New York Codes, Rules and Regulations (NYCRR)
Title 9 Part 7405
Executive Department
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9 NYCRR 7405.1 - Policy
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)In order to promote the safety, security, and good order of all secure facilities, the Office of Children and Family Services (OCFS) shall establish and maintain a fair, impartial and consistent system of resident discipline designed to set standards of appropriate behavior and encourage self control.
(b)Consistent with the requirements of this Part, OCFS shall develop written policies and procedures regarding a disciplinary system for secure facilities. These policies and procedures shall be reviewed annually and updated as needed.
9 NYCRR 7405.2 - Rules of resident conduct
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)OCFS shall develop and list written rules of conduct governing resident behavior.
(b)The rules of resident conduct shall include, but not be limited to:
(1)all chargeable rule violations;
(2)the range of penalties that may be imposed for each violation, consistent with the seriousness of the prohibited conduct; and
(3)a detailed description of the facility’s disciplinary procedures.
(c)Upon admission to a secure facility, each resident shall be provided with a copy of the rules of resident conduct. Each resident shall be required to acknowledge, in writing, receipt of the facility rules of resident conduct pursuant to section 7403.10 of this Title.
(d)Reasonable efforts shall be made to assist any resident who is, or appears to be, illiterate, non-English speaking, or for any other reason needs assistance in the understanding of facility rules of resident conduct and disciplinary procedures pursuant to this Part.
9 NYCRR 7405.3 - Rule violation reports
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)When any secure staff have a reasonable belief that a resident has committed an offense that constitutes a violation of the facility’s rules of resident conduct, such staff shall prepare a written rule violation report.
(b)Each rule violation report shall include, but not be limited to:
(1)the name(s) of the resident(s) charged with the misconduct;
(2)the date, time, and place of occurrence;
(3)a description of the incident or behavior involved and the rule(s) allegedly violated;
(4)the date and time the report is written; and
(5)the reporting staff’s printed name and signature.
(c)If two or more violations are involved, all the violations may be incorporated in a single report, separately stated. Each violation shall be disposed of separately in accordance with the policies and procedures required by this Part.
(d)If more than one resident is involved in any incident, the facts and circumstances surrounding each resident’s involvement shall be separately stated in the rule violation report.
(e)Any resident charged with a rule violation shall be issued a copy of the rule violation report as soon as practicable.
9 NYCRR 7405.4 - Investigative processes
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)An investigation into the facts and circumstances of the incident shall be initiated if the facility director or designee determines that the circumstances warrant such an investigation.
(b)In those cases where an investigation is deemed necessary, the investigation shall be conducted by a person who was not involved in the incident, and a completed report shall be provided to the hearing officer prior to any hearing based on the incident investigated.
9 NYCRR 7405.5 - Assistance to residents
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)If a resident is non-English speaking, illiterate, and for any other reason unable to prepare a defense, assistance shall be provided to the resident.
(b)Such assistance shall be provided to the resident by a person selected from a list approved by the facility director or designee, and shall commence at least 24 hours prior to the hearing.
(c)Consistent with the requirements of this Part, such assistance shall include, but not be limited to:
(1)interviewing witnesses; and
(2)obtaining evidence and written statements.
9 NYCRR 7405.6 - Hearing proceedings
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)A resident charged with a rule violation for which a hearing is required shall be served with a notice of hearing no later than eight business days after the rule violation report is issued pursuant to section 7405.3(e) of this Part.
(b)Such written notice of hearing shall be given to the resident at least 24 hours prior to the commencement of the hearing, and such hearing shall be completed within five business days of commencement, unless a delay is authorized by the Deputy Commissioner of Rehabilitative Services or designee. When such a delay is authorized, the record of the hearing should reflect the reasons for delay or adjournment and the resident should be made aware of these reasons unless to do so would jeopardize the safety, security, or good order of the facility or the safety or security of another person. The time frames required by this subdivision may be waived by the resident, but such waiver shall not be effective unless made in writing.
(c)The facility director shall serve, or appoint an impartial person to serve, as a hearing officer to conduct the hearing proceedings.
(d)Residents shall be allowed to be present at the hearing unless the resident has waived the right to be present or the hearing officer determines that the resident’s presence will jeopardize the safety, security, or good order of the facility, or the safety, security, or the health of another person. A waiver of the right to be present shall be made in writing and signed by the resident. If the resident refuses to sign such waiver, it shall be noted in the record. The hearing officer’s determination that a resident’s presence will jeopardize the safety, security, or good order of the facility or the safety, security, or the health of another person shall be documented in the hearing record.
(e)Residents shall be given the opportunity to speak on their behalf at the hearing, and shall be permitted to call witnesses and present evidence in their defense if relevant and not redundant, and when doing so would not jeopardize the safety, security, or good order of the facility or the safety, security, or the health of another person. A hearing officer’s determination that the presence of a particular witness or the introduction of particular evidence is irrelevant, redundant, or will jeopardize the safety, security, or good order of the facility or the safety, security, or the health of another person shall be documented in the hearing record.
(f)If the hearing officer calls witnesses, the resident may submit questions directed toward such witnesses to the hearing officer. The hearing officer shall pose such questions to the witness if relevant and not redundant, and when doing so would not jeopardize the safety, security, or good order of the facility. The hearing officer may restate such question if it is unclear or improper in form. A hearing officer’s determination that a particular question is irrelevant, redundant, or will jeopardize the safety, security, or good order of the facility or the safety, security, or the health of another person shall be documented in the hearing record.
(g)Residents may be excluded from the hearing during the interview of witnesses in accordance with subdivision (d) of this section. The content of such interview shall be provided to the resident, except for such information that, if provided, would jeopardize the safety, security, or good order of the facility, or the safety, security, or the health of another person.
(h)No charges other than those contained in the rule violation report shall be presented during the course of the hearing. Any additional charges brought against the resident shall be treated as new charges and shall be subject to the requirements of this Part.
(i)A disposition shall be reached within five business days of the conclusion of the hearing. The disposition shall be supported by evidence, shall be in writing, and shall contain the following:
(1)a finding of guilt or innocence on each charge of a rule violation;
(2)the evidence relied upon by the hearing officer in reaching such finding; and
(3)the sanction(s) imposed, if any.
(j)A copy of the disposition shall be provided to the resident.
(k)Nothing in this Part shall preclude the use of plea bargaining.
9 NYCRR 7405.7 - Disciplinary sanctions
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)If the charges against a resident are affirmed as a result of a hearing, one or more of the following sanctions may be imposed based upon the resident’s past record and the severity of the offense:
(1)counseling and/or written reprimand;
(2)loss of one or more specified privileges for a period consistent with the facility rules of resident conduct for the particular offense(s);
(3)restitution for the loss or damage of property made from existing or future funds in the resident’s account;
(4)loss of a specified period of good behavior allowance, subject to restoration pursuant to applicable laws and regulations; and
(5)the assigning of a facility service activity for a length of time not to exceed 40 days.
(b)Disciplinary sanctions may be imposed at the completion of the disciplinary hearing and prior to any appeal by the resident.
(c)The hearing officer may hold the commencement of a sanction in abeyance for a period of up to 120 days in order to assess the behavioral adjustment of the resident. At the conclusion of such period, the hearing officer shall determine whether the sanction shall commence in whole, in part or shall be suspended in whole or in part.
9 NYCRR 7405.8 - Appeal procedures
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)Residents shall have the right to appeal the hearing disposition and any sanction(s). Such appeal shall be submitted in writing within 15 days of the resident’s receipt of the disposition, specifying the grounds for appeal.
(b)The facility director or designee shall be required to send the resident’s appeal and hearing proceeding paperwork, within 15 days of receipt, to the Deputy Commissioner of Rehabilitative Services or designee for review.
(c)The Deputy Commissioner of Rehabilitative Services or designee review shall be completed within 45 days of receipt of the resident’s appeal and hearing paperwork.
(d)The Deputy Commissioner of Rehabilitative Services or designee may confirm, reduce or modify all or part of the sanction(s), but not increase them.
(e)Residents shall be notified in writing of the Deputy Commissioner of Rehabilitative Services’ decision regarding their disciplinary appeal.
9 NYCRR 7405.9 - Recordkeeping
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
Each secure facility shall maintain a disciplinary record which shall include:
(a)the rule violation report;
(b)the investigation report, if prepared;
(c)the formal disposition;
(d)the sanction(s) imposed, if any; and
(e)the appeal documents.