New York Codes, Rules and Regulations (NYCRR)
Title 9 Part 7406
Executive Department
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6 sections
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9 NYCRR 7406.1 - 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
(a)In order to provide a mechanism by which secure facility operations, policies and procedures can be monitored, evaluated and improved, each secure facility shall internally review and assess all incidents of a serious or potentially problematic nature, and report such incidents to the State Commission of Correction (the commission) pursuant to the requirements of this Part.
(b)Consistent with the requirements of this Part, the Office of Children and Family Services (OCFS) shall develop written policies and procedures that govern the reporting of secure facility incidents to the commission. These policies and procedures shall be reviewed annually and updated as needed.
9 NYCRR 7406.2 - Reportable incidents
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)The following incidents shall be reported to the commission pursuant to the requirements of this Part:
(1)assaults;
(2)sexual abuse;
(3)sexual assaults;
(4)employee misconduct;
(5)communicable reportable disease;
(6)contraband;
(7)deaths;
(8)escapes;
(9)escape attempts;
(10)fires;
(11)personnel group actions;
(12)resident group actions;
(13)hostage situations;
(14)major disturbances;
(15)major maintenance/service disruptions;
(16)natural/civil emergencies;
(17)attempted suicides;
(18)self-inflicted injuries; and
(19)serious accidental injuries.
9 NYCRR 7406.3 - Reporting incidents other than resident deaths
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-45-15-00024-A · Adopted rule
- Related notice published
- Jan 20, 2016
- Related notice effective date
- Jan 20, 2016
(a)As required in section 7406.2 of this Part, whenever a reportable incident occurs at a secure facility, OCFS shall report such incident to the commission pursuant to the following requirements:
(1)all major disturbances, escapes, resident group actions, personnel group actions, hostage situations, natural/civil emergencies, major maintenance/service disruptions, or any incident during which control at a secure facility is lost or partially lost shall be reported immediately upon occurrence or discovery in a form and manner as required by the commission.
(2)all assaults, sexual assaults, sexual abuse, employee misconduct, communicable reportable disease, contraband, escape attempts, fires, attempted suicides, self-inflicted injuries, serious accidental injuries, or occurrence(s) that disrupt the normal operations of a secure facility or that involve injury to residents or staff resulting in hospital treatment shall be reported, in a form and manner as required by the commission, within 24 hours of occurrence or discovery.
(b)OCFS shall provide follow-up reports for specified incidents which may be required by the commission. Such follow-up reports shall be submitted in writing to the commission in a form and manner as required by the commission, as soon as practicable, but no later than 30 days following the initial report.
(c)When additional pertinent facts are discovered about an incident after OCFS has submitted the follow-up report to the commission, such information shall be forwarded in writing, in a form and manner as required by the commission, as soon as practicable, but no later than 14 days following discovery.
9 NYCRR 7406.4 - Reporting resident deaths
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-45-15-00024-A · Adopted rule
- Related notice published
- Jan 20, 2016
- Related notice effective date
- Jan 20, 2016
(a)OCFS shall report the death of any resident listed on its official count of secure facility residents to the commission within six hours of pronouncement of death, in a form and manner prescribed by the commission.
(b)Within three days after the pronouncement of a resident’s death, a copy of the deceased’s entire medical record, including the preliminary autopsy report, if available, shall be forwarded to the commission.
(c)Any copies of medical records provided pursuant to subdivision (b) of this section shall be certified as being a true copy of such record by the authority responsible for maintaining the record.
(d)Within 10 days after the pronouncement of a resident’s death, the facility medical director shall forward a follow-up report in writing to the commission which shall include, but not be limited to:
(1)a narrative medical history of the deceased covering the period 90 days prior to death;
(2)the deceased’s primary medical and/or psychiatric diagnosis and the therapy provided, if any, as a result of such diagnosis;
(3)a narrative description of the terminal event occurring immediately prior to the pronouncement of death; and
(4)a final copy of the autopsy report, if available.
(e)In addition, such follow-up report shall include information required by the commission’s Medical Review Board and any other information specified by the commission in a form and manner required by the board and commission.
(f)When additional pertinent facts are discovered about a resident’s death after the facility has submitted the follow-up report to the commission, such information shall be forwarded in writing in a form and manner as required by the commission as soon as practicable, but no later than 14 days following discovery.
9 NYCRR 7406.5 - Maintenance of reportable incident information
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 copy of all completed reports and supplementary information prepared by OCFS secure facility staff pertaining to reportable incidents, including copies of all information forwarded to the commission pursuant to the requirements of this Part, shall be maintained on file as applicable per OCFS policies and procedures.
9 NYCRR 7406.6 - Review and assessment of reportable incidents
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)OCFS shall develop and implement procedures for the review, investigation, and assessment of reportable incidents.
(b)OCFS shall regularly review all reports prepared by secure facility staff in conjunction with the review and/or investigation of reportable incidents, including pertinent facility log entries.
(c)The facility director or person acting in that capacity shall take appropriate actions, based upon review of prior incidents, to reduce the possibility of recurrence.