New York Codes, Rules and Regulations (NYCRR)
Title 9 Part 7013
Executive Department
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9 NYCRR 7013.1 - Policy
Source version current through Mar 31, 2022
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Mar 31, 2022
In order to provide for the effective management of inmate populations and facility housing units in a safe and secure correctional environment, the chief administrative officer of each correctional facility shall establish, implement and maintain a formal and objective system for the consistent classification of all inmates. Compliance with this Part shall ensure that each facility develops and implements a classification system that provides a mechanism for inmate screening, assessment and classification review to identify the special needs and security and supervision requirements of inmates in order to determine appropriate housing assignments.
9 NYCRR 7013.2 - Definitions
Related State Register notice: Adopted rule CMC-49-24-00001-A. Published Mar 19, 2025. Notice effective date: Mar 19, 2025.
Source version current through Mar 31, 2022
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Mar 31, 2022
- Related Register notice
- CMC-49-24-00001-A · Adopted rule
- Related notice published
- Mar 19, 2025
- Related notice effective date
- Mar 19, 2025
Current section text is not available here.
9 NYCRR 7013.3 - Facility policies and procedures
Source version current through Mar 31, 2022
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Mar 31, 2022
(a)The chief administrative officer of each correctional facility shall develop and implement written policies and procedures which provide for the assessment and classification of inmates and comply with the requirements of this Part. Such policies and procedures shall include, but are not limited to:
(1)staff responsibilities for functions relative to classification;
(2)completion of initial screening and risk assessment, including but not limited to the determination of security and supervision requirements and inmate special needs;
(3)use of formal risk assessment instruments and other appropriate admissions forms in the classification process;
(4)classification assessments made subsequent to initial screening for the assignment of inmates to appropriate facility housing areas;
(5)inmate notification of all classification determinations made subsequent to initial screening and risk assessment;
(6)procedures governing the disclosure of information contained in the detailed summaries of inmate medical and psychiatric records by the facility medical director pursuant to section 7013.10 of this Part; and
(7)review and revision of such policies and procedures.
(b)Such policies and procedures shall be made available to all facility staff members.
(c)The chief administrative officer shall review the policies and procedures on an annual basis and make revisions as necessary.
(d)The chief administrative officer shall verify in writing that such policies and procedures have been reviewed and updated. Such verification shall consist of:
(1)a list of any revisions made to the policies and procedures;
(2)the date(s) of all reviews completed; and
(3)the signature of the chief administrative officer.
9 NYCRR 7013.4 - Classification categories
Source version current through Sep 30, 2026
A matched Register action is not later than the compiled-text reference date.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Effective date
- Mar 19, 2025
- Source version current through
- Sep 30, 2026
- Related Register notice
- CMC-49-24-00001-A · Adopted rule
- Related notice published
- Mar 19, 2025
- Related notice effective date
- Mar 19, 2025
Classification categories
(a)Except as otherwise provided in this Part, there shall be 12 classification categories for the purpose of housing inmates within each correctional facility. Such classification categories are derived from three basic categories:
(1)serving sentence;
(2)civil process or contempt; and
(3)criminal process, trial or examination, material witness.
(b)Each basic category contains the following four subcategories:
(1)male adults, ages 18 and over;
(2)male minors, ages 16 to 17 inclusive;
(3)female adults, ages 18 and over; and
(4)female minors, ages 16 to 17 inclusive.
(c)The chief administrative officer may reduce the 12 classification categories specified in subdivisions (a) and (b) of this section to four categories, provided the following conditions are met:
(1)the county has a Division of Probation and Correctional Alternatives-approved Alternatives to Incarceration Service Plan pursuant to Executive Law, article 13-A; and
(2)the commission determines, pursuant to section 7013.2 of this Part, the facility is not in substantial noncompliance with:
(i)the required post complement;
(ii)security requirements; and
(iii)maximum facility capacity requirements.
(d)Correctional facilities meeting the requirements of subdivision (c) of this section may be permitted to reduce from 12 classification categories to the following four categories:
(1)male adults, ages 18 and over;
(2)male minors, ages 16 to 17 inclusive;
(3)female adults, ages 18 and over; and
(4)female minors, ages 16 to 17 inclusive.
(e)Except as otherwise provided in section 7013.6(a)(1) of this Part, inmates of one classification category as specified under subdivision (a), (b) or (d) of this section shall not be confined in the same housing areas with inmates of other categories.
9 NYCRR 7013.5 - Classification during an emergency overcrowding condition
Source version current through Sep 30, 2026
A matched Register action is not later than the compiled-text reference date.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Effective date
- Mar 19, 2025
- Source version current through
- Sep 30, 2026
- Related Register notice
- CMC-49-24-00001-A · Adopted rule
- Related notice published
- Mar 19, 2025
- Related notice effective date
- Mar 19, 2025
Classification during an emergency overcrowding condition
(a)When, in the opinion of the chief administrative officer, an emergency overcrowding condition exists in a county correctional facility which is already classifying its inmates according to the four classification categories specified in section 7013.4(d) of this Part and is caused in part by the prohibition against commingling minors and adults, such officer may apply to the commission to commingle minors and adults within facility housing areas for a period not to exceed 30 days as provided in this section.
(b)The chief administrative officer shall contact the commission by telephone, which shall serve as the application, and provide the commission with the following initial summary information:
(1)the nature and extent of the emergency overcrowding condition;
(2)attempts made to secure substitute jail housing space within or outside the county; and
(3)a description of any areas within the facility which could provide safe and secure inmate housing on a temporary basis.
(c)A chief administrative officer's application to commingle adults and minors shall be denied if the commission determines one or more of the following conditions exists:
(1)an emergency overcrowding condition does not exist as defined in section 7013.2(l) of this Part;
(2)the facility is in substantial noncompliance with the required post complement; or
(3)such commingling would present a danger to the health, safety or welfare of inmates within the facility.
(d)The chief administrative officer shall be permitted to commingle minors and adults within facility housing areas for an initial period not to exceed seven days. Such period shall begin when the initial telephone application is received by the officer of the day as designated by the commission unless such officer immediately denies the application.
(e)Provided the commission permits the chief administrative officer to commingle beyond the initial seven-day period, such commingling shall not exceed 30 days.
(f)The commingling of minors and adults shall cease immediately upon notification to the chief administrative officer of the commission's denial to commingle. Such denial shall be based on deficiencies and/or dangers cited by the commission.
(g)The chief administrative officer may correct such deficiencies and/or dangers delineated by the commission and reapply to the commission for permission to commingle minors and adults within facility housing areas. However, no commingling shall occur until the chief administrative officer receives certification from the commission that the facility has corrected the deficiencies cited by the commission.
(h)When such certification has been received by the chief administrative officer, the commingling may continue for 30 days, less any time during which minors and adults were commingled following the initial application to the commission.
(i)The chief administrative officer may apply to the commission a maximum of three times a year for permission to commingle adults and minors within facility housing areas. Such commingling shall be permitted for a maximum of 30 days per period in a given calendar year, pursuant to the requirements of this section.
(j)The chief administrative officer shall cease the commingling when either the overcrowding which necessitated the commingling no longer exists or the 30-day period has expired, whichever occurs first.
(k)Before any such commingling of adults and minors occurs, the chief administrative officer shall thoroughly review information related to initial screening and risk assessment and primary housing assignments pursuant to sections 7013.7(b) and 7013.8(c)-(e) of this Part concerning all inmates being considered for such commingling.
9 NYCRR 7013.6 - Authorized commingling
Source version current through Mar 31, 2022
A matched Register action is not later than the compiled-text reference date.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Mar 31, 2022
- Related Register notice
- CMC-35-19-00002-A · Adopted rule
- Related notice published
- Feb 10, 2021
- Related notice effective date
- Feb 10, 2021
(a)Nothing contained in this Part shall prevent the chief administrative officer from commingling inmates in different classification categories in the same area for purposes including, but not limited to:
(1)special housing, admissions/orientation housing, and medical/mental health observation, provided minors and adults are separately grouped to prevent access between such classification categories;
(2)meals served in dining areas located outside facility housing areas;
(3)visitation;
(4)exercise held in areas located outside facility housing areas;
(5)educational/vocational programs;
(6)work programs;
(7)divine worship; or
(8)any other organized facility program or activity.
(b)Males and females shall not be commingled in areas designated as special housing, admissions/orientation housing, or medical/mental health observation.
9 NYCRR 7013.7 - Earlier source heading: Initial screening and risk assessment
Related State Register notice: Adopted rule CMC-43-22-00002-A. Published Feb 15, 2023. Notice effective date: Feb 15, 2023.
Source version current through Feb 15, 2023
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Feb 15, 2023
- Related Register notice
- CMC-43-22-00002-A · Adopted rule
- Related notice published
- Feb 15, 2023
- Related notice effective date
- Feb 15, 2023
Current section text is not available here.
9 NYCRR 7013.8 - Assignment to facility housing areas
Source version current through Apr 15, 2022
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Apr 15, 2022
(a)After initial screening and risk assessment is completed and prior to determining each inmate's primary housing assignment, the inmate shall be placed in a housing unit within a housing area(s) designated for classification purposes. Such housing area(s) may be utilized on a temporary or permanent basis, given the needs and physical plant limitations of each facility.
(b)Placement in such housing areas shall be temporary pending completion of the classification process, including the determination of appropriate housing, which shall be completed within five business days of each inmate's admission to the facility. The chief administrative officer may extend the time to complete the classification process for a particular inmate up to an additional 10 business days if he concludes that additional time is necessary to make a determination of appropriate housing.
(c)In arriving at a determination of each inmate's housing assignment, the chief administrative officer shall base his/her decision on the following information, if such information is available and accessible to the chief administrative officer:
(1)criminal history;
(2)propensity for victimization;
(3)history of medical/mental illness;
(4)history of sex offenses;
(5)history of hostile relationship(s) with other inmates;
(6)prior attempts at self-injury or suicide;
(7)prior escapes and attempted escapes;
(8)attitude and behavior during present and prior incarceration(s), including any history of assaultive behavior during incarceration; and
(9)any other information which may affect the safety and welfare of the inmate or facility staff.
(d)Each facility shall utilize a formal and objective system for inmate classification in order to fulfill the requirements of subdivisions (a)-(c) of this section and section 7013.9 of this Part.
(e)In considering the information contained in subdivision (c) of this section, the chief administrative officer shall examine and verify the following:
(1)records made available to such officer from the court or the delivering jurisdiction;
(2)information obtained during an inmate's initial screening and risk assessment;
(3)records, to the extent relevant and known to the chief administrative officer and which are accessible and available to the chief administrative officer which are maintained by:
(i)the Department of Corrections and Community Supervision; or
(ii)any local correctional facility in this State, including inmate records provided to the chief administrative officer pursuant to Part 7033 of this Title;
(4)information obtained from mental health treatment providers pursuant to Mental Hygiene Law, section 33.13(c)(9);
(5)information contained in the detailed summaries of inmate medical and psychiatric records if disclosed by the facility medical director pursuant to section 7013.10 of this Part and sections 7064.7, 7064.8 and 7064.9 of this Title; and
(6)any other relevant information concerning an inmate's condition brought to the attention of the chief administrative officer or any other facility staff member by any person.
(f)Within one business day after each classification determination is made, facility staff shall notify the inmate in writing of the determination and explain its implications.
9 NYCRR 7013.9 - Classification review
Source version current through Mar 31, 2022
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Mar 31, 2022
(a)The chief administrative officer shall review and revise as necessary, pursuant to the requirements of section 7013.8(c)-(e) of this Part, an inmate's classification status when one or more of the following conditions occur:
(1)the inmate is involved in a serious unusual incident or exhibits adjustment problems which threaten his/her safety or the safety, security or good order of the facility;
(2)a written request, including justification(s), is made by facility staff to alter or review the inmate's classification status based on new information or exhibited positive or negative behavior; and/or
(3)the facility medical director discloses relevant information about the inmate pursuant to section 7013.10 of this Part which has not already been considered in determining the inmate's classification status.
(b)If an inmate's classification status is changed pursuant to this section, facility staff shall comply with the notification requirements of section 7013.8(f) of this Part.
9 NYCRR 7013.10 - Confidentiality and disclosure of inmate medical and psychiatric records information
Source version current through Mar 31, 2022
A matched Register action is not later than the compiled-text reference date.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Mar 31, 2022
- Related Register notice
- CMC-05-19-00004-A · Adopted rule
- Related notice published
- Jun 5, 2019
- Related notice effective date
- Jun 5, 2019
(a)Each facility shall adhere to the requirements of sections 7033.6, 7064.7, 7064.8 and 7064.9 of this Chapter and the Public Health Law, article 27-F and Department of Health regulations pertaining thereto concerning the confidentiality of inmate records and inmate medical and psychiatric records.
(b)The facility medical director of each facility shall maintain all detailed summaries of inmate medical and psychiatric records in a separate confidential file.
(c)Except as otherwise prohibited or restricted by law, the facility medical director of each facility shall promptly disclose to the chief administrative officer information which he/she receives concerning an inmate which is or may be relevant in determining the inmate's classification, transport or segregation status or may affect the life, safety or welfare of the inmate or any other person. Relevant inmate information subject to such disclosure shall include, but is not limited to, pregnancy, time elapsed from delivery or pregnancy outcome, mental or physical disability, or serious mental illness. The chief administrative officer shall then promptly disclose information as appropriate to facility staff responsible for making classification, transport or segregation decisions.
9 NYCRR 7013.11 - Staff training
Source version current through Mar 31, 2022
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Mar 31, 2022
(a)The chief administrative officer shall ensure that appropriate facility staff receive orientation to current facility policies and procedures relating to classification.
(b)All facility staff assigned to perform duties related to the administration and implementation of classification shall be trained in facility classification policies and procedures that pertain to their area(s) of responsibility.
(c)All facility staff assigned to perform duties related to the administration and implementation of classification procedures pursuant to sections 7013.7, 7013.8 and 7013.9 of this Part shall be trained in classification theory and techniques by completing a training program approved by the commission. Only facility staff who have completed such training shall perform duties related to the administration and implementation of classification procedures.
9 NYCRR 7013.12 - Inmate screening and classification records
Source version current through Mar 31, 2022
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Mar 31, 2022
(a)All initial screening, risk assessment and any subsequent determinations of an inmate's classification status shall be made in writing and kept in the inmate's file.
(b)With the exception of detailed summaries of inmate medical and psychiatric records which shall be kept in a confidential file pursuant to section 7013.10 of this Part, the information to be retained in the inmate's file shall include, but is not limited to:
(1)the inmate's classification category pursuant to section 7013.4(a)-(c) of this Part;
(2)the inmate's criminal history;
(3)the inmate's security and supervision requirements;
(4)any special needs of the inmate;
(5)the inmate's specific housing unit assignments, indicating the housing unit category, i.e., general housing, punitive segregation, medical/mental health observation, etc. and the specific cell or room location, i.e., 3rd floor west - cell #9;
(6)facility staff responsible for making each classification determination;
(7)dates when initial screening and each subsequent classification determination were made, including verification that the inmate was notified of such determinations and their implications; and
(8)all screening instruments, forms or other information used to make or record initial screening, risk assessment and subsequent classification determinations.
(c)Either copy or written summary on a form developed for this purpose of the information noted in paragraphs (b)(2)-(4) and (8) of this section and all inmate records requested pursuant to Part 7033 of this Title shall be sent with every inmate when he/she is transferred to another correctional facility.
(d)Whenever a written summary is sent pursuant to the requirements of subdivision (c) of this section, the name(s) of the facility staff member(s) who prepared the summarized information shall be clearly identified on the form.
9 NYCRR 7013.13 - Quarterly classification report
Source version current through Mar 31, 2022
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Mar 31, 2022
(a)On or before the 15th day of February, May, August and November of each year, the chief administrative officer shall forward a quarterly report relative to the housing and classification of inmates to the commission which reflects information pertaining to the preceding three-month period.
(b)Such report shall be prepared and submitted on forms required by the commission.