Title 9 Part 177

The purpose of this Part is to ensure the protection and promotion of legal rights for youth under the jurisdiction of the division.

The office of the ombudsman shall be composed of a director who shall be an ombudsman and an attorney admitted to practice in the State of New York and ombudsmen who shall also be attorneys admitted to practice in the State of New York. They may be assisted by staff who are knowledgeable in the areas of juvenile justice and youth rights. The ombudsmen shall have direct access to the director of the division. The Director of Ombudsman shall report to the director of the division. The director and the ombudsmen shall be appointed and removed by the director of the division in accordance with applicable Civil Service laws, rules and regulations and negotiated agreements. They shall be State employees.

As used in this Part, the term legal right shall mean a right which a youth under the jurisdiction of the division may enforce at law because it is granted by constitution, statute, court order, court decision, court stipulation, regulation or policy.

The ombudsmen shall:

The director of the office of the ombudsman shall:

Consistent with agency policy, the ombudsman shall investigate those grievances and complaints which, in his/her opinion, warrant investigation. In determining whether to investigate a grievance or complaint, the ombudsman must make a judgment whether there is reasonable suspicion to believe that a legal right has been violated. Once the decision to investigate a grievance or complaint has been made, the ombudsman shall seek to determine whether the grievance or complaint is valid. In conducting his/her investigation, the ombudsman may speak to any person who may have information regarding the grievance or complaint. The purpose of the ombudsman's investigation shall be to alert the division to incidents which might impair the rights of youth under the jurisdiction of the division, and to provide recommendations for improvements in division policies and practices. The ombudsman's role shall be that of an investigator of youth rights, youth advocate and reporter. He/she shall promptly notify the facility or program director and the director of the office of the ombudsman, who shall in turn notify the appropriate agency officials of any incident which indicates that a serious violation of rights has occurred which could be the basis for disciplinary action and/or criminal prosecution against an employee or resident. The division, upon receipt of such notification from the ombudsman, shall review and determine the need for an independent investigation. The ombudsman shall not have the authority to initiate a disciplinary proceeding or to assume the role of prosecutor.

Division employees shall cooperate with the ombudsman's investigation. The ombudsman shall interview employees during their regular hours of employment whenever feasible. When necessary, the facility or program director, at the request of the ombudsman, may require the employee to make himself/herself available for an interview.

As soon as possible after visiting a facility or program and receiving the complaints or grievances of youth, the ombudsman shall discuss with the facility or program director or his/her designee the grievances or complaints brought to his/her attention. The ombudsman shall submit regular reports, at least monthly, which shall contain information regarding major grievances, complaints received and other matters needing attention. The reports shall contain items such as a recitation of the issue or complaint, a brief statement of facts, and the conclusions and recommendations of the ombudsman. The reports shall be forwarded unaltered by the director of the office of the ombudsman to the director of the division and other appropriate agency officials and to the division's Independent Review Board. When the facility or program director has conducted an investigation into the matters reported by the ombudsman, the findings of such director shall be included in the ombudsman's report.

For the protection of employees, the following rules shall apply:

The Director of Ombudsman shall notify an employee, in writing, when his/her name appears in an ombudsman report as being the subject of an investigation. A copy of this notice shall be provided to the program or facility director. In cases where the employee's statement is also included, the employee shall receive notice of the inclusion of such statement. The written notice shall state that the employee may have an opportunity to review this statement upon his/her request. Should the employee choose to clarify or amplify his/her statement in writing, such clarification will be included in the ombudsman report. The employee, upon request, shall be informed of the ombudsman's conclusions. Except in cases where a continuing investigation is necessary, all grievances or complaints alleging employee misconduct shall be resolved within 60 days. If a determination is made not to proceed against the employee, the record shall indicate that no substantial evidence was found to support the charges.

The director of the office of the ombudsman shall develop procedures to ensure that issues, complaints and grievances are resolved in a timely and efficient manner.

The Independent Review Board shall consist of at least nine, but not more than 15 persons who are not employed by the division and who are knowledgeable in the areas of juvenile justice and youth rights. Each board member shall be appointed by the director of the division for a term of three years, which term may be renewed once, and shall serve at the pleasure of the director of the division. At least one member shall be a former resident or parent of a resident; at least one member shall be a psychologist or other clinician; at least one member shall be an individual knowledgeable of juvenile legal rights matters; at least one member shall be a judge of the Family Court; and at least one member shall be knowledgeable of the criminal justice system. When funds are available, the members of the board shall be compensated for their ordinary and reasonable expenses incurred in the conduct of their duties in accordance with the prevailing State rates as approved by the Department of Audit and Control. The board shall review the ombudsman reports and meet at least bimonthly with the ombudsmen, the ombudsman director, the director of the division, and other appropriate personnel to discuss the reports. The board is an advisory body and has no administrative duties. It shall advise the director of the division on matters pertaining to the office of the ombudsman and on matters related to complaint and grievance resolution. The board shall have the authority to:

The director of the division shall appoint one of the members of the Independent Review Board to serve as its chairperson. The member so appointed shall serve as chairperson for a renewable term of one year. The chairperson of the board shall:

Ombudsman reports and reports of the Independent Review Board are confidential and shall be safeguarded from coming to the knowledge of, and from inspection or examination by, any person other than the Director of the Division for Youth, other designated agency officials for the performance of their official duties, and the Independent Review Board. Authorized persons receiving such reports shall not divulge information contained therein without the written consent of the Director of the Division for Youth.