New York Codes, Rules and Regulations (NYCRR)
Title 9 Part 7306
Executive Department
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9 NYCRR 7306.1 - Policy
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-27-18-00002-A · Adopted rule
- Related notice published
- Sep 26, 2018
- Related notice effective date
- Sep 26, 2018
Each facility shall be operated in a manner that provides for the adequate supervision of every youth and for a safe and secure environment.
9 NYCRR 7306.2 - Definitions
Source version current through Apr 15, 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
- Apr 15, 2022
- Related Register notice
- CMC-27-18-00002-A · Adopted rule
- Related notice published
- Sep 26, 2018
- Related notice effective date
- Sep 26, 2018
As used in this Part, the following definitions shall apply to the terms listed below:
(a)Supervision tour shall mean:
(1)a personal visual observation of each youth by facility staff responsible for the care and custody of such youth to monitor their presence, well-being and conduct; and
(2)a personal visual inspection of each occupied individual occupancy room, and the unit surrounding each individual occupancy room, by staff responsible for the care and custody of youth to maintain the safety, security, and operational stability of the facility.
(b)Active supervision shall mean the immediate availability to youth of staff responsible for the care and custody of such youth, which shall include:
(1)the continuous presence of such staff within the living unit when youth are present on the living unit;
(2)the uninterrupted ability to communicate orally with, and respond to, each youth unaided by any electronic or other artificial amplifying device;
(3)the conducting of supervision tours at intervals not to exceed 30 minutes; and
(4)the ability of staff to immediately respond to emergency situations.
(c)Constant supervision shall mean the uninterrupted personal visual observation of a youth by facility staff responsible for the care and custody of such youth. Facility staff shall provide continuous and direct supervision by maintaining a position in close proximity to the youth under supervision, which shall provide staff with:
(1)a continuous clear view of the youth under supervision; and
(2)the ability to immediately and directly intervene in response to a situation or observed behavior which threatens the safety, security, or health of the youth, another person, or the operational stability of the facility.
(d)Contraband shall mean:
(1)any article or substance, the possession of which would constitute an offense under the New York State Penal Law;
(2)any deadly weapon or dangerous instrument, as defined in article 10 of the Penal Law;
(3)any article or substance, the possession of which is specifically prohibited by written facility rules and regulations;
(4)any article or substance, the possession of which is specifically prohibited by the provisions of this Chapter; and
(5)any article or substance which may present a substantial sanitation or health threat to the facility.
(e)Mechanical restraint shall mean any device used by facility staff to immobilize or limit a youth's movement which such youth cannot remove.
(f)Physical incident shall mean any occurrence of power, violence, compulsion or constraint, exerted upon a youth by facility staff, including, but not limited to, physical restraint.
(g)Physical restraint shall mean any physical intervention with a youth by staff to control behavior, with or without the use of mechanical restraints.
9 NYCRR 7306.3 - Policies and procedures
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-27-18-00002-A · Adopted rule
- Related notice published
- Sep 26, 2018
- Related notice effective date
- Sep 26, 2018
(a)Consistent with the requirements of this Part, each facility shall develop written policies and procedures that govern security and supervision. Such policies and procedures shall include, but not be limited to:
(1)supervision of youth in facility living units;
(2)supervision of youth outside facility living units;
(3)records of supervision;
(4)requirements of staff prior to assuming responsibilities in an assigned facility area;
(5)contraband;
(6)use of physical restraints and mechanical restraints;
(7)youth population counts;
(8)transport of youth;
(9)firearms control;
(10)key control;
(11)locks and other security devices;
(12)tool and equipment control; and
(13)perimeter control.
(b)These policies and procedures shall be reviewed annually by the director and updated as needed.
9 NYCRR 7306.4 - Supervision of youth in facility living units
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-27-18-00002-A · Adopted rule
- Related notice published
- Sep 26, 2018
- Related notice effective date
- Sep 26, 2018
(a)Active supervision shall be maintained in any facility living unit when any youth is confined in such unit.
(b)The director, his or her designee, or the appropriate facility health staff shall determine whether a youth requires additional supervision based on the youth's condition, illness or injury, and the director, his or her designee, or the appropriate facility health staff shall order such supervision if warranted. Additional supervision may include more frequent supervision tours, or constant supervision. Such determination shall be documented and include, but not be limited to, the following information:
(1)the reasons underlying such determination;
(2)orders made requiring such additional supervision, including the dates and times when the supervision is to be initiated and concluded;
(3)the name(s) of the individual(s) making such determination and/or ordering the supervision; and
(4)periodic facility staff observations of the youth's condition and behavior.
(c)Consistent with the requirements of section 7306.6 of this Part, such determination and orders for additional supervision shall be recorded.
9 NYCRR 7306.5 - Supervision of youth outside facility living units
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-27-18-00002-A · Adopted rule
- Related notice published
- Sep 26, 2018
- Related notice effective date
- Sep 26, 2018
Active supervision shall be maintained whenever youth are participating in activities outside their facility living units.
9 NYCRR 7306.6 - Records of supervision
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-27-18-00002-A · Adopted rule
- Related notice published
- Sep 26, 2018
- Related notice effective date
- Sep 26, 2018
(a)All written records pertaining to supervision, as required in this section, shall be recorded legibly in ink, in a bound ledger of consecutively numbered pages, and shall be maintained for each living unit and program area. Such records shall include, but not be limited to, the following information:
(1)the name or designation of the living unit or program area for which the supervision is being maintained;
(2)the name(s) of staff conducting the supervision;
(3)the date and time when supervision is initiated and concluded; and
(4)any significant events or activities occurring during supervision, including, but not limited to:
(i)the date and time of such event or activity;
(ii)the names of all youth and staff involved;
(iii)staff response to such event or activity if applicable, including a summary of what occurred; and
(iv)a description of any change in the physical or mental condition of any youth involved in such event or activity.
(b)Each entry recorded in the ledger required pursuant to this section shall include the signature of the staff member making the entry.
(c)Alterations made by staff to any entries contained within such ledger shall be:
(1)accomplished by staff drawing a single line through the entry to be changed which does not prevent the original entry from being read; and
(2)dated and signed by the staff making the alteration with the reason(s) noted for altering the record.
(d)Notwithstanding the provisions of this section requiring a bound ledger, records pertaining to supervision may be recorded on a computerized log. Entries made on a computerized log shall identify the staff making such entry. Entries made on a computerized log shall not be erased. Alterations to entries shall be made by making an additional entry.
9 NYCRR 7306.7 - Requirements of staff prior to assuming responsibilities in an assigned facility area
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-27-18-00002-A · Adopted rule
- Related notice published
- Sep 26, 2018
- Related notice effective date
- Sep 26, 2018
(a)Upon assuming responsibilities in an assigned facility area, each staff shall review the log entries maintained pursuant to section 7306.6 of this Part.
(b)Upon assuming responsibilities in an assigned facility area, an assigned staff shall perform the following:
(1)conduct an actual count of the youth assigned to the staff's area of responsibility and record such results in the logbook;
(2)obtain and count all necessary keys for the assigned area in accordance with the provisions of section 7306.13 of this Part;
(3)inspect all supplies, equipment, locks, doors, security windows, and other securing devices;
(4)perform any other necessary security functions as determined by the director; and
(5)make a log entry documenting activities required by this section and initial such records.
9 NYCRR 7306.8 - Contraband
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-27-18-00002-A · Adopted rule
- Related notice published
- Sep 26, 2018
- Related notice effective date
- Sep 26, 2018
(a)Youth searches shall be conducted solely to inspect for contraband or to recover missing or stolen items.
(b)The disposition of discovered contraband shall be made in accordance with Part 7305 of this Title.
(c)Nothing in this section shall limit or restrict a facility from using electronic devices during the search of youth, visitors, facilities, or secure grounds.
9 NYCRR 7306.9 - Use of physical restraints and mechanical restraints
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-27-18-00002-A · Adopted rule
- Related notice published
- Sep 26, 2018
- Related notice effective date
- Sep 26, 2018
(a)The use of physical restraints and mechanical restraints by facility staff shall be in accordance with applicable laws, regulations and facility policy, and shall be limited to circumstances where approved non-physical behavior management techniques have been tried and failed, or the circumstances of the incident render the use of non-physical techniques impractical, such as an emergency physical intervention to protect the safety of a person, or a youth is attempting to escape.
(b)Neither physical restraints nor mechanical restraints shall be used for purposes of discipline, punishment, or for the convenience of staff.
(c)Any youth involved in a physical incident, whether appropriate or not, shall thereafter be evaluated by a licensed health care professional and, if warranted, receive medical treatment.
(d)Any physical incident, whether appropriate or not, shall be immediately recorded in the appropriate logbook(s) and shall be fully documented within 24 hours of the incident.
9 NYCRR 7306.10 - Formal youth population counts
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-27-18-00002-A · Adopted rule
- Related notice published
- Sep 26, 2018
- Related notice effective date
- Sep 26, 2018
(a)Formal youth population counts shall:
(1)be conducted at the beginning of each regularly scheduled shift; and
(2)include an accounting of all youth housed in or otherwise assigned to the facility area in which such count is conducted.
(b)The results of each formal youth population count conducted pursuant to subdivision (a) of this section shall be recorded in writing. Such written record shall include the:
(1)date and time of the count;
(2)facility area in which the count was conducted;
(3)number of youth accounted for; and
(4)names of staff conducting the count.
(c)Subsequent to each formal youth population count conducted pursuant to subdivision (a) of this section, the written records of the results of each count compiled pursuant to subdivision (b) of this section shall be immediately forwarded to the director, or designee. Upon receipt of the results of the formal youth population counts, the director, or designee, shall determine the total formal youth population count. Such total formal youth population count shall account for every youth committed to the facility.
(d)Total formal youth population counts shall be made in writing and shall include the:
(1)date and time of such count;
(2)results of such count; and
(3)signature of the director, or designee.
(e)The director, or designee, shall immediately initiate appropriate emergency procedures in response to any discrepancy in the youth population count.
(f)Nothing in this Part shall preclude the facility from conducting informal counts.
9 NYCRR 7306.11 - Transport of youth
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-27-18-00002-A · Adopted rule
- Related notice published
- Sep 26, 2018
- Related notice effective date
- Sep 26, 2018
(a)During any transport of a youth outside a facility, facility or sheriff staff shall maintain a level of supervision of such youth that allows such staff to prevent an escape, respond immediately to an emergency situation, and maintain the safety of the youth and all others nearby.
(b)Prior to beginning any transport, staff of the facility or sheriff responsible for the transport of a youth shall obtain:
(1)all necessary documents or other authorizations; and
(2)any other information relative to such transport.
9 NYCRR 7306.12 - Firearms control
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-27-18-00002-A · Adopted rule
- Related notice published
- Sep 26, 2018
- Related notice effective date
- Sep 26, 2018
(a)Neither firearms nor ammunition shall be permitted within the secure area of any facility.
(b)All persons in possession of any firearm or ammunition shall be required to deposit such items in an individual secure depository prior to entering the secure area of any facility. Any firearm or ammunition deposited pursuant to this subdivision shall be maintained in a safe and secure manner.
9 NYCRR 7306.13 - Key control
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-27-18-00002-A · Adopted rule
- Related notice published
- Sep 26, 2018
- Related notice effective date
- Sep 26, 2018
(a)All persons in possession of keys used in a facility shall maintain the keys in a secure manner. All keys not in the possession of a person shall be maintained in a secure location.
(b)The director shall require that a duplicate of every key used in a facility is maintained. Such duplicate keys shall be maintained in a secure area and shall be readily accessible when needed. Inventory of the duplicate keys shall be completed annually, and the inventory documentation shall be retained at the facility.
(c)A written record shall be maintained with respect to the control and issuance of keys and shall include the:
(1)name of staff issued keys;
(2)date and time of issuance of the keys; and
(3)date and time the keys were returned.
(d)All keys which could provide a youth with a means of exit from a facility shall not be permitted in any area where youth may gain access to such keys.
(e)Key rings shall be bonded closed.
(f)Restricted and emergency keys must be stored separate and distinct from regular use keys.
9 NYCRR 7306.14 - Locks and other securing devices
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-27-18-00002-A · Adopted rule
- Related notice published
- Sep 26, 2018
- Related notice effective date
- Sep 26, 2018
(a)Notwithstanding the requirements of section 7306.7 of this Part, the director shall require that all locks and other securing devices including, but not limited to, bars, security windows and screens are inspected at least weekly to confirm that such locks and other securing devices are in proper working order at each facility.
(b)Written records of such inspections shall be maintained at the facility, and shall include:
(1)the name of the staff performing the inspection;
(2)the date of inspection;
(3)the condition of the locks and other securing devices; and
(4)the action taken to correct any deficiencies in the locks and other securing devices.
9 NYCRR 7306.15 - Tool and equipment control
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-27-18-00002-A · Adopted rule
- Related notice published
- Sep 26, 2018
- Related notice effective date
- Sep 26, 2018
(a)The director shall implement and maintain a system to provide for the control, tracking and storage of tools, culinary equipment and medical equipment. Such system shall include regular monitoring by the director, or designee.
(b)Written records of such system shall be maintained and shall include:
(1)the name of the staff monitoring compliance;
(2)the date of monitoring;
(3)the condition of the tools, culinary equipment and medical equipment; and
(4)action taken to repair or replace any tools, culinary equipment and medical equipment.
9 NYCRR 7306.16 - Perimeter control
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-27-18-00002-A · Adopted rule
- Related notice published
- Sep 26, 2018
- Related notice effective date
- Sep 26, 2018
(a)The director shall require that facility staff conduct a formal security visual inspection of each facility's external perimeter security. Such inspection shall be conducted at intervals not to exceed seven days, and shall include, but not be limited to:
(1)the integrity of all perimeter fencing, including entrances and exits;
(2)locking mechanisms on all entrances and exits to the facility;
(3)perimeter lighting fixtures;
(4)any free standing buildings adjacent to the facility; and
(5)any windows throughout the exterior of the building.
(b)Written records of such inspections shall be maintained and include, but not be limited to:
(1)the name of the staff conducting the inspection;
(2)the date and time of such inspection;
(3)the condition of the perimeter fencing, locking mechanisms, lighting fixtures, and free standing buildings; and
(4)the notification of any security breaches to the director, or designee.
(c)Such written records shall be retained within the facility and shall be reviewed the director, or designee.