9 NYCRR Part 7404 - Executive Department

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Source versions current through Mar 31, 2022 - Apr 15, 2022 across sections

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9 NYCRR 7404.1 - Policy

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

The Office of Children and Family Services (OCFS) shall operate each secure facility in a manner that provides for adequate supervision of residents and for a safe and secure environment.

9 NYCRR 7404.2 - Definitions

Source version current through Apr 15, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Apr 15, 2022

As used in this Part, the following definitions shall apply to the terms listed below:

(a)Security post shall mean a workstation/area established for the purpose of observing, supervising, and managing residents in a secure facility and shall be occupied by youth division aides or youth counselors, as defined in Part 7433 of this Title.

(b)Supervisory visit shall mean:

(1)a personal visual observation of each resident by facility staff responsible for the care and custody of such residents to monitor their presence and conduct; and

(2)a personal visual inspection of all areas in each occupied individual occupancy unit by staff responsible for the care and custody of residents to maintain the safety, security, and good order of the facility.

(c)Active supervision shall mean the immediate availability to residents of staff responsible for the care and custody of such residents, which shall include:

(1)the continuous occupation of a security post within the living area when residents are actually present on the living area;

(2)the uninterrupted ability to communicate orally with and respond to each resident unaided by any electronic or other artificial amplifying device;

(3)the conducting of supervisory visits at intervals not to exceed 30 minutes; and

(4)the ability of staff to immediately respond to emergency situations.

(d)General supervision shall mean:

(1)supervisory visits conducted at intervals not to exceed 30 minutes by staff who are responsible for the care and custody of residents when they are secured in their individual rooms; and

(2)the continuous occupation of a security post within a living area when occupied by residents.

(e)Constant supervision shall mean the uninterrupted personal visual observation of residents by facility staff responsible for the care and custody of residents. Facility staff shall provide continuous and direct supervision by occupying an assigned position in close proximity to the residents under supervision which shall provide staff with:

(1)a continuous clear view of all residents under supervision; and

(2)the ability to immediately and directly intervene in response to situations or observed behaviors which threaten the safety, security, or health of residents, another person, or the good order of the facility.

(f)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.

(g)Mechanical restraint shall mean any device used to immobilize or limit a resident’s movement which such resident cannot remove. This does not include incidental restraint during transportation outside a secure facility and/or routine movement within a secure facility.

(h)Use of physical force shall mean physical intervention with a resident by staff to control behavior and enforce order, with or without the use of mechanical restrains.

9 NYCRR 7404.3 - Policies and procedures

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

(a)Consistent with the requirements of this Part, OCFS shall develop written policies and procedures that govern security and supervision for each secure facility. Such policies and procedures shall include, but not be limited to:

(1)supervision of residents in facility living areas;

(2)supervision of residents outside facility living areas;

(3)records of supervision;

(4)requirements of staff prior to assuming responsibilities in an assigned facility area;

(5)contraband;

(6)use of physical force and mechanical restraints;

(7)resident population counts;

(8)transport of residents;

(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 and updated as needed.

9 NYCRR 7404.4 - Supervision of residents in facility living areas

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

(a)Active supervision shall be maintained in any secure facility living area when any resident is confined in such area but not secured in an individual unit.

(b)General supervision shall be maintained whenever a resident is secured in an individual occupancy unit. For the duration of such general supervision, mechanical or electrical time recording devices shall be used to record the performance of supervisory visits conducted pursuant to the requirements of this section.

(c)The records resulting from the use of mechanical or electrical time recording devices shall be retained within the facility and reviewed weekly by the facility director or designee.

(d)The facility director, designated administrator or the facility physician shall determine whether a resident requires additional supervision based on the resident’s condition, illness or injury, and the facility director or designated administrator shall order such supervision if warranted. Additional supervision may include more frequent supervisory visits, active supervision when only general supervision is required, 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 resident’s condition and behavior.

(e)Consistent with the requirements of section 7404.6 of this Part, such determination and orders for additional supervision shall be recorded.

9 NYCRR 7404.5 - Supervision of residents outside facility living areas

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

Active supervision shall be maintained whenever residents are participating in activities outside their facility living areas.

9 NYCRR 7404.6 - Records of supervision

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

(a)All written records pertaining to facility living area supervision 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 area. Such records shall include, but not be limited to, the following information:

(1)the name or designation of the living area for which the supervision is being maintained;

(2)the name(s) of staff conducting the supervision;

(3)where a security post is not located within a living area pursuant to section 7404.2(c)(1) of this Part, each supervisory visit conducted in the course of providing active supervision shall be entered in the living area logbook at the times such visits are made;

(4)the date and time when general supervision is initiated and concluded; and

(5)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 residents 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 resident 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 living area supervision may be recorded on a computerized log. Entries made on a computerized log shall identify the staff making such entry.

9 NYCRR 7404.7 - Requirements of staff prior to assuming responsibilities in an assigned facility area

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

(a)Upon assuming responsibilities in an assigned secure facility area, each staff shall review the log entries maintained pursuant to section 7404.6 of this Part.

(b)Upon assuming responsibilities in an assigned secure facility area, an assigned staff shall perform the following:

(1)conduct an actual count of the residents assigned to the staff’s area of responsibility and record such results in a logbook;

(2)obtain and count all necessary keys for the assigned area in accordance with the provisions of section 7404.13 of this Part;

(3)inspect all supplies, equipment, locks, doors, screens, security windows, and other securing devices;

(4)perform any other necessary security functions as determined by the facility director or person acting in that capacity; and

(5)make a log entry documenting activities required by this section and initial such records.

9 NYCRR 7404.8 - Contraband

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

(a)OCFS shall conduct facility and resident searches solely to inspect for contraband and/or to recover missing or stolen items.

(b)The disposition of contraband shall be in accordance with Part 7403 of this Title.

(c)Nothing in this section shall limit or restrict OCFS from using electronic devices during the search of residents, visitors, facilities, and/or secure grounds.

9 NYCRR 7404.9 - Use of physical force and mechanical restraints

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

(a)The use of physical force and restraints by staff shall be reasonable under the circumstances and in accordance with applicable law.

(b)Neither physical force nor mechanical restraints shall be used for purposes of discipline, punishment, or for the convenience of staff.

(c)All staff and residents involved in a use of force incident shall thereafter be evaluated by licensed health care professionals and shall receive medical treatment if warranted.

(d)All use of force incidents shall be immediately entered into the appropriate logbook(s) and shall be fully documented within 24 hours of the incident.

9 NYCRR 7404.10 - Formal resident population counts

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

(a)Formal resident population counts shall:

(1)be conducted at least once during each regularly scheduled shift throughout the course of a 24 hour period; and

(2)include an accounting of all residents housed in or otherwise assigned to the facility area in which such count is conducted.

(b)The results of each formal resident 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 residents accounted for; and

(4)names of staff conducting the count.

(c)Subsequent to each formal resident 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 facility director or designee. Upon receipt of the results of the formal resident population counts, the facility director or designee shall determine the total formal resident population count. Such total formal resident population count shall account for every resident committed to the facility.

(d)Total formal resident 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 facility director or designee.

(e)The facility director or designee shall immediately initiate appropriate emergency procedures in response to any discrepancy in the resident population count.

(f)Nothing in this Part shall preclude the facility from conducting informal counts.

9 NYCRR 7404.11 - Transport of residents

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

(a)Active supervision of residents shall be provided by OCFS staff during transport.

(b)Prior to beginning such transport, staff responsible for the transport of residents shall obtain:

(1)all necessary documents or other authorizations; and

(2)any other information relative to such transport.

9 NYCRR 7404.12 - Firearms control

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

(a)Neither firearms nor ammunition shall be permitted within the secure area of any secure 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 secure facility. Any firearm or ammunition deposited pursuant to this subdivision shall be maintained in a safe and secure manner.

9 NYCRR 7404.13 - Key control

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

(a)All persons in possession of keys used in a secure facility shall maintain the keys in a secure manner. All keys not in the possession of a person shall be maintained in a secure area of the facility.

(b)The facility director or person acting in that capacity shall require that a duplicate of every key used in a secure 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 residents with a means of exit from any secure facility shall not be permitted in any area where residents 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 7404.14 - Locks and other security devices

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

(a)Notwithstanding the requirements of section 7404.7 of this Part, OCFS shall require that all locks and other securing devices including, but not limited to, bars, security windows, screens, and outside perimeter fencing are inspected at least weekly to confirm that such locks and other securing devices are in proper working order at each secure 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 7404.15 - Tool and equipment control

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

(a)OCFS shall require that each secure facility implement and maintain a system to provide for the control, tracking and storage of tools, culinary equipment and medical equipment.

(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 7404.16 - Perimeter control

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

(a)OCFS shall require all secure facilities to conduct a formal security visual inspection of each facility’s external perimeter security. Such inspection shall be conducted at least once during the regularly scheduled shift 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 facility director or designee.

(c)Such written records shall be retained within the facility and shall be reviewed the facility director or designee.

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