Issue Date: November 22, 2019
Proposal Due Date: December 18, 2019 by 3:00 P.M.
Request for Proposals (RFP) #2019-13
PREA Employee Training Curriculum and Film
Development
The Harriman State Campus, 1220 Washington Avenue, Albany, NY 12226-2050 I www.doccs.ny.gov
RFP 2019-13 PREA Employee Training Curriculum
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NOTICE TO BIDDERS
1. Read the entire RFP document. Note the key issues such as: critical dates, qualifying and
mandatory requirements, services required, and proposal packaging requirements.
2. The successful bidder must meet all of the mandatory requirements.
3. Bidders are permitted to communicate with the designated contacts ONLY. Note the name,
address, phone numbers and email of the designated contacts. (see Section II – Designated
Contact).
4. Any amendments, clarifications, responses to questions, and updates to this RFP will be
posted on the NYS Contract Reporter website (http://www.nyscr.ny.gov/) and the DOCCS
website (http://www.doccs.ny.gov/RFPs/rfps.html).
5. It is the responsibility of the bidder to address all amendments, clarifications or updates
pertaining to this RFP. All applicable amendment information must be incorporated in the
bidder’s proposal.
6. Take advantage of the Questions and Answers period. All questions must be submitted in
writing to the designated email address by the date and time specified in Section III - Key
Events/Dates.
7. Review the RFP document and your proposal. Make sure all requirements are addressed and
all submission copies are identical and complete.
8. Complete and submit with your proposals all required forms. All required forms are either
included or links are provided for the latest revised documents available online.
9. Package your proposals as instructed in Section XII - Proposal Submission. Ensure your
proposal conforms to the packaging requirements. Proposals not packaged accordingly may
be deemed non-responsive.
10. Submit your proposal so that it is received by the designated due date and time (see Section
III – Key Events/Dates). DOCCS may not consider for award proposals received after the
due date and time indicated.
Glossary of Terms
Awardee/Successful Bidder
Entity selected to be awarded a tentative contract.
Bid or Offer or Proposal
The formal written response to this document.
Bidder or Offeror or Proposer
Any person, partnership, firm, corporation, or other
authorized entity submitting a proposal pursuant to this
solicitation.
Commissioner
Commissioner of the Department of Corrections and
Community Supervision or duly authorized representative
Contractor
The successful bidder awarded a contract as a result of this
DOCCS
Department of Corrections and Community Supervision
Facility
Correctional Facility
Inmate
Convicted felon that is incarcerated
PREA
Prison Rape Elimination Act
Request for Proposals (RFP)
This solicitation document
Vendor
Any individual or entity doing business with New York
State.
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Table of Contents
Notice to Bidders ............................................................................................................. 2
Glossary of Terms ........................................................................................................... 2
I. Overview ................................................................................................................. 5
II. Designated Contacts ............................................................................................... 5
III. Key Events/Dates .................................................................................................... 6
IV. Minimum Bidder Qualifications ................................................................................ 6
V. Scope of Services ................................................................................................... 7
VI. Requirements .......................................................................................................... 8
VII. Administrative Information ..................................................................................... 15
A. Method of Award .............................................................................................. 15
B. Price................................................................................................................. 15
C. Term of Contract .............................................................................................. 15
D. Method of Payment .......................................................................................... 16
E. Deliverables ..................................................................................................... 16
VIII. Contract Clauses .................................................................................................. 18
A. Freedom of Information Law/Trade Secrets ..................................................... 18
B. Conflict of Interest ............................................................................................ 18
C. Subcontractors ................................................................................................ 18
D. Debriefing ........................................................................................................ 19
E. Termination ...................................................................................................... 19
F. Ethics Compliance ........................................................................................... 20
G. Indemnification ................................................................................................ 20
H. New York State Vendor File Registration ........................................................ 21
IX. Required Forms .................................................................................................... 21
X. Procurement Rights............................................................................................... 31
XI. Proposal Content .................................................................................................. 33
A. Mandatory Requirements ................................................................................. 33
B. Technical Proposal .......................................................................................... 34
C. Diversity Practice Questionnaire ....................................................................... 34
D. Cost Proposal .................................................................................................. 35
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XII. Proposal Submission ............................................................................................. 35
A. RFP Questions and Clarifications .................................................................... 35
B. Proposal Packaging and Submission ............................................................... 35
C. Proposal Due Date .......................................................................................... 36
XIII. Proposal Evaluation Criteria and Selection Process .............................................. 36
A. Proposal Evaluation and Scoring ..................................................................... 38
B. Final Composite Score ..................................................................................... 38
C. Notification of Award ........................................................................................ 42
Attachment A: Appendix A, Standard Clauses for New York State Contracts
Attachment B: Application Cover Sheet
Attachment C: Cost Proposal Form
Attachment D: Bid Declination Form
Attachment E: Required Forms
E.1
Procurement Lobbying Certification
E.2
Vendor Assurance of No Conflict
E.3
NYS Required Certificates (EO 177 and SFL 139-L)
E.4
Contractor Certification Form ST-220-CA
E.5
Form A – Consultant Disclosure Rights
E.6
Non-Disclosure Agreement
E.7
Encouraging the Use of NYS Subcontractors/Suppliers
Attachment F: M/WBE and EEO Requirements and Forms
Attachment G: Diversity Practices Questionnaire
Attachment H: Bid Submission Checklist
Attachment I: DOCCS Directives
Attachment J: New York State DOCCS Facilities and Regional Map
Attachment K: Mandatory Intent to Bid Form
Attachment L: Deliverable Acceptance Form
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NYS DEPARTMENT OF CORRECTIONS AND COMMUNITY SUPERVISION
REQUEST FOR PROPOSALS #2019-13
PREA Employee Training Curriculum and Film Development
I. OVERVIEW
The New York State Department of Corrections and Community Supervision (hereinafter “DOCCS” or the
Department) is seeking a contractor with subject matter expertise in correctional staff PREA training
(“Contractor”) to assist in the development of an agency-specific PREA refresher training program for all
staff (both uniformed and non-uniformed, working within Prisons and Community Supervision settings). An
essential component of the training is the production of a short film to reinforce the concepts addressed in
the training, with a focus on combating staff sexual abuse and sexual harassment of inmates, retaliation
and proper reporting under the Department’s sexual abuse prevention, response and investigation policies.
II. DESIGNATED CONTACTS
All inquiries concerning this RFP will be addressed to the following Designated Contacts:
ALTERNATE CONTACT
Randi Hammond
NYS Department of Corrections and Community
Supervision
Division of Support Operations/Contract
Procurement Unit
550 Broadway
Menands, New York 12204
Voice: 1-518-436-7886, Ext. 3042
Email: Randi.Hammond@doccs.ny.gov
Contacting anyone other than the designated contacts may result in rejection of bid. See details
in Section IX.A.1 - Procurement Lobbying Act.
All questions and inquiries must be submitted in writing via email, citing the particular proposal section and
paragraph number, to the Contract Procurement Unit. Please reference “RFP 2019-13” on the subject line
of your email.
Bidders are cautioned to read this document thoroughly to become familiar with all aspects of the bid.
Prospective Bidders should note that all clarifications and exceptions including those relating to the terms
and conditions of the contract are to be resolved prior to the submission of a bid.
Answers to all questions of a substantive nature will be posted in the form of a formal addendum at the
following websites: DOCCS http://www.doccs.ny.gov/RFPs/rfps.html and NYS Contract Reporter
http://www.nyscr.ny.gov/. Any questions received after the due date and time (see Section III - Key
Events/Dates) may not be addressed. The addendum will become part of the ensuing contract.
Bidders entering into a contract with the State are expected to comply with all the terms and conditions
contained herein.
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III. KEY EVENTS/DATES
The table below outlines the schedule for important action dates. If the State finds it necessary to change
any of these dates, notification will be accomplished through an addendum to this RFP.
Event
Date
Request for Proposals (RFP) Issued
November 22, 2019
Deadline for filing Mandatory Notice of Intent to Bid
December 10, 2019
Written Bidders Questions Deadline
December 9, 2019 by 3:00 PM EST
DOCCS Issues Responses to Questions (estimated)
December 11, 2019
Proposals Due to DOCCS
December 18, 2019, by 3:00 PM EST
Successful Bidder Selection (estimated)
January 13, 2020
Contract Start Date
April 15, 2020 or upon approval of the NYS
Comptroller
All Work Associated with this Contract Must be Completed
No Later than
Close of Business September 30, 2020
NOTE: This is a tentative timetable, which may ONLY be modified to address the State’s needs.
IV. MINIMUM BIDDER QUALIFICATIONS
Bidders are advised that the State’s intent is to ensure that only qualified and reliable contractors enter into
a contract to perform the work as defined in this document.
A.
Cover Letter - The cover letter must confirm that the Bidder understands all of the terms and conditions
contained in this RFP and will comply with all the provisions of this RFP. Further, should the contract
be awarded to your company, you would be prepared to begin services on April 15, 2020, or upon
approval by OSC (whichever date is later), as indicated in Section III - Key Events/Dates. The cover
letter must include the full contact information of the person(s) DOCCS shall contact regarding the bid
and must also include the name(s) of principal(s) of the company responsible for this contract, their
function, title, and number of years of service with company. A Bidder Representative authorized to
make contractual obligations must sign the cover letter. The letter must also state whether or not
subcontractors will be used, and the name, address, and intended role of each proposed subcontractor
(see Section VIII-C - Subcontractors).
B.
Pre-Requisites - The State considers the following qualifications to be pre-requisites in order to be
considered as a qualified Bidder for purposes of this solicitation. Any bidder who cannot provide
evidence of meeting these requirements will be considered non-responsive and that bidder’s proposal
will be immediately rejected, prior to the scoring process.
•
Prior experience providing training to a corrections or law enforcement agency
•
Prior experience developing training related to Prison Rape Elimination Act implementation.
•
Prior experience developing and producing a training film.
•
Provide at least three (3) Corrections or Law Enforcement reference letters
Failure to meet any of the above qualifications in whole or in part may result in a non-responsive bid
determination and rejection of the bid.
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C.
Filing by Bidders of Mandatory Intent to Bid - Filing of a Notice of Intent to Bid (Attachment K) is a
mandatory prerequisite to further participation in this Procurement. DOCCS reserves the right, in its
sole discretion, to alter the information and schedule shown above. In such an event, DOCCS will
publish the notification on its website at http://www.doccs.ny.gov/RFPs/rfps.html: Bidders are not
obligated to bid based on submitting an Intent to Bid. However, failure to submit an Intent to Bid will
result in the company being precluded from bidding. Attachment K can be sent electronically
to Linda.Mitchell@doccs.ny.gov. The original will be submitted with your proposal.
V. SCOPE OF SERVICES
PREA Standard 115.31 requires an agency to conduct PREA refresher training every two years.
DOCCS has allotted two hours of classroom time for this training. The format of the training module the
Department plans to implement consists of a Power Point-style presentation and a short film. The selected
Contractor, with a DOCCS workgroup, will conduct multiple focus group discussions with separate groups
of staff and inmates at several facilities. The Contractor shall utilize the information garnered from the
workgroups in conjunction with their subject matter expertise to prepare a curriculum, including a story-
board and/or script for the film. Upon approval by DOCCS, Contractor shall produce a presentation based
on the curriculum and a short film based upon the story-board and/or script. DOCCS shall have the
opportunity to review draft materials and direct edits, subject to reasonable limitations (for example, DOCCS
acknowledges that edits requiring additional film shoots would be cost prohibitive). Upon final approval of
the curriculum, presentation and film (the “training materials”), the Contractor shall conduct train the trainer
sessions at two DOCCS’ locations.
In the creation of this training, DOCCS will work with the Contractor to conduct staff focus groups
that will include viewing the previously mentioned inmate education films and through the focus group
process, determine where the greatest staff training needs can be met. The subsequent training and film
will then address those identified needs.
The PREA staff refresher training will include all of the essential elements required under Standard
115.31/231/331 with a focus on key topics such as the dynamics of sexual abuse and sexual harassment
in confinement, how to avoid inappropriate relationships with inmates, effective and professional
communication with all inmates including LGBTI and gender non-conforming inmates, and practical
information regarding how each employee can fulfill their responsibilities under DOCCS’ mandated sexual
abuse and sexual harassment reporting and response policies. The training must address practical
techniques for supervisors, grooming process used by inmates and staff abusers, reporting requirements
and procedures, and retaliation.
The training must satisfy the requirements of PREA Standards 115.31/231/331 that training shall
be tailored to the gender of the inmates or residents at the employee’s facility, and that the employee shall
receive additional training if the employee is reassigned from a facility that houses only male inmates to a
facility that houses only female inmates, or vice versa. The training must address staff working with different
groups including male prison population, female prison population, LGBTI individuals, and community re-
entry settings. The training should address the different dynamics of sexual abuse and sexual harassment
that staff should be aware of when working with these different populations and shall include gender-
informed information on trauma. This training will also help staff better understand the wide-range of victim
response to incidents of sexual harassment and sexual abuse, include trauma-informed education
addressing the common reactions of sexual abuse and sexual harassment in victims and how staff can
detect and respond to signs of threatened and actual sexual abuse.
The classroom-based training presentation shall incorporate a film component. The film may use
footage from DOCCS’ two recently produced PREA inmate education films (funded by a FY 2011 Zero-
Tolerance PREA Grant) but will include new footage and have an obvious focus on staff sexual abuse of
inmates, as well as related misconduct. It is envisioned that the film will include interviews with victims of
sexual abuse in prison, staff perpetrators of sexual abuse, and other staff who have been impacted by
sexual abuse occurring at their facility.
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DOCCS will work with the Contractor to identify one or more former employees who were convicted
of a PREA-related sex offense, currently incarcerated or recently released victims of sexual abuse by staff,
and other staff who have been impacted by sexual abuse who are willing to tell their stories on film. Formal
written consent using a form provided by the DOCCS must be obtained from any individual prior to filming.
All participants in the film will appear voluntarily and will not be entitled to any compensation (with the
exception of regular salary for currently employed staff) in connection with this project.
DOCCS and the Contractor will carefully edit the film to blur the appearance of and employ other
technics to protect the confidentiality of any participant who desires to remain anonymous. DOCCS and
the Contractor will edit the film to remove any outward predatory language, actions or other comments that
are not consistent with the Department’s mission or the goals of the training.
The final presentation, lesson plan, film and all materials produced through this contract are works
made for hire and are the property of DOCCS. All raw footage will be provided to DOCCS in a format that
permits future use.
The Contractor, any employee working on the PREA refresher training program, any sub-
contractors will sign a non-disclosure agreement.
DOCCS will have the opportunity to review multiple drafts of the presentation, lesson plan and film,
and have final approval. No copies of the materials may be released without the express approval of
DOCCS.
Contractor will provide the presentation, lesson plan and film in formats that permits future editing
by DOCCS.
Contractor, in conjunction with DOCCS, will conduct two train-the-trainer sessions; one at each
location below:
Albany Training Academy
1134 New Scotland Avenue
Albany, NY 12208 (Albany County)
Willard Drug Treatment Campus
7116 County Route 132
Willard, NY 14588 (Seneca County)
The Contractor’s proposal shall outline strategies, costs and a timeline for each stage of working
including, but not limited to: initial planning and preparation, site visits and focus group discussions,
curriculum development, film development, all phases of film production work, training and facilitation.
VI. REQUIREMENTS
Bidders must demonstrate the following:
•
That their background and experience qualify them to provide these services and that they have
the fiscal integrity and organizational structure to support this undertaking.
•
That they can provide the services described in Section V - Scope of Services in a manner that
best meets the needs and operations of DOCCS.
•
They will comply with all standard and appropriate regulations governing contracts with the State
of New York (Attachment A). All provisions and requirements of Appendix A Standard Clauses for
New York State Contracts (dated October 2019) will be incorporated into any contract resulting
from this solicitation and will be binding upon the parties to such contract.
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Page 9
•
That they have a willingness to work with DOCCS to achieve any goals established relative to sub-
contracting and purchasing supplies from Minority and Women-Owned Businesses (M/WBE)–
M/WBE Requirements and Forms (Attachment F).
M/WBE Compliance
CONTRACTOR REQUIREMENTS AND PROCEDURES FOR PARTICIPATION BY NEW YORK STATE
CERTIFIED MINORITY AND WOMEN-OWNED BUSINESS ENTERPRISES AND EQUAL EMPLOYMENT
OPPORTUNITIES FOR MINORITY GROUP MEMBERS AND WOMEN
New York State Law: Pursuant to New York State Executive Law Article 15-A and Parts 140-145 of Title 5
of the New York Codes, Rules and Regulations DOCCS is required to promote opportunities for the
maximum feasible participation of New York State-certified Minority and Women-owned Business
Enterprises (“MWBEs”) and the employment of minority group members and women in the performance of
DOCCS contracts.
Business Participation Opportunities for MWBEs
For purposes of this solicitation, DOCCS hereby establishes an overall goal of 0 percent for MWBE
participation, 0 percent for New York State-certified Minority-owned Business Enterprise (“MBE”)
participation and 0 percent for New York State-certified Women-owned Business Enterprise (“WBE”)
participation (based on the current availability of MBEs and WBEs). A contractor (“Contractor”) on any
contract resulting from this procurement (“Contract”) must document its good faith efforts to provide
meaningful participation by MWBEs as subcontractors and suppliers in the performance of the Contract.
To that end, by submitting a response to this RFP, the bidder agrees that DOCCS may withhold payment
pursuant to any Contract awarded as a result of this RFP pending receipt of the required MWBE
documentation. The directory of MWBEs can be viewed at: https://ny.newnycontracts.com. For guidance
on how DOCCS will evaluate a Contractor’s “good faith efforts,” refer to 5 NYCRR § 142.8.
The bidder understands that only sums paid to MWBEs for the performance of a commercially useful
function, as that term is defined in 5 NYCRR § 140.1, may be applied towards the achievement of the
applicable MWBE participation goal.
The portion of a contract with an MWBE serving as a broker that shall be deemed to represent the
commercially useful function performed by the MWBE shall be 25 percent of the total value of the contract.
In accordance with 5 NYCRR § 142.13, the bidder further acknowledges that if it is found to have willfully
and intentionally failed to comply with the MWBE participation goals set forth in a Contract resulting from
this solicitation, such finding constitutes a breach of contract and DOCCS may withhold payment as
liquidated damages.
Such liquidated damages shall be calculated as an amount equaling the difference between: (1) all sums
identified for payment to MWBEs had the Contractor achieved the contractual MWBE goals; and (2) all
sums actually paid to MWBEs for work performed or materials supplied under the Contract.
By submitting a bid or proposal, a bidder agrees to demonstrate its good faith efforts to achieve the
applicable MWBE participation goals by submitting evidence thereof through the New York State Contract
System (“NYSCS”), which can be viewed at https://ny.newnycontracts.com, provided, however, that a
bidder may arrange to provide such evidence via a non-electronic method by contacting the designated
contact(s) for this procurement. Additionally, a bidderwill be required to submit the following documents
and information as evidence of compliance with the foregoing:
1.
An MWBE Utilization Plan with their bid or proposal. Any modifications or changes to an accepted
MWBE Utilization Plan after the Contract award and during the term of the Contract must be reported on a
revised MWBE Utilization Plan and submitted to DOCCS for review and approval.
DOCCS will review the submitted MWBE Utilization Plan and advise the bidder of DOCCS acceptance or
issue a notice of deficiency within 30 days of receipt.
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2.
If a notice of deficiency is issued, the bidder will be required to respond to the notice of deficiency
within seven (7) business days of receipt by submitting to DOCCS, a written remedy in response to the
notice of deficiency. If the written remedy that is submitted is not timely or is found by DOCCS to be
inadequate, DOCCS shall notify the bidder and direct the bidder to submit, within five (5) business days, a
request for a partial or total waiver of MWBE participation goals. Failure to file the waiver form in a timely
manner may be grounds for disqualification of the bid or proposal.
DOCCS may disqualify a bidder as being non-responsive under the following circumstances:
a.
If a bidder fails to submit an MWBE Utilization Plan;
b.
If a bidder fails to submit a written remedy to a notice of deficiency;
c.
If a bidder fails to submit a request for waiver; or
d.
If DOCCS determines that the bidder has failed to document good faith efforts.
The successful bidder will be required to attempt to utilize, in good faith, any MBE or WBE identified within
its MWBE Utilization Plan, during the performance of the Contract. Requests for a partial or total waiver of
established goal requirements made subsequent to Contract Award may be made at any time during the
term of the Contract to DOCCS but must be made no later than prior to the submission of a request for final
payment on the Contract.
The successful bidder will be required to submit a quarterly M/WBE Contractor Compliance & Subcontractor
Payment Report to DOCCS, by the 10
th
day following each end of quarter as applicable over the term of
the Contract documenting the progress made toward achievement of the MWBE goals of the Contract.
Equal Employment Opportunity Requirements
By submission of a bid or proposal in response to this solicitation, the bidder agrees with all of the terms
and conditions of Appendix A – Standard Clauses for All New York State Contracts including Clause 12 -
Equal Employment Opportunities for Minorities and Women. The bidder is required to ensure that it and
any subcontractors awarded a subcontract for the construction, demolition, replacement, major repair,
renovation, planning or design of real property and improvements thereon (the "Work"), except where the
Work is for the beneficial use of the bidder, undertake or continue programs to ensure that minority group
members and women are afforded equal employment opportunities without discrimination because of race,
creed, color, national origin, sex, age, disability or marital status. For these purposes, equal opportunity
shall apply in the areas of recruitment, employment, job assignment, promotion, upgrading, demotion,
transfer, layoff, termination, and rates of pay or other forms of compensation. This requirement does not
apply to: (i) work, goods, or services unrelated to the Contract; or (ii) employment outside New York State.
The bidder will be required to submit a Minority and Women-owned Business Enterprise and Equal
Employment Opportunity Policy Statement to DOCCS with its bid or proposal.
If awarded a Contract, bidder shall submit a Workforce Utilization Report and shall require each of its
Subcontractors to submit a Workforce Utilization Report, in such format as shall be required by DOCCS on
a quarterly basis as required during the term of the Contract.
Pursuant to Executive Order #162, contractors and subcontractors will also be required to report the gross
wages paid to each of their employees for the work performed by such employees on the contract utilizing
the Workforce Utilization Report on a quarterly basis.
Further, pursuant to Article 15 of the Executive Law (the “Human Rights Law”), all other State and Federal
statutory and constitutional non-discrimination provisions, the Contractor and sub-contractors will not
discriminate against any employee or applicant for employment because of race, creed (religion), color,
sex, national origin, sexual orientation, military status, age, disability, predisposing genetic characteristic,
marital status or domestic violence victim status, and shall also follow the requirements of the Human Rights
Law with regard to non-discrimination on the basis of prior criminal conviction and prior arrest.
Please Note: Failure to comply with the foregoing requirements may result in a finding of non-
responsiveness, non-responsibility and/or a breach of the Contract, leading to the withholding of funds,
suspension or termination of the Contract or such other actions or enforcement proceedings as allowed by
the Contract.
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Use of Service-Disabled Veteran-Owned Business Enterprises in Contract Performance
Article 17-B of the New York State Executive Law provides for more meaningful participation in public
procurement by certified Service-Disabled Veteran-Owned Businesses (“SDVOBs”), thereby further
integrating such businesses into New York State’s economy. DOCCS recognizes the need to promote the
employment of service-disabled veterans and to ensure that certified service-disabled veteran-owned
businesses have opportunities for maximum feasible participation in the performance of DOCCS contracts.
In recognition of the service and sacrifices made by service-disabled veterans and in recognition of their
economic activity in doing business in New York State, Bidders/Contractors are strongly encouraged and
expected to consider SDVOBs in the fulfillment of the requirements of the Contract. Such participation may
be as subcontractors or suppliers, as protégés, or in other partnering or supporting roles.
For purposes of this procurement, DOCCS conducted a comprehensive search and determined that the
Contract does not offer sufficient opportunities to set specific goals for participation by SDVOBs as
subcontractors, service providers, and suppliers to Contractor. Nevertheless, Bidder/Contractor is
encouraged to make good faith efforts to promote and assist in the participation of SDVOBs on the Contract
for the provision of services and materials. The directory of New York State Certified SDVOBs can be
viewed at: https://ogs.ny.gov/veterans/
Bidder/Contractor is encouraged to contact the Office of General Services’ (OGS) Division of Service-
Disabled Veteran’s Business Development at 518-474-2015 or VeteransDe[email protected]y.gov to
discuss methods of maximizing participation by SDVOBs on the Contract.
Tax Law § 5-A
TAX LAW § 5-A (Amended April 26, 2006): Tax Law § 5-a, as amended on April 26, 2006, requires certain
contractors who are awarded state contracts for commodities and/or services valued at more than $100,000
(over the full term of the contract, excluding renewals) to certify to the Department of Taxation and Finance
(DTF) they are registered to collect New York State (NYS) and local sales and compensating use taxes.
The law applies to contracts where the total amount of the contractor’s sales delivered into NYS exceed
$300,000 for the four quarterly periods immediately preceding the quarterly period when the certification is
made; and with respect to any affiliates and subcontractors whose sales delivered into NYS also exceed
$300,000 in the same manner as noted above for the contractor.
This law imposes upon certain contractors the obligation to certify whether or not the contractor, its affiliates,
and its subcontractors are required to register to collect state sales and compensating use tax. The
contractors must certify to DTF that each affiliate and subcontractor exceeding the sales threshold is
registered with DTF to collect such State and local sales and compensating use taxes. The law prohibits
the Comptroller, or other approving agency, from approving a contract to a vendor who is not registered in
accordance with the law.
There are two (2) Contractor certification forms, with instructions, required for this bid. Form ST-220-TD is
to be submitted directly to DTF. Submission to DTF is a one-time occurrence. If you have already submitted
this form to DTF for other bidding opportunities, you do not need to submit the form attached to this bid. If,
however, any certification information changes, a new ST-220-TD must be filed with DTF. Form ST-220-
CA must be completed and submitted with this bid. This form certifies to the procuring agency that the
contractor has filed ST-220-TD with DTF in compliance with the law.
Bidders should complete and submit the certification forms within two business days of request (if the forms
are not submitted to DTF and/or and returned with bid). Bidders shall take the necessary steps to provide
properly certified forms within a timely manner to ensure compliance with the law, as failure to do so may
render a bidder non-responsive and non-responsible.
Vendors may call DTF at 1-800-698-2909 for any and all questions relating to Tax Law § 5-a and relating
to a company's registration status with DTF. For additional information and frequently asked questions,
please refer to the DTF website: http://www.tax.ny.gov.
RFP 2019-13 PREA Employee Training Curriculum
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Executive Order Number 26
Bidders should review this executive order prior to submitting proposals. You may access the executive
order on the Governor’s Web site: http://www.governor.ny.gov/news/no-26-statewide-language-access-
policy. In the event that translation/interpretation services are required for languages other than the Spanish
language, the selected Contractor must agree to comply with any requests by DOCCS to provide
documents or other assistance.
Executive Order Number 38, Limits on State-Funded Administrative Costs & Executive
Compensation
Effective July 1, 2013, limitations on administrative expenses and executive compensation contained within
Governor Cuomo’s Executive Order #38 and related regulations published by the Department (Part 513 of
7 NYCRR – Limits on Administrative Expenses and Executive Compensation) went into effect. Applicants
agree that all state funds dispersed under this procurement will, if applicable to them, be bound by the
terms, conditions, obligations and regulations promulgated by the Department. To provide assistance with
compliance regarding Executive Order #38 and the related regulations, please refer to the Executive Order
#38 website at: http://executiveorder38.ny.gov. This website may also be accessed from the DOCCS
website at http://www.doccs.ny.gov/.
Public Officers Law
Contractors, consultants, vendors, and subcontractors may hire former State Agency or Authority
employees. However, as a general rule and in accordance with New York Public Officers Law, former
employees of the State Agency or Authority may neither appear nor practice before the State Agency or
Authority, nor receive compensation for services rendered on a matter before the State Agency or Authority,
for a period of two years following their separation from State Agency or Authority service. In addition,
former State Agency or Authority employees are subject to a "lifetime bar" from appearing before the State
Agency or Authority or receiving compensation for services regarding any transaction in which they
personally participated in or which was under their active consideration during their tenure with the State
Agency or Authority.
Ethics Requirements
The Contractor and its Subcontractors shall not engage any person who is, or has been at any time, in the
employ of the State to perform services in violation of the provisions of the New York Public Officers Law,
other laws applicable to the service of State employees, and the rules, regulations, opinions, guidelines or
policies promulgated or issued by the New York State Joint Commission on Public Ethics, or its
predecessors (collectively, the "Ethics Requirements"). The Contractor certifies that all of its employees
and those of its Subcontractors who are former employees of the State and who are assigned to perform
services under this Contract shall be assigned in accordance with all Ethics Requirements. During the
Term, no person who is employed by the Contractor or its Subcontractors and who is disqualified from
providing services under this Contract pursuant to any Ethics Requirements may share in any net revenues
of the Contractor or its Subcontractors derived from this Contract. The Contractor shall identify and provide
the State with notice of those employees of the Contractor and its Subcontractors who are former
employees of the State that will be assigned to perform services under this Contract, and make sure that
such employees comply with all applicable laws and prohibitions. The State may request that the
Contractor provide it with whatever information the State deems appropriate about each such person's
engagement, work cooperatively with the State to solicit advice from the New York State Joint Commission
on Public Ethics, and, if deemed appropriate by the State, instruct any such person to seek the opinion of
the New York State Joint Commission on Public Ethics. The State shall have the right to withdraw or
withhold approval of any Subcontractor if utilizing such Subcontractor for any work performed hereunder
would be in conflict with any of the Ethics Requirements. The State shall have the right to terminate this
Contract at any time if any work performed hereunder is in conflict with any of the Ethics Requirements.
Vendor Responsibility
Contractor must agree to the terms and conditions as noted in Section IX – Legal Required Forms of the
RFP concerning Vendor Responsibility.
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Encouraging Use of New York State Subcontractors and Suppliers
Public procurements can drive and improve the State’s economic engine through promotion of the use of
New York businesses by its Contractors. The State, therefore, expects Bidders to provide maximum
assistance to New York businesses in their use of the Contract. The potential participation by all kinds of
New York businesses will deliver great value to the State and its taxpayers. Read and complete the attached
Encouraging Use of New York State Businesses in Contract Performance (Attachment E.7) and return as
part of your proposal.
Diversity Practices
DOCCS has determined, pursuant to New York State Executive Law Article 15-A, that the assessment of
the diversity practices of respondents to this procurement is practical, feasible, and appropriate. Diversity
practices are the efforts of contractors to include New York State-certified Minority and Women-owned
Business Enterprises (“M/WBEs”) in their business practices. Diversity practices may include past, present,
or future actions and policies, and include activities of contractor’s contracts with private entities and
governmental units other than the State of New York. Assessing the diversity practices of contractors
enables contractors to engage in meaningful, capacity-building collaborations with M/WBEs.
Accordingly, respondents to this procurement shall be required to include as part of their proposal response
to this procurement, as described in this RFP herein, the Diversity Practices Questionnaire as provided by
the Division of Minority and Women’s Business Development. Bidders must complete the questionnaire
(Attachment G). The bidders’ responses will be evaluated using a predetermined rating scale.
DOCCS Departmental Directives, Policies and Procedures
Contractor must agree to comply with all applicable New York State and DOCCS policies, procedures,
regulations and directives throughout the term of the contract. Any individual Provider or staff hired by the
Contractor to work in the facilities and approved by DOCCS, by virtue of accepting his/her assignment,
must abide by all policies, rules and regulations of the Department.
Specifically, each individual Provider is to be made aware of and agree to comply with the following
Department Directives, as currently written, or as revised (Attachment I).
•
#2216: Fingerprinting/Criminal History Inquiry - New Employees and Contractors
•
#2810: Information Security Policy
•
#4027A: Sexual Abuse Prevention & Intervention - Inmate-on-Inmate
•
#4028A: Sexual Abuse Prevention & Intervention – Staff-on-Inmate
•
#4936: Search of DOCCS Employees
•
#0403: Research Studies and Surveys
•
#4403: Inmate Visitor Program
Each Provider shall participate in an Orientation Program at the facility in accordance with Training Manual
7.150
“Orientation Program for Per Diem and Non-Departmental Employees”.
DOCCS Policies implementing the Prison Rape Elimination Act (PREA)
In keeping with the Prison Rape Elimination Act (PREA), DOCCS has zero tolerance for sexual abuse or
sexual harassment. DOCCS recognizes that inmates and parolees have the right to be free from sexual
abuse and sexual harassment.
The contractor agrees to participate in Orientation and periodic training: Contractor shall require all staff to
participate in general PREA training (“Sexual Abuse Prevention and Response Introduction/Refresher”) as
well as specialized PREA training for medical professionals (“Inmate Sexual Assault Post Exposure
Protocol/PREA”) prior to providing services under the Contract. Such training shall be conducted at the
Correctional Facility and each Provider shall sign acknowledgement forms that they have completed and
understand the training that has been provided. Periodic training, including review of annual written
refresher information (DOCCS Training Bulletin #7) and refresher training at least every two years, is also
mandatory.
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The training will address the contractor’s responsibilities under the Department’s sexual abuse and sexual
harassment prevention, detection, and response policies and procedures pursuant to PREA. This includes
zero-tolerance for sexual abuse and sexual harassment; Providers duties to report allegations of sexual
abuse, harassment or retaliation; the right of inmates to be free from sexual abuse and harassment; how
to avoid inappropriate relationships with inmates; how to communicate effectively and professionally with
inmates including lesbian, gay, bisexual, transgender, intersex, and gender nonconforming inmates; and
other requirements.
Providers will read the most updated version of the Policy on the Prevention of Sexual Abuse of Inmates
and Training Bulletin 7 “PREA: Sexual Abuse Prevention and Response”. All Providers must acknowledge
receipt in writing that they will be held accountable for and act in accordance with the policy and the law.
Prohibition of Sexual Misconduct
Providers are prohibited from having any sexual contact or engaging in any sexual conduct with an inmate.
In accordance with Penal Law section 130.05, it is a crime for any employee to engage in sexual conduct
or sexual contact with an inmate. For purposes of Penal Law section 130.05, an employee also includes
any person providing direct services to inmates in a State correctional facility pursuant to a contractual
arrangement with the Department or, in the case of a volunteer, a written agreement with the Department.
Any Provider who engages in sexual abuse shall be prohibited from contact with inmates and shall be
reported to law enforcement agencies, unless the activity was clearly not criminal, and to relevant licensing
bodies. DOCCS shall take appropriate remedial measures, and shall consider whether to prohibit further
contact with inmates, in the case of any other violation of agency sexual abuse or sexual harassment
policies by a Provider
Background Check Requirements
Background checks are required for all staff. As set forth below, Contractor shall be obligated to undertake
and complete the following background checks for each Provider it proposes prior to the start of their
engagement. DOCCS shall not be held liable for any costs incurred by the Contractor to perform
background checks. DOCCS shall perform a criminal background records check of each Provider under
the contract in accordance with Directive #2216 “Fingerprinting/Criminal History Inquiry – New Employees,
and Contractors.”
1.
Background Check
a.
When a Contractor proposes a Provider, any previously completed background check
shall be furnished with such Provider’s Master File at the time of proposal. If there was
no previous background check, the Contractor shall perform a complete background
check and provide the results thereof to the correctional facility. If a prior background
check was completed more than six months, then the Contractor shall perform an
updated background check and provide the results thereof to the correctional facility.
b.
The Contractor is responsible for completing background checks on each Provider prior
to such Provider beginning work. The completion of a background check of a given
Provider shall not provide a given Provider with clearance to secured areas. A Contractor
is required to maintain records of background checks for the Contract term, to include
them in the Candidate’s Master File, and make such records available to the State when
requested.
c.
At a minimum, the background check must include the following steps:
i.
Undertaking a criminal history record check including a) a national criminal history
check, and b) state and county criminal checks using the NYS Office of Court
Administration (NYSOCA) and comparable searches of states where the person
lived, worked or attended school during the past five years. In the alternative, a
Contractor may elect to obtain the record of convictions from NYSOCA directly and
from their equivalents from other states where the person lived, worked or attended
school during the past 5 years;
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ii.
For positions in which the Candidate may be working directly or indirectly with
minors, the elderly, or incapacitated individuals, determine if the Candidate is listed
on the NYS Sex Offender Registry. The Authorized User is responsible for
communicating these circumstances to the Contractor;
iii.
Verification of previous employment for the past five years;
iv.
Verification of educational background;
v.
Verification of social security number and U.S. citizenship or legal resident status;
vi.
Any other check requested by the correctional facility as necessary.
After the completion of the background check, the Contractor shall provide the results to the correctional
facility. The correctional facility shall review the information and make a determination about the suitability
of the Provider in accordance with the relevant statutory and contractual provisions.
2.
Staff Removal
If a Contractor becomes aware that any Provider it has designated to work in a correctional
facility becomes a potential risk to the State, the Contractor shall immediately notify the
correctional facility. If the Provider is suspended at the facility, the Contractor will propose a
qualified substitute. Should a correctional facility find a Provider to be an unacceptable risk to
the State, the correctional facility shall notify the Contractor and may request that the Contractor
provide a replacement.
Master File - “Master File” shall mean an electronic file maintained by Contractor for each staff
servicing the correctional facility. The Master File must include: qualifications, certifications,
licenses, and background checks.
VII. ADMINISTRATIVE INFORMATION
A.
Method of Award
This is a service contract solicitation. Proposals will be reviewed and evaluated by a selection
panel using a predetermined scoring method. The resulting scores of the selection panel will be
documented and filed in the Procurement Record. Awards will be approved by the offices of the
Attorney General and the State Comptroller, as required by law. Because this is a service contract
solicitation, awards will be made on the basis of “best value from a responsive and responsible
offeror,” in accordance with the State Finance Law. “Best value” for the purpose of this solicitation
shall mean “the bid obtaining the highest overall combined score based on the technical score,
diversity practice score, plus the financial evaluation score.
B.
Price
Bidders are required to submit pricing using Cost Proposal Form (Attachment C). Cost information
must not appear in the technical proposal. All cost information must be completely independent as
this is reviewed separately. The cost submittal must be enclosed in a separate, sealed envelope
labeled “RFP 2019-13 Cost Proposal.”
Bidder’s bid price shall be inclusive of all costs including travel, licenses, insurance, administrative,
profit, all labor and equipment costs, reporting or other requirements, all overhead costs, and other
ancillary costs. Details of service not explicitly stated in these specifications, but necessarily
attendant thereto are deemed to be understood by the Bidder and included herein.
C.
Term of Contract
The contract resulting from this RFP will start on April 15, 2020 or upon OSC approval,
whichever date is later, and continue for a term ending September 30, 2020.
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D.
Method of Payment
Any payment made by DOCCS to the contract vendor will be made through direct payment upon
submission of billing invoices. Compensating balances will not be employed. Contract vendor
must provide complete and accurate billing invoices to DOCCS in order to receive payment. Billing
invoices submitted to DOCCS on a standard voucher must contain all information and supporting
documentation. The Contractor will need to submit billing invoices on a monthly basis. Specific
invoicing schedules will be determined mutually between DOCCS and the Contractor after notice
of contract award. The contractor is required to submit a budget modification detailing any
programmatic or line item changes to the original contract budget to the DOCCS’s Contract
Manger. All programmatic changes to the contract budget must be pre-approved by DOCCS. Any
budget modification that is greater than 5 percent will require a detailed justification. Failure to
submit a valid budget modification will delay the processing of vouchers for payment.
Payment for invoices submitted by the Contractor shall only be rendered electronically unless
payment by paper check is expressly authorized by the Commissioner, in the Commissioner’s sole
discretion, due to extenuating circumstances. Such electronic payment shall be made in
accordance with ordinary State procedures and practices. The Contractor shall comply with the
State Comptroller’s procedures to authorize electronic payments. Authorization forms are available
at the State Comptroller’s website at www.osc.state.ny.us/epay/index.htm, by email at
[email protected]tate.ny.us or telephone 855-233-8363.
Contractor acknowledges that it will not receive payment on any invoices submitted under this
contract if it does not comply with the State Comptroller’s electronic payment procedures, except
where the Commissioner has expressly authorized payment by paper check as set forth above.
Please note that in conjunction with New York State’s implementation of a new Statewide Financial
System (SFS), the Office of the State Comptroller (OSC) requires all vendors doing business with
New York State agencies to be a registered vendor within OSC’s Vendor Management Unit. For
contracts to be approved and executed by both DOCCS and OSC, a contractor must be enrolled
in SFS. If the awardee does not already have a New York State Vendor ID, upon notice of contract
award, the contractor must submit a completed OSC Substitute W-9 form to DOCCS. This
information will allow DOCCS to initiate the vendor registration process. Once a vendor has
received a NYS Vendor ID, they will be able to enroll in SFS. If the contractor is already a registered
vendor and enrolled within SFS, the contractor shall provide their assigned NYS Vendor ID upon
request.
Instructions regarding invoice submission will be provided to the vendor after notice of contract
award.
The Contractor has the sole responsibility to submit invoices at the adjusted rate on the applicable
anniversary date to the Authorized User, as appropriate. Should the Contractor fail to submit
adjusted invoices within three (3) months after the applicable anniversary date, the Contractor shall
be deemed to have waived its right to any increase in price for that year, but the State shall not be
barred from making the appropriate adjustment in the case of a decrease determined in accordance
with the above methodology.
E.
Deliverables
Contractor will bill DOCCS after the completion of each deliverable for reimbursement of actual and
necessary expenses during that period. All reimbursement claims should be submitted by the tenth
(10th) calendar day of the following month and will be subject to future audit. DOCCS reserves the
right to disallow any requests for reimbursement if it is determined that said costs are not either
actual or necessary. NOTE: THE CONTRACT PRICE SHALL BE INCLUSIVE OF ALL TRAVEL
COSTS.
The funded applicant will be required to submit reporting deliverables throughout the duration of
the term of any contract awarded from this RFP. Please note that the exact deliverables, frequency,
and dates are subject to negotiation but at a minimum will require the development of a project
progress timeline requiring monthly reports. In addition to these monthly timeline progress reports,
other performance reports as indicated below will also be mandated. Frequency of reports will be
finalized once the applicant is selected.
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#
Proposed Deliverable
Name
Description
Payment
Percentage for
Completion of
Deliverable
1
Meeting
Initial meeting with DOCCS SAPEO
staff to discuss parameters of the
project (in-person or teleconference)
2.5%
2
Review
Review of Departmental PREA
Materials and Resources
2.5%
3
Focus Group
Conducting Focus groups at selected
facilities with staff and inmates
5%
4
Curriculum and Power
Point Draft
Initial Curriculum and Power Point
Presentation (PPP) Draft and
Discussion
5%
5
Film Development
Background Work
Film Development – Selection of
perpetrators, victims and facilities
10%
6
Film Development
story board
Film Storyboard/Script
5%
7
Filming
Filming
20%
8
Curriculum and Power
Point Post Production
Draft
Final Curriculum and PPP
development
5%
9
Film Editing
Revision and editing of film if
necessary, may require several
revisions must be completed by COB
09/15/2020
2.5%
10
Curriculum and Power
Point Finalization
Revision and editing of Curriculum and
PPP, may require several revisions
2.5%
11
Train the Trainer
Conducting Train- the- Trainer
Sessions
10%
12
Delivery of Final
Product
All finished Products and invoices must
be received from the vendor by COB
09/30/2020
30%
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VIII. CONTRACT CLAUSES
A.
Freedom of Information Law / Trade Secrets
During the evaluation process, the content of each bid will be held in confidence and details of any
bid will not be revealed (except as may be required under the Freedom of Information Law or other
State law). The Freedom of Information Law provides for an exemption from disclosure for trade
secrets or information the disclosure of which would cause injury to the competitive position of
commercial enterprises. This exception would be effective both during and after the evaluation
process. Should you feel your firm’s bid contains any such trade secrets or other confidential or
proprietary information, you must submit a request to except such information from
disclosure. Such request must be in writing, must state the reasons why the information should
be accepted from disclosure and must be provided at the time of submission of the subject
information. Requests for exemption of the entire contents of a bid from disclosure have generally
not been found to be meritorious and are discouraged. Kindly limit any requests for exemption of
information from disclosure to bona fide trade secrets or specific information, the disclosure of
which would cause a substantial injury to the competitive position of your firm.
B.
Conflict of Interest:
Bidder must disclose any existing or contemplated relationship with any other person or entity,
including relationships with any member, shareholders of 5% or more, parent, subsidiary, or
affiliated firm, which would constitute an actual or potential conflict of interest or appearance of
impropriety, relating to other clients/customers of the Respondent or former officers and employees
of the Agencies and their Affiliates, in connection with your rendering services enumerated in this
RFP. If a conflict does or might exist, please describe how your Staffing Firm would eliminate or
prevent it. Indicate what procedures will be followed to detect, notify the Agencies of, and resolve
any such conflicts.
Bidder must disclose whether it, or any of its members, shareholders of 5% or more, parents,
affiliates, or subsidiaries, have been the subject of any investigation or disciplinary action by the
New York State Commission on Public Integrity or its predecessor State entities (collectively,
"Commission"), and if so, a brief description must be included indicating how any matter before the
Commission was resolved or whether it remains unresolved.
Additionally, a bidder will be required to submit the Vendor Assurance of No Conflict of Interest or
Detrimental Effect (Attachment E.2) form located within this RFP as evidence of compliance with
the foregoing.
C.
Subcontracting
The Contractor agrees not to subcontract any of its services, unless as indicated in its bid, without
the prior written approval of the DOCCS. Approval shall not be unreasonably withheld upon receipt
of written request to subcontract.
The Contractor may arrange for a portion/s of its responsibilities to be subcontracted to qualified,
responsible subcontractors, subject to approval of the DOCCS. If the Contractor determines to
subcontract a portion of the services, the subcontractors must be clearly identified and the nature
and extent of its involvement in and/or proposed performance must be fully explained by the
Contractor to the DOCCS. As part of this explanation, the subcontractor must submit to the DOCCS
a completed Vendor Assurance of No Conflict of Interest or Detrimental Effect form, as required by
the Contractor prior to execution of a contract.
The Contractor retains ultimate responsibility for all services performed under a contract.
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All subcontracts shall be in writing and shall contain provisions, which are functionally identical to,
and consistent with, the provisions of this RFP. Unless waived in writing by DOCCS, all
subcontracts between the Contractor and subcontractors shall expressly name DOCCS as the sole
intended third party beneficiary of such subcontract. DOCCS reserves the right to review and
approve or reject any subcontract, as well as any amendment to said subcontract(s), and this right
shall not make DOCCS a party to any subcontract or create any right, claim, or interest in the
subcontractor or proposed subcontractor against DOCCS.
DOCCS reserves the right, at any time during the contract term to verify that the written subcontract
between the Contractor and subcontractors is in compliance with all of the provisions of this Section
and any subcontract provisions contained in this RFP.
The Contractor shall give DOCCS immediate notice in writing of the initiation of any legal action or
suit which relates in any way to a subcontract with a subcontractor or which may affect the
performance of the Contractor's duties under a contract. Any subcontract shall not relieve the
Contractor in any way of any responsibility, duty and/or obligation of a contract.
If at any time during performance under the contract the total compensation to a subcontractor
exceeds or is expected to exceed $100,000, that subcontractor shall be required to submit and
certify a Vendor Responsibility Questionnaire.
D.
Debriefing
Pursuant to Section 163(9)(c) of the State Finance Law, any unsuccessful Bidder may request a
debriefing regarding the reasons that the Bid submitted by Bidder was not selected for award.
Requests for a debriefing must be made within 15 calendar days of notification by DOCCS that the
Bid submitted by the Bidder was not selected for award. Requests should be submitted in writing
to a designated contract identified in the Solicitation. Bidders will be accorded fair and equal
treatment with respect to the opportunity for debriefings. The debriefing would be limited to review
of that Bidder’s proposal. After the final contract approval, DOCCS shall, upon request, provide a
debriefing to any Bidder that responded to the solicitation, regarding the reason that the proposal
submitted by the unsuccessful Bidder was not selected for a contract award. The post award
debriefing should be requested by the bidder within thirty (30) days of approval of the contract as
posted on the OSC website (web address below):
http://wwe2.osc.state.ny.us/transparency/contracts/contractsearch.cfm
E.
Termination
1.
Agency Termination
Event of default: if DOCCS, in its sole discretion, deems the Contractor’s or that of its officers,
Employees, subcontractors, agents, licensees, licensors, or affiliates, services are
unsatisfactory, negligent or grossly negligent, DOCCS will send a written cure notice in
accordance with the Notice provisions of the contract, and Contractor shall have thirty (30)
days to correct the deficiencies noted. If the deficiencies are not corrected, DOCCS may
terminate this contract immediately upon written notice. Notwithstanding the foregoing,
DOCCS reserves the right to terminate immediately for cause.
Deficient Certifications: If the awarded contract has a value greater than $15,000, DOCCS
shall have the right to terminate in the event the State Finance Law sections 139-j and 139-k
certifications executed by the Contractor are found to be false or incomplete. If the contract
has a value of greater than $100,000 and Contractor’s sales for the immediately preceding four
quarters were greater than $300,000, or if the contract has a value of $125,000 or greater,
DOCCS shall have the right to terminate in the event the Contractor’s Department of Taxation
and Finance Contractor Certification form, ST 220-CA (Attachment E.4), statements are found
to be false or incomplete.
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Lack of Funds: If for any reason the State of New York terminates or reduces its appropriations
to DOCCS, the awarded contract may be terminated or reduced at DOCCS's discretion,
provided that no such reduction or termination shall apply to allowable costs already incurred
by the Contractor where funds are available to the DOCCS for payment of such costs. In any
event, no liability shall be incurred by the State (including DOCCS) beyond monies available
for the purposes of the awarded contract.
DOCCS may terminate the awarded contract, upon written notice, in the event of any of the
following: (i) Contractor makes an assignment for the benefit of creditors; (ii) a petition in
bankruptcy or any insolvency proceeding is filed by or against Contractor and is not dismissed
within thirty (30) days from the date of filing; or (iii) all or substantially all of Contractor’s property
is levied upon or sold in any judicial proceeding.
Convenience of DOCCS: The contract may be terminated at any time upon receipt of thirty
(30) days prior written notice given by DOCCS for whatever reason.
This AGREEMENT may be terminated at any time upon mutual written consent of DOCCS and
the CONTRACTOR.
In the event of the termination of this AGREEMENT by either party, DOCCS shall be liable for
the actual and necessary expenses for services provided by CONTRACTOR up to and
including the effective date of termination.
2.
Procurement Lobbying Termination
The Department of Corrections and Community Supervision reserves the right to terminate this
contract in the event it is found that the certification filed by the Offeror in accordance with New
York State Finance Law §139-k was intentionally false or intentionally incomplete. Upon such
finding, the Department of Corrections and Community Supervision may exercise its
termination right by providing written notification to the Offeror in accordance with the written
notification terms of this contract.
F.
Ethics Compliance
All bidders/contractors and their employees must comply with the requirements of §§73 and 74 of
the Public Officers Law, other state codes, rules, regulations, and executive orders establishing
ethical standards for the conduct of business with New York State. In signing the Contract, the
Contractor certifies full compliance with those provisions for any present or future dealings,
transactions, sales, contracts, services, offers, relations, etc., involving New York State and/or its
employees. Failure to comply with those provisions may result in disqualification from the bidding
process, termination of contract, and/or other civil or criminal proceedings as required by law.
G.
Indemnification
The Contractor shall assume all risks of liability for its performance, or that of any of its officers,
employees, subcontractors or agents, of any contract resulting from this solicitation and shall be
solely responsible and liable for all liabilities, losses, damages, costs or expenses, including
attorney's fees, arising from any claim, action or proceeding relating to or in any way connected
with the performance of this Agreement and covenants and agrees to indemnify and hold harmless
the State of New York, its agents, officers and employees, from any and all claims, suits, causes
of action and losses of whatever kind and nature, arising out of or in connection with its performance
of any contract resulting from this solicitation, including negligence, active or passive or improper
conduct of the Contractor, its officers, agents, subcontractors or employees, or the failure by the
Contractor, its officers, agents, subcontractors or employees to perform any obligations or
commitments to the State or third parties arising out of or resulting from any contract resulting from
this solicitation. The CONTRACTOR’s duty to indemnify shall cover direct, indirect, special and
consequential damages. Such indemnity shall not be limited to the insurance coverage herein
prescribed.
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H.
New York State Vendor File Registration
Prior to being awarded a contract pursuant to this Solicitation, the Bidder(s) must be registered in
the New York State Vendor File (Vendor File) administered by the Office of the State Comptroller
(OSC). This is a central registry for all vendors who do business with New York State Agencies and
the registration must be initiated by a State Agency. Following the initial registration, a unique New
York State ten-digit vendor identification number will be assigned to your company for usage on all
future transactions with New York State. Additionally, the Vendor File enables vendors to use the
Vendor Self-Service application to manage all vendor information in one central location for all
transactions related to the State of New York. If Bidder is already registered in the New York State
Vendor File, list the ten-digit vendor ID number on the Application Cover Sheet (see Attachment
B).
If a Bidder is not currently registered with the New York State Vendor File, upon notice of contract
award, DOCCS shall request a completed OSC Substitute W-9 form. A fillable form with
instructions can be found at the following link:
http://www.osc.state.ny.us/vendors/forms/ac3237s_fe.pdf. DOCCS will initiate the vendor
registration process. Once the process is initiated, registrants will receive an email from OSC that
includes the unique ten-digit vendor identification number assigned to the company and instructions
on how to enroll in the online Vendor Self-Service application. For more information on the NYS
Vendor File, visit: http://www.osc.state.ny.us/vendor_management/.
To request assignment of a NYS Vendor ID to access the VendRep System in advance of
submitting your bid, contact the Office of the State Comptroller's Help Desk at 866-370-4672 or
518-408-4672 or by email at ITServiceDesk@osc.state.ny.us.
IX. REQUIRED FORMS
Individuals and corporations entering into contracts with New York State are subject to various laws and
must submit certain documents pursuant to State Law or policy. The forms and related excerpts from law,
and/or instructions are included in Attachments E and F. Please review the forms carefully and note that
some forms require notarized signatures. The mandatory forms and documents include:
A.
The following documentation must be submitted at the time of bid submission:
1.
Procurement Lobbying Act – State Finance Law § 139j and k – Certificate of Compliance
Pursuant to State Finance Law §§139-j and 139-k, this solicitation includes and imposes certain
restrictions on communications between DOCCS and an Offeror/Bidder during the procurement
process. An Offeror/Bidder is restricted from making contacts from the earliest notice of intent to
solicit offers/bids through final award and approval of the Procurement Contract by DOCCS and, if
applicable, the Office of the State Comptroller (“restricted period”) to other than designated staff
unless it is a contact that is included among certain statutory exceptions set forth in State Finance
Law §139-j (3) (a). Designated staff, as of the date hereof, is identified in Section II – Designated
Contact of this solicitation. DOCCS employees are also required to obtain certain information when
contacted during the restricted period and make a determination of the responsibility of the
Offeror/Bidder pursuant to these two statutes. Certain findings of non-responsibility can result in
rejection for contract award and in the event of two findings within a four-year period, the
Offeror/Bidder is debarred from obtaining governmental Procurement Contracts. Further
information about these requirements can be found on the OGS website:
https://ogs.ny.gov/acpl/l
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2.
Vendor Responsibility Questionnaire
DOCCS conducts a review of prospective contractors (“Bidders”) to provide reasonable assurances
that the Bidder is responsive and responsible. A Questionnaire is used for non-construction
contracts and is designed to provide information to assess a Bidder’s responsibility to conduct
business in New York based upon financial and organizational capacity, legal authority, business
integrity, and past performance history. By submitting a bid, Bidder agrees to fully and accurately
complete the “Questionnaire.” The Bidder acknowledges that the State’s execution of the Contract
will be contingent upon the State’s determination that the Bidder is responsible, and that the State
will be relying upon the Bidder’s responses to the Questionnaire when making its responsibility
determination.
DOCCS recommends each Bidder to file the required Questionnaire online via the New York State
VendRep System. It is recommended that all Bidders become familiar with the requirements of the
Questionnaire early in the process to provide sufficient time to complete the Questionnaire.
To enroll in the VendRep System, please refer to the VendRep System Instructions and User
Support for Vendors available at the Office of the State Comptroller’s (OSC) website,
http://www.osc.state.ny.us./vendrep/vendor_index.htm or to use, go directly to the VendRep
System online at https://portal.osc.state.ny.us/Enrollment/login.
A Bidder’s online Questionnaire cannot be viewed by DOCCS until the Bidder has certified the
Questionnaire. To assist the State in determining the responsibility of the Bidder, the Bidder should
complete and certify (or recertify) the Questionnaire no more than six (6) months prior to the bid
due date.
OSC provides direct support for the VendRep System through user assistance, documents, online
help, and a help desk. For VendRep assistance, contact the OSC Help Desk at 866-370-4672 or
518-408-4672 or ITServiceDes[email protected]y.us.
Bidders opting to complete the paper questionnaire can access this form and associated definitions
via the OSC website at: http://www.osc.state.ny.us/vendrep/forms_vendor.htm
The Contractor must remain a responsible vendor throughout the duration of the contract and, if at
any time the Contractor is found to be not responsible or there is a question as to the vendor’s
responsibility, any activities pursuant to the contract may be suspended. Finally, the contract may
be terminated following a finding of non-responsibility.
The Bidder agrees that if it is awarded a Contract the following shall apply:
The Bidder agrees that if it is found by the State that the Bidder’s responses to the Questionnaire
were intentionally false or intentionally incomplete, on such finding, DOCCS may terminate the
Contract. In no case shall such termination of the Contract by the State be deemed a breach
thereof, nor shall the State be liable for any damages for lost profits or otherwise, which may be
sustained by the Contractor as a result of such termination.
The CONTRACTOR shall at all times during the Contract term remain responsible. The
CONTRACTOR agrees, if requested by the Commissioner of DOCCS or his designee, to present
evidence of its continuing legal authority to do business in New York State, integrity, experience,
ability, prior performance, and organizational and financial capacity.
The DOCCS Commissioner or his designee, in his or her sole discretion, reserves the right to
suspend any or all activities under this Contract, at any time, when he or she discovers information
that calls into question the responsibility of the Contractor. In the event of such suspension, the
Contractor will be given written notice outlining the particulars of such suspension. Upon issuance
of such notice, the Contractor must comply with the terms of the suspension order. Contract activity
may resume at such time as the DOCCS Commissioner or his designee issues a written notice
authorizing a resumption of performance under the Contract.
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Upon written notice to the Contractor, and a reasonable opportunity to be heard with appropriate
DOCCS officials or staff, the Contract may be terminated by the NYS DOCCS at the Contractor’s
expense where the Contractor is determined by DOCCS to be non-responsible. In such event,
DOCCS may complete the contractual requirements in any manner deemed advisable and pursue
available legal equitable remedies for breach.
3.
Encouraging Use of New York State Businesses in Contract Performance In an ongoing effort
to use New York State (NYS) businesses, DOCCS encourages bidders to partner with NYS
subcontractors and/or suppliers. For this solicitation, bidders should identify the NYS businesses
that they plan to use if awarded the contract resulting from this solicitation by completing the form
entitled Encouraging Use of New York State Businesses in Contract Performance (Attachment F.7).
If known, please identify the businesses and attach the requested information. Return the
completed form with your proposal. If you do not plan to partner with a NYS business, please
indicate this on the form and return it with your proposal.
4.
M/WBE - EEO Policy Statement
By completing the Minority/Women-Owned Business Enterprises – Equal Employment Opportunity
(M/WBE-EEO) Policy Statement (Attachment F), Bidder agrees to adopt DOCCS’ policies to assist
in achieving the M/WBE contract participation goals set by DOCCS and provide Equal Employment
Opportunities.
5.
EEO Staffing Plan
The Bidder will be required to submit an Equal Employment Opportunity (EEO) Staffing Plan (Form
EEO 100) identifying the anticipated work force to be utilized on the contract (Attachment F).
B.
The following documentation will be required from the Vendor upon notice of contract award:
1.
Insurance Requirements
Prior to the commencement of the work to be performed by the Contractor hereunder, the
Contractor shall file with The People of the State of New York, DOCCS, Certificates of Insurance
(hereinafter referred to as “Certificates”), evidencing compliance with all requirements. Such
Certificates shall be of a form and substance acceptable to DOCCS.
Certificate acceptance and/or approval by DOCCS does not and shall not be construed to
relieve Contractor of any obligations, responsibilities or liabilities under the Contract.
Contractors shall be required to procure, at their sole cost and expense, and shall maintain in
force at all times during the term of any Contract resulting from this Solicitation, policies of insurance
as required by this Section. All insurance required by this Section shall be written by companies that
have an A.M. Best Company rating of “A-,” Class “VII” or better. In addition, companies writing
insurance intended to comply with the requirements of this Section should be licensed or authorized
by the New York State Department of Financial Services to issue insurance in the State of New York.
DOCCS may, in its sole discretion, accept policies of insurance written by a non-authorized carrier
or carriers when certificates and/or other policy documents are accompanied by a completed Excess
Lines Association of New York (ELANY) affidavit or other documents demonstrating the company’s
strong financial rating. If, during the term of a policy, the carrier’s A.M. best rating falls below “A-,”
Class “VII,” the insurance must be replaced, on or before the renewal date of the policy, with
insurance that meets the requirements above.
Bidders and Contractors shall deliver to DOCCS evidence of the insurance required by this
Solicitation and any Contract resulting from this Solicitation in a form satisfactory to DOCCS. Policies
must be written in accordance with the requirements of the paragraphs below, as applicable. While
acceptance of insurance documentation shall not be unreasonably withheld, conditioned or delayed,
acceptance and/or approval by DOCCS does not, and shall not be construed to, relieve Bidders or
Contractors of any obligations, responsibilities or liabilities under this Solicitation or any Contract
resulting from this Solicitation.
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The Contractor shall not take any action or omit to take any action that would suspend or
invalidate any of the required coverages during the term of the Contract.
A.
General Conditions Applicable to Insurance. All policies of insurance required by this
Solicitation or any Contract resulting from this Solicitation shall comply with the following
requirements:
1.
Coverage Types and Policy Limits. The types of coverage and policy limits required from
Bidders and Contractors are specified in Paragraph B Insurance Requirements below.
2.
Policy Forms. Except as otherwise specifically provided herein or agreed to in the Contract
resulting from this Solicitation, all policies of insurance required by this Section shall be
written on an occurrence basis.
3.
Certificates of Insurance/Notices. Bidders and Contractors shall provide DOCCS with a
Certificate or Certificates of Insurance, in a form satisfactory to DOCCS as detailed below,
and pursuant to the timelines set forth in Section B below. Certificates shall reference the
Solicitation or award number and shall name The New York State Department of
Corrections and Community Supervision, Harriman Campus, 1220 Washington Avenue,
Albany, New York 12226-2050, as the certificate holder.
Certificates of Insurance shall
•
Be in the form acceptable to DOCCS and in accordance with the New York State
Insurance Law (e.g., an ACORD certificate);
•
Disclose any deductible, self-insured retention, aggregate limit or exclusion to the
policy that materially changes the coverage required by this Solicitation or any Contract
resulting from this Solicitation;
•
Refer to this Solicitation and any Contract resulting from this Solicitation by award
Contract number;
•
Be signed by an authorized representative of the referenced insurance carriers; and
•
Contain the following language in the Description of Operations / Locations / Vehicles
section: Additional insured protection afforded is on a primary and non-contributory
basis. A waiver of subrogation is granted in favor of the additional insureds.
Only original documents (certificates of insurance and any endorsements and other
attachments) or electronic versions of the same that can be directly traced back to the
insurer, agent or broker via e-mail distribution or similar means will be accepted.
DOCCS generally requires Contractors to submit only certificates of insurance and
additional insured endorsements, although DOCCS reserves the right to request other
proof of insurance. Contractors should refrain from submitting entire insurance policies,
unless specifically requested by DOCCS. If an entire insurance policy is submitted but not
requested, DOCCS shall not be obligated to review and shall not be chargeable with
knowledge of its contents. In addition, submission of an entire insurance policy not
requested by DOCCS does not constitute proof of compliance with the insurance
requirements and does not discharge Contractors from submitting the requested insurance
documentation.
4.
Primary Coverage. All liability insurance policies shall provide that the required coverage
shall be primary and non-contributory to other insurance available to the People of the
State of New York, the New York State Department of Corrections and Community
Supervision, any entity authorized by law or regulation to use the Contract and their
officers, agents, and employees. Any other insurance maintained by the People of the
State of New York, the New York State Department of Corrections and Community
Supervision, any entity authorized by law or regulation to use the contract and their officers,
agents, and employees shall be excess of all applicable Contractor’s insurance, including
any umbrella and/or excess policies, and shall not contribute with the Bidder/Contractor’s
insurance.
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5.
Breach for Lack of Proof of Coverage. The failure to comply with the requirements of
this Section at any time during the term of the Contract shall be considered a breach of the
terms of the Contract and shall allow the People of the State of New York, the New York
State Department of Corrections and Community Supervision, any entity authorized by law
or regulation to use the Contract and their officers, agents, and employees to avail
themselves of all remedies available under the Contract or at law or in equity.
6.
Self-Insured Retention/Deductibles. Certificates of Insurance must indicate the
applicable deductibles/self-insured retentions for each listed policy. Deductibles or self-
insured retentions above $100,000.00 are subject to approval from DOCCS. Such
approval shall not be unreasonably withheld, conditioned or delayed. Bidders and
Contractors shall be solely responsible for all claim expenses and loss payments within the
deductibles or self-insured retentions. If the Bidder/Contractor is providing the required
insurance through self-insurance, evidence of the financial capacity to support the self-
insurance program along with a description of that program, including, but not limited to,
information regarding the use of a third-party administrator shall be provided upon
request. If the Contractor is unable to meet their obligation under any deductible, self-
insured retention or self-insurance, neither the People of the State of New York nor DOCCS
will be obligated to drop down to cover those amounts.
7.
Subcontractors. Prior to the commencement of any work by a Subcontractor, the
Contractor shall require such Subcontractor to procure policies of insurance as required by
this Section and maintain the same in force during the term of any work performed by that
Subcontractor.
8.
Waiver of Subrogation. For all liability policies and the workers’ compensation insurance
required below, the Bidder/Contractor shall cause to be included in its policies insuring
against loss, damage or destruction by fire or other insured casualty a waiver of the
insurer’s right of subrogation against the People of the State of New York, the New York
State Department of Corrections and Community Supervision, any entity authorized by law
or regulation to use the Contract and their officers, agents, and employees, or, if such
waiver is unobtainable (i) an express agreement that such policy shall not be invalidated if
the Contractor waives or has waived before the casualty, the right of recovery against The
People of the State of New York, the New York State Department of Corrections and
Community Supervision, any entity authorized by law or regulation to use the Contract and
their officers, agents, and employees or (ii) any other form of permission for the release of
The People of the State of New York, the New York State Department of Corrections and
Community Supervision, any entity authorized by law or regulation to use the Contract and
their officers, agents, and employees. A Waiver of Subrogation Endorsement shall be
provided upon request. A blanket Waiver of Subrogation Endorsement evidencing such
coverage is also acceptable.
9.
Additional Insured. The Contractor shall cause to be included in each of the liability
policies required below, ISO form CG 20 10 11 85 (or a form or forms that provide
equivalent coverage, such as the combination of CG 20 10 04 13 and CG 20 37 04 13)
and form CA 20 48 10 13 (or a form or forms that provide equivalent coverage), naming as
additional insureds: The People of the State of New York, the New York State Department
of Corrections and Community Supervision, any entity authorized by law or regulation to
use the Contract and their officers, agents, and employees. An Additional Insured
Endorsement evidencing such coverage shall be provided to DOCCS pursuant to the
timelines set forth in Section B below. A blanket Additional Insured Endorsement
evidencing such coverage is also acceptable. For Contractors who are self-insured, the
Contractor shall be obligated to defend and indemnify the above-named additional insureds
with respect to Commercial General Liability and Business Automobile Liability, in the same
manner that the Contractor would have been required to pursuant to this Section had the
Contractor obtained such insurance policies.
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10.
Excess/Umbrella Liability Policies. Required insurance coverage limits may be provided
through a combination of primary and excess/umbrella liability policies; however, a
minimum of two million dollars ($2,000,000.00) must be primary coverage for general
liability and auto liability. All Contractor’s applicable insurance policies, including umbrella
and excess insurance, will be primary to any insurance, self-insurance, deductible or self-
insured retention of The People of the State of New York, the New York State Department
of Corrections and Community Supervision, or any entity authorized by law or regulation
to use the Contract and their officers, agents, and employees. If coverage limits are
provided through excess/umbrella liability policies, then a Schedule of underlying
insurance listing policy information for all underlying insurance policies (insurer, policy
number, policy term, coverage and limits of insurance), including proof that the
excess/umbrella insurance follows form must be provided upon request.
11.
Notice of Cancellation or Non-Renewal. Policies shall be written so as to include the
requirements for notice of cancellation or non-renewal in accordance with the New York
State Insurance Law. Within five (5) business days of receipt of any notice of cancellation
or non-renewal of insurance, the Contractor shall provide DOCCS with a copy of any such
notice received from an insurer together with proof of replacement coverage that complies
with the insurance requirements of this Solicitation and any Contract resulting from this
Solicitation.
12.
Policy Renewal/Expiration Upon policy renewal/expiration, evidence of renewal or
replacement of coverage that complies with the insurance requirements set forth in this
Solicitation and any Contract resulting from this Solicitation shall be delivered to DOCCS.
If, at any time during the term of any Contract resulting from this Solicitation, the coverage
provisions and limits of the policies required herein do not meet the provisions and limits
set forth in this Solicitation or any Contract resulting from this Solicitation, or proof thereof
is not provided to DOCCS, the Contractor shall immediately cease work. The Contractor
shall not resume work until authorized to do so by DOCCS.
13.
Deadlines for Providing Insurance Documents after Renewal or Upon Request. As
set forth herein, certain insurance documents must be provided to the DOCCS
Procurement Services contact identified in the Contract Award Notice after renewal or upon
request. This requirement means that the Contractor shall provide the applicable
insurance document to DOCCS as soon as possible but in no event later than the following
time periods:
•
For certificates of insurance: 5 business days
•
For information on self-insurance or self-retention programs: 15 calendar days
•
For other requested documentation evidencing coverage: 15 calendar days
•
For additional insured and waiver of subrogation endorsements: 30 calendar days
Notwithstanding the foregoing, if the Contractor shall have promptly requested the insurance
documents from its broker or insurer and shall have thereafter diligently taken all steps
necessary to obtain such documents from its insurer and submit them to DOCCS, DOCCS
shall extend the time period for a reasonable period under the circumstances, but in no event
shall the extension exceed 30 calendar days.
B.
Insurance Requirements
Bidders and Contractors shall obtain and maintain in full force and effect, throughout the term
of any Contract resulting from this Solicitation, at their own expense, the following insurance
with limits not less than those described below and as required by the terms of any Contract
resulting from this Solicitation, or as required by law, whichever is greater:
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Page 27
Insurance Type
Proof of Coverage
is Due
Commercial General Liability
[Not less than $2,000,000 each
occurrence]
Upon Notification of
Tentative Award
General Aggregate
$2,000,000
Products – Completed Operations
Aggregate
$2,000,000
Personal and Advertising Injury
$1,000,000
Medical Expenses Limit
$5,000
Business Automobile Liability Insurance
[Not less than $2,000,000 each
occurrence]
Workers’ Compensation
Disability Benefits
1.
Commercial General Liability Insurance: Such liability shall be written on the current
edition of ISO occurrence form CG 00 01, or a substitute form providing equivalent
coverage and shall cover liability arising from premises operations, independent
contractors, products-completed operations, broad form property damage, personal &
advertising injury, cross liability coverage, liability assumed in a contract (including the tort
liability of another assumed in a contract) [and explosion, collapse & underground
coverage].
Policy shall include bodily injury, property damage and broad form contractual liability
coverage.
•
General Aggregate
•
Products – Completed Operations Aggregate
•
Personal and Advertising Injury
•
Each Occurrence
Coverage shall include, but not be limited to, the following:
•
Premises liability;
•
Independent contractors;
•
Blanket contractual liability, including tort liability of another assumed in a
contract;
•
Defense and/or indemnification obligations, including obligations assumed
under the Contract;
•
Cross liability for additional insureds;
•
Products/completed operations for a term of no less than three [1-3]
years, commencing upon acceptance of the work, as required by the
Contract;
•
[Explosion, collapse and underground hazards; and
•
Contractor means and methods].
2.
Business Automobile Liability Insurance: Such insurance shall cover liability arising out
of any automobile used in connection with performance under the Contract, including
owned, leased, hired and non-owned automobiles bearing or, under the circumstances
under which they are being used, required by the Motor Vehicles Laws of the State of New
York to bear, license plates.
In the event that the Contractor does not own, lease or hire any automobiles used in
connection with performance under the Contract, the Contractor does not need to obtain
Business Automobile Liability Insurance, but must attest to the fact that the Contractor does
not own, lease or hire any automobiles used in connection with performance under the
Contract on a form provided by DOCCS. If, however, during the term of the Contract, the
Contractor acquires, leases or hires any automobiles that will be used in connection with
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performance under the Contract, the Contractor must obtain Business Automobile Liability
Insurance that meets all of the requirements of this section and provide proof of such
coverage to DOCCS in accordance with the insurance requirements of any Contract
resulting from this Solicitation.
In the event that the Contractor does not own or lease any automobiles used in connection
with performance under the Contract, but the Contractor does subcontract, hire and/or
utilize non-owned automobiles in connection with performance under the Contract, the
Contractor, subcontractor or owner of the automobile(s) must: (i) obtain Business
Automobile Liability Insurance as required by this Solicitation or any Contract resulting from
this Solicitation, except that such insurance may be limited to liability arising out of hired
and/or non-owned automobiles, as applicable; and (ii) attest to the fact that the Contractor
does not own or lease any automobiles used in connection with performance under the
Contract, on a form provided by DOCCS. If, however, during the term of the Contract, the
Contractor acquires or leases any automobiles that will be used in connection with
performance under the Contract, the Contractor must obtain Business Automobile Liability
Insurance that meets all of the requirements of this Section and provide proof of such
coverage to DOCCS in accordance with the insurance requirements of any Contract
resulting from this Solicitation.
3.
Workers’ Compensation Insurance and Disability Benefits Requirements
•
Sections 57 and 220 of the New York State Workers’ Compensation Law require
the heads of all municipal and state entities to ensure that businesses applying for
contracts have appropriate workers’ compensation and disability benefits insurance
coverage. These requirements apply to both original contracts and renewals. Failure to
provide proper proof of such coverage or a legal exemption will result in a rejection
of a Bid or any contract renewal. A Bidder will not be awarded a Contract unless
proof of workers’ compensation and disability insurance is provided to DOCCS.
Proof of workers’ compensation and disability benefits coverage, or proof of exemption
must be submitted to DOCCS at the time of Bid submission, policy renewal, contract
renewal, and upon request. Proof of compliance must be submitted on one of the following
forms designated by the New York State Workers’ Compensation Board. An ACORD form
is not acceptable proof of New York State workers’ compensation or disability
benefits insurance coverage.
The failure to comply with the requirements of this Attachment at any time during the term
of any Contract resulting from this Solicitation shall be considered a breach of the terms
of any Contract resulting from this Solicitation and shall allow the People of the State of
New York, the New York State Office of General Services, any entity authorized by law or
regulation to use any Contract resulting from this Solicitation and their officers, agents,
and employees to avail themselves of all remedies available under any Contract resulting
from this Solicitation, at law or in equity.
Proof of Compliance with Workers’ Compensation Coverage Requirements:
•
Form CE-200, Certificate of Attestation for New York Entities With No Employees and
Certain Out of State Entities, That New York State Workers’ Compensation and/or
Disability Benefits Insurance Coverage is Not Required, which is available on the Workers’
Compensation Board’s website (www.wcb.ny.gov);
•
Form C-105.2 (9/07), Certificate of Workers’ Compensation Insurance, sent to DOCCS
by the Contractor’s insurance carrier upon request, or if coverage is provided by the New
York State Insurance Fund, they will provide Form U-26.3 to DOCCS upon request from
the Contractor; or
•
Form SI-12, Certificate of Workers’ Compensation Self-Insurance, available from the
New York State Workers’ Compensation Board’s Self-Insurance Office, or
•
Form GSI-105.2, Certificate of Participation in Workers’ Compensation Group Self-
Insurance, available from the Contractor’s Group Self-Insurance Administrator.
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Proof of Compliance with Disability Benefits Coverage Requirements:
•
Form CE-200, Certificate of Attestation for New York Entities With No Employees and
Certain Out of State Entities, That New York State Workers’ Compensation and/or
Disability Benefits Insurance Coverage is Not Required, which is available on the Workers’
Compensation Board’s website (www.wcb.ny.gov);
•
Form DB-120.1, Certificate of Disability Benefits Insurance, sent to DOCCS by the
Contractor’s insurance carrier upon request; or
•
Form DB-155, Certificate of Disability Benefits Self-Insurance, available from the New
York State Workers’ Compensation Board’s Self-Insurance Office.
An instruction manual clarifying the New York State Workers’ Compensation Law
requirements is available for download at the New York State Workers’ Compensation
Board’s website, http://www.wcb.ny.gov. Once on the site, click on the
Employers/Businesses tab and then click on Employers’ Handbook.
2.
Department of Taxation and Finance Contractor Certification–Forms ST-220-CA &
ST-220-TD
The Contractor must submit Form ST-220-CA (Attachment E.4) to certify that it has filed Form ST-
220-TD with the NYS Department of Taxation and Finance (DTF) and that the information
contained on Form ST-220-TD is correct and complete as of the date that the Contractor files Form
ST-220-CA. Bidders may access and complete a fillable Form ST-220-CA by using the following
link: http://www.tax.ny.gov/pdf/current_forms/st/st220ca_fill_in.pdf.
Form ST-220-TD (Attachment E.4) must be filed directly with DTF at the address on the front page
of the form. Bidders may access and complete a fillable Form ST-220-TD using the following link:
http://www.tax.ny.gov/pdf/current_forms/st/st220td_fill_in.pdf.
For Questions and Answers Concerning Tax Law Section 5-a, go to NYS Department of Taxation
and Finance (DTF) at http://www.tax.ny.gov/pdf/publications/sales/pub223.pdf. Vendors may call
DTF directly at 1-800-698-2909 for any and all questions relating to Tax Law Section 5-a and
relating to a company’s registration status with the DTF. For additional information and frequently
asked questions, please refer to the DTF website: http://www.tax.ny.gov.
3.
Consultant Disclosure Legislation Requirement
Pursuant to New York State Finance Law, Section 163(4)(g), state agencies must require all
contractors, including subcontractors, that provide consulting services for State purposes pursuant
to a contract to submit an annual employment report for each such contract, such report to include
for each employment category within the contract: the number of employees employed to provide
services under the contract, the number of hours they work, and the total compensation under the
contract for those employees. Consulting services are defined as analysis, evaluation, research,
training, data processing, computer programming, engineering, environmental, health, and mental
health services, accounting, auditing, paralegal, legal, or similar services.
Upon notification of tentative award for this RFP, the selected Contractor must complete Form A,
State Consultant Services Contractor’s Planned Employment (Attachment E.5). The completed
Form A must include information for all employees that will be providing services under the contract
resulting from this RFP.
The Contractor must submit Form B, State Consultant Services Contractor’s Annual Employment
Report (Attachment E.5), to report annual employment information required by the statute. This
form captures historical information, detailing actual employment data for the most recently
concluded State fiscal year (April 1 – March 31).
A completed Form B must be submitted annually by May 15 for each State fiscal year (or portion
thereof) the contract is in effect, to DOCCS, the Office of the State Comptroller, and the Department
of Civil Service. Details, including addresses, will be provided to the contract awardee.
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4.
Non-Disclosure Agreement
A Non- Disclosure Agreement will be made part of the awarded contract (Attachment E.6).
No-Use – Recipient agrees not to use the Confidential Information in anyway, except for the
purpose of the projects or assignments they are performing for DOCCS.
No Disclosure – Recipient agrees to use its best efforts to prevent and protect the Confidential
Information, or any part thereof, from disclosure to any person other than Recipient’s employees
and/or consultants designated by DOCCS having a need of disclosure in connection with
Recipients’ authorized use of the Confidential Information. This includes employees and
consultants that may not be directly working on the project or job. Recipient agrees not to disclose
the nature of the work to any third party without prior written DOCCS consent. In circumstance
where the signer of this document is representing a Recipient with more than one employee, the
Recipient also agrees that all of its current and future staff who may be involved in the relationship
with DOCCS have been and will be instructed in the requirements of this agreement.
Protection of Secrecy – Recipient agrees to take all steps reasonably necessary to protect the
secrecy of the Confidential Information, and to prevent the Confidential Information from falling into
the public domain or into the possession of unauthorized persons. Such steps shall include keeping
Confidential Information stored in a locked office/facility where only authorized personnel would
have access.
HIPAA - Contractor agrees that all medical information/records will be kept confidential by all
employees as well as subcontractors in accordance with applicable state and federal laws,
including but not limited to the Health Insurance Portability and Accountability Act of 1996
(hereinafter referred to as “HIPAA”) and the regulations thereunder. In addition, Contractor will also
be subject to any New York State laws, rules, regulations or DOCCS directives concerning
confidentiality of medical records.
5.
M/WBE Utilization Plan
Upon notice of tentative award, Bidder is required to submit an M/WBE Utilization Plan (Form
M/WBE 100-G) (Attachment F). The Utilization Plan shall list the M/WBE’s the contractor intends
to use to perform the State Contract and a description of the contract scope of work that the
contractor intends to structure to meet the goals on the State contract, and the estimated or, if
known, actual dollar amounts to be paid to and performance dates of each component of a State
contract that the contractor intends to be performed by a NYS certified minority or women-owned
business. Any modifications or changes to the agreed participation by NYS Certified M/WBE’s set
forth in the Utilization Plan submitted with the bid or proposal, after the contract award and during
the term of the contract, must be reported on a revised M/WBE Utilization Plan submitted to
DOCCS.
6.
Executive Order Number 177
Bidders must review Executive Order 177 prior to submitting bids/proposals. You may access the
executive order on the Governor’s website:
https://www.governor.ny.gov/sites/governor.ny.gov/files/atoms/files/EO177.pdf
Bidders must complete the EO177 Certification form located within this RFP (Attachment E.3) as
evidence of compliance with the foregoing and submit with bid/proposal.
7.
Sexual Harassment Prevention
New York State Finance Law § 139-l, every bid made on or after January 1, 2019 to the State or
any public department or agency thereof, where competitive bidding is required by statute, rule or
regulation, for work or services performed or to be performed or goods sold or to be sold, and
where otherwise required by such public department or agency, shall contain a certification that the
bidder has and has implemented a written policy addressing sexual harassment prevention in the
workplace and provides annual sexual harassment prevention training to all of its employees. Such
policy shall, at a minimum, meet the requirements of New York State Labor Law § 201-g:
https://www.nysenate.gov/legislation/laws/LAB/201-G
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New York State Labor Law § 201-g provides requirements for such policy and training and directs
the Department of Labor, in consultation with the Division of Human Rights, to create and publish
a model sexual harassment prevention guidance document, sexual harassment prevention policy
and sexual harassment prevention training program that employers may utilize to meet the
requirements of New York State Labor Law § 201-g. The model sexual harassment prevention
policy, model sexual harassment training materials, and further guidance for employers, can be
found online at the following URL: https://www.ny.gov/combating-sexual-harassment-
workplace/employers
Pursuant to New York State Finance Law § 139-l, any bid by a corporate bidder containing the
certification required above shall be deemed to have been authorized by the board of directors of
such bidder, and such authorization shall be deemed to include the signing and submission of such
bid and the inclusion therein of such statement as the act and deed of the bidder (Attachment E.3).
If the Bidder cannot make the required certification, such Bidder shall so state and shall furnish with
the bid a signed statement that sets forth in detail the reasons that the Bidder cannot make the
certification. After review and consideration of such statement, DOCCS may reject the bid or may
decide that there are sufficient reasons to accept the bid without such certification.
X. PROCUREMENT RIGHTS
A.
DOCCS reserves the right to the following:
1.
At any time, amend RFP specifications to correct errors or oversights, and to supply
additional information as it becomes available. All bidders who have received this RFP will
be supplied with all amendments or additional information issued.
2.
Seek clarifications and revisions of proposals.
3.
Change any of the scheduled dates stated herein with written notice to all bidders who have
received this RFP.
4.
Disqualify proposals that fail to meet mandatory requirements.
5.
Request any non-mandatory documents from bidder.
6.
Amend, modify, or withdraw this RFP at any time and without notice to or liability to any
bidder or other parties for expenses incurred in preparation of a proposal.
7.
Not to proceed with an award.
8.
Reject any and all proposals received in response to the RFP.
9.
Make an award under the RFP in whole, or in part.
10.
Use proposal information obtained through site visits, management interviews and the
State’s investigation of a bidder’s qualifications, experience, ability or financial standing, and
any material or information submitted by the bidder in response to the agency’s request for
clarifying information in the course of evaluation and/or selection under the RFP.
11.
Prior to the bid opening, direct bidders to submit proposal modifications addressing
subsequent RFP amendments.
12.
Eliminate any mandatory, non-material specifications that cannot be complied with by all of
the prospective bidders.
13.
Waive any requirements that are not material.
14.
Negotiate with a successful bidder within the scope of the RFP in the best interests of the
State.
15.
Conduct contract negotiations with the next responsible bidder, should the agency be
unsuccessful in negotiating with the selected bidder.
16.
Utilize any and all ideas submitted in the proposals received.
17.
Unless otherwise specified in the solicitation, every offer is firm and not revocable for a period
of 180 days from the bid opening.
18.
Require clarification at any time during the procurement process and/or require correction of
arithmetic or other apparent errors for the purpose of assuring a full and complete
understanding of a bidder’s proposal and/or to determine a bidder’s compliance with the
requirements of the solicitation.
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B.
Issuance of this RFP does not commit DOCCS to award a contract or to pay any costs involved in
preparation of proposals. All proposals are submitted at the sole responsibility of the bidder.
C.
The proposal must be signed by the Chief Executive Officer or an Authorized Designee of the
agency and shall constitute a firm offer by the bidder for a minimum period of 180-days after
proposal submission. The proposal shall serve as the basis for the contract with the successful
bidder.
D.
Bidders may propose to partner or sub-contract with other entities to meet the terms of this RFP.
In such a case, however, DOCCS will only communicate with the bidder, not the partner or sub-
contractor. If bidder proposing such is awarded, the partner or sub-contractor will be required to
complete a Vendor Responsibility Questionnaire.
E.
Successful bidder will be required to assure compliance with certain provisions of both state and
federal Law. These include, but are not limited to, assurance of non-discrimination, affirmative
action in hiring and provision of services, and the protection of client records as required by law
and regulation. Proposals from Minority and Women-Owned Enterprises and Service-Disabled
Veterans’-Owned Businesses are encouraged.
F.
Unsuccessful bidders will be notified in writing and will be offered an opportunity to be debriefed. A
debriefing, if any, will be scheduled for all unsuccessful bidders upon request, at a date, time and
location convenient to both DOCCS and the bidder concerned.
G.
Information regarding current contracts may be requested under the Freedom of Information Law
(FOIL). FOIL requests should be submitted to DOCCS Records Access Officer. Specific filing
information can be obtained at http://www.doccs.ny.gov/DOCCSwebfoilform.aspx. Information may
be provided once the entire procurement process has been completed and formally approved by the
appropriate state agencies.
H.
Upon contract award, if Contractor is not able to start the program on April 1, 2019, DOCCS has the
right to withdraw its award. The proposal with the second highest point allocation will then be
awarded a contract.
I.
Upon notice of tentative contract award the bidder will be required to sign the Non-Disclosure
Agreement (Attachment E.6).
J.
Any negotiated contract must conform to the laws of New York State and will be subject to approval
by the Department of Law and the Office of the State Comptroller. The contract will not be effective
until approval has been granted by the Department of Law and the Office of the State Comptroller.
K.
Information regarding the procurement procedure may be found on the webpage of the New York
State Procurement Guidelines of the State Procurement Counsel at:
http://www.ogs.ny.gov/BU/PC/SPC.asp and Office of General Services Procurement Services
webpage at: http://ogs.ny.gov/BU/PC/.
L.
It is stipulated and agreed by the parties that the laws of the State of New York shall solely and in
all respects, govern with relation to any dispute, litigation, or interpretation arising out of or
connected with any contract resulting from this solicitation.
M.
In the event that any one or more of the provisions of the forthcoming contract shall for any reason
be declared unenforceable under the laws or regulations in force, such provision will not have any
effect on the validity of the remainder of this said contract, which shall then be construed as if such
unenforceable provision had never been written or was never contained in the contract.
N.
In the event of any material breach of service by the contractor, DOCCS shall give written notice
specifying the material breach. If such written notice of material breach is given and the contractor
does not correct the breach to DOCCS’ satisfaction within ten (10) business days after receipt of
the written notice, DOCCS shall have the right to unilaterally and immediately terminate the
agreement and seek a replacement contractor in order to maintain service without penalty to
DOCCS.
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O.
Inspection of Books - It is expressly understood and agreed that the Department of Corrections and
Community Supervision and the New York State Comptroller shall have the right to inspect and
audit the Contractor’s records covered under this Agreement, in accordance with his statutory
responsibility to examine the books and accounts of every Agency. The New York State
Comptroller requires, and the Contractor agrees to, the retention of all material that is pertinent to
an audit of the operations under any contract resulting from this RFP for a full seven-year period
from the expiration of the contact.
P.
Procurement Lobbying Termination - DOCCS reserves the right to terminate this contract in the
event it is found that the certification filed by the Bidder in accordance with New York State Finance
Law §139 j & k was intentionally false or intentionally incomplete. Upon such finding, DOCCS may
exercise its termination right by providing written notification to the Bidder in accordance with the
written notification terms of this contract.
XI. PROPOSAL CONTENT
This section of the RFP sets forth the criteria to be used by DOCCS for the evaluation of proposals
submitted. The evaluation criteria will be applied uniformly and equally, ensuring that each qualified bidder
has an opportunity to be fairly considered. Best Value Award will be based on the highest composite
bidder’s score. Each proposal that meets the submission and mandatory requirements stated in the RFP
will receive a numerical score based on the following assigned weight value for the Technical, Diversity
Practices Questionnaire and Cost Proposal submitted:
Section
Category
Points
A
Mandatory Requirements
Pass/Fail
B
Knowledge, Best Practice, Evidence to
Support Program Design
70 Points
C
Diversity Practices
5 Points
D
Cost Proposal
25 Points
Points will be awarded for responses in each category as listed above using predetermined rating
scales. The resulting Program Review scores will be calculated by adding the total points from
each reviewer and dividing that number by the total number of reviewers. This will create an
average score for all reviewers’ totals. The highest possible score is 100 points.
All proposals will be evaluated based on thoroughness in responding to each item below. Bidders are
encouraged to include all information that may be deemed pertinent to their proposal. Bidders may be
requested to provide clarification based on the State’s evaluation procedure. Any clarification will be
considered a formal part of the Bidder’s original proposal. If further clarification is needed during the
evaluation period, DOCCS will contact the Bidder.
In order for the State to evaluate bids fairly and completely, Bidders must follow the format set forth herein
and must provide all of the information requested. All items identified in the following list must be addressed
as concisely as possible in order for a bid to be considered complete. Failure to conform to the stated
requirements may necessitate rejection of the bid.
A.
Mandatory Requirements (Pass/Fail)
Pass/Fail Checklist – Will consist of a review of each original proposal to ensure that all
submission requirements, mandatory requirements and minimum bidder qualifications are
met. Failure to meet any of these requirements in the original proposal may result in a
proposal being considered non-responsive.
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Only those Bidders who furnish all required information and meet the submission and
mandatory requirements will be considered.
•
Bidder’s Response to Mandatory Requirements (see Section XI, A):
•
Technical Proposal
•
Diversity Practices Questionnaire (Attachment G)
•
Cost Proposal Form
•
Submission of a minimum of three (3) corrections or law enforcement reference
letters
•
Bidder meets the mandatory requirements.
•
Mandatory forms and document requirements:
➢
Cover Letter and the Completed Application Cover Sheet (Attachment B)
o
Completed Procurement Lobbying Certification (Attachment E.1).
o
Completed and Certified Vendor Responsibility Questionnaire
(completed online or paper questionnaire submitted).
o
Vendor Assurance of No Conflict of Interest or Detrimental Effect
o
Completed DOCCS M/WBE–EEO Policy Statement (Attachment F).
o
Completed EEO Staffing Plan (Attachment F).
o
Completed EO 177 Certification (Attachment E.3).
o
Completed State Finance Law Section 139-1
Certification
(Attachment E.3)
o
Completed Bid Submission Checklist (Attachment H).
o
Signed copies of all addenda released for this solicitation.
B.
Technical Proposal (70 Points)
Technical Proposals should address the Scope of Services. The overall score for this part of the
submission is worth 70% of the final combined score. Provide succinct responses in your proposal
to address the following specific components. Simply answer the questions in the clearest, most
direct manner possible. Do not include any cost information in the Technical Proposal submission.
1.
KNOWLEDGE, BEST PRACTICE, EVIDENCE TO SUPPORT PROGRAM DESIGN (70 POINTS)
•
Describe Expertise in Developing PREA Compliance Curriculum in the corrections field
for both uniformed and non-uniformed staff (15 Points)
•
Describe your experience producing a training film. (15 Points)
•
Describe Expertise in the Development of Power Point Presentations to hold the attention
and encourage dialogue with both uniformed and non-unformed staff (5 Points)
•
Describe your knowledge in what leads staff to cross boundaries when working with
inmates and the impact of such incidents on inmates (5 Points)
•
Describe your knowledge and understanding of institutional cultural change and best
practices in achieving institutional cultural change (10 Points)
•
Describe your knowledge and expertise regarding the LGBTIQ population and the
challenges they face in an institutional setting (10 Points)
•
Describe your experience in conducting train-the-trainer sessions (10 Points)
Total 70 Points
C.
Diversity Practices Questionnaire (5 Points)
Bidders must complete the Diversity Practices Questionnaire (Attachment G) as described in this RFP
herein. The responses will be evaluated using a separate predetermined rating scale. The resulting
scores assigned for diversity practice will be worth up to 5%. The Diversity Practices response is to be
packaged in a separate envelope labeled as RFP 2019-02 Diversity Practices Questionnaire.
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D.
Cost Proposal (25 Points)
The Cost Proposal Form must be completed with no lines omitted. The Bidder shall not deviate from
the Cost Proposal Form. Bid prices shall be inclusive of all costs including travel, licenses, insurance,
administrative, profit, all labor and equipment costs, reporting or other requirements, all overhead costs,
and other ancillary costs. The estimated annual quantities for each title used on Attachment C - Cost
Proposal Form are for evaluation purposes only. NOTE: THE CONTRACT PRICE SHALL BE
INCLUSIVE OF ALL TRAVEL COSTS.
If your proposal’s required expenditure-based budget, budget narrative/justifications, indirect cost
calculation and all other funds are not clearly lined out in your proposal, your proposal may be
disqualified. If a bidder does not have indirect costs, clearly indicate “Not Applicable” on Attachment C.
XII. PROPOSAL SUBMISSION
A.
RFP Questions and Clarifications
Questions and clarifications regarding this RFP must be in writing referencing the RFP number,
page number, and section/subsection and emailed to the Contract Procurement Unit at
Linda.Mitchell@doccs.ny.gov. Enter “RFP 2019-13” in the subject line.
Prospective Bidders should note that all clarifications and exceptions, including those relating to
the terms and conditions of the contract, are to be resolved prior to the submission of a proposal.
The deadline for questions and inquiries is by 3:00 p.m. EST on the date specified in Section III –
Key Events/Dates. Answers to all questions of a substantive nature will be given to all prospective
Bidders in the form of a formal addendum, which will be posted to the following websites: DOCCS
http://www.doccs.ny.gov/RFPs/rfps.html and the NYS Contract Reporter https://www.nyscr.ny.gov/
and annexed to and become part of the resultant Contract. DOCCS will issue responses on or
about the date listed in Section III – Key Events/Dates. The addendum will be included in the final
Contract documentation.
Note: All contacts are subject to certain restrictions defined in State Finance Law §139-j and k
(see Section IX.A.1 - Procurement Lobbying Act).
B.
Proposal Packaging and Submission
For the purpose of evaluation, each proposal must be submitted in five (5) parts but mailed together.
1.
Part I – Response to Mandatory Requirements and Mandatory Forms and Document
Requirements - Shall be comprised of the Bidder’s response to Minimum Qualifications
(Section IV) Mandatory Requirements (Section XI, A) and the submission of mandatory forms
and documents included in Attachments E and F and described in Section IX – Legal Required
Forms and in other sections of the RFP. Notarized signatures are required on some forms.
Include a copy of the Bid Submission Checklist (Attachment H).
2.
Part II - Technical Proposal Submittal - Must consist of the Technical Proposal submittal
only. The Technical Proposal must be clearly marked “RFP 2019-13 Technical Proposal” in a
separate sealed envelope. DO NOT INCLUDE ANY COST INFORMATION.
3.
Part III – Diversity Practices Submittal - Must consist of the Diversity Practices Questionnaire
submittal only. The Diversity Practices Questionnaire must be clearly marked “RFP 2019-13
Diversity Practices Submittal” in a separate sealed envelope.
4.
Part IV - Cost Proposal Submittal - Must consist of the cost proposal submittal only. The
cost proposal must be clearly marked “RFP 2019-13 Cost Proposal” in a separate sealed
envelope.
5.
Part V – Electronic Copy of Documents - In addition to the original hard copy proposal
submissions please include one electronic copy of all documents in PDF format on an
electronic medium (i.e. USB flash drive, CD, etc.).
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Each part must be complete in itself so that the evaluation of each part can be accomplished
independently and concurrently, and that the technical submittal can be evaluated strictly on the
basis of its merits. Cost information and Diversity Practices Questionnaire are not to be
included in Parts I or II and must be sealed separately.
The rules established for proposal content and format will be enforced. Variations from the rules
prescribed herein may result in disqualification of the proposal. It is in the best interest of the bidder
to become familiar with the constraints imposed on its proposal, so that the evaluation process can
proceed in a timely manner.
All proposals and accompanying documentation will become the property of the State of New York
and will not be returned. The content of each bidder’s proposal will be held in strict confidence
during the evaluation process. The successful bidder’s proposal, including all subsequent
correspondence and a copy of the RFP, will be made a part of the contract. Therefore, an
authorized representative must sign each original proposal submitted.
PROPOSALS WILL NOT BE ACCEPTED VIA FAX OR EMAIL.
Should a Bidder decide not to submit a bid, a completed Bid Declination Form should be submitted
(Attachment D).
C.
Proposal Due Date
The completed proposal, with all required attachments and documentation, must be received no
later than 3:00 PM, on December 18, 2019. Any proposal received after this date and time may
not be accepted.
Please Note: Bidders are reminded to comply with the specific requirements related to the cost
component of the proposal.
Proposal must be received in a sealed package marked "Proposal for RFP 2019-13" and
forwarded to:
Attn: Linda Mitchell, Contract Management Specialist II
NYS Department of Corrections and Community Supervision
Contract Procurement Unit – Support Operations
Proposal for RFP 2019-13
550 Broadway, Menands, New York 12204
XIII. PROPOSAL EVALUATION CRITERIA AND SELECTION PROCESS
A.
Proposal Evaluation and Scoring
DOCCS intends to award one contract as a result of this solicitation. DOCCS will award a contract
based upon evaluation of all aspects of the program according to the needs of the agency and the
best interests of the State of New York. Award will go to the provider whose proposal provides the
best value as determined by DOCCS, pursuant to New York State Finance Law §163 (1)(j). This
is defined as the most beneficial combination of quality and costs for the services being
requested. If the evaluation results in a tie, price shall be the basis for determining the award
recipient. The basis for determining the award shall be documented in the procurement record.
A committee of DOCCS personnel will evaluate proposals independently to determine which
proposals are most capable of implementing DOCCS requirements based on the following criteria:
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Page 37
•
Phase 1 - Preliminary Review (Pass/Fail Criteria)
Phase 1 will consist of a review of each original proposal to ensure that all submission
requirements (see Section XII, B) and mandatory requirements (see Section XI, A) are met.
Failure to meet any of the submission and mandatory requirements in the original proposal
may result in a proposal being considered non-responsive and may result in elimination
from further evaluation. All original proposals that meet the submission and mandatory
requirements will move to Phase 2. Phase 1 is not scored; it is reviewed for compliance in
the pass/fail checklist (see Section XI, A):
•
Phase 2 - Technical Proposal Submittal (70 Points)
Phase 2 will consist of evaluation of your detailed technical proposal response (Part II).
Proposals will be evaluated based on thoroughness in responding to each item listed in
Section XI, B.
o
Expertise in Developing PREA Compliance Curriculum in the corrections field for
both uniformed and non-uniformed staff (15 Points)
o
Experience producing a training film. (15 Points)
o
Expertise in the Development of Power Point Presentations to hold the attention
and encourage dialogue with both uniformed and non-unformed staff (5 Points)
o
Knowledge in what leads staff to cross boundaries when working with inmates and
the impact of such incidents on inmates (5 Points)
o
Knowledge and understanding of institutional cultural change and best practices
in achieving institutional cultural change (10 Points)
o
Knowledge and expertise regarding the LGBTIQ population and the challenges
they face in an institutional setting (10 Points)
o
Experience in conducting train-the-trainer sessions (10 Points)
Points will be awarded for responses in each category as listed above using predetermined
rating scales. The resulting Program Review scores will be calculated by adding the total
points from each reviewer and dividing that number by the total number of reviewers. This
will create an average score for all reviewers’ totals.
•
Phase 3 – Diversity Practices (5 Points)
Respondents must complete the Diversity Practices Questionnaire (Attachment G), as
described in this RFP herein. The responses will be evaluated using a separate
predetermined rating scale. The resulting scores assigned for diversity practice will be
worth up to 5%. The Diversity Practices response is to be packaged in a separate
envelope labeled as RFP 2019-13 Diversity Practices Questionnaire.
•
Phase 4 - Part IV Cost Proposal Submittal (25 Points)
Phase 4 will consist of an evaluation of the overall cost (Part IV) of each proposal. Bidders
are required to submit pricing using the Cost Proposal Form (Attachment C). Each
proposal will be scored as follows: The cost proposal with the lowest total fee will be
awarded the maximum possible points. All other bidders will receive a proportionate
number of points using the following formula: low bid/bid being evaluated X category
weight.
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B.
Final Composite Score (100 Points)
The scores for the Technical submittal, Diversity Practices Questionnaire, and Cost submittal will
comprise the final composite score. The bid having the highest final composite score will be ranked
number one; the bid with the second highest score will be ranked number two and so on. If the
evaluation results in a tie, price shall be the basis for determining the award recipient. The basis
for determining the award shall be documented in the procurement record.
C.
Notification of Award
After the evaluation, the successful Bidder will be notified in writing of a tentative award and that a
contract will be forthcoming for execution. The original proposal, and any additions or deletions to
the proposal become part of the contract. Contract awards are not final until approved by the
Offices of the Attorney General and the State Comptroller.
RFP 2019-13 PREA Employee Refresher Training Curriculum
ATTACHMENT A
Appendix A - Standard Clauses for
New York State Contracts
October 2019
APPENDIX A
STANDARD CLAUSES FOR NEW YORK STATE CONTRACTS
PLEASE RETAIN THIS DOCUMENT
FOR FUTURE REFERENCE.
STANDARD CLAUSES FOR NYS CONTRACTS
APPENDIX A
Page 2
October 2019
TABLE OF CONTENTS
Page
1.
Executory Clause 3
2.
Non-Assignment Clause 3
3.
Comptroller’s Approval 3
4.
Workers’ Compensation Benefits 3
5.
Non-Discrimination Requirements 3
6.
Wage and Hours Provisions 3-4
7.
Non-Collusive Bidding Certification 4
8.
International Boycott Prohibition 4
9.
Set-Off Rights 4
10.
Records 4
11.
Identifying Information and Privacy Notification 4
12.
Equal Employment Opportunities For Minorities and Women 4-5
13.
Conflicting Terms 5
14.
Governing Law 5
15.
Late Payment 5
16.
No Arbitration 5
17.
Service of Process 5
18.
Prohibition on Purchase of Tropical Hardwoods 5-6
19.
MacBride Fair Employment Principles 6
20.
Omnibus Procurement Act of 1992 6
21.
Reciprocity and Sanctions Provisions 6
22.
Compliance with Breach Notification and Data Security Laws 6
23.
Compliance with Consultant Disclosure Law 6
24.
Procurement Lobbying 7
25.
Certification of Registration to Collect Sales and Compensating Use Tax by Certain 7
State Contractors, Affiliates and Subcontractors
26.
Iran Divestment Act 7
27.
Admissibility of Contract 7
STANDARD CLAUSES FOR NYS CONTRACTS
APPENDIX A
Page 3
October 2019
STANDARD CLAUSES FOR NYS CONTRACTS
The parties to the attached contract, license, lease, amendment
or other agreement of any kind (hereinafter, "the contract" or
"this contract") agree to be bound by the following clauses
which are hereby made a part of the contract (the word
"Contractor" herein refers to any party other than the State,
whether a contractor, licenser, licensee, lessor, lessee or any
other party):
1. EXECUTORY CLAUSE. In accordance with Section 41
of the State Finance Law, the State shall have no liability under
this contract to the Contractor or to anyone else beyond funds
appropriated and available for this contract.
2. NON-ASSIGNMENT CLAUSE. In accordance with
Section 138 of the State Finance Law, this contract may not be
assigned by the Contractor or its right, title or interest therein
assigned, transferred, conveyed, sublet or otherwise disposed of
without the State’s previous written consent, and attempts to do
so are null and void. Notwithstanding the foregoing, such prior
written consent of an assignment of a contract let pursuant to
Article XI of the State Finance Law may be waived at the
discretion of the contracting agency and with the concurrence
of the State Comptroller where the original contract was subject
to the State Comptroller’s approval, where the assignment is
due to a reorganization, merger or consolidation of the
Contractor’s business entity or enterprise. The State retains its
right to approve an assignment and to require that any
Contractor demonstrate its responsibility to do business with
the State. The Contractor may, however, assign its right to
receive payments without the State’s prior written consent
unless this contract concerns Certificates of Participation
pursuant to Article 5-A of the State Finance Law.
3. COMPTROLLER'S APPROVAL. In accordance with
Section 112 of the State Finance Law (or, if this contract is with
the State University or City University of New York, Section
355 or Section 6218 of the Education Law), if this contract
exceeds $50,000 (or the minimum thresholds agreed to by the
Office of the State Comptroller for certain S.U.N.Y. and
C.U.N.Y. contracts), or if this is an amendment for any amount
to a contract which, as so amended, exceeds said statutory
amount, or if, by this contract, the State agrees to give
something other than money when the value or reasonably
estimated value of such consideration exceeds $25,000, it shall
not be valid, effective or binding upon the State until it has been
approved by the State Comptroller and filed in his office.
Comptroller's approval of contracts let by the Office of General
Services is required when such contracts exceed $85,000 (State
Finance Law § 163.6-a). However, such pre-approval shall not
be required for any contract established as a centralized contract
through the Office of General Services or for a purchase order
or other transaction issued under such centralized contract.
4. WORKERS' COMPENSATION BENEFITS. In
accordance with Section 142 of the State Finance Law, this
contract shall be void and of no force and effect unless the
Contractor shall provide and maintain coverage during the life
of this contract for the benefit of such employees as are required
to be covered by the provisions of the Workers' Compensation
Law.
5. NON-DISCRIMINATION REQUIREMENTS. To the
extent required by Article 15 of the Executive Law (also known
as the Human Rights Law) and all other State and Federal
statutory and constitutional non-discrimination provisions, the
Contractor will not discriminate against any employee or
applicant for employment, nor subject any individual to
harassment, because of age, race, creed, color, national origin,
sexual orientation, gender identity or expression, military
status, sex, disability, predisposing genetic characteristics,
familial status, marital status, or domestic violence victim status
or because the individual has opposed any practices forbidden
under the Human Rights Law or has filed a complaint, testified,
or assisted in any proceeding under the Human Rights Law.
Furthermore, in accordance with Section 220-e of the Labor
Law, if this is a contract for the construction, alteration or repair
of any public building or public work or for the manufacture,
sale or distribution of materials, equipment or supplies, and to
the extent that this contract shall be performed within the State
of New York, Contractor agrees that neither it nor its
subcontractors shall, by reason of race, creed, color, disability,
sex, or national origin: (a) discriminate in hiring against any
New York State citizen who is qualified and available to
perform the work; or (b) discriminate against or intimidate any
employee hired for the performance of work under this contract.
If this is a building service contract as defined in Section 230 of
the Labor Law, then, in accordance with Section 239 thereof,
Contractor agrees that neither it nor its subcontractors shall by
reason of race, creed, color, national origin, age, sex or
disability: (a) discriminate in hiring against any New York
State citizen who is qualified and available to perform the work;
or (b) discriminate against or intimidate any employee hired for
the performance of work under this contract. Contractor is
subject to fines of $50.00 per person per day for any violation
of Section 220-e or Section 239 as well as possible termination
of this contract and forfeiture of all moneys due hereunder for
a second or subsequent violation.
6. WAGE AND HOURS PROVISIONS. If this is a public
work contract covered by Article 8 of the Labor Law or a
building service contract covered by Article 9 thereof, neither
Contractor's employees nor the employees of its subcontractors
may be required or permitted to work more than the number of
hours or days stated in said statutes, except as otherwise
provided in the Labor Law and as set forth in prevailing wage
and supplement schedules issued by the State Labor
Department. Furthermore, Contractor and its subcontractors
must pay at least the prevailing wage rate and pay or provide
the prevailing supplements, including the premium rates for
overtime pay, as determined by the State Labor Department in
accordance with the Labor Law. Additionally, effective April
28, 2008, if this is a public work contract covered by Article 8
of the Labor Law, the Contractor understands and agrees that
the filing of payrolls in a manner consistent with Subdivision 3-
STANDARD CLAUSES FOR NYS CONTRACTS
APPENDIX A
Page 4
October 2019
a of Section 220 of the Labor Law shall be a condition precedent
to payment by the State of any State approved sums due and
owing for work done upon the project.
7. NON-COLLUSIVE BIDDING CERTIFICATION. In
accordance with Section 139-d of the State Finance Law, if this
contract was awarded based upon the submission of bids,
Contractor affirms, under penalty of perjury, that its bid was
arrived at independently and without collusion aimed at
restricting competition. Contractor further affirms that, at the
time Contractor submitted its bid, an authorized and responsible
person executed and delivered to the State a non-collusive
bidding certification on Contractor's behalf.
8. INTERNATIONAL BOYCOTT PROHIBITION. In
accordance with Section 220-f of the Labor Law and Section
139-h of the State Finance Law, if this contract exceeds $5,000,
the Contractor agrees, as a material condition of the contract,
that neither the Contractor nor any substantially owned or
affiliated person, firm, partnership or corporation has
participated, is participating, or shall participate in an
international boycott in violation of the federal Export
Administration Act of 1979 (50 USC App. Sections 2401 et
seq.) or regulations thereunder. If such Contractor, or any of
the aforesaid affiliates of Contractor, is convicted or is
otherwise found to have violated said laws or regulations upon
the final determination of the United States Commerce
Department or any other appropriate agency of the United
States subsequent to the contract's execution, such contract,
amendment or modification thereto shall be rendered forfeit and
void. The Contractor shall so notify the State Comptroller
within five (5) business days of such conviction, determination
or disposition of appeal (2 NYCRR § 105.4).
9. SET-OFF RIGHTS. The State shall have all of its common
law, equitable and statutory rights of set-off. These rights shall
include, but not be limited to, the State's option to withhold for
the purposes of set-off any moneys due to the Contractor under
this contract up to any amounts due and owing to the State with
regard to this contract, any other contract with any State
department or agency, including any contract for a term
commencing prior to the term of this contract, plus any amounts
due and owing to the State for any other reason including,
without limitation, tax delinquencies, fee delinquencies or
monetary penalties relative thereto. The State shall exercise its
set-off rights in accordance with normal State practices
including, in cases of set-off pursuant to an audit, the
finalization of such audit by the State agency, its
representatives, or the State Comptroller.
10. RECORDS. The Contractor shall establish and maintain
complete and accurate books, records, documents, accounts and
other evidence directly pertinent to performance under this
contract (hereinafter, collectively, the "Records"). The Records
must be kept for the balance of the calendar year in which they
were made and for six (6) additional years thereafter. The State
Comptroller, the Attorney General and any other person or
entity authorized to conduct an examination, as well as the
agency or agencies involved in this contract, shall have access
to the Records during normal business hours at an office of the
Contractor within the State of New York or, if no such office is
available, at a mutually agreeable and reasonable venue within
the State, for the term specified above for the purposes of
inspection, auditing and copying. The State shall take
reasonable steps to protect from public disclosure any of the
Records which are exempt from disclosure under Section 87 of
the Public Officers Law (the "Statute") provided that: (i) the
Contractor shall timely inform an appropriate State official, in
writing, that said records should not be disclosed; and (ii) said
records shall be sufficiently identified; and (iii) designation of
said records as exempt under the Statute is reasonable. Nothing
contained herein shall diminish, or in any way adversely affect,
the State's right to discovery in any pending or future litigation.
11. IDENTIFYING INFORMATION AND PRIVACY
NOTIFICATION. (a) Identification Number(s). Every
invoice or New York State Claim for Payment submitted to a
New York State agency by a payee, for payment for the sale of
goods or services or for transactions (e.g., leases, easements,
licenses, etc.) related to real or personal property must include
the payee's identification number. The number is any or all of
the following: (i) the payee’s Federal employer identification
number, (ii) the payee’s Federal social security number, and/or
(iii) the payee’s Vendor Identification Number assigned by the
Statewide Financial System. Failure to include such number or
numbers may delay payment. Where the payee does not have
such number or numbers, the payee, on its invoice or Claim for
Payment, must give the reason or reasons why the payee does
not have such number or numbers.
(b) Privacy Notification. (1) The authority to request the above
personal information from a seller of goods or services or a
lessor of real or personal property, and the authority to maintain
such information, is found in Section 5 of the State Tax Law.
Disclosure of this information by the seller or lessor to the State
is mandatory. The principal purpose for which the information
is collected is to enable the State to identify individuals,
businesses and others who have been delinquent in filing tax
returns or may have understated their tax liabilities and to
generally identify persons affected by the taxes administered by
the Commissioner of Taxation and Finance. The information
will be used for tax administration purposes and for any other
purpose authorized by law. (2) The personal information is
requested by the purchasing unit of the agency contracting to
purchase the goods or services or lease the real or personal
property covered by this contract or lease. The information is
maintained in the Statewide Financial System by the Vendor
Management Unit within the Bureau of State Expenditures,
Office of the State Comptroller, 110 State Street, Albany, New
York 12236.
12. EQUAL EMPLOYMENT OPPORTUNITIES FOR
MINORITIES AND WOMEN. In accordance with Section
312 of the Executive Law and 5 NYCRR Part 143, if this
contract is: (i) a written agreement or purchase order
instrument, providing for a total expenditure in excess of
STANDARD CLAUSES FOR NYS CONTRACTS
APPENDIX A
Page 5
October 2019
$25,000.00, whereby a contracting agency is committed to
expend or does expend funds in return for labor, services,
supplies, equipment, materials or any combination of the
foregoing, to be performed for, or rendered or furnished to the
contracting agency; or (ii) a written agreement in excess of
$100,000.00 whereby a contracting agency is committed to
expend or does expend funds for the acquisition, construction,
demolition, replacement, major repair or renovation of real
property and improvements thereon; or (iii) a written agreement
in excess of $100,000.00 whereby the owner of a State assisted
housing project is committed to expend or does expend funds
for the acquisition, construction, demolition, replacement,
major repair or renovation of real property and improvements
thereon for such project, then the following shall apply and by
signing this agreement the Contractor certifies and affirms that
it is Contractor’s equal employment opportunity policy that:
(a) The Contractor will not discriminate against employees or
applicants for employment because of race, creed, color,
national origin, sex, age, disability or marital status, shall make
and document its conscientious and active efforts to employ and
utilize minority group members and women in its work force
on State contracts and will undertake or continue existing
programs of affirmative action to ensure that minority group
members and women are afforded equal employment
opportunities without discrimination. Affirmative action shall
mean recruitment, employment, job assignment, promotion,
upgradings, demotion, transfer, layoff, or termination and rates
of pay or other forms of compensation;
(b) at the request of the contracting agency, the Contractor shall
request each employment agency, labor union, or authorized
representative of workers with which it has a collective
bargaining or other agreement or understanding, to furnish a
written statement that such employment agency, labor union or
representative will not discriminate on the basis of race, creed,
color, national origin, sex, age, disability or marital status and
that such union or representative will affirmatively cooperate in
the implementation of the Contractor's obligations herein; and
(c) the Contractor shall state, in all solicitations or
advertisements for employees, that, in the performance of the
State contract, all qualified applicants will be afforded equal
employment opportunities without discrimination because of
race, creed, color, national origin, sex, age, disability or marital
status.
Contractor will include the provisions of "a," "b," and "c"
above, in every subcontract over $25,000.00 for the
construction, demolition, replacement, major repair,
renovation, planning or design of real property and
improvements thereon (the "Work") except where the Work is
for the beneficial use of the Contractor. Section 312 does not
apply to: (i) work, goods or services unrelated to this contract;
or (ii) employment outside New York State. The State shall
consider compliance by a contractor or subcontractor with the
requirements of any federal law concerning equal employment
opportunity which effectuates the purpose of this clause. The
contracting agency shall determine whether the imposition of
the requirements of the provisions hereof duplicate or conflict
with any such federal law and if such duplication or conflict
exists, the contracting agency shall waive the applicability of
Section 312 to the extent of such duplication or conflict.
Contractor will comply with all duly promulgated and lawful
rules and regulations of the Department of Economic
Development’s Division of Minority and Women's Business
Development pertaining hereto.
13. CONFLICTING TERMS. In the event of a conflict
between the terms of the contract (including any and all
attachments thereto and amendments thereof) and the terms of
this Appendix A, the terms of this Appendix A shall control.
14. GOVERNING LAW. This contract shall be governed by
the laws of the State of New York except where the Federal
supremacy clause requires otherwise.
15. LATE PAYMENT. Timeliness of payment and any
interest to be paid to Contractor for late payment shall be
governed by Article 11-A of the State Finance Law to the extent
required by law.
16. NO ARBITRATION. Disputes involving this contract,
including the breach or alleged breach thereof, may not be
submitted to binding arbitration (except where statutorily
authorized), but must, instead, be heard in a court of competent
jurisdiction of the State of New York.
17. SERVICE OF PROCESS. In addition to the methods of
service allowed by the State Civil Practice Law & Rules
("CPLR"), Contractor hereby consents to service of process
upon it by registered or certified mail, return receipt requested.
Service hereunder shall be complete upon Contractor's actual
receipt of process or upon the State's receipt of the return
thereof by the United States Postal Service as refused or
undeliverable. Contractor must promptly notify the State, in
writing, of each and every change of address to which service
of process can be made. Service by the State to the last known
address shall be sufficient. Contractor will have thirty (30)
calendar days after service hereunder is complete in which to
respond.
18. PROHIBITION ON PURCHASE OF TROPICAL
HARDWOODS. The Contractor certifies and warrants that all
wood products to be used under this contract award will be in
accordance with, but not limited to, the specifications and
provisions of Section 165 of the State Finance Law, (Use of
Tropical Hardwoods) which prohibits purchase and use of
tropical hardwoods, unless specifically exempted, by the State
or any governmental agency or political subdivision or public
benefit corporation. Qualification for an exemption under this
law will be the responsibility of the contractor to establish to
meet with the approval of the State.
In addition, when any portion of this contract involving the use
of woods, whether supply or installation, is to be performed by
STANDARD CLAUSES FOR NYS CONTRACTS
APPENDIX A
Page 6
October 2019
any subcontractor, the prime Contractor will indicate and
certify in the submitted bid proposal that the subcontractor has
been informed and is in compliance with specifications and
provisions regarding use of tropical hardwoods as detailed in
§ 165 State Finance Law. Any such use must meet with the
approval of the State; otherwise, the bid may not be considered
responsive. Under bidder certifications, proof of qualification
for exemption will be the responsibility of the Contractor to
meet with the approval of the State.
19. MACBRIDE FAIR EMPLOYMENT PRINCIPLES. In
accordance with the MacBride Fair Employment Principles
(Chapter 807 of the Laws of 1992), the Contractor hereby
stipulates that the Contractor either (a) has no business
operations in Northern Ireland, or (b) shall take lawful steps in
good faith to conduct any business operations in Northern
Ireland in accordance with the MacBride Fair Employment
Principles (as described in Section 165 of the New York State
Finance Law), and shall permit independent monitoring of
compliance with such principles.
20. OMNIBUS PROCUREMENT ACT OF 1992. It is the
policy of New York State to maximize opportunities for the
participation of New York State business enterprises, including
minority- and women-owned business enterprises as bidders,
subcontractors and suppliers on its procurement contracts.
Information on the availability of New York State
subcontractors and suppliers is available from:
NYS Department of Economic Development
Division for Small Business
Albany, New York 12245
Telephone: 518-292-5100
Fax: 518-292-5884
email: [email protected]y.gov
A directory of certified minority- and women-owned business
enterprises is available from:
NYS Department of Economic Development
Division of Minority and Women's Business Development
633 Third Avenue
New York, NY 10017
212-803-2414
email: mwbecertification@esd.ny.gov
https://ny.newnycontracts.com/FrontEnd/VendorSearchPu
blic.asp
The Omnibus Procurement Act of 1992 (Chapter 844 of the
Laws of 1992, codified in State Finance Law § 139-i and Public
Authorities Law § 2879(3)(n)–(p)) requires that by signing this
bid proposal or contract, as applicable, Contractors certify that
whenever the total bid amount is greater than $1 million:
(a) The Contractor has made reasonable efforts to encourage
the participation of New York State Business Enterprises as
suppliers and subcontractors, including certified minority- and
women-owned business enterprises, on this project, and has
retained the documentation of these efforts to be provided upon
request to the State;
(b) The Contractor has complied with the Federal Equal
Opportunity Act of 1972 (P.L. 92-261), as amended;
(c) The Contractor agrees to make reasonable efforts to provide
notification to New York State residents of employment
opportunities on this project through listing any such positions
with the Job Service Division of the New York State
Department of Labor, or providing such notification in such
manner as is consistent with existing collective bargaining
contracts or agreements. The Contractor agrees to document
these efforts and to provide said documentation to the State
upon request; and
(d) The Contractor acknowledges notice that the State may seek
to obtain offset credits from foreign countries as a result of this
contract and agrees to cooperate with the State in these efforts.
21. RECIPROCITY AND SANCTIONS PROVISIONS.
Bidders are hereby notified that if their principal place of
business is located in a country, nation, province, state or
political subdivision that penalizes New York State vendors,
and if the goods or services they offer will be substantially
produced or performed outside New York State, the Omnibus
Procurement Act 1994 and 2000 amendments (Chapter 684 and
Chapter 383, respectively, codified in State Finance Law
§ 165(6) and Public Authorities Law § 2879(5)) ) require that
they be denied contracts which they would otherwise obtain.
NOTE: As of October 2019, the list of discriminatory
jurisdictions subject to this provision includes the states of
South Carolina, Alaska, West Virginia, Wyoming, Louisiana
and Hawaii.
22. COMPLIANCE WITH BREACH NOTIFICATION
AND DATA SECURITY LAWS. Contractor shall comply
with the provisions of the New York State Information Security
Breach and Notification Act (General Business Law § 899-aa
and State Technology Law § 208) and commencing March 21,
2020 shall also comply with General Business Law § 899-bb.
23. COMPLIANCE WITH CONSULTANT
DISCLOSURE LAW. If this is a contract for consulting
services, defined for purposes of this requirement to include
analysis, evaluation, research, training, data processing,
computer programming, engineering, environmental, health,
and mental health services, accounting, auditing, paralegal,
legal or similar services, then, in accordance with Section 163
(4)(g) of the State Finance Law (as amended by Chapter 10 of
the Laws of 2006), the Contractor shall timely, accurately and
properly comply with the requirement to submit an annual
employment report for the contract to the agency that awarded
the contract, the Department of Civil Service and the State
Comptroller.
STANDARD CLAUSES FOR NYS CONTRACTS
APPENDIX A
Page 7
October 2019
24. PROCUREMENT LOBBYING. To the extent this
agreement is a "procurement contract" as defined by State
Finance Law §§ 139-j and 139-k, by signing this agreement the
contractor certifies and affirms that all disclosures made in
accordance with State Finance Law §§ 139-j and 139-k are
complete, true and accurate. In the event such certification is
found to be intentionally false or intentionally incomplete, the
State may terminate the agreement by providing written
notification to the Contractor in accordance with the terms of
the agreement.
25. CERTIFICATION OF REGISTRATION TO
COLLECT SALES AND COMPENSATING USE TAX BY
CERTAIN STATE CONTRACTORS, AFFILIATES AND
SUBCONTRACTORS.
To the extent this agreement is a contract as defined by Tax Law
§ 5-a, if the contractor fails to make the certification required
by Tax Law § 5-a or if during the term of the contract, the
Department of Taxation and Finance or the covered agency, as
defined by Tax Law § 5-a, discovers that the certification, made
under penalty of perjury, is false, then such failure to file or
false certification shall be a material breach of this contract and
this contract may be terminated, by providing written
notification to the Contractor in accordance with the terms of
the agreement, if the covered agency determines that such
action is in the best interest of the State.
26. IRAN DIVESTMENT ACT. By entering into this
Agreement, Contractor certifies in accordance with State
Finance Law § 165-a that it is not on the “Entities Determined
to be Non-Responsive Bidders/Offerers pursuant to the New
York State Iran Divestment Act of 2012” (“Prohibited Entities
List”) posted at: https://ogs.ny.gov/list-entities-determined-be-
non-responsive-biddersofferers-pursuant-nys-iran-divestment-
act-2012
The state agency reserves the right to reject any bid, request for
assignment, renewal or extension for an entity that appears on
the Prohibited Entities List prior to the award, assignment,
renewal or extension of a contract, and to pursue a
responsibility review with respect to any entity that is awarded
a contract and appears on the Prohibited Entities list after
contract award.
27. ADMISSIBILITY OF REPRODUCTION OF
CONTRACT. Notwithstanding the best evidence rule or any
other legal principle or rule of evidence to the contrary, the
Contractor acknowledges and agrees that it waives any and all
objections to the admissibility into evidence at any court
proceeding or to the use at any examination before trial of an
electronic reproduction of this contract, in the form approved
by the State Comptroller, if such approval was required,
regardless of whether the original of said contract is in
existence.
Contractor further certifies that it will not utilize on this
Contract any subcontractor that is identified on the Prohibited
Entities List. Contractor agrees that should it seek to renew or
extend this Contract, it must provide the same certification at
the time the Contract is renewed or extended. Contractor also
agrees that any proposed Assignee of this Contract will be
required to certify that it is not on the Prohibited Entities List
before the contract assignment will be approved by the State.
During the term of the Contract, should the state agency receive
information that a person (as defined in State Finance Law
§ 165-a) is in violation of the above-referenced certifications,
the state agency will review such information and offer the
person an opportunity to respond. If the person fails to
demonstrate that it has ceased its engagement in the investment
activity which is in violation of the Act within 90 days after the
determination of such violation, then the state agency shall take
such action as may be appropriate and provided for by law, rule,
or contract, including, but not limited to, imposing sanctions,
seeking compliance, recovering damages, or declaring the
Contractor in default.
RFP 2019-13 PREA Employee Training Curriculum
ATTACHMENT B
Application Cover Sheet
RFP 2019-13 PREA Employee Training Curriculum
New York State Department of Corrections and Community Supervision
Application Cover Sheet
Applicant Legal Name:
Contact Person:
Business Address:
Phone: E-Mail Address:
Fax: Website Address:
Federal ID #: _ NYS Vendor ID #:
Submitted By:
Name of Authorized Official:
Title of Authorized Official:
Signature of Authorized Official:
Date:
NOTE: Signature binds applicant to a firm offer for a 180-day period from the date of
the submission.
RFP 2019-13 PREA Employee Training Curriculum
ATTACHMENT C
Cost Proposal Form
See Separate Attachment C
RFP 2019-13 PREA Employee Training Curriculum
ATTACHMENT D
Bid Declination Form
New York State Department of Corrections and Community Supervision
Attachment D
RFP 2019-13 PREA Employee Training Curriculum
Bid Declination Form
Please complete the information below and return this form by email to the person listed
at the bottom of the form.
Company Name:
Address:
This company will not submit a proposal in response to the above-referenced RFP because:
(check all that apply)
We do not have the capacity to administer the services.
We do not provide the type of services described in the RFP.
We are not interested in working with your Agency.
Other reason(s) – please explain
Please remove our company from future RFP solicitations: No Yes
Name of Contact Person: Date Returned:
Phone Number:
Thank you for providing information that will help us with future bids for this service.
Linda Mitchell, Contract Management Specialist II
NYS Department of Corrections & Community Supervision
Division of Support Operations / Contract Procurement Unit
550 Broadway, Menands, New York 12204
Email: Linda.Mitchell@doccs.ny.gov
ATTACHMENT E
Required Forms
RFP 2019-13 PREA Employee Training Curriculum
All bidders must submit the following required forms with proposal. Forms are provided in this
attachment unless otherwise noted:
Procurement Lobbying Certification (Attachment E.1)
Vendor Assurance of No Conflict of Interest or Detrimental Effect (Attachment E.2)
NYS Required Certificates EO177 and SFL 139-l (Attachment E.3)
M/WBE and EEO Policy Statement (Attachment F)
EEO Staffing Plan (Form EEO-100) (Attachment F)
At least three reference letters
Vendor Responsibility Questionnaire (if not completed online) (see Section IX.A.2 for
information and web links to complete)
•
The following documentation will be required after notice of tentative award:
Contractor Insurance Requirements (see Section IX.B.1-2):
o
Commercial General Liability
o
Comprehensive Business Automobile Liability
o
Errors & Omissions Liability
•
Compliance with Workers’ Compensation and NYS Disability Benefits Insurance Requirements
(see Section IX.B.3):
o
Proof of Compliance with Workers’ Compensation Coverage
o
Proof of Compliance with Disability Benefits Coverage
Tax and Finance Form ST-220-CA (Attachment E.4)
NOTE: Form ST-220-TD is filed directly with NYS Department of Tax & Finance
Non-Disclosure Agreement (Attachment E.6)
Consultant Disclosure Form A (Attachment E.5)
•
•
Bid Submission Checklist (Attachment H)
•
•
•
•
•
•
•
PROCUREMENT LOBBYING CERTIFICATION
By signing, the offeror/bidder affirms that it understands and agrees to comply with the NYS
Department of Corrections and Community Supervision (DOCCS) procedures relative to
permissible contacts, as required by State Finance Law §139-j and §139-k.
Procurement Lobbying information can be accessed at:
https://ogs.ny.gov/acpl/
Prior Non-Responsibility Determinations – State Finance Law §139-k
1. Has any Government Entity made a finding of non-responsibility against this
organization/company?
No
Yes
2. If yes, was the basis for the finding of non-responsibility due to a violation of
SFL§139-j or due to the intentional provision of false or incomplete information
to a Government Entity?
No
Yes
3. Has any Government Entity terminated or withheld a procurement contract with
this
organization/company due to the intentional provision of false or incomplete
information?
No
Yes
If yes to any of the above questions, provide complete details on a separate page and attach.
Procurement Lobbying Termination
DOCCS reserves the right to terminate this contract in the event it is found that the certification filed by the
Offeror/bidder in accordance with New York State Finance Law §139-k was intentionally false or
intentionally incomplete. Upon such finding, DOCCS may exercise its termination right by providing written
notice to the Offeror/bidder in accordance with the written notification terms of the contract.
RETURN THIS FORM WITH YOUR PROPOSAL
Contractor Name:
Contractor Address:
Title:
Name:
Date:
By:
Offeror affirms that it understands and agrees to comply with the procedures of the DOCCS relative to
permissible Contacts as required by State Finance Law §139-j (3) and §139-j (6) (b).
Title:
Name:
Date:
By:
Offeror Certification:
I certify that all information provided to the DOCCS with respect to State Finance Law §139-k is complete,
true and accurate.
Vendor Assurance of No Conflict of Interest or Detrimental Effect
The Firm offering to provide commodities/services pursuant to this RFP, as a contractor, joint venture
contractor, subcontractor, or consultant, attests that its performance of the services outlined in this
solicitation does not and will not create a conflict of interest with nor position the Firm to breach any other
contract currently in force with the State of New York. Furthermore, the Firm attests that it will not act in
any manner that is detrimental to any State project on which the Firm is rendering services. Specifically,
the Firm attests that:
1.
The fulfillment of obligations by the Firm, as proposed in the response, does not violate any existing
contracts or agreements between the Firm and the State;
2.
The fulfillment of obligations by the Firm, as proposed in the response, does not and will not create
any conflict of interest, or perception thereof, with any current role or responsibility that the Firm
has with regard to any existing contracts or agreements between the Firm and the State;
3.
The fulfillment of the obligations by the Firm, as proposed in the response, does not and will not
compromise the Firm’s ability to carry out its obligations under any existing contracts between the
Firm and the State;
4.
The fulfillment of any other contractual obligations that the Firm has with the State will not affect or
influence its ability to perform under any contract with the State resulting from this RFP;
5.
During the negotiation and execution of any contract resulting from this RFP, the Firm will not
knowingly take any action or make any decision which creates a potential for conflict of interest or
might cause a detrimental impact to the State as a whole including, but not limited to, any action or
decision to divert resources from one State project to another;
6.
In fulfilling obligations under each of its State contracts, including any contract which results from
this RFP, the Firm will act in accordance with the terms of each of its State contracts and will not
knowingly take any action or make any decision which might cause a detrimental impact to the
State as a whole including, but not limited to, any action or decision to divert recourses from one
State project to another;
7.
No former officer or employee of the State who is now employed by the Firm, nor any former officer
or employee or the Firm who is now employed by the State, has played a role with regard to the
administration of this contract procurement in a manner that may violate section 73(8)(a) of the
State Ethics Law; and
8.
The Firm has not and shall not offer to any employee, member or director of the State any gift,
whether in the form of money, service, loan, travel, entertainment, hospitality, thing or promise, or
in any other form, under circumstances in which it could reasonably be inferred that the gift was
intended to influence said employee, member or director, or could reasonably be expected to
influence said employed, member or director, in the performance of the official duty of said
employee, member or director or was intended as a reward for any official action on the part of said
employee, member or director.
Firms responding to this RFP should note that the State recognizes that conflicts may occur in the
future because a Firm may have existing or new relationships. The State will review the nature of any such
new relationships and reserves the right to terminate the contract for cause if, in its judgment, a real or
potential conflict of interest cannot be cured.
Name, Title:
Signature: Date:
This form must be signed by an authorized executive or legal representative.
RETURN THIS FORM WITH YOUR PROPOSAL
NYS REQUIRED CERTIFICATIONS
EXECUTIVE ORDER NO. 177 CERTIFICATION
The New York State Human Rights Law, Article 15 of the Executive Law, prohibits discrimination and
harassment based on age, race, creed, color, national origin, sex, pregnancy or pregnancy-related conditions,
sexual orientation, gender identity, disability, marital status, familial status, domestic violence victim status, prior
arrest or conviction record, military status or predisposing genetic characteristics.
The Human Rights Law may also require reasonable accommodation for persons with disabilities and
pregnancy-related conditions. A reasonable accommodation is an adjustment to a job or work environment that
enables a person with a disability to perform the essential functions of a job in a reasonable manner. The Human
Rights Law may also require reasonable accommodation in employment on the basis of Sabbath observance or
religious practices.
Generally, the Human Rights Law applies to:
•
all employers of four or more people, employment agencies, labor organizations and apprenticeship
training programs in all instances of discrimination or harassment;
•
employers with fewer than four employees in all cases involving sexual harassment; and,
•
any employer of domestic workers in cases involving sexual harassment or harassment based on gender,
race, religion or national origin.
In accordance with Executive Order No. 177, the Contractor hereby certifies that it does not have
institutional policies or practices that fail to address the harassment and discrimination of individuals on the basis
of their age, race, creed, color, national origin, sex, sexual orientation, gender identity, disability, marital status,
military status, or other protected status under the Human Rights Law.
Executive Order No. 177 and this certification do not affect institutional policies or practices that are
protected by existing law, including but not limited to the First Amendment of the United States Constitution, Article
1, Section 3 of the New York State Constitution, and Section 296 (11) of the New York State Human Rights Law.
STATE FINANCE LAW § 139-L CERTIFICATION
Contractor and each person signing on behalf of any Contractor certifies, and in the case of a joint bid each
party thereto certifies as to its own organization, under penalty of perjury, that the Contractor has and has
implemented a written policy addressing sexual harassment prevention in the workplace and provides annual sexual
harassment prevention training to all of its employees. Such policy shall, at a minimum, meet the requirements of
section two hundred one-g of the labor law. If the Contractor cannot make the foregoing certification, such
Contractor shall so state and shall furnish a signed statement that sets forth in detail the reasons that the Contractor
cannot make the certification.
By signing you certify your express authority to sign on behalf of yourself, your company, or other entity and
full knowledge and acceptance of this Certification document and that all information provided is complete, true and
accurate.
Authorized Signature
Date
Print Name
Title
Company Name
D/B/A – Doing Business As (if applicable)
Address
City
State
Zip
CONTRACTOR CERTIFICATION FORMS
(Pursuant to Section 5-A of the Tax Law)
Form ST-220-CA (2 pages)
Regardless of whether ST-220-TD is being filed/updated
for this bid or not, these 2 pages must be completed, signed
and returned with this bid.
Form available at:
http://www.tax.ny.gov/pdf/current_forms/st/st220ca_fill_in.pdf
Form ST-220-TD (4 pages)
If filing with the Department of Taxation& Finance
for the first time, or previously submitted information needs
to be updated, these 4 pages must be removed from this bid,
completed, signed and submitted directly to the
Department of Taxation and Finance.
Form available at:
http://www.tax.ny.gov/pdf/current_forms/st/st220td_fill_in.pdf
RFP 2019-13 PREA Employee Training Curriculum
Page 2 of 2 ST-220-CA
(
12/11)
STATE OF
COUNTY OF
Individual, Corporation, Partnership, or LLC Acknowledgment
8 8 .:
On
the
day
of
in
the
year 20 _ ,
before
me
personally appeared
_
known to me to be the person who executed the foregoing instrument, who, being duly sworn by me did depose and say that
he resides at
Town of - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
County of
State of
;
and
further
that:
[Mark an X in the appropriate box and complete the accompanying statement.]
D
(If an individual): _he executed the foregoing instrumentin his/her name and on his/her own behalf.
D (If a corporation): _he is the
_
o
,
the
corporation described in said instrument; that,
by
author
ity
of
the
Bo
ard
of Directors of said corporation, _he is authorized to execute the foregoing instrument on behalf of the corporation for
purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in the name of and on
behalf of said corporation as the act and deed of said corporation.
D
(If a partnership):_he is a - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - of
,
the
partnership des
cribed
in
said
instrument
;
that,
b
y
the
terms
of said
partnership, _he is authorizedto execute the foregoing instrument on behalf of the
partnership for purposes set forth therein; and that, pursuant to that authority, _he executed the foregoing instrument in
the name of and on behalf of said
partnership as the act and deed of said partnership.
D
(If a limited liabilitycompany:) _he is a duly authorized member of
LL,the
limited liability company described in
said
instrument;
that
_he
is
authorized
to
exec
ute
the
fo
regoing
instrument
on
behalf of the limited liability company for purposes set forth therein; and that, pursuant to that authority, _he executed the
foregoing instrument in the name of and on behalf of said limited liability company as the act and deed of said limited
liability company.
Notary Public
Registration No.
Privacy notification
The Commissioner of Taxation and Finance may collect and maintain
personal information pursuant to the New York State Tax Law, including but
not limited to, sections 5-a, 171, 171-a, 287, 308, 429, 475, 505, 697, 1096,
1142, and 1415 of that Law; and may require disclosure of social security
numberspursuant to 42 USC 405(c)(2)(C)(i).
This informat ion will be used to determ ine and admin ister tax liabi lities
and , when au thor ized b y law , for certai n tax offset and exchange of tax
information programs as well as for any other lawful purpose.
Information concerning quarterly wages paid to employees is provided
to certain state agencies for purposes of fraud prevention, support
enforcement, evaluation of the effectivenessof certain employment and
training programs and other purposes authorized by law.
Failure to provide the required information may subject you to civil or
criminal penalties, or both, under the Tax Law.
This information is maintained by the Manager of Document Management,
NYS Tax Department, W A Harriman Campus, Albany NY 12227; telephone
(518) 457-5181.
L
Persons with disabilities:
In compliance with the
(5\.
Americans with Disabilities Act, we will ensure that our
lobbies, offices, meeting rooms, and other facilities are
accessible to persons with disabilities. If you have questions
about special accommodations for persons with disabilities, call the
information center.
Need help?
Visit our Web site at
www.tax.ny.gov
get
informa
tion and
manage
yo
ur
tax
es
online
• check for new online servicesand features
Z
Telephone assistance
Sales Tax
Information Center: (518) 485-2889
To order forms and publications: (518) 457-5431
Text Telephone (TTY) Hotline
(for persons with
hearing and speech disabilities using a TTY): (518) 485-5082
4
w
RK
ATE
Departmen t of Taxation and FWlance
Contractor Certification
(Pursuant
t
o
Tax
Law
Sectio
n
5-a,
as
amend
ed,
effective April 26, 2006)
ST-220-TD
(4/15)
For informat ion , consu lt Publi cati on 223 ,
Questions and Answers Concernin g Tax Law Section
5-a
(see Need help?
below ).
onlractor
name
Conlracto
r's
principal place of busi
ness
Qty
State
ZIPoode
Conlrador's
mailing
address
(if c.itrerent than above)
City
State
ZIPcode
Conlracior's federal employer idenbficationnumber
(EIN)
Contractor's sales tax ID number ft different frcmc:onl73CU)r's BNJ
Contraclor's telephone number
( l
Covered agency or state agency
Contract number or description
Covered agency telephone number
( )
Covered agency address Qty State ZIP code
Is
the
estimated
contract
value
over the
full
term
of
the
contract
(but not
including
r
enewa
ls)more
than $1
00,000?
Yes
D
No
D
Unknown at
this
time
D
General information
Ta
x
Law
section
5-a,
as
amended,
effective
April
26,
2006, requires certain contractors awarded certain state
contracts valued at more than $100,000 to certify to the Tax
Department that they are registered to collect NewYork
State and local sales and compensating use taxes, if they
made sales deliveredby any means to locations within
NewYork State of tangible personal property or taxable
services having a cumulative value in excess of $300,000,
measuredover a specified period. In addition, contractors
Pri vac y no tification
NewYork StateLaw requires all government agencies that
maintaina system of records to provide notification of the
legal authority for any request, the principal purpose(s) for
which the information is to be collected, and where it will
be maintained. To view this information,visit our Web site,
or, if
you
do not
have
Internet
access
,
ca
ll
and r
equest
Publication54, Privacy Notification. See Need help? for the
Web address and telephone number.
effective April 26, 2006). See Need help? for more
information on how to obtainthis publication.
N
ote:
Form
ST-220T-D
must
be
signed
by
a
person
authorized to make the certificaiton on behalf of the
con
tractor,
and
the
acknowledgemen
t
on
page
4
of
this
f
o
rm
must be completed before a notary public.
Mailcompletedform to:
NYS TAX DEPARTM ENT
DATA ENTRY SE CTION
WA HARRIMAN CAMPUS
ALBAN Y NY 12227 -0826
must certify to the Tax Department that each affiliate and
subcontractor exceeding such sales threshold during a
specified period is registered to collect New York State
and local sales and compensating use taxes. Contractors
must also file Form ST-220-CA, Contractor Certification to
Covered AgencY, certifying to the procuring state entity that
theyfiled Form ST-220-TD with the Tax Department and that
the information contained on Form ST-220-TD is correct and
complete as of the date they file Form ST-220-CA.
Need help?
r::J
Visit our Web site at
www.tax.ny.gov
bail
•
get information and manage your taxes online
•
check for new online services and features
S
Telephone assistance
Sales
Tax
tnfonnation
center:
(518) 485-2889
All sections must be completed including all fields on the top
To
order
fonns
and
publ
c
i
ations:
(518) 457-5431
of this page, all sections on page 2, Schedule A onpage 3, if
applicalbe,
and Individua
,
l
Corporatio
,
nPa
rtnership
,
or
LLC
Acknowledgement on page 4. If you do not completethese
areas, the form will be returned to you for completion.
For
more
deta
iled
information
r
egarding
this
form
and
Tax Law section 5-a, see Publication223, Questions and
Answers
Concerning
Tax
Law
Section
5-a,
(as
am
ended,
Text Telephone (TTY) Hotli ne
(for persons
with
hearing and speecll disabilities using a TTY): (518) 485-5082
.L Person s with disabiliti e s: In compliance with the
I_:,\ Americans with Disabilities Act. we Will ensure that our
lobbies, offices, meeting rooms. and other facilities are
accessible
to
persons
witt1di
sabilities.
If
you
have
questions
about special accommodationsror persons with disabitities.
call
the
information center.
Page 2 of 4 ST-220-TD (12/11)
I,
,
hereby
affirm,
under
penalty
o
f
perjury
,
that
I
am
_
(name) (title)
of the above-named contractor, and that I am authorized to make this certification on behalf of such contractor.
Complete Sections 1, 2, and 3 below.
Make
only one
entry in each section.
Section 1 - Contractor registration status
0
The
contractor
has
made
sales
delivered
by
any
means
to
l
ocations
within
New
York
State
of
tangible
personal
property
or
taxable
services having a cumulative value in excess of $300,000 during the four sales tax quarters whichimmediately precede the sales tax
quarter in which this certification is made. The contractor is registered to collect New York State and local sales and compensating use
taxes wtth the Commissioner of Taxation and Financepursuant to sections 1134 and 1253 of the Tax Law, and is listed on Schedule A of
this certification.
0
The
contra
ctor
ha
s
not
made
sales
delivered
by
any
means
to
locations
within
New
York
State o
f
tangible
persona
l
proper
ty
or
taxable
services having a cumulative value in excess of $300,000 during the four sales tax quarters whichimmediatelyprecede the sales tax
quarter in which this certificationis made.
Section 2 - Affiliate registration status
0 The contractor does not have any affiliates.
0 To the best of the contractor's knowledg,ethe contractor has one or more affiliates having made sales delivered by any means to
locationswithin New York State of tangible personal property or taxable services having a cumulative value in excess of $300,000
dur
ing
the
fo
ur
sales
tax
qua
rte
r
s
which
immediately
precede
the
sales
tax
quarter
in
which
this
certificati
on
is
made,
and
each
a
ffiliate
exceeding the $300,000 cumulative sales threshold during such quarters is registeredto collectNew York State and local sales and
compensaitng use taxes with the Commissioner of Taxation and Finance pursuant to sections 1134 and 1253 of the Tax Law. The
contractorhas listed each affiliate exceeding the $300,000 cumulativesales threshold during such quarters on Schedule A of this
certification.
0 To the best of the contractor's knowledge,the contractor has one or more affiliates, and each affiliate has not made sales deliveredby
any means to locations within New York State of tangible personal property or taxable services having a cumulative value in excess of
$300,000
during
the
fo
ur
sales
tax
quarters
whi
ch
immedia
e
t
ly
precede
the sales tax
quarter
in
which
this
certification
is
made.
Section 3 - Subcontractor registration status
0 The contractordoes not have any subcontractors.
0 To the best of the contractor's knowledge, the contractor has one or more subcontractors having made sales delivered by any means to
locationswithin New York State of tangible personal property or taxable services having a cumulative value in excess of $300,000 during
the
fou
r
sales
tax
quarters
whi
ch
immediately
precede
the
sales
tax
quarter
in
which
thi
s
certification
i
s
made,
and
each
subco
ntra
ctor
exceed
n
i
g
the $300,000 cu
mulatvi
esalesthreshold
during
such
quarters
is
registered
to
collect
New
Yo
rk
State
and
local
sales
and
compensaitng use taxes with the Commissioner of Taxation and Finance pursuant to sections 1134 and 1253 of the Tax Law.The
contractorhas listed each subcontractor exceeding the $300,000 cumulativesalesthreshold during such quarters on Schedule A of this
certification.
0
To
the
best
of
the
contractor
's
know
ledge,
the
contractor
has
one or
more
subcontra
t
cors,
and
each
subcontra
t
cor
has not
made
sales
delivered by any means to locationswtthin New York State of tangible personal property or taxable services having a cumulative value in
excess
of
$300,000
during
the
fo
u
r
sales
tax
quarters
which
im
mediate
y
l
precede
the
sales
tax
quarter
in
which
thi
s
ce
rtification
is
made.
Sworn to this_ day of
,20
(sign before a notary public) (title)
ST-220-TD(12/11) Page3 of 4
Schedule A - Listing of each entity (contractor, affiliate, or subcontractor) exceeding $300,000
cumulative sales threshold
List the contracto
,
r or af
filiate,
or subco
ntractor
in
Schedule
A
only
if
such
ent
ity
exceeded
the $3
00,000currolat
ive sales
threshol
d
during
the
specified sales tax quarters. See directionsbelow. For more information, see Publication 223.
A
P-
_
l
"
,.,
'
D
Name
C
M <lfess
D
hi,1era110N11mt>e1
[
r
Salesrax IDNumber n eg1s1r a1
1
1
on
tn progm"'l
I
I
-
r-
-
I
I
Column A - Enter C in column A if the contractor; A if an affiliate of the contractor; orS if a subconrtactor.
Column B- Name - II the entity Is a corporationor limitedliability company, enter the exact legal name as registered with the NY Department
of State, ii applicable. If the entity Is a partnership or sole proprietor, enter the name of the partnership and each partner's given
name, or the given name(s) of theowner(s), as applicable. If the entity has a different DBA (doing business as) name, enter that
name as well.
Column C - Address - Enterthe street address of the entity·s principalplace of business. Do not enter a PO box.
Column D - ID number - Enter the federal employer Identification number (EIN) assigned to the entity. If the entity Is an individua,l enter the
social security number of that person.
Column E - Sales tax ID number - Enter only if different from federal EIN in column D.
Column
F
-
If
app
licable,
enter
an
X
if
the
entity
has
submitted
Form DT
F-17
to
the
Tax
Department
but
has
not
received
its
certi
ficate
of
authortiy as of the date of this certification.
Page4 of 4 ST-220-TD(12/11)
STATE OF
COUNTY OF
Indiv
idual,
Corporation
,
Partner
ship,
or
LLC
Acknowledgment
SS.:
On the _ dayof _ _ _ _ _ _ in the year 20_ , before me personally appeared _ _ _ _ _ _ _ _ _ _ _ _
known to me to be the personwho executed the foregoing instrument, who, being duly sworn by me did depose and say that
he
resides
a
t
_
Town of
County of
Stateof ; and fur therthat:
[Mark
an
X
in
th
e
app
ropriate
box
and
complete
the
accom
pany
ing
statement.]
D (If an individua)l: _he executed the foregoing instrumentin his/her name and on his/her own behalf.
D (If a corporation): he is the
of
,
the
corporation
described
in
said
instru
ment
;
that,
by
authority
of
the
Board
of
Directors
of said
corpora
i
t
on,
he
is
autho
rized
to
execute
the
f
ore
going instrument
on
behalf
of
the
corporation
for
purposes set forththerein; and that, pursuant to that authority, _he executed the foregoing instrumentin the name of and on
behalf of said corporaitonas the act and deed of said corporation.
D
(I
f
a
p
artnershi
)
p
:
_he
i
s
a
of
,
the
partnership
described
in
said
instrument
;
that,
by
the
terms
of
sa
id
partnership, _he is authorized to execute the foregoing instrumenton behalf of the partnership for purposes set forth
therein; and that, pursuant to that authortiy, _he executed the foregoing instrument in the name of and on behalf of said
par
tnershipas
the
ac
t
and
deed
o
f
said
partnersh
i
p.
D
(I
f
a
limited
liabil
i
ty
company
):
_he
i
s
a
duly
author
z
ied
member
o
f
LLC, the limited liability company described in said instrumen;t that _he isauthorized to execute the foregoinginstrument
on behalf of the limited liability company for purposes set forththerein; and tha t, pursuant to that authoirty,_he executed
the foregoinginstrumentin the name of and on behalfof said limitedliability company as the act and deed of said limited
liabl
i
i
i
ty compan.y
Notary Public
R
eg
i
s
t
r
a
ti
on
No.
_
Background:
CONSULTANT DISCLOSURE REPORTING REQUIREMENTS
CONTRACTOR INSTRUCTIONS
Pursuant to New York State Finance Law Section 163(4)(g), state agencies must require all contractors,
including subcontractors, that provide consulting services for State purposes pursuant to a contract to submit an
annual employment report for each such contract, such report to include for each employment category within the
contract: (i) the number of employees employed to provide services under the contract, (ii) the number of hours they
work, and (iii) their total compensation under the contract. Consulting services are defined as analysis, evaluation,
research, training, data processing, computer programming, engineering, environmental, health, and mental health
services, accounting, auditing, paralegal, legal, or similar services.
Contractors selected for award on the basis of a procurement issued by DOCCS (Request for Proposals,
Mini-Bid, or Invitation for Bids) must complete Form A, State Consultant Services – Contractor’s Planned
Employment from Contract Start Date through the End of the Contract Term upon notification of award. The
completed Form A must include information for all employees that will be providing services under the contract,
whether employed by the contractor or by a subcontractor.
Contractors selected for award are also required to complete Form B, State Consultant Services
Contractor’s Annual Employment Report annually for each year of the contract term, on a State fiscal year basis.
The first report is due on May 15 for the period April 1 through March 31.
Form A must be submitted to DOCCS as the contracting agency, and Form B must be submitted to DOCCS
(as the contracting agency), the Department of Civil Service, and the Consultant Reporting Section of the Bureau of
Contracts at OSC, at the addresses provided in these instructions.
Form A, State Consultant Services – Contractor’s Planned Employment from Contract Start Date
through the End of the Contract Term and Form B, State Consultant Services Contractor’s Annual
Employment Report, are attached to these instructions. Please see these instructions for further information
regarding completion and submission of the forms.
INSTRUCTIONS
FORM A:
Upon notification of contract award, use Form A, State Consultant Services Contractor’s Planned
Employment From Contract Start Date Through the End of the Contract Term, attached to these instructions, to
report the necessary planned employment information prospectively from the start date through the end of the
contract term. This is a one-time reporting requirement.
Complete Form A for contracts for consulting services in accordance with the following:
•
Employment category: the specific occupation(s), as listed in the O*NET occupational classification
system, which best describe the employees anticipated to be providing services under the contract.
(Note: Access the O*NET database, which is available through the US Department of Labor’s Employment
and Training Administration, on-line at www.online.onetcenter.org to find a list of occupations.)
•
Number of employees: the total number of employees in the employment category anticipated to be
employed to provide services under the contract, including part time employees and employees of
subcontractors.
•
Number of hours to be worked: the total number of hours anticipated be worked by the employees in the
employment category.
•
Amount payable under the contract: the total amount payable by the State to the State contractor under
the contract, for work by the employees in the employment category, for services provided during the Report
Period.
Submit completed Form A within 48 hours of notification of selection for award to DOCCS (as the contracting
agency) at the address listed below.
RFP 2019-13 PREA Employee Training Curriculum
FORM A
New York State Consultant Services
Contractor’s Planned Employment
From Contract Start Date Through the End of the Contract Term
State Agency Name: NYS Department of Corrections and Community Supervision
State Agency Department ID: 3250226
Agency Business Unit: DOC01
Contractor Name:
Contract Number:
Contract Start Date: / /
Contract End Date: / /
Employment Category
Number of
Employees
Number of Hours
to be Worked
Amount Payable
Under the Contract
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
Total this Page
0.00
0.00
$ 0.00
Grand Total
Name of person who prepared this report:
Title: Phone #:
Preparer’s Signature:
Date Prepared: / /
(Use additional pages, if necessary) Page of
FORM B
New York State Consultant Services
Contractor’s Annual Employment Report
Report Period: April 1, to March 31,
Contracting State Agency Name: NYS Dept. of Corrections and Community Supervision
Contract Number:
Agency Business Unit: DOC01
Contract Term: / / to / /
Agency Department ID: 3250226
Contractor Name:
Contractor Address:
Description of Services Being Provided:
Scope of Contract (Choose one that best fits):
Analysis Evaluation Research Training
Data Processing Computer Programming Other IT consulting
Engineering Architect Services Surveying Environmental Services
Health Services Mental Health Services
Accounting Auditing Paralegal Legal Other Consulting
Employment Category
Number of
Employees
Number of
Hours Worked
Amount Payable
Under the Contract
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
0.00
0.00
$0.00
Total this Page
0.00
0.00
$ 0.00
Grand Total
Name of person who prepared this report:
Title: Phone #:
Preparer’s Signature:
Date Prepared: / /
(Use additional pages, if necessary) Page of
RFP 2019-13 PREA Employee Training Curriculum
RFP 2019-13 PREA Employee Training Curriculum
Disclosure of New York State Department of Corrections
and Community Supervision Information
THIS NONDISCLOSURE AGREEMENT is entered into as of , 20 by the
New York State Department of Corrections and Community Supervision (“DOCCS”) which is the
party disclosing confidential information, and (Contractor), which is the party receiving
confidential information (“Recipient’), in order to protect the confidential information which is
disclosed to the Recipient by DOCCS.
NOW THEREFORE, in consideration of the mutual covenants contained herein, the
parties hereto agree as follows:
1. The Recipient’s representatives for receiving confidential information are:
. Recipient shall not disclose the confidential
information to any of its employees other than those who have a need to review it and which
employees are legally obligated to honor the confidentiality provisions herein.
2. The confidential information disclosed by DOCCS under this Agreement is described
as: As stated in RFP 2019-13, and all personal information.
3. The Recipient shall keep the information confidential and shall use the confidential
information only for PREA Employee Training Curriculum Development. The Recipient shall not
make any copies of the confidential information except as necessary for its employees who are
entitled to view it under Section 1 above. Any copies made shall be identified as belonging to
DOCCS and marked “confidential” or with a similar legend.
4. The Recipient shall, where applicable, protect the confidential information in a manner
consistent with the Health Insurance Portability and Accountability Act (“HIPAA”) of 1996
Privacy and Security provisions and all other applicable regulations.
5. The Recipient shall comply with all Federal and State regulations intended to protect
criminal history records as they apply to the confidential information.
6. The Recipient shall comply with all DOCCS directives, policies, practices and
procedures as they apply to the protection of the confidential information.
7. The Recipient shall, in the event, of unauthorized disclosure of the confidential
information, immediately notify DOCCS, in writing, and fully comply with the requirements of
the New York State Breach Notification Act.
8. Any unauthorized disclosure of procurement information may subject Recipient to
criminal, civil, and/or administrative penalties.
9. To the extent permitted by law, the Recipient shall protect the disclosed confidential
information by using the same degree of care, but no less than a reasonable degree of care, to
prevent the unauthorized use, dissemination or publication of the confidential information as the
Recipient uses to protect its own confidential information of a like nature.
RFP 2019-13 PREA Employee Training Curriculum
10. The Recipient shall have a duty to protect all confidential information which is
disclosed to it, whether disclosed in writing, orally or in any other manner and which is identified
as confidential at the time of disclosure. If the disclosure is in writing, it shall be marked
“confidential.” If a disclosure is not in writing, DOCCS shall provide Recipient with a written
memorandum summarizing and designating such information as confidential within thirty (30)
days of the disclosure.
11. This agreement controls information that is disclosed to Recipient between
MONTH, DAY, 20** or upon OSC approval and through September 30, 2020 or contract end.
12. The Recipient’s duties under paragraph 3,4,5,6 & 7 of this Agreement shall expire (1)
year after the information is received. The recipient shall return or destroy all DOCCS confidential
information. All paper documents and any copies, made in accordance with #3 above, are to be
shredded. Electronically stored information is to be destroyed by shredding or securely wiping
the media.
13. This Agreement imposes no obligation upon the Recipient with respect to confidential
information which (a) was in the Recipient’s possession before receipt by DOCCS; (b) is or
becomes a matter of public knowledge through no fault of the Recipient; (c) is received by the
Recipient from a third party without a duty of confidentiality; (d) is disclosed by DOCCS to a third
party without a duty of confidentiality on the third party; (e) is independently disclosed by the
Recipient with DOCCS’ prior written approval; (f) is developed by the Recipient without reference
to information disclosed hereunder.
14. DOCCS warrants that it has the right to make the disclosure under this Agreement.
15. Neither party acquires any intellectual property under this Agreement.
16. Neither party has an obligation under this Agreement to purchase, sell or license any
service or item from the other party.
17. The Recipient shall adhere to U.S. Export Administration laws and Regulations and
shall not export or re-export technical data, information or products received from DOCCS or the
direct product of such technical data or information to any proscribed country listed in the U.S.
Export Administration Regulations, unless properly authorized by the U.S. Government.
18. The parties do not intend that any agency or partnership be created between them by
this Agreement.
19. All additions or modifications to this Agreement must be in writing and signed by both
parties.
20. This Agreement is made under and shall be governed by the laws of the State of New
York.
21. Neither party may assign its rights or obligations under this Agreement without the
written consent of the other party. Any assignment made without said consent shall be null and
void.
RFP 2019-13 PREA Employee Training Curriculum
22. The recipient shall indemnify and hold harmless DOCCS and the State of New York
from any and all suits, causes of actions, claims, grievances, damages, judgments, and costs of
every name and description under this Agreement, unless such injuries or damages are directly
attributable to the intentional acts or negligent conduct of DOCCS, the State of New York, or their
employees.
23. The failure of DOCCS to insist upon strict adherence to any provision or other
requirement of this Agreement shall not be considered a waiver to deprive DOCCS of the right to
insist upon strict adherence of the terms of this Agreement in the future.
24. If any provision, or portion thereof, of this Agreement is, or becomes, invalid under
any applicable statute or rule of law, it is to be deemed stricken and the rest of this Agreement
shall remain in full force and effect.
25. This Agreement may be terminated immediately by either party upon delivery of
written notice of termination to the other party. Such termination shall not affect Recipient’s duty
with respect to confidential information disclosed prior to termination.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the date
first above written.
NYS Department of Corrections and
Community Supervision
By:
Print Name: Melissa McLaughlin
Title: Director, Budget and Finance
Date:
By:
Print Name:
Title:___
Date:
RFP 2019-13 PREA Employee Training Curriculum
ENCOURAGING USE OF NEW YORK STATE BUSINESSES IN CONTRACT
PERFORMANCE
New York State businesses have a substantial presence in State Contracts and strongly
contribute to the economies of the state and the nation. In recognition of their economic
activity and leadership in doing business in New York State, Bidders for this contract for
commodities, services or technology are strongly encouraged and expected to consider
New York State businesses in the fulfillment of the requirements of the Contract. Such
partnering may be as subcontractors, suppliers, protégés or other supporting roles.
Bidders need to be aware that all authorized users of this Contract will be strongly
encouraged, to the maximum extent practical and consistent with legal requirements, to
use responsible and responsive New York State businesses in purchasing commodities
that are of equal quality and functionality and in utilizing services and technology.
Furthermore, Bidders are reminded that they must continue to utilize small, minority and
women-owned businesses, consistent with current State law.
Utilizing New York State businesses in State Contracts will help create more private
sector jobs, rebuild New York’s infrastructure, and maximize economic activity to the
mutual benefit of the Contractor and its New York State business partners. New York
State businesses will promote the Contractor’s optimal performance under the Contract,
thereby fully benefiting the public sector programs that are supported by associated
procurements.
Public procurements can drive and improve the State’s economic engine through
promotion of the use of New York businesses by its Contractors. The State therefore
expects Bidders to provide maximum assistance to New York businesses in their use of
the Contract. The potential participation by all kinds of New York businesses will deliver
great value to the State and its taxpayers.
Bidders can demonstrate their commitment to the use of New York State businesses
by responding to the question below:
Will New York State Businesses be used in the performance of this Contract?
Yes No
If yes, identify New York State Business(es) that will be used; (attach identifying
information).
RFP 2019-13 PREA Employee Training Curriculum
ATTACHMENT F
M/WBE and EEO Requirements & Forms
Form EEOPS (11/16)
Photocopy Locally as Needed
NEW YORK STATE DEPARTMENT OF CORRECTIONS AND COMMUNITY SUPERVISION
MINORITY/WOMEN-OWNED BUSINESS ENTERPRISES - EQUAL
EMPLOYMENT OPPORTUNITY POLICY STATEMENT
M/WBE AND EEO POLICY STATEMENT
I, (the awardee/contractor) agree to adopt the
following policies with respect to the project being developed or services rendered at
This organization will require its contractors and subcontractors to take good faith actions to achieve the M/WBE
contract participation goals and provide Equal Employment Opportunities set by NYS DOCCS for the State-
funded project by taking the following steps:
M/VVBE
(1) Actively and affirmatively solicit bids for contracts and
subcontracts from qualified State certified MBEs or WBEs,
including solicitations to M/WBE contractor associations.
(2) Utilize ESD Directory of State certified M/WBEs and solicit
bids from them directly.
(3) Ensure that plans, specifications, request for proposals
and other documents used to secure bids will be made
available in sufficient time for review by prospective M/WBEs.
(4) Where feasible, divide the work into smaller portions to
increase participation by M/WBEs and encourage the
formation of joint ventures and other partnerships among
M/WBE contractors to encourage their participation.
(5) Document and maintain records of bid solicitation,
including those to M/WBEs and the results thereof. The
Contractor will also maintain, or, where appropriate, require
its subcontractors to maintain and submit, as required by
DOCCS, records of actions that its subcontractors have taken
toward meeting M/WBE contract participation goals.
(6) Ensure that project payments to M/WBEs are made on a
timely basis so that undue financial hardship is avoided, and
that bonding and/or other credit requirements may be waived
and/or appropriate alternatives are developed to encourage
M/WBE participation.
EEO
(a) This organization will not discriminate against any employee
or applicant for employment because of race, creed, color,
national origin, sex, age, disability, sexual orientation, military
status, marital status, domestic violence victim status, arrest or
conviction record, or predisposing genetic characteristics, and
will undertake or continue existing programs of affirmative
action to ensure that minority group members are afforded
equal employment opportunities without discrimination, and
shall make and document its conscientious and active efforts to
employ and utilize minority group members and women in its
work force on state contracts.
(b) This organization shall state in all solicitation or
advertisements for employees that in the performance of the
State contract all qualified applicants will be afforded equal
employment opportunities without discrimination because of
race, creed, color, national origin, sex, age, disability, sexual
orientation, military status, marital status, domestic violence
victim status, arrest or conviction record, or predisposing
genetic characteristics.
(c) At the request of the contracting agency, this organization
shall request that each employment agency, labor union, or
authorized representative will not discriminate on the basis of
race, creed, color, national origin, sex, age, disability, sexual
orientation, military status, marital status, domestic violence
victim status, arrest or conviction record, or predisposing
genetic characteristics, and that such union or representative
will affirmatively cooperate in the implementation of this
organization's obligations herein.
(d) This organization will include the provisions of sections (a)
through (c) of this agreement in every subcontract in such a
manner that the requirements of the subdivisions will be binding
upon each subcontractor as to work in connection with the State
contract.
Agreed to this day of
,20
Sign:
Print:
-------------------
Title:
Page 1 of 2
1
Form EEOPS (11/16)
Photocopy Locally as Needed
Minority/ Women Business Enterprise Liaison
is
designated
as
the
Minority/Women
Business
Enterprise
Liaison (Name of Designated Liaison)
responsible for administering the Minority and Women-Owned Business Enterprises-Equal Employment
Opportunity (M/WBE-EEO) program.
M/WBE Contract Goals
%
Minority and Women's Business Enterprise Participation
%
Minority Business Enterprise Participation
%
Women's Business Enterprise Participation
(Authorized Representative)
Title:
Date:
Contact:
Department of Corrections and Community Supervision
Support Operations
/
Contract Procurement Unit
The Harriman State Campus
1220 Washington Ave
Albany, NY 12226
Page 2 of 2
EEO 100 (Rev 07/15)
Page 1 of2
PHOTOCOPY LOCALLY AS NEEDED
NEW YORK STATE DEPARTMENT OF CORRECTIONS AND COMMUNITY SUPERVISION
EEO STAFFING PLAN
(EQUAL EMPLOYMENT OPPORTUNITY)
SUBMIT WITH BID OR PROPOSAL
Solicitation No.:
Reporting Entity:
D
Contractor
D
Subcontractor
Report includes Contractor's:
D
Contractor's workforce to be utilized on this contract
D
Contractor's total workforce
D
Subcontractor's workforce to be utilized on this contract
D
Subcontractor's total workforce
Submit completed form to:
Department of Corrections and Community Supervision
Support Operations/ Contract Procurement Unit
The Harriman State Campus
1220 Washington Ave
Albany, NY 12226
Contractor/Subcontractor's Name:
Contractor/Subcontractor's Address:
FEIN: Telephone NO.:
E h
ber
of
emo10
1
ees
f,
h
classifi
EEO Job Category
Total
Work-
force
Workforce by
Gender
Workforce by
Race/Ethnic Identification
Total
Male
(M)
Total
Female
(F)
White (Not
Hispanic/Latino)
(M) (F)
Black (Not
Hispanic/Latino)
(M) (F)
Hispanic
or Latino
(M) (F)
Asian (Not
Hispanic/Latino
(M) (F)
American Indian or
Alaskan Native(Not
Hispanic/Latino)
(M) (F)
Disabled
(M) (F)
Veteran
(M) (F)
Executive/Senior Level
Officials & Managers
First Mid Level Officials &
Managers
Professionals
Technicians
Sales Workers
Administrative Support
Workers
Craft Workers
Operatives
Laborers and Helpers
EEO 100 (Rev 07/15)
Page 2 of2
PHOTOCOPY LOCALLY AS NEEDED
Service Workers
Totals
PREPARED BY (Signature):
TELEPHONE NO.:
E-MAIL ADDRESS:
DATE:
NAME AND
TITLE
OF PREPARER (Print or Type):
FOR AGENCY USE ONLY
REVIEWED BY:
I DATE:
General instructions: All Offerors
must complete an EEO Staffing Plan (EEO 100) and submit it as part of the bid or proposal package to the address provided. Where
the workforce to be utilized in the performance of the State contract can be separated out from the Contractor's total workforce, the Offeror shall complete this form only for
the anticipated workforce to be utilized on the State contract. Where the workforce to be utilized in the performance of the State contract cannot be separated out from the
Contractor's total workforce, the Offeror shall complete this form for the Contractor's current total workforce. Subcontractors awarded a subcontract over $25,000 for the
construction, demolition, replacement, major repair, renovation, planning or design of real property and improvements thereon (the "work") except where the "work" is for
the beneficial use of the Contractor must complete this form upon request of DOCCS.
Instructions for completing:
1.
Enter the Solicitation Number that this report applies to along with the name and address of the Offeror.
2.
Check off the appropriate box to indicate if the Offeror completing the report is the Contractor or a Subcontractor.
3.
Check off the appropriate box to indicate type of workforce being reported.
4.
Enter the total workforce by EEO job category.
5.
Break down the total workforce by gender and enter under the heading "Workforce by Gender."
6.
Break down the total workforce by race/ethnic background and enter under the heading "Workforce by Race/Ethnic Identification."
7.
Enter the name, title, phone number, and E-mail address for the person completing the form. Sign and date the form in the designated boxes.
RACE/ETHNIC IDENTIFICATION
Race/ethnic designations as used by the Equal Employment Opportunity Commission do not denote scientific definitions of anthropological origins. For the purposes of this
report, an employee may be included in the group to which he or she appears to belong, identifies with, or is regarded in the community as belonging. However, no person
should be counted in more than one race/ethnic group. The race/ethnic categories for this survey are:
WHITE
- (Not of Hispanic origin) All persons having origins in any of the original peoples of Europe, North Africa or the Middle East.
BLACK
- (Not of Hispanic origin) A person who has origins in any of the black racial groups of Africa.
HISPANIC or LATINO
-All persons of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish culture or origin, regardless of race
ASIAN
&
PACIFIC ISLANDER
-All persons having origins in any of the original peoples of the Far East, Southeast Asia or the Indian Subcontinent, including, for example,
Cambodia, China, India, Japan, Korea, Malaysia, Pakistan, the Philippine Islands, Thailand, and Vietnam. A person having origins in any of the original peoples of the Far
East, Southeast Asia, the Indian subcontinent, or the Pacific Islands.
AMERICAN INDIAN or ALASKAN NATIVE
- A person having origins in any of the original peoples of North or South America (including Central America), and who
maintains tribal affiliation or community recognition.
OTHER CATEGORIES
•
DISABLED INDIVIDUAL
-
Any
person who:
-
Has a physical or mental impairment that substantially limits one or more major life activity (ies)
-
Has a record of such an impairment; or
-
Is regarded as having such impairment.
•
VETERAN
- An individual who served in the military during time of war.
MiWBE 100 (Rev 07/15)
Page 1 of2
PHOTOCOPY LOCALLY AS NEEDED
NEW YORK STATE DEPARTMENT OF CORRECTIONS AND COMMUNITY SUPERVISION
M/WBE UTILIZATION PLAN
INSTRUCTIONS: This form must be submitted with any bid proposal or proposed negotiated contract. This Utilization Plan must contain a detailed
description of the supplies, purchases, and/or services to be provided by each certified Minority and Women-Owned Business Enterprise (M/WBE)
under the contract. Attach additional sheets if necessary.
Contactor's Name:
_
Address:
_
City, State, Zip Code:
_
Federal Identification Number:
_
Solicitation/Contract Number:
_
Telephone Number:
-
- .
..
-- - - --
..
--
1.
Certified M/WBE Subcontractors/Suppliers
Name, Address, Email Address, and
Telephone No.
2. Classification
3. Detailed Description of Work/Purchase
(Attach additional siieets, if necessary)
4. Dollar Value of Subcontracts/
Supplies/Services and intended
performance dates of each
component of the contract.
A.
NYS ESD CERTIFIED
0MBE 0WBE
Federal ID No.
B.
NYS ESD CERTIFIED
0MBE 0WBE
Federal ID No.
C.
NYS ESD CERTIFIED
0MBE 0WBE
Federal ID No.
IF UNABLE TO FULLY MEET THE MBE AND WBE GOALS SET FORTH IN THE CONTRACT, CONTRACTOR MUST SUBMIT A REQUEST FOR WAIVER. TO THE
CONTRACTING UNIT.
Submission of this form constitutes the Contractor's acknowledgement and agreement to comply with the M/WBE requirements set forth under NYS Executive Law, Article 15-A and 5 NYCRR Part 142.
Failure
to
submit complete and accurate information may result in a finding of noncompliance or rejection of the bid/proposal and/or suspension or termination of the contract
NAME AND TITLE OF PREPARER (Print or Type):
SUBMIT COMPLETED FORM TO:
Department of Corrections and Community Supervision
Support Operations / Contract Procurement Unit
The Harriman State Campus
1220 Washington Ave
Albany, NY 12226
MNVBE 100 (Rev 07/15)
Page2 of2
PHOTOCOPY LOCALLY AS NEEDED
SIGNATURE AND DATE:
FOR AGENCY USE ONLY
REVIEWED BY:
DATE:
UTILIZATION PLAN APPROVED: 0 YES ONO Date:
Contract No:
Contract Award Date:
Estimated Date of Completion:
Amount Obligated Under the Contract:
NOTICE OF DEFICIENCY ISSUED: 0 YES O NO Date:
NOTICE OF ACCEPTANCE ISSUED: 0 YES O NO Date:
Instructions:
1.
Contractor Information: Enter contractor name, address, and federal employer identification number (FEIN).
2.
Region/Location of Work: Enter region/location of work or facility name.
3.
Project M/WBE Goals: Enter M/WBE Project Goals. These goals are to be accomplished by subcontracting with NYS certified M/WBE's.
4.
Subcontractor: NYS Certified M/WBE Information: Enter name of certified M/WBE, address, telephone number, and Federal ID number. Verify in
the Directory of Certified Minority and Women-Owned Businesses available at: www.esd.ny.gov/mwbe.html that they are a NYS certified minority
or women-owned business.
5.
Indicate certification type: MBE, WBE or both by checking the appropriate boxes, Y (Yes) or N (No).
6.
Describe the type of services the M/WBE vendors will provide in relation to the contract, and estimate the amount the contractor will spend with
these vendors.
Special Note: This section does not need to be completed if the contractor is a certified minority and women-owned business enterprise (dual
certified) and responsible for one hundred percent of the contract performance. If this is the case, proceed to the signature section and attach a
printout from the Directory of Certified Minority and Women-Owned Businesses available at: www.esd.ny.gov/mwbe.html showing the
Contractor is a dual New York certified M/WBE. If the contractor is a NYS certified minority-owned business enterprise (MBE) or women-
owned business enterprise (WBE), this section needs to be completed to satisfy the goal for which the Contractor is not certified. For example,
if the Contractor is a NYS certified MBE, the Contractor is required to subcontract with a NYS certified WBE to achieve the WBE project goals.
7.
Signature Section: Sign, print name, and date.
RFP 2019-13 PREA Employee Training Curriculum
ATTACHMENT G
Diversity Practices Questionnaire
RFP 2019-13 PREA Employee Training Curriculum
Diversity Practices Questionnaire
I, , as (title) of
firm or company (hereafter referred to as the company), swear
and/or affirm under penalty of perjury that the answers submitted to the following
questions are complete and accurate to the best of my knowledge:
1.
Does your company have a Chief Diversity Officer or other individual who is tasked
with supplier diversity initiatives?
(circle one) YES or NO
If YES, provide the name, title, description of duties, and evidence of initiatives performed
by this individual or individuals.
NAME:
TITLE:
DUTIES and EVIDENCE of INITIATIVES PERFORMED:
2.
What percentage of your company’s gross revenues (from your prior fiscal year) was
paid to New York State certified minority and/or women-owned business enterprises as
subcontractors, suppliers, joint-venturers, partners or other similar arrangement for the
provision of goods or services to your company’s clients or customers?
PERCENTAGE: %
3.
What percentage of your company’s overhead (i.e. those expenditures that are not
directly related to the provision of goods or services to your company’s clients or
customers) or non-contract-related expenses (from your prior fiscal year) was paid to New
York State certified minority- and women-owned business enterprises as
suppliers/contractors?
1
PERCENTAGE: %
1
Do not include onsite project overhead.
RFP 2019-13 PREA Employee Training Curriculum
4.
Does your company provide technical training
2
to minority- and women-owned
business enterprises?
(circle one) YES or NO
If YES, provide a description of such training which should include, but not be limited to,
the date the program was initiated, the names and the number of minority- and women-
owned business enterprises participating in such training, the number of years such
training has been offered and the number of hours per year for which such training occurs.
5.
Is your company participating in a government approved minority- and women-owned
business enterprise mentor-protégé program?
(circle one) YES or NO
If YES, identify the governmental mentoring program in which your company participates
and provide evidence demonstrating the extent of your company’s commitment to the
governmental mentoring program.
6.
Does your company include specific quantitative goals for the utilization of minority-
and women-owned business enterprises in its non-government procurements?
(circle one) YES or NO
If Yes, provide a description of such non-government procurements (including time
period, goal, scope and dollar amount) and indicate the percentage of the goals that were
attained.
2
Technical training is the process of teaching employees how to more accurately and thoroughly perform the technical
components of their jobs. Training can include technology applications, products, sales and service tactics, and more. Technical
skills are job-specific as opposed to soft skills, which are transferable.
RFP 2019-13 PREA Employee Training Curriculum
7.
Does your company have a formal minority- and women-owned business enterprise
supplier diversity program?
(circle one) YES or NO
If YES, provide documentation of program activities and a copy of policy or program
materials.
8.
Does your company plan to enter into partnering or subcontracting agreements with
New York State certified minority- and women-owned business enterprises if selected as
the successful respondent?
(circle one) YES or NO
If YES, complete the attached Utilization Plan
All information provided in connection with the questionnaire is subject to audit and any
fraudulent statements are subject to criminal prosecution and debarment.
Signature of
Owner/Official
Printed Name of
Signatory
Title
Name of Business
Address
City, State, Zip
STATE OF )
) SS.:
COUNTY OF )
On the day of , 201 , before me, the undersigned, a Notary Public
in and for the State of , personally appeared ,
personally known to me or proved to me on the basis of satisfactory evidence to be the individual
whose name is subscribed to this certification and said person executed this instrument.
Notary Public
RFP 2019-13 PREA Employee Training Curriculum
ATTACHMENT H
Bid Submission Checklist
RFP 2019-13 PREA Employee Training Curriculum
New York State Department of Corrections and Community Supervision
Bid Submission Checklist
All Bidders must complete and submit the Bid Submission Checklist to certify that all required
information, including mandatory forms and document requirements for the RFP, have been
completed and/or met and included in this bid submission.
Check
Box
Checklist Item
Number of
Originals
Number of
Exact
Copies
Application Cover Sheet (see Attachment B) & Cover Letter
1
1
Part I Response to Mandatory Requirements and Mandatory Forms
and Document Requirements
Bidder’s Response to Mandatory Requirements (see Section XI,
A) and submission at least three (3) Corrections or Law Enforcement
reference letters
1
1
Procurement Lobbying Certification - SFL §139-j and
§139-k (Attachment E.1)
1
1
Vendor Responsibility Questionnaire (see Section IX.A.2):
--OR--
Paper Questionnaire Submission
1
1
M/WBE – EEO Policy Statement (Attachment F)
1
1
EEO Staffing Plan (Attachment F)
1
1
EEO 177 and State Finance Law § 139-l Certification
(Attachment E.3)
1
1
Bid Submission Checklist (this form)
1
1
Signed copies of all addenda released for this solicitation
1
1
Original Mandatory Intent to Bid Form (Attachment K)
1
1
Part II Technical Proposal Submittal
Technical Proposal (see Section XI B)
3
1
Part III Diversity Practices Questionnaire
Diversity Practices Questionnaire (Attachment G)
3
1
Part IV Cost Proposal Submittal
Cost Proposal Form (Attachment C) *
3
1
Electronic Copy of all Bid Documents in PDF format (i.e. USB
Flash drive, CD, etc.)
1
N/A
* Note: Cost Submittal must be in a sealed envelope labeled “RFP 2019-13 Cost Proposal.”
AUTHORIZED SIGNATURE COMPANY NAME
PRINTED NAME TITLE
DATE
RFP 2019-13 PREA Employee Training Curriculum
ATTACHMENT I
DOCCS Directives & Training Manual 7.150
,''
-"-
.
...
.
·
NEW
YORK
STATE.
·
...
/ ;;;;;"'
Corrections and
Community Supervision
TITLE
Fingerprinting/Criminal
History Inquiry - New
Employees, and
Contractors
NO.
2216
DATE
8/15/2017
DIRECTIVE
SUPERSEDES
DIR# 2216 Dtd. 09/17/2015
DISTRIBUTION
I
P
AG
E
S
A
PAGE
1
OF
9
D ATE LAST REVISED
REFERENCES (Include but are not limited to)
Dir. #2112, #4750; OSC Bulletin #231; ACA Standard 4-4061;
DCJS Use and Dissemination Agreement.
A
PPRO
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ING
AUTH
O
RI
TY
{
tfLJJ1
I.
POLICY:
All employees and contractors of the Department of Corrections and Community
Supervision (DOCCS) will be subjected to a criminal history inquiry in order to obtain
background information pertinent to the security of operations, to verify data on employment
applications, and to receive notification when Department employees are arrested.
Employees and contractors may also be fingerprinted in accordance with this directive. This
policy applies to all titles as defined in Section II, Definitions.
II.
DEFINITIONS
A.
Employee: An individual paid either annually, by calendar, 21 pay periods, or by a fee
to perform duties within a correctional facility.
B.
Part Time/Half Time Employee: An annual salaried employee whose work schedule is
less than 100 percent of the time.
C.
Per-Diem Employee: An employee that is not annual salaried who is paid on an hourly
basis.
D.
Extra Service Employee: A State employee who renders a service to an agency, office,
or correctional facility other than the one in which they are regularly employed on a full-
time basis. Extra service employees are salaried by the agency, office, or facility the
employee renders service to.
E.
Outside Agency Employee: A State employee who is employed by an agency other
than DOCCS, whose work assignment is within a DOCCS office or facility (e.g.,
Information Technology Services (ITS), Office of Mental Health (OMH), Department of
Motor Vehicles (OMV) staff).
F.
Contract Service Provider/Consultant: A non-State employee who provides, under a
formal agreement, a service to the facility but does not receive direct compensation as
salary from the Department and whose duties are not performed under the direct
supervision of security staff (e.g., Registered Nurse, Optometrist, Computer Software
Engineer, etc.).
G.
Contractor: A non-State employee who provides under a formal agreement, material,
labor, repair or maintenance on facility property, but does not receive direct
compensation as salary from the Department.
H.
Volunteer: A volunteer is a person who is authorized to provide a service to DOCCS or
its inmates without any compensation from any source. Refer to Directive #4750,
"Volunteer Services Program," for processing direction.
NO. 2216, Fingerprinting/Criminal History Inquiry - New Employees, and Contractors
DATE 8/1512017
PAGE 2
of
9
111.
CRIMINAL HISTORY INQUIRIES
A.
Employee
1.
Correction Officer and Peace Officers:
Criminal history inquiries shall be
conducted on all Peace Officer applicants by the Department's Employee
Investigation Unit (EIU) as part of the pre-employment investigation
2.
NOTE:
NOTE:
NOTE:
3.
Non-Uniform (Civilian) Employees:
Criminal history inquiries shall be conducted on
all non-uniform (civilian) staff. Superintendents, Regional Directors, Central Office
Personnel, or their designees shall request a criminal history inquiry on individuals
by transmitting Form EF CH FORMLIBRARY, "Criminal History Check," via the
mainframe to 999EIU. The criminal history inquiry must be submitted to EIU and
the EIU response must be received prior to the first day of employment.
Derogatory criminal history information received in response to inquiries will be
referred to the Director of Personnel for review.
Summer School Teachers: Prior to the start of each summer session, facilities
must request a criminal history inquiry be conducted.
Paid interns will be processed as employees.
Non-paid interns will be processed as volunteers.
Per Diem Employees:
Criminal history inquiries shall be conducted in the same
manner as non-uniform (civilian) staff. (See Section 111-A-2 above)
4.
Extra Service Employee:
Criminal history inquiries shall not be conducted on extra
service employees that are permanent DOCCS staff. Criminal history inquiries
shall be conducted on all extra service employees that are not DOCCS Staff.
Superintendents, Regional Directors, Central Office Personnel, or their designee
shall request a criminal history inquiry on individuals by transmitting Form EF CH
FORMLIBRARY, "Criminal History Check," via the mainframe to 999EIU. The
criminal history inquiry must be submitted to EIU and the EIU response must be
received prior to the first day of employment. Derogatory criminal history
information received in response to inquiries will be referred to the Director of
Personnel for review.
B.
Outside Agency Employees
1. /TS: Screening will be performed initially by New York State Police (NYSP).
DOCCS will not receive notifications on clean hires. DOCCS will not receive
notifications on automatic disqualifications. DOCCS (EIU@doccs.ny.gov) will
receive notifications of "hits" on prospective ITS hires that do not automatically
disqualify under Criminal Justice Information Services (CJIS), but who ITS wants to
place here, so that DOCCS can review to determine suitability. EIU will refer "hits"
to Office of Special Investigations (OSI); OSI will confer with the Chief Information
Officer to determine suitability.
NO.
2216, Fingerprinting/Criminal History Inquiry
-
New Employees, and Contractors
DATE 8/15/2017
PAGE 3 of 9
2.
OMV: Criminal history inquiries shall be conducted on all OMV employees whose
work assignment is within a DOCCS office or facility. Superintendents, Regional
Directors, Central Office Personnel, or their designee shall request a criminal
history inquiry on individuals by transmitting Form EF CH FORMLIBRARY,
"Criminal History Check," via the mainframe to 999EIU. The criminal history inquiry
must be submitted to EIU and the EIU response must be received prior to the first
day of employment. Derogatory Criminal history information received in response
to inquiries will be referred to the Director of Personnel for review.
3.
OMH: Criminal history inquiries shall be conducted on all OMH employees whose
work assignment is within a DOCCS office or facility. Superintendents, Regional
Directors, Central Office Personnel, or their designee shall request a criminal
history inquiry on individuals by transmitting Form EF CH FORMLIBRARY,
"Criminal History Check," via the mainframe to 999EIU. The criminal history inquiry
must be submitted to EIU and the EIU response must be received prior to the first
day of employment. Derogatory Criminal history information received in response
to inquiries will be referred to the Director of Personnel for review.
C. Contract Service Providers: Criminal history inquiries shall be conducted on all contract
service providers. Superintendents, Regional Directors, Central Office Personnel, or
their designee shall request a criminal history inquiry on individuals by transmitting Form
EF CH FORMLIBRARY, "Criminal History Check," via the mainframe to 999EIU. The
criminal history inquiry must be submitted to EIU and the EIU response must be
received prior to the first day of employment. Derogatory Criminal history information
received in response to inquiries will be referred to the Director of Personnel for review.
D. Contractors: Criminal history inquiries shall be conducted on all contractors.
Superintendents, Regional Directors, Central Office Personnel, or their designee shall
request a criminal history inquiry on individuals by transmitting Form EF CH
FORMLIBRARY, "Criminal History Check," via the mainframe to 999EIU. The criminal
history inquiry must be submitted to EIU and the EIU response must be received prior to
contractor entry into any DOCCS facility/office. Derogatory Criminal history information
received in response to inquiries will be referred to the Director of Personnel,
Superintendent, Regional Director, OSI, or designees as appropriate for review.
E. Volunteers: See directive #4750, "Volunteer Services Program," Section V-C-3
**UNDER NO CIRCUMSTANCE WILL YOUTHFUL OFFENDER (YO), JUVENILE
DELINQUENT (JD), OR JUVENILE OFFENDER (JO) INFORMATION BE RELEASED
FROM THE EMPLOYEE INVESTIGATIONS UNIT (EIU).**
IV.
FINGERPRINTING
A. Responsibility
1. Correction Officer and Peace Officer applicants requiring pre-employment
screening shall be fingerprinted by EIU at the time of the initial background
interview. Fingerprint responses (RAP Sheets) will be retained in the background
investigation file in EIU.
NO.
2216, Fingerprinting/Criminal History Inquiry
-
New Employees, and Contractors
DATE 8/15/2017
PAGE 4 of 9
2. Non-uniform (civilian) staff will be fingerprinted on the initial date of employment.
Central Office employees shall be fingerprinted by the Bureau of Personnel at EIU;
facility employees shall be fingerprinted by the facility ID Officer. Community
Supervision employees shall be fingerprinted by trained staff on the FBI FD-258
APPLICANT card (blue). The fingerprints will be forwarded to EIU for processing
immediately. Fingerprint responses (RAP Sheets) will be forwarded to the
originating facility/office by the EIU. Responses that contain derogatory information
that was not revealed when the criminal history inquiry was processed for
employees and per diem employees will be reviewed by the Bureau of Personnel in
Central Office (see also Directive #2112, "Report of Criminal Charges").
*NOTE: Teachers, Vocational Instructors, and other 10-month employees assigned to
the regular school year will be fingerprinted only once, even when they do not work the
summer session. Summer School TeachersNocational Instructors will be fingerprinted
only once as long as they work every consecutive summer. If there is a break in service
and they fail to work one summer, they will be treated as a new employee during future
summers, fingerprinted and charged the applicable fee.
NOTE: Paid interns are processed as civilian employees.
NOTE: Non-paid Interns are processed and fingerprinted as volunteers.
3. Per Diem employees shall be processed iii the same manner as non-uniform
(civilian) staff (see Section
111-2
above).
4. Extra service employees who are permanent DOCCS employees will not be
fingerprinted. Extra service employees who are not DOCCS employees but are
assigned to the Department's facilities, Community Supervision offices, or to
Central Office will be fingerprinted on the initial date of assignment. Fingerprints
will be taken on the FBI FD-258 Applicant card (blue). A journal voucher (JV) must
accompany all fingerprint cards in order to provide the required processing fee.
Failure to submit the JV will result in a delay in processing. Fingerprint response
(RAP sheets) will be retained by EIU. Responses that contain derogatory
information that was not revealed when the criminal history inquiry was processed
for extra service employees will be reviewed by the Bureau of Personnel in Central
Office. Upon notification from personnel to proceed, EIU will notify the
sender/submitter of the prints via e-mail and confirm the transaction was successful
and there is now a RAP sheet on file at EIU. Where it has been determined that
the extra service employee shall no longer enter DOCCS facilities/offices EIU will
notify the Superintendent, Regional Director, Division Head, or their designee.
5. Outside Agency Employees
a.
ITS employees screening will be performed initially by New York State Police
(NYSP). DOCCS will not receive notifications on clean hires. DOCCS will not
receive notifications on automatic disqualifications. DOCCS
([email protected]) will receive notifications of "hits" on prospective ITS hires
that do not automatically disqualify under CJIS, but who ITS wants to place
here, so that DOCCS can review to determine suitability. EIU will refer "hits"
to OSI; OSI will confer with the Chief Information Officer to determine
suitability.
NO. 2216, Fingerprinting/Criminal History Inquiry - New Employees, and Contractors
DATE 8/15/2017
PAGE 5 of 9
b.
OMV staff assigned to the Department's Facilities, Community Supervision
Offices, or to Central Office will be fingerprinted on the initial date of
assignment. Fingerprints will be taken on the FBI FD-258 APPLICANT card
(Blue) and submitted to EIU. A JV must accompany all fingerprint cards in
order to provide the required processing fee. Failure to submit the JV will
result in a delay in processing. Fingerprint responses (RAP sheets) will be
retained by EIU. Responses that contain derogatory information that was not
revealed when the criminal history inquiry was processed for OMV employees
will be reviewed by the Director of Personnel. Upon notification from
Personnel to proceed, EIU will notify the sender/submitter of the prints via e-
mail and confirm the transaction was successful and that there is now a RAP
sheet on file at EIU. Where it has been determined that the OMV employee
shall no longer enter DOCCS facilities/offices EIU will notify the
Superintendent, Regional Director, Division Head, or their designee.
c.
OMH staff assigned to the Department's facilities will be fingerprinted on the
initial date of assignment. Fingerprints will be taken on the FBI FD-258
APPLICANT card (Blue) and submitted to EIU. A JV must accompany all
fingerprint cards in order to provide the required processing fee. Failure to
submit the JV will result in a delay in processing. Fingerprint responses (RAP
sheets) will be retained by EIU. Responses that contain derogatory
information that was not revealed when the criminal history inquiry was
processed for OMH employees will be reviewed by the Director of Personnel.
Upon notification from the Bureau of Personnel to proceed, EIU will notify the
sender/submitter of the prints via e-mail and confirm the transaction was
successful, and that there is now a RAP sheet on file at EIU. Where it has
been determined that the OMH employee shall no longer enter DOCCS
facilities/offices, EIU will notify the Superintendent, Regional Director, Division
Head, or their designee.
Note: OMH staff are exempt from providing their Social Security Number to
DOCCS for the purposes of criminal history inquiry and fingerprinting as
outlined in this directive.
6. Contract Service Providers and Consultants will be fingerprinted on the initial date
of assignment. Central Office assignments shall be fingerprinted by the Bureau of
Personnel at EIU, facility assignments shall be fingerprinted by the facility ID
Officer, and Community Supervision assignments shall be fingerprinted by trained
staff on the FBI FD-258 APPLICANT card (blue) and submitted to EIU. A JV must
accompany all fingerprint cards in order to provide the required processing fee.
Failure to submit the JV will result in a delay in processing. Fingerprint response
(RAP sheet) will be retained by EIU. Responses that contain derogatory
information that was not revealed when the criminal history inquiry was processed
for Contract Service Providers will be reviewed by the Director of Personnel. Upon
notification from the Bureau of Personnel to proceed, EIU will notify the
sender/submitter of the prints via e-mail and confirm the transaction was
successful, and that there is now a RAP sheet on file at EIU. Where it has been
determined that the Contract Service Provider shall no longer enter DOCCS
facilities/offices, EIU will notify the Superintendent, Regional Director, Division
Head, or their designee.
NO. 2216, Fingerprinting/Criminal History Inquiry - New Employees, and Contractors
DATE 8/15/2017
PAGE6of9
NOTE: If the contract service provider employee is working at more than one
facility, the facility should contact EIU at (518) 485-9500 to determine if fingerprints
were previously submitted by another facility. It will only be necessary for one set
of fingerprints to be submitted.
7. Contractors who work within any DOCCS facility or office will be fingerprinted
where the Superintendent, Regional Director, Division Head, or their designee has
determined that based on the nature of the anticipated work a contractor will have
direct contact with inmates, or the contract provides for six months or more of
services. Direct contact with inmates means contact beyond incidental contact;
such as direct contact with inmates while providing the contracted service, or
contact with inmates while the contractor is performing work in an operational
program or housing area. Correctional facility contractor fingerprints will be taken
by the facility ID Officer. Community Supervision contractors shall be fingerprinted
by trained staff within in the Community Supervision Offices. Central Office or
Training Academy contractors shall be fingerprinted at EIU on the FBI FD-258
APPLICANT card (Blue) and submitted to EIU. A JV must accompany all
fingerprint cards in order to provide the required processing fee. Failure to submit
the JV will result in a delay in processing. EIU will notify the sender/submitter of
the prints via e-mail and confirm the transaction was successful and there is now a
RAP sheet on file at EIU. EIU will also include any discrepant information that may
have been revealed on the RAP sheet that was not included with the initial criminal
history inquiry.
NOTE: Contractors may be working at more than one facility/office; the
facility/office should contact EIU at (518) 485-9500 to determine if fingerprints were
previously submitted by another facility. It will only be necessary for one set of
fingerprints to be submitted.
8. Volunteers: See Directive #4750, Section V-C-3.
**UNDER NO CIRCUMSTANCE WILL YOUTHFUL OFFENDER (YO), JUVENILE
DELINQUENT (JD), OR JUVENILE OFFENDER (JO) INFORMATION BE RELEASED
FROM THE EMPLOYEE INVESTIGATIONS UNIT (EIU).**
B. Fingerprint Cards*: The processing person shall verify the identity of the person being
fingerprinted via a valid government issued picture ID, enter all pertinent data by
following the instructions on the card, take the prints using the "rolled impression"
method in the numbered print blocks, and the "plain impression" method in the lower
row of blocks, secure the signature of the person being fingerprinted, and then sign as
the official taking the fingerprints. To avoid delay in processing of fingerprint cards be
sure to complete cards clearly and legibly. To reorder fingerprint cards contact EIU at
518-485-9500.
FBI FD-258 APPLICANT card (blue) card shall be completed for all titles as defined in
Section II of this directive and forwarded to:
NYS DOCCS
Attn: EIU
1220 Washington Avenue
Albany, NY 12226 - 2050.
*See the summary Processing Chart, Attachment A.
NO. 2216, Fingerprinting/Criminal History Inquiry - New Employees, and Contractors
DATE 8/15/2017
PAGE7of9
C. Fees*
1. Correction Officer and Peace Officer applicants requiring pre-employment
screening at EIU must pay the fingerprint processing fee. The $75 fingerprint
processing fee will be made via a U.S. Postal Money Order at the time the
applicant is live scanned at EIU.
2. New non-uniform (civilian) staff will have the $75 fingerprint processing fee taken
out of their first full paycheck via payroll deduction. When these employees are
fingerprinted on the first day of work, the personnel office must notify their payroll
office that a fingerprint deduction (per OSC payroll Bulletin #231) needs to be
processed. If a non-uniformed civilian staff employee separates from service
before they receive a full check, the facility MUST obtain the fingerprint fee from
any money the employee is due. It is the responsibility of the facility to obtain the
fingerprint fee from the employee. Failure to obtain the fingerprint fee will result in
the facility making payment from the facility funds to make the fingerprint fee
account whole.
3. Per Diem Employees and Physicians must pay the fingerprint processing fee. The
$75 fingerprint processing fee will be made via a U.S. Postal Money Order which
should accompany the fingerprints when they are forwarded to the EIU.
4. Extra Service Employees that are not permanent Department employees assigned
to the Department's facilities, Community Supervision offices, or to Central Office
will have the fingerprint processing fee paid via JV by the facility/office submitting
the fingerprints.
5. Outside Agency Employees assigned to the Department's facilities, Community
Supervision offices, or to Central Office will have the fingerprint processing fee paid
via JV by the facility/office submitting the fingerprints.
6. Contract Service Providers assigned to the Department's facilities, Community
Supervision offices, or to Central Office will have the fingerprint processing fee paid
via JV by the facility/office submitting the fingerprints.
7. Contractors assigned to the Department's facilities, Community Supervision offices,
or to Central Office will have the fingerprint processing fee paid via JV by the
facility/office submitting the fingerprints.
8. Volunteers: Persons who are deemed a volunteer will not be charged a fee per the
DCJS Use and Dissemination Agreement.
*See the summary Processing Chart, Attachment A.
D. Audits: Periodic audits of all facilities will be conducted by EIU for compliance of
fingerprint submission and collection of fees. Where it has been found that an
employee has left service before the fee was collected, in accordance with the
procedures of this directive, EIU will notify the facility (DSA and Steward) and the
Director of Budget and Finance of the person that left owing fingerprint fees and how
much. The Central Office Division of Budget and Finance will contact the facility to
process their end of the JV and forward it to Central Office for processing to move the
money into the fingerprint fee account.
E. If suspect information on matters with potential terrorism connections is returned during
any inquiry, it shall
be
forwarded to the local joint terrorism task force or similar agency.
NO. 2216, Fingerprinting/Criminal History Inquiry - New Employees, and Contractors
ATTACHMENT A
DATE 8/15/2017 PAGE8of9
The following Processing Chart summarizes the fingerprint processes:
Staff
Criminal
History Inquiry
(prior to entry
or employment
in any DOCCS
facility or
office)
Who takes
fingerprints
When to take
fingerprints
What
fingerprint
card to use
Collect Fee?
Submit to
Correction Officer
Parole C'lfficer
Parole Officer
Trairn,f:
Warrant and
Transfer Officer
Institution Safety
Officer
YES
EIU
Pre-
employment
Screening
Live Scan
YES
($75 US Postal
Money Order)
EIU
Non-uniform
(civilian) staff
Paid Interns
YES
C- Personnel
F- ID Officer
Initial date of
hire
FBI FD- 258
Payroll
Deduct'
EIU
Per D1ern
Employees
YES
C- Personnel
F- ID Officer
Initial date of
hire
FBI FD- 258
YES
($75 US Postal
Money Order)
EIU
Outside Agency
Staff
OMH
c:.
OMV Staff
YES
C- Personnel
F- ID Officer
First day in
facility
FBI FD- 258
$75 Journal
Voucher
EIU
Extra Service
Employees
'YES
C- Personnel
F- ID Officer
*Initial date of
hire
FBI FD-258
$75 Journal
Voucher
EIU
Contract Service
Provider
Consultm1ts
YES
C- Personnel
F- ID Officer
First day in
facility
FBI FD-258
$75 Journal
Voucher
EIU
C
=
Central Office or Community Supervision Offices
F = Facility
*Extra Service Employees that are currently permanent employees of DOCCS will not need a
criminal history inquiry or fingerprints.
This Processing chart continues on the next page.
ATTACHMENT A continued
NO. 2216, Fingerprinting/Criminal History Inquiry - New Employees, and Contractors
DATE 8/15/2017 PAGE9of9
Contrnctor
YES
C- Personnel
F- ID Officer
**As
determined by
Superintendent
-or-
Regional
Director,
Division Head.
-or-
Designee**
FBI FD- 258
$75Journal
Voucher
EIU
I11format1on
Technology Services
(ITS) Employee
NYSP
NYSP
Pre-
employment
Nii'<
NIA
N/A
C = Central Office or Community Supervision Offices
F = Facility
**
Mandatory where it has been determined that based on the nature of the anticipated work, a
contractor will have other than incidental contact with inmates; such as contact with inmates
while the contractor is not under direct supervision by security staff. (Direct staff supervision
means that security staff is in the same room with, and within reasonable hearing distance of,
the resident or inmate). Also, if the contract provides for six months or more of work, the
prospective contractor will be fingerprinted.
STATE OF NEW YORK
DEPARTMENT OF CORRECTIONS
AND COMMUNITY SUPERVISION
DIRECTIVE
TITLE
Information Security Policy
NO.
2810
DATE
09/02/2014
SUPERSEDES
DIR# 2810 Dtd. 01/05/2012
DISTRIBUTION PAGES
A
PAGE
1
OF
14
DATE LAST REVISED
RffERENCES (Include but are not limited to)
APPROVING AUTHORITY
I.
PURPOSE:
To set forth procedures for the implementation and maintenance of controls to protect the
confidentiality, integrity, and availability of the Department's information assets and computer infrastructure
and to define specific controls necessary to support that purpose within the Department's unique operating
environment.
II.
POLICY:
The Department of Corrections and Community Supervision (DOCCS) computer resources must be
restricted from unauthorized access and used in a manner that is consistent with DOCCS security policies and
procedures citied herein, and the New York State Office of Cyber Security (OCS) and the New York State
Office of Information Technology Services (ITS) security requirements and, wherever practical, industry best
practice standards. DOCCS computer resources may be used solely in the conduct of official Departmental
business except for incidental personal use that do not conflict with the proper exercise of the duties of the State
employee.
Pursuant to Governor Cuomo's Executive Order No. 2, "Review, Continuation and Expiration of Prior
Executive Orders," one of the Executive Orders issued by former Governor David A. Patterson that is being
continued is Executive Order No. 7, issued June 18, 2008 ("Prohibition against Personal Use of State Property
and Campaign Contributions to the Governor"). Employees should make themselves familiar with this
mandate, in particular, the Section pertaining to the personal use of State property as contained in Section B,
"Prohibition Against the Personal Use of State Property;" paragraph (d), which states:
"State computers shall
be used only for official business, except that State computers may be used for incidental and necessmy
personal purposes, such as sending personal electronic messages, provided that such use is in a limited amount
and duration and does not conflict with the proper exercise of the duties of the State employee."
This is
available at "www.nv.gov/governor," through the Executive Orders link.
All DOCCS physical locations must have a designated Computer Security Coordinator (CSC) and Data
Processing Liaison (DPL).
The requirements contained herein shall be maintained and updated as necessary, and as determined by the
DOCCS Information Security Officer (ISO), to ensure consistency with the above standards, guidelines, and
practices as well as applicable regulatory requirements.
III.
APPLICABILITY:
The provisions of this directive are applicable to all DOCCS computer resources and all
personnel using those resources.
IV.
SECURITY
A.
Asset Management
I.
All requests for new, replacement, or additional IT equipment or software including surplus or
donated items must follow the DOCCS standard process, including the use of the E-Form #MIS106
as detailed in Directive #2822, "Request for Information Technology Hardware
Acquisition/Relocation/Removal." Questions concerning that process should be directed to the
designated CSC or the ITS Public Safety Contact Center.
NO. 2810, Information Security Policy
PAGE 2 of 14
DATE
09/02/2014
2.
All computer data storage media (e.g., tapes, disks, diskettes, cartridges, cassettes, USB drives, etc.)
shall be "sanitized" and all data permanently erased and cleared prior to being repurposed and
reissued within DOCCS.
3.
The correctional facility, Central Office, or other DOCCS location DPL or designee will ensure that
proper inventory records of all software and computer equipment are kept in a secure manner. A
copy of inventory records will be maintained by each facility, with a copy provided to ITS at least
annually. All inventory policies are governed by and detailed in DOCCS Directive #2944,
"Equipment Control," and DOCCS Directive #2948, "Reporting Loss of Issued Items."
4.
Facility computer equipment shall be relocated only after written permission is obtained from ITS
through the E-Form #MIS106. Notification of the move of any microcomputer equipment shall be
recorded on the Personal Computer Equipment Inventory Form, found in the Facility Data
Processing Liaison Manual and forwarded to the facility Business Office for local inventory
control. Central Office and other DOCCS location relocation requests must be forwarded to the ITS
Public Safety Contact Center.
5.
Only Information Technology (IT) equipment, including computers, network devices, software, etc.,
that has been approved via the E-Form #MIS106 process and will be supported by ITS shall be
deployed. All requests for hardware and software must be approved by ITS prior to purchase.
6.
Absolutely no personal software is to be installed on Department owned equipment. This includes,
but is not limited to, screen savers, calendars, instant messaging clients, Internet Service Provider
(ISP) software, file sharing programs, etc.
7.
Only properly licensed software that has been authorized by ITS may be installed.
8.
Security testing software, including sniffers, scanners, and vulnerability assessment tools may not
be installed on Department owned computer equipment unless specifically authorized by the ISO.
9.
All original software media diskettes, CD's, etc. and software licenses must be forwarded to the
DPL in the facilities or, if in Central Office or other DOCCS location, to the ITS Public Safety
Contact Center.
10.
No programs or applications are to be developed and placed into production without the written
approval of ITS as detailed by DOCCS Directive #2821, "Requesting Applications
Modification/New Development."
B.
Physical Security
I.
Equipment should be locked in a secure area when unattended or when visual security of the area
cannot be maintained by authorized staff.
2.
All computer equipment must be located in work areas or rooms having a limited number of
entrances that can be securely locked after normal working hours. These work areas must provide
adequate physical protection of the computer resources of the Department against unauthorized use,
theft, sabotage, and natural or man-made disasters.
3.
Computer terminals and workstations must be positioned to prevent viewing by unauthorized
individuals, wherever practical.
4.
All computer equipment must be located off the floor, on a desk, table, or workstation. This
includes PC tower units.
C.
Laptop and Portable Computer Equipment
I.
All Department issued portable computers must be configured to provide complete hard disk
encryption using cryptographic methods authorized by the ISO.
2.
All portable computer equipment must be physically secured when not in use to prevent theft and/or
unauthorized access.
NO. 2810, Information Security Policy
PAGE 3 of 14
DATE
09/02/2014
D.
Configuration Management
I.
All computers and network appliances must be configured, administered, and maintained according
to DOCCS standard configuration and DOCCS information security policies, as approved by the
ISO.
2.
All computer terminal and workstations must be configured with screen locks that activate after 15
minutes of user inactivity and must require a password to unlock.
3.
All computer, server, and network equipment logon screens must include a legal warning banner
containing language approved by the ISO and Counsel's Office.
E.
Computer Storage Media Protection
I.
Removable electronic media used for the storage of DOCCS data (except media used for routine
data back-up and stored in a specific, secured back-up media site) must be encrypted when leaving a
secure location. All encryption will use a cryptographic method approved by the ISO.
2.
All electronic media used for storage of DOCCS data must be appropriately labeled to reflect its
sensitivity and access restrictions. Labeling must include a description of the media contents, date,
and owner.
3.
All removable electronic media, computer memory, and computer equipment used for storage of
DOCCS data must be disposed of in a manner consistent with DOCCS standard practices, including
the use of an outside service provider certified by the National Association for Information
Destruction (NAID) and/or R2/RIOS.
4.
Electronic removable media that contains the personally identifiable protected health information of
DOCCS inmates or parolees is considered a "Confidential Health Record" and shall be stored,
encrypted, and moved consistent with HIPAA privacy and security regulations and Health Services
Policy (this applies to digital copies ofx-rays and similar examinations stored on disks).
F.
User Identification, User Access, and Passwords
I.
All DOCCS computer systems and applications require the use of an authorized user identifier
(User ID) and password to gain access.
2.
The individual requesting access to DOCCS computer systems must follow the standard ITS Access
Request and Approval procedure, including the completion of the Individual User Access (IUA)
form, and Form
#MIS
104 if Internet access is required.
3.
ITS shall assign a unique User ID to DOCCS personnel and other authorized individuals requiring
access to systems and applications.
4.
Individuals requiring privileged access (i.e., Administrator access) to a DOCCS computer, terminal,
or network equipment are required to notify the ISO and/or ITS. The ISO and/or ITS will ensure
that the level of access granted to the individual is the minimum level required to perform the
required job function as specified by the system owner.
5.
Users are responsible for all work completed using their User ID and password. Therefore, all
passwords should be kept confidential and not shared or divulged to unauthorized personnel. All
users should ensure password security by not openly displaying passwords or storing written
passwords in easily accessible areas.
6.
User IDs and passwords may not be programmed into keyboard function keys or otherwise stored
and/or automated.
7.
Passwords should be randomly selected and not obvious. Passwords must not be variations of a
user's name, birthday, or other specific characteristics that readily identify the operator or the work
area.
8.
Passwords must be changed at least every 30 days and cannot be reused within 12 months.
NO. 2810, Information Security Policy
PAGE 4 of 14
DATE
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9.
Passwords must be at least eight characters in length and contain a combination of numbers, upper
or lower case letters, and/or special characters.
I
0. Application owners and/or designated CSCs must conduct annual reviews of all access lists to
identify user accounts with access that is not commensurate with the user's current job assignment.
11.
The Division Head or designee shall promptly notify ITS via an e-mail to
doccs.sm.AAS@doccs.ny.gov when the following events occur:
a.
A user is no longer assigned to the facility; or
b.
A user changes assignments that would affect access authorizations.
12.
The Division Head or designee and/or designated CSC shall contact the ITS Public Safety Contact
Center in the event a user, administrator, or system password is compromised or reasonably
believed to be compromised.
13.
The Information Security Office, as directed by the
ISO,
shall conduct periodic audits to determine
the effectiveness and integrity of User IDs and passwords.
14.
Access to computer equipment on other than normally assigned work schedules, for special purposes,
or on an overtime basis should have the prior approval of the individual's supervisor and a
documented copy of that approval provided to, and archived by, the CSC.
G.
Document Security
I.
Instruction manuals, operating instructions, diagrams, and other sensitive information must not be
left unattended, and must be secured and controlled at all times. Inmates must not be allowed
access to sensitive documents unless specifically authorized by the Facility Superintendent and
Regional Director.
2.
Hard copies of personally identifiable information (PII) and protected health information
(PHI)
must not be left unattended or in view of unauthorized individuals.
3.
All computer generated reports must have adequate controls and procedures established to ensure
proper filing, distribution, reproduction, mailing, and destruction. DOCCS Directive #2011,
"Disposition of Departmental Records," should be consulted for specific details.
H.
Secure Operations
I.
Users must ensure that unattended computer and/or equipment terminal screens are not left
displaying data or allowing access or modification of Department records.
2.
Data files obtained from non-Department-owned and controlled computers must be screened for
viruses and other "malware" using an authorized software program that has been approved by the
ISO according to the DOCCS Antivirus Policy.
3.
Those employees that are authorized to perform DOCCS business remotely (i.e., at home or out of
the office) must ensure that DOCCS data is protected at all times.
It
is the responsibility of the
employee to be aware of the risks associated with connecting remotely and how remote connections
can affect the DOCCS network. All DOCCS issued laptops and other hardware is the
responsibility of the employee. For further information regarding remote connection concerns,
please contact the Information Security Office.
I.
Wireless Communication/Networking
I.
The use of wireless voice communications is governed by DOCCS Directive #2917, "Cellular
Telephones and Pagers."
NO. 2810, Information Security Policy
PAGE 5 of 14
DATE
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2.
Wireless data networking equipment is prohibited in all DOCCS facilities and locations, including
but not limited to:
a.
Wireless Peripherals: Wireless computer mice, keyboards, printers, scanners, fax, etc.; and
b.
Wireless Networking Equipment: Wireless routers, access points, antennae.
Note: The use of wireless enabled laptops is prohibited as documented by Section IV-C above.
J.
Separation of Duties/Audit
I.
DOCCS locations should protect themselves from acts of fraud and/or collusion through the strict
separation of duties, job rotation, separation of operational and security functions, and system
access controls. Security Audits will be conducted according to DOCCS standard Information
Security Audit Procedures to ensure DOCCS personnel are not auditing their own work. Further
information can be found in DOCCS Directive #6920, "Internal Controls."
V.
ROLES AND RESPONSIBILITIES
A.
Computer Security Coordinator (CSC): The general responsibilities of the CSC are to:
I.
Provide liaison with the Information Security Office in matters on computer security and access
control.
2.
Inform facility/unit personnel of DOCCS computer security policies and standards.
3.
Serve as the facility level review and approval authority regarding computer related security
matters.
4.
Establish controls and procedures for implementing computer security measures.
5.
Resolve issues with regard to shared computer resources among different organizational units.
6.
Conduct periodic reviews to monitor and evaluate the facility computer security.
7.
Assist the Information Security Office with facility level audits and inspections as requested by the
ISO.
8.
Implement all computer security provisions and initiate corrective actions.
9.
Report any breach of computer security to the Superintendent or Regional Director and the ISO.
10.
Maintain accurate records of personnel authorizations.
11.
Conduct audits, at a minimum annually, based on listing of all users and their authorizations which
will be provided by ITS. The CSC shall:
a.
Require each employee with a user identification code and their supervisor verify and attest to
the appropriateness of the employee's access (a list of active User IDs for a particular facility
should be requested from ITS ISO prior to the annual facility audit);
b.
Provide each employee with a user identification code, a copy of this directive, and obtain a
receipt;
c.
Provide the ISO with a list of changes and deletions based on the audit findings; and
d.
Retain these documents as a permanent record of the audit review.
12.
Review the equipment, its configuration, and the practices in place regarding the use of equipment
provided for an inmate training program to verify compliance with this directive.
13.
Obtain from the staff advisor ofan inmate organization a list of all authorized users for equipment
used by that organization. The CSC may access that equipment at any time.
If
passwords are used
or any unapproved software is found on the equipment, the CSC may cause the equipment to be
removed immediately.
NO. 2810, Information Security Policy
PAGE 6 of 14
DATE
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B.
Data Processing Liaison (DPL) The general responsibilities of the DPL are:
I.
Provide liaison with the ITS Public Safety Contact Center.
2.
Provide the initial problem determination for computer hardware with the guidance and support
of
ITS and equipment vendors.
3.
Provide first level support in the use of e-mail and selected applications.
4.
Coordinate requests sent to ITS for terminals, network appliances, printers, emulation boards using
the procedures outlined in Directive #2822, "Request for Information Technology Hardware
Acquisition/Relocation/Removal."
5.
Coordinate, submit, and verify change/add requests for local prints (screen prints). Requests will
come from DPL by e-mail to the Public Safety Contact Center.
6.
Assist in equipment placement decisions.
7.
Field all help and service calls within the facility and determine appropriate action.
8.
Maintain computer equipment inventory. This includes but is not limited to laptop computers
turned over to the facility as part of contract necessary to monitor, operate, or adjust equipment.
9.
Facility staff responsible for computer equipment used for inmate training shall maintain and
provide to the DPL an inventory of all equipment and a description of any networking of that
equipment.
I 0.
Provide virus-checking on all storage media brought in from outside the facility.
11.
Assist in training facility personnel in the proper use of Department computer equipment.
12.
Inform the Public Safety Contact Center when a generator test is scheduled.
13.
Read e-mail and SYSM bulletin board regularly.
C.
Information Technology Assistant (ITA): The ITA is a full-time staff person who reports directly to ITS
and is the primary contact for designated DPLs in matters pertaining to computer terminals, network
appliances, printers, modems, personal computers, and other related hardware and software. ITAs may be
assigned to an individual facility or to a Hub.
D.
Information Security Officer (ISO): The ISO and back-up ISO are designated by the Commissioner and
report to the Assistant Commissioner for ITS. The ISO ensures that information security policies and
procedures are established and implemented to protect the information assets of DOCCS, participates in
the creation and review of the policies and procedures, recommends security strategies, and keeps
information security systems current. The ISO will ensure that there are procedures in place to prevent,
detect, contain, and recover from information security breaches from both internal and external sources
and disasters both natural and man-made.
VI.
SECURITY VIOLATIONS/INCIDENTS
The ITS Public Safety Contact Center will report all such calls to the Information Security Office in accordance
with the DOCCS Cyber-Incident Reporting and Response Procedure.
The ISO will implement an incident containment and response plan in accordance with the DOCCS
Cyber-
Incident Reporting and Response Procedure.
Any actual or suspected cases of unauthorized use, misuse of DOCCS computer resources, breaches of security,
or unauthorized disclosure shall be reported immediately by telephone to the
ITS Public Safety Contact Center
at
518-457-5017.
NO. 2810, Information Security Policy
PAGE 7 of 14
DATE
09/02/2014
VII.
INTRANET/INTERNET ACCEPTABLE USE POLICY
A.
Introduction: The Agency connection to the global Internet only exists to facilitate the official work of
DOCCS. The Internet facilities and service contributes broadly to the mission of the Department.
The Internet connection and services are provided only for personnel legitimately affiliated with the
Department for the efficient exchange of information and the completion of assigned responsibilities
consistent with the Department's statutory purposes.
Use of the Internet facilities by any employee or other person must be requested and approved in
accordance with ITS E-Form #MIS104. This is the standard ITS Access Request and Approval Procedure
and must be consistent with this Acceptable Use Policy and security policies. Questions concerning that
process should be directed to the CSC.
B.
Principles of Acceptable Use: DOCCS Internet users are required to:
I.
Respect the privacy of other users; for example, users shall not intentionally seek information on,
obtain copies of, or modify files or data, belonging to other users, unless explicit permission to do
so has been obtained.
2.
Respect the legal protection provided to programs and data by copyright and license.
3.
Protect data from unauthorized use or disclosure as required by State laws, Federal laws, and
Agency Regulations.
4.
Respect the integrity of computing systems: for example, users shall not use or develop programs
that harass other users or infiltrate a computer or computing system and/or damage or alter the
software components of a computer or computing system.
5.
Report any observations of attempted security violations.
C.
Unacceptable Use:
It
is not acceptable to use New York State Internet facilities, or any other Internet
connectivity provided by DOCCS:
I.
For activities unrelated to the Department's mission and business, except for incidental personal
use that does not conflict with the proper exercise of State business, in accordance with Executive
Order No. 1, Establishment of Ethical Conduct Guidelines,
2.
For activities unrelated to official assignments and/or job responsibilities,
3.
For any illegal purpose,
4.
To knowingly transmit/receive threatening, profane, or harassing materials or correspondence,
5.
For unauthorized distribution ofNYS data and information,
6.
To interfere with or disrupt network users, services, or equipment,
7.
To engage in network monitoring, scanning, sniffing, spoofing, or other activities intended to
identify, test, or circumvent security controls, unless specially authorized by the ISO,
8.
To download, upload, or exchange music or video files without specific authorization by the ISO,
9.
To download, upload, or exchange commercial, freeware, or shareware software that has not been
approved by the ISO,
I 0. For electronic messaging including instant messaging (IM) and Internet e-mail that has not been
explicitly approved by the ISO,
11.
To download, upload, or transmit sexually explicit, violent, or otherwise offensive material,
12.
To upload or post information of any kind to web sites, chat rooms, listservs, forums, or other
Internet spaces without specific approval by the ISO,
13.
For private purposes such as marketing or business transactions,
14.
For solicitation for religious and political causes,
NO. 2810, Information Security Policy
PAGE 8 of 14
DATE
09/02/2014
15.
For unauthorized not-for-profit business activities,
16.
For any Union activity,
17.
For private advertising of products or services, or
18.
For any activity meant to foster personal gain.
D.
Agency Rights: DOCCS personnel should have no expectation of privacy relative to the use of DOCCS
systems and applications, including electronic messaging. Authorized personnel, including staff of the
Information Security Office, have access to all electronic communications and may monitor messages as
necessary to assure efficient performance and appropriate use, subject to the approval of the DOCCS
Chief Information Officer. Messages relating to, or in support of, illegal activities will be reported to the
appropriate authorities.
The Department reserves the right to monitor and log all system and network activity and to inspect any
and all files created or modified by DOCCS personnel.
The Department reserves the right to remove a user account from the network.
The Department reserves the right to change its policies and rules at any time. The Agency makes no
warranties (expressed or implied) with respect to Internet service, and it specifically assumes no
responsibilities for:
•
The content of any advice or information received by a user outside New York State or any costs
or charges incurred as a result of seeking or accepting such advice.
•
Any costs, liabilities, or damages caused by the way the user chooses to use his/her Agency
Internet access.
•
Any consequences of service interruptions or changes, even if these disruptions arise from
circumstances under the control of the Department. The Department's Internet services are
provided on an as is, as available basis.
E.
Enforcement and Violations
I.
This policy is intended to be illustrative of the range of acceptable and unacceptable uses of the
Internet facilities but is not necessarily exhaustive. Questions about specific uses related to security
issues not enumerated in this policy statement and reports of specific unacceptable uses should be
addressed to the ISO. Other questions about appropriate use should be directed to your Supervisor.
2. This Department will review alleged violations of the Internet Acceptable Use Policy on a case-by-
case basis. Violations of the policy which are not promptly remedied may result in termination of
Internet services for the person(s) at fault, and referral for disciplinary or legal actions as
appropriate.
F.
Exceptions
1.
Exceptions to this and other DOCCS policies and procedures must be submitted, in writing, to the
ISO. The ISO will review and document all exceptions in a manner consistent with New York State
q[fzce of Cyber Security (OCS) and the New York State Chief Information Officer (CIO)/New York
State qjfice of Information Technology Services (ITS).
2.
All exceptions to this and other DOCCS security policies and procedures will be documented,
reviewed, approved, and archived by the ISO for a period consistent with applicable retention
policies.
NO. 2810, Information Security Policy
PAGE 9 of 14
DATE
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G.
Additional Restrictions Inside DOCCS Correctional Facilities (Staff)
I.
Absolutely no computer equipment, hardware components, or any equipment used for the
processing of information that connects or can connect wirelessly to its data source and can be
easily moved without extra assistance may be brought into a correctional facility unless authorized
by the Facility Superintendent or the ISO. This includes, but is not limited to: tablet, smart phones,
blackberries, laptops, and netbook.
a.
No media or device that is capable of storing electronic data (e.g., CDROM, USB drive,
diskette, MP3 player/iPOD®, etc.) may be brought into, or removed from, a correctional
facility without written authorization by the ISO and/or Superintendent.
2.
The following guidelines are applicable to all Department issued or officially approved computer
equipment as designated in Section VII-G-1 above:
a.
All portable computer equipment must be physically secured when not in use to prevent theft
and/or unauthorized access. All portable computers will be considered a Class "A" tool and
must be stored in a Class "A" tool cabinet or in the arsenal as determined and approved by the
Superintendent.
b.
All electronic removable media (e.g., tapes, disks, diskettes, cartridges, cassettes, USB drives,
etc.) are to be considered Class "A" tools and secured when not in use and/or at the close of
business. Class "A" tools are to be stored in approved locations as determined and approved
by the Superintendent.
c.
All drives/ports used with removable media (such as floppy disks, CDs, DVDs, USB drives,
etc.) will be disabled within a facility. The designated DPL/CSC may enable these
drives/ports upon written approval from the Superintendent and the ISO.
3.
There are additional guidelines governing various categories of outside State Agency staff, Court
Stenographers, visiting Departmental staff, outside vendor staff, or contracted service personnel
who may be approved to enter a correctional facility. All staff should familiarize themselves with
Deputy Commissioner Bellnier's All Superintendent's memorandum, dated December 8, 2011,
regarding laptop/mobile computers in facilities. A copy of this memorandum is included in this
directive as Attachment A.
4.
All portable computers turned over to facilities as part of contracts and necessary to monitor,
operate, repair, or adjust equipment will be turned over to the DPL in accordance with DOCCS
Directive #2822. The DPL will register, inventory, and configure the device according to DOCCS
standards.
H.
Additional Restrictions Inmates
I.
Inmate access to computer systems will be strictly controlled as to not allow access to any data
network that is logically connected to the DOCCS production network and/or any other externally
connected data network. The following are cases in which inmates may access computer systems
pending Superintendent approval:
a.
Authorized use of the Inmate Network (Law Library, etc);
b.
Authorized inmate training and/or educational activities; and
c.
Authorized inmate assistance in data entry for non-sensitive data, including Corcraft
systems. New York State law states that the Department can not, "Knowingly use the labor
or time of or employ any inmate in this State, or in any other jurisdiction, in any capacity
that involves obtaining access to, collecting or processing social security account numbers of
other individual."
To request authorization, a written request should be presented by the designated CSC and
submitted to the Superintendent for approval.
NO. 2810, Information Security Policy
PAGE 10 of 14
DATE
09/02/2014
2.
At no time may an inmate have in his/her personal possession any computer storage media outside
of his/her assigned classroom or work area. These items will be retained in the classroom or work
area under the same provisions used for class "A" tool control.
3.
Proof of purchase or proper authorization for all software in use is required for any PC used by an
inmate organization. This proof shall be provided to the CSC. Any software proposed for this
equipment must be reviewed for content and approved by the facility Superintendent and the ISO.
4.
The staff advisor of an inmate organization shall provide the CSC with a list of all authorized users
for equipment used by that organization. The CSC may access that equipment at any time.
VIII.
DEFINITIONS
A listing of terms defined for the first time in this policy are:
Authentication
Confirming a user's claim of identity. Dual factor (or strong authentication): An
authentication scheme using two independent factors, e.g., something you know and
something you have. Examples include the following:
•
Something you know: User
ID,
passcode, memorized personal
identification number
(PIN)
or password.
•
Something you have: something you own- an
RSA
secure authentication
token, Smart card, etc.
•
Something you are: biometrics, e.g., fingerprint, retina scan.
Availability
"Ensuring timely and reliable access to and use of information ... " [44 U.S.C., SEC.
3542] A loss of
availability
is the disruption of access to, or use of, information or
an information system.
Business Owner
Person who authorized the project, or a designated employee.
Confidentiality
"Preserving authorized restrictions on information access and disclosure, including
means for protecting personal privacy and proprietary information ... " [44 U.S.C.,
Sec. 3542] A loss of confidentiality is the unauthorized disclosure of information.
Control
An action taken to enhance the likelihood that established goals or objectives will be
achieved (in the context of this policy, generally an action taken to reduce
risk).
Credential
An object that is verified when presented to the verifier in an authentication
transaction. A common
credential
is a User ID and associated password.
CSC
See Section V-A.
Data Storage Media
Any tape, CD/DVD disk, floppy diskette, cartridge, cassette, USB drive, flash drive,
etc., that can potentially be used to store electronic files.
DPL
See Section V-B.
Encryption
A technique to protect the
confidentiality
of
information.
The method transforms
("encrypts") readable
information
into unintelligible text through an algorithm and
associated cryptographic key(s).
DATE
09/02/2014
NO 2810, Information Security Policy
PAGE 11 of14
Information
Information Owner
Integrity
ISO
/TA
Physical
Portable Computers
Privacy
Any information created, stored in temporary or permanent form, filed, produced or
reproduced by, regardless of the form or media. Information shall include, but not
be limited to:
•
Personally identifying information
•
Reports, files, folders, memoranda
•
Statements, examinations, transcripts
•
Images
•
Communications
If information is already legally in the public domain (e.g., under FOIL), it can be
considered as 'public' information. As such security controls are not required to
maintain its confidentiality.
An individual or organizational unit responsible for making classification and
control decisions regarding use of information.
"Guarding against improper information modification or destruction, and includes
ensuring information non-repudiation and authenticity ... " [44 U
.S.C.,
Sec. 3542]
A
loss of integrity is the unauthorized modification or destruction of information.
•
Authenticity: A third party must be able to verify that the content of a message
has not been changed in transit.
•
Non-repudiation: The origin or the receipt of a specific message must be
verifiable by a third party.
•
Accountability: A security goal that generates the requirement for actions of
an entity to be traced uniquely to that entity.
See Section V -0.
See Section V -C.
A generic description of any area containing non end-user IT equipment and
subsidiary
infrastructure
hardware, e.g.,:
•
Mainframes
•
Servers
•
Communications equipment
•
Printing facilities
•
Media libraries
•
Wiring closets
Equipment used for the processing of information that connects or can connect
wirelessly to its data source and can be easily moved without extra assistance. This
includes, but is not limited to, tablet, smart phones, blackberries, laptops, and
netbook.
The right of individuals to determine for themselves when, how, and to what extent
information about them is communicated to others.
NO. 2810, Information Security Policy
DATE
09/02/2014
PAGE 12 of 14
Risk
Supervisor
System
Third Parties
Threat
User
Vulnerabilities
A
risk
is defined as where there are inadequate controls to mitigate a
threat
or
vulnerability
effectively. There are two clements to determine the import of a
risk:
•
Impact- health and safety, reputational, legal and regulatory, financial, etc.
•
Likelihood- likely to occur daily, weekly, etc.
An individual responsible for day-to-day management or supervision of a
User.
An interconnected set of information resources under the same direct management
control that shares common functionality. A system normally includes hardware,
software, applications, and communications.
Anyone directly or indirectly providing goods and services to DOCCS who is not
under the direct control ofDOCCS.
The potential for a person, object, or event to negatively impact the security of the
physical infrastructure, systems,
or
information.
Threats can be malicious, such as
the intentional modification of sensitive information, or they can be accidental, such
as an error in a calculation, or the accidental deletion of a file. Threats can also be
acts of nature, e.g., flooding, wind, or lightning, etc.
Other threats include:
•
Hacking
•
Inability to access the datacenter
•
Denial of service
•
Loss of key staff
•
Virus
•
Data corruption
•
Destruction of assets
Any person authorized by the information owner to access the system for a
legitimate governmental purpose
Weaknesses in a system, application, or operating environment that can be exploited
by a
threat.
For example, unauthorized access (the
threat)
to a system or
application could occur by an outsider guessing an obvious password.
The vulnerability exploited is an easily guessable password chosen by a user.
Reducing or eliminating the vulnerabilities can reduce or eliminate the
risk
to the
system, application, or data. For example, a tool that can help users choose robust
passwords may reduce the chance that they will choose readily guessable passwords
and thus reduce the
threat
of unauthorized access.
Wireless Data Networking Equipment
Any device that enables a user to transmit data wirelessly (excluding cell phones and
pagers governed by DOCCS Directive #2917, "Cellular Telephones and Pagers").
Examples include, but are not limited to, any device capable of the following:
Bluetooth, WiFi, InfraRed, etc.
Workforce
State employees and other persons whose conduct, in the performance of work for
DOCCS, is under the direct control of DOCCS, whether or not they are paid by the
Agency.
NO. 2810, Information Security Policy
ATTAC HM ENT A
DATE 09/02/2014
PAGE 13 of 14
BRIAN
FISCHER
((JUUl .:'.:1Nt' R
DEPARTMENT OF CORRECTIONS
AND COMMUNITY SlJPERVISION
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DATE
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NO. 2810, Information Security Policy
PAGE 14 of 14
Docernber 8. 20' 1
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,our As&,,:,Lant Con·m1s.s,on,,, for Corro t,::iri.l:
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Community Supervision
DIRECTIVE
TITLE
Sexual Abuse Prevention
&
Intervention
-
Inmate-on-
Inmate
NO
4027A
DATE
11/29/2017
SUPERSEDES
DIR# 4027A Dtd. 03/04/2016
DISTRIBUTION PAGES
A B
PAGE 1 OF 6
DATE LAST REVISED
REFERENCES (Include but are not limited to)
Penal Law §240.50, §130, "Standards of Inmate Behavior"
Rule Series 101; Prison Rape Elimination Act of 2003 (PREA)
42, U.S.C. 15601 et seq.; Directive #0700, 4027B, 4028A;
DOCCS Training Manual
APPROVING AUTHORITY.
c /
"'"
r
-
--
_;:;·
I.
DESCRIPTION:
This Directive provides information concerning:
• The prevention of
inmate-on-inmate
sexual abuse, sexual harassment, and sexual
threats;
• The prevention of, detection of, and response to allegations of
inmate-on-inmate
sexual abuse, sexual harassment and sexual threats, including prompt and effective
intervention to address the safety and treatment needs of an inmate victim;
• The duty of all staff to report any allegation of sexual abuse or sexual harassment of
an inmate, and to report any actual knowledge or reasonable belief concerning any
incident of sexual abuse or sexual harassment;
• The duty of staff to report any allegation of retaliation for reporting an incident of
sexual abuse or sexual harassment, or for participating in an investigation of an
incident of sexual abuse or sexual harassment;
• The prevention of, detection of, and response to allegations of retaliation for
reporting an incident of sexual abuse or sexual harassment, or participating in an
investigation of an incident of sexual abuse or sexual harassment; and
• The discipline and/or prosecution of those who commit such acts of sexual abuse,
sexual harassment, sexual threats, or retaliation.
II.
POLICY:
The New York State Department of Corrections and Community Supervision has
zero tolerance for sexual abuse and sexual harassment. Inmates and parolees have the
right to be free from sexual abuse and sexual harassment. Sexual abuse and sexual
harassment violate Department rules and threaten security. All allegations of sexual abuse,
sexual harassment, or retaliation against staff, an inmate, or a parolee for reporting such an
incident or participating in an investigation will be thoroughly investigated. Furthermore, any
perpetrator of a sexual abuse or sexual harassment incident will be dealt with severely
through discipline or prosecution to the fullest extent permitted by law.
It is the policy of the Department that coercive inmate-on-inmate sexual conduct is sexual
abuse and is not to be tolerated. All allegations of sexual abuse, sexual harassment, sexual
threats; and retaliation concerning such an incident will be thoroughly investigated. Inmate
Rule 101.10, "Standards of Inmate Behavior," prohibits inmates from engaging in, or
soliciting others to engage in sexual acts. No victim of inmate-on-inmate sexual abuse shall
be subject to discipline for engaging in sexual acts as a result of threats, intimidation, or
other coercive actions. Other sexual contact and conduct of a sexual nature are also
prohibited by rules found in Rule Series 101.
NO. 4027A, Sexual Abuse Prevention & Intervention - Inmate-on-Inmate
DATE 11/29/2017
PAGE2of6
Ill. DEFINITIONS
A.
Sexual Conduct means sexual intercourse, oral sexual conduct, anal sexual conduct,
aggravated sexual contact, or sexual contact, and shall have the same meaning as set
forth in Penal Law§ 130.00.
B.
Sexual Contact means any touching of the sexual or other intimate parts of a person not
married to the actor for the purpose of gratifying sexual desire of either party, and shall
have the same meaning as set forth in Penal Law § 130.00.
C.
Sexual Abuse includes:
1.
Inmate-on-Inmate Sexual Abuse: Inmate-on-Inmate Sexual Abuse is when one or
more inmates engage in sexual conduct, including sexual contact, with another
inmate against his or her will or by use of threats, intimidation, or other coercive
actions. Inmate-on-Inmate Sexual Abuse is a form of "Prison Rape" under the
Prison Rape Elimination Act of 2003, (PREA), 42 U.S.C. § 15609.
2.
Staff-on-Inmate/Staff-on-Parolee Sexual Abuse: Staff-on-Inmate/Staff-on-Parolee
Sexual Abuse is when an employee, volunteer, intern, or outside contractor
engages in sexual conduct, including sexual contact, with an inmate or parolee.
Staff-on-Inmate Sexual Abuse is a form of "Prison Rape" under PREA.
D.
Attempt to Commit Sexual Abuse is when a person engages in conduct that tends to
effect the commission of sexual conduct, including sexual contact.
E.
Sexual Threat means any spoken, written or other threat to engage in sexual conduct
forcibly or against a person's will. A sexual threat is a type of sexual harassment.
F.
Sexual Harassment includes:
1.
Repeated and unwelcome sexual advances, requests for sexual favors, or verbal
comments, gestures, or actions of a derogatory or offensive sexual nature by one
inmate, detainee, or resident directed toward another; and
2.
Repeated verbal comments or gestures of a sexual nature to an inmate, detainee,
parolee, or resident by a staff member, contractor, or volunteer, including
demeaning references to gender, sexually suggestive or derogatory comments
about body or clothing, or obscene language or gestures.
IV. PROCEDURE
A.
Training
1.
In accordance with the Department of Corrections and Community Supervision
Training Manual, all employees shall receive, during initial training and as in-
service training, instruction that relates to the prevention, detection, response, and
investigation of sexual abuse and sexual harassment in a correctional environment.
Training includes: initial training, refresher training at least every two years,
orientation training upon reassignment to another correctional facility, and annual
refresher information.
2.
All contractors and contract employees, volunteers, and interns shall receive
orientation and periodic in-service training consistent with their level of inmate
contact relating to the prevention, detection, and response to inmate-on-inmate
sexual abuse and sexual harassment.
NO. 4027A, Sexual Abuse Prevention & Intervention - Inmate-on-Inmate
DATE 11/29/2017
PAGE 3 of6
3.
All inmates shall receive during orientation at reception and at facility orientation
after transfer, information which addresses sexual abuse and sexual harassment.
The information shall be communicated orally and in writing, in a language clearly
understood by the inmates. This information will address prevention, self-
protection (situation avoidance), reporting sexual abuse, and sexual harassment,
and the availability of treatment and counseling.
B.
Assessment and Classification
1.
Reception: An initial assessment will be conducted of all inmates arriving at a
Reception Center.
a. This assessment is intended to identify a number of classification concerns
including a determination of an inmate's risk of being sexually abused by other
inmates or sexually abusive toward other inmates. Inmates identified as being
at high risk of sexual victimization or of being sexually abusive will be
identified, such concerns shall be noted upon the inmate's security
classification in accordance with the "Manual for Security Classification
Guidelines," and appropriate measures will be taken to ensure that they are
monitored.
b. A PREA Risk Screening (Form #115.41M or Form #115.41F consistent with
the gender classification of the facility) will be conducted pursuant to facility-
specific procedures adopted in accordance with the Facility Operations
Manual (FOM) Template implemented by the Associate Commissioner for
Prison Rape Elimination Act (PREA) Compliance.
c. Counseling services will be available to address concerns associated with a
history of sexual victimization and/or a history of sexually aggressive
behavior, as appropriate. This assessment will also be considered in
assigning an inmate's location. The initial assessment must include a
preliminary review by Security, Health Services and Classification staff within
24 hours of an inmate's arrival at the reception facility.
2.
Transfer: An inmate's risk of being sexually abused by other inmates or sexually
abusive toward other inmates shall be monitored and any specific occurrence or
information shall be noted and considered in connection with any transfer.
a. Upon arrival, each inmate will be screened using PREA Risk Screening Form
#115.41M or Form #115.41F for any indication of current risk of being sexually
abused by other inmates or sexually abusive toward other inmates.
b. Such screening shall be conducted pursuant to facility-specific procedures
adopted in accordance with the Facility Operations Manual (FOM) Template
implemented by the Associate Commissioner for Prison Rape Elimination Act
(PREA) Compliance.
C.
Reporting and Investigation of Inmate-on-Inmate Sexual Abuse, Sexual Harassment, or
Sexual Threats: An inmate or parolee may report an incident of sexual abuse, sexual
harassment, sexual threats, or any act of retaliation for reporting such an incident or for
participating in an investigation of such an allegation to any employee. The initial
inmate or parolee report may be verbal or in writing. For reporting purposes under this
Directive, "employee" includes any employee, contractor or contract employee,
volunteer, or intern of the Department, or any employee, contractor or contract
employee assigned to work in a Department correctional facility by any other State
agency.
NO. 4027A, Sexual Abuse Prevention & Intervention - Inmate-on-Inmate
DATE 11/29/2017
PAGE 4
of
6
1. An employee who receives a report that an inmate or parolee, is the victim of an
incident of sexual abuse, sexual harassment, or sexual threats must be aware of
the sensitive nature of the situation. The victim must be treated with due
consideration for the effects of sexual abuse and sexual harassment.
2. Any employee who receives a report of sexual abuse, sexual harassment, sexual
threats, or any act of retaliation for reporting such an incident, or for participating in
an investigation of such an allegation, shall immediately notify his or her immediate
supervisor as outlined below:
a.
Any facility-based employee shall report the information immediately to their
supervisor, who shall notify the Watch Commander. In the event the
supervisor is not available, the employee shall immediately notify the Watch
Commander directly.
b.
Any community-based employee who receives a report involving an inmate or
parolee, who is being supervised in the community has a duty to report such
information to the Supervising Parole Officer (Bureau Chief) who shall
immediately notify the Regional Director. In the event the Supervising Parole
Officer (Bureau Chief) is not available, the employee shall immediately notify
the Regional Director. In the event the Regional Director is not immediately
available, the Assistant Regional Director shall be notified to avoid any delay.
c.
The employee shall report the specific details, in writing, to the Watch
Commander or Supervising Parole Officer (Bureau Chief) immediately, or as
soon as possible after verbal notification, and no later than the end of the shift.
d.
A medical practitioner who receives such information in the course of providing
medical treatment to an inmate is required to report the minimum information
necessary as set forth in the Department of Corrections and Community
Supervision Health Services Policy Manual (HSPM) 1.60.
e.
Immediate notification shall be made to the Office of Special Investigations in
accordance with Directive #4027B, "Sexual Abuse Reporting & Investigation-
Inmate-on-Inmate.
3. The Watch Commander shall initiate the sexual abuse protocols in accordance with
the facility's Coordinated Response Plan to an Incident of Inmate Sexual Abuse,
including securing the crime scene, where appropriate.
4. Reports of sexual abuse and sexual harassment are confidential and information,
including but not limited to the identity of the victim, the identity of the person
reporting the sexual abuse or sexual harassment, the identity of witnesses and the
identity of the alleged perpetrator, is only to be shared with essential employees
involved in the reporting, investigation, discipline and treatment process, or as
otherwise required by law.
5. No retaliation of any kind shall be taken against an inmate, parolee, or employee
for good faith reporting of sexual abuse, sexual harassment, or sexual threats.
NO.
4027A, Sexual Abuse Prevention & Intervention
-
Inmate-on-Inmate
DATE 11/29/2017
PAGE 5 of6
6.
A prompt, thorough, and objective investigation shall be conducted in all instances
of reported sexual abuse, sexual harassment or retaliation concerning such an
incident. As directed herein, and in accordance with Directive #0700, "Office of
Special Investigations (OSI)," and other applicable department policies, this
investigation shall be initiated promptly and shall be the responsibility of the Office
of Special Investigations who shall determine the appropriate investigative
response.
NOTE: Allegations of inmate-on-inmate sexual abuse may be reported to appropriate
law enforcement officials and/or prosecutors by the Department's Office of Special
Investigations. A person is guilty of falsely reporting an incident if it is proven beyond a
reasonable doubt that, knowing the information reported, conveyed, or circulated to be
false or baseless, he or she reports to a law enforcement officer or agency the alleged
occurrence of an offense or incident which did not in fact occur (Penal Law§ 240.50). A
report made in good faith based upon a reasonable belief that the alleged conduct did
occur does not constitute falsely reporting an incident or lying for the purpose of
disciplinary action even if investigation does not establish evidence sufficient to
substantiate the allegation.
D.
Discipline and Prosecution
1.
Whenever an employee ascertains facts that an inmate perpetrated an act of
inmate-on-inmate sexual abuse, it is the Department's policy to report such
incidents on Form #2171, "Inmate Misbehavior Report," and to seek discipline of
the aggressor in accordance with the standards of behavior. Furthermore,
whenever investigation substantiates an allegation of inmate-on-inmate sexual
abuse, the matter shall be referred to the appropriate law enforcement agency
and/or prosecutor, through the Department's Office of Special Investigations, for
consideration of criminal charges against the aggressor.
2.
Whenever an employee ascertains facts that an inmate engaged in sexual
harassment or made a sexual threat, it is the Department's policy to report such
incidents on Form #2171, 'Inmate Misbehavior Report," and to seek discipline of
the aggressor in accordance with the standards of behavior.
3.
A victim of sexual abuse, including an inmate or parolee who engages in a sexual
act as a result of threats, intimidation, or other coercive actions, is not subject to
discipline absent proof of false reporting following a full investigation of the incident
and after consultation with the Department's Office of Special Investigations.
V.
STAFF DUTY TO REPORT
A.
An inmate or parolee may report an incident of sexual abuse, sexual harassment or an
allegation of retaliation concerning such an incident to any employee. The employee
shall immediately notify his or her supervisor pursuant to Section IV above. The initial
inmate or parolee report may be verbal or in writing.
B.
In addition to reporting an allegation of sexual abuse, sexual harassment, sexual
threats, or retaliation as reported by an inmate or parolee, all employees, regardless of
title, are under a duty to report:
1.
Any knowledge, suspicion, or information regarding an incident of sexual abuse or
sexual harassment that occurred in a facility, whether or not the facility is part of
the Agency;
2.
Retaliation against inmates, parolees, or staff who reported such an incident; and
NO. 4027A, Sexual Abuse Prevention & Intervention - Inmate-on-Inmate
DATE 11/29/2017
PAGE6of6
3.
Any staff neglect or violation of responsibilities that may have contributed to an
incident or retaliation.
C.
Any employee having either knowledge or a reasonable belief of any sexual abuse,
sexual harassment, or threat has a duty to report such information.
1.
Any facility-based employee shall report such information immediately to their
supervisor, who shall immediately notify the Watch Commander. In the event the
supervisor is not available, the employee shall immediately notify the Watch
Commander directly.
2.
Any community-based employee shall report such information to the Supervising
Parole Officer (Bureau Chief) who shall immediately notify the Regional Director.
In the event the Supervising Parole Officer (Bureau Chief) is not available, the
employee shall immediately notify the Regional Director. In the event the Regional
Director is not immediately available, the Assistant Regional Director shall be
notified to avoid any delay.
D.
Any employee who receives a report of sexual abuse or sexual harassment, or has
either knowledge or a reasonable belief of any sexual abuse, sexual conduct, sexual
contact, sexual harassment, or any act of retaliation against an inmate, parolee, or
employee for reporting an incident of sexual abuse or sexual harassment, or for
participating in an investigation involving any of those acts, and who fails to report such
information, may be subject to disciplinary action.
DIRECTIVE
and
Supervision
TITLE
Sexual Abuse Prevention
&
Intervention - Staff-on-
Inmate/Staff-on-Parolee
NO.
4028A
DATE
11/29/2017
SUPERSEDES
DIR# 4028A Dtd. 03/04/2016
DISTRIBUTION PAGES
AB
PAGE
1
OF
6
DATE LAST REVISED
REFERENCES (Include but are not limited to)
Penal Law §240.50, §130, "Standards of Inmate Behavior" Rule Series
101, Prison Rape Elimination Act of 2003 (PREA), 42 U.S.C. 15601 et
seq.; Directive #0700. 4027A, 4028B, 4910, 6910; DOCCS Training
Manual; HSPM 1.60
I.
DESCRIPTION:
This Directive provides information concerning:
• The prevention of
staff-on-inmate/staff-on-parolee
sexual abuse, sexual
harassment, sexual threats, and staff voyeurism;
• The prevention of, detection of, and response to allegations of
staff-on-
inmate/staff-on-parolee
sexual abuse, sexual harassment, sexual threats, and
staff voyeurism, including prompt and effective intervention to address the safety
and treatment needs of an inmate victim of sexual abuse or sexual harassment;
• The duty of all staff to report any allegation of sexual abuse or sexual
harassment of an inmate, and to report any actual knowledge or reasonable
belief concerning any incident of sexual abuse, sexual harassment, or the
existence of an inappropriate relationship between a staff member and an
inmate;
• The duty of staff to report any allegation of retaliation for reporting an incident of
sexual abuse or sexual harassment, or participating in an investigation of an
incident of sexual abuse or sexual harassment;
• The prevention of, detection of, and response to allegations of retaliation for
reporting an incident of sexual abuse or sexual harassment, or participating in an
investigation of an incident of sexual abuse or sexual harassment; and
• The discipline and/or prosecution of those who commit such acts of sexual
abuse, sexual harassment, sexual threats, staff voyeurism, or retaliation.
II.
POLICY:
The New York State Department of Corrections and Community Supervision has
zero tolerance for sexual abuse and sexual harassment. Inmates and parolees have the
right to be free from sexual abuse and sexual harassment. Sexual abuse and sexual
harassment violate Department rules and threaten security. All allegations of sexual abuse,
sexual harassment, or retaliation against staff, an inmate, or a parolee for reporting such an
incident or participating in an investigation will be thoroughly investigated. Furthermore, any
perpetrator of a sexual abuse or sexual harassment incident will be dealt with severely
through discipline or prosecution to the fullest extent permitted by law.
It is the policy of the Department that staff-on-inmate/staff-on-parolee sexual conduct is
sexual abuse and is not to be tolerated. Every incident of staff sexual conduct with an
inmate or parolee presents a threat to the security of the facility and the Department. All
allegations of sexual abuse, sexual harassment, sexual threats, staff voyeurism, or
retaliation concerning such an incident will be thoroughly investigated.
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Under§ 130.05 of NYS Penal Law, an inmate or parolee cannot legally consent to any
sexual act with an employee, contract employee, or volunteer (i.e., "staff'). It is a crime for
staff to engage in a sexual act with an inmate or parolee. A staff person who engages in
sexual conduct, including sexual contact with an inmate or parolee, is guilty of a sex offense
even if the inmate or parolee "willingly" participates or manipulates the staff member.
Sexual conduct with a person committed to the custody of the Department is a crime
whether it occurs inside a correctional facility, during transportation outside a correctional
facility, or while the person is a participant in a temporary release program. Any sexual
abuse of an inmate or parolee by a staff member will be prosecuted to the fullest extent of
the law.
NOTE: Any incident of sexual assault on staff by an inmate or parolee will be immediately
reported to the Office of Special Investigations and handled in accordance with established
Department policy for investigation and criminal prosecution of inmates (see Directive #6910,
"Criminal Prosecution of Inmates").
Ill. DEFINITIONS
A.
Sexual Conduct means sexual intercourse, oral sexual conduct, anal sexual conduct,
aggravated sexual contact, or sexual contact and shall have the same meaning as set
forth in Penal Law§ 130.00.
B.
Sexual Contact means any touching of the sexual or other intimate parts of a person not
married to the actor for the purpose of gratifying sexual desire of either party, and shall
have the same meaning as set forth in Penal Law
§
130.00.
NOTE: "Sexual Contact" does not include touching of the intimate parts of another
person during the performance of a personal search in accordance with Department
procedures as outlined in Directive #4910, "Control of and Search for Contraband," or
during a medical examination by health care staff for a proper medical purpose.
C.
Sexual Abuse includes:
1. Inmate-on-Inmate Sexual Abuse: Inmate-on-Inmate Sexual Abuse is when one or
more inmates engage in sexual conduct, including sexual contact, with another
inmate against his or her will or by use of threats, intimidation or other coercive
actions. Inmate-on-Inmate Sexual Abuse is a form of "Prison Rape" under the
Prison Rape Elimination Act of 2003 (PREA), 42 U.S.C. § 15609.
2. Staff-on-Inmate/Staff-on-Parolee Sexual Abuse: Staff-on-Inmate/Staff-on-Parolee
Sexual Abuse is when an employee, volunteer, intern or outside contractor
engages in sexual conduct, including sexual contact, with an inmate or parolee.
Staff-on-Inmate Sexual Abuse is a form of "Prison Rape" under PREA.
D.
Attempt to Commit Sexual Abuse is when a person engages in conduct that tends to
effect the commission of sexual conduct, including sexual contact.
E.
Sexual Threat means any spoken, written, or other threat to engage in sexual conduct
forcibly or against a person's will. A sexual threat is a type of sexual harassment.
F.
Sexual Harassment includes:
1. Repeated and unwelcome sexual advances, requests for sexual favors, or verbal
comments, gestures, or actions of a derogatory or offensive sexual nature by one
inmate, detainee, or resident directed toward another; and
NO
4028A, Sexual Abuse Prevention
&
Intervention
-
Staff-on-Inmate/Staff-on-Parolee
DATE 11/29/2017 PAGE3of6
2.
Repeated verbal comments or gestures of a sexual nature to an inmate, detainee,
parolee, or resident by a staff member, contractor, or volunteer, including
demeaning references to gender, sexually suggestive or derogatory comments
about body or clothing, or obscene language or gestures.
G.
Staff Voyeurism means the intentional or surreptitious viewing, broadcast or recording
of an inmate dressing or undressing or of the sexual or other intimate parts of such
inmate for the purpose of sexual arousal or sexual gratification, amusement,
entertainment, or profit, or for the purpose of degrading or abusing a person.
NOTE: "Staff Voyeurism" does not include the viewing of the sexual or other intimate
parts of another person during a personal search in accordance with Department
procedures as outlined in Directive #491O; or inadvertently or accidentally during
rounds, while assigned to monitor Department security camera systems, during the
performance of other official duties; or during a medical examination by health care staff
for a proper medical purpose.
H.
Inappropriate relationship means any association with criminals or persons engaged in
unlawful activities or any conversation, communication, dealing, transaction,
association, or relationship with any inmate, former inmate, parolee or former parolee,
or any visitor, friend, or relative of same in any manner or form which is not necessary
or proper for the discharge of the employee's duties, and that has not been authorized
in accordance with applicable policy.
IV.
PURPOSE: The purpose of this Directive is to provide guidelines for the prevention,
detection, response and investigation of sexual abuse, sexual harassment or sexual threats,
or any act of retaliation against an inmate or parolee for reporting such an incident or for
participating in an investigation of such an allegation, including prompt and effective
intervention to address the safety and treatment needs of a victim of sexual abuse or sexual
harassment, and the investigation, discipline and prosecution of the aggressor(s).
V.
PROCEDURE
A.
Training
1. In accordance with the Department of Corrections and Community Supervision
Training Manual, all employees shall receive, during initial training and as in-
service training instruction that relates to the prevention, detection, response, and
investigation of sexual abuse and sexual harassment in a correctional environment.
Training includes initial training, refresher training at least every two years,
orientation training upon reassignment to another correctional facility, and annual
refresher information.
2. All contractors and contract employees, volunteers, and interns shall receive
orientation and periodic in-service training consistent with their level of inmate
contact relating to the prevention, detection, and response to sexual abuse and
sexual harassment.
3. All inmates shall receive during orientation at reception, and at facility orientation
after transfer, information which addresses sexual abuse and sexual harassment.
The information shall be communicated orally and in writing, in a language clearly
understood by the inmates. This information will address prevention, self-
protection (situation avoidance), reporting sexual abuse and sexual harassment,
and the availability of treatment and counseling.
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B.
Reporting and Investigation of Staff-on-Inmate/Staff-on-Parolee Sexual Abuse, Sexual
Harassment or Sexual Threats: An inmate or parolee may report an incident of sexual
abuse, sexual harassment, sexual threats, staff voyeurism or any act of retaliation for
reporting such an incident or for participating in an investigation of such an allegation to
any employee. The initial inmate or parolee report may be verbal or in writing. For
reporting purposes under this Directive, "employee" includes any employee, contractor
or contract employee, volunteer, or intern of the Department, or any employee,
contractor or contract employee assigned to work in a Department correctional facility
by any other State agency.
1.
An employee who receives a report that an inmate or parolee is the victim of an
incident of sexual abuse, sexual harassment, sexual threats, or staff voyeurism
must be aware of the sensitive nature of the situation. The victim must be treated
with due consideration for the effects of sexual abuse and sexual harassment.
2.
Any employee who receives a report of sexual abuse, sexual harassment, sexual
threats, staff voyeurism, or any act of retaliation for reporting such an incident or for
participating in an investigation of such an allegation shall:
a. Any facility-based employee shall report the information immediately to their
supervisor, who shall immediately notify the Watch Commander. In the event
the supervisor is not available, the employee shall immediately notify the
Watch Commander directly.
b. Any community-based employee who receives a report involving an inmate or
parolee, who is being supervised in the community has a duty to report such
information to the Supervising Parole Officer (Bureau Chief) who shall
immediately notify the Regional Director. In the event the Supervising Parole
Officer (Bureau Chief) is not available, the employee shall immediately notify
the Regional Director. In the event the Regional Director is not immediately
available, the Assistant Regional Director shall be notified to avoid any delay.
c. The employee shall report the specific details, in writing, to the Watch
Commander or Supervising Parole Officer (Bureau Chief) immediately or as
soon as possible after verbal notification, and no later than the end of the shift.
d. A medical practitioner who receives such information in the course of providing
medical treatment to an inmate is required to report the minimum information
necessary as set forth in the Department of Corrections and Community
Supervision Health Services Policy Manual (HSPM) 1.60.
e. Immediate notification shall be made to the Office of Special Investigations in
accordance with Directive #4028B, "Sexual Abuse Reporting & Investigation -
Staff-on-Inmate/Staff-on-Parolee."
3.
The Watch Commander shall initiate the sexual abuse protocols in accordance with
the facility's Coordinated Response Plan to an Incident of Inmate Sexual Abuse,
including securing the crime scene, where appropriate.
4.
Reports of sexual abuse and sexual harassment are confidential and information,
including but not limited to the identity of the victim, the identity of the person
reporting the sexual abuse or sexual harassment, the identity of witnesses and the
identity of the alleged perpetrator, is only to be shared with essential employees
involved in the reporting, investigation, discipline, and treatment process, or as
otherwise required by law.
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5.
No retaliation of any kind shall be taken against an inmate, parolee or employee for
good faith reporting of sexual abuse, sexual harassment, or sexual threats.
6.
A prompt, thorough, and objective investigation shall be conducted in all instances
of reported sexual abuse, sexual harassment, inappropriate relationships, and
retaliation for reporting such an incident. As directed herein and in accordance
with Directive #0700, "Office of Special Investigations (OSI)," and other applicable
department policies, this investigation shall be initiated promptly and shall be the
responsibility of the Office of Special Investigations who shall determine the
appropriate investigative response.
NOTE: Allegations of staff-on-inmate/staff-on-parolee sexual abuse or inappropriate
relationships, may be reported to appropriate law enforcement officials and/or
prosecutors by the Department's Office of Special Investigations. A person is guilty of
falsely reporting an incident if it is proven beyond a reasonable doubt that, knowing the
information reported, conveyed, or circulated to be false or baseless, he or she reports
to a law enforcement officer or agency the alleged occurrence of an offense or incident
which did not in fact occur (Penal Law§ 240.50). A report made in good faith based
upon a reasonable belief that the alleged conduct did occur does not constitute falsely
reporting an incident or lying for the purpose of disciplinary action, even if investigation
does not establish evidence sufficient to substantiate the allegation.
C.
Discipline and Prosecution: When investigation substantiates an allegation of sexual
abuse and/or inappropriate relationships, it is the Department's policy to refer such
incident to the appropriate law enforcement agency or prosecutor, through the
Department's Office of Special Investigations, for consideration of criminal charges.
Any conduct constituting sexual abuse, sexual harassment, staff voyeurism,
inappropriate relationships or any act of retaliation against an inmate, parolee, or
employee for reporting an incident of sexual abuse, sexual harassment, staff voyeurism,
inappropriate relationships, or for participating in an investigation involving any of those
acts may be the basis for disciplinary action whether or not prosecution or a conviction
results.
VI.
STAFF DUTY TO REPORT
A.
An inmate or parolee may report an incident of sexual abuse, sexual harassment,
sexual threats, or an allegation of retaliation concerning such an incident to any
employee. The employee shall immediately notify his or her supervisor pursuant to
Section V above. The initial inmate or parolee report may be verbal or in writing.
B.
In addition to reporting an allegation of sexual abuse, sexual harassment, sexual
threats, or retaliation as reported by an inmate or parolee, all employees, regardless of
title, are under a duty to report:
1.
Any knowledge, suspicion, or information regarding an incident of sexual abuse or
sexual harassment that occurred in a facility, whether or not the facility is part of
the Agency including:
a. Any sexual conduct (sexual intercourse, oral sexual conduct, anal sexual
conduct, aggravated sexual contact, or sexual contact) between another
employee and an inmate or parolee;
b. Any inappropriate relationship between another employee and an inmate or
parolee;
c. Any act of staff voyeurism; or
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d.
Any allegation of retaliation for reporting an incident of sexual abuse, or for
participating in an investigation of an allegation of sexual abuse.
2. Retaliation against inmates, parolees, or staff who reported such an incident; and
3. Any staff neglect or violation of responsibilities that may have contributed to an
incident or retaliation.
C.
Any employee having either knowledge or a reasonable belief of any sexual abuse or
sexual conduct, including sexual contact, taking place or having taken place between
any employee and an inmate or parolee, sexual harassment, any inappropriate
relationship between any employee and an inmate or parolee, or any act of staff
voyeurism has a duty to report such information.
1. Any facility-based employee shall report such information to their supervisor, who
shall immediately notify the Watch Commander. In the event the supervisor is not
available, the employee shall immediately notify the Watch Commander directly.
2. Any community-based employee shall report such information to the Supervising
Parole Officer (Bureau Chief) who shall immediately notify the Regional Director.
In the event the Supervising Parole Officer (Bureau Chief) is not available, the
employee shall immediately notify the Regional Director. In the event the Regional
Director is not immediately available, the Assistant Regional Director shall be
notified to avoid any delay.
D.
Any employee who receives a report of sexual abuse or sexual harassment, or has
either knowledge or a reasonable belief of any sexual abuse, sexual conduct, sexual
contact, sexual harassment, inappropriate relationship or staff voyeurism between an
employee and an inmate or parolee, or any act of retaliation against an inmate, parolee,
or employee for reporting an incident of sexual abuse, sexual harassment, staff
voyeurism, inappropriate relationship, or for participating in an investigation involving
any of those acts, and who fails to report such information, may be subject to
disciplinary action.
and
Con1munity Supervision
DIRECTIVE
TITLE
Search of DOCCS
Employees
NO.
4936
DATE
4/4/2017
SUPERSEDES
DIR #2115, #4936 Dtd. 10/10/2012
DISTRIBUTION PAGES
A
PAGE
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7
DATE LAST REVISED
02/08/2018
REFERENCES (Include but are not limited to)
Directives #2115, #3083, #4900, #4910, #4937, #4938;
Employees' Manual
I. PURPOSE: The presence of contraband within a Department workplace or a correctional
facility and its possibility of subsequent possession and/or use by inmates threatens the
security of the facility; it endangers the safety of inmates, employees, visitors, and the
community.
Introducing or possessing contraband in a facility is a violation of the New York Penal Law
and Department of Corrections and Community Supervision (DOCCS) Rules and
Regulations and violators are to be prosecuted. Employees attempting to introduce
contraband or who are in possession of contraband shall be subject to both prosecution and
disciplinary action.
Sound security operations require routine, periodic, and special searches of all persons
entering the workplace. This directive outlines the security procedures to be followed in
searching employees while on Department property, which may include work spaces. See
also Directive #4900, "Security in Gate Areas/Secure Posts," and Directive #4910, "Control
of & Search for Contraband."
II. GUIDELINES: Section 2.30 of the Department's Employees' Manual states:
Any employee on Department property or while on duty is subject to search, which may
include workspaces. All employees will routinely be subjected to a metal detector search
and packages and other articles carried into the workplace may be routinely inspected. Pat
or strip searches may be conducted. Any article that may not be properly taken into or out of
the facility may be confiscated and turned over to the Officer in Charge for appropriate
disposition. Refusal by an employee to submit to a search is insubordination, shall be cause
to refuse him or her entrance to the facility or workplace, and may constitute grounds for
disciplinary action. The Department's policy and procedures concerning such searches are
contained in Directive #4936, "Search of DOCCS Employees."
Among the many procedures that may be taken to ensure safe and secure facilities and
workplaces is the procedure that permits the searching of employees at any time they are on
Department property. The need for this procedure has been demonstrated by those
occasions when employees have been found to possess contraband within the facilities or in
the workplace.
It must also be recognized that all employees shall be treated fairly and in a dignified manner
on those occasions when a search is required. Screening staff must be respectful of a
person's belongings. Belongings and contents should not be handled carelessly, or in a
manner that attracts unnecessary attention. Screening staff shall not make unnecessary or
inappropriate comments regarding a person's belongings that might cause embarrassment.
Additionally, no inmates will be allowed to remain in the area, or allowed to view screening
procedures, when electronic searches of staff are being conducted.
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A.
Metal Detector Searches: All employees will be subject to metal detector searches
upon entering a correctional facility in accordance with Directive #4900 (walk-through,
Cellsense, and/or hand held). On a daily basis, the Superintendent or designee (rank of
Captain or above) will determine in what manner this will occur, ranging from a random
predetermined number of employees entering the facility that will change each shift and
day, up to and including all staff entering that facility. The determination will be
documented in the Watch Commander's Logbook. It is the responsibility of the staff
person being searched to clear the metal detector. Metal detector searches must be
supervised by a Sergeant or higher.
1.
It is expected that the vast majority of staff persons will clear the metal detection
screening with minimal delay. However, if the metal detector alerts and the alerting
area is isolated and cannot be resolved, a hand held metal detector will be utilized.
In the case of a staff person who may be wearing an underwire bra, the use of a
hand held metal detector should resolve the alert to the satisfaction of the
supervisor without the need for additional steps. However, if this particular alert or
any other alert cannot be resolved to satisfaction of the supervisor, he or she will
immediately notify the Watch Commander who in turn will notify the
Superintendent, Deputy Superintendent for Security (DSS) or Officer of the Day
(OD) to determine the next appropriate step or if additional processing procedures
are necessary.
Staff persons who have medical conditions that do not allow them to clear or pass through
a walk through metal detector device will be issued a pass by the Superintendent, upon
receipt of administratively acceptable medical documentation indicating their medical
condition and the extent of the restriction(s) regarding their ability to clear electronic
screening. The purpose of the medical alert pass is not to relieve the entering person of
the responsibility to clear the staff entrance and search procedure, but to provide an
opportunity for the person and the administration to tailor the procedure to that person's
unique medical situation. Screening staff conducting searches of entering staff persons
with medical passes must still be reasonably assured that no prohibited objects are
entering the facility.
Note: Board of Parole member, Central Office staff and other Department employees
entering any correctional facility for official business will be processed as facility
employees, they will be subject to metal detector and periodic pat frisk searches under
the same manner as prescribed in Section II-A
&
B.
Packages, containers, and other articles carried into the facility shall also be
searched/frisked upon entrance and exit of the facility and may be subject to x-ray.
Note: Packages, containers, and other articles containing documents and equipment
carried by members of the Board of Parole and their Court Reporters, Central Office
staff, the Office of Special Investigations, the Bureau of Labor Relations in connection
with an official investigation or labor relations cases, and the facility Executive team may
be visually inspected, however, frisking staff are prohibited from reading or reviewing
the content of such documents and shall not view the contents of the file folders without
the approval of the Commissioner.
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B.
Pat Frisk Searches: The Superintendent will order periodic pat frisk searches of any
employee to be conducted in a designated area. Pat frisk searches shall be supervised
by a uniformed supervisor of the rank of Sergeant or above or a non-uniformed
employee of a higher pay grade than the employee being searched. The Officer
conducting the pat frisk search must be of the same sex as the employee being
searched. In addition, the Watch Commander may approve a pat frisk of an employee
based on suspicion or inability to clear the metal detector.
Religious headwear is not considered part of a person's belongings, but rather their
person. Random pat frisks should not ordinarily include removal and inspection of
religious headwear. Except in emergencies, the Watch Commander or above is
required to authorize the search of religious headwear.
C.
Strip Searches
1. Definition: For purposes of this directive, a strip search is defined as an inspection
of the naked body of the person, and an examination of the person's clothes and
personal effects.
2. A strip search of a facility employee may only be conducted on the order of the
Superintendent, Acting Superintendent, or the Officer of the Day when the
Superintendent or Acting Superintendent is absent from the facility and cannot be
contacted.
3. Prior to ordering such a strip search, the Superintendent, Acting Superintendent, or
Officer of the Day must make a determination of reasonable suspicion, based upon
a review of the specific facts in each situation and rational inferences drawn from
the facts.
The following illustrations will provide guidance in determining whether there is
"reasonable suspicion" in order to approve an employee strip search.
•
Illustration #1: Superintendent Doe receives information from two
Correction Officers that employee Roe is bringing marijuana into the
correctional facility on a certain day. One of the Officers has given the
Superintendent reliable information in the past. There is reasonable
suspicion in order to approve a strip search of employee Roe.
•
Illustration #2: Inmate Jones informs Superintendent Doe that employee
Roe is helping inmate Smith to escape from the facility. Another employee
confirms this with additional information that Roe is bringing in drugs and a
hacksaw on a certain date. There is reasonable suspicion and the
Superintendent may approve the employee's strip search.
•
Illustration #3: Superintendent Doe receives general rumors from uniformed
supervisors and another reliable source that employee Roe was bringing
contraband into the facility. Further, the Superintendent received the same
general information from an inmate who has provided reliable information in
the past at another facility. Finally, contraband had been discovered at the
facility. These facts justify the Department's decision to approve a strip
search of employee Roe.
NO. 4936, Search of DOCCS Employees
DATE 4/4/2017
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•
Illustration #4: Inmate Jones gives information to the Department that
employee X was bringing drugs into the facility. There is no evidence that
this inmate had a history of providing reliable information in the past.
Further there is no corroborating evidence. These circumstances do not
satisfy the reasonable suspicion standard to justify a strip search.
4.
Strip searches must be supervised by a uniformed supervisor having at least the
rank of Lieutenant, or at a minimum security facility where it may be a Sergeant if
he or she is the ranking supervisor present.
5.
No more than one searching employee may be present in addition to the
supervising employee. Additional staff presence must be approved by the
Superintendent, Acting Superintendent, or OD as provided in II-C-2 above.
6.
Employees who are to be searched will be treated in a professional manner. Such
strip searches shall be conducted in areas which are clean and heated, have
appropriate floor covering on which to stand, and have a space for the employee's
clothing to be placed off of the floor.
7.
The employee to be searched shall be escorted to the appropriate private area and
kept under direct visual observation until commencement of the search.
8.
The supervising and searching employees must be of the same sex as the
employee being searched. If a ranking female security supervisor is not available,
the Superintendent shall designate a female employee (holding a higher grade
than the employee being searched) to be present during the search.
9.
An employee may refuse to submit to a strip search, but such refusal shall be
cause to deny the employee's entrance to the facility and shall be grounds for
disciplinary action.
10.
The employee being searched may request the presence of a witness or union
representative. If the employee being searched is a non-uniformed employee,
every effort should be made to have the employee's supervisor present during the
search if the employee so requests.
11.
Subsequent to the search, the employee will be provided with a statement that will
include: date of search, time of day, location, identification of searching employees,
supervising employee, representative or witness present, and the results of the
search. This report shall be delivered to the employee and, upon the employee's
request, the union representative no later than the end of the work day following
the day the request was made.
12.
A copy of such statement shall be forwarded to the Deputy Commissioner for
Correctional Facilities.
When on Department property not associated with a correctional facility (e.g.,
Central Office, satellite offices, regional parole offices, and other Department
properties), pat or strip searches may be conducted only on the order of the
assigned Deputy Commissioner having oversight of that area.
13.
The search area on other Department properties will be designated by the
assigned Deputy Commissioner, and in correctional facilities, will be designated by
the Superintendent or Acting Superintendent.
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DATE 4/4/2017 PAGE 5 of 7
D.
Prohibited Strip Searches and Frisks
1. Random strip searches are not allowed.
a. Definition: For purposes of this directive, a random strip search is a strip
search conducted for security or investigatory reasons when there has not
been a Superintendent's determination of reasonable suspicion regarding a
specific individual.
b. Random strip searches are not to be ordered. There must be a finding of
reasonable suspicion that an individual employee was attempting to introduce
contraband into the correctional facility prior to ordering the strip search of an
employee.
2. Strip frisks are not allowed without a search warrant.
a.
Definition: For purposes of this directive, a strip frisk is defined as a search
including a visual examination of the anal and genital areas of the person
searched.
b.
No employee shall be strip frisked, unless the Superintendent has first secured
a search warrant for that person to be strip frisked.
Ill. ITEMS FACILITY STAFF ARE ALLOWED TO CARRY IN TO A CORRECTIONAL
FACILITY
A. All staff will be required to use a clear bag (approximate dimensions 11" wide by 7"
deep by 1O" tall, with a zipper pouch in front) as distributed by the Department. Staff will
be permitted to identify their issued bag with their name placed on the bottom of the bag
only. The bag will not be altered in any manner, including but not limited to, any items
affixed/placed, inscribed, sewn on, etc to the clear bag.
B. Staff members requiring the use or carry of personal medical devices/supplies of a
private/sensitive nature, or female employees who are required to carry feminine
hygiene products shall be permitted to carry said items in a pouch that is clear on one
side and solid on the other. This bag will fit into the clear bag as outlined in Section Ill-A
of this directive, which will allow for appropriate inspection, while maintaining privacy
from a distance.
C. Staff shall be permitted to carry, on their person, or in their clear bags, those items that
are outlined on Attachment A, "Staff Allowable Items List."
NO. 4936, Search of DOCCS Employees
Attachment A
Replacement Page Date 02/08/18
DATE 4/4/2017 PAGE 6
of
7
STAFF ALLOWABLE ITEMS LIST
• Clear employer provided bag (all other bag(s) are
PROHIBITED
except for staff whose job
assignment requires carrying documents into and/or out of the facility, may be permitted to
carry a briefcase, file box, or folders as approved by the Superintendent)
• Uniformed staff are permitted the items as listed in Directive #3083, "Uniform/Equipment
Issue and Appearance"
• Employees required to wear Department issued clothing are permitted one (1) change of
clothing to be secured in a locker not accessible by inmates
• Wallet/badge case with personal documents (e.g., identification cards, credit cards, driver's
license, bank cards, etc.)
• Cash, no more than $100, for food, ordered from an outside business, vending machines
and/or employee mess dining room, if equipped
• Vehicle/personal keys
• 2 pens and 2 pencils
• Calendar book
• Notepad
• Pad folio (1)
• Highlighter (1)
• Key clip(s)
• Food/drinks (reasonable amounts as determined by the Watch Commander or above)
o
Uncooked eggs, meats, poultry, and fish are PROHIBITED;
o
Unprepared frozen food is PROHIBITED;
o
Microwaveable prepared meals are permitted;
o
Packaged in the original packaging, if store bought, or in see-through clear plastic
containers;
o
Metal and glass containers are prohibited with the exception of a Thermos
TM;
o
All consumable canned goods (e.g., beverages/soda, food that can be heated);
o
Tea;
o
Ground coffee and coffee filters;
o
Coffee cream;
o
Sugar.
• Plastic eating utensils
• Cold pack
• Ace bandage (1)
• Wrist wrap (1)
• Band aides (6)
• Neosporin (small tube)
• Depends
• Ceramic coffee mug
• Feminine hygiene products
• Tissues
• Toothbrush
• Toothpaste (travel size only)
• Breath mints (1) retail package
• One (1) Chap Stick or lip balm
NO. 4936, Search of DOCCS Employees
Attachment A continued
Replacement Page Date 02/08/18
•
Lotion (travel size only)
• Hand sanitizer (travel size only)
• Sunscreen (travel size only)
• Plastic comb or brush
• Rain coat
• Sweater
• Change of shoes
DATE 4/4/2017 PAGE 7 of 7
• Winter jacket, scarf, gloves, haUearmuffs, facemask, and boots
• Umbrella (no golf size or pointed end)
• Watch
(PROHIBITED: Internet, Cellular, Bluetooth, or Wi-Fi capable/enabled)
•
Rings
• Earrings (no hoop or dangling)
•
Bracelet(s)
• Necklace(s)
• Small compact mirror
• Eyeglasses (2 pairs) and non-mirrored sunglasses (1 pair)
• Contact lenses
• Contact lenses solution (1 Bottle)
• Hearing aids/batteries
• Tobacco products (maximum of one pack, can, pouch, or factory container of tobacco
product)
•
Electronic Cigarettes are PROHIBITED
• Pack of matches or lighter (2)
• Employees may carry a personally-owned knife with a folding blade (blade not to exceed
2" in length). The knife will be carried in such a way that it is out of view. Under no
circumstances will a knife be carried in a sheath/pouch exposed. Combination tools, such
as a Leatherman tool are not authorized.
•
Medication - In accordance with 7.13 of the Employees' Manual:
o
Controlled substances are not permitted to be possessed, stored, or consumed in any
facility, except upon valid order or prescription from a qualified physician.
Under no circumstances shall inmates have access to opiates, narcotics, or other
substances producing similar affects.
o
Employees who must, on orders of a physician, take medication during working hours
shall bring into the institution only the dosage which they will be required to take during
their tour of duty (including Epi-pens and Diabetic supplies). See Directive #2115,
"Drug Tests for Employees", #4937, "Urinalysis Testing," and #4938, "Contraband Drug
Testing."
o
Over the Counter (OTC) medications that are readily identifiable are allowed into the
facility; only the dosage which is required for tour of duty is allowed.
Personal items not listed above, such as personal affects for an office, may be approved by
the facility Superintendent and placed on a gate pass with a copy of such approval available
for review.
Absent the aforementioned provision regarding personal items and the approval process, no
items other that those listed above shall be allowed to be brought into the facility without the
express written approval of the Commissioner or Deputy Commissioner for Correctional
Facilities.
Community Supervision
DIRECTIVE
TITLE
Research Studies and
Surveys
NO.
0403
DATE
10/14/2015
SUPERSEDES
DIR #0403 Dtd. 7/26/2011
DISTRIBUTION PAGES
A
PAGE
1
OF
3
DATE LAST REVISED
REFERENCES (Include but are not limited to)
28 C.F.R. Part 20
.
APPROVING AUTHORITY
- c&\Q,0f-
I.
PURPOSE: It is the Department of Corrections and Community Supervision (DOCCS)'s
policy to promote research in the field of corrections and community supervision and to
support professional studies of Departmental operations. Research involving offenders,
staff, and Departmental operations will be authorized and conducted in accordance with the
guidelines and procedures contained in this directive.
II.
POLICY
A Medical or Cosmetic Experimentation and Pharmaceutical Testing: Medical or cosmetic
experimentation and pharmaceutical testing may not be conducted on inmates.
Inmates may not be used as subjects for any non-therapeutic medical experimentation,
including the use of unestablished drugs and unapproved medical techniques. This
applies to any inmate in the custody of the Department regardless of the location of that
inmate (e.g., in a State facility, jail, State institution or other facility). It is not intended
that this policy in any way limit the use of accepted diagnostic and therapeutic
measures, nor the collection of data relative to the use of such measures, when
performed for bona fide medical indications under acceptable medical supervision.
This does not preclude the use of U.S. Department of Health and Human Services'
approved clinical trials, diagnostic and therapeutic measures that may be warranted for
the diagnosis or treatment of a specific inmate when recommended by the responsible
physician and approved by the facility Medical Director. Such measures must have the
prior full informed written consent of the affected inmate and must be conducted under
conditions approved by the U.S. Department of Health and Human Services and the
DOCCS Deputy Commissioner and Chief Medical Officer.
B.
Undergraduate and Graduate Students: Requests from undergraduate college students
to conduct research studies will not be approved. Research proposals from graduate
students will be reviewed three times a year during the months of February, May, and
October. Graduate students may submit proposals in other months with the
understanding that the processing of proposals will only occur in the designated
months.
C.
Guidelines for Approval: Approval of requests to conduct research studies will be based
on the following guidelines:
1. The research is requested and will be conducted by professional researchers,
college faculty, or graduate students engaged in their masters or doctorate studies.
2. An acceptable research design for the proposed study is submitted.
3. The proposed study promises to have some value for the Department.
NO. 0403, Research Studies and Surveys
DATE 10/14/2015
PAGE 2 of 3
4. The study will not disrupt Department routine or interfere with personnel carrying
out their duties.
5. Interviews of offenders or staff will be done on a strictly voluntary basis.
6. Subjects used in the study will not be identified by name or in any way which would
reveal their identity.
7. The researcher agrees to submit a draft of the study to the Department for review
prior to completion and publication. This review will be concerned only with factual
errors or misinterpretations of Departmental policies and procedures, and not with
the findings or conclusions reached by the author.
D.
Departmental Dissemination: The Department reserves the right to disseminate any
findings, within the Department or to other State agencies, if deemed necessary or
helpful.
Ill. PROCEDURE
A. Application for Permission to Conduct Research
1.
The application shall be submitted to the Director of Research of the Department of
Corrections and Community Supervision, 1220 Washington Avenue, Albany, N.Y.
12226-2050.
2.
The application shall include the following information:
a.
Title of study;
b.
Names, addresses, and telephone numbers of principal researcher and all
research staff; and
c.
An endorsement by a recognized research organization such as a university,
college, private foundation, consulting firm, or public agency with a mandate to
perform research certifying that the research proposal is for valid scientific,
educational, or other public purpose;
If the applicant is associated with an institution or an accredited university that
has an Institutional Review Board (IRB), the applicant must submit
documentation showing that the IRB has approved the project.
d.
A summary of the goals of the study and the justification for the research; and
e.
A detailed research design including the following elements:
(1)
The Departmental resources and personnel that may be needed for the
study;
(2)
The criteria and procedures for selection of subjects or records for the
research;
(3)
The procedures for data collection and copies of research instruments to
be used including interview schedules, questionnaires, data collection
forms,andtes ;and
(4)
The security procedures to protect the privacy of participants and
confidentiality of Department records.
NO. 0403, Research Studies and Surveys
DATE 10/14/2015
PAGE 3 of 3
3.
If the study requires the direct involvement of offenders or Department staff, such
as by participating in interviews or completing questionnaires, the researcher must
consent to and provide information necessary for processing a criminal history
inquiry and disclose any prior misdemeanor and felony convictions. If a criminal
history inquiry is required, associated costs will be borne by the researcher. If on
probation or parole, the researcher must provide a letter from his or her supervising
officer giving permission to conduct the research. The Director may ask the
appropriate executive staff to review the proposal and to submit a recommendation
for approval or disapproval.
4.
The Director shall ensure that all researchers are informed of Department policy
concerning research. The "Research Agreement," Form #0403A, shall be signed
by the researcher. The Director shall indicate approval of the research project by
signing Form #0403A and returning a copy to the researcher.
B. Conduct of Research
1.
The researcher shall explain the goals and methods of the study to all potential
subjects; a written summary shall be provided to each potential subject. All
offenders shall be informed that their participation in the research is purely
voluntary and will not affect the terms or length of their confinement or community
supervision.
2.
The researcher shall obtain signed consent, Form #0403B, "Research/Survey
Consent Form," from all individuals who are scheduled to participate in the
research.
NOTE: The researcher must be cognizant of the need to provide foreign language
assistance to those non-English speaking individuals wno are to be included in the
research project.
3.
Any data collected during the course of the research shall be used only in the
manner described to the subject prior to his or her entry into the study.
4.
No employee of the Department or inmate shall receive compensation,
remuneration, or payment of any kind for participation in the research study. A
minimal stipend for releasees participating in a study may be approved.
C. Violations of Research Regulations
1.
Permission to conduct the current study and any further research may be
discontinued for any violations of these policies and regulations regarding outside
research, or of any other applicable Department policies and regulations in the
course of conducting the research.
2.
Violations of the regulations (See Form #0403B) with regard to criminal offender
record information may subject the violator to civil or criminal liability.
and
Community Supervision
DIRECTIVE
TITLE
Inmate Visitor Program
NO.
4403
DATE
08/23/2016
SUPERSEDES
DIR #4403 Dtd. 10/10/1991
DISTRIBUTION
PAGES
A B
PAGE 1 OF 25
DATE LAST REVISED
3/7/2018
REFERENCES (Include but are not limited to)
Correction Law 146 and 7 NYCRR Part 200, 201, 302 and Chapter V,
Subchapter A
APPROVING AUTHORITY '·
I.
PURPOSE:
This directive sets forth the policy and guidelines for uniform operation of the
Inmate Visitor Program which gives inmates opportunities for personal contact with friends
and relatives to promote better community adjustment upon release. This directive sets
forth the requirements of the Inmate Visitor Program, provides for a uniform manner of
operation of the program, and is intended to provide such guidance for Department staff,
inmates, and visitors to correctional facilities under the jurisdiction of the Department of
Corrections and Community Supervision. The full text of 7NYCRR Part 200 and Part 201;
and this directive are located on the Department Website at: www.doccs.ny.gov.
I.
PURPOSE
II.
REFERENCES
Ill. GENERAL POLICIES
A. Visiting Times
B. Visiting Spaces
C. Local Control
D. Inmate Consent
E. Security
F. Visitor List
G. First-time Visitors
IV.
RESTRICTIONS
A.
Visitors under 18
B.
Visitors with Criminal
Histories
C.
Visits to Hospitalized
Inmates
D.
Cross-Visiting
E.
Orders of Protection
V.
ENTRANCE RULES AND
PROCEDURES
A.
Identification
B. Sobriety
C. Attire
D. Contraband
E. Packages
F. Medication
G. Money
H. Small Children
VI.
SEARCHES
A.
Search Procedures
B.
Strip Searches
C.
Substance Detection Test/ION
Scan
VII.
VISITING ROOM PROTOCOL
AND RULES
A. Search
B.
Food
C. Objectionable Behavior
D. Physical Contact
E. Physical Conduct
F.
Exchange/Review of Items
G. Legal Visits
H. Lavatories
I.
Departure
J. Smoking - Prohibition
VIII.
TERMINATION, SUSPENSION
&
INDEFINITE SUSPENSION
A.
Termination of a Visit
B.
Notification of Temporary
Suspension
C.
Limitation to Non-Contact
Visiting
D.
Visitor Suspension Less Than
Six Months
E.
Visitor Suspension Six Months
or More, Including Indefinite
Suspension
F.
Inmate Suspension
G.
Types of Visiting Penalties
IX.
VISITOR APPEAL HEARING
X.
RECONSIDERATION OF
SUSPENSION MORE THAN
TWO YEARS
APPENDIX A - (Misconduct/Penalties
Chart)
II.
REFERENCES:
The following sources contain additional information concerning visits to
correctional facilities and/or communication with inmates:
#4022 - Special Events Program
#4404 - Inmate Legal Visits
#4421 - Privileged Correspondence
#4422 - Inmate Correspondence Program
#4423 - Inmate Telephone Calls
#4500 - Family Reunion Program
#4760 - Inmate Organizations
#4935 - Outsiders Visiting or Applying to
Visit Facilities
NO. 4403, Inmate Visitor Program
PAGE 2 of 25
DATE 08/23/2016
Ill. GENERAL POLICIES
A.
Visiting Times: Unless a different schedule is approved by the Commissioner, at
maximum security facilities, visiting is allowed every day of the year and at hours
intended to encourage maximum visitation.
At medium and minimum facilities, visiting is allowed on weekends and holidays only.
At Work Release facilities, only inmates held in restriction status shall be allowed
visitors.
At Upstate and Southport Correctional Facilities, visiting is allowed on weekends and
holidays only and visits for inmates confined to a Special Housing Unit (SHU) are
limited to one non-legal visit per week.
Visiting in special program units will be permitted on a schedule approved by the
Commissioner or designee.
Except in cases of emergency, and except for instances of denial, termination, a term
of suspension or indefinite suspension of either a visitor's or inmate's visiting privileges
under the provisions of 7 NYCRR Part 201 and 7 NYCRR Chapter V, Subchapter A (as
described in Section VIII of this directive), the number, length, and frequency of visits
by each visitor will be limited only as necessary to accommodate all visitors who arrive
during scheduled visiting times.
B.
Visiting Spaces: The designated area or areas for visiting shall be specified and
arranged to provide as much space as practical, while maintaining appropriate security,
along with adequate heat, light, and ventilation, convenient seating arrangements for
both visitors and inmates, lavatory facilities, and any other appropriate
accommodations.
In facilities which have more than one visiting area, visiting room assignments may be
made based upon the inmate's program assignment, institutional adjustment, or
security risk level. However, in such instances, no inmate shall be deprived of visiting
privileges available to inmates in the general population except as provided in 7
NYCRR Section 201 and 7 NYCRR Chapter V, Subchapter A (as described in Section
VIII of this directive).
The Superintendent will designate an area for confidential meetings which will insure
the privacy of conversations during professional visits of attorneys or their duly
authorized representatives or visiting clergy (see Directive #4202, "Religious Programs
and Practices," and Directive #4404, "Inmate Legal Visits").
C.
Local Control: Superintendents may modify Departmental visiting rules to adjust to
local conditions only with the prior approval of the Commissioner.
However, a Superintendent may deny, limit, suspend for a term, or indefinitely suspend
visitation privileges of any inmate or visitor if the Superintendent has reasonable cause
to believe that such action is necessary to maintain the safety, security, and good order
of the facility. See Section VIII below.
D.
Inmate Consent: No inmate is to be visited against his or her will by any person
including attorneys or their duly authorized representatives, or representatives of the
news media.
E.
Security: All visitors, inmates, and visiting areas will be searched prior to visiting and
carefully observed to guard against importation of contraband, to deter misbehavior,
and to prevent escapes. All inmates and visiting areas will be searched after visiting.
NO. 4403, Inmate Visitor Program
PAGE 3 of 25
DATE 08/23/2016
F.
Visitor Record: A record of prospective visitors for each inmate, and a record of each
visit will be maintained. Unrecorded persons will not be admitted to a facility except as
provided for in sub-section G below.
1.
Names provided by an inmate at reception will form the basis for that inmate's
Visitor Record. This record will be maintained and updated by each facility having
custody of the inmate.
2.
The facility Visitor Record will be updated as visitors register and are processed to
visit inmates. This record will be updated by security staff in the area where
visitors are processed.
3.
A visitor's name shall be removed from an inmate's Visitor Record upon written
request of that inmate or the visitor.
G.
First-time Visitors: The Watch Commander will allow initial visits for persons not on an
inmate's approved visitor record subject to the following conditions:
1.
First-time visitors will be allowed to visit if proper identification is presented and if
the inmate to be visited agrees to the visit.
2.
First-time visitors will be required to sign a statement indicating that they have
been advised of and agree to abide by the rules and regulations regarding visiting.
This signed statement will be attached to the inmate's Visitor Record, and a copy
will be sent to the inmate. If the visitor has limited English proficiency
(LEP),
the
statement will be provided in the visitor's dominant language.
IV. RESTRICTIONS
A.
Visitors Under 18 Years of Age
1.
All minors must be escorted by an adult approved to visit or an adult in an official
capacity with proper identification and the approval of the Superintendent or
designee except as otherwise provided in subparagraphs 2, 3, and 4 of this part.
The adult escort will be responsible for the behavior and conduct of the minor
while on facility property as well as for identification of the minor.
2.
Unmarried minors under 18 years of age, who are not accompanied by their
parent or guardian, must have written permission from the parent or guardian to
visit an inmate. Written permission may be mailed to the facility in advance or
presented by the accompanying adult at the time of the visit. The written
permission must be signed before a witness and contain a telephone number of
both the parent or guardian and the witness to permit staff to verify the permission
at the time of the visit.
Married persons under 18 years of age who are related to an inmate do not need
the permission of a parent, guardian, or an adult escort in order to visit an inmate;
however, proof of age and marriage will be required.
3.
Children of inmates will be allowed to visit without written permission. No visit will
be permitted if a court order prohibiting such visiting is on file with the facility.
Children of inmates who are 16 years of age and older will be admitted without
adult escort.
4.
Special arrangements approved by the Superintendent of the facility may be made
for groups of children to be brought to the facility by an adult approved to visit
(e.g., for the Children's Center Program at Bedford Hills).
NO. 4403, Inmate Visitor Program
PAGE 4 of 25
DATE 08/23/2016
B. Visitors with Criminal Histories
1.
Pending or past criminal proceedings, a person's status as a former employee,
contractor, volunteer, or ex-inmate shall not solely disqualify that person from
visiting an inmate in a correctional facility except as provided herein. These types
of visits all require approval by the Superintendent of the facility to be visited. The
Superintendent of a facility may deny visiting privileges to such persons by
indicating in writing to that person, specific reasons, if he or she determines that
the proposed visitor's presence poses a threat to the security and good order of
the facility. Criteria to be considered shall include but shall not be limited to: the
time frame between discharge/releases or post release supervision and the
proposed visit; the purpose of the proposed visit; the former institutional
adjustment of an ex-inmate; the nature of the pending criminal proceeding against
the proposed visitor or inmate; circumstances of separation from service of any
prior employee, contractor, or volunteer; and any other articulable factors the
Superintendent may identify, particularized to the proposed visitor, the inmate
and/or former employee, contractor, or volunteer that establishes or tends to
establish that such proposed visitor may pose a threat.
NOTE: If a proposed visitor, who is a former inmate, wishes to visit a facility
where he/she was never incarcerated and is beyond five years of any
criminal proceedings, discharge/release and/or post release supervision, the
prior approval for visitation is not required.
2.
Pending criminal charges related to conduct at a correctional facility or involving
an inmate shall disqualify a person from visiting any Department facility until
charges are resolved (e.g., promoting contraband).
3.
Persons under probation or parole supervision will be allowed to visit an inmate
only with the prior permission of the Superintendent and written permission of the
person's Probation or Parole Officer.
4.
An inmate released from any facility through the Department's Temporary Release
Program will be allowed to visit another correctional facility only with the prior
permission of both the Superintendent of the facility from which the inmate is
temporarily released and the Superintendent of the facility which the inmate
wishes to visit.
C. Visits to Hospitalized Inmates: If an inmate is in a facility infirmary, Regional Medical
Unit, or outside hospital, the inmate may be visited for limited periods of time by
persons on his or her Visitor Record, an attorney or his or her duly authorized
representative, or visiting clergy. Such visits shall be subject to the approval of the
Superintendent, the facility's Health Services Director or the inmate's doctor, and the
visiting rules of the hospital.
D. Cross-Visiting Requests: Cross visiting is the participation of two inmates in a visit with
one or more visitors. Cross visiting is permitted with the approval of the
Superintendent and, in the case of immediate family members, is to be encouraged.
1.
Inmates wishing to cross visit must submit requests to their respective Offender
Rehabilitation Coordinator at least one month prior to the proposed visit.
2.
Only persons who are on both inmates' visiting records may participate in cross
visits.
3.
Cross visiting may be limited when necessary in order to accommodate all visitors.
NO. 4403, Inmate Visitor Program
PAGE 5
of
25
DATE 08/23/2016
4.
Small children may play with each other with the permission of their families
provided that they are not disruptive.
5.
When a cross visit is taking place the two inmates may participate in a common
photograph.
E.
Orders of Protection: An Order of Protection is issued by the court to limit the behavior
of someone who harms or threatens to harm another person. A variety of courts can
and do issue Orders of Protection. There are two types of Orders of Protection. One
is generally referred to as a "stay away" Order of Protection. When preparing such an
order, the judge will usually check one or more boxes that instruct an individual
(defendant or respondent) to stay away from the protected person and/or his or her
home, school, business, or place of employment. The other type of Order of Protection
is referred to as a "refrain from" Order of Protection. In such an order the judge will
usually check off boxes that instruct an individual (defendant or respondent) to refrain
from engaging in certain behaviors when interacting with the protected person. Often
the order will instruct the individual to, among other things, refrain from assaulting or
otherwise harming the protected person.
Note: A protected person, whether inmate or visitor, cannot waive the protection
afforded by an Order of Protection. As further noted in Section IV-E-3 below,
only a court with proper jurisdiction can modify or terminate an Order of
Protection.
1.
When a correctional facility receives a current "stay away" Order of Protection,
visitation between the individual inmate and the protected person should not be
permitted as the inmate must stay away from the protected person.
2.
When a correctional facility is presented with a "refrain from" Order of Protection,
the presumption is that regular visitation will be allowed, unless there is a reason
to limit or deny such visitation under another provision of this Directive.
Note: It is possible that a judge that issued a refrain from Order of
Protection may have done so under the mistaken belief that there is
normally a physical barrier between an inmate and his or her visitor or that
there is an abundance of security coverage in our visiting rooms.
Consequently, when a correctional facility receives a current refrain from
Order of Protection, the facility may consider contacting the issuing judge to
ensure that he or she understands the physical layout and security
coverage in the facility's Visiting Room. The judge may confirm that contact
visitation can occur or issue a letter or subsequent order clarifying that
visitation should either not occur at all or should only occur when non-
contact visiting space is available at the facility.
3.
An Order of Protection will include an expiration date and can also be modified or
terminated by a subsequent order of the same court. In addition, the standard
form Order of Protection issued in a criminal proceeding involving a Family
Offense (C.P.L. § 530[1]), provides that the Order of Protection is subject to
modification by "subsequent order issued by a family or supreme court, in a
custody, visitation, child abuse or neglect proceeding." In the absence of such
language, however, where multiple Orders of Protection with conflicting provisions
are currently in effect, the Office of Counsel should be contacted for clarification
and, in the interim, the more restrictive provisions should be enforced.
NO. 4403, Inmate Visitor Program
PAGE 6 of 25
DATE 08/23/2016
V.
ENTRANCE RULES AND PROCEDURES:
Inmates and their authorized visitors will be
expected to abide by the visiting rules and regulations, posted facility rules, and to follow the
instructions and guidelines given by facility staff. Violation of visiting rules and regulations,
posted facility rules, or instructions by staff to either inmate or visitor may result in the denial
or termination of a visit and the suspension or indefinite suspension of future visits. (See
"Termination, Suspension, and Indefinite Suspension" in Section VIII below.)
All visitors shall be provided with written notification of the visiting rules; however, it will be
considered sufficient notice if such rules are conspicuously posted. If the visitor has LEP,
the visiting rules will be provided in the visitor's dominant language.
A. Identification: Visitors to a correctional facility will be required to furnish valid unexpired
identification. Failure to produce adequate identification shall result in the denial of a
visit. Prior to visiting, visitors shall sign appropriate visiting forms as required by the
facility. These records will be maintained by the facility.
Adequate identification shall consist of any of the following:
1.
Picture I.D. (e.g., driver's license, non-driver's identification, other government
issued picture identification, Armed Services I.D., or employment identification with
the visitor's picture on it).
2.
Signature Card (e.g., social security card, employment I.D., drug program card, or
any other official document with the visitor's signature on it).
3.
Birth or baptismal certificates shall not be considered adequate identification for an
adult visitor; however, they may be used as identification for a minor child. In the
case of a minor with no other creditable identification documentation, an adult
approved to visit may vouch for the identification of a minor.
4.
To participate in Family Reunion Program visits, a spouse must possess
documentation of a valid marriage license or a declaratory judgment stating the
validity of an out-of-state common-law marriage or same-sex marriage. (See
Directive #4500, "Family Reunion Program.")
Except at minimum security facilities, each visitor (over 5 years of age) shall be
hand stamped upon entry to a facility to aid in the identification of visitors leaving
the facility.
B. Sobriety: Visitors appearing to be intoxicated or under the influence of drugs will not
be admitted to a correctional facility
C. Attire: Visitors appearing in inappropriate attire will not be admitted to a correctional
facility. The following are unacceptable: see-through clothing, bare midriffs or backs,
plunging necklines, short-shorts or athletic shorts, mini-skirts, bare feet, and bathing
suits. Shorts or skirts shorter than mid-thigh-length are unacceptable. If in doubt, the
visitor should not wear a questionable item of clothing. Visitors are cautioned that
clothing containing metal (e.g., decorative buckles, buttons, or studs) or wire, including,
but not limited to underwire bras, may cause the metal detector to alert and require
further processing pursuant to Section VI of this directive.
DATE 08/23/2016
NO 4403, Inmate Visitor Program
PAGE 7 of 25
D.
Contraband: All visitors shall be searched and required to surrender contraband and
any other article or thing considered potentially dangerous to the safety and security of
the facility. (See "Searches" in Section VI below). Contraband is defined as:
1. Any article or thing the possession of which would constitute an offense under any
law applicable to the public;
2. Any article or thing which is readily capable of being used to cause death or
serious physical injury, including but not limited to a hand gun, shoulder gun,
cartridge, knife, explosive, or dangerous drug (including marijuana);
3. Any article or thing that is introduced into a correctional facility under
circumstances evincing an intent to transfer same to an inmate without the
permission of the Superintendent or designee;
4. Any article or thing that is not specifically authorized to be possessed by an inmate
in a State correctional facility pursuant to the rules of the Department or the local
rules of the facility. Alcohol, money, cellular phones, wireless phones, pagers,
laptop computers, personal digital assistants, any device with global positioning
(G.P.S.) capabilities, any device with audio recording capabilities, radios,
cameras, or other similar electronic devices are among the items inmates are not
permitted to possess. Other items including pocketknives, alcohol, and other
items posted at the facility entrance or as directed by staff is also prohibited.
As a prerequisite to entry to a correctional facility, the Superintendent or designee shall
have the authority to require any visitor to surrender any article or thing to the Gate
Officer if the Superintendent or designee reasonable believes it to be potentially
dangerous to the safety and security of the facility or constitutes contraband as defined
above.
E.
Packages: Prior to a visit, a visitor may leave a package only for the inmate they are
visiting. Only authorized items will be allowed and the package contents will be
searched prior to delivery to the inmate. (Reference Directive #4911, "Packages &
Articles Sent or Brought to Facilities.") An attempt to introduce contraband through a
package may result in the denial or termination of a visit and a term of suspension or
indefinite suspension of future visits.
F.
Medication: Visitors having medication in their possession shall declare it and
relinquish it to the Gate Officer.
1. Medication shall be identified and stored in a secure area.
2. If a visitor needs the medication during the visiting period, it may be obtained as
directed by the facility.
G.
Money: Visitors may leave funds for deposit only to the account of the inmate they are
visiting. Funds may be received in cash, check, or money order, but shall be limited to
$50 per inmate per day regardless of the number of visitors transmitting funds. The
Deputy Superintendent for Administration (DSA) shall employ appropriate fiscal
policies and procedures to insure accountability of monies received.
H.
Small Children: A visitor arriving with a small child will be allowed to take a diaper bag,
three (3) diapers and plastic baby bottles into the visiting room, provided all articles are
thoroughly searched beforehand. If possible, a suitable area within the perimeter of
the visiting room should be provided for the changing of diapers.
NO. 4403, Inmate Visitor Program
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DATE 08/23/2016
VI. SEARCHES
A.
Search Procedures
1.
Each visitor entering the facility shall pass through a metal detector and/or be
scanned with a hand scanner. Any visitor who refuses to comply with search
procedures will not be permitted entry into the correctional facility.
2.
If there is any difficulty clearing a visitor by use of the walk-through metal detector,
a hand scanner shall be used to locate the problem area.
3.
When the hand scanner indicates the presence of metal, which is concealed under
clothing, the visitor shall reveal (if appropriate) the object in question thereby
establishing that the item revealed caused the alarm or, if necessary, the visitor
shall remove the item for inspection.
4.
If, prior to an approved legal visit, an attorney or duly approved legal
representative is unable to clear the metal detection process, staff shall contact
the Superintendent or designee for further direction.
5.
If the visitor is unable to reveal or remove the detected object due to its personal
nature, the visitor shall be provided with a document explaining they have the right
to leave the facility or they can consent to search options listed below.
6.
A limited visual search may be conducted in a private area where an Officer or
staff member of the same sex will visually inspect the area in question by having
the visitor lift any articles of clothing or under garments to satisfy staff that no
contraband is secreted on the visitor's person in the area in question.
Note: When the limited visual search procedure is utilized, staff must obtain a
signed Form #2061, "Notice of Consent to Search," form from the visitor and an
Unusual Incident Report must be filed in accordance with Departmental Directive
#4004, "Unusual Incident Report."
7.
A personal item search: If a staff member of the same sex as the visitor is not
available, a personal item search may be conducted as an alternative to a limited
visual search. The visitor shall be provided a private area or other room that
provides personal privacy to remove items of a personal nature including braces,
underwire bras, etc.; a paper bag in which to place any personal items they have
removed; and an opportunity to use a large mess hall style white shirt as an outer
covering during reprocessing procedures. (The facility shall have at least two x
large and two xx large mess hall style shirts available. The facility must
specifically advise any female visitor who may be required to remove an underwire
bra of the availability of these shirts to wear over their clothes during reprocessing
procedures.)
8.
A visitor shall not be routinely required to remove religious headwear during
search procedures. However, if staff determines following the use of the hand
scanner that removal of the headwear or any other item of religious apparel is
necessary, the item shall be removed in a private area in the presence of a
security staff member of the same sex, if one is on duty.
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DATE 08/23/2016
9. If no security staff member of the same sex is on duty, a non-uniformed staff
member of the same sex shall be used. The staff member of the same sex shall
conduct a hand scanner search and visual inspection of both the visitor and the
removed item in a private area. If there is no staff member of the same sex on
duty, and the visitor still refuses or cannot remove the item due to its personal
nature in the visitor processing area, the visit will be denied.
10. Once the detected item is removed and placed in the paper bag, staff shall
reprocess the visitor via a hand scanner or walk-through metal detector and both
the bag and it's contents shall be discreetly inspected for contraband.
11. All visitors must be dressed in appropriate attire, as outlined in Section V-C above,
when not within the private area. Once the visitor has cleared the detector, the
personal items shall be returned and a private area made available for redressing.
The outer covering shirt shall be returned to a security staff member.
12. Whenever possible, the private area used to disrobe shall not be the same area
that is used for redressing. Any private area shall be out of sight of the inmate
population. If separate areas are not available, staff must search the area before
the visitor enters to redress. Contact between processed and unprocessed
visitors shall be prevented.
13. If the hand scanner fails to locate the source of the problem or the employee feels
that there is probable cause for further processing, he or she shall follow the strip
search procedures as set forth in Section B below, even if the visitor offers to
voluntarily remove items of clothing other than coat, hat, or shoes.
14. Handbags, briefcases, and other containers shall be searched.
15. Items not permitted in the facility shall be properly identified and stored or placed
in available lockers until the visitor leaves the facility. If no locker is available, the
visitor shall remove the item from the facility and secure it in appropriate location
(e.g., the visitor's vehicle).
16. Upon surrender of contraband, the visitor shall be given a receipt for the article.
When such person leaves the facility, the item will be returned upon surrender of
the receipt. If, however, there is reasonable ground to believe that the possession
of such article would constitute an offense under any law, the contraband shall not
be returned to the visitor. Instead, the employee shall detain the visitor in the
facility and notify the appropriate law enforcement agency.
17. When undeclared contraband is found, the visitor's intent shall be controlling. At
times, innocent oversights will occur (e.g., medication). Officers should use their
discretion in judging whether the visitor intentionally attempted to introduce
contraband into the facility. Criteria to be considered include past history, the
visitor's demeanor, whether it appears that the contraband was for the visitor's
personal use and was inadvertently left in a pocket or handbag, and whether an
effort was made to conceal the contraband where it would not readily be found.
B.
Strip Searches
1. If a visitor to a correctional facility has complied with the aforementioned
processes and the Officer in charge believes further processing is required to
prevent the introduction of contraband into the facility, the visitor shall be asked to
remain in the gate area. The Officer in charge shall contact his or her immediate
superior.
NO. 4403, Inmate Visitor Program
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DATE 08/23/2016
2.
If, after evaluating the situation, the supervisor determines that further processing
is warranted, the Superintendent or the designee in charge of the facility shall be
notified and shall make the determination as to whether a strip search of the visitor
is warranted.
3.
In order to justify a strip search of a particular visitor, the Superintendent or
designee, must point to specific objective facts and rational inferences that he or
she is entitled to draw from those facts in light of his or her experience. In other
words, the Superintendent must have reasonable cause to believe that contraband
is concealed upon the person of the visitor, based on specific and articulable facts
and inferences reasonably drawn from those facts. Generalized suspicion of
smuggling activity is insufficient.
4.
Strip searches may not be ordered based on uncorroborated information or 'tips'
merely stating that visitors would attempt to introduce contraband into a facility
where the informant's reliability cannot be assessed and observations of visitors
upon arrival at the facility do not contribute to reasonable suspicion that
contraband is being concealed. Reasonable suspicion exists only if the
uncorroborated information can be linked to other objective facts.
5.
The visitor must be informed that he or she has the option to submit to the
requested search procedure or refuse. If a visitor refuses to submit to a strip
search the visit may be denied by the Superintendent or designee. In the
alternative, a non-contact visit may be allowed in the discretion of the
Superintendent if sufficient staff and a non-contact visiting area is available.
a.
Guilt is not to be assumed from a visitor's refusal to submit to a strip search.
b.
Future visits may not be denied solely on the basis of refusing to submit to a
strip search.
c.
A visitor's past refusal to submit to a strip search may not be used as a basis
or factor in establishing reasonable suspicion for future strip searches.
6.
If a visitor submits to a strip search, the supervisor must obtain his or her written
consent on Form #2061, "Notice of Consent to Search." In the case of a minor
child, the consent must be given by an accompanying parent or guardian. For
purposes of this Section the term "minor child" shall mean any person who is
under the age of 18, but the term shall not include any person who is emancipated
(i.e., 16 years of age or older who is married (with proof of age and marriage) and
who is related to the inmate to be visited).
a.
In an unusual circumstance when the visitor to be strip searched is a minor
child, the parent or guardian who has escorted the minor to the facility shall
be requested to be present and, at the discretion of the Officer, may
participate in the strip search.
b.
If at any time during the procedure the minor objects to the strip search, the
procedure shall be terminated immediately.
c.
Strip searches shall be conducted in locations heated to a level of human
comfort for disrobed persons.
d.
Strip searches shall be conducted by an Officer of the same sex as the visitor
being searched.
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DATE 08/23/2016
e.
In performing strip searches, Officers shall conduct themselves
professionally. Officers shall be alert to the sensitive nature of the strip
search and conduct such searches in a manner least degrading to all
involved while fulfilling the objective of the search.
f.
A strip search must be reported as an Unusual Incident in accordance with
Directive #4004, "Unusual Incident Report." A subsidiary report of the
circumstances surrounding the incident should accompany the Unusual
Incident Report. Particular care should be given to setting forth in detail the
factor or factors which led to a determination that the visitor required
processing under this subdivision.
C. Substance Detection/Ion Scan Testing
1.
Visitors entering any Department facility, by whatever gate, may be subject to ion
scanning or other non-intrusive test for detection of illicit substances.
2.
If a visitor tests positive, a second test will be conducted to confirm or negate the
first test result. Upon a confirmed positive test result, or test refusal, the visitor will
be denied entrance into any correctional facility for two days.
3.
If that visitor is a minor child, that child's parent, guardian or approved escort will
also be denied entrance into the correctional facility.
4.
A confirmed positive test result on a specific visitor will not serve as a basis to
deny entrance to any other visitor. A confirmed positive test means that a second
sample from the same area on the person or the person's belongings tests
positive for the same substance.
5.
No disciplinary action shall be taken against an inmate solely because an
individual attempting to visit the inmate tests positive or refuses to test.
VII.
VISITING ROOM PROTOCOL AND RULES:
Inmates and their authorized visitors will be
expected to abide by the facility's rules and regulations and to follow the instructions and
guidelines given by facility staff.
Violation of these rules and protocol by either inmates or visitors may result in termination of
a visit and the suspension or indefinite suspension of future visits. (See "Termination,
Suspension, and Indefinite Suspension' in Section VIII below.)
A. Search: The visiting room and the visiting room lavatories will be searched before and
after visiting to make certain that nothing has been concealed therein which might be
removed by visitors or inmates.
Each inmate's person, clothing, and possessions will be searched before and after
entrance to visiting areas in accordance with Directive #4910, "Control of and Search
for Contraband."
B. Food: Only foodstuffs or beverages purchased by the visitor from vending machines
located in the visiting area may be consumed in the visiting room.
An exception will be made for visitors with small children needing to utilize baby
bottles. Plastic baby bottles will be allowed into the visiting room after the contents
have been examined. Jars of baby food should be left in a designated area where the
visitor may go to feed the child.
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DATE 08/23/2016
C.
Objectionable Behavior: Objectionable behavior may result in termination of a visit.
Such behavior may include loud, abusive, or boisterous actions, disruptive or
argumentative behavior, or unacceptable physical contact, or unacceptable physical
conduct. (See Appendix A)
D.
Acceptable Physical Contact: Acceptable physical contact during contact visits is
described as follows:
1. In general, kissing, embracing, and touching are allowed as long as they would be
acceptable in a public place and do not offend other inmates and visitors or aid in
the introduction of contraband or escape attempts.
2. At a minimum, a visitor and inmate may embrace and kiss at the beginning and at
the end of any contact visit. Brief kisses and embraces are permitted during the
course of the contact visit. However, prolonged kissing and what is commonly
considered "necking" or "petting" is not permitted.
3. A visitor and an inmate may hold hands, as long as the hands are in plain view of
others.
4. Inmates and visitors sitting next to one another may also rest their hands upon
each others' shoulders or around each others' waists. Resting one's head on
another's shoulder is also permitted when the inmate and visitor are sitting next to
one another.
E.
Unacceptable Physical Conduct: No visitor or inmate may engage in unacceptable
physical conduct e.g., intercourse, sodomy, touching sexual or other intimate parts of
another person, or masturbation.
F.
Exchange or Review of Items: During visits, inmates and visitors are not authorized to
exchange or share any items without prior approval of the area Sergeant.
1. Generally, approval may be granted for inmates and their visitors to review only
personal legal papers, the Bible and Koran and similar religious writing, and
personal photographs (excluding Polaroid photographs) after the materials have
been examined for contraband by facility security personnel.
2. If visitors wish to leave any materials with the inmate that they have brought into
the visiting area, or if they wish to remove materials brought into the visiting area
by the inmate, the exchange must take place through the package room. (See
Directive #4404, for exchange of legal materials.)
3. Prior to a visit, a visitor may leave a package for an inmate, containing authorized
items only, which will be inspected prior to delivery to the inmate. An attempt to
introduce contraband through a package may result in the denial or termination of
a visit and a term of suspension or indefinite suspension of future visits.
G.
Legal Visits: An inmate law clerk or an inmate approved to provide legal assistance
pursuant to Directive #4483, "Law Libraries, Inmate Legal Assistance and Notary
Public Services," shall be permitted to be present at conferences between an inmate
and his attorney. (Refer to Directive #4404.)
H.
Lavatories: Inmates and visitors will not be allowed to use the same lavatories.
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DATE 08/23/2016
I. Departure: Inmates and visitors shall not be permitted to leave the visiting area
together.
The visited inmate must be accounted for by the visiting room Officer before the visitor
is allowed to leave. Visitors may be detained until the inmate is secured.
J.
Smoking: Smoking is prohibited in indoor visiting areas.
VIII.
TERMINATION, SUSPENSION, AND INDEFINITE SUSPENSION:
A Superintendent may
deny, limit, suspend for a term or indefinitely suspend the visitation privileges of any visitor if
the Superintendent has reasonable cause to believe that such action is necessary to
maintain the safety, security, and good order of the facility. A loss of visiting privileges may
be imposed for an inmate pursuant to the procedures for implementing the standards of
inmate behavior under 7NYCRR Part 254 and Directive #4932, "Chapter V, Standards
Behavior & Allowances," and as set forth in VIII-F below.
A. Termination of a Visit: A visit may be terminated at the discretion of the
Superintendent or designee, who must be the Watch Commander or higher ranking
official, if objectionable behavior is displayed during such visit. If a visit is terminated
on the weekend, the Watch Commander shall promptly notify the Officer of the Day.
1.
Termination for Objectionable Behavior
a.
Objectionable behavior may consist of loud, abusive, or boisterous actions,
disruptive or argumentative behavior, or sexual activities which constitute
unacceptable physical contact (see Appendix A).
Facility staff supervising visiting areas should give inmates and visitors
instructions on proper behavior and admonitions if they observe improper
behavior prior to giving out an "official" warning.
b.
·Before termination of a visit, a verbal warning must be issued by the visiting
room Officer to the visitor and the inmate that the objectionable behavior is
prohibited and that failure to cease such behavior will result in termination of
the visit. Such warning will be noted on the visitor's record.
2.
Termination for Misconduct
a.
A visit will be terminated immediately without warning if any of the following
misconduct takes place:
(1)
A visitor or inmate becomes apparently under the influence of alcohol or
drugs during a visit;
(2)
Unapproved parties continue to cross-visit after a warning is given by
facility staff;
(3)
A visitor or inmate refuses to follow instructions given by facility staff or
facility rules;
(4)
A visitor or inmate attempts to introduce or pass contraband to the other
as defined in V-B above;
(5)
Assault on facility staff, inmate, or other visitors; or
(6)
A visitor and/or inmate engages in unacceptable physical conduct.
NO. 4403, Inmate Visitor Program
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DATE 08/23/2016
B.
Notification of Temporary Suspension: If a visit is terminated, the area supervisor will
advise the visitor and inmate that his or her visiting privileges are suspended for a
period not to exceed one week or until such time as the visitor receives written
notification from the Superintendent which reinstates, limits, suspends for a term, or
indefinitely suspends the visitor's visiting privileges. The Watch Commander will cause
an entry to be made on the computerized visitor record imposing an interim suspension
for one week and make appropriate entry into the Watch Commanders logbook. Within
one week, the Superintendent shall issue a written notification reinstating visiting
privileges, limiting visiting privileges, suspending visiting privileges for a term, or
indefinitely suspending visiting privileges in accordance with subdivision B, C, and D of
this part.
C.
Limitation to Non-Contact Visiting: Contact visiting privileges of either an inmate or a
visitor may be suspended (i.e., an inmate or a visitor may be limited to non-contact
visiting), by the Superintendent for a violation of visiting rules and regulations, or for
conduct which represents a threat to the safety, security, and good order of the facility.
An inmate may also be limited to non-contact visiting as a penalty pursuant to a
disciplinary disposition resulting from a Superintendent's Proceeding as set forth in 7
NYCRR Part 254 and Directive #4932.
1. Criteria: Contact visiting rights may be suspended or indefinitely suspended as an
alternative to the term of suspension or indefinite suspension of all visiting
privileges for either a visitor or an inmate depending upon who committed the
misconduct. The determination to limit a visitor or an inmate to non-contact
visiting in lieu of a term of suspension or indefinite suspension of all visiting
privileges is within the discretion of the Superintendent or designee.
2. Non-contact visitation: Non-contact visiting will be permitted during the suspension
of contact visitation rights in the area of the facility designated for that purpose.
D.
Visitor Suspension for a Term of Less Than Six Months: A Superintendent may
suspend a visitor's visitation privileges for any term less than six months for a violation
of visiting rules and regulations which represents a threat to the safety, security, and
good order of the facility as set forth under Section G, pursuant to the following
procedures:
1. Upon imposing a term of suspension, the Superintendent shall notify the visitor in
writing of his or her action.
a. The notice shall contain:
(1)
The reason for the suspension;
(2)
The duration of the suspension; and
(3)
Copies of all charges and reports of misconduct relating to the charges.
b. The visitor shall also be notified of his or her right to appeal the decision of
the Superintendent and the manner in which to do so, including notification
that such an appeal must be taken within 60 days of receipt of the notice.
c. A copy of such notice and related documents must be sent to the inmate.
2. An appeal may be taken by the visitor.
a. Such an appeal shall be addressed to the Commissioner and shall be in
writing. The visitor may submit any written material he or she wishes to be
considered.
NO. 4403, Inmate Visitor Program
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DATE 08/23/2016
b.
The Commissioner or designee shall render a written decision within 45 days
of receipt of the appeal as follows:
(1)
The decision shall affirm, reverse, or modify the determination of the
local facility;
(2)
An affirmance shall be supported by a preponderance of the evidence;
and
(3)
The decision shall contain a statement of the evidence relied upon and a
statement of the reasons therefore.
E. Visitor Suspension for a Term of of Six Months or More, Up to an Indefinite
Suspension Pending Reinstatement: A Superintendent may suspend a visitor's
visitation privileges for a term of six months or more, or indefinitely suspend a visitor's
visiting privileges (subject to reinstatement under Section X below), for misconduct
which represents a serious threat to the safety, security, and good order of the facility
as specified under Section G, pursuant to the following procedures:
1.
Upon imposition of such a term of suspension or indefinite suspension, the
Superintendent shall notify the visitor in writing of his or her action.
a.
The notice shall contain:
(1)
The reason for the suspension or indefinite suspension;
(2)
For term of suspension of visiting privileges, the duration of such term;
(3)
Copies of all charges and reports of misconduct relating to the charges;
and
(4)
The reason for imposing the maximum penalty; if imposed.
b.
The visitor shall be also be notified of his or her right to a hearing to appeal
the decision of the Superintendent within 60 days of such notice.
c.
Only the visitor may request a hearing.
d. If a hearing is not requested, a review based upon written submissions may
be had as outlined in Section VIII-D-2 above.
e.
A copy of the notice and related documents shall be sent to the inmate.
If a visitor requests a hearing, the Commissioner shall appoint an impartial
individual from outside the facility to conduct the proceeding and a hearing
shall be conducted pursuant to subsection IX below.
F. Inmate Suspension: A Hearing Officer may impose a loss of visiting privileges,
including a limitation to non-contact visiting, on an inmate as a penalty pursuant to a
disciplinary disposition resulting from a Superintendent's Proceeding based on visit
related misconduct as set forth in 7 NYCRR Part 254 and Directive #4932. An inmate
may appeal such a loss of visiting privileges in accordance with the provisions of 7
NYCRR Part 254 and Directive #4932.
Note: The visiting privileges of an inmate in SHU may be subject to special precautions
imposed by the Superintendent under 7 NYCRR Section 302.2(i)(1) and Directive
#4933.
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DATE 08/23/2016
G. Visit Related Penalties
1.
Effect of visiting penalty
a.
A penalty imposed with respect to the visiting privileges of any visitor applies
at all Department facilities and to all inmates visited.
b.
A loss of visiting privileges imposed on an inmate as a penalty pursuant to 7
NYCRR Part 254 and Directive #4932 applies at all Department facilities and
prohibits the inmate from visits with all visitors unless otherwise specified
pursuant to the hearing disposition.
c.
A visitor or inmate serving any limitation, term of suspension, or indefinite
suspension of visiting privileges, including a limitation to non-contact visiting,
is also prohibited from participating in the Family Reunion Program or a
special events program that is attended by members of the general public.
2.
Types of visiting penalties
a.
Termination: A visit may be ended before the end of the visiting period by
staff for objectionable behavior or misconduct as set forth in subsection V-III-
A-2.
b.
Denial: A denial of visiting privileges may be for a specific visit (e.g., visitor
fails to possess proper identification or clear a metal detector or an incident
occurred inside the facility); or for two days for a confirmed positive substance
detection/ion scan test or refusal as set forth under Section VI-C above or
until a certain condition is satisfied (e.g., resolution of pending criminal
charges).
c.
Suspension: A suspension of visiting privileges must be set for a specific
term. At the conclusion of the term of suspension, visiting privileges are
automatically reinstated.
d.
Indefinite suspension: An indefinite suspension of visiting privileges has no
predetermined end date. An indefinite suspension is subject to review on an
annual basis and restoration in accordance with Section X below.
IX. VISITOR APPEAL HEARING
A.
Hearings
1.
If a visitor requests a hearing, the Commissioner shall appoint an impartial
Hearing Officer from outside the facility to conduct the proceeding.
2.
The formal charge shall consist of the Superintendent's notice to the visitor.
3.
The visitor may be represented by counsel.
4.
The visitor may call witnesses on his or her behalf provided they are material, their
testimony is not redundant, and so doing does not jeopardize facility safety,
security, the good order of the facility, or correctional goals.
a.
A visitor shall advise the Hearing Officer of any witnesses the visitor intends
to offer at the hearing no later than five days prior to the hearing.
b.
If permission to call a witness is denied, the Hearing Officer shall provide a
written statement of the reasons for such denial, including the threat to the
facility safety, security, the good order of the facility, or correctional goals or
why the proffered testimony was immaterial or redundant.
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DATE 08/23/2016
c. Any witness shall be allowed to testify at the hearing in the presence of the
visitor unless the Hearing Officer determines that so doing will jeopardize
facility safety, security, the good order of the facility, or correctional goals.
(1)
If permission to be present during the testimony of a witness is denied,
the Hearing Officer shall provide a written statement setting forth the
reasons for such denial, including the threat to facility safety, security,
the good order of the facility, or correctional goals.
(2)
Where a visitor is not permitted to have a witness present, such witness
shall be interviewed out of the visitor's presence and such interview
recorded.
(3)
The witness's statement is to be made available to the visitor at the
hearing unless the Hearing Officer determines that so doing would
jeopardize facility safety, security, the good order of the facility, or
correctional goals.
(a)
If the witness's statement is not to be made available, the Hearing
Officer shall provide a written statement setting forth the reasons for
such denial, including the threat to facility safety, security, the good
order of the facility, or correctional goals.
(4)
A visitor may request witnesses by notifying the Hearing Officer no later
than five days prior to the hearing.
d. A visitor may cross-examine adverse witnesses unless the Hearing Officer
determines that so doing will jeopardize facility safety, security, the good
order of the facility, or correctional goals. If permission to cross-examine is
denied, the Hearing Officer shall provide a written statement stating the
reasons for such denial, including the threat to facility safety, security, the
good order of the facility, or correctional goals.
e. The visitor shall be present at the hearing unless he or she refuses to attend.
The inmate shall be present at the hearing if he or she is to be a witness
unless the Hearing Officer determines so doing will jeopardize facility safety,
security, the good order of the facility, or correctional goals.
(1)
If the inmate is denied permission to attend the hearing, the Hearing
Officer shall provide a written statement setting forth the reasons for
such denial, including the threat to facility safety, security, the good order.
of the facility, or correctional goals.
(2)
If an inmate is denied permission to attend the hearing as a witness, he
or she shall be interviewed. The interview shall be recorded and made
available to the visitor at the hearing unless the Hearing Officer
determines that so doing would jeopardize facility safety, security, the
good order of the facility, or correctional goals. In such instance, the
Hearing Officer shall provide a written statement setting forth the
reasons for such denial, including the threat to facility safety, security,
the good order of the facility, or correctional goals presented.
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DATE 08/23/2016
5. The hearing shall be electronically recorded.
6. The Hearing Officer shall issue a written decision within 60 days of the completion
of the hearing. The decision of the Superintendent shall be affirmed upon a
finding supported by a preponderance of the evidence. The Hearing Officer shall
set forth his or her decision in writing, stating the reasons therefore and the
evidence relied upon. Such decision shall be effective 60 days after issuance
unless appealed by any party. The decision shall also notify the visitor and inmate
of appeal procedures.
7. The visitor may appeal the decision of the Hearing Officer to the Commissioner.
Such appeal must be taken within 60 days of the date the decision was issued and
must be in writing.
a. The Commissioner shall issue a written decision within 60 days of the filing of
an appeal.
b. Such decision must contain a statement of the reasons for the affirmance,
modification, or reversal of the Hearing Officer.
X. RECONSIDERATION OF SUSPENSION IN EXCESS OF TWO YEARS
A.
In the event a visitor or inmate's visiting privileges have been suspended for a term
over two years or indefinitely suspended, such person may request a reconsideration
at any time after it has been in effect for one year and on an annual basis thereafter, by
writing to the Superintendent of the facility housing the inmate to be visited.
B.
The Superintendent shall evaluate such a request to determine if any factors exist
which warrant a modification so as to permit visitation to resume at a specified time in
the future. The criteria to be considered are:
1. The inmate's institutional record;
2. Showing of special circumstances (e.g., age of visitor or inmate, serious illness,
etc.);
3. Length of inmate's un-served sentence;
4. Past history of violations; and
5. Other good cause factors.
C.
The Superintendent shall advise the inmate and visitor of the results of his or her
review by written decision, including the reasons therefore.
D.
Appeal of Denial of Request for Reconsideration
1. A visitor or inmate may appeal the denial of a request for reconsideration, in
writing, to the Commissioner within 60 days if:
a. Such person's visiting privileges have been indefinitely suspended or
suspended for a term over two years;
b. The indefinite suspension or term of suspension has remained in effect for
three years; and
c. Such person's request for reconsideration during the third year under
subparagraph (a) has been denied by the Superintendent.
NO 4403, Inmate Visitor Program
PAGE19of25
DATE 08/23/2016
2.
If the indefinite suspension or term of suspension of visiting privileges remains in
effect, such person may appeal a subsequent denial every three years thereafter.
3.
Nothing in this subdivision shall be construed to preclude such person from
making an annual request for reconsideration to the Superintendent of the
correctional facility then housing the inmate to be visited.
No appeal of a denial of a request for reconsideration may be taken if the Superintendent
has modified the indefinite suspension or term of suspension to permit visitation, including
non-contact visitation
NO.
4403, Inmate Visitor Program
PAGE 20 of 25
APPENDIX A
DATE 08/23/2016
APPENDIX A - "PENALTIES FOR VISIT-RELATED MISCONDUCT"
NOTE: In addition to the visit related penalties set forth under 7 NYCRR Section 201.4
(e)(3), reference should be made to the separate "Guidelines for Visitor Suspension"
which contain recommended visitation sanctions for certain serious misconduct specified
therein. The following incorporates the penalties listed under 7 NYCRR Section 201.4
(e)(3), and those specified in the "Guidelines for Visitor Suspension." Visitor sanctions
apply at all DOCCS correctional facilities and for all incarcerated offenders visited.
Also, in connection with inmates' disciplinary, reference should be made to the Hearing
Officer's "Guidelines for Visit-Related Misconduct" which contain recommended penalties
for the misconduct included therein but not listed below. The Hearing Officer's
"Guidelines for Visit-Related Misconduct is intended as a resource and practical
guidelines for hearing officers but is not a directive or policy statement. Recommended
visited related penalties should not exceed those under the visiting rules and regulations.
The Superintendent must review any inmate disciplinary disposition of a term of
Suspension of two years or longer of visiting privileges with all visitors.
The following are intended as maximum penalties for egregious conduct. When
determining the appropriate penalty, the surrounding circumstances or the nature of the
incident; the severity or egregiousness of the conduct; and/or past instances of
misconduct should be considered. The visitors' prior record, type of facility and nature of
the incident may serve as a mitigating or aggravating factor in determining the penalty.
NO.
4403, Inmate Visitor Program
PAGE 21 of 25
APPENDIX A
DATE 08/23/2016
TYPE OF
MISCONDUCT
INITIAL OFFENSE
MAXIMUM
PENALTY
Failure of Visitor to
Possess Proper
Identification
Visit denied
NIA
Presentation of False
Identification
(a) Regular Visiting Room
program or special events
Up to 6 months
suspension
of visitation
(b) Family Reunion Program
Up to 1 year suspension
of visitation
Search Failure (i.e., metal
detector)
Visit denied
NIA
Substance Detection
Test
Failure or Refusal (i.e.,
ION Scan Testing, metal
detector)
Visit denied
For 2 calendar days
Visitor Apparently Under
Influence of Alcohol or
Drugs
Visit denied
NIA
Failure to Comply with
Instructions at Gate Area
(e.g.; refusal to undergo
strip frisk)
Visit denied
NIA
Visitor Fails to Follow
Instructions of Facility
Staff and Facility Rules
Visit denied or
immediately terminated,
AND
Up to 3 months
suspension of visitation
Inmate Fails to Comply
with Frisk Procedures or
Instructions of Facility
Staff and Facility Rules;
during Processing before
or after visit
Visit denied, AND
Up to 1 year suspension
of visitation
Visitor or Inmate
Becomes Apparently
Under Influence of
Alcohol or Drugs During
Visit
Immediate termination
of visit AND
Up to 1 year suspension
of visitation
Cross-Visiting by
Unapproved Parties
Immediate termination
of visit AND
Up to 3 months
suspension of visitation
Unacceptable Physical
Contact:
Visitor and/or inmate
engage in unacceptable
physical contact (i.e.,
prolonged kissing,
necking, etc.)
Warning, if misconduct
continues, termination of
visit, AND
Up to 6 months
suspension
of visitation
APPENDIX A
DATE 08/23/2016
NO 4403, Inmate Visitor Program
PAGE 22 of 25
Unacceptable Physical Conduct: Visitor and/or inmate engage in unacceptable physical conduct
(intercourse, sodomy, touching the sexual and or other parts of another person, masturbation, exposure)
Immediate Termination of visit, AND
Visitor - Up to Indefinite Suspension of Visiting Privileges depending on the surrounding circumstances or the nature of the
incident; the severity or egregiousness of the conduct; and/or past instances of misconduct.
Inmate - Up to Indefinite Suspension of Visiting Privileges, however, the Superintendent must review any disposition of a term of
Suspension for two years or longer of Visiting PrivHeges with all visitors. A term of Suspension or Indefinite Suspension shall be
limited to the involved visitor if the visitor was the only direct participant in the misconduct, however, if other visitors, in particular,
children, were subjected to exposure then the term of Suspension or Indefinite Suspension may be imposed with all visitors. See
the Hearing Officer's "Guidelines for Visit-Related Misconduct"
The "Guidelines for Visitor Suspension" recommended penalties for engaging in Unacceptable Physical Conduct is as
follow:
FIRST OFFENSE
SECOND OFFENSE
THIRD OFFENSE
No other visitors exposed:
Other visitors exposed:
6 months suspension
or limitation to
non- contact visitation
1 year to indefinite
suspension of visitation
1 year to indefinite
suspension of
visitation
Indefinite suspension
of visitation
Indefinite suspension
of visitation
Indefinite suspension
of visitation
Children exposed:
Indefinite suspension
suspension of visitation
Indefinite suspension
of visitation
Indefinite suspension
of visitation
Assaultive Behavior on Facility Staff, Inmate or other visitors: Visitor and/or inmate assault on facility
staff, inmate or
visitor/fighting
Immediate Termination of Visit, AND
Visitor -Up to Indefinite Suspension of Visiting Privileges depending upon assault, injuries sustained and relationship of visitor to
inmate and perpetrator to visitor.
Inmate - Up to Indefinite Suspension of Visiting Privileges depending upon assault/fight, injuries sustained and relationship of
inmate to victim, however, the Superintendent must review any disposition of a term of Suspension for two years or longer of
Visiting Privileges with all visitors. See the Hearing Officer's "Guidelines for Visit-Related Misconduct."
The "Guidelines for Visitor Suspension" recommended penalties for engaging in assaultive behavior is as follow:
FIRST OFFENSE
SECOND OFFENSE
THIRD OFFENSE
Assault w/ weapon/moderate
or serious injury
Indefinite suspension
of visitation
N/A
NIA
Assault w/ weapon/minor
injury
1 to 2 years suspension
of visitation or limitation
Indefinite suspension
of visitation
Indefinite suspension
to non-contact visitation
Assault w/out weapon/
6 months to 2 years
1 year to Indefinite
Indefinite suspension
moderate or serious injury
suspension or limitation
suspension of visitation
of visitation
non- contact visitation
Assault w/out weapon/
3 months to 6 months
6 months to 1 year
2 to 3 years
minor or no injury
suspension or limitation
to non -contact visitation
suspension or limitation
to non- contact visitation
suspension
of visitation
Group or gang-related
1 to 2 years
Indefinite suspension
Indefinite
Assault
suspension
of visitation
of visitation
suspension
of visitation
APPENDIX A
DATE 08/23/2016
NO. 4403, Inmate Visitor Program
PAGE 23 of 25
Attempt to Introduce Contraband/Smuggling
a) Money
Visit Denied or Immediately Terminated, AND
Visitor- Up to Indefinite Suspension of Visiting Privileges depending on the surrounding circumstances or the nature of the
incident; the severity or egregiousness of the conduct; and/or past instances of misconduct.
Inmate - Up to Indefinite Suspension of Visiting Privileges, however, the Superintendent must review any disposition of a term of
Suspension for two years or longer of Visiting Privileges with all visitors. A term of Suspension or Indefinite Suspension shall be
limited to the involved visitor or visitors where the misconduct involved only the inmate and the specified visitor or visitors and the
inmate did not attempt to remove the contraband from the visiting room. See the Hearing Officer's "Guidelines for Visit-Related
Misconduct."
The "Guidelines for Visitor Suspension" recommended penalties for attempting to smuggle money is as follow:
FIRST OFFENSE
SECOND OFFENSE THIRD OFFENSE
Less than $20:
3 to 6 months suspension
or limitation to
non- contact visitation
6 months to 1 year
suspension or limitation
to non- contact visitation
1 to 2 years suspension
or limitation to
non- contact visitation
$20 or more:
6 months to 1 year
suspension or limitation
non-contact visitation
1 year to 2 years
suspension or limitation
to non- contact visitation
2
years to indefinite
suspension of
visitation or
limitation to non-
contact visitation
b) Alcohol
Visit Denied or Immediately Terminated, AND
Visitor- Up to Indefinite Suspension of Visiting Privileges depending on the surrounding circumstances or the nature of the
incident; the severity or egregiousness of the conduct; and/or past instances of misconduct.
Inmate - Up to Indefinite Suspension of Visiting Privileges, however, the Superintendent must review any disposition of a term of
Suspension for two years or longer of Visiting Privileges with all visitors. A term of Suspension or Indefinite Suspension shall be
limited to the involved visitor or visitors where the misconduct involved only the inmate and the specified visitor or visitors and the
inmate did not attempt to remove the contraband from the visiting room. See the Hearing Officer's "Guidelines for Visit-Related
Misconduct."
The "Guidelines for Visitor Suspension" recommended penalties for attempting to smuggle alcohol is as follow:
Consumed in visiting
Room:
visitation
Removed from visiting
Room:
--------------------------
c) Non-Narcotic Drugs
suspension of visitation
FIRST OFFENSE
3 months to 1 year
suspension or limitation
to non- contact visitation
6 months to 2 years
suspension or limitation
non- contact visitation
Visit denied or immediately
terminated, AND
SECOND OFFENSE
6 months to 2 year
suspension or limitation
to non- contact visitation
1 years to 3 year
suspension or limitation
to non- contact visitation
THIRD OFFENSE
3 years to indefinite
suspension of visitation or
limitation to non- contact
Indefinite suspension
of visitation
Up to 3 months
APPENDIX A
DATE 08/23/2016
NO 4403, Inmate Visitor Program
PAGE 24 of 25
d) Marijuana
Visit Denied or Immediately Terminated, AND
Visitor- Up to Indefinite Suspension of Visiting Privileges depending on the surrounding circumstances or the nature of the incident; the severity
or egregiousness of the conduct; and/or past instances of misconduct.
Inmate - Up to Indefinite Suspension of Visiting Privileges, however, the Superintendent must review any disposition of a term of Suspension
for two years or longer of Visiting Privileges with all visitors. See the Hearing Officer's "Guidelines for Visit-Related Misconduct."
The "Guidelines for Visitor Suspension" recommended penalties for attempting to smuggle marijuana is as follow:
FIRST OFFENSE
SECOND OFFENSE THIRD OFFENSE
Visitor's personal use/ Left
in personal belongings:
Amount suggestive of
Personal use by Offender:
Amount or packaging
indicative of distribution
(e.g., substantial quantities,
multiple packages, possessed
in conjunction with money, etc.):
6 months to 18 months
suspension or limitation
to non- contact visitation
1 year to 2 years
suspension or limitation
to non- contact visitation
2 years to Indefinite
suspension or limitation
to non- contact visitation
1
year to 3 years
suspension or limitation
to non- contact visitation
2
years to 5 years
suspension or limitation
to non- contact visitation
4 years to Indefinite
suspension or limitation
to non- contact visitation
3 years to Indefinite
suspension of visitation or
limitation to non- contact
visitation
4 years to indefinite
suspension of visitation
or limitation to
non- contact visitation
Indefinite suspension
of visitation
e) Narcotic and Other Dangerous Drugs
Visit Denied or Immediately Terminated, AND
Visitor- Up to Indefinite Suspension of Visiting Privileges depending on the surrounding circumstances or the nature of the incident; the
severity or egregiousness of the conduct; and/or past instances of misconduct.
Inmate - Up to Indefinite Suspension of Visiting Privileges, however, the Superintendent must review any disposition of a term of Suspension
for two years or longer of Visiting Privileges with all visitors. See the Hearing Officer's "Guidelines for Visit-Related Misconduct."
The "Guidelines for Visitor Suspension" recommended penalties for attempting to smuggle narcotics/dangerous drugs is as follow:
FIRST OFFENSE
SECOND OFFENSE
THIRD OFFENSE
Visitor's personal use/ Left
in personal belongings:
Amount suggestive of
personal use by Offender:
Amount or packaging
indicative of distribution
(e.g., substantial quantities,
multiple packages,
possessed in conjunction
with money, etc.):
6 months to 18 months
suspension or limitation
to non- contact visitation
1 year to 2 years
suspension or limitation
to non- contact visitation
2 years to indefinite
suspension or limitation
to non- contact visitation
1
year to 3 years
suspension or limitation
to non- contact visitation
2 years to 5 years
suspension or limitation
to non -contact visitation
4 years to indefinite
suspension or limitation
to non- contact visitation
3
years to Indefinite
suspension or
limitation to
non- contact visitation
4 years to indefinite
suspension of visitation
or limitation to
non- contact visitation
Indefinite suspension
of visitation
APPENDIX A
DATE 08/23/2016
NO. 4403, Inmate Visitor Program
PAGE 25 of 25
f) Item Which is Readily Capable of Being Used to Cause Death or Serious Injury (except dangerous drugs)
Visit Denied or Immediately Terminated, AND
Visitor-Up to Indefinite Suspension of Visiting Privileges.
Inmate - Up to Indefinite Suspension of Visiting Privileges, however, the Superintendent must review any disposition of a term of Suspension
for two (2) years or longer of Visiting Privileges with all visitors. See the Hearing Officer's "Guidelines for Visit-Related Misconduct."
g) Item With Intent to Aid in an Escape (e.g., cellular telephone, portable electronic storage media containing
information which may be used to aid in escape
Visit Denied or Immediately Terminated, AND
Visitor-Up to Indefinite Suspension of Visiting Privileges.
Inmate - Up to Indefinite Suspension of Visiting Privileges, however, the Superintendent must review any disposition of a term of Suspension
for two years or longer of Visiting Privileges with all visitors. See the Hearing Officer's "Guidelines for Visit-Related Misconduct."
The "Guidelines for Visitor Suspension" recommended penalties for attempting to smuggle deadlylescape Items is as follow:
FIRST OFFENSE
SECOND OFFENSE
THIRD OFFENSE
Deadly/Escape
items
1 year to indefinite
suspension of visitation
depending upon the facts
or circumstances
Indefinite suspension
Indefinite suspension
h) Any Other Item Not Permitted Within a Correctional Facility Under 7 NYCRR Section 200.3 (C) (see Section V-D-4 of
this directive) (e.g. portable electronic storage media)
Visit Denied or Immediately Terminated; AND
Visitor - Up to one (1) Year Suspension of Visiting Privileges if possessed by the visitor; Or up to Indefinite
Suspension of Visiting Privileges if any such prohibited item is transferred to an inmate or possessed under
circumstances indicative of an attempt to transfer the item to an inmate.
Inmate - Up to Indefinite Suspension of Visiting Privileges, however, the Superintendent must review any disposition of a term of Suspension of
two years or longer of Visiting Privileges with all visitors. See the Hearing Officer's "Guidelines for Visit-Related Misconduct."
i) Any Other Item Not Immediately Permitted to be Possessed in the Visting Room by Either the Visitor or the Inmate
(e.g., tobacco):
Immediate Termination of Visit, AND
Up to six 6 months suspension of visitation privileges.
I.
PURPOSE:
To establish a standardized 16-hour orientation program for persons working within the
New York State Department of Corrections and Community Supervision, but are not
employed by DOCCS.
II
APPLICABILITY:
Personnel who are as igned work within DOCCS as either a per diem or non-
departmental employee, for example: Office of Mental Health (OMH) and agency-
contracted employees. This policy is not applicable to construction contractors.
]II
POLICY:
All staff to whom this subject applies will receive a 16-hour orientation program. The
orientation program will be administered during the employee's first two days at the
facility. Orientation for volunteers is covered under Directive #4750, Section V, D. The
facility will determine what additional training is n·ecessary for each individual.
'I
V
PROCEDURE:
The Facility Training Contact will oversee the orientation of non-departmental and per
diem employees. This person will be responsible for arranging the necessary staff to be
available for escorting and explaining the functions of the various areas of the facility.
The new non-departmental or per diem employee will meet with the Facility Training
Contact and/or appropriate escorting staff member. The Training Contact will ensure the
employee receives orientation information on the areas designated on the 16-Hour
Orientation sign-:-off sheet (Attachment A). ·
The staff member who delivers the information will sign in the appropriate area on the
orientation sign-off sheet (Attachment A) to verify orientation in the specific topic.
The training escort will act as a guide for the new, non-departmental employee. The
introduction to security will be divided into two comp.onents, which will include a tour of
the facility as well as an orientation of the informational topics outlined on the orientation
sign-off sheet. If there is security information specific to a facility, it should be included in
the tour and/or as a topic to be covered.
4
w
:ATE
RK
Corrections and
Community Supervision
TRAINING MANUAL
Subject: 7;150
Orientation Program for Per Diem and Non-
s_u_p-ers-ed_e_.s_:
---.--
.
,,_P_ag_e_:
----
De artmental Em lo ees
08-25-21
Reference:
1
of
4
Date:
ACA4-4088
07-10-2017
Topic:
Pre-Service and·
Orientation Programs
Date:
07-10-2017
Page
2of4
An escort must remain with the new employee for the duration of the tour and be
prepared to give a verbal overview of each area. Positive dialogue between the guide
and employee should be encouraged, allowing for questions and comments throughout
the tour. Each question will be treated with courtesy and professionalism. It is important
to remember that this is the first opportunity for the person to see the facility in operation
and individual reactions will vary.
Facility staff members shall be introduced at the guide's discretion to supplement the
tour and provide information related to the different areas of the facility. The tour must
be pre-planned and timed, always beginning in the same area and ending in a room
conducive for the presentation of the outlined topics.
Following the tour, the guide will share information regarding important security topics
such as those listed above, and basic dos and don'ts. This presentation should include
handouts, safety fact sheets, and relevan_t facility material$, which can be used
as a
reference in the future.
This segment also provides the opportunity to address the disciplinary process, explain
the security hierarchy in a facility, and explain the respect for the chain of command by
the security workforce. Like the tour, presentation of the topic materials, handouts, and
videotapes should be well planned and timed.
At the conclusion of the second day, the new non-departmental employee will sign the
Orientation form acknowledging that he or she received 16 hours of orientation. This
form will be forwarded to the Training.Contact for filing.
ATTACHMENT A
ORIENTATION SIGN-OFF FORM
Non-Departmental and Per Diem Employees
----------
CORRECTIONAL
FACILITY
PRINT NAME:
DATE ASSIGNED
_
TITLE/RANK
_
Introduction to the Superintendent
Introduction to the Executive Team
Clean Air Policy/ Smoking
Sexual Harassment Policy
Sexual Abuse Directive 4028A
PREA Introduction/Refresher Training
Red Book Synopsis
Parking Regulations
Personal Alarm System
Accreditation
Facility Tour {Security Operations)
Overview and Tour of Programs with DSP
Training Bulletins
Tool and Key Control
Control of Contraband
Caustics, Flammables, and Toxics
Facility Emergency Procedures
Subject: 7.150
Orientation Program for Per Diem and Non-
Departmental Emplovees
Topic:
Pre-Service and
Orientation Programs
Date:
07-10-2017
Page
3 of4
Subject: 7.150
Orientation Program for Per Diem and Non-
Deoartmental Emolovees
Topic:
Pre-Service and
Orientation Programs
Date:
07-10-2017
Page
4 of4
Stormwater Management Plan
(if applicable)
HIPPA Video (Applicable staff)
NOTE: If the facility does not have a particular Department listed, write "NIA."
Additional lines have been added to accommodate any signature(s) specific to your
facility. ·
I completed the 16-Hour Orientation Program on:
Date
Non-Departmental/Per Diem Employee:
Sign
Print Name
Escort/Guide: Sign
Print Name
RFP 2019-13 PREA Employee Training Curriculum
ATTACHMENT J
New York State DOCCS Facilities and Regional Map
Map can also be viewed online at
http://www.doccs.ny.gov/mapselec.html
RFP 2019-13 PREA Employee Training Curriculum
RFP 2019-13 PREA Employee Training Curriculum
ATTACHMENT K
Mandatory Intent to Bid
RFP 2019-13 PREA Employee Training Curriculum
MANDATORY INTENT TO BID
(Attachment K)
PROCUREMENT NAME: RFP #2019-13 PREA Employee Training Curriculum
Company Name
Authorized Contact Name:
Contact E-Mail
Authorized Vendor Signature
(must
be
notarized)
Intends to submit a Bid
Will not be submitting a Bid for the following reason(s):
INDIVIDUAL, CORPORATION, PARTNERSHIP, OR LLC ACKNOWLEDGMENT
STATE OF
SS.:
COUNTY OF
On the day of in the year 201_ before me personally appeared , known to me to be the person
who executed the foregoing instrument, who, being duly sworn by me did depose and say that _
he maintains an office in , and further that:
[Check One]
☐
If an individual): he executed the foregoing instrument in his/her name and on his/her own behalf.
☐
If a corporation): is the of , the corporation described in said instrument; that, by authority of the Board of
Directors of said corporation, is authorized to execute the foregoing instrument on behalf of the corporation for
purposes set forth therein; and that, pursuant to that authority, executed the foregoing instrument in the name of and on
behalf of said corporation as the act and deed of said corporation.
☐
If a partnership): is the of , the partnership described in said instrument; that, by the terms of said
partnership, is authorized to execute the foregoing instrument on behalf of the partnership for purposes set forth
therein; and that, pursuant to that authority, executed the foregoing instrument in the name of and on behalf of said
partnership as the act and deed of said partnership.
☐
If a limited liability company): is a duly authorized member of LLC, the limited liability company described in
said instrument; that is authorized to execute the foregoing instrument on behalf of the limited liability company for
purposes set forth therein; and that, pursuant to that authority, executed the foregoing instrument in the name of and on
behalf of said limited liability company as the act and deed of said limited liability company.
Notary Public
Registration No.
RETURN THIS PAGE AS PART OF INTENT TO BID
Attention: Linda Mitchell, Contract Management Specialist II
[email protected]
RFP 2019-13 PREA Employee Training Curriculum
ATTACHMENT L
Deliverable Acceptance Form
RFP 2019-13 PREA Employee Training Curriculum
NYS DEPARTMENT OF CORRECTIONS AND COMMUNITY SUPERVISION
THE HARRIMAN STATE CAMPUS, 1220 WASHINGTON AVENUE
ALBANY, NY 12226-2050
RFA # 2019-13
PREA EMPLOYEE TRAINING CURRICULUM
Attachment L – Deliverable Acceptance Form
DELIVERABLE ACCEPTANCE FORM FOR:
Date:
Vendor Name Statement of Submission
Detailed description of items for Acceptance
Vendor Details
Submitted by:
Name
Title
Signature of
Vendor
Date
Delivered
Change Order Details, if applicable
Change
Order #
Description
Date approved
Comments
NYS Statement of Acceptance
Accepted
Accepted with
Exceptions
Not Accepted
Exceptions or Reason for Rejection:
Accepted
by: Name
Title
Signature:
Date: