New York Codes, Rules and Regulations
Title 7 - DEPARTMENT OF CORRECTIONS AND COMMUNITY SUPERVISION
Chapter VIII - Institutional Programs
Part 701 - Inmate Grievance Program
Section 701.5 - Procedure
Universal Citation: 7 NY Comp Codes Rules and Regs ยง 701.5
Current through Register Vol. 46, No. 12, March 20, 2024
Note:
If an inmate is deaf or hard-of-hearing, any expression of difficulty in communicating or understanding shall be considered a request for assistance. Reasonable accommodations (including assignment of a sign language interpreter, if needed, and a grievance clerk) will be made to ensure the inmate's full access to all steps in the grievance process.
(a) Filing the complaint.
(1) Time limit for filing. An inmate must
submit a complaint to the clerk within 21 calendar days of an alleged
occurrence on an inmate grievance complaint form (form #2131). If this form is
not readily available, a complaint may be submitted on plain paper. The
complaint may only be filed at the facility where the inmate is housed even if
it pertains to another facility.
Note:
Exceptions to this time limit or any appeal time limits may be approved by the IGP supervisor under section 701.6(g) of this Part.
(2) Contents.
In addition to the grievant's name, department identification number, housing
unit, program assignment, etc., the grievance should contain a concise,
specific description of the problem and the action requested and indicate what
actions the grievant has taken to resolve the complaint, i.e.,
specific persons/areas contacted and responses received. The IGP supervisor
shall review the grievance complaint and designate the grievance code and
title. If the IGP supervisor determines that the grievance may be a harassment,
discrimination or strip frisk/strip search grievance, it shall be processed in
accordance with the respective expedited procedure (section
701.8,
701.9
or
701.10
of this Part). The clerk shall consecutively number and log each grievance at
the time of receipt.
(3) Like
grievances. "Like grievances" may be consolidated at the option of the IGP
supervisor or IGRC and assigned one grievance calendar number. The first
complaint received will be given the next sequential grievance number in the
clerk's log (form #2136). The grievants shall select three or four
spokespersons from their number to be grievants of record and to represent them
at the hearing and to ensure expeditious processing of the cases. Any like
complaint submitted at this time or during processing may be addressed under
the same grievance calendar number. A list of the names of every inmate who
submitted a complaint on the issue shall be included with the grievance
materials and submitted with any appeal which may result. Every effort will be
made to notify all of the grievants of the response at each level to which the
grievance is appealed either by written response, posting on inmate bulletin
boards or radio announcement. Not every complainant may receive an individual
written response, but the three or four grievants of record will. If none of
the grievants of record appeal to the next level, any inmate who submitted a
complaint may continue the appeal. Any inmate on the list of those submitting
the complaint will be given the number of the grievance of record to submit to
the court in order to verify exhaustion of the IGP.
(b) First step, IGRC.
(1) Informal resolution. The representatives
of the IGRC shall have up to 16 calendar days after a grievance is filed to
resolve it informally. If the matter is resolved to the satisfaction of the
grievant, the resolution and the grievant's consent must be entered on the
inmate grievance complaint form.
(2) IGRC hearing.
(i) If there is no resolution, the full
committee shall conduct a hearing to answer the grievance or make a
recommendation to the superintendent.
(ii) The clerk, together with the staff,
shall schedule the hearing to take place within 16 calendar days after receipt
of the grievance, making certain that the grievant and all direct parties and
witnesses, if any, are afforded an opportunity to appear (except as exempted in
section
701.7[d]
of this Part).
(a) Any inmate whose
confinement status precludes his/her attendance at an IGRC hearing and who will
be released within 30 calendar days shall be given the option of having the
hearing held in his/her absence or postponed until release from confinement.
The grievant's decision shall be obtained in writing. If the grievant is not
scheduled for release from confinement within 30 calendar days, the hearing
shall be held in his/her absence. If any person elects not to appear, the clerk
shall so inform the IGRC.
(b) If a
grievant does not appear for the hearing without a legitimate reason (visit,
parole hearing, program committee, sick call, keeplock, etc.), the IGRC will
hold a hearing in absentia. The IGRC has the authority in this circumstance to
dismiss and close the grievance by majority vote (3 of 4), or to make a
recommendation on the action requested and forward same to the
grievant.
(c) If a grievant misses
three scheduled hearings due to legitimate reasons, the IGRC shall act on the
grievance at the third scheduled hearing.
(iii) The full IGRC shall conduct the hearing
at the time and place set. The grievant or his/her advisor and any other direct
party to the grievance may present relevant information, comments, or other
evidence in furtherance of their respective positions. The IGRC shall be the
judge of the relevance and materiality of the evidence offered.
(3) Committee
decision/recommendation.
(i) After the
chairperson closes the hearing, the committee shall deliberate in private
session. Its decision must be communicated to the grievant and any direct party
in writing with reasons stated, within two working days. In its discretion, the
IGRC may also communicate its decision to the grievant orally immediately after
its deliberations.
(ii) Matters
which neither require superintendent/central office action nor involve changes
in policy may be resolved by agreement of the committee, the inmate, and the
party directly affected. Committee decisions which do require superintendent or
central office action, including, but not limited to, changes in institutional
or departmental policy or procedure, shall be written in the form of
recommendations and referred to the superintendent. Any matter on which the
committee cannot reach a decision by majority vote shall also be referred to
the superintendent for action and response.
(4) Dismissals.
(i) The IGRC may dismiss and close a
grievance after a hearing if it determines, by majority vote (3 of 4), that:
(a) the grievant has made no effort to
resolve the complaint through existing channels;
(b) the grievant has not been or will not be
personally affected by the issue in his/her complaint;
(c) the grievant is seeking a decision or an
appeal of a decision otherwise attainable through the established procedures
for:
(1) temporary release, family reunion and
media review programs;
(2)
disciplinary and time allowance committee proceedings;
(3) central monitoring (CMC), inmate claims,
or record's review (freedom of information requests, expunction) procedures;
or
(4) any other program or
procedure having a written appeal mechanism which extends review to outside the
facility (see section
701.3[e]
of this Part);
(d) the
grievant is seeking action with respect to any policy, regulation, rule or
action of an agency not under the supervision of the Commissioner of
Correctional Services (see section
701.3[f]
of this Part); or
(e) the grievance
is institutional in nature and only affects or no longer affects a grievant who
has been released or paroled (see section
701.6[i]
of this Part).
(ii) In
such cases, the IGRC shall clearly cite the portions of this section and of
section
701.3(a), (b), (e) and
(f), or
701.6(i)
of this Part which provide the basis for dismissal, and shall, where
appropriate, refer the grievant to appropriate existing mechanisms.
(iii) If a grievant believes that a dismissal
in his/her case is not authorized by this directive, he/she may apply directly
to the facility IGP supervisor for review within seven calendar days after
receipt of the IGRC's decision to dismiss the grievance. If the supervisor
determines that the grievance does not fall into one of the categories cited in
this section, then the grievance will be returned to the IGRC for a hearing and
recommendation. The supervisor's written response shall be forwarded to the
grievant within seven calendar days of receipt. An inmate may pursue a
complaint that the IGP supervisor failed to reinstate an improperly dismissed
grievance by filing a separate grievance.
(iv) If there is less than a majority vote to
determine whether a complaint constitutes a grievable issue, the IGRC will hear
the grievance and provide its recommendations with reasons stated on the
specific requested action(s).
(c) Second step, appeal to the superintendent.
(1) Filing an appeal.
If the grievant or any direct party wishes to appeal to the superintendent, he
or she must complete and sign the appeal section on the IGRC response form
(form #2131) and submit it to the grievance clerk within seven calendar days
after receipt of the IGRC's written response. If no appeal is filed upon denial
by the IGRC, it will be presumed that the grievant or direct party accepts the
committee's recommendation. An exception to this appeal time limit may be
approved by the IGP supervisor under section
701.6(g)
of this Part.
(2) Referral to the
superintendent. In all cases where action by the superintendent is required,
the grievance papers and all relevant supplemental data shall be transmitted to
the superintendent. Such transmittal shall be within one working day after
receipt of an appeal.
(3)
Superintendent's action. The superintendent's office shall date stamp all
grievances forwarded showing when they were received. The superintendent or his
designee shall determine if the grievance is departmental in nature.
(i) Departmental issue. If a matter concerns
an altering or revision of a departmental policy/directive, the superintendent
shall promptly forward the grievance papers and a recommendation regarding said
policy to the IGP supervisor for forwarding to the CORC which shall render a
decision in accordance with the third step. Such transmittal must be within
seven calendar days from the time the appeal was received. The grievant, the
grievance clerk, and the direct party, if any, shall receive notice of said
transmittal. Departmental issues which do not involve creation or revision of a
departmental policy or directive shall be answered by the superintendent within
20 calendar days from the time the appeal was received.
(ii) Institutional issue. If a matter
concerns an institutional issue, the superintendent shall render a decision on
the grievance and transmit said decision, with reasons stated, to the grievant,
the grievance clerk, and direct party, if any, within 20 calendar days from the
time the appeal was received.
(4) Implementation of decisions. The IGP
supervisor or the superintendent must verify compliance with superintendents'
responses that require some form of implementation. Documentation of compliance
must be filed with the grievance record. If a decision is not implemented
within 45 days, the grievant may appeal to CORC citing lack of implementation
as a mitigating circumstance.
(d) Third step, appeal to the central office review committee (CORC).
(1)
Appeal.
(i) If the grievant or any direct
party wishes to appeal to the CORC, he or she must complete and sign form #2133
and submit it to the grievance clerk within seven calendar days after receipt
of the superintendent's written response to the grievance. The superintendent's
response form contains simple directions for appeal to the CORC. An exception
to this appeal time limit may be approved by the IGP supervisor under section
701.6(g)
of this Part.
(ii) The grievance
clerk shall transmit the signed appeal and the accompanying grievance papers to
the IGP supervisor within one working day after receipt of the signed appeal
statement. The supervisor must forward appeals within seven calendar days to
the CORC.
(2) The CORC.
(i) The CORC shall consist of the deputy
commissioner and counsel, deputy commissioner for correctional facilities,
deputy commissioner for program services, deputy commissioner for
administrative services, and the deputy commissioner and chief medical officer,
or their designees expressly authorized to act for them. A representative of
the office of diversity management will attend CORC hearings and have input on
grievances alleging discrimination, but will not vote.
(ii) The CORC functions on behalf of the
commissioner and under his authority. CORC decisions have the effect of
directives. Decisions requiring remedial action must be implemented by the
facility and/or departmental office to which they apply.
(iii) The director, IGP, is not a voting
member of the CORC. The director will, however, be responsible for the
administrative function of the IGP. The director, IGP, as the commissioner's
designee, shall ensure implementation of CORC decisions.
(3) CORC action.
(i) The IGP central office staff shall date
stamp all appeals showing when they were received and shall notify facility
grievance staffs in writing as grievances are received. The facility IGP staff
shall forward a copy of the written notice of receipt to the grievant of
record. If a grievant does not receive a copy of the written notice of receipt
within 45 days of filing an appeal, the grievant should contact the IGP
supervisor in writing to confirm that the appeal was filed and transmitted to
CORC.
(ii) The CORC shall review
each appeal, render a decision on the grievance, and transmit its decision to
the facility, with reasons stated, for the grievant, the grievance clerk, the
superintendent, and any direct parties within 30 calendar days from the time
the appeal was received.
(4) Implementation of decisions. The
director, IGP, must obtain verification of compliance with CORC dispositions.
Documentation of compliance must be filed in the central office and facility
grievance records.
Disclaimer: These regulations may not be the most recent version. New York may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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