New York Codes, Rules and Regulations (NYCRR)
Title 9 Part 7420
Executive Department
Browse the NYCRR by title, part, and section.
9 sections
Title 9 is open to everyone.
Ask LawEngine about the NYCRR →Create a free account →All 23 titles. No credit card required.Source version current through Mar 31, 2022
All 9 displayed sections in this Part carry the same compiled date. Status and warnings stay on each section.
9 NYCRR 7420.1 - 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 provide an effective and impartial procedure for the timely resolution of resident complaints, the Office of Children and Family Services (OCFS) shall establish, implement and maintain a formal resident grievance program at each secure facility. Residents shall be afforded the opportunity to resolve their complaints in an informal manner.
(b)Consistent with the requirements of this Part, OCFS shall develop written policies and procedures that govern the grievance program at each secure facility. These policies and procedures shall be reviewed annually and updated as needed.
9 NYCRR 7420.2 - Definitions
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
As used in this Part, the following definitions shall apply to the terms listed below:
(a)Grievance shall mean a resident’s written complaint concerning either written or unwritten facility policies, procedures, rules, practices, programs, or the action or inaction of any person within the facility which personally affects the resident.
(b)Grievant shall mean a resident who has filed a grievance pursuant to this Part.
(c)Grievance coordinator shall mean staff designated to facilitate and monitor the resident grievance program.
9 NYCRR 7420.3 - Facility grievance policies and 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
OCFS shall develop written policies and procedures pursuant to this Part which shall include, but not be limited to:
(a)a detailed description of the grievance program operations including steps, timelines, investigative processes, and available appeal procedures;
(b)staff responsibilities and functions relative to the grievance program;
(c)procedures to provide grievance program accessibility to residents;
(d)a statement regarding safeguards for residents against reprisals for having filed a grievance;
(e)procedures for orientation to the grievance program for all facility staff and residents; and
(f)procedures for corrective action to be taken when a grievance is found to have merit.
9 NYCRR 7420.4 - Facility grievance program requirements
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 residents of a secure facility shall have access to the facility’s grievance program.
(b)Instructions for filing a grievance shall be included in the orientation information as required by section 7403.10 of this Title.
(c)Upon admission, all residents of secure facilities shall be advised in writing as to the availability of grievance forms.
(d)The grievant must file a grievance within 14 days of the date of the act or occurrence giving rise to the grievance.
(e)At each secure facility, the facility director, or person acting in that capacity, shall designate staff to act as grievance coordinator(s).
(f)The facility director, or person acting in that capacity, shall require that each grievance is investigated to the extent necessary by an impartial person who was not personally involved in the circumstances giving rise to the grievance; provided, however, that a grievance which is too vague to understand or fails to set forth supporting evidence or information may be returned to the resident. Failure to supply sufficient information or evidence within two days thereafter shall be cause to deny the grievance.
(g)The results of any investigation conducted pursuant to subdivision (f) of this section shall be immediately provided to the grievance coordinator and the unit administrator, or other appropriate staff member chosen to determine the grievance pursuant to subdivision (i) of this section. At a minimum, each investigation of a resident’s grievance shall include gathering, assessing, and summarizing the following information:
(1)the facts and issues underlying the circumstances of the grievance;
(2)any interviews held with the grievant and with all parties involved in the grievance; and
(3)any other relevant information.
(h)The following complaints are not grievable and shall be returned to the grievant by the grievance coordinator with a written explanation:
(1)finding(s) and sanction(s) from facility disciplinary proceedings;
(2)grievances that do not personally affect the resident; or
(3)dispositions or individual decisions of any current or subsequent program, and/or procedures having a written appeal mechanism which extends review to outside the facility also shall not be grievable. These dispositions or individual decisions shall include, but not be limited to:
(i)parole revocation decisions;
(ii)Fenner hearing decisions; and
(iii)time allowance hearing decisions.
(i)A determination of every grievance shall be reached within seven days of filing. Such determination shall be in writing and shall be issued by the unit administrator or, if the unit administrator is the subject of the grievance, an appropriate staff member designated by the grievance coordinator. The written determination shall specify the facts and reasons underlying the determination and a copy of such determination shall be provided to the grievant and the grievance coordinator.
(j)Within seven days after receipt of the determination described in subdivision (i) of this section, the grievant may appeal the decision to the facility director, or person acting in that capacity.
(k)Within 14 days from the time the appeal is received by the facility, the facility director, or person acting in that capacity, shall issue a written determination on the grievance appeal and provide a copy of such determination to the grievant and the grievance coordinator.
(l)Within seven days of receipt of the facility director’s determination, the grievant may appeal the decision to the Deputy Commission for Rehabilitative Services, or designee.
(m)Within 30 days from the time the appeal is received by the Deputy Commissioner for Rehabilitative Services, or designee, a written determination shall be issued on the grievance appeal and the following people shall be provided a copy of such determination: the grievant, the facility director or person acting in that capacity, and the grievance coordinator. The determination by the Deputy Commissioner of Rehabilitative Services shall be final.
9 NYCRR 7420.5 - Grievance program forms
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 utilize a grievance form that contains all of the required elements of this Part, including, but not limited to, an indication as to whether or not a resident has attempted to informally resolve their complaint, and if so, a description of the attempt.
9 NYCRR 7420.6 - Continuation and termination of grievances
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 grievant is transferred from a secure facility to another OCFS facility prior to the resolution of a grievance, the grievance coordinator shall forward the grievance decision upon completion to the receiving facility director, or person acting in that capacity, and the grievant.
(b)If the grievant is released from a secure facility and the grievance is applicable only to the grievant, the grievance shall be forwarded to the facility director for a determination as to whether the subject of the grievance requires corrective action.
(c)If the grievance is applicable to any other resident, the facility director, or person acting in that capacity, shall be required to complete the grievance process and to render a decision. If the facility director or person acting in that capacity denies such grievance, the facility director, or person acting in that capacity, shall forward the grievance to the Deputy Commissioner of Rehabilitative Services, or designee, for a final decision.
9 NYCRR 7420.7 - 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
If a grievant is non-English speaking, illiterate, or if the complexity of an issue makes it unlikely that the resident will be able to adequately present the substance of the grievance, the grievance coordinator or a designated impartial person shall assist the grievant in the preparation of the written grievance. Where the grievance coordinator has investigated a grievance, they shall not assist the resident in the preparation of that grievance and shall designate an impartial person to assist the resident in the preparation of the grievance.
9 NYCRR 7420.8 - 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
(a)Each facility director, or person acting in that capacity, shall be responsible for the development of a centralized facility based record system for all resident grievances.
(b)The facility director, or person acting in that capacity, shall be responsible for requiring the confidentiality and maintenance of the centralized facility based record system in each secure facility.
9 NYCRR 7420.9 - Staff orientation
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
All facility staff shall receive an orientation to the policies and procedures as required by section 7433.5 of this Title.