release parole officer have been assigned to supervise each continuous temporary release participant.

(iii) The temporary release committee chairperson and in his absence, the superintendent, are the Department of Correctional Services officials at the facility level who are responsible to monitor and assure the department's temporary release supervision standards are being maintained. The temporary release committee chairperson is also the facility's casework manager and shall coordinate the casework and supervisory activities of the correction counselor and, after consultation with the senior parole officer, the temporary release parole officers. The temporary release committee chairperson must be certain that casework services are being properly and efficiently delivered, that no duplication of effort exists, and that the inmate's activities both in-house and in the community, are being properly investigated, supervised and verified.

(iv) In order to carry out his responsibilities, the temporary release committee chairperson, after consulting the senior parole officer, shall schedule and preside over weekly casework conferences between the counselors, temporary release parole officers, security and administrative staff in order to monitor and discuss the progress, or lack of progress, of the temporary release participants in program, to discuss the problem areas among and between the various staff units providing services to the inmates, to monitor and evaluate the degree to which the department's supervisory standards are being met by the various staff units, and to assign responsibility and to delegate work assignments to various staff units so as to correct any program deficiencies that come to the temporary release committee chairperson's attention during these case conferences.

(v) Due to some unique aspects and staffing patterns at some of the upstate work release facilities, it is recognized that some of the foregoing rules and regulations on casework assignment will have to be modified to satisfy local conditions.

(vi) Initial interviews. As soon as possible upon reception at a continuous temporary release facility, each inmate shall be given an initial interview by both the correction counselor and temporary release parole officer who have been assigned to supervise him. Both the correction counselor and temporary release parole officer shall explain the rules and regulations of the program to the inmate, and assure themselves that the inmate understands what is expected of him.

(vii) Counseling sessions.

(a) Both correction counselors and temporary release parole officers shall meet at the facility with each inmate for whom they have major casework responsibility at least once each week in order to establish goals, review progress, formulate treatment plans, provide guidance and transmit information. The temporary release committee chairperson will advise who has the major casework responsibility for the inmate at the weekly meetings between the staff.

(b) In order to conduct these counseling sessions, it is necessary that both the correction counselors and temporary release parole officers spend a minimum of one evening each week at the facility, and perhaps two evenings each week when their caseloads require such coverage.

(viii) Job development. Correction counselors and temporary release parole officers shall have concurrent responsibility to develop jobs for unemployed work release participants on their caseloads.

(ix) Recording.

(a) The temporary release parole officer shall have the responsibility to submit a form 2551, chronological report, bimonthly to the temporary release committee chairperson on every inmate under his supervision. In those cases where a temporary release participant's progress in program is rated as unsatisfactory on the form 2551, monthly report, the temporary release parole officer shall indicate on the bottom of the report the reason(s) why the inmate's progress in program is unsatisfactory, and his treatment plan for dealing with the inmate's unsatisfactory progress.

(b) The temporary release parole officer shall also have the responsibility to submit a form 4184, monthly temporary release parole supervision report, to the temporary release committee chairperson by the seventh day of the following month which will list the names of all of the continuous temporary release participants whom the temporary release parole officer had under supervision that month and the case contacts which the temporary release parole officer had with each inmate.

(c) In the event that a continuous temporary release participant is arrested while participating in program, or absconds from program, the temporary release parole officer shall be responsible for submitting a violation of temporary release report to the temporary release committee chairperson, using the format normally used for violation of parole reports. The violation of temporary release report should be submitted within two weeks of the date that the continuous temporary release participant was arrested or absconded.

(2) Field supervision.

(i) Inmate's furlough residence.

(a) Verification of inmate's furlough residence prior to initial furlough.

(1) No inmate shall be granted a furlough while participating in a continuous TRP unless the proposed furlough residence has been approved by the facility's temporary release committee chairperson.

(2) In the case of an inmate with an out-of-area furlough residence which is located outside of the county, or in New York City, outside of the city, where the facility is located, no inmate shall be granted a furlough while participating in a continuous temporary release program unless either a parole officer has visited the residence within the past six months and that residence has been approved for furlough purposes by the facility's temporary release committee chairperson or until the facility's temporary release committee chairperson has mailed out a temporary release program residence questionnaire to the person who is offering the inmate a furlough residence and that questionnaire has been returned to the facility containing the notarized signature of the person offering the inmate a furlough residence. Whenever possible, this returned questionnaire should be followed up by the temporary release parole officer conducting a telephone interview with the person who has returned the signed and notarized temporary release program residence questionnaire before the inmate is actually released on a furlough.

(3) In any case where there is an unusual amount of doubt about the suitability of the inmate's proposed furlough residence, or for other unusual reasons, the inmate should not be granted a furlough while participating in a continuous temporary release program until a parole officer has requested an out-of-area parole supervision investigation on form IS-2 from the Division of Parole area parole office which covers the geographic region where the inmate's furlough residence is located, that investigation has been completed, and the proposed furlough residence has been approved by the facility's temporary release committee chairperson.

(b) Verification of furlough residence after the inmate's initial furlough.

(1) Each temporary release parole officer (with the exception of out-of-area cases noted in subclause [4] of this clause) should make a minimum of one home visit monthly to the approved furlough residence of those inmates who are participating in furloughs. That home visit may take place on a weekend day or holiday when the inmate could be expected to be at his furlough residence. When an inmate is on a furlough, he should anticipate a visit by a temporary release parole officer, and, where warranted, the parole officer may impose a curfew in order to make certain that he will find the inmate at his furlough residence. Regular visits to the inmate's residence, including personal interviews with the inmate and members of his family, are an essential part of the casework process. It is very important that the parole office endeavor to gain, in the course of home visits, an adequate knowledge of members of the inmate's family and their attitudes toward each other, the inmate and his problems. It is especially important that the parole officer attempt to become informed of any unusual problems which the family members are aware that the inmate is experiencing so that the proper corrective action can be taken. The simplest accomplishment of a home visit is residence verification.

(2) The temporary release parole officer must make at lease one positive home visit to a continuous temporary release participant's approved furlough residence (with the exception of out-of-area cases noted in subclause [4] of this clause) every three months. In order for a positive home visit to have taken place, the parole officer must actually see the inmate present inside of his approved furlough residence.

(3) If a continuous temporary release participant is not taking part in the furlough program and the temporary release parole officer has no responsibility to visit or verify the inmate's furlough residence (including out-of-area cases) this fact shall be carefully recorded in the inmate's case file each month and on form 2551 and form 4184 monthly reports.

(4) Where the continuous temporary release participant's approved furlough residence is outside the region covered by the area parole office where the facility is located (or if furloughed from a New York City facility and the residence is outside of the New York City and Long Island region), the temporary release parole officer is not required to make home visits to the inmate's furlough residence. However, after an inmate has completed his initial furlough the temporary release parole officer shall request an out-of-area parole supervision investigation on form IS-2 from the area parole officer which covers the geographic region where the inmate's furlough residence is located. If this IS-2 is returned indicating that there are not unusual problems with the inmate's furlough residence and that he had no unusual problems in the community while out on his furlough, the temporary release parole officer is not required to request any further checks of the inmate's furlough residence by the Division of Parole. However, the temporary release parole officer shall complete a minimum of one telephone call to the inmate's approved furlough residence each month in an attempt to verify the inmate's furlough residence, establish a relationship with his family, and to learn of any problems which the family is aware that the inmate is experiencing so that corrective action may be taken. In those out-of-area cases where the inmate's approved furlough residence does not have a telephone, the temporary release parole officer shall once a month request an out-of-area parole supervision investigation on form IS-2 from the area parole office which covers the geographic region where the inmate's approved furlough residence is located. Also, in certain out-of-area cases where the temporary release parole officer suspects that the inmate is having unusual problems, or, perhaps is making an unsatisfactory community adjustment while on furlough—even in those areas where the parole officer is in telephone contact with the inmate's furlough residence—the parole officer shall request an out-of-area parole supervision investigation on form IS-2 from the area parole office which covers the geographic region where the inmate's furlough residence is located.

(5) Where the continuous temporary release participant's furlough residence is outside of the city or town where the facility is located, the chairperson of the facility's temporary release committee shall see to it that prior to the inmate's initial furlough a form TRP-8 shall be forwarded to the appropriate local law enforcement agency and to the area parole office which covers the geographic region where the inmate's furlough residence is located, at least five days prior to the initial furlough alerting them of the inmate's pending furlough, his furlough address, and the name, work location and telephone number of the temporary release parole officer that has the inmate under continuous temporary release parole supervision. Provided that the initial TRP-8 alerts the local law enforcement agency and area parole office that the inmate will be continually released on a furlough at specified periods of time thereafter, there is no need to forward other form TRP-8's each time that the inmate goes on a furlough.

(6) Inmates who participate in continuous temporary release programs who are already under the supervision of a parole officer and who have furlough residences outside of the geographic region where the facility is located are not subject to the same reporting requirements as apply to general confinement inmates described in Part 1901 of this Title. However, the temporary release parole officer may, in unusual situations where he feels that it is appropriate, instruct the continuous temporary release participant to report to the area office if he has first made certain that the area office has the means to take a report from the inmate.

(ii) Inmate's employment program.

(a) The temporary release parole officer must make at least one positive employment visit per month to the inmate's place of employment in order to verify a continuous temporary release participant's employment program. Besides verifying the inmate's employment, the temporary release parole officer should use the employment visits to obtain information about the inmate's attendance, work habits, attitude toward work, and any other information which might be useful in planning for the casework needs of the inmate.

(b) The temporary release parole officer must make a positive employment visit to the inmate's place of employment during the first 10 days from the date an inmate becomes employed on a new job, and one positive employment visit to the inmate's place of employment every month thereafter. In order for a positive employment visit to have taken place, the temporary release parole officer must actually see the inmate present at his approved place of employment.

(c) When making his initial employment visit to the inmate's place of employment, the temporary release parole officer will make certain that the inmate's employer, or a representative of the inmate's employer, has been made aware of the inmate's work release status. If for some reason the inmate's employer, or a representative of his employer, has not been advised about the work release status of the inmate, the temporary release parole officer shall be responsible for informing the employer of this fact. Further, if the inmate's history of a specific type of criminal behavior, when viewed beside the type or nature of the employment which the inmate will be performing, would constitute a special hazard for the employer or the community, the temporary release parole officer shall have the responsibility to make the employer aware of these facts. However, under no circumstances shall any temporary release parole officer (or for that matter any New York State employee) give the employer any information whatsoever about the inmate's use of illegal narcotic drugs, excessive use of alcoholic beverages, mental health status, or physical health status without first obtaining a written statement from the inmate authorizing the department to release such information.

(d) Upon completion of his initial employment visit to the inmate's place of employment, the temporary release parole officer will record on his form 2551, monthly report, that the inmate's employer has been made aware of the inmate's work release status and whether or not the inmate's history of a specific type of criminal behavior would constitute a special hazard. If so, the temporary release parole officer must record on form 2551 that the inmate's employer was so informed.

(iii) Inmate's educational release program.

(a) The temporary release parole officer must make a minimum of one positive employment visit each month to the school where the inmate is taking part in an educational release program. In order for such a positive employment visit to have taken place, the temporary release parole officer must actually see the inmate, himself, present at school.

(b) The temporary release parole officer shall make use of these employment visits to the inmate's school in order to establish relationships with the staff of the institution which may help him to monitor the inmate's progress, or lack of progress, in his educational release program.

(c) When making his initial employment visit to the inmate's school or college, the temporary release parole officer shall make certain that the school or college's Registrar or Dean of academic affairs, or an appropriate representative of these officials, is aware of the educational release status of the inmate, and shall follow the procedures previously detailed in clause (ii)(c) of this paragraph.

(d) Section 852.3 of the Correction Law, states that the department may only permit temporary release participants to take part in educational release programs at schools and colleges which agree to maintain attendance records for participating inmates. The temporary release parole officer shall, therefore, have the responsibility to make certain that the educational release participant's school or college maintains a record of class attendance for each educational release participant, and that this attendance record is continually and accurately maintained by the college.

(e) The temporary release parole officer should request that each school or college which has educational release participants enrolled in classes designate a staff member to act as a liaison with him, and the name of this person should be reported to the temporary release committee chairperson. The liaison person should receive the attendance records from the school's instructors not less frequently than once every two weeks, and should make them available to the temporary release parole officer as required.

(f) Temporary release parole officers who supervise educational release participants must verify each participant's attendance in classes a minimum of once every two weeks. Unauthorized absences from classes are to be immediately reported to the facility's temporary release committee chairperson.

(g) In order for the temporary release parole officer to more easily accomplish his responsibility to supervise educational release participants, he should contact the person who has been delegated as his liaison with the school or college, and provide him with a list of inmates planning to attend the college during the next semester. The liaison person, upon receipt of this list and after registration for classes, will be able to determine the educational release participants' class schedule, obtain the necessary attendance information from the inmate's instructors, and alert the temporary release parole officer of any unsatisfactory behavior, deteriorating class performance, or lack of interest on the part of the inmate.

(h) The temporary release parole officer supervising educational release participants shall maintain attendance records in his field log for all educational release participants and shall file these attendance records in the inmate's institutional file when the inmate completes his educational release program or leaves the correctional facility.

(i) Section 855.4 of the Correction Law, states that the department shall consider the scheduling of classes to insure a reduction of release time (for educational release participants) not spent in educational pursuits. Consequently, the hours during which an educational release participant is permitted to be away from the correctional facility should bear a direct relation to the beginning and ending times of classes and should allow only reasonable travel time to and from the facility. The inmate's correction counselor and temporary release parole officer should, therefore, demand that the educational release participant schedule his classes as close together as possible in order to minimize idle time spent between classes. Of course, allowances may be made for reasonable meal periods and occasional periods of time for library study, conferences with instructors and counselors and for special help and attention from the school.

(j) However, it is clear that the intent of the State Legislature is obviously to reduce the amount of time that an educational release participant spends on campus while not engaged in educational pursuits. The temporary release committee chairperson should ensure that the correction counselor and temporary release parole officer has this fact in mind when scheduling the educational release participant's day outside of the facility.

(k) Each facility's temporary release committee chairperson shall keep a record of every inmate enrolled in a vocational or college level educational release program. At the conclusion of each semester the temporary release committee chairperson shall prepare and forward to the director of temporary release programs a list of all inmates who were enrolled in educational release programs at his facility that semester and indicate on the list whether or not the inmate completed the semester in a satisfactory manner. If the inmate did not complete the semester in a satisfactory manner for any reason (including parole, transfer to another facility, sickness, etc.), the list will indicate the reason(s) for the inmate's noncompletion. Whenever possible, the temporary release committee chairperson will request that the temporary release parole officer provide him with a transcript of the inmate's grades while in an educational release program during the semester and a photostatic copy of these transcripts will be forwarded to the director of temporary release programs attached to the temporary release committee chairperson's previously mentioned list.

(iv) Community services leave and industrial training leave programs. Inmates who are participating in continuous community services leave and industrial training leave programs shall be subject to the same supervision standards as are specified in this subdivision.

(3) Furlough schedules and procedures for continuous temporary release participants.

(i) Requests for furlough. The facility superintendent of the work release facility will establish the furlough schedule for inmates participating in a work release or educational release program of continuous temporary release. The facility superintendent of the general confinement facility overseeing a program of industrial training leave or community service leave will establish the furlough schedule for inmates participating in such programs of continuous temporary release. Such schedules may allow for repetitive, recurring furloughs provided that each individual furlough shall not exceed seven days in duration in accordance with Correction Law, section 851.

(ii) Parole board decisions which change an inmate's status with relation to his next parole board appearance date are to be taken into account in determining the inmate's furlough scheduling. Whenever an inmate appears before the board and is ordered held by the board, in addition to meeting and reviewing the question of whether the inmate should continue to remain in his continuous temporary release program, the temporary release committee must also determine whether a change in the inmate's furlough scheduling is in order.

(iii) Inmates without suitable furlough addresses may only be given furloughs for short, specified periods of time in order to take part in specified activities, section 1903.2(e)(7) of this Part.

(4) Absconding from continuous temporary release programs.

(i) The facility shall follow the same absconder procedures detailed in section 1901.2(b)(3)(iv) of this Title, for general confinement, short-term temporary release participants except as noted in this paragraph.

(ii) The temporary release parole officer who had the continuous temporary release participant under supervision, upon being advised that the participant has failed to return to the facility, shall have the responsibility to verify that the participant has, in fact, absconded from temporary release. This verification shall be done, wherever possible, by making visits to the absconder's furlough residence and place of employment. When the temporary release parole officer finds it impossible to make visits to the absconder's furlough residence and place of employment, he must, at a very minimum, make telephone contact with them.

(iii) For the first 30 days after a continuous temporary release participant has absconded from temporary release, the temporary release parole officer and the Department of Correctional Services inspector general's office shall have a concurrent responsibility to search for and apprehend the absconder. Generally speaking, the inspector general's office will assume the major responsibility for the search for and apprehension of the absconder if he is in the New York City metropolitan area, while the temporary release parole officer will assume major responsibility for the search and apprehension of continuous temporary releasees who abscond from upstate correctional facilities and remain in the upstate area.

(iv) Temporary release parole officers are not to search for or attempt to apprehend continuous temporary release participants in the New York City metropolitan area without first consulting with the agent in charge of the inspector general's office's absconder search unit to assure no duplication of effort in the search for the absconder.

(v) If a continuous temporary release participant has not been apprehended within 30 days of the date that he absconded, the inspector general's office will assume total responsibility, in coordination with law enforcement agencies, for the search and apprehension of the absconder. However, the temporary release parole officer shall still remain attentive to the absconder effort, should pass on all leads which come to his attention to the inspector general's absconder search unit, and shall be available to assist the staff of that unit when they are requested to do so.

(vi) The temporary release parole officers are responsible for preparing a violation of temporary release report using the format normally used in a violation of parole report within two weeks of the date that a continuous temporary release participant absconds from temporary release. If the absconder is later arrested on new criminal charges, the temporary release parole officers are responsible for preparing a supplementary violation of temporary release report detailing the new criminal charges within two weeks of the date that this new arrest takes place.

(5) New arrests of continuous temporary release participants.

(i) The facility shall follow the same procedures for new arrests of continuous temporary release participants as was detailed in section 1901.2(b)(3)(v) of this Title, for short-term temporary release participants except as noted below.

(ii) The temporary release parole officer, upon being advised of the continuous temporary release participant's new arrest, is responsible for gathering the facts surrounding the new arrest, presenting these facts to the temporary release committee chairperson or superintendent, and following up to determine the court's disposition of the pending criminal charges.

(iii) If a decision is made to issue a violation of temporary release warrant for the inmate's detention, the temporary release parole officer is responsible for lodging this warrant at the place where the inmate is confined.

(iv) When a continuous temporary release participant is arrested, the temporary release parole officer who had him under his supervision is responsible for the preparation of a violation of temporary release report presenting the facts surrounding the new arrest within two weeks of the date of the inmate's arrest. The temporary release parole officer shall also prepare and submit a supplementary violation of temporary release report within two weeks of the date of a court disposition of this new arrest.

(6) Temporary release committee review.

(i) Whenever any employee of the Department of Correctional Services or Division of Parole at a facility where a continuous temporary release participant is confined has any firsthand knowledge that a participant's adjustment in program is unsatisfactory or deteriorating, he must complete a form 4187, request for temporary release committee review, indicating the reason(s) for his concern as detailed in the following section and submit the completed form 4187 to the temporary release committee chairperson.

(ii) The temporary release committee chairperson must then arrange for the temporary release committee to interview the inmate, review the situation, and then make a recommendation to the superintendent on form 4187.

(iii) After the superintendent has made a decision in the case, it must be recorded on form 4187. The original form 4187 must be maintained at the facility and a copy placed in the inmate's file. The superintendent's decision is final unless the inmate appeals the decision to the director of central office temporary release programs (see section 1904.3 of this Title).

Part 1904 REMOVAL FROM TEMPORARY RELEASE PROGRAM

7 CRR-NY 1904.1 Revocation of temporary release {#sec-7-crr-ny-1904.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1904.1}

(a) Participation in the temporary release program is a privilege. An inmate does not have the right to participate, or to continue to participate, in the temporary release programming. A superintendent may at any time revoke an inmate's participation in the temporary release program, and upon the recommendation of the temporary release committee, the commissioner, or the chairman of the board of parole or his designee, shall revoke an inmate's privilege to participate in the temporary release program.

(b) A superintendent may revoke an inmate's participation in the temporary release program upon recommendation of the temporary release committee, or the commissioner, or at any time that the superintendent has knowledge that the inmate's continued participation in a temporary release program is inconsistent with the safety of the community, is inconsistent with the best interest of the inmate, or if the inmate has indicated by his conduct that there is a substantial likelihood that he cannot successfully adjust his temporary release program.

(c) Indicators of unsuitability for continued participation in the temporary release program include, but not limited to, the following:

(1) arrest and/or conviction for crimes committed while participating in the temporary release program;

(2) absconding, or attempting to abscond from the temporary release program or otherwise not returning to the facility at the time and date directed pursuant to the signed temporary release contract;

(3) violations of departmental rules;

(4) threats made by the participant against himself or others;

(5) threats made against the inmate which require his placement in protective custody;

(6) changes in an inmate's physical or mental status;

(7) an inmate's poor attitude as indicated by evaluations by a parole officer, employer, or educational institutional representative;

(8) lack of motivation by an inmate in his temporary release program;

(9) significant change in employment or student status;

(10) if an inmate has failed to secure employment within six weeks of completion of orientation;

(11) refusal by the inmate to repay any advance made to him;

(12) refusal by inmate to repay the weekly work release participation charge;

(13) inmate's presence in the community places him at risk or there is information which indicates that the inmate's presence in the community places the integrity or public acceptance of the program at risk; or

(14) outstanding warrants/detainers, commitments, open charges or immigration status as stated in section 1900.4(c)(5) of this Title.

7 CRR-NY 1904.2 Removal procedure {#sec-7-crr-ny-1904.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1904.2}

(a) Any facility employee of the Department of Correctional Services or the Division of Parole who is assigned to the facility where the inmate is confined and who has knowledge of an inmate's unsatisfactory adjustment may file a written statement to the chairperson of the temporary release committee requesting that the committee review the inmate's adjustment to the Temporary Release Program. Upon completion of its review, the committee will forward a recommendation regarding the inmate's continued participation to the facility superintendent.

(b) If a temporary release inmate violates any provision of the program, or any rule or regulation promulgated by the commissioner for conduct of inmates participating in temporary release programs, such inmate shall be subject to disciplinary measures to the same extent as if he or she violated a rule or regulation of the commissioner for conduct of inmates confined in a general confinement facility.

(c) An inmate who is considered a security risk may be immediately transferred to a more secure correctional facility prior to the initiation of disciplinary proceedings or an appearance before the temporary release committee if:

(1) he is violent;

(2) he presents a danger to himself, to others, to property or to facility security;

(3) there is an immediate threat to his safety;

(4) there is reasonable cause to believe that he may try to abscond; or

(5) the inmate has been arrested.

(d) An inmate may be transferred to another correctional facility for medical purposes prior to an evaluation by the temporary release committee.

(e) A transfer order to move an inmate out of a work release facility shall be obtained from the director of the temporary release program.

(f) Upon completion of Tier I and II hearings, the hearing officer may refer the case to the temporary release committee for review. All Tier III hearings however must be referred to the temporary release committee by the hearing officer for review. The hearing officer may not impose as a penalty removal from the temporary release program. Only the temporary release committee can remove an inmate from the program. Regardless of the outcome of any disciplinary hearing, the temporary release committee retains the right to review an inmate's behavior and remove the inmate from the program based on the factors delineated in section 1904.1(b) of this Part. If the temporary release committee does conduct a review of an inmate's program adjustment, the temporary release committee must submit a recommendation to the superintendent concerning the inmate's continued participation in the temporary release program.

(g) The temporary release committee may not use a misbehavior report as a basis for recommending that an inmate be removed from the temporary release program when the violation has not been sustained.

(h) When the temporary release committee is reviewing an inmate’s appropriateness for continued participation in a temporary release program, the temporary release committee shall conduct a full hearing to ensure that the inmate has been afforded due process. The following procedures are to be followed:

(1) An inmate should be provided with a notice of specific reasons for the referral at least 24 hours prior to the temporary release committee meeting. A non-English speaking inmate who cannot read and understand English must be given a translated notice and a translator shall be present at the hearing.

(2) The inmate shall make a personal appearance before a temporary release committee unless he or she refuses to attend, or is excluded for reasons of institutional safety or correctional goals.

(3) An electronic recording of the entire hearing shall be made.

(4) An opportunity for an inmate to request an inmate assistant if the inmate is illiterate, non-English speaking, the issues are complex, the inmate is “keeplocked” or in SHU and unable to prepare a defense, or the inmate is sensorially disabled (in which case the inmate will be provided reasonable accommodations including, but not limited to, the provision of a qualified sign language interpreter for a deaf and hard-of-hearing inmate who uses sign language to communicate).

(5) An opportunity for the inmate to call witnesses and to proffer questions to be asked of witnesses called.

(6) An opportunity to reply and produce documentary evidence.

(7) A written statement setting forth the decision and the evidence relied on, following the superintendent's review of the temporary release committee's recommendation. A non-English-speaking inmate who cannot read and understand English must be given a translated statement.

(8) Form 4187 must then be completed and a copy kept on file.

(i) The superintendent shall either approve or disapprove a recommendation made by the temporary release committee. If the superintendent disapproves a temporary release committee recommendation, he/she shall submit a written statement to the temporary release committee.

(j) Where the superintendent revokes an inmate’s privilege to participate in the temporary release program, he will immediately decide whether or not the inmate’s removal from the temporary release committee makes him unsuitable to remain at his present facility. If the superintendent determines that the inmate should not remain at his present facility, he shall contact the director of the temporary release program to obtain a transfer order to a more secure facility.

(k) When a superintendent revokes an inmate's privilege to participate in the temporary release program, he will immediately advise the chairperson of the temporary release committee. The chairperson of the temporary release committee will forward to the inmate a written statement briefly advising the inmate that the superintendent has ordered him removed from the temporary release program and stating the reasons why the temporary release committee recommends that the action be taken. This statement should be forwarded to the inmate within a week of his removal. Copies of this statement should be forwarded to the guidance unit and parole officer at any institution where the inmate has been transferred.

7 CRR-NY 1904.3 Relapse Program {#sec-7-crr-ny-1904.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1904.3}

If an inmate who is participating in a continuous temporary release program receives a urinalysis or breathalyzer test that is positive for drugs or alcohol in violation of his memorandum of agreement, he may, after being reviewed and approved by the Temporary Release Committee (TRC) and the superintendent, in accordance with section 1904.2(i)-(k) of this Part, be given the opportunity to enter a relapse program for alcohol and substance abuse treatment. Participation in the Relapse Program will be based upon the inmate’s consent to the following agreement:

RELAPSE PROGRAM AGREEMENT

I want to participate in the Relapse Program which is part of the Continuous Temporary Release Program. I understand that the results of a urinalysis/breathalyzer test dated __ constitute a violation of Departmental, institutional and/or temporary release program rules and regulations. I also understand that, based upon the subject test results, I would ordinarily be served with a misbehavior report alleging a violation of the Standards of Inmate Behavior and be referred to the Temporary Release Committee for a temporary release removal proceeding. I agree, however, to waive service of a misbehavior report and any disciplinary proceeding on this issue. I further agree to participate in the Department's Relapse Program for alcohol and substance abuse treatment. I understand that I will have only one opportunity to participate in the Relapse Program. I understand that I will be transferred to a general confinement facility in order to participate in the Relapse Program and that the Relapse Program will last approximately sixty days. I realize that, in some instances, the Program will be shorter. Thereafter, if I have successfully completed the Treatment Program, I will be returned to full participation in the continuous temporary release program.

I also understand and agree that I can be removed from the Relapse Program at any time in accordance with the provisions of section 1904.1. I further understand and agree that, if I am removed from the Relapse Program, I will not be reinstated to the continuous temporary release program. I also understand, however, that I may subsequently, reapply for participation in the continuous temporary release program pursuant to applicable Department eligibility requirements.

I have read and fully understand and agree to the above terms and conditions.

Date: ______ Inmate's signature

Witness' signature

7 CRR-NY 1904.4 Appeal of removal from temporary release program {#sec-7-crr-ny-1904.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1904.4}

An inmate may appeal the decision to remove him from a continuous temporary release program by completing the appropriate form and submitting it to the central office director of temporary release.

(a) The appeal must be submitted within 30 days of the inmate's receipt of the superintendent's decision to remove him from program.

(b) Upon the request of central office temporary release programs, the superintendent will transmit a copy of form 4187 and all supporting documentation to the director of central office temporary release programs.

(c) The central office director of temporary release will render a final decision within 60 days of receipt of the appeal.

7 CRR-NY 1904.5 Parole Board action affecting temporary release participation {#sec-7-crr-ny-1904.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1904.5}

(a) Notification.

(1) The senior parole officer at a facility will immediately notify the TRC chairperson of any board decisions concerning continuous TRP participants who have met the board and have been ordered held for some period of time, so that the committee may make a prompt decision as to whether or not a participant should continue to participate in TRP. Whenever possible, the senior parole officer should give the TRC chairperson the reason(s) for the inmate's being held to appear before a later meeting of the board.

(b) Inmates held by the board.

(1) Inmates who have been held by the board for some period of time, shall be reevaluated by the facility TRC to determine whether or not they should be permitted to continue in TRP and whether their furlough scheduling pattern should be changed before they are again permitted to leave the facility on temporary release.

(2) If the TRC concludes that an inmate should be removed from his TRP because of the board's decision, a second TRC committee meeting will be scheduled during which the inmate will personally appear and the procedures detailed earlier in this section will be followed. Any determination made by the TRC in the case, whether positive or negative, will be annotated on a form 4187, reviewed by the superintendent, and forwarded to the director of COTRP.

Subchapter B RESIDENTIAL TREATMENT FACILITY DAY REPORTING CENTER PROGRAM

Part 1925 CRITERIA FOR RESIDENTIAL TREATMENT FACILITY DAY REPORTING CENTER PROGRAM

7 CRR-NY 1925.1 In general {#sec-7-crr-ny-1925.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1925.1}

The rules and regulations set forth in Subchapter B govern the administration of the department's residential treatment facility day reporting center program. Day reporting center programs may only be established at correctional facilities classified as residential treatment facilities.

7 CRR-NY 1925.2 Criteria for participation in a Day Reporting Center Program {#sec-7-crr-ny-1925.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1925.2}

A day reporting center program under which an eligible and approved inmate who: (a) has successfully participated in a work release program; (b) has successfully completed furloughs to an approved residence; and (c) is within six months of becoming eligible for parole or, who has one year or less to be served under his sentence, is assigned from a work release facility to a residential treatment facility to participate in a program regimen which shall consist of continued employment, reporting to the facility and/or other designated reporting locations during certain prescribed periods of time while residing at an approved residence, frequent urinalysis and, where appropriate, participation in alcohol and substance abuse treatment programs or other programs of rehabilitation. An inmate may only be assigned to the day reporting program by the superintendent of the work release facility where the inmate is currently located.

7 CRR-NY 1925.3 Criminal history criteria {#sec-7-crr-ny-1925.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1925.3}

No inmate shall be permitted to participate in a day reporting program if his underlying criminal conviction was for an A-1 felony offense, or an offense defined in article 130 of the Penal Law.

7 CRR-NY 1925.15 [Repealed] {#sec-7-crr-ny-1925.15 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1925.15}

7 CRR-NY 1925.20 [Repealed] {#sec-7-crr-ny-1925.20 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1925.20}

7 CRR-NY 1925.25 [Repealed] {#sec-7-crr-ny-1925.25 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1925.25}

7 CRR-NY 1925.30 [Repealed] {#sec-7-crr-ny-1925.30 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1925.30}

7 CRR-NY 1925.35 [Repealed] {#sec-7-crr-ny-1925.35 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1925.35}

Part 1926 MEMORANDUM OF AGREEMENT AND DAY REPORTING RULES

7 CRR-NY 1926.1 In general {#sec-7-crr-ny-1926.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1926.1}

Before an inmate may participate in a day reporting program, he must sign both a memorandum of agreement (MOA) and a copy of the day reporting rules contained in section 1926.3 of this Part, including any special conditions as may be necessary in a given circumstance.

7 CRR-NY 1926.2 Memorandum of agreement (MOA) {#sec-7-crr-ny-1926.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1926.2}

The MOA must be signed by the inmate and approved in accordance with the same procedures in effect for TRP memoranda of understanding, as set forth in section 1902.1 of this Title.

(a) The day reporting MOA shall contain the following information where applicable and any other information which may be applicable to the inmate's particular day reporting program:

(1) day reporting facility name, inmate name, department identification number, NYSID number;

(2) type of day reporting program and initial work date, if any;

(3) residence, residence telephone number, inmate's relationship to resident;

(4) inmate's extended bounds of confinement; and

(5) area parole office, assigned parole officer and correction counselor.

(b) A notation by the preparer that there is documentation in the inmate's file that the employer or school is aware that the subject is an inmate, or that on the given date the correction counselor or assigned parole officer advised the inmate's employer or school (name of person advised should be given) about the inmate's status.

(c) An MOA will also include the following statements:

(1) “Participation in a day reporting program may be terminated when, in the judgment of the temporary release committee an inmate's continued participation in the program is not consistent with the safety of the community.

I accept the foregoing program and agree to be bound by the terms and conditions thereof. I understand that I will be under the supervision of the N.Y.S. Department of Correctional Services while I am away from facility premises and I agree to comply with the instructions of any parole officer or employee of the department assigned to supervise me.

I understand that my participation in the program is a privilege which may be revoked at any time, and that if I violate any provision of the program I may be taken into custody by any peace officer or police officer and I will be subject to disciplinary procedures. I further understand that if I intentionally fail to report to my assigned reporting location at or before the time specified in the memorandum that I may be found guilty of a felony.”

7 CRR-NY 1926.3 Day reporting rules {#sec-7-crr-ny-1926.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1926.3}

In order for an inmate applicant to be accepted into a day reporting program, the inmate shall, prior to being released to such program, agree to be bound by the following rules and regulations, and such other special conditions as may be necessary in a given circumstance:

STATE OF NEW YORK - DEPARTMENT OF CORRECTIONS AND COMMUNITY SUPERVISION

RULES AND REGULATIONS GOVERNING RESIDENTIAL TREATMENT FACILITY

DAY REPORTING CENTER PROGRAM

Facility __ Inmate Name__ DIN __

I understand that participation in a residential treatment facility day reporting center program and participation in a temporary release program is a privilege which may be terminated when the superintendent and temporary release committee believes my participation to be inconsistent with the welfare or safety of the community and/or integrity of the program. I will abide by the conditions specified previously and in this agreement and all other conditions and instructions given to me by any representatives of the Department of Corrections and Community Supervision and will be subject to disciplinary proceedings and/or program removal for failure to do so.

1. I will abide by the standards of inmate behavior (institutional rule book).

2. (a). I will not travel outside my approved geographical area as specified in my memorandum of agreement contract without the written approval of my offender rehabilitation coordinator, parole officer, temporary release committee and superintendent.

(b) I will not leave the State of New York. In the event that I leave the jurisdiction of the State of New York, I hereby waive my right to resist extradition to the State of New York from any state/district in the Union and from any territory or country outside of the United States.

3. (a). I understand that I will be contacted on a daily and/or random basis by the day reporting center and will reply truthfully and promptly to any communication from a representative of the New York State Department of Corrections and Community Supervision, and I will fully comply with all instructions given to me.

(b) I will promptly and fully comply with directions.

4. (a). I will permit my parole officer or representative of the Department of Corrections and Community Supervision to visit or contact me at my approved residence, my place of employment, and/or my program of rehabilitation, and/or educational training/vocational facility.

(b) I will discuss any proposed changes in my residence, employment, and/or program of rehabilitation, and/or educational training/vocational facility with a representative of the Department of Corrections and Community Supervision or my parole officer, and I shall not change such program without prior approval by the Department of Corrections and Community Supervision.

(c) I understand that I remain in the custody of the Department of Corrections and Community Supervision and that my person, residence, or any other property under my control may be searched by my parole officer or representative of the Department of Corrections and Community Supervision.

(d) I will abide by a curfew as stipulated on my memorandum of agreement contract.

5. (a). I will not use, possess or purchase any alcoholic beverages.

(b) I will not frequent any establishment where alcohol is served as its main business.

6. I will not use, possess, or purchase controlled substances/intoxicants or use or possess drugs that have been unlawfully obtained. I will not consume any poppy seeds or items containing poppy seeds since it has been determined that the consumption of poppy seeds may cause a positive result for the presence of opiates in urinalysis. Absent exigent circumstances, I will not take any medication without the prior approval of the day reporting facility.

7. I will submit to drug, intoxicant and alcohol testing.

8. I will not own, possess, or purchase any shotgun, rifle or firearm of any type. I will not own, possess or purchase any deadly weapon as defined in the Penal Law or any dangerous knife, dirk, razor, stiletto, or imitation pistol. In addition, I will not own, possess or purchase any instrument readily capable of causing physical injury.

9. (a) I will not behave in such a manner as to violate the provision of any law, nor will my behavior threaten the safety or well-being of myself or others.

(b) I will not be in the company of or fraternize with any person I know to have a criminal record or whom I know to have been an adjudicated YO except for accidental encounters in public places, work, school or in any other instance, without the permission of my parole officer, offender rehabilitation coordinator and/or superintendent.

(c) I understand that I have a responsibility to immediately advise my parole officer, my day reporting center, and my assigned offender rehabilitation coordinator any time I am in contact with or arrested by any law enforcement agency.

10. (a) I understand that while traveling I am to use only the method of transportation approved by a representative of the Department of Corrections and Community Supervision.

(b) I will not apply for or renew any driver’s license, nor will I own, operate or possess any motor vehicle without the approval of the day reporting center and superintendent.

11. I will report to the day reporting center and any other designated reporting locations on the dates and times specified in the memorandum of agreement contract. If I intentionally fail to report, I understand that I may be found guilty of absconding, a Class E felony offense and be subject to departmental disciplinary proceedings.

12. I will not engage in any legal or business contract including but not limited to personal or business loans, licenses, credit cards, installment purchases, or bank accounts. I will not become involved with personal or business loans, cell phones, licenses, credit card or installment purchases, or other contracts without the written approval of my parole officer, offender rehabilitation coordinator and superintendent.

13. (a) I will surrender my paystubs reflecting the full amount of my employment earnings to the day reporting parole officer on the day I report, so that the parole officer can document my earnings and deductions.

(b) I will contribute to the support of my dependents, if any, and assume toward them my legal and moral obligations.

(c) I will pay a mandatory participation fee as stipulated by the department.

14. I understand that, should I be unable to report to my employment, for health reasons or otherwise, it is my obligation on the day of the occurrence to personally notify my employer, Parole Officer and Offender Rehabilitation Coordinator of the reason for not working. The Temporary Release facility Watch Commander or highest ranking security officer on duty must be notified if the Temporary Release staff is not available.

15. If I apply for public assistance benefits, or any government subsidy, I will notify my facility Offender Rehabilitation Coordinator within seven business days.

16. (a) I fully understand that I must provide the number of any cell phone that I use (contract or noncontract) to my offender rehabilitation coordinator and parole officer. I fully understand that any changes to my cell phone number must be provided within 24 hours to my assigned parole officer and to my officer rehabilitation coordinator, no later than the next business day.

(b) I understand that I cannot enter a contract to possess a cell phone for a long or short term period, and/or obtain a non-contract cell phone without the prior written approval from the superintendent.

17. Special Conditions:

I have read the above rules and regulations or have had them read to me.

I understand them, and I agree to fully abide by them.

I was informed and understand that I have the right to request the verbal and/or written translation of this contract in my dominant/native language.

Inmate signature Date __

Witness Date __

Superintendent signature Date __

Part 1927 OPERATING AND REMOVAL PROCEDURES

7 CRR-NY 1927.1 Employment verification {#sec-7-crr-ny-1927.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1927.1}

A day reporting center MOA will include the inmate's employer's name, address and telephone number, the inmate's extended bounds of confinement (the most direct routes to and from work, the reporting locations and, where applicable, locations where programs of rehabilitation are provided as well as the day, time, and schedule of such programs), the salary or stipend the inmate will earn or receive, and information specifying the location of the approved residence.

7 CRR-NY 1927.2 Motor vehicle use {#sec-7-crr-ny-1927.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1927.2}

The provisions of sections 1902.1 and 1903.2 of this Title relating to the licensure and ownership of motor vehicles for inmates participating in continuous temporary release shall apply to inmates participating in a day reporting program.

7 CRR-NY 1927.3 Inmate wages {#sec-7-crr-ny-1927.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1927.3}

The earnings of a day reporting inmate shall be retained by the inmate without being turned over to the superintendent or his designee. The superintendent or his designee shall document and retain all relevant information regarding payroll deductions. Notwithstanding the foregoing, in the event that a day reporting inmate owes money to the department, the superintendent or his designee shall apply the provisions of Part 1903 of this Title, relating to work release financial procedures until such money is repaid.

7 CRR-NY 1927.4 Approved residence {#sec-7-crr-ny-1927.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1927.4}

The approved residence at which an inmate participating in a day reporting program is permitted to reside shall be the same residence such inmate was previously furloughed to pursuant to Part 1903 of this Title, unless a different residence is approved by the director of TRP or his designee.

7 CRR-NY 1927.5 Removal from Day Reporting Program {#sec-7-crr-ny-1927.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1927.5}

The provisions of Part 1904 of this Title relating to removal from TRP programming shall apply to inmates participating in a day reporting program, except that, only the superintendent of the residential treatment facility shall have the authority to direct the removal of an inmate from the day reporting program.

Subchapter C COMPREHENSIVE ALCOHOL AND SUBSTANCE ABUSE TREATMENT PROGRAM

Part 1950 GENERAL PROVISIONS

7 CRR-NY 1950.1 Statement of purpose {#sec-7-crr-ny-1950.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1950.1}

This Part sets forth the policies and procedures governing the comprehensive alcohol and substance abuse treatment program (CASAT). The purpose of CASAT is to prepare chemically dependent inmates for return to the community, to reduce recidivism by providing education and counseling focused on continued abstinence from all mood altering substances, and to encourage participation in self-help groups.

7 CRR-NY 1950.2 Policy {#sec-7-crr-ny-1950.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1950.2}

To ensure a maximum benefit for the chemically dependent inmate, a CASAT program has been developed to assist these inmates in preparing for a successful transition to their families and communities upon release. The program design provides the sustained support and services necessary for an inmate's successful community reintegration. CASAT provides a three-phase continuum of intensive therapy programs:

(a) Phase 1 — provided in a facility setting in an alcohol and substance abuse treatment correctional annex;

(b) Phase 2 — a transitional period in a community reintegration component, which would include transfer to a work release facility for employment and placement in appropriate community-based programs, either in-house or on an out-patient basis, or participation in a residential treatment facility day reporting center program, or other employment and program arrangements recommended by the community-based treatment provider;

(c) Phase 3 — an aftercare component in the community under parole supervision, which will provide for an orderly community transition for participants granted release by the parole board.

7 CRR-NY 1950.3 Definitions {#sec-7-crr-ny-1950.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1950.3}

For the purposes of this Part:

(a) Eligible inmate.

An inmate who:

(1) is within 12-24 months to earliest release;

(2) has a documented history of drug and/or alcohol abuse; Preference will be given to inmates who have participated in ASAT programming, however, ASAT participation is not an essential prerequisite;

(3) unless already provided, has agreed to provide a DNA sample for forensic analysis;

(4) is in good health and is able to participate actively in the program; and

(5) is eligible for presumptive work release approval contingent upon successful completion of Phase I of the CASAT program, or work release approval;

(i) parole board action may or may not adversely affect an inmate's continued eligibility for CASAT;

(ii) an inmate who has already been screened for CASAT and has received presumptive work release approval should not be automatically removed from the CASAT pool or denied transfer orders based on parole board action. The inmate's status shall be reviewed to determine if continued placement in program is appropriate;

(6) no inmate shall be considered eligible for participation in the CASAT program if the inmate:

(i) was eligible to participate in the shock incarceration program and chose not to participate in that program; or

(ii) entered the shock incarceration program but failed to successfully complete the program for any reason other than an intervening circumstance beyond the control of the inmate.

(b) Alcohol and substance abuse treatment correctional annex.

A medium security correctional facility consisting of one or more residential dormitories which provide intensive alcohol and substance abuse treatment services to inmates otherwise eligible for temporary release.

Part 1951 CASAT SCREENING PROCEDURE

7 CRR-NY 1951.1 General confinement facility screening procedure {#sec-7-crr-ny-1951.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1951.1}

These procedures apply to inmates at maximum, medium and minimum correctional facilities, including shock incarceration facilities. In order for an inmate to participate in the CASAT program, the inmate must meet the basic program requirements, and be eligible for presumptive work release approval contingent upon successful completion of Phase I of the CASAT program, or be approved for work release.

(a) Identification of eligible inmates.

Each month the senior correction counselor will identify the pool of time eligible inmates, who have not previously been screened for CASAT eligibility, and will insure that these inmates are screened for CASAT by the appropriate counselor. When an inmate is disqualified from participation in shock incarceration, the senior counselor will immediately determine whether the inmate is time eligible for CASAT. If the inmate is time eligible, he should be immediately screened for CASAT.

(b) Initial screening.

Correction counselors will use form K-17, the CASAT Checklist, to screen for CASAT eligibility.

(c) Work release approval or presumptive work release approval.

Prior to placement in a CASAT annex, an inmate must receive either work release approval or presumptive work release approval.

(1) With the exception of the point score requirement, an inmate's temporary release screening for CASAT participation will be done in accordance with the provisions of Subchapter A of this Chapter.

(2) Point scores will be completed for all inmates being screened for CASAT. An inmate who does not meet the point score requirement for work release approval shall be reviewed for presumptive work release approval.

(3) Point scores are deemed to be waived for presumptive work release approval, based upon satisfactory completion of Phase I of the CASAT program.

(4) An inmate may only be deemed unsuitable for presumptive work release approval based upon his:

(i) crime of commitment;

(ii) criminal history;

(iii) custodial adjustment; or

(iv) outstanding warrants/detainers.

(5) The temporary release chairperson will schedule the inmate for an appearance before the facility temporary release committee. The committee will determine if the inmate is suitable for work release, or is suitable for presumptive work release approval contingent upon successful completion of the CASAT Phase I program component.

(d) Review by superintendent.

The superintendent will assess each CASAT referral sent to him by the temporary release chairperson and approve or disapprove the recommendation of the temporary release committee.

7 CRR-NY 1951.2 Central office temporary release review {#sec-7-crr-ny-1951.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1951.2}

Central office temporary release will review the inmate's suitability for work release or presumptive work release, pursuant to the provisions of Part 1900 of this Title. However, an inmate may only be deemed unsuitable for presumptive work release approval based upon one or more of the following criteria:

(a) crime of commitment;

(b) criminal history;

(c) custodial adjustment; or

(d) outstanding warrants/detainers.

7 CRR-NY 1951.3 Appeal procedure {#sec-7-crr-ny-1951.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1951.3}

An inmate who has been determined to be unsuitable for presumptive work release approval may appeal the decision to central office temporary release.

Part 1952 CENTRAL OFFICE TEMPORARY RELEASE REFERRALS

7 CRR-NY 1952.1 Central office temporary release referrals {#sec-7-crr-ny-1952.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 1952.1}

If an inmate, who has applied for work release, has been found to be unsuitable because he is in need of alcohol and/or substance abuse programming, central office temporary release will so indicate on the denial notice sent to the facility temporary release chairperson and the inmate. The inmate should then immediately be screened for CASAT eligibility and presumptive work release approval.

Chapter XXI EARNED ELIGIBILITY PROGRAM

Part 2100 EARNED ELIGIBILITY PROGRAM

7 CRR-NY 2100.1 Statement of purpose {#sec-7-crr-ny-2100.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 2100.1}

This Part sets forth the policies and procedures governing the earned eligibility program. Consideration for this program is available to any inmate serving an indeterminate sentence with a minimum term of not more than eight years.

7 CRR-NY 2100.2 Policy {#sec-7-crr-ny-2100.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 2100.2}

(a) The earned eligibility program is based upon the premise that an incarcerated individual who has successfully participated in appropriate programs will have an increased likelihood of making a successful transition to the community upon release. The program recognizes that many inmates are motivated to achieve a positive change in their lives, that the programs and services offered by the department can help individuals to prepare to live law abiding lives in the community, and that program plans can assist and guide inmates in preparing for their release.

(b) An eligible inmate who successfully participates in appropriate programs prior to his scheduled parole board (hereinafter the board) appearance shall be eligible to be issued a certificate of earned eligibility (hereinafter certificate) in the discretion of the commissioner. An inmate who has been issued a certificate shall be granted parole release by the board unless the board determines that there is a reasonable probability that, if the inmate is released, he will not live and remain at liberty without violating the law and that his release is not compatible with the welfare of society. Any action taken by the commissioner pursuant to this Part shall be deemed a judicial function and shall not be reviewable if done in accordance with law.

7 CRR-NY 2100.3 Definitions {#sec-7-crr-ny-2100.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 2100.3}

For the purpose of this Part:

(a) Eligible inmate means an inmate who is serving an indeterminate sentence with a minimum term of eight years or less.

(b) Work and treatment program means the program(s) and/or work assignment(s) recommended or assigned by the inmate's correction counselor or the facility program committee, and any other approved independent or voluntary program in which the inmate may participate during his period of incarceration.

(c) Certificate means a certificate of earned eligibility which the commissioner may, in his discretion, issue to an eligible inmate prior to his board appearance if it is determined that the inmate has successfully participated in appropriate programs.

(d) Noncertifiable status means the status granted to those eligible inmates who through no fault of their own have been unable to participate in programs for most or all of their period of incarceration. Inmates may be granted noncertifiable status if they have been in reception center status, in a hospital or infirmary, in protective custody, out to court, or have not yet been assigned a program. Noncertifiable status represents neither a positive nor a negative recommendation to the board.

7 CRR-NY 2100.4 Procedure {#sec-7-crr-ny-2100.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 2100.4}

(a) No more than three months prior to a scheduled board hearing date at a correctional facility, the facility inmate records coordinator will transmit to the facility guidance unit a list of inmates scheduled to appear before the board. The inmate records coordinator and the guidance unit will continuously update this list until the board hearing to ensure that all eligible inmates are evaluated for certificates of earned eligibility. Simultaneously, the senior counselor responsible for earned eligibility will develop a list of all inmates eligible to be evaluated for a certificate.

(b) The guidance unit will coordinate a comprehensive evaluation of each inmate's program files and records. This evaluation shall include all files and records regarding counseling, education, occupational training, family services, ministerial services, transitional services, temporary release, alcohol and substance abuse treatment, network, special subjects, and any other appropriate programs and activities in which the inmate has participated. All other facility staff will assist and participate in conducting this evaluation as assigned or requested.

(c) Facility correction counselors will complete an earned eligibility evaluation for each eligible inmate. Counselors shall consider all available program attendance, participation and progress information as well as appropriate institutional behavior information in conducting evaluations.

(d) Evaluations shall be reviewed and signed by an assistant deputy superintendent or senior correction counselor, and by the deputy superintendent for programs.

(e) Completed evaluations will be reviewed under the auspices of the Office of Guidance and Counseling/Earned Eligibility unit. Staff conducting such reviews will consult with facility staff for clarification. Reviews will take place either at a facility or in central office.

(f) Upon the conclusion of the central office review, final determinations will be sent to the facility from the commissioner. A copy of the determination for each inmate will be placed in the inmate's guidance unit file.

(g) The facility guidance unit will provide a copy of the final determination to the facility parole office.

(h) If an inmate is issued a certificate, he shall receive written notification from the facility deputy superintendent for programs prior to his appearance before the board.

(i) If the evaluation of an inmate's files and records results in denial of a certificate, the inmate shall be notified in writing by the facility deputy superintendent for programs prior to his appearance before the board. This notification shall indicate the reasons why the inmate was denied a certificate of earned eligibility.

(j) If the evaluation of an inmate's files and records results in the granting of noncertifiable status, the inmate shall be notified in writing by the facility deputy superintendent for programs prior to his appearance before the board. This notification shall indicate the reasons why the inmate was granted noncertifiable status.

Chapter XXII PRESUMPTIVE RELEASE PROGRAM FOR NONVIOLENT INMATES

Part 2200 PRESUMPTIVE RELEASE PROGRAM FOR NONVIOLENT INMATES

7 CRR-NY 2200.1 Purpose {#sec-7-crr-ny-2200.1 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 2200.1}

This Part sets forth the policies and procedures governing the presumptive release program for nonviolent inmates whereby eligible inmates who satisfy all statutory, program and disciplinary criteria may be released to parole supervision without the necessity of a personal appearance before, and a grant of parole by, the Board of Parole.

7 CRR-NY 2200.2 Background {#sec-7-crr-ny-2200.2 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 2200.2}

An inmate eligible for presumptive release may be released to parole supervision at the expiration of the minimum sentence, or earlier if the inmate also qualifies for merit time as set forth in Part 280 of this Title and as outlined in section 2200.4 of this Part. Pursuant to Executive Law section 259-g, the conditions of release for any inmate granted presumptive release shall be fixed by the Board of Parole. Any otherwise eligible inmate who is not granted presumptive release to parole for any reason shall appear before the Board of Parole for discretionary parole release consideration at the regularly scheduled time, or as soon thereafter as is practicable.

7 CRR-NY 2200.3 Eligibility {#sec-7-crr-ny-2200.3 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 2200.3}

(a) An inmate must satisfy all criteria set forth in subdivisions (b) through (g) of this section to be eligible for presumptive release.

(b) Crime, sentence, commitment and prior history criteria.

An inmate cannot presently be serving a sentence for, nor previously have been convicted of, any of the following crimes, or an attempt or conspiracy to commit any of the following crimes:

(1) an A-I felony;

(2) a violent felony offense;

(3) manslaughter in the second degree;

(4) vehicular manslaughter in the first or second degree;

(5) criminally negligent homicide;

(6) incest;

(7) an offense defined in article 130 of the Penal Law (sex offense);

(8) an offense defined in article 263 of the Penal Law (use of a child in a sex performance);

(9) a hate crime as defined in article 485 of the Penal Law;

(10) an act of terrorism as defined in article 490 of the Penal Law; or

(11) aggravated harassment of an employee by an inmate; or

(12) any out-of-state conviction which has all of the essential elements of any of the offenses listed in paragraphs (1) through (10) of this subdivision.

(c) Disciplinary record criteria.

An inmate must not commit any serious disciplinary infraction. A serious disciplinary infraction shall be identified as behavior which results in criminal or disciplinary sanctions as follows:

(1) any conviction for a State or Federal crime that was committed after the inmate was committed to the Department of Correctional Services;

(2) a finding made under Part 253, except as noted, or 254 of this Title of violation of any of the following rules as described in section 270.2 of this Title:

(i) 1.00 — Penal Law offenses;

(ii) 100.10 — assault on inmate;

(iii) 100.11 — assault on staff;

(iv) 100.12 — assault on other;

(v) 101.10 — sex offense;

(vi) 101.20 — lewd exposure;

(vii) 104.10 — rioting;

(viii) 105.12 — unauthorized organization;

(ix) 108.10 — escape;

(x) 108.15 — abscondance;

(xi) 113.10 — weapon;

(xii) 113.13 — alcohol;

(xiii) 113.24 — drug use;

(xiv) 113.25 — drug possession;

(xv) 117.10 — explosives;

(xvi) 118.10 — arson;

(xvii) 118.22 — unhygienic act (under Part 254 of this Title only); or

(xviii) 180.14 — urinalysis violation;

(3) receipt of disciplinary sanctions under Part 253 or 254 of this Title which total 60 or more days of SHU and/or keeplock; or

(4) receipt of any recommended loss of good time as a disciplinary sanction under Part 254 of this Title.

(d) Frivolous lawsuit.

An inmate must not have filed an action, proceeding or claim against a State agency, officer or employee that was found to be frivolous pursuant to section 8303 of the Civil Practice Law and Rules, or rule 11 of the Federal Rules of Civil Procedure.

(e) Alien status.

A foreign-born inmate who is subject to deportation or exclusion and potentially eligible for a conditional parole pursuant to section 259-i(2)(d) of the executive law, is not eligible for presumptive release consideration.

(f) Program criteria.

(1) An inmate must successfully participate in the assigned program(s) and/or work assignment(s) and be awarded a certificate of earned eligibility pursuant to Part 2100 of this Title.

(2) An inmate shall not be eligible for presumptive release if the inmate:

(i) entered the shock incarceration program but failed to successfully complete the program for any reason other than an intervening circumstance beyond the control of the inmate; or

(ii) was a participant in the temporary release program but was removed for any reason other than an intervening circumstance beyond the control of the inmate.

(g) Outstanding warrants, detainers, commitments and open charges.

(1) An inmate is not eligible for presumptive release if the inmate's file reveals any of the following:

(i) an out-of-state or Federal felony warrant;

(ii) a felony arrest warrant for a crime which is not barred by the statute of limitations as provided by Criminal Procedure Law section 30.10;

(iii) a violation of probation warrant where the sentence of probation was imposed for a felony;

(iv) a concurrent and/or consecutive commitment to a local New York State jurisdiction for a definite sentence that will have to be served in local custody;

(v) a concurrent and/or consecutive out-of-state or Federal commitment; or

(vi) an open felony charge in New York State.

(2) If there is a warrant or an indication of a warrant as described in subparagraph (1)(i), (ii) or (iii) of this subdivision, the correction counselor must initiate correspondence to the warrant issuing authority or agency to determine the status of the warrant and whether any charge is still outstanding. If no response is received to official departmental communication within 30 days of the request, it will be construed that the warrant in question is no longer active and is not a bar to the inmate's presumptive release.

(3) If there is an indication of an open felony charge in New York State which is not barred by the statute of limitations as provided by Criminal Procedure Law, section 30.10, the correction counselor must initiate correspondence to the charging authority to determine the status of the charge. If no response is received to official departmental communication within 30 days of the request, it will be construed that the charge in question is no longer active and is not a bar to the inmate's presumptive release.

7 CRR-NY 2200.4 Effect on minimum period of sentence {#sec-7-crr-ny-2200.4 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 2200.4}

(a) An inmate otherwise eligible for presumptive release may be released after five-sixths of the minimum term if the inmate also satisfies the program criteria set forth in section 280.2(d) of this Title.

(b) An inmate identified in subdivision (a) of this section who is serving a sentence for any Class A-II through Class E drug offense may earn supplemental merit time in the amount of an additional one-sixth of the minimum period of the sentence imposed for the drug felony if he or she has either:

(1) completed two or more of the four possible merit program objectives listed in section 280.2(d) of this Title:

(i) earned a general equivalency diploma (G.E.D.);

(ii) received an alcohol and substance abuse treatment certificate;

(iii) received a vocational trade certificate following at least six months of programming in that program; or

(iv) performed 400 hours or more of service as part of a community work crew/outside assignment; or

(2) completed one of the four and also successfully maintained employment in a work release program or other continuous temporary release program for a period of not less than three months.

7 CRR-NY 2200.5 Procedure {#sec-7-crr-ny-2200.5 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 2200.5}

(a) Presumptive release reviews.

(1) The records of an inmate eligible for presumptive release under the criteria set forth in section 2200.3 of this Part shall be reviewed by facility guidance staff prior to his or her presumptive release merit eligibility date or presumptive release initial parole eligibility date.

(2) The inmate's program history and record will be reviewed by a senior counselor, deputy superintendent for programs, and superintendent, or their respective designees to identify any inmate whose behavior, subsequent to commitment to the department, may be regarded as inconsistent with the intent of Correction Law, sections 803(1)(d), 805 and public safety. Factors which will be viewed negatively include:

(i) evidence of escape or attempted escape; and

(ii) refusal to participate in the shock incarceration program.

(3) The following additional factors, if present, must be noted and taken into consideration by the commissioner's designee in the review of the inmate for presumptive release:

(i) any recommendation from the sentencing court and/or the district attorney in response to the letter from the division of parole, pursuant to Executive Law, section 259-i, requesting a position on the possible release of the inmate to parole;

(ii) any statement made to the Board of Parole by the crime victim or victim's representative, pursuant to Executive Law, section 259-i;

(iii) any letter received from a sentencing court or district attorney expressing a position on the inmate's potential eligibility for, or participation in, any other department program;

(iv) whether the inmate has been designated as a central monitoring case (CMC) pursuant to Part 1000 of this Title; or

(v) any order of protection. If there is or was during the current term of incarceration an active order of protection, the correction counselor must attempt to obtain all available information, including, but not limited to:

(a) the identification of the court which issued the order, the date the order was originally issued and whether there have been any extensions or modifications;

(b) the relationship to the inmate of the person or persons covered by the order;

(c) whether the inmate has ever violated or attempted to violate the order; and

(d) whether the order was in any manner related to an incident of domestic violence.

(b) Presumptive release determination.

(1) Presumptive release determinations shall be made by the commissioner or designee after central office review.

(2) The decision of the commissioner or designee to grant or withhold a presumptive release allowance is final, except as provided in paragraph (4) of this subdivision.

(3) The presumptive release determination notice shall be delivered to the inmate approximately one week following the commissioner or designee review.

(4) A presumptive release allowance may be revoked at any time prior to an inmate's release on parole if the inmate commits a serious disciplinary infraction, as defined in section 2200.3(c) of this Part, fails to continue to perform and pursue his or her assigned program plan or earned eligibility plan or if information that would have affected the central office review subsequently comes to light and indicates that the parole release decision can best be made after an appearance by the inmate before the Board of Parole.

7 CRR-NY 2200.6 Effect of the presumptive release determination {#sec-7-crr-ny-2200.6 omnilex-key=us-ny-regs-official--title-7--7 CRR-NY 2200.6}

(a) Any inmate who is granted a presumptive merit allowance may be released to parole supervision at a date computed by subtracting the merit time allowance from his or her parole eligibility date.

(b) Any inmate who is granted a presumptive initial earned eligibility certificate may be released to parole supervision at the expiration of the minimum sentence.

(c) If presumptive merit allowance is denied by the commissioner or designee, either due to the nature and circumstances of the crime, or due to the inmate's prior history, character or background, or due to one or more questions raised in the inmate's file, such denial represents a determination that the parole release decision can best be made following the individual's appearance before the Board of Parole. Therefore, the inmate will not be eligible for presumptive release consideration at any subsequent time. The presumptive release denial is not an indiction one way or the other as to the inmate's suitability for possible release on parole.