UNITED; STATES DISTRICT- COURT WESTERN DISTRICT OF NEW YORK
KIRK HUGHKS, et al., Plaintiffs,
VK.
GLENN GOORO, etal., Defendants.

JOINT SUPl'LKMUNTAL RESPONSK 97>CV-6431(C)S)

The parties, by their attorneys, hereby file their Joint Supplemental Response to Plaintiffs' Report of Comments dated December 14, 1999, pursuant to Rule 23 of the Federal Rules of Civil •procedure. The parties have reached agreement as to the interpretation of certain provisions of the Stipulation as set forth below. As a result of this agreement, both parties recommend approval of ihe Stipulation.
1- Hiring of half-time Native American chaplain Plaintiffs counsel could not recommend adoption of the Stipulation in the Report of December 14, 1999, because, to their knowledge, defendants had failed to exercise their best efforts to hire a half-time Native American chaplain. When plaintiffs1 counsel received defendants' Response; o n •lanuarv 18, 2000, counsel learned that defendants had hired a half-time chaplain. Defendants' counsel have advised plaintiffs' counsel that. Mr. Porter is working at least half time, based in Albany and traveling to facilities. Plaintiffs' counsel are therefore hopeful that the many problems discussed in The Report will be brought to Mr. Porter's attention for resolution. Because this concern has been resolved, plaintiffs' counsel no longer object to the adoption of the Stipulation
Hughes v. Goord
H ••••• ••••• ••••• •••|| • •
PC-NY-040-002

on the grounds that defendants had not complied with this provision.

2. Observation of Native American Spirituality by nou Native American

i

Inmates

The parties acknowledge that the accommodations provided to Native American

inmates Contained in this Stipulation have security, safety and operations ramifications thai DOCS

believes can be adequately managed based upon the limited number of inmates who arc descendants

of the original inhabitants of the American continents. The plaintiffs acknowledge that defendants

maintain that there are legitimate penological reasons why the terms of this Stipulation are extended

only to Native Americans as defined in Section 1(A) of the Stipulation. Consistent with its security

concernsj DOCS wil] attempt to address its constitutional obligations to inmates not covered by this

Stipulation if the need arises.

3. Burning oflndian tobacco after facilities become smoke-free

The parties acknowledge that Indian tobacco will be subject to the same regulations

as any tobacco product.

4. Invited guests to ceremonies

The parties acknowledge that Mativc American guests may be invited to attend

ceremonies as "family members" in accordance with Directive 4022, except that they need not be

on an iiinjiate's approved visiting list.

The parties further acknowledge that non Native Americans may be proposed to be

invited guests to ceremonies; nothing in the Stipulation limits the discretion of the facility

Superintendent afforded under Directive 4022 to grant or deny a request to invite such a guest.

5. Other sacred items Tbe parties acknowledge thai Section J V(G)(7) allows Native American inmates to have in|their personal possession religious artifacts or symbols, in addition to those specifically listed, if approved by the Native American or facility chaplain and if a pemiit is issued for that artifact or symbol in accordance with Sections JV(C) and 1V(D) of the Stipulation. 6. Correction of Errors The parties agree to change Section JV(G)(6)(b) of the Stipulation to delete sweet grass because sweet grass is nol smoked and to change Section 1 V(G)(5) to delete tobacco because tobacco lis not smudged.

Rochester, New York February 1Q> , 2000

Respectively submitted,

For the Plaintiffs:

r7SARAH BETSY FUflER, ESQ. Public Interest Law Firm U Syracuse University, Office of Clinical Programs P.O. Uox 6543 Syracuse, New York 13217-6543

TOM TERRIZZ1, ESQ. Prisoners' Legal Services of New York 118 Prospect Street Suite 307
Ithaca, New York 14850

UNITED STATE WESTERN DIST KIRK HUGHES,
GLEN GOORD,

For the Dclcndants:

by causing s
Sarah Betsy Office of C]
Syracuse Uni
P.O. 'Box 654 Syracuse, N«
Thomas Terri Prisoner's I 118 Prospect Ithaca, New
postage paic

KLIOT SPITZER Attomey General oft Attorney TOT Defcnda

By:

^

Marian W. Paysor

Assistant Aitome}

Rochester Region;

New York State C

Attorney Gen

144 Exchange lie

Rochester, New "Y

(716)546-7430

 
 UNITED STATES DISTRICT COURT WESTERN DISTRICT OF NEW YORK

KIRK HUGHES, DENNIS CHRYSLER, STE\|E JOCKO, WENDELL GLOSKEY, CHARLES WEBSTER and SCOTT MT. PLEASANT, on be half of themselves and all others similarly situated,
Plaintiffs,
-vs-
GLEtil GOORD, Commissioner of the New York State Department of Correctional Services, RAYMOND BROADUS, Assistant Commissioner of the New York State Department of Correctional Services, JIMMIE HARRIS, Director of Ministerial Services, JOSEPH MCCOY, Superintendent of Cayuga Correctional Facility, SALLY JOHNSON, Superintendent of Orleans Corroctional Facility, MELVIN HOLLINS, Superintendent of Oneida Correctional Facility, WALTER KELLY, Superintendent of Attica Correctional Facility, and DAV D L. MILLER, Superintendent of the Eastern Correctional Facility,
Defendants.

No. 97-CV-6431 CJS
DECISION AND ORDER 'o:
>•?

BACKGROUND Plaintiffs in this action are Native American prison inmates, who alleged that in mosf of New York State's prisons, the New York State Department of Correctional Services ("DOCS") was unlawfully preventing them from conducting religious cerehionies. The complaint states that it is a class action "brought pursuant to 42 U.S.C. § 1983, and seeks injunctive relief to enjoin Defendants from violating Plaintiffs'
Hughes v. Goord
• • ••• • • • • • • • • • • • BI«1I • • ! !
PC-NY-040-003

right to the free exercise of religion and equal protection of the law as guaranteed by

the First and Fourteenth Amendments to the United States Constitution." In general,

plaintiff; sought the ability to engage in certain religious practices, including smudging

and swe|at lodge ceremonies, the hiring of Native American Chaplains, and the ability to

wear anjd possess certain religious items.

Plaintiffs commenced this action on September 29, 1997, and shortly thereafter,

counsel for the parties began negotiating a settlement. In a Joint Status Report [#11] filed on October 22,1998, the parties stated as follows:

he parties have conducted settlement negotiations since December 997. The seventh settlement conference occurred on July 7,1998.... he conferences were conducted primarily by Sarah Betsy Fuller, attorney for Plaintiff, Prisoners' Legal Services[,] and Anthony J. Annucci, deputy Commissioner and Counsel for the Department of Correctional Services. As a result of the settlement conferences, DOCS has adopted n interim policy which subject to security and safety concerns, permits I Jative American inmates at all facilities to possess symbolic and sacred :ems essential to their beliefs including participation in seasonal ;eremonies, regular meetings for prayer or study, smudging, drumming, Wanting and dancing in congregation, and with individual observance,... Uso as a result of the settlement conferences DOCS has agreed to create »half-time chaplaincy position to serve Native American inmates and has >egun recruiting to fill the position. There are a number of issues yet to >e resolved. Among these is the plaintiffs' alleged right to participate in Sweat Lodge ceremonies.

Thereafter, the parties continued settlement negotiations,

pn March 24,1999, counsel for the parties appeared before the undersigned for

a status conference. At that time, counsel informed the Court that they had "reached

i •

_

agreement in principle," but that there were still certain unresolved matters, such as the

i

•

issue df whether or not inmates would be permitted to engage in Sweat Lodge

ceremonies. (Transcript of Status Conference [#14], p. 3-25). Defendants' counsel

2 .

statetji that with regard to sweat lodge ceremonies, "[a]t this point our view point is that

allow ng a number of inmates to be unsupervised in aclosed [sweat lodge] for a period

of two or three hours, which is the period of time we are talking about... [presents a

secujity concern that we have not been able to reconcile." (Id., p. 17). The Court then

adjourned the matter for six weeks to allow the parties to complete their negotiations.

On May 12,1999, counsel again appeared before the undersigned, at which time

counsel agreed to conduct two more days of settlement negotiations in June of 1999,

and p appear again before the undersigned on July 9, 1999.

On July 9,1999, counsel appeared before the Court for a full day of settlement
i
negotiations, after which they signed a 21-page stipulation of settlement. ([#30]). The

stipulation provides for a compromise of plaintiffs' demand for sweat lodges, whereby

DOCS is not obligated to provide or allow sweat lodge ceremonies, but inmates may

apply for a family-tie furlough for the purpose of participating in sweat lodge ceremonies

outsjide of the facility. With the exception of sweat lodges in the prisons, the settlement

agreement appears to provide plaintiffs with most, if not all, of the relief which they were seeding in this action. In addition£tijejagreernent provides mechanisms for monitorinc

training of DOCS employees, dispute resolution, and payment of attorney's fees to

plaintiffs' counsel. Finally, the agreement provided that the parties would move the

Coifjrt to certify this as a class action, and that if the class were certified, the parties

i •

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wojild jointly move for an order dismissing the action pursuant to Rules 23(e) and

41(|a)(2) of the Federal Rules of Civil Procedure. 1 On September 1,1999, the parties filed a stipulated motion [#18] to certify this

action as a class action pursuant to Fed. R. Civ. P. 23(a) and (b)(2). On September 20,

3

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.

•

• ".

1999, the Court issued an Order [#21] certifying this matter as a class action, and a stipulated Order [#22] regarding notice to the class. Plaintiffs, i.e., all Native American inmates in New York State's prisons, were sent a copy of the proposed settlement agreement and a detailed notice explaining the terms of the proposed settlement. The Order directing notice established a 30-day period for plaintiffs to submit comments or objections to the proposed settlement. Following the comment period, plaintiffs'
j
counsel were directed to submit a report summarizing any continents or objections raised by plaintiffs, and defendants' counsel were directed to submit a response to the report On December 15,1999, plaintiffs' counsel filed their "Report of Comments" [#25]. The comments received from class members centered mainly upon a few issues*. First, some inmates expressed doubt that.DOCS would honor its commitment to hir^ a Native American chaplain. Second, some inmates felt that the proposed settlement favored members of the "Six Nations (Haudenosaunee)," while not providing for otier Native Americans; Third, inmates were concerned that they would not be able to bufn "Indian tobacco" if tobacco were banned by DOCS. Finally, some inmates felt that tfie proposed settlement was discriminatory, since it would have required Native Ametican inmates to prove that they were in fact Native American, while there allegedly is no such requirement for members of other religions. As a result of the comments received, plaintiffs' counsel stated that "with reluctance," they were recommending that the Court not approve the Stipulation. ([#25], p. 1).
On January 14, 2000, defendants filed their response to plaintiffs' report.
Defendants noted that many of the inmates' concerns and fears were either unfounded
or were moot. For example, defendants noted that a Native American Chaplain had in 4

fact been hired by DOCS, and that despite DOCS' no-smoking policy, Native American

inmaies were permitted to smoke or smudge non-tobacco substances twice a day, and

were permitted to smoke Indian tobacco during eight religious ceremonies during the

yeaq
Thereafter, counsel for plaintiffs and defendants engaged in additional
•
negotiations in an attempt to address the concerns raised in Plaintiffs' Report. On

Febrjuary 17, 2000, counsel submitted a Joint Supplemental Response [#29], jointly

recommending approval of the July 9,1999 settlement agreement. The Joint
i
i
Supplemental Response rioted that the inmate's most serious concerns had been addressed by the hiring of a Native American chaplain. Counsel also stipulated to two minor technical changes to the stipulation. Specifically, counsel stipulated to amend Sec:ion IV(G)(6)(b) of the Stipulation to delete an erroneous reference to "sweet grass," and to amend Section IV(G)(5) to delete an erroneous reference to tobacco.
ANALYSIS

It is well settled that "Federal Rule of Civil Procedure 23(e) requires court

approval of any settlement that effects the dismissal of a class action. Before such a settlement may be approved, the, district court must determine that a class action
j.
settlement is fair, adequate, and reasonable, and not a product of collusion." Joel A. v.
i
Giuliani, 218 F.3d 132,138 (2d Cir. 2000). Moreover, "[a] proffered settlement that is

in large part negotiated prior to certification of the class-as occurred herein--is subject

to ci higher degree of scrutiny than is usual in assessing a settlement's fairness."

Co\jnty of Suffolk v. Long Island Lighting Co., 907 F.2d 1295,1323 (2d Cir. 1990). In

conducting this inquiry, courts generally consider the following factors:

• "

•

5

(1) the complexity, expense and likely duration of the litigation, (2) the reaction of the class to the settlement, (3) the stage of the proceedings and the amount of discovery completed, (4) the risks of establishing liability, (5) the risks of establishing damages, (6) the risks of maintaining the class action through the trial, (7) the ability of the defendants to withstand a greater judgment, (8) the range of reasonableness of the settlement fund in light of the best possible recovery, (9) the range of reasonableness of the settlement fund to. a possible recovery in light of all the attendant risks of litigation.

Id. 11323-24. Applying the applicable foregoing law to the facts of this'case, the Court finds

that this action should be settled on the terms set forth in the stipulation of settlement

[#30]. The Court finds that the Stipulation of Dismissal was painstakingly negotiated by

I

•

.

.

•

experienced and able counsel in good faith, and strikes a fair and reasonable balance

between the plaintiffs' demands and the defendants' concerns over security at New

York's prisons. As noted above, with the exception of sweat lodges in the prisons, the

stipulation essentially provides plaintiffs with the relief they sought in their complaint. In

light of this, the Court finds that there would be little point in proceeding with this

litigation. It is unlikely that the time and expense which would be consumed in

discovery and trial would result in any significant gains for the plaintiffs. Moreover, with

regjard to the issue of sweat lodges, the stipulation provides that Native American

inrjiates who are otherwise eligible for temporary release will have the opportunity to

apply for a "family-tie furlough for the primary purpose of allowing the inmate to

participate in a sweat lodge ceremony during his or her absence from the facility."
i. •
(Stipulation [#30], Sec; III(G)). The Court further finds that plaintiffs have been given

sufficient notice of the proposed settlement, and that the objections and concerns

raised by the class members have, to the extent possible, been adequately addressed.

6

CONCLUSION

Accordingly, the Court approves the settlement of this action, pursuant to Fed. R.

Civ. P. 23(e). It is hereby ordered that this action is dismissed as settled, upon the

terms set forth in the stipulation of dismissal [#30], which is incorporated and made a

part of this Decision and Order. Further, Section IV(G)(6)(b) of the Stipulation [#30] is

i

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amended to delete the reference to "sweet grass," and Section IV(G)(5) is amended to

delate the reference to tobacco.

So ordered.
Dated: Rochester, New York September v5" , 2000

ENTER:
V
CHARLES J. SIF$GUS United States District Juode

 
 II

UNITED STATES DISTRICT COURT WESTERN DISTRICT OF NEW YORK
KIRK HUGHES, DENNIS CHRYSLER, STEVE JOCKO, WENDELL GLOSKEY, CHARLES WEBSTER and SCOTT MT. PLEASANT, on behalf of themselves and all others similarly situated,
Plaintiffs,
vs.
GLENN GOORD, Commissioner of the New York State Department of Correctional Services, RAYMOND BROADUS, (Assistant Commissioner of the New York State Department of Correctional Services, JIMMIE HARRIS, Director of Ministerial Services, JOSEPH MCCOY, Superintendent of Cayuga Correctional Facility, SALLY JOHNSON, Superintendent of Orleans Correctional Facility, MELVIN HOLLINS, Superintendent of Oneida Correctional Facility, WALTER KELLY, Superintendent of Attica Correctional Facility, and DAVID L. MILLER, Superintendent of the Eastern Correctional Facility,
Defendants.

CLASS ACTION COMPLAINT

INTRODUCTION

1. This is a class action challenging the systemic deprivation of religious rights of Native

American prisoners, and discrimination atfacilities of the New York State Department of

Correctional Services ("DOCS").

2. This complaint is brought pursuant to 42 U.S.C. § 1983, and seeks injunctive relief to

enjoin Defendants from violating Plaintiffs' right to the free exercise of religion and equal

protection of the law as guaranteed by the First and Fourteenth Amendments to the United States

Illlllllllllli 1

Hughes v. Goord

PC-NY-040-004

Constitution. 3. Defendants, acting under color of state law, have violated Plaintiffs' rights by failing to provide Native American prisoners with the opportunity to practice their traditional Native American tfeligion. 4. Through their policies and procedures, and through their failure to implement policies and procedures:, Defendants have denied Native Americans all means of religious expression at 66 out of 69 maximum, medium, and minimum security correctional facilities. Defendants prevent traditional Native Americans from possessing symbolic and sacred items essential to the practice of their relijgion; they have denied them the opportunity to engage in spiritual practices essential to the practice of their religion including participation in seasonal ceremonies and regular meetings for prayer <j>r study; smudging; drumming, chanting and dancing, both in congregation with other adherents df their faith and individual observance.
JURISDICTION 5. The Court has jurisdiction of this action pursuant to 28 U.S.C. § 1331 and 28 U.S.C. § 1343.
VENUE 6. Venue is in the Western District of New York pursuant to U.S.C. §1391(b)(l) and (2) because (1) a substantial part of the events or omissions occurred in the Western District; and, (2) one of the defendants resides there and all defendants reside in New York state.
PARTIES 7. Each of the named Plaintiffs is a Native American who has a sincere religious belief in traditional Native American religion and spiritual practices.

8. Plaijntiff KIRK HUGHES is presently confined in the custody of the New York State Department of Correctional Services (hereafter DOCS) at the Cayuga Correctional Facility in Moravia, New York. 9. Plaintiff DENNIS CHRYSLER is presently confined in the custody of DOCS at the Orleans Correctional Facility in Albion, New York. 10. Plaintiff STEVE JOCKO is presently confined in the custody of DOC S at the Attica Correctional Facility, in Auburn, New York. 11. Plaintiff WENDELL GLOSKEY is presently confined in the custody of DOCS at the Eastern Correctional Facility in Napanoch, New York. 12. Plaintiff SCOTT MT. PLEASANT is presently confined in the custody of DOCS at the Cayuga Correctional Facility in Moravia, New York. 13. Plaintiff CHARLES WEBSTER is presently confined in the custody of DOCS at the Oneida Correctional Facility in Rome, New York. 14. Plaintiffs DENNIS CHRYSLER, and WENDELL GLOSKEY have been and are currently at prisons wjhere there is no religious programming for Native Americans. Each has made known to Defendants for many years his desire to practice his religion and has been denied all opportunity to do so. 15. Plaintiff STEVE JOCKO is currently at a facility where he cannot practice his religion. He has on two occasions been assigned to a prison where there is Native American religious programming, but spent many years requesting transfer to that facility, and has twice been transferred to other facilities without Native American religious programming against his wishes. 16. Plaintiffs KIRK HUGHES, SCOTT MT. PLEASANT, and CHARLES WEBSTER are at

prisons whiph only recently began some religious programming for traditional Native Americans. They each have been previously confined at facilities where they had no means of religious expression. Each faces the possibility of transfer in the future to a facility with no religious programming for Native Americans. Each also faces the possibility that the religious programming at their current facility will cease. Furthermore, the religious programming at their facilities does not satisfy the mandates of their religion. 17. The requested class is composed of all Native Americans who are or will be incarcerated in New York State correctional facilities and who have a sincerely held religious belief in the practice of Native American traditional spirituality also known as the "way of life." 18. Defendant GOORD is and was at the times complained of herein the Commissioner of DOCS. As such, he is charged with the overall supervision of DOCS and has personally approved and failed to remedy the unlawful practices and procedures complained of here. 19. Defendant BROADUS is and was at the times complained of herein Assistant Commissioner of DOCS. Among his responsibilities are the oversight of religious matters in DOCS' prisons. As such he has personally approved and implemented and failed to remedy the unlawful practices and procedures complained of herein. 20. Defendant HARRIS is and was at the times complained of herein the Director of Ministerial $ervices. As such, he is responsible for all matters pertaining to religious observation in all DOCS facilities and has personally implemented and failed to remedy the policies, practices, and procedures complained of herein. 21. Defendant MCCOY is Superintendent of the Cayuga Correctional Facility. As Superintendent, he is responsible for assuring that plaintiffs are able to exercise their religion

within his facility. 22. Defendant HOLLINS is Superintendent of the Oneida Correctional Facility. As Superintendent, he is responsible for assuring that plaintiffs are able to exercise their religion within his facility. 23. Defendant KELLY is Superintendent of the Attica Correctional Facility. As Superintendent, he is responsible for assuring that plaintiffs are able to exercise their religion within his facility. 24. Defendant MILLER is Superintendent of the Eastern Correctional Facility. As Superintendent, he is responsible for assuring that plaintiffs are able to exercise their religion within his facility. 25. Defendant JOHNSON is Superintendent of the Orleans Correctional Facility. As Superintendent, she is responsible for assuring that plaintiffs are able to exercise their religion within her facility. 26. During all times and regarding all acts or failures to act mentioned in this Complaint, the Defendants were acting in their official capacities. They are sued in their individual and official capacities.
CLASS ACTION 27. This action is brought by Plaintiffs as a class action on behalf of all other similarly situated individuals who are Native American prisoners in New York state correctional facilities who have a sincerely held religious belief in traditional Native American spirituality and seek to practice their traditional religion, and who have been denied the opportunity to do so by the actions and inaction of the Defendants.

28. The class so represented by Plaintiffs, and of which Plaintiffs are members, is fluid and so numerous that joinder of all such persons is impractical. At a minimum, 189 persons incarcerated in New York state prisons indicate traditional Native American religion as their religious preference. This number undoubtedly understates the size of the class since there is no religious programming for Native Americans in all but three of DOCS prisons. 29. Theire exist questions of law and fact which are common to the class of Plaintiffs, which common questions predominate over any questions affecting only individual class members. 30. Common questions of fact include which religious practices are fundamental to Native American religion; what policies and procedures Defendants impose with respect to religious practice for Native Americans; how Defendants' policies and procedures affect Plaintiffs' ability to practice their religion; what justification Defendants have for preventing Native Americans from engaging in fundamental religious practices; what alternative means of religious expression are available to Native Americans, what opportunities for religious expression Defendants make available to adherents of other religions; how disparate is the treatment Defendants accord to traditional Native Americans relative to adherents of other faiths and what justification to Defendants have for this disparate treatment. 31. Common questions of law include whether Defendants justification for their policies and practices is reasonable and rationally related to legitimate security interests; whether Defendants have failed to provide Plaintiffs with a reasonable opportunity for pursuing their faith, and whether disparity of treatment is reasonable. 32. Plaintiffs' interests and claims are typical of the interests and claims of the class of Plaintiffs in that they seek to practice their traditional religion which is the religion or similar to

the religion of all members of the Plaintiffs' class. The specific religious practices the Plaintiffs seek are typical of the practices all class members seek. The claims depend upon a showing that Defendants, while acting under color of state law, deprived Plaintiffs of their rights as secured by the United States Constitution, and these claims are common to all the members of the Plaintiffs' class. 33. Plaintiffs will fairly and adequately represent and protect the interests of the members of the class. The attorneys for Plaintiffs are experienced and capable in civil rights and class action litigation on behalf of prisoners and have successfully represented claimants in other civil rights litigation. 34. This action is properly maintainable as a class action because the prosecutions of separate actions by the individual members of the class would create a risk of inconsistent adjudications with respect to individual members of the class, which would establish incompatible standards of conduct for the Defendants. 35. This action is properly maintainable as a class action because the prosecutions of separate actions would create a risk of adjudications with respect to individual members of the class which would, as a practical matter, be dispositive of the interests of the other members who are not parties or substantially impair or impede their ability to protect their interests.
FACTUAL ALLEGATIONS 36. Traditional Native American spirituality as practiced by the Plaintiffs, include the following centrally important practices: smudging (burning sacred herbs including sweet grass, sage, cedar and tobacco); pipe ceremony (smoking sacred herbs); drumming, shaking rattles, chanting, and dancing; wearing religious symbols which are believed to be imbued with spirituality

such as specially created beadwork, symbols of nature, medicine bag containing sacred herbs or symbols, etcf; observing eight sacred festivals together with family and community; and participating in sweat lodge ceremonies. Defendants' failure to provide Plaintiffs with the opportunity to practice their faith 37. Defendants employ chaplains to serve the religious needs of inmates at each prison. Defendants employ no chaplains who are traditional Native American religious practitioners. 38. In addition, Defendants employ Ministerial Program Coordinators (MPC's) to coordinate and oversee religious services of their faith at all of the facilities. The MPC's are Protestant, Catholic, Muslim, and Jewish. There is no traditional Native American MPC. 39. The needs of inmates "who ascribe to less well-known religious faiths," and "those faith groups with a distinctive ethnic or racial characteristic," are supposed to be met by Coordinating and area chaplains. DOCS Directive 4200, Section m(A)(3) and (4) (Attachment A). Practitioners of traditional Native American spirituality are provided for under this provision. 40. The area and coordinating chaplains with responsibility for overseeing Native American religious observance in DOCS facilities are Protestant ministers or Catholic priests or lay leaders with no special knowledge of, training in, or, in some cases, sympathy for Native American spiritual beliefs and practices. Said chaplains do not provide religious programming to Native Americans. 41. The only religious programming available to traditional Native Americans and other persons whp are not Protestant, Catholic, Muslim, or Jewish, is programming provided by outside volunteers approved by DOCS. 42. Defendants' policies and procedures place the burden on Native Americans to locate and
8

recruit their own volunteers. Ouijside volunteers
43. If Plaintiffs do not know of any potential volunteers or are unable to recruit any, Defendants will not permit or approve religious programming for traditional Native Americans at that facility. 44. Unless there is an approved Native American religious program, Defendants will not permit traditional Native Americans to engage in any spiritual practices with other Native Americans including participation in a ceremony or regular weekly gathering for spiritual purposes, or group religious study. 45. Named Plaintiffs CHRYSLER, GLOSKEY, JOCKO and MITCHELL are all at facilities where there is no volunteer and therefore, no opportunity to practice their religion, as are class members at 66 out of 69 facilities operated by Defendants. 46. Plaintiffs HUGHES, MT. PLEASANT, and WEBSTER are presently incarcerated at facilities with outside volunteers and religious programming for Native Americans. Previously, they were incarcerated at facilities without such programming. Furthermore, if the individuals currently volunteering at their facility should cease to do so, they would once again have no religious programming. 47. Even when Native American prisoners at a particular prison have successfully obtained a volunteer to sponsor their group, at some facilities they are not permitted to meet for religious purposes unless their volunteer is present. When the individuals who volunteer at their facility are unable to attend a religious ceremony, the ceremony is cancelled and plaintiffs are denied their opportunity to observe their holiday.

48. For example, at the Cayuga Correctional Facility, although volunteers were approved in August, 1996, Plaintiffs were not permitted to hold weekly meetings because their volunteer could not be present. In March 1997, they received permission to meet weekly when a Native American correction officer agreed to be a staff volunteer. However, these meetings are expressly stated to be organizational and not for the purpose of religious observance, such as smudging, drumming, singing, and dancing. When both the outside volunteer and the staff volunteer were unable to attend the Green Corn Ceremony in September 1997, the observance was cancelled. 49. Currently, there are only three facilities where there are approved volunteers willing to come and provide religious services to traditional Native Americans. These facilities include Auburn Correctional Facility (maximum security), Oneida Correctional Facility (medium security), and Cayuga Correctional Facility (medium security). 50. Although there are members of the Plaintiff class at nearly each of the 66 remaining facilities under the care and custody of Defendants, these class members have no opportunity to practice their faith because they have no approved volunteers at their facility. 51. Whijle Defendants may have a rational reason for requiring at least one volunteer from any faith not served by the chaplains DOCS employs to advise them on the requirements of that faith, there is no rational reason to require 69 such volunteers. 52. Inmates who adhere to the Protestant, Catholic, Jewish, or Muslim faith enjoy the opportunity for regular meetings for group study, congregate worship, and special holy day celebrations. These events are organized and often led by chaplains hired by Defendants for the purpose of serving these religious communities. DOCS Directive #4202, dated November 26,
10

1982, revised October 12, 1988, Parts C, E, and I (Attachment B). Traditional Native Americans have no suah opportunity. 53. Defendants recognize the holy days of each religion, DOCS Directive #4202, and permit family participation at holy day celebrations, "whenever possible." DOCS Directive 4022, Par. H(B)(2) (Attachment C). 54. Plaintiffs who are incarcerated at prisons where there are no approved volunteers are not permitted to! hold holy day ceremonies. 55. Requiring traditional Native Americans to locate and recruit volunteers in order to practice they" religion, imposes an often insurmountable barrier. 56. Financial barriers prevent class members from obtaining volunteers. The Native American community in New York state is largely rural and poor. While employing clergy for other faiths, Defendants do not compensate volunteers for their travel expenses or their services. 57. Defendants' regulations deter many potential volunteers. In particular, Defendants
i
prohibit volunteers from having personal visits, corresponding, and receiving collect phone calls with any members of the group they are serving. DOCS Directive #4750, Section V(B)(1), (2), and (3) (Attachment D). This policy naturally deters relatives and friends from volunteering, and forces Plaintiffs to choose between practicing their religion or maintaining their family and social relationships!. 58. Defendants' treatment of volunteers and guests also deters people from volunteering. For example, when Cayuga Correctional Facility held its first holy day ceremony in November 1996, many of the invited guests who had traveled great distances to attend were turned away at the gate because Defendant MCCOY had, without notice, removed their names from the gate pass.
11

More recently, Defendant MCCOY in consultation with Defendant HARRIS now require that any community guest must become an approved volunteer. 59. Often, Defendants routinely incarcerate class members in geographic locations far from their hom^ and from any Native American reservation, leaving Plaintiffs with no ability to locate potential Volunteers. 60. Often, there is no qualified person living in proximity to a particular prison where a class member is incarcerated. 61. Thje numbers of clan mothers and medicine men and other traditional practitioners qualified t(j) serve as volunteers are few. The demands on this group of people for providing religious services to tribal members both outside and within prisons are far greater than this population can serve. It is particularly not possible for them to provide religious services to tribal members uji 69 separate facilities. 62. Although Defendants' regulations permit staff members and inmates to serve as volunteers, DOCS Directive #4750, Section (VI)(F) and (H), (Attachment D), Defendants have often not been willing to offer or permit this alternative at facilities where no outside volunteer can be found. 63. Traditional Native Americans at facilities where there is no approved volunteer have no alternative fneans for practicing their religion.
Denial of religious items 64. Defendants permit inmates to wear one traditionally accepted religious medal or crucifix unless wearing it presents a danger to the inmate or the security of the facility. DOCS Directive #4202, Section (J)(2) (Attachment B).
12

65. Although beadwork and various symbols of nature and medicine bags are traditionally accepted religious apparel for Native Americans, Defendants make no provision for Native Americans to possess or wear such items. 66. In addition, Defendants permit other religious adherents to possess items necessary for prayer and ritual. Muslim inmates may possess a prayer rug, kufi, prayer robe, and guthra; Jewish inmates may possess yarmulka, tefillin, talit, and talk katan. Catholics may possess rosary beads, and adherents of the Santaria religion may possess Santaria beads. DOCS Directive #4202, Section (J)(3), (4), (5) and (6) (Attachment B). See DOCS Directive #4911, Section IV(K) governing property which may be received through the package room. (Attachment E) 67. DOCS Directives #4202 and #4911 identify no items of religious significance to Native Americans in the list of permissible property. 68. In addition to the items approved in DOCS Directive #4202 and #4911, DOCS permits individual facilities to issue "local permits," which are subject to the discretion of the Superintendent and the Deputy Commissioner Correctional Facilities. DOCS Directive #4911, Section (m)(A)(2) (Attachment E). 69. A local permit is valid only at the facility at which it was issued; if an inmate possessing such permit is transferred and his or her subsequent facility will not issue another permit, the item must be disposed of. DOCS Directive #4911, Section m(A)(4) (Attachment E). 70. For example, class member Donald Pagan is a recognized pipe holder of the Lakota Sioux. When he was incarcerated at Auburn Correctional Facility, he had a local permit to possess his pipe. When he was transferred to Oneida Correctional Facility, his pipe was confiscated as contraband, broken while in the possession of correctional authorities, and he was ordered to
13

either send it out of the facility or have it destroyed. Plaintiff SCOTT MT. PLEASANT had a local permit at Gouverneur Correctional Facility to possess sage and sweetgrass. When he was transferred to Cayuga Correctional Facility, the herbs were confiscated and destroyed, and he was required to obtain another permit. He experienced the same treatment when he was transferred from Clinton Correctional Facility, where he had a local permit, to Gouverneur Correctional Facility. 71. A traditional Native American desiring to possess beads or bead work, herbs, drums, sacred pipes, rattles, medicine pouches or any other items of religious significance must utilize the discretionary procedures for obtaining a local permit, which is frequently denied. 72. Examples of class members and named Plaintiffs whose requests for local permits for items of religious significance were denied include WENDELL GLOSKEY (beaded medallion to be worn under his shirt); SCOTT MT. PLEASANT (sacred herbs); Noah Lazore (material for making Native American beaded work). 73. Inmates are also permitted scriptural or devotional books or publications. DOCS Directive #4202, Section (K)(3) (Attachment B). 74. Native American religious tradition is oral. While there are no scriptural or devotional books, there are audio tapes. 75. Such tapes are usually privately made by family members and friends, and are rarely available commercially. 76. Plaintiffs are denied access to such materials because DOCS regulations only permit tapes which arrive at the facility sealed in cellophane directly from the distributor or which are sent by a "bonafide" religious organization. DOCS Directive #4911, IV(G) (Attachment E).
14

77. Although sweat ceremonies are central to Native American spirituality for many Native peoples, Defendants have never permitted plaintiffs to construct or utilize a sweat lodge. Opportunities for Native American religious practice in Defendants' facilities 78. Defendants have approved Native American religious programs at only three facilities: Auburn, Oneida, and Cayuga. 79. Even at facilities where there are approved programs, as explained below at Paragraphs 80 et. seq., infra, there are inconsistencies regarding how Native American prisoners will be permitted to practice their religion which are unrelated to any valid security purpose.
Auburnr Cayuga, and Oneida Correctional Facilities 80. The longest running program exists at the Auburn Correctional Facility. This program was begun in 1975 pursuant to an agreement between DOCS and the Onondaga Indian Nation. Agreement, Attachment F. 81. Defendants approved the establishment of programs at Oneida in late 1995, and at Cayuga in the fall of 1996. 82. Traditional Native American inmates currently incarcerated at Auburn meet weekly for congregate religious practices. They are permitted to possess drums, rattles, Indian tobacco, sage, sweet grass, and other items of religious significance. Pipe-holders are permitted their pipe. They also are permitted to possess and to do Indian beadwork. In addition, they are permitted to observe all eight, day-long ceremonies listed in DOCS Directive #4202 which are attended by family, relatives, and invited community guests. 83. Notwithstanding the fact that the Native American religion program has been in operation for over 20 years at the Auburn Correctional Facility, and that Auburn is a maximum security
15

prison, Defendants refuse to incorporate the policies and procedures at Auburn into statewide policy. Traditional Native Americans at Oneida and Cayuga Correctional Facilities, both medium security prisons, are not provided with the same rights and privileges long established at Auburn Correctional Facility, without any apparent security justification. 84. For example, at Oneida and Cayuga Correctional Facilities, under the direction of Defendant HARRIS, Defendants MCCOY and HOLLINS prohibit Plaintiffs from holding all but two of their holy day celebrations with family and community guests. 85. DOCS regulations grant Defendants MCCOY and HOLLINS discretion to permit family and community participation at holy day events, "whenever possible." Directive #4202, Paragraph L(4) (Attachment B). Nevertheless, once Plaintiffs have held their two ceremonies with family and guests, Defendants HARRIS, MCCOY and HOLLINS refuse to even consider whether family and community participation is possible. 86. Whereas adherents of western religions can engage in prayer with or without the presence of family and community, traditional Native American ceremonies require the presence of the communityi Restricting participation to the inmates alone denies plaintiffs their right to practice their religion. 87. Native American volunteers have advised defendants MCCOY, HOLLINS, and HARRIS that Native American spirituality requires the presence of family and community at ceremonies. Nevertheless, Defendants have refused to permit family and community participation. 88. Even when family are permitted to attend, Defendants' regulations define family members by western tradition and thereby exclude clan relatives who are considered like siblings and parents by Native American tradition. Directive #4202, Section L(4) (Attachment B).
16

89. Furthermore, Defendant MCCOY in consultation with Defendant HARRIS has restricted community participation to persons who are approved volunteers even though nothing in DOCS Directive requires or authorizes them to do so. 90. While traditional Native Americans at Auburn Correctional Facility have permission to possess and use for daily observance religious items such as sacred herbs, pipes, drums, rattles and religious symbols such as beadwork medallions, nature symbols, and medicine bags, Plaintiffs at Cayuga and Oneida Correctional Facilities are prohibited these items. 91. There is no valid security purpose to deny traditional Native Americans at Oneida and Cayuga Cojrrectional Facilities their right to conduct religious ceremonies according to the dictates of their faith or to possess sacred items and symbols, or to justify treatment inconsistent with long established practice at Auburn Correctional Facility.
Other Correctional Facilities 92. Other facilities have had approved programs, but once the volunteer ceased his or her participation, or when a critical mass of participants was transferred to other prisons, the program folded. Examples include the Franklin Correctional Facility and Mid-State Correctional Facility. 93. Donald Powless and PlaintifFKIRK HUGHES were left without a program when all other Native Americans at Mid-State were transferred to nearby Oneida Correctional Facility. James Mitchell^Noah Lazore, and Wayne Benedict lost their opportunity to practice their religion when the volunteer at Franklin Correctonal Facility ceased attending in January 1996, and all programming was cancelled. 94. Thefe are currently no organized religious programs for traditional Native Americans at any of the 66 other DOCS facilities.
17

95. Defendants have no policies permitting Native American inmates who are incarcerated at facilities with functioning programs to remain there for religious reasons, or, if transferred, to be transferred to a facility with a functioning Native American religious program. 96. Defendants have no policies permitting Native American inmates incarcerated at facilities without functioning Native American religious programs to transfer to a facility with a functioning Native American religious program. 97. Defendants have no policies permitting Native Americans at facilities with no functioning Native American religious program to attend religious ceremonies at other facilities, even when those facilities are nearby and are the same level of security or higher, and even though defendants will temporarily transfer inmates to other facilities for non-religious purposes. 98. Defendants could easily accommodate the needs of traditional Native Americans to engage in congregate prayer, to possess and use religious items, education materials, and symbols, and to permit the presence of family and community at ceremonies. 99. Plaintiffs have no alternative means of religious expression. 100. Defendants' regulations, practices and procedures have placed arbitrary obstacles in the way of Plaintiffs' efforts to engage in meaningful religious expression. Discriminatory Treatment of Traditional Native Americans 101. Prisoners who are Protestant, Catholic, Jewish, and Muslim all have the opportunity for congregate worship, access to DOCS-employed chaplains of their faith, recognition of their holy days and the opportunity to observe and study their faith, and possession of religious or spiritual items. 102. Defendants have accommodated the religious needs of prisoners of other minority
18

religions in ways they refuse to do for Native Americans. 103. For example, Defendants maintain a kosher food program at the Green Haven Correctional Facility to which Jewish prisoners who observe a kosher diet may be transferred and remain barring overriding security concerns. DOCS Directive 4202, Section L(3) (Attachment B). Jewish prisoners who cannot or choose not to attend the kosher food program at Green Haven are accommodated with an alternative cold kosher diet at their facilities, and can observe their religion in other ways similar to the practice at Green Haven. 104. Defendants have agreed in a court ordered stipulation to hire a part time minister for adherents of the Nation of Islam Faith once their numbers exceed 200. 105. Defendants have also agreed in a court ordered stipulation that members of the Moorish Science Temple of America are expressly permitted to attend congregate prayer services and classes with or without the presence of an outside volunteer. 106. Jewish and Muslim inmates are also permitted congregate worship on occasions when their chaplains are not available. 107. Defendants have no rational reason reasonably related to penological objectives for the disparate treatment accorded to traditional Native Americans. 108. Defendants have discriminated against Plaintiffs beyond the extent required by the exigencies of prison administration.
EXHAUSTION OF ADMTNTSTRATIVE REMEDIES 109. Plaintiffs and other members of the class have submitted grievances and appealed unfavorable decisions on each of these practices and thereby have exhausted all administrative remedies.
19

FIRST CLAIM FOR RELIEF 110. By their policies, practices, customs, actions and failure to act as alleged herein, Defendants have violated and are violating Plaintiffs' right to free exercise of religion guaranteed by the First and Fourteenth Amendments to the United States Constitution.
SECOND CLAIM FOR RELIEF 111. By their policies, practices, customs, actions and failure to act as alleged herein, Defendants have violated and are violating Plaintiffs' right to Equal Protection of the law guaranteed by the Fourteenth Amendment to the United States Constitution.
WHEREFORE, Plaintiffs request that this Court: 1. Declare that the acts which deny traditional Native Americans the opportunity to practice their religion as set forth herein violate Plaintiffs' rights under the Constitution and of the United States; 2. Grant Plaintiffs injunctive relief, enjoining Defendants from continuing to act in the unlawful manner complained of herein and enter judgment in favor of Plaintiffs;
20

3. Award Plaintiffs the costs of this action, including reasonable attorneys' fees, and, 4. Grant such other relief as this Court shall consider to be fair and equitable. DATED:
By: SARAH BETSY FULLER, ESQ. DAVID C. LEVEN, Executive Director Prisoners1 Legal Services 118 Prospect Street Ithaca, New York 14850 (607) 273-2283 JOSEPH GERKEN, ESQ. Prisoners' Legal Services 210 Franklin Street, #500 Buffalo, New York 14202 (716)854-5161 Attorneys for Plaintiffs
To: Dennis Vacco, Attorney General
21

STATE OF NEW YORK DEPARTMENT OF CORRECTIONAL SERVICES
DIRECTIVE
SUPERSEDES " Dir. # 4 2 0 0 dtd. 10/14/88

TTIV£

N°- 42 00

Functions orthe Division of Ministerial and Family Services

DISTRIBUTION
MB

PAGE 1 OF 3 Pages

DATE
OCT 1 1 1993

I.

w-

PLTRPOSE. To Set forth the mission and internal organization of the Division of Ministerial and Family

I I . MSeISrvSicIeOsN. . The mission ofthe Division is to:

A. Enable inmates to practice their religious faith and fulfill their religious obligations in accordance with the provision of the U.S. Constitution guaranteeing allcitizens the right to free exercise oftheir religion; and

B. Contribute to the essential purpose of the Department of Correctional Services inreturning to thecom-

munity mejn and women who have begun their rehabilitation and are thereby equipped for reintegration

as responsible members of society.

(

These goals shall bemet through the scheduling of worship services and other religious activities, religious educational activities, and religious counseling that respond to the mandates of the respective faith communities and of the American Correctional Association and to the safe and secure operation of a correctional facility.

C. Provide services which support the presence offamilies asa means of affecting positive change in the lives of inmates. These services may include crisis intervention, counseling, parent education, and parent/child interaction.

D. Extend pastoral services to Departmental staff and their families ascircumstances warrant.

III. INTERNAL ORGANIZATION. An Assistant Commissioner oversees the Division under the direction of the Deputy Commissioner for Program Services. The Assistant Commissioner has a Director who coordinates and directs the activities of the Division.

For organizational purposes, a distinction is made between ministerial and family services, though the two are often integral to one another. Ministerial services have to do principally with those activities of the Division involving chaplains and their service tothe religious needs of inmates (see Directive #4202, Religious Programs and Practices);

Family services are those activities undertaken specifically to enable the development ancj/or maintenance

of inmates' family relationships (see Directives #4403, Inmate Visitor Program, and #4500, Family Reunion

Program).

;

A. Ministerial Services. The Assistant Commissioner and Director provide direction forand supervision of

ministerial services. It istheir responsibility to ensure that inmates are given the opportunity to exercise

their constitutional right to practice a chosen faith. They are assisted Inmeeting this responsibility by

the following:

-

-•-,,-...

1. Ministerial Program Coordinators (MPC) have two liaison responsibilities within the Division of

Ministerial and Family Services: . , ^ _ .

T'r

-

i:.

' a. - MPC are the liaisons between Central Office and the chaplains and other staff who servethe inmate population within a particular geographic area. Coordinators shall ensure that chaplains within the area understand and adhere to Department and Division policies and procedures and shall assist inthe resolution of problems that arise inthe functioning of religious programs atthe facility level. • Coordinators also act In an advisory capacity to Superintendents and Deputy Superintendents for Program Services.

ATTACHMENT A

TITLE

Functions of the Division ol Ministerial

NO. 4200

DATE •ocrmssr

PAGE 2 Of 3 PAGES

b. f ach MPC serves as a liaison from Centra! Office to a particular faith group on a statewide basis. The MPC should have specific knowledge of the beliefs, functions, rights and responsibilities of chaplains of that faith group. The MPC should be a member of that faith.
2. Resident Chaplains are responsible for pastoral care for the entire inmate population and for staff. They also provide spiritual guidance, religious activities and volunteers, ongoing pastoral counseling, and religious education for particular faith groups. Chaplains report directly to the Deputy Superintendent for Program Services but, as situations warrant, may consult directly with the. Superintendent.
3. Coordinating Chaplains: one of the resident chaplains is assigned the responsibility for coordination of the total facility religious program and related administrative tasks. This responsibility is carried out in consultation with the other resident chaplains and with the Ministerial Program Coordinator assigned to the facility. The Coordinating Chaplain is particularly responsible for meeting the needs of inmates who ascribe to less well-known religious faiths. To carry out his/her responsibilities, the Coordinating Chaplain is to meet regularly with the Deputy Superintendent for Program Services.
4. The iArea Chaplain has the same responsibilities as the Resident Chaplain, but relates to the population of more than one facility. Services performed are usually for those faith groups with a distinctive ethnic or racial characteristic.
5. The Community Chaplain is based in or near large urban areas and serves as a link between the facility and the community and between inmate and family or other community relationships. At the request of a resident chaplain, the community chaplain makes community contacts that are essential to the mental and emotional well-being of the inmate in the facility and in relation to eventual return to the community.
In emergency situations such as the serious illness or death of an inmate or inmate's relative or a disturbance at the facility, all chaplains are required to make appropriate responses in accord with the directives of departmental and/or facility authorities. Community Chaplains are to be particulariy useful in such situations (see Directive #4013, Inmate Deaths-Administrative Responsibility).
Community Chaplains are accountable to the Director or to a designee of the Director.
B. Family Services. The Assistant Commissioner and Director provide direction for and supervision of activities and programs specifically designed to foster, enrich and sustain positive family and communtty relationships. These include:
1. Inmate Visiting Program. This program provides the opportunity for visits within the facility, In a designated area having appropriate accomodations, between the inmate and family members or frieinds.
Most facilities allow visiting on weekend days and holidays. Maximum security'facilities allow visits seven days per week. Some facilities have Family Services staff available on weekends as well as weekdays to enhance the visiting experience by providing an atmosphere of hospitality, to counsel inmate families as requested, to facilitate communication between Inmates, family and staff, and to collaborate with Security personnel when Visiting Room problems occur (See Directive #4403, Inmate Visitor Program). Facility Family Services staff reports directly to the Deputy Superintendent fof Program Services.
2. Family Visiting Program. This Is a free round trip bus service from major metropolitan areas to facilities across the State enabling relatives and friends to enjoy a several hours visit with inmates in facility visiting rooms. The Family Visiting Program Is administered by a Coordinator, based in New York City, who is accountable to the Director. The Coordinator communicates with appropriate facility staff to ensure Program participants safety, timely service and information, and reasonable visiting opportunity. - -
Paid escorts accompany each bus trip to answer visitors' questions, provide referral assistance for visitors wtth problems, explain visiting procedures, perform administrative tasks, and minimize problems en route.

rri£

Functions of the Division of Ministerial

OCT 1 1 1.993

3. Visitor Hospitality Centers. Enclosed areas adjacent or close to facilities in which inmate visitors are received. Centers provide shelter, sanitation facilities, waiting areas before and after visiting hours, storage for personal belongings, and facility and public service information. Centers may be staffed by facility personnel and/or community volunteers overseen by facility personnel.

4. Family Reunion Program. This provides inmates with the opportunity for extended family visits on facility grounds. For each Family Reunion site there is a Coordinator who is responsible for the administration of the program and is accountable to the Superintendent of the facility as well as to the Director (see Directive #4500, Family Reunion Program).

5. Family Qounseling and Education Programs. In addition to formalized family counspling, thprp nrp opportunities provided by Family Services staff for inmates and/or family members to enhance family ufiity by learning, or improving upon, ways to be responsible parents, spouses, and children. These opportunities may include parent education classes, family issue groups, peer support groups, and structured parent/child activities. This component of the Family Services Program is developed in consultation with appropriate Division staff.

The Division's Family Services programs are developed and ovejseen by a Family Services Coordinator who is accountable to the Director.

C. Chaplains' Cadre. The Department designates, from among its incumbent chaplains, a small cadre of chaplains who are available to provide special services to Department of Correctional Services personnel. Among the types of service this cadre may perform are: t
-pastoral care for employees in times of crisis; -officiating at ceremonies and services (e.g.,
weddings); -spiritual salutations and/or prayer offerings • at Department functions.

)

These chaplains may be called upon by contacting the Assistant Commissioner or the Director of Minis-

terial and Family Services.

IV. ORGANIZATION CHART. The following chart depicts the organizational relationships within the Division of Ministerial and Family Services.

ASSISTANT COMMISSIONER

CHAPLAIN'S CADRE

COMMUNITY CHAPLAINS
r
MINISTERIAL PROGRAM
COORDINATORS
RESIDENT^ CHAPLAINCY
STAFF i

DIRECTOR

AREA CHAPLAINS

COORDINATOR OF
FAMILY SVCS.

FACILITY FAMILY SVCS.
STAFF

FAMILY VISIT PRGM.
STAFF

STATE OP NEW YORK DEPARTMENT OF COflflECTIONAL SERVICES
REVISION NOTICE
«=VISES
Directive //42p2 dtd. 11/26/82
REFERENCES (Includa* but ir* n « llmnxl to)

TTTLE

4202

RELIGIOUS PROGRAMS AND PRACTICES

Deleted! Material in Brackets [ ]

New Material Underlined

Please taake the following changes to Section I on page 4^ Section L on page 6 of the above referenced directive"'.""

Delete Section I as contained in the current directive.

[I. INDIVIDUAL PRAYER OR DEVOTIONS!

[Group or demonstrative prayer by inmates will be allowed only in the privacy of their living quarters or during reiligious service authorized by the Superintendent or in an ar|ea of the facility that has been designated by the Superintendent for religious worship.]

Add a new Section I as follows:

I.' INNATE PRAYER OR DEVOTION

Individual prayer by inmates will be allowed in the privacy
ofl their own living quarters? in designated religious areas whenever feasible.

Congregate or group prayer may only occur in a designated repLicrious area during a religious service or at other times . authorized by the Superintendent.

Dettior.strative prayer will be allowed'only to the extent that it| is not disturbing to others.

L. DIETARY CONSIDERATIONS

[2!. Inmates may refrain from eating those food items served to the general population which are contrary to their
• religious beliefs and shall be provided with a nutritionally adequate diet equivalent to or exceeding the amounts designated in Directive #3003, "Nutritional Allowances Per Departmental Food Plan."]

2. Inmates may refrain from eating those food items served \ to the general population which are contrary to their religious beliefs.A nutritionally adequate alternate diet shall be provided after validation and verification of the alternate diet by the Assistant Commissioner for Ministerial Services and the Assistant Commissioner For Health Services.

ATTACHMENT B

STATE OF NEW YDRX DEPARTMENT OF CORRECTIONAL SERVICES
5*-REVISION NOTICE

CLASSIFICATION DISTRIBUTION

4202

A & B

REVISES Directive 4202 dated 11/26/82

DATE
March 27, 1986'
PACE I OF

SUBJECT

RELIGIOUS PROGRAMS AND PRACTICES

Pilease make the following additions to the above referenced

Directive.

. •

•

Add a new item L 4 c on page 8 to read as follows:

i£. Zen Buddhist Holy Days

! 1. Buddha's Birth Date - April 15

Traditionally a festive event where thanks are

1

given for the birth of one who pointed out a true

way of life.

2. Buddha's Enlightenment Day - Dececmber 8

Traditionally celebrated with an extended period of meditation.
1 •
Add a new Section E to Attachment A (page 10) "Religious Holy Days and Seasons" immediately following Section D Muslim (Sunni and American Muslim Mission) to read as follows:

E. Zen Buddhism
Holy Days:
ji. New Year's Day (7 days) 2. Ho-On-Ko (January 16) 3. Nirvana (February 15) 4. Spring Higan (March IB - 7 days) 5. Buddha's Birth Date (April 15) 6. Gotan E (May 21) 7. Bon (July 15 - August 15) 8. BCA Founding Day (September 1) 9. Autumn Higan (September 2 0 - 7 days) jlO. B u d d h a ' s E n l i g h t e n m e n t D a y (December S ) 111. Y e a r E n d

STjATE OF HEW YORK DEPARTMENT OF CORRECTIONAl_ SERVICES
DIRECTIVE

CLASSIFICATION DISTRIBUTION

#4202

A &B

SUPERSEDES D i r e c t i v e #4202 dated 10/1/81

SUBJECT

DATE
11/26/82

PAGE 1 OF

10

PACES

RELIGIOUS PROGRAMS AND PRACTICES

\J
POLICY

In recognition of the first amendment right of freedom of religion it is the policy of the Department to extend to committed offenders as much spiritual assistance as possible as well as to provide as many opportunities as feasible for the practice of their chosen faith. These goals shall be met through the scheduling of worship services, bona fide religious activities, counseling, andreligious study consistent with the safe andsecure operation of correctional facilities.

B. RESPONSIBILITY QF THE CHAPLAIN ( 5^

The Senior (Administrative) Chaplain at each facility will serve as the principal adviser to the Superintendent on relrgious.activities andis responsible for planning an adequate structured religious program as well as identifying the resources necessary for theconduct of tnis program.

In addition, he will serve in a liaison role betweenthe facility and community religious organization as well as be responsible for coordinating andensuring the proper supervision: of all staff and volunteers engaged in religious activities within the facility. He will also assure that all community religious program volunteers are duly registered. (See Directive S4750, "Volunteer Services Program.")

For those facilities in the New York Region which do not have a Senior (Administrative) Chaplain, these responsibilities rest with the Senior Supervising Chaplain of the Region.

The Senior Chaplain will be assisted in meeting this responsibility by the following:

R4s ident Chaplain(s) Aifea Chaplain (s) Community Chaplain(s)

Visiting Chaplain(s) Visiting Clergy (Pastoral)

See Directive #4200, "Functions of Division of Ministerial Services," for their respective duties and responsibilities

RELIGIOUS PROGRAMS AND PRACTICES

! CLASSIFICATION #4202

11/26/82

G£ 2 OP 10
•C

C. RELIGIONS CELEBRATIONS
1. The Division of Ministerial and Family Services will notify the Superintendent and Senior Chaplain of the dat^s observed by recognized religions as religious celebrations. They will provide guidance to the facilities in the sacramental or ritual needs of individual religions relative to the observance, e.g., special preparations necessary, food, times of day, any restrictions on work or other program assignments, etc.; alsp, a brief description of the religious significance of the holiday will be provided with each notice. (See Attachment "A.," Boly Days, and Directive #4020, "Holiday Schedule.")

2. Prior to a religious celebration which may involve a sacramental observance or special fast, the Senior Chajplain shall consult with the Superintendent, relflgious leader(s) concerned, and the inmate religious
, leafier(s) to finalize the arrangements in accordance with the safety and security procedure at the facility.

D. SABBATH OBSERVANCE

To the jextent possible and consistent with the safety and

C

securitjy of the facility, inmates shall be permitted to

observej their Sabbaths. Under the direction of the Superin-

tendent), the Senior Chaplain shall.be responsible for

assuririg that clergy, meeting space, equipment, etc., are

available for the customary and traditional form of

observance and that dietary requirements and restrictions on

activities are observed.

E . EET.TGTfj)TT5

Inmate$ may be allowed to meet for religious study as a group,!under the direction of an individual authorized by the Superintendent, with security staff present. The approval of the Superintendent, based upon consultation with the Senior Chaplain, is required for such groups to meet.

F. ELTGTBlT.TTY ?QK ATTENDANCE AT RELTGTOOS PROGRAM

Because of staffing, space, and security considerations, it may be necessary to restrict the attendance of inmates at religious activities as follows:

1. Participation in a religious celebration, service, or

study group by an inmate is voluntary.

c

: :•[•

3

.RELIGIOUS PROGRAMS AND PRACTICES

10

2. An irujaate may attend only the religious programs of his
designated religion as noted in facility records.

3. Inmates who desire to learn about the religious practices of another faith may do so after consultation with the Senior Chaplain who will determine when their; attendance can be accommodated at a service or study session.

4. After: consultation with his spiritual advisor and the Senior Chaplain, an inmate may change his religious affiliation. The Senior Chaplain will make the neces&ary changes in facility records.

G. ARER.S DESIGNATED FOR WORSHIP AND RELIGIOUS STITHY

1. The Superintendent after consultation with the Senior Chaplain shall provide suitable areas for scheduled worship services and scheduled religious study by recognized religious groups.

2. Areas to be used for services, prayer, or scheduled religious study should normally be reserved for a period of one to two hours duration.

3. The area should be large enough to accommodate the group and should have the necessary furnishings such as musical instruments, chairs, tables, lecterns, and altars provided.

H. ATTENDANCE AT CONGREGATE RELTGTOPS SERVICES BY KEEPLOCKED

INMATES |

: "

- •' • •

1. Whenever an inmate is placed in keeplock status or conf ijned to his cell or room other than in a Special Housibg Unit pursuant to 7 NYCRR Section 251.6, he shall be notified in writing, in both English and Spanish, upon the commencement of such keeplock or confinement
• that he may request permission to attend regularly schedjuled congregate religious services.

2. Such requests shall be made in writing to the Deputy Superintendent for Security or his designee, a Lieutjenant or higherr and the Senior Chaplain using Request to Attend Scheduled Religious Service by Keeplocked Inmate (Form-2135). See Attachment "B." These requests shall contain the inmate's name, identification number, cell location, and date and time of the service he wants to attend, and will be made available to inmates upon their first appearance before the Adjustment Committee. Such requests must be submitted 48 hours before the scheduled service unless the inmate has been placed in keeplock or confinement less than 48 hours before the service. In such a case, the request must be submitted with 24 hours after the

RELIGIOUS PROGRAMS AND PRACTICES

#4202

1 DATs 11/26/82

OF 1 0 i
<

inmat£ has been placed in keeplock or confined. A separate request must be submitted ±or each religious service that the inmate desires to attend.

All requests shall be reviewed by the Deputy Superintendent for Security or his designee, a Lieutenant or highejr, and the Senior Chaplain but in no event shall the reviewing official be a person who participated in any investigation of the acts complained of in the misbehavior report which led to the inmate's confinement or kejeplock, or who was a witness to tnose acts.

NOTE:! Final decision remains with the Deputy Superintendent for Security.

Permission to attend congregate services shall be

granted to inmates in keeplock status unless, in the

judgment of the reviewing official, the inmate's

presence at such services would create a threat to the

•safe land secure operation of the facility. In reaching

this !determination, the reviewing official shall take

into consideration the following factors:

•/••

a;~ the-'1current misbehavior infraction for which the

C

inmate was placed in keeplock;

b. ^he inmate's adjustment during the current period of Confinement in keeplock;

- —-c, the inmate's disciplinary record during the six aionth period prior to the date of the current misbehavior; and

d. denial for any condition other than tnose set forth jln 4a, b, or c above must be approved by the Superintendent.

The previewing official shall promptly advise the inmate in-wiriting of the determination and the reasons for it.

NOTE: A| separate request must be submitted for each religious service that the inmate desires to attend.
I . TNDTVTqnAL PRAYER OR DEVOTIONS —

Group or demonstrative prayer by inmates will be allowed

only in the privacy of their living quarters or during a

religious service authorized by the Superintendent or in an

area of the facility that has been designated by the

C

Superintendent for religious worship.

iRELIGIOUS PROGRAMS AND P R A C T I C E S

CLASSIFICATION #4202

PACE 5 11/26/82 j Of 10

J. VESTMENTS i MEDMiS , kNDRELIGIOUS RBGAXiXA

1. During the conduct of religious services/ clergymen may wear their religious vestments and/or insignia.

2. Inmates will be permitted to wear one traditionally accepted religious medal or crucifix within the facility unles$ its wear presents a danger to tne inmate or the security of the facility. The value of the medal or crucifix shall not exceed the monetary value limitfor jewelry as set forth in Directive #4911, "Packages and Articles Sent or Brought to Institutions." The medal or crucifix shall not be of such size or design that it can be used as a weapon or to conceal contraband.

Inmates will be permitted to retain
quarters.

rugs in their

Members of theIslamic andJewish Religious Communities will be permitted to wear a Kufi or Yalmaka at alltimes throughout the facility.

Jewis a-inmates also may have a Tefillin (Phylacteries), a Talit (Prayer Shawl), anda Talit Katan (fringed undergarment).

Members of the Islamic Religious Community will be allowjed to have a Prayer Robe to be worn in the Mosque, Jiacjijd, or cell anda Guthra (prayer shawl) .

Amerijcan Indians participating in scheduled approved Indiajn Cultural Ceremonies may wear long hair without it beingj tied back in a ponytail or fastened.

8 Religious regalia which may present potential danger to
the iafety or security of the participants may not be used.

RELTGTQUgj PUBLICATIONS ANDTEXTS

1. Inmates may subscribe to anyreligious publication approved by the Media Review Committee.

2. In the event an individual issue or publication does not appear to conform to Departmental guidelines governing the acceptability of literature, it shall be referred to the Departmental Media Review Committee, who will seek appropriate guidance from the Division of Ministerial and Family Services.

. c«
=CT RELIGIOUS PROGRAMS AND PRACTICES

•J

CLASSIFICATION #4202

CA7E

?AG£ 6

11/26/82

OF 1 0

3. Inmates are permitted scriptural or devotional books
associated with their faith in their quarters. These
books: or publications are subject to the rules of
acceptable literature issued by the Commissioner. Texts such las the Holy Bible , the Torah, and the Holy Koran as welljas the Six Books of Traditions are permitted. The quantity of literature an inmate may possess in his quarters is subject to available space as well as safety and Security factors.

DIETARY
Orthodox Muslims and Jewish inmates are to be provided with some food that is wholly free of pork and pork products at each meal. (See Directive #3007/ "Use of Pork.")
Inmates may refrain from eating those food items served to the general population which are contrary to their religious beliefs and shall be provided with a nutritionally adequate diet equivalent to or exceeding the (amounts designated in Directive #3003, "Nutritional Aiiowanp.es Per Departmental Food Plan."
3. Kosher Food Program - Green Haven

a. A pilot program based upon the laws of Kashruth is availabile for eligible Jewish inmates at Green Haven. Eligibility to participate in this special program is based upon past religious .history and approval by the Office of Ministerial and Family Services.

b. IFailure to demonstrate continued satisfactory (behavior and program performance may result in |removal from the program and transfer from the
" (facility. (See Directive #0053r "Green Haven Correctional Facility.")

When an inmate is participating in the Kosher Food Program at Green Haven and is transferred, his new facility shall provide him witn a nutritionally adequate alternative to the non-kosher food on the menu. This alternative may include fresh uncooked fruits and vegetables, cheese, milk, hard-boiled eggs, and bread.

U

The below listed religious observances require prior

planning and may involve changes in feeding patterns. Certain of these Holy Day observances permit celebrating

C

with the family whenever possible-. Family includes

CT RELIGIOUS PRpGRAMS AND PRACTICES

ILASSIrlCATIQN #4202

DATs

PAGE 7

O? 10 11/26/82:

parents or legal guardians, grandparents, spouse, children and siblings. (See Directrive #4020, "Holiday Schedule," for dates.)
a. jjewish Holy Days
1. Passover
Passover consists of eight holy days. The first two evenings of the holy days are characterized by the traditional Seder meals. Throughout the duration of the holy days, Jewish people refrain from eating leaven food products and are required to eat Matzoth, a form of unleavened bread. This holy day commemorates the Jewish emancipation from the bonds of Egyptian slavery. The Sedar should be celebrated with members of the family whenever possible.
2. Shavuoth
The Jewish Holy Day Shavuoth commemorates the giving of the Ten Commandments and it is XI' •%.;customary to eat dairy meals on tnese days.
3. Rosh Hashanah
The Jewish New Year known as Rosh Hashanah is a holy day spent in prayer, study, and meditation. It is customary to eat round shaped bread, Challah, dipped in hoiiey.
4. Yom Kippur
Yom Kippur, the holiest day in the Jewish year, is a day of total fasting, prayer., and introspection. It is customary to partake of a large meal prior to the beginning of the fast.
5. Sukkoth
The Jewish Holy Day of Sukkoth commemorates the journeys of the Israelites prior to their coming to the promised land,
b. Sunni Muslim and American Muslim Mission Holy Days
1. Ramadan
The ninth month of the Lunar Islamic Year is called the month of Ramadan and is observed by

RELIGIOUS PROGRAMS AND PRACTICES

B

#4202

11/26/82

10

all Muslims as a time of deep religious

significance. During this month of fast, the

: pious Muslim is obliged to abstain from any food

|

or drink from dawn until sunset.

I2. Idul-Fitr (End of Ramadan)

Idul-Pitr (Festival of Breaking the Fast) occurs I on the first day following the month of
Ramadan. A special congregational prayer service is held in the morning and, later inthe day, an appropriate communal feast is celebrated wiiii the family.

3. Idul-Adha (Feast of Sacrifice)

Idul-Adha is the festival of the sacrifice and is observed by a worship service and a communal feast which is celebrated with family. The feast must occur after sunrise and at least one hour before high noon.

M. WORSHIP, MODIFICATIONS

1. The' Superintendent and Senior Chaplain may discuss with the Inmate Liaison Committe problems and suggestions relative to the conduct, organization, and supervision of teligious services.

2. Problems shall be resolved by the Superintendent after consultation with the Senior Chaplain.

N. RELIGTOftS INFORMATION
i
For detailed specific or comparative information about the practices and beliefs of"the specific religious existent within the Department's facilities, see the "Chaplain's Administrative Manual and Religious Handbook."

C

j
—*

RELIGIOUS )

PRO GRAMS

AND PRACTICES

CLASS! r lCAT"ICN #4202

ATTACHMENT "A" • RELIGIOUS HOLY DAYS AND SEASONS

CHRISTIAN

• ATE 11/26/82

9 OF 10

.ncipal Day of Worship
.y Days .emnity of Mary i Wednesday .y (Maundy) Thursday >d Friday ;ter :ension itecost sumption '-faints Day
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Sun.

Sun.

Sun.

Sun.

Sun.

Sun. Sat.

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

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-\

X

X

X

X

X

f

X

X

X

X

X

icludes Religionp such as: Baptist, Lutheran, Methodist, and Presbyterian

AMERICAN INDIA^J (Major Holiday Seasons)

1. Midwinter (21 days)
2. Planting (£ days) 3. Maple Sugajr (1 dayl 4. Strawberriies (X day) 5. Beans (1 day) €. Corn (5 days) 7. Harvest (5 days) 8. The A.11Night Dance (once each year, usually in March or April)

JEWISH (Orthodox, Conservative, and Reformed)

""

j

Principal Day (of Worship - Saturday

Holy Days - Passover, Shavuoth, Rosh Hashanah, Yoa Kipper, Sukkoth, Purim,

and Chanukah

z

(Sunni and American Muslim Mission)

Principal Day of Worship — Friday

Holy Days - Islamic New Year's Day, Ashura, Maulid Annabi, Isra and

Minaj, Nisfu Shaban, Lailatul Qadr, Idulfitr, Waqfatu Arafat,

Idul Adha and Ramadan.

ICT RELIGIOUS PROGRAMS AND PRACTICES

CLASSIFICATION #4202

11/26/82

ATTACHMENT "B1

FORM 2175 (J/K)

STATE OF NEW YORK —DErAKTMENT OP CORRECTIONAL SERVICE!

REQUEST TO ATTEND SCHEDULED RELIGIOUS SERVICE BY KEErLOCKED INMATE

To: Deputy Superintendent, Security

Date:

From: Inmate ! Name

DIN

Cell

Loc

Permission requested toattend the following scheduled Religious Service:

Service:

Date: .

Time:

DECISION: Permission toAttend:

Granted P I

Denied [ [

If denied, explain why the inmate's presence would present athreat to the operation of the facility. This decision should take into consideration the following factors as well BS any other pertinent reasons.
a. Current infraction,
b. Adjustment during current period at keeplock. and
~±~ c..:-.-Disciplinary record during the six months prior to keeplock.

10 ! 10 !
t:
c

MCVICWEO avr XIONATUKCl

TITIX

c

STATE OF NEW YORK DEPJOTTMENT OF CORRECTIONAL SERVICES
DIRECTIVE
SUPERSEDES
Dir. #4022 dtd. 12/5/9d and Rev. Notice
REFERENCES
Directives #4202 and4 | N >

TTTLE

SPECIAL EVENTS PROGRAM

DISTRIBUTION
A&B

PAGE 1 OF
6 Pages

APPROVING AUTHORITY

NO. 4022

DATE /

/

POLICY. Each general confinement facility shall plan and schedule "Special Event Programs" for its general population inntiates. These program activities shall be specifically designed to:
- celebrafje cultural, religious, and ethnic affiliations; - recognise individual and group achievements; and - strengthen community and family ties.
Each Superint endent shall form a Special Event Programs Committee. Names and titles of committee members shall be forwarded to the Office of Special Subjects at Central Office. The committee is mandated to plan, coordin te, and implement such programs. The committee shall include executive staff and representatives from food services, security (Sgt. or above), recreation, ministerial services, volunteer services, the business office, and sponsoring Inmate Organization Staff Advisor (where appropriate). Copies of the duties of each member of the committee as approved by the Office of Special Subjects at Central Office shall be available from the Deputy Superintendent of Program Services.
The Special Subjects Supervisor or Recreation Program Leader II shall be appointed chairperson. If these positions are vacant or do not exist, another appropriate staff member shall be appointed chairperson. There is no need for the chairperson to be present for every special event. Instead, other appropriate staff members should be encouraged to be present as monitors and trouble-shooters. For example, chaplains should monitor religious events and inmate organization staff advisors should attend special events sponsored by thos^ organizations.
Directive #47^0, "Inmate Organizations," provides guidance for inmate organization sponsorship of special event programs.
General confiriement facilities shall schedule a sufficient number of special event program opportunities to ensure that each inmate may invite family members to a minimum of two such programs per year, provided that inmate response warrants holding the minimum number of family events.
SPECIAL EVE^T PROGRAMS CALENDAR
j
A. Preparation.
1. The [Deputy Superintendent for Program Services, with the assistance of the Special Event Programs Committee, is responsible for developing an annual Calendar of Special Event Programs whicfh satisfies the policies and specifications set forth in this directive.
2. The (calendar is to be printed after review and clearance by the facility executive staff and approval by the Superintendent. It is to be distributed in a manner which ensures that all inmates are informed and have access to a copy. A copy will be sent to the Office of Special Subjects at Central Office.
3. The final calendar must clearly designate "family participation" event programs, indicate which may only be attended with family members, and indicate the number of participants and guests allowed.

ATTACHMENT; C

TITLE

SPECIAL EVENTS PROGRAM

NO, 4022

DATE

PAGE 2 Of 8 PASES

B. Contents. The annual Calendar of Special Event Programs shall describe facility plans for event programs in the following categories:
FAMILY PARTICIPATION EVENTS
1. Family Dav Picnics. Each facility must schedule at least 3 of these events each year, provided that adequate Inmate interest exists." The number and dates shall be established by each facility accordIngtc population and available space. Ideally, these are held during summer months. Since these are fajmlly participation events, Inmates must invite guests in order to attend. If a particular inmatje's invited guests do not show up, the inmate may not participate.

2. Reliolbus Holv Dav Observances. Religious Holy Days which are to be observed are listed in Attachnjient "A" of Directive #4202, "Religious Programs and Practices."

During the last quarter of the calendar year, the Division of Ministerial Services will advise the facility superintendent and chaplains of the specific Holy Days which may be observed with family. This will permit facilities to complete their calendars in a timely manner. The facility ministerial services cjffice.will oversee these observances.
"•
These "family participation" programs are not included in the minimum of two family participation opportunities afforded each inmate. Inmates may attend without inviting guests.

3. Special Award Programs. When approved by the Superintendent, an inmate recipient of a diploma or award may invite guests to attend the ceremony (school graduation, etc.) at which formal presentation is to be made. These programs are not included in the minimum of two family participation opportunities afforded each inmate.

NON-FAMlLY PARTICIPATION EVENTS

1. Heritage Days. The Department recommends that at least 3 Heritage Days be observed at each facility. Participation by community entertainers, speakers, and other community guests should be encouraged and emphasis should be given to unique educational and cultural aspects of various ethnic groups. Participation across ethnic and racial lines should be encouraged".

2. Inmat^ Organization Special Events. All inmate organizations will be permitted to have one special event program for members only. An inmate attending this type of event must have been a member of !the organization for at least 90 days prior to the event. Directive #4760, "Inmate Organizations," provides directioh to organizations wishing to schedule such an event program.

A special event program to be held by an Inmate Organization must have the Superintendent's approval via forms #3089 and #3090. The staff advisor assigned to the Inmate organization should oversee these special events.

3. Legal holidays. Special commemorative observances for national holidays should be for inmates only.

New Years Day Martin Luther King Day Washington's Birthday
Memorial Day

Independence Day Labor Day " Columbus Day" Election Day

Veteran's Day Thanksgiving Christmas Day

GENERAL GUIDELINES/IMPLEMENTATION

A. Family Participation.

..----'•

1. Inmates may invite family members to special event programs as indicated above. Family members cannot attend event programs which have not been designated "family participation."

7m£

SPECIAL EVENTS PROGRAM '

NO. 4022

DATE

DEC 1 7 1992

PAGE 3 Of 6 PAGES

2. "Family members" Include the following, but they must be on the inmate's visiting list:

father mothef brother sister aunt

uncle husband/wife common law spouse
(If verified) In-laws first cousin

grandfather grandmother son/daughter neice nephew grandchild

3. An injnate may be allowed to invite friends from his or her approved visiting list in lieu of family members if (1) the inmate has no famiiy or (2) the inmate has not been visited by a family member withirji the 60 days preceding submission of the request list. •

4. The facility shall impose a limit on the number of guests each inmate may invite to each event.
5. An invited guest will only be allowed to participate rf he or she has-visited the inmate at least once in a NYS DOCS facility during the current incarceration and is authorized for contact visitation with that Inmate.
I
6. Procedures for inmates to pay for themselves and guests are contained in Attachment A.

B. Community Guests. For the purpose of this directive, community guests shall be defined as:

1. representatives of the outside community (legislators, community agency staff, volunteers, etc.) 2. Department of Correctional Services personnel on off duty status or officially stationed at other
geoc raphic locations.
3. The definition of community guests will not include family members or friends who are on an inmate's approved visiting list.

4. A community guest may be invited to participate or speak at an event or seminar only with the

prior] written approval of the Superintendent If the community guest cannot be readily identified,

(e.g. registered volunteer, government official, religious leader etc.), the Application for Volunteer

Statijis must be utilized. On those occasions when a community person is invited to speak at an

event or seminar conducted at a facility, the speaker should be alerted that his/her remarks will be

videotaped. In addition, it should be clear that the Superintendent is under no obligation to ap-

prove community guests but may do so if It can be established that the community guest meets a

legitimate purpose appropriate to the event.

*

When a Superintendent approves a speaker for an event or seminar, the following statement

should be included with the Invitation:

L-

While the Department of Correctional Services welcomes individuals from the community to deliver positive educational and/or inspirational speeches or homilies, it should be kept in mind that ina correctional setting, statements may bemisconstrued ormagnified by the inmates to the extent that they could jeopardize the safety and security of community guests, volunteers, staff andinmates. As you prepare your remarks, please keep this in mind.

C. Attendance.
1. The Superintendent shall determine how many inmates and guests can be accommodated on an on-going basis at special event programs and shall develop a uniform attendance policy based on this determination.

TITLE

SPECIAL EVENTS PROGRAM

NO. 4022

DEC 1 7 1932 PAGE 4 of 8 PASES

2. Eac h facility shall keep on file event packets that verify inmate registration and attendance for a minimum of one (1) year.

3. Prior to an event, anticipated attendance must be carefully estimated, particularly rf food Is to be served. The inmate committee or inmate organization involved In the planning must assist in determining the number of inmates, family members, and community guests expected to attend each Special Event Program. j
D. Facility Special Event Programs - Local Policy. Local policy must include all the material from Attachment A. JThls policy also should address:
1. Deadlines - establish Commissary Buy deadlines which must be a minimum of 45 days prior to the special event.

2. lnt€ rest level/attendance - establish the minimum number of event applications which would indicate sufficient inmate Interest to proceed with a planned event program. Establish a maximum nunber of inmates and guests that can be accommodated.

3. Inmate planning/participation - establish an inmate committee to work with the Special Event Prdgrams Committee to plan and implement each program or series of programs. Selection procedures, number, and duties of committee members will be determined by each facility. (Members will be permitted to attend events which they are involved in planning, but will be required tc pay for fneal expenses.)

4. Tirrje frame - develop specific plans, ideally 2 1 /2 to 3 months before the scheduled event, especially if food is to be served.

5. Focj>d arrangements/selection - establish detailed procedures to be followed consistent with subsecjtion E (below).

E. Food Guidelines.

1. The^ Chairperson of the Special Event Programs Committee ensures food arrangements are coordinated by appropriate Business Office and Food Service personnel.

2. Fodxj for a Special Event Program must be prepared in the facility from a standardized statewide special events menu which takes into account ethnic and religious diversity.

a. The inmate committee will be allowed to select food items from the standard menu.

b. j The facility food service supervisor with input from the Food Production Administrator at the Food Production Center will price out each menu by item. The total cost will then be computed per person.

3. At l^ast two weeks before the event date, the facility food service supervisor must be provided with a tdtal number of inmates, family members, and community guests expected to be served food.

4 - At least two weeks before the event date, the facility food service supervisor shall provide the facility Steward or production center with a list of the food required and the number of meals to be
" " - served. At that time, the steward's office can verify the accounts payable for food. The facility food service supervisor will prepare a "Requisition for Purchase" form.

5. The monthly food report must include the number of additional meals served at the special event. A separate accounting of these costs shall be maintained as a basis for a future request to have these funds returned to facility appropriations.

tnu

SPECIAL EVENTS FROGRAM

NO. 4022

DEC 1 7 1992 PAGE 5 Of 8 PAGES

6. The expense of meals for Inmates, family, and/or community guests is computed as follows: a. The facility food service supervisor determines the cost per meal.

b. The cost for the inmate standard meal of the day is subtracted from the cost of the Special Event meal, This will be the cost to the inmate.

c. Inmates wishing to purchase special event meals for themselves, adults, and/or child guests will have a single opportunity during a designated commissary buy cycle at least 45 days prior to the special event. These meals will be sold as a special purchase through the commissary and a computerized listing of the number of adult and child meals purchased by each inmate will be generated at the end of the commissary buy cycle. Refer to the sample commissary
t uy sheet and special purchase report, Attachment B.

d. The charge for inmates' guests will be the actual cost for the meal.

^xample: Cost of Special Event meal:

$1.95

Cost of standard meal:

$1.00

Cost to inmate:

$ .95 f

Cost to inmate's guest:

$1.95

Note: A nominal charge of $.50 will be assessed for each child under 6 years old.

e. Community guests' total meal and other miscellaneous expense costs will be divided by the number of inmates and surcharged to the cost per inmate, from a donation from an inmate organization, or from the Inmate Benefit Fund. Refer to Directive #4760, "Inmate Organizations," for details on inmate organization accounts.

7. If an individual inmate is unable to attend a special event due to disciplinary action or if guests of inmates are unable to attend, the cost for purchased meals will not be refunded, but will be deposited to the Inmate Occupational Therapy Account. Please reference Directive #2771, "Inmate Occupational Therapy Fund."

8. If an Individua) inmate or his/her guests are unable to attend an event because of a cancellation of the event or other faciiitv conditions over which they had no control, the cost of purchased meals will be refunded.

F. Outside Assistance.

1. Volunteer groups may request approval to participate or assist in an event program by contacting the facility Office of Volunteer Services.

2. Inma'es, family and friends of inmates, and facility staff are not permitted to solicit external groups for any form of donation to an event program, but may express their needs to the Volunteer Services <>ffice which may seek outside assistance with the facility Superintendent's foreknowledge. Donated food will not be accepted. (Refer to Dir. #4752, "Receipt of Donated Material".)
j
G. Final Program Plans. Each event program plan should include:

1. date/time frames, 2. purpose/definition, 3. location within the facility (alternate indoor locations should be considered in the event of Inclem-
ent weather), 4. anticipated attendance (family, inmates with family attending, inmates without family attending,
facility staff, etc.) "5. special program (entertainment, speakers, music), 6. estimated costs (food, supplies, decorations.etc),

•mu-

SPECIAL EVENTS PROGRAM

no. 4022

OATE DEC 1 7 1992

PACE 6 Of 6 PAQES

7. conjimlttee assignments for further planning, implementation, clean-up, etc. 8. pre|)aration of Form #3089, Request for Approval of Special Projects And/Or Special Events In the
cas_3 of approved Inmate organizations only.

H. Final Program Package. At a time specified by the facility, a written Program Package detailing all aspects 3f the event will be Issued to all relevant areas. Names of Inmates' guests will not be prescreened, but they must be on their respective inmate's regular contact visitor list on the day of the event. First time visitors will not be allowed to attend.

TITLE

SPECIAL EVENTS PROGRAM

NO. 4022

DATE DEC 1 7 1932 PAGE 7 Of 8 PAGES

ATTACHMENT A

Local Facility Policy and Procedures. The following information must be included in the policy and procedures which are given to inmates who wish to attend special events with their family:

1. It will be the responsibility of each inmate to determine whether or not he or she is eligible to attend a special

event. Any gussst meals purchased by inmates for a special event for which they are not eligible will not be ""

refunded undef any circumstances.

._....

a. Family picnics - Inmates who sign-up for a picnic must be sure that they have not exceeded the maximum number of events which they are entitled to attend each year.

b. Religious [Holy Days Observance - An inmate who wishes to attend a religious holy day observance with guests mijjst be a member of the particular faith and must be authorized by the chaplain.

c. Special Awards Program - Inmates wishing to attend this type of program with guests must be authorized to do so by the staff person supervising the program.

2. Every inmate must receive a complete listing of all family and non-fa/nily special events at the beginning of each calendar year. The calendar must also contain the dates when inmates must pay for themselves and their guests at commissary prior to each event. Notices about each event must also be posted throughout the facility. Inmates must clearly be informed that they have only one opportunity to sign up for special events with gussts and to purchase meal authorizations for themselves and for adult and child guests. This single opportunity will be during the designated commissary buy cycle which will be a minimum of 45 days prior to trie special event. Inmates who have lost their commissary buy privileges or who do not make a commissary buy for any reason during the designated commissary buy cycle cannot attend that special event.

3. For some Holy Day observances and/or special awards programs, there may be no cost for the inmate or family to attend. For these events, the inmate must sign-up with the staff person supervising the event.

4. Procedures for inviting guests to special events:
I
a. Visitors will not be allowed at special events If they have not visited the inmate at least once in a NYS DOCS facility during their current incarceration.

b. Inmates must Indicate on the commissary buy sheet how many adult and child guest meals they wish to purchase, Under no circumstances will more guests be allowed to attend than the number of guest . meals pu 'chased. «.
c. Children who are under 6 years old will be charged a nominal fee of $.50. Adult guest meal rates will be charged lor all older children.
d. It will be the responsibility of all inmates to Inform their guests as to the number of guest meals purchased for adults and children. Inmates are encouraged to retain their yellow copy of their commissary ' buy receipt as documentation for how many guest meals they have paid.

5. Any Inmate who attempts to manipulate the system (get over) will be subject to disciplinary charges.

TtTUc

SPECIAL EVENT PROGRAM

NO. 4022
ATTACHMENT B

DATE DEC 1 7 1932 PAGE 8 Of 8 PAGES

TEST CORK FACILITY Commissary Buy Sheet

PAGE 4

Item Oty Item Description

C 4050 c 40S4 C 4057 C 405B C 4060 C 4062 C 4064 C 4066 C 4068 C 4346

PETROLEUM JELLY A 1 U SELTZER .'
HAIR ROLLERS MED ... Hf IR ROLLERS LARGE . CdTTOH BALLS
N sum
TirEEZERS NAIL POLISH REMOVER
.IL CLIPPER VEA LOTION

Cost Price
0.72 0.16 0.97 0.97 0.72 1.04 0.50 0.69 0.21 2.57

C 4300 C 4302 C 4304 C 4306 C 4308 C 4310 C 4312 C 4314 C 4316 C 4316 C 4320 C 4322 C 4324 C 4326 C 4328 C 4329 C 4332 C 4334

72 MISCELLANEOUS
U1NG KIT UHINUK FOIL CM OPENER OJTLERY SET .OTHES HANGER Wit I T ] HC TABLET 8 X 10 . „ . GAL TABLET B X 14 AST1C PLATE NC1L . . . ACS PEK NCOLE CARDS P X E R CARDS H TRAT 1CC-UP
WATT BULB WATT BULB CDHBM ROACH DISCS COMBINATION LOCK . .

O.flJ 1.40 0.54 0.13 0.13 0.4S 0.55 1.98 0.06 0.09 .). 0.44 0.95 0.44 0.89 2.17 2.17 3.1C 4.19

Item Oty Item Description

Cost Price

C 4336 C 4338 C 4340C 4342 C 4344

CEREAL BOWL W/L1D

MIRROR LIMIT ONE .

9 VOLT BATTERT

AA BATTERY 4PC

INSULATED CUP

'

0.36 2.95 1.98 2.27 1.00

74 HAIR CARE PRODUCTS

C 4500 C 4502 C 4504 C 4506 C 4508 C 4510 C 4512 C 4514 C 4516

SHOWER CAP INSTANT HOISTER1ZER CURL FLEX SHAMPOO FLEX CONDITIONER IVORY SHAMPOO IVORY COHDITIO6R OIL SHEEN SPRAY DEP STYLING GEL BERGAMCWT HAIR CREASE

0.37 2.29 2.10 2.10 1.96 2.52 1.64 2.78 1.01

78 SCOA RETURNS.

Nurber of Cans Returning

98 SPEC EVENT f 1 MEAL

A 0001 A 0002 A 0003

SPEC EVENT #1 MEAL INMATE SPEC EVENT * 1 MEAL ADULT SPEC EVENT * 1 MEAL CHILD

0.95 1.95 0.50

STATE OF NEW YORK DEPARTMENT OF CORRECTIONAL SERV)C£S
REVISION NOTICE
REVISES
Dlr. #4750 dtd. 9/16/92
REFERENCES

TTTUE
VOLUNTEER SERVICES PROGRAM

4750

DISTRIBUTION
A&B

PAQE1 OF
3 Pages

APPROVING M/mOOTY

DATE
05/16/94

.JC£. Delete words in brackets [ ]

Add new underlined words

Section V-Ei-2, at the middle of page 2; revise as follows: 2. Cjorrespondence. Correspondence [from] between a vplunteer [to] and an Inmate In the
SectionVI-- I, at the top of page 3; revise the "NOTE" as follows: NOTE: An Individual employed by the N.Y.S. Division of Parole [ o r ] , N.Y.S. Department of Labor, or the N.Y.S. Department of Health who provides a service

i
Replace p^ges 7-8 with the attached revised pages. Sections VIII-E-1 through 5 (in bold) have been revised.

ATTACHMENT D

TITLE VOLUNTEER SERVICES PROGRAM

NO. 4750

nEV-DATC 0 5 / 1 6 / 9 4

REPLACES Po- 7

V
B/19/B2

1. Groups. All community agencies, groups, or organizations must be registered by the SCFVS or. Volunteer Services Contact Person. Such registration shall take place prior to admittance to the........ facility utilizing Form #3083, Community Group Application for Volunteer Status. This policy must be adhered to regardless of the area of service and/or program participation (I.e., Education, Ministerial Services, Pre-Release Centers, Inmate Organization Activity, Student Internship Programs or other citizen participation activity).
2. Individuals'
a. Individuals who enter a facility as part of a registered community group must also be registered utilizing Form #3080, Application for Volunteer Status. If the Individual will be entering the facility for only a single occasion (e.g. musical entertainment) the filling out of the first six Hems on Form 30B0 will suffice.
b. Any Individual entering a facility is to be duly registered through Volunteer Services unless one of the following conditions prevail:
1) The individual is under legal sanction (I.e., inspection by clergy, serving of legal documents, etc.). (See Directive 4900, "Security in Gate Areas,* Section Ill-C)
2) The Individual Is a visitor of an Inmate or Is in visitor status with such. Invitation approved by the Superintendent
3. The individual is a community guest as defined by Directive #4022, "Special Events Program," Section Ill-B, and is approved by the Superintendent
4) The individual represents another New York State agency with whom a contractual agreement for service has been made on an inter-agency basis.
5) The Individual represents a private sector commercial contractor engaged to provide services such as repairs or construction, etc.
6) The individual Is employed by the NYS Division of Parole or NYS Department of Labor and provides a service relevant to his/her Job function.
NOTE: A PROSPECTIVE VOLUNTEER MAY ENTER THE FACILITY ASA GUEST TOAUDIT, OBSERVE, EVALUATE A PROGRAM OF INTEREST OWE TIME ONLY DURIHG A 12 MONTH PERIOD SUBJECT TOAPPROVAL OF THE SUPERINTENDENT. FOLLOWING INITIAL VISIT AS A GUEST, THE INDIVIDUAL MUST COMPLETE THE VOLUNTEER PROCESS (REGISTRATION, REFERENCE CHECKS, ETC.}
c. Multiple Locations. Vojunteers registered In one facility In a cluster will be eligible to volunteer throughout the duster. Names of registered and approved volunteers will be placed on the cluster computerized volunteer listing. All information may also be shared with other clusters If the volunteer wishes to serve in more than one cluster.
Large community organizations that conduct programs in more than one facility and have organized volunteer training programs will be allowed to make arrangements with Regional Coordinators to have the correctional volunteer orientation conducted at the site of the training by the Regional Coordinator and/or facility Volunteer Supervisors. Registration and reference forms will be distributed at the training location and the completed forms will be : returned to the respective Volunteer Services Offices by the organization.
E. Screening. All volunteers must be.screened prior to Job assignment using the following procedure:
1. Community groups/agencies will complete "Community Group or Organization Application," Form 3083.
2. All volunteers will complete "Application for Volunteer Status," Form #3080. Only those individual volunteers who do not represent approved community groups/agencies will need to have references checked. Volunteers answering "yes"to Items <S(a) and/or (b) on Form 3080 will be required to provide further information on Form 3080A, "Supplemental Registration Information* and be processed follov ing the procedures outlined in Section VT-G. Volunteers should also be informed that any outstanding warrant(s) or charges filed after completion of the registration form must also be reported to • be SCFVS.

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3. The Volunteer Services Office will forward Form #3079, "Reference for Volunteer Service Group or Organization" and Form 3082, "Reference for Volunteer Service Applicant" to all necessary references.
4. Upon receipt of at least one reference form, the SCFVS will review the application and reference(s) to determine the acceptability of the applicant(s).
5. If all of the above are in order, the SCFVS arranges for an interview for the volunteer(s) which may include the staff supervisor under whom the volunteer(s) will be serving (see Section III-B).
6. If the Individual/group is acceptable, approval is obtained from the Superintendent or his/her deslgnee and a letter of acceptance may be sent to the volunteer(s) by the SCFVS. Such a letter may Include arrangements for orientation and training.
If an Individual/group Is found to be unacceptable, a letter stating this should be sent to the applicant. Effort should be made to redirect the Individual or group to a more appropriate placement, if possible.
7. If a group Is accepted, the individual members need to be registered (Form #3080).
8. Upon approval of a community group, one copy of the registration form Is forwarded to the Director of Correctional Volunteer Services In Central Office. If a community group has been registered In Central Office, It Is not necessary to require that group to complete another form. Community groups registration forms may be shared among facilities (see Sec. VIII-D-2-c, "Multiple Locations").
9. • Inmate volunteers who wish to have a record of their volunteer work should complete Form #3085, Application for Inmate Volunteer Status.
10. The SCFVS will review the inmate volunteer registration forms for practicability and/or feasibility of the assignment. After consulting with the Superintendent or his designee, the Supervisor will set up appropriate meetings with staff to begin the Implementation process and establish an appropriate orientation for the Inmate volunteers.
F. Flnaerprintina/I.D, All Department employees are photographed and fingerprinted prior to employment. Volunteers (except those serving In occasional or one time programs) shall be provided with an identification card to be kept on file at the facility in accordance with procedure approved by the Superintendent as outlined in Directive #2946 "Employee Identification Material" Section II E. Volunteers will also be fingerprinted (see Directive #2216) regardless of the security level of the facility to which the volunteer is assigned. Volunteers will not be required to pay for any fingerprinting charges. Since Department employees are required to be fingerprinted, this requirement is waived for staff serving as volunteers.
NOTE: Individual volunteers or Community Group volunteers providing services on a one time or occasional basis - speakers for Pre-Release programs, entertainment groups, athletic teams, religious groups etc. - will not be fingerprinted or provided with an I.D. card.
G. Orientation/Training of Volunteers
1. Orientation - The SCFVS and/or the Regional Coordinator of Volunteer Services provides the DOCS Standard Orientation for Correctional Volunteers which provides general Information about the Department. It Is designed to acquaint individuals with the existing situation, to enlighten, inform and familiarize. It should Include discussions of confidentiality and discretion in both private and public discussions about the program and Inmates, rules and regulations for volunteers (See XI Rules and Regulations), and causes and procedures for dismissal of volunteers. A security seg

'^W' VjEWTWah
Jill

STATE OF NEW YORK DEPARTMENT OF CORRECTIONAL SERVICES
DIRECTIVE

SUPERSEDES
Dir. #4750 dtd. 02/28/89
REFERENCES

TITLE

^

VOLUNTEER SERVICES PROGRAM

4750

DISTRIBUTION
A&B

PAGE 1 OF
14 Pages

APPROVING AUTHORITY

DATE
SEP 1 5 1992
_

I. PURPOSE. This directive establishes the Department's policies and procedures for the administration and supervision of the Volunteer Services Program.
II. PROGRAM GOALS. The Volunteer Services Program is designed to promote the involvement of responsible community persons in the continuum of services and programs made available to the incarcerated of fender and his/her family.
III. PROGRAM ADMINISTRATION AND SUPERVISION.
A. Administration
1. The Director of Correctional Volunteer Services is responsible for the administration of the statewide Volunteer Services Program.
2. Regional Coordinators provide policy direction and are program consultants to the Supervisor Correctional Facility Volunteer Services,* facility staff and community groups and organizations. They are also responsible for monitoring the Volunteer Services Program statewide.
3.' The SCFVS's, under the direction of a Regional Coordinator and a Deputy Superintendent for Program Services, recruit, train and orient community persons, staff and inmates to work as volunteers in a correctional setting. They are also responsible for the general coordination of the Volunteer Services Program. They may assist in community/public relations if so designated by the Superintendent.
4. Volunteer Services Contact Persons, appointed by the Superintendent, will be responsible for the supervision of the Volunteer Services Program at each facility. The Superintendent will determine the number needed. Tasks will include, but not necessarily be limited to, processing of applications, preparation of Volunteer Services gate clearances and statistical gathering for monthly reports. For purposes of coordination they will report to the Deputy Superintendent for Programs and a SCFVS.
B. Supervision. Direct supervision of volunteer programs is provided by staff in the subject area in which the volunteer serves (e.g., tutoring - education staff; Counseling-Guidance Unit). Direct supervision does not necessarily imply that the supervisory staff person be physically present while the volunteer activity is being performed.
TV. ACTIVITIES DEFINITION
Regular ongoing volunteer programs are coordinated by the Volunteer Services Contact Persons after completing a needs assessment of inmate and facility needs and are approved by the Superintendent, and if applicable, by the Supervising Superintendent. Program ideas may be offered by staff, volunteers or inmates.
2. Occasional/one-time programs such as musical performances, drama shows, athletic events are scheduled by the Volunteer Services Contact Persons or other facility employees so that a maximum number of inmates can attend.
* Hereafter referred to as SCFVS

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B. • Public/Community Relations, The SCFVS, under the direct supervision of the Superintendent and the indirect supervision of the Director of Correctional Services Public Information, develops strategies to promote public awareness of D.O.C.S. programs and services.
Tours, speaking engagements and media coverage are utilized to Inform the general public.
V. THE VOLUNTEER
A. Definition. A volunteer is a person who provides a service to the Department and/or inmates without direct compensation as salary from the Department. Compensation such as travel allowance or payment through an outside source does not affect the status of an individual as a volunteer. A volunteer who is duly registered and approved is considered to be an unpaid employee of the Department for purposes of Worker's Compensation and indemnification (see section IX) and is subject to all the rules and regulations applicable to Department employees (see Section XI).

NOTE: A volunteer is considered duly registered and may begin an assignment when the following is completed and on file: application for volunteer status form, at least one reference check and a witnessed sign-off on the volunteer rules and regulations. Other requirements of the volunteer processing will follow: l.D! card, fingerprinting and orientation.

B. Restriction. During orientation, volunteers must be cautioned regarding the seriousness of personal/emotional involvement with inmates (see Section VIII, G, H). This will include visiting, corresponding and accepting collect phone calls which may be construed as being of a personal nature. In order to avoid any misunderstanding, the following guidelines must be strictly observed:

1. Visiting. There is no necessity for volunteers to visit inmates at the facility to which they are providing services; therefore, it is prohibited. If there is a need for a volunteer to conduct a program or counseling on a one-on-one basis, it must be approved by their staff supervisor and conducted in the appropriate program area. The only exception to this prohibition on visiting is in the role of spritiual advisors (see Section VII.3, C).

2. Correspondence. Correspondence from a volunteer to an inmate in the facility to which the volunteer is providing services is prohibited.

3. Collect Phone Calls. Volunteers are prohibited from accepting collect phone calls indicating a personal/emotional relationship with inmate(s). At no time may volunteers accept collect phone calls at their place of residence; however, volunteers may accept collect phone calls at their agency/group administrative office, provided the organization policy is to accept collect phone calls from inmates. Volunteers are to be advised that all inmate telephone conversations are subject to electronic monitoring by departmental personnel (see Directive #4423, "Inmate Telephone Calls."

'-• Volunteers must be advised of the above, in writing, and that violations may result in suspension in accordance with the procedure for dismissal of volunteers, Section XIII.

VI. TYPES OF VOLUNTEERS

A. Community Organization Members. This type of volunteer is a member of a community organization representing that group in the service provided. They frequently Interact with similar organizations in the facility. (See Directive #4760 Inmate Organizations).

B. Individual Volunteers. This type of volunteer Is a person who provides an individual service such as ' tutoring, teaching, counseling, etc. They may be connected with a community group or organization, but such affiliation is not required.

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C. Paid Professional. This category of volunteer often represents his/her employer and provides a service to the Department, (e.g., interviewer for Pre-Release Program, College Teacher, etc.). These individuals, though paid by the employer to provide the service at no cost to the Department, are defined as volunteers providing a volunteer service.

NOTE: An individual employed by the N.Y.S. Division of Parole or the New York State Department of Labor who provides a service relevant to his/her function is not classified as a volunteer.

D. Government Subsidized Volunteers (ACTION. VISTA, etc.). ACTION. VISTA volunteers are generally found within the structure of a state or federally funded program. They usually work full time, for a contracted period, to accomplish a pre-defined goal. While often considered employees, their Volunteer Services activities should be controlled and reported through the Office of Volunteer Services. They should be supervised in the same manner as other volunteers, by a staff person in the unit in which the service is provided.

E. Interns. Interns are individuals, graduates or undergraduates, placed in a field assignment by a college or university as part of their course work. These persons are processed in the same manner as other volunteers regardless of their role or function within the facility/Department. (See Directive #0403 Research Studies and Surveys).
l
F. Department Personnel. Department personnel may provide a volunteer service if that service is clearly different from his/her regular paid work assignment. The written job description will be prepared by the staff person who will provide direct supervision (i.e., Education Supervisor, Chaplain, Recreation Leader, etc.). The staff person should notify his/her supervisor of the volunteer assignment.
G. Ex-Offenders, Parolees, and Probationers
1. An ex-offender or parolee is to be considered for a volunteer assignment in a facility one year following his/her release provided:
a. his/her record indicates a relatively conflict-free period of incarceration, and
b. there is some evidence that he/she has made a productive re-entry into society.
Exception to this policy will be given consideration only when substantial, written justification is submitted to the Superintendent or his/her designee. Following review by the SCFVS and the Volunteer Services Regional Coordinator, the Superintendent must approve all ex-offenders, parolees and probationers. Final approval will rest with the Cluster Supervising Superintendent.

2. They must also have the approval of their Parole Officer or Probation Officer. Once these approvals are granted, the ex-offender, parolee or probationer is to be formally processed through the Office of Volunteer Services.

NOTE: All prior misdemeanor or felony convictions must be indicated in writing on Form 3080A, "Supplemental Registration Information" when an ex-offender/parolee/probationer or an individual with a prior criminal record is completing the application process. A criminal record will not necessarily preclude an individual from a volunteer assignment if the information is declared prior to acceptance and placement. Individuals may be placed in volunteer assignments prior to return of the fingerprint card from the F.B.I.; however, the placement is provisional. If the F.B.I, fingerprint check reveals an undisclosed criminal record, the volunteer activity will cease using the procedure outlined in Section XIII.

H. Inmates. Inmates who demonstrate ability or are trained in various skill areas and wish to volunteer may

be considered for service as volunteers subject to the approval of the Superintendent or his/her

designee. Inmates engaged in facility or community programs can provide a meaningful service

may benefit both the recipient(s) and inmate.

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I. Family Members and Friends of Inmates. Family members and triends of inmates may become volunteers subject to the restrictions in V-B.

J. Volunteers In Visiting Centers, Although this type of service Is provided outside the facility perimeter but on state property, the volunteers engaged In providing service at this location will follow the same processing (registration, reference checks, fingerprinting, I.D. cards) as all other volunteers providing services at a correctional facility. If this type of volunteer goes into the community on occasion, this activity will be reflected in the written volunteer job description and these volunteers will be subject to all policies and procedures relevant to all duly registered volunteers.

The programs offered at the Family Visiting Center are approved by the facility Superintendent who is responsible for the overall operation of the Center.

NOTE: Volunteers in this setting must not become personally or emotionally involved with inmate family members either inside or outside the facility.

K. Volunteers in Community Hospitals. Although this type of service is provided outside the facility, the hospital secure ward/room is considered an extension of the facility; therefore, a written job description must reflect this activity and these volunteers will be subject to all policies and procedures relevant to duly registered volunteers. Volunteer Services Staff must work in close cooperation with hospital Volunteer Services Staff to insure that correctional volunteers comply with all hospital procedures/policy for volunteers.

L Foreign Nationals. Foreign nationals will be considered for volunteer programs provided they can produce valid documentation that they are in this country legally.
VII. QUALIFICATIONS
A. Maturity is the key attribute for a successful volunteer experience in a correctional setting; therefore, volunteers under the age of 18 shall not be permitted to serve in areas of a facility where inmate contact may occur.

Exceptions to the above may be made with the permission of the Superintendent/designee , for special one time programs or for participants in youth employment programs (example: JTPA Programs). All persons under the age of 18 must have written permission from a parent or legal guardian. No one under the age of 13 shall be permitted to provide a volunteer service unless accompanied by a parent or legal guardian.

B. General qualifications have been established for all volunteer positions through job descriptions. There are, however, specialized areas such as legal, health, and religious services which require special guidelines.
1. Legal/Paralegal Volunteers
a. Qualified volunteers may provide services as legal advisors, law library assistants, counselors, and instructors in all areas of law including litigation, with the exception of lawsuits against the Department and/or its employees.

b. The Department will also consider qualified persons (attorneys or professional law librarians) for volunteer teaching positions in legal research programs for interested inmates.

c. The status as legal visitor (as defined in Directive #4404, "Inmate Legal Visits") in any correctional facility precludes consideration of such an Individual as a legal volunteer or volunteer in other programs.

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2. Health Service Volunteers

a. The Department will offer opportunities to health professionals such as doctors, nurses, and medical students to affiliate as volunteers in correctional facilities within the scope of their practice or educational field. Professionals such as doctors and nurses can provide a volunteer service only when certified or licensed to perform such a service. While many of these volunteers will be students, all health service volunteers must meet the same prerequisites and follow specific procedures prior to entering the facility.

b. Health Services volunteers will be permitted to serve only in their own field and under direct supervision.

c. Volunteers who wish to provide health services education or counseling regarding death and dying must furnish proof of qualifications on or with their Individual Registration Form.

d. An additional registration form #3096 for Health Service Volunteers will be issued and reviewed by the Health Services Director at the facility. The steps involved in approving health service volunteers are outlined on Form #3096.

3. Religious Volunteers

a. There are two general categories of service provided by persons representing community

religious organizations:

'

1) Religious Services or Programs. All volunteers requesting involvement in reiigious programs must be reviewed and approved by the Senior Chaplain at the facility. If disapproved, review may be requested through the Office of Ministerial Services, Central Office. All approved volunteers in this category must be registered through the facility office of Volunteer Services. The Senior Chaplain or designee shall provide the facility Office of Volunteer Services with monthly statistical data applicable to volunteers involved in religious programs/services. The Office of Volunteer Services should be contacted for the actual date for submission of the report.

2) Non-Religious Programs. If the volunteer represents a religious organization from the community but is to be assigned to a non-religious assignment (i.e., tutoring), the registration is handled through the Volunteer Services Office and does not require approval by the Senior Chaplain.

b. During orientation provided by the Regional Coordinator or SCVS, volunteers representing religious groups/organizations must be advised not to proselytize among inmates.

c. Exception to the volunteer/visitor prohibition (outlined under V. B.) shall be made for all individuals who represent religious organizations if they visit with inmates in the role of spiritual advisor on a one-to-one basis in the Visiting Room. However, the procedures concerning cor respondence and collect phone calls outlined in Section V-B-2 and 3 will apply.

The following will clarify a volunteer's acceptability as a spiritual advisor:

1) Documentation stating that a pastoral relationship with the inmate(s) existed prior to incarceration or that the inmate(s) joined the religious organization represented by the volunteer during incarceration.

2) Written endorsement from a bona fide ecclesiastical body identifying the volunteer as clergy or a layperson who can function in this capacity.

3) Written description of the volunteer's activities in the role of spiritual advisor, Including the names of inmates who will meet with the volunteer.

It shall be the Senior Chaplain's responsibility to obtain these documents prior to commence- _ ment of an Inmate-spiritual advisor relationship and maintain said documations for duration of
said service.

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The method employed to identify a spiritual advisor (e.g., different ID card, written verification, addition to normal ID card) shall be determined by the facility.
d. Registration of all volunteer religious groups or individuals must be carried out in accordance
with Section VIII of this directive.
4. 12 Step Fellowship Volunteers (AA. NA. GA. etc.\. All volunteers who participate in these programs will be processed in the regular manner as described by this directive; however, since anonymity at the public level is of prime importance to members of these programs, the following is to be strictly observed:
a. Volunteers should be Instructed to give as the two references only the names of persons they wish to have contacted. On reference forms, no mention of 12 Step programs should be made. No reference contacts should be made with employers or educators listed on other parts of the registration form. All information will be kept in a confidential file.
b. The Volunteer Services Office/Contact Person will be responsible for maintaining all records and up-to-date lists of all 12 Step Fellowship volunteers.
VIII. PREREQUISITES TO ASSIGNMENT
A. Needs Assessment. The volunteer program planning process begins with the identification of a particular need for a service. Department staff may complete Form #3075, "Request for Volunteer Services," contact the SCVS directly, and/or provide job descriptions (see item B); an inmate may contact the Volunteer Services Office directly requesting a volunteer program. The Supervisor will confirm that a need exists.
B. Job Description for Volunteers. All regularly scheduled volunteers must have a written job description approved by the Superintendent or his/her designee prior to assignment. A copy will be kept in the volunteer's folder in the Volunteer Services office; in addition, a copy will be given to the volunteer.
C. Recruitment. Volunteer recruitment is designed to provide and maintain a continuum of services; the recruitment process must adhere to guidelines set forth in the Department's Equal Opportunity policy.
Successful recruitment can be accomplished utilizing the following methods:
1. Community Resource Development Teams (CRDTs) will be developed for groups of correctional facilities in the same geographical area. The purpose of CRDTs will be to actively assist Volunteer Services by stimulating awareness of the needs of correctional facilities. Supervision of these CRDTs will be provided by Supervisors of Volunteer Services in consultation with Volunteer Services Regional Coordinators. Members of CRDTs will be considered volunteers and subject to approval of Superintendents and the Cluster Supervising Superintendent.
2. Selective recruiting directed to a specific need is the most effective method. Job descriptions for specific volunteer opportunities should be made available.
3. .Open recruitment - extreme caution should be used with this approach to avoid extensive screening or non-utilization of services offered.
4. Non-recruited volunteers - persons whose own needs or goals impel them to offer their services. The Volunteer Supervisor must ascertain/determine if a "hidden agenda" exists and be prepared to redirect the energy of these volunteers to a service that will benefit the Department.
5. Public Relations - virtually any positive public relations effort on behalf of facility programs will lead to inquiries from the community concerning volunteer opportunities. It is valuable to highlight volunteers' accomplishments for recognition, as well as for informing the public that the facility has other volunteer needsT Such public relations efforts must have the approval of the Superintendent or his/her designee.
D. Registration. Registration of a volunteer is essential in o_rder to insure security screening and to provide each volunteer with benefits (see Section IX, Benefits)."These benefits are not available to guests, visitors or unregistered persons.

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1. Groups. All community agencies, groups, or organizations must be registered by the SCFVS or Volunteer Services Contact Person. Such registration shall take place prior to admittance to the facility utilizing IForm #3083, Community Group Application for Volunteer Status. This policy must be adhered to regardless of the area of service and/or program participation (i.e., Education, Ministerial Services, Rre-Release Centers, Inmate Organization Activity, Student Internship Programs or other citizen pa\ticipation activity).
2. Individuals
a. Individuals whotenter a facility as part of a registered community group must also be registered utilizing Fotm #3080, Application for Volunteer Status. If the individual will be entering the facility for onlu a single occasion (e.g. musical entertainment) the filling out of the first six items on Form 3080 will suffice.
b. Any individual entermg a facility is to be duly/ sgistered through Volunteer Services unless one of the following conditions prevail:
1) The individual is uYider legal sanctior/(i.e., inspection by clergy, serving of legal documents, etc.). \See Directive 4^00, "Security in Gate Areas," Section Ill-C)
2) The individual is a visitor of an inmate or is in visitor status with such invitation approved by the Superintender
3. The individual is a coirrmunity quest as defined by Directive #4022, "Special Events Program," Section lll-B/end is<approved by the Superintendent.
4) The individual represents'anofher New York State agency with whom a contractual agreement for service hasWen made on an inter-agency basis.
5) The individual represents a/private sector commercial contractor engaged to provide services such as repairs o/construction, etc.
6) The individual is employed by\tie NYS Division of Parole or NYS Department of Labor and provides a service nalevantp his/her job function.
NOTE: A PROSPECTIVE VOLUNTEER MAY ENTER THE/FACILITY XS"A GUEST TOAUDIT, OBSERVE, EVALUATE A PROGRAM OF INTEREST ONE TIME ONLY DURING A 12 MONTH PER/CO SUBJECT II) APPROVAL OF THE SUPERINTENDENT. FOLLOWING INITIAL VISIT ASA GUEST, THE INDIVIDUAL MUST COMPLETE THE VOLUNTEER PROCESS (REGISTRATION, REFERENCE CHECKS, ETC.)

c. Multiple Locations. Volunteers registered ft) one facility in a cluster will be eligible to volunteer throughout the cluster. Names of registered\and approved volunteers will be placed on the cluster computerized volunteer listing. All information may also be shared with other clusters if the volunteer wishesAo serve in more than one cluster.
Large community organizations that conduct proVams in more than one facility and have organized volunteer training programs will be allowed,to make arrangements with Regional Coordinators to have the correctional volunteer orientation conducted at the site of the training by the RegionaVCoordinator and/or facility Volunteer Supervisors. Registration and reference forms will be distributed at the training location and the completed forms will be returned to the respective Volunteer Services Offices by\the organization.
E. Screening. All volunteers i jst be screened prior to job assignment using the following procedure:
1. Individual volunteers I complete Application for Volunteer Status Form #3080. This form is retained at the facility, Volunteers indicating a misdemeanor/felony conviction will be required to provide further info tion relating to the nature of the convictions) on form 3080A. This Information must be presented to the Superintendent or designee before acceptance can be made. Volunteers should also be informed that any outstanding warrant(s) or charges filed after completion of the reglstratiorWorm must also be reported to the SCVS.

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2. Community groups will complete Community Groups Application for Volunteer Status Form #3083. The group's contact person must Indicate the names of any members who have prior records as in# 1 .
3. Volunteer Services Office will forward Form #3082 to all references given for individual volunteers and Form #3079 to all references given for community groups.
4. Upon receipt of at least one reference form, the SCFVS reviews the registration and references to determine the acceptability of the applicant. Volurrtee'fs providing professional services must show evidence of their professional competency at the tffne of their application. These professional volunteers (I.e. teachers, attorneys, health and refigious volunteers, etc.) must also have their references checked by the appropriate facility staff person to whom they will be immediately responsible (i.e. Education Director, Chaplain, Facility Health Service Director, etc.).
5. If alltof the^above are in order, the SCFVS arranges for an interview for the volunteer(s) which may include the staff supervisor under whom the yolunteer(s) will be working.
6. If the individuaVgroup is acceptable, approval is obtained from the Superintendent or his/her designee and a letter of acceptance may be sent to the volunteer(s) by the SCFVS. Such a letter may include arrangements for orientation and training.
If an individual/group is found to be unacceptable, a letter stating this should be sent to the applicant. Effort shoulcrbe made to redirect the individual or group to a more appropriate placement, if possible.
7. If a group is accepted, the\Jndividual n/embers need to be registered (Form #3080).
8. Upon approval of a community group, one copy of the registration form is forwarded to the Director of Correctional Volunteer Services in Central Office. If a community group has been registered in Central Office, it is not necessaryto require that group to complete another form. Community groups registration forms may be$ hared among facilities (see Sec. VIII-D-2-c, "Multiple Locations").
9. Inmate volunteers who wish to ave a.record of their volunteer work should complete Form #3085, Application for Inmate Voluntee Status
10. The SCFVS will review the inmate volunteer registration forms for practicability and/or feasibility of the assignment. After consulting with the Superintendent or his designee, the Supervisor will set up appropriate meetings witn staff to begin the implementation process and establish an appropriate orientation for tne inmate volunteeV
F. Finaerprintina/LD. All Department Employees are photographed and fingerprinted prior to employment. Volunteers (except those/serving in occasional onone time programs) shall be provided with an identification card to be kept or/ file at the facility in accordance with procedure approved by the Superintendent as outlined in Directive #2946 "Employee Identification Material" Section II E. Volunteers will also be fingerprinted (see Directive #2216) regardless of the security level of the facility to which the volunteer is assigned. Volunteers will not be required to pay for any fingerprinting charges. Since Department employees are required to be fingerprinted, this requirement is waived for staff serving as volunteers.
NOTE: Individual volunteer^ or Community Group volunteers providing set^ices on a one time or occasional basis - speakers for Pre-Reiease programs, entertainment groups, ath|etic teams, religious groups etc. - will not be fingerprinted or provided with an I.D. card.
G. Orientation/Training of Volunteers
1. Orientation - The SCFVS and/or the Regional Coordinator of Volunteer Services provides the" DOCS Standard Orientation for Correctional Volunteers which provides general Information about the Department./It is designed to acquaint individuals with the existing situation, to enlighten, inform and familiarize. It should include discussions of confidentiality and discretion in both private and public discussions about the program and inmates, rules and regulations for volunteers (See XI Rules and Regulations), and causes and procedures for dismissal of volunteers. A security seg-

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ment will be a component of the orientation and may be conducted by an appropriate security staff or designee. Volunteers must sign off indicating orientation has been provided. Once a volunteer receives this Standard Orientation, It is not necessary to be repeated at each facility; however, additional information pertaining to each facility may be required.

2. Training - staff person to whom the volunteer is assigned provides practical and important information for the volunteer in performing assigned tasks.

.„_

a. As opposed to orientation, training follows assignment and is involved with actually preparing

the volunteer for his/her service.

b. In-service training should be provided on an ongoing basis involving other volunteers and staff as trainers.

H. Emotional Involvement Between Volunteers and Inmates. Volunteers working on a regular basis with inmates must maintain a professional relationship and avoid personal/emotional involvement with the inmate(s). If the volunteer chooses to establish a closer relationship, he/she must so advise the SCVS, request to be removed from volunteer status and tender his/her resignation as a volunteer in said facility.

IX. BENEFITS

A. Insurance Coverage/Indemnification

'

1. Worker's Compensation for Volunteers

a. All volunteers who are duly registered and approved by the Volunteer Service Program are covered for Injuries relating to their volunteer work by Worker's Compensation Benefits. Staff supervising volunteers must report injuries to volunteers in accordance with Directive #4065, "Reporting Injuries & Occupational Illnesses" and Directive #2208, "Workmen's Compensation Benefits."

b. It should be noted that a volunteer, duly registered and approved, is eligible whether the service is performed in the community or in a correctional facility. The job description must indicate area of service.

2. Indemnification Coverage for Volunteers
a. Correctional Services volunteers have been afforded protection from financial loss arising out of a civil action.

b. The law provides that the State would save harmless and Indemnify volunteers of the Department from financial loss arising out of a judgment in any civil action by reason of a claim of alleged negligence or other act of such person participating in a volunteer services program, provided that the damages were sustained while such person was acting irv.the discharge of his duties and within the scope of such duties, and the claim did not result from the willful and wrongful act or gross negligence of such person.

c. The law applies to volunteers authorized to participate in a volunteer services program, provided such volunteer gives notice of such claim upon himself within five days of service of such claim upon himself. (Section 17 of the Public Officers Law). Individuals who have insurance policies which would cover them for claims arising pursuant to the volunteer programs must first use such policies before the state will defend and/or indemnify them.

3. Affirmative Action. All volunteers who are duly registered and approved are afforded equal opportunity protection in accordance with Directive #2601, "Affirmative Action Program," based on NYS Executive Order No. 6.

4. Advise Volunteers of Benefits 1. 2, and 3. Information regarding the above protection must be communicated in writing to all volunteers prior to their official assignment.

[TITLE

VOLUNTEER SERVICES PROGRAM

NO. 4750

DATE

SEP 1 5 1992 PAGE 10 Of 14 PAGES

B. Motivation /Recognition of Volunteers
1. Motivation, Volunteers should always be treated with courtesy and respect, and made to feel a part of the facility staff. Staff must be motivated and given credit for their work with volunteers. They must understand that volunteers are not taking their jobs, but rather are complementing their efforts.

2. Recognition. Since volunteers are not financially reimbursed for services, they must receive some other form of recognition or show of appreciation. This may take the form of: verbal recognition (both public and private praise), a higher status job, greater responsibility, certificates issued during an annual recognition ceremony, or a newspaper story concerning the volunteer. Facility administration should make every effort to host an annual formal recognition dinner/event. Staff also deserve recognition for support of peer-staff and volunteers. If news articles are written recognizing the volunteer, mention should be made of the staff with whom the volunteers served, subject to the approval of the Superintendent or his/her designee.

C. Meals. Volunteer(s) who provide service in a facility should be offered a free meal, rf they are eligible when a meal jSeriod is overlapped.

1. A volunteer who performs four hours of service during one day is entitled to a free meal if his/her performance overlaps any of the facility's scheduled meal periods.

2. Other volunteers who have traveled at least twenty miles to provide their service and remain at the facility for three continuous hours may be offered a free meal during one of the meal periods.

3. Volunteers who qualify are provided free meals only from the inmate mess hall during feedings when each meal can be accounted for. The free meal shall be the same as that provided to the inmate population.
NOTE: Inmate volunteers shall be fed at their regular times in the regular manner.
X. STAFF INVOLVEMENT IN VOLUNTEER PROGRAMS
A. A successful volunteer program requires that all salaried staff fully understand the volunteer program and its goals of program enrichment to the facility population. Therefore, staff orientation to the Volunteer Services Program must be an integral part of all facility staff training programs. This will ensure staff's understanding that volunteers supplement but do not supplant regular paid staff.

B. Salaried staff should be included in^he planning and development of a volunteer program as early as possible.

C. Staff must be involved in the interview process for volunteers to strengthen responsible selection of volunteers.

D. Staff must understand the built-in evaluation process designed to maximize accountability of volunteers with respect to program goals and objectives. This will assure maintenance of program accountability.

E. Staff must be aware of their responsibility to supervise volunteers assigned/accepted in their area and that they must provide the facility Office of Volunteer Services with statistical data on volunteers (community, staff and inmate) involved in the program/service. The Volunteer Services Office will provide forms, time and date submissions, etc.
XI. RULES AND REGULATIONS FOR VOLUNTEERS
A. Guidelines and rules for volunteers in a correctional facility shall set the tone for a positive relationship between the volunteer and the facility through preventive education. Rules should be presented to volunteers during orientation in a positive manner.

IT1TLE

VOLUNTEER SERVICES PROGRAM

NO. 4750

DATE SEP 1 5 1992

PAGE 11 Of 14 PAGCS

The following are the guidelines for issuing rules to volunteers:
1. The Rules and Regulations for Volunteers on pages 14-15 of this directive shall be used by all facilities.

2. Rules and guidelines must be given as part of the orientation and training of all volunteers and

made available to all facility staff. All rules should be explained and clarified so that the volunteer

will understand what constitutes good security practices relative to contraband and type of be-

"" •

havior.-

3. Volunteers must be informed that a formal dismissal procedure exists and what constitutes grounds for dismissal. (See XIII).
4. The volunteer must be provided an opportunity for follow-up questions, through both the staff supervisor and the SCFVS.

5. The volunteer will acknowledge in writing that he/she has in fact been presented with these rules, understands them and intends to comply.
(See Attachment, Rules and Regulations for Volunteers).
XII. JOB PERFORMANCE EVALUATION. Evaluation of individual volunteers, whether as part of a larger group which performs a service at one or more facilities or as an independent individual is important. To evaluate an individual volunteer, the overall job performance must be weighed against the job description and the standards established for the job. Form #3081 .A, "Volunteer Performance Report" should tie completed foi every regular ongoing volunteer on an annual basis or upon completion of a volunteer assignment.
XIII. DISMISSAL OF VOLUNTEERS. Grounds for dismissal of volunteers are based on the violation of facility rules and regulations. If the appropriate processes of registration, screening, orientation, and training are fully adhered to, the dismissal of volunteers should be a rare incident. If dismissal is necessary, the proces to be used is set forth below. It is mandatory that proper documentation be available if dismissal is contemplated.
A. Types of Violations
1. Major Violation
a. A major violation is an act which threatens the safety and security of the facility and /or the volunteer.

b. A volunteer who commits a major violation shall be temporarily suspended immediately by the

Superintendent or his/her designee while an investigation is conducted in accordance with

the procedure outlined below in steps B-5 through B-9.

t

2. Minor Violation

a. A minor violation is an act which does not endanger the safety and security of the facility or incite a disturbance among the inmates.

b. A volunteer who is charged with committing a minor violation normally will not be suspended and will be allowed to continue service for the period of the investigation.
B. Procedure
1. When a volunteer commits a violation, the facility employee or volunteer observing it shall document the facts of the incident and report them to the SCFVS. In the event of a major violation, thfe Superintendent or his/her deslgnee is notified immediately by the Supervisor In order to verify th 2 seriousness of the-charge and authorize immediate temporary suspension.

2. All documentation is forwarded to the facility SCFVS, who then reviews the incident.

TITLE

VOLUNTEER SERVICES PROGRAM

NO. 4750

DATE ^pp 1 5 19r:Z

PAGE 12 Of 14 PAGES

3. The SCFVS interviews the volunteer in the case of a minor violation , making every effort to resolve the problem and to suggest possible remedies.

4. If a volunteer repeatedly violates a rule or regulation, the SCFVS shall consult with the Deputy Superintendent for Programs, the facility Superintendent and the Regional Coordinator of Volunteer Services to determine if there is sufficient cause for further action.
5. The facility Superintendent or his/her designee determines the seriousness of the charge, and If necessary, temporarily suspends the volunteer pending investigation. Written notification of this temporary suspension is sent by the facility Superintendent to the volunteer with a copy sent to the Regional Coordinator. The letter must inform the volunteer of the allegations and the date of the temporary suspension.

6. The Regional Coordinator then conducts an investigation concerning the charges and informs the facility Superintendent in writing of his/her findings and recommends one of the following:
a. Dismiss all charges.
b. Restrict the volunteer's activities.
c. Reassign the volunteer to another program within the facility or to a program at another facility.
d. Dismiss the volunteer from service in the facility or in all facilities in the cluster. This information will be shared with all clusters through Central Office Volunteer Services.

7. The facility Superintendent approves the final disposition for each case. If the Superintendent disagrees with the Regional Coordinator's recommendation, he/she will consult with the Supervising Superintendent and the Director of Volunteer Services.

8. The volunteer must receive written notification of the Superintendent's decision directly from the Regional Coordinator within 30 working days of the beginning of the temporary suspension.

9. The letter must state that the volunteer may appeal, in writing, to the Deputy Commissioner- of Program Services within 30 working days of receipt of the letter.

10! A volunteer may be given the option to resign from a volunteer assignment. However, the letter of resignation must state the exact nature of the resignation, and must be submitted to the SCFVS with a copy to the Regional Coordinator of Volunteer Services. If at a later date the volunteer wishes to apply for reinstatement, the volunteer must appeal in writing to the Supervising Superintendent in the cluster. If denied, she/he may appeal in writing to the Deputy Commissioner for Program Services.
XV. PROGRAM EVALUATION
To insure that volunteer services programs meet the needs of the inmates and facilities as assessed prior to the inception of each program, each program will be evaluated by the SCFVS, utilizing Form 3081 - Volunteer Services Program Evaluation.

Facility programs will be evaluated by the SCFVS.

Regional or statewide programs will be evaluated by a Regional Coordinator of Volunteer Services.

In conducting the evaluation, the opinions of staff, inmates and volunteers are to be considered with respect to the original goals-objectives and achievements of the program. Form 3081 can be used for program evaluation.

TrrLE

VOLUNTEER SERVICES PROGRAM

NO. 4750

DATE

^L.1 *

l*Jwt.

PAGE 1 3 Of 14 PAGES

ATTACHMENT

RULES AND REGULATIONS FOR VOLUNTEERS

1. The Rules and Regulations presented herein apply to all facilities and are in keeping with the policies and procedures set forth by the New York State Department of Correctional Services.

2. All volunteers must be approved by the Superintendent or his/her designee and registered by the Volunteer Services Office. This will include a personal interview and a check of references.

3. It is imperative that your car be locked if it is parked on the grounds of the facility. You may be required to turn in your keys before you begin your assignment.

4. Upon entering the facility, you may be asked to pass through a metal detector. You may also be

provided with an identification card which you will wear while on the grounds and which will be kept

on file at the facility.

•

5. Do not bring into the facility any items which might be defined as contraband (i.e., weapons, drugs, literature, or anything not authorized by the Superintendent for an inmate to possess). Note that contraband (firearms, in particular) is not allowed on facility grounds, and therefore, cannot be left in automobiles.

6. You will be assigned a staff supervisor to work with while in the facility. You may be escorted by this staff member or a correction officer while in the institution.
7. Volunteers are advised not to carry large sums of money nor wear expensive articles of jewelry while participating in programs at the facility. Persons carrying handbags should not leave them lying around. Clothing should be appropriate and in keeping with Departmental requirements for all visitors.

8. If your work requires that you bring special material, clear the items in advance with your staff supervisor. Expenditures should not be made by volunteers for supplies or equipment without prior staff approval.
9. Tape recorders, cassettes or cameras may be brought into the facility only with special permission of the Superintendent after It has been determined the necessity of the item for the volunteer's job.

10. It is expected that volunteers will be dependable, punctual, and perform their duties in an effective manner. If you are unable to meet at the appointed time, contact your staff supervisor or the Volunteer Services Office as early in advance as possible.

11. The exchange of monies and/or gifts with correctional facility inmates is prohibited. You should not, at any time, bring in and give anything directiy to an inmate nor take anything from him to be carried outside of the institution. As a volunteer, you are not to carry oral messages or written correspondence in or out of the facility for an inmate. Do not bring in literature which has not been approved by the facility staff.

12. Matters of discipline are the responsibility of the correction officers. Under no circumstances should a volunteer become involved in or interfere with these matters. Any questions of judgment should be discussed privately with the officers and/or staff, never in the presence of an inmate.

TTIITTILE

VOLUNTEER SERVICES PROGRAM

NO. 4750

DATE S E P1 5

P/kQE 14 Of 14 PASES

ATTACHMENT Page 2
13. In your contacts outside the correctional facility, use discretion in revealing information you have acquired In the course of performing your service. Check with the appropriate staff if you are doubtful about what requires confidentiality.
14. While working with inmates on a regular basis, a very close relationship may develop. Care should be taken to maintain a professional, impersonal relationship and to avoid becoming emotionally involved with inmates.
15. Volunteers are not permitted to accept collect phone calls, correspond or visit with inmates. A volunteer who wishes to accept collect phone calls, correspond or visit with an Inmate, must contact the Volunteer Services Office to arrange to resign as a volunteer. Conversely, an individual who is approved tp correspond or visit an inmate cannot be registered as a volunteer while on correspondence/visiting status. Volunteers who serve as spiritual advisors are exempt from the visiting rule.
16. A "Report of Criminal Charges" (see Directive #2112) must be filed when a volunteer is charged with the commission of a felony or misdemeanor, violations which allege possession and/or use of a controlled substance must also be reported. The volunteer charged with the above must report, in writing, required information to the SCFVS.
17. If, at any time, questions arise about any of these guidelines or anything not covered by them, you should seek clarification from your staff supervisor or the staff person responsible for the Volunteer Services program. That person at this facility is (Name) and can be reached at [ \ (Phone)

I hereby acknowledge receipt of the Rules and Regulations for Volunteers. I will be held accountable for knowing its contents and I agree1to act in accordance with the guidelines set forth. I further un-
derstand that any violation may result In my termination as an approved volunteer.

(Signature of Volunteer) (Witness)

(Date)

STATE OF NEW YORK
DEPARTMENT OF CORRECTIONAL SERVICES
DIRECTIVE
SUPERSEDES Dir. #4911 dtd. 6/19/86 and Rev. Notices
REFERENCES

TITLE

NO.

4911

PACKAGES AND ARTICLES SENT OR BROUGHT TO FACILITIES

DISTRIBLmON A&B

DATE
03/04/94

APPBOVI

I. DESCRIPTION. This directive establishes the policy of the Department concerning packages and articles sent or brought to facilities and received through the Package Room.
This directive establishes a positive list of the only items which may be received through the Package Room. No other items may be processed through the Package Room unless expressly authorized by the Deputy Commissioner for Correctional Facilities in accordance with Section III, "Local Permits," A-2.
This directive only addresses those items which may be received through the Package Room. It does not set forth a comprehensive list of all Items that an inmate may be authorized to have.

II. POLICY

A. The Commissioner may, at his discretion, suspend all or any portion of this directive at any or all facilities.

B. 'Inmates may receive two packages a month containing foodstuffs, as set forth in Section IV, the combined weight of which shall not exceed 35 pounds. Food packages received both from visitors and through the mail shall be included in the two package limit.

Additional packages containing non-food items such as books, clothing, tobacco, etc. may be received by an inmate provided the items are on the Department list of approved items (Section IV of this directive). These packages shall not be counted against the food package limit.

Packages shall not be accepted from visitors during their attendance at special events.

C. An inmate may receive a package through the mail from anyone who is not on a negative correspon-

dence list. An inmate wishing to send packages or gifts to relatives incarcerated in other Department

facilities must obtain authorization from his/her assigned correction counselor and approval of the

facility Superintendent, contingent upon agreement by the receiving facility Superintendent. The trans-

fer of funds and art and craft products between Inmates is governed by Directive #4761, "Inmate

s>

Charitable Contributions and Gifts."

-

D. No packages shall be carried into the visiting room of any facility by inmates or visitors except that:

In the visiting rooms In medium and minimum security facilities foodstuffs may be permitted to be brought In with the written approval of the Deputy Commissioner for Correctional Facilities. To obtain this permission the Superintendent must give reasonable assurance, in writing, that permitting foodstuffs to be brought In will not negatively affect the safety and security of the facility. _ , . . . .

E.••••--A visitor may bring a package only for the inmate s/he is visiting containing'authorized items only which will be inspected prior to delivery to the inmate. It must be presented at the gate prior to the visit.

')

._.!,.

...

,

...

.

,:,.,.

•

...,,-

,,-...,

F. All inmate packages will be opened and inspected prior to the inmate being called to the package room.

The contents of all packages will be removed from the original shipping container, inspected visually or

J

by use of the x-tay machine and packaged In a new container. When this inspection process has been

completed to the satisfaction of the Package Room Officer, the contents may be issued to the inmate.

* mm A «»

PACKAGES'AND ARTICLES SENT OR BROUGHT

I NO: 4911 " ... (DATE-- • 0 3 / 0 4 / 9 4

PAGE 2 o f 1 0 : P A G E S ;

••••-• r - - " " - ? ^
'7

Packages shall be searched thoroughly to ensure that all articles conform to regulations. Contraband articles'shall be confiscated and.the Superintendent notified. In searching and examining packages, ~ care shall be taken not to damage or destroy the contents.

G. Ail articles received shall be recorded with the sender's name and address and the name and Department Identification Number (DIN) of the inmate recipient. A package absent areturn address may be issued if ft can be reasonably established that the package was intended for the addressee. This privilege will not be extended to any add'rtional packages that may subsequently be sent to the addressee.

The inmate shall be requested to sign a Departmental form (see Attachment "A") listing any single item received which has a ver'rfied value of more than $20.00 and does not exceed established Department limits. These items include, but are not limited to, the following:

Art or hobby items

Authorized religious apparel

Baseball shoes

Bedspreads

Calculators

Clothing items

_

Electric razor.(local permit)

•"

Gioves

-

Hair dryer/blow dryer (local permit)

Headphones

Hotpot (local permit)

Jewelry Lamp Musical instruments Radio Rug/prayer rug Shoes/boots/sneakers Sun glasses (no reflector or mirror types) Tape player or combination Typewriter (local permit) Watch band Watch

A copy of this form will be filed in the Package Room folder and a copy given to the inmate.

H. Inmates may receive checks or money orders from persons (except other inmates) not on a negative correspondence list. Checks/money orders must be payable to the name under which the inmate is committed. No checks/money orders are to be received directly by the inmate but shall be given to institution authorities for deposit and credit to the inmate's account.

I. Articles not permitted, if sent to the institution, will be returned at the expense of the addressee or otherwicn disposed of a? requested by the inmate within 14 days., after which it will, be destroyed by the facility, it is clearly net the Department's intent tu give eaui inmate a 14-day disposition period, requiring storage by the facility. It is the intent that an inmate be given a clear notice that an article is not permitted and a clear opportunity to choose how such an article will be disposed of. There shall be a three month grace period for articles in an inmate's possession which subsequently become prohibited. However, if such articles present a threat to the safety or security of the institution, they shall be disposed of in accordance with Directive #4913, "Inmate Personal Property Limits."

J. Packages received for an inmate serving a disciplinary disposition which involves "loss of package privileges" will be handled as follows:

1. Packages Brought By Visitors - Package shall be returned to the visitor at the conclusion of the visit, unless the visit occurs within the first 5 days of the "loss of privileges."

2. Packages Received By Mail

a. From a Publisher - Shall be given to the inmate subject to the provisions of Directive 4572, "Media Review."

b. From Other Commercial Sources - Store until inmate completes disciplinary disposition.

c. : From AJI Other Sources •

"

'

. • .

.

1) If received duringfirst 5 days of "loss of privileges' deliver the package to the inmate.

2) If. received after first 5 days of "loss of privileges," return to sender unopened.

_" -

e

STATE OF NEW YORK DEPARTMENT OF CORRECTIONAL SERVICES
REVISION NOTICE
NOTES: THIS REPLACES PAGE 3 DATED 03/04/94 Remove old page; insert this new one. Disirlb. A&B

TITLE

NO.

4911

PACKAGES AND ARTICLES SENT OR BROUGHT TO FACILITII

REVISION DATE
04/28/94

NOTE: These provisions do not apply when an inmate Is confined to a Special Housing Unit.

K. Packages received via U.S. Postal Services for inmates who have been transferred shall be processed In accordance with Directive 4015, "Forwarding Inmate Mall."

L Special Watch Notations: A notation shall be made on an inmate's package room record if:

1. a sender to that inmate attempts to transmit contraband within a package;

2. an inmate has been found in possession of contraband within a package; or

3 . . an inmate has been found guilty of drug-related misbehavior.

.

These notations shall alert staff to take appropriate precautions to prevent smuggling of drugs, drug paraphernalia, or other contraband in subsequent packages. However, any notations which correspond to disciplinary proceedings against an inmate or his/her visitor but which are later dismissed or reversed must be expunged from the inmate's package room records.

M. Shock Incarceration Facilities. Packages are not permitted at Shock Incarceration Correctional Facilities In accordance with Shock Incarceration Rules. See Title 7, NYCRR, Section 1800.9(b). As Shock Incarceration Inmates near graduation, they are permitted one package with personal clothing for parole release in accordance with Shock Incarceration Rules.

N. • Work Release Facilities. Work Release Facilities do not have package rooms. Packages sent to Work Release Facilities will be immediately returned to sender without being opened.

III. LOCAL PERMITS

A. In establishing the standard package list (Section IV), It is apparent that certain items of equipment, clothing, and other material cannot be approved Department-wide because of programmatic and physical plant characteristics of individual facilities. In order that those locations which can accommodate special items are not governed by those which cannot, each facility may consider the issuance of special "local permits" in accordance with the following guidelines:

1. Local Permits for items so marked and listed in this directive require the approval of the facility Su-

perintendent, but do not require the approval of the Deputy Commissioner for Correctional

Facilities.

.

2. Local permits for Items not listedJn this directive require the recommendation of the facility Superin-

tendent and the approval of the Deputy Commissioner for Correctional Facilities. Such recommen-

dations shall include:

_•""-

-••-••••.

-..

•.:- •.•*.-

a. —b—
c.

Identification of the item for which a local permit Is recommended; I

The Superintendent's rationale forthe recommendation; and

.*\ •.-...

Specific terms and conditions regarding the use of the Item as prescribed In Section lll-A-4

below.

••""'

3. Any Item approved by local permit shall be clearly Identified by mark or label and a record of such Identification maintained by the facility. The inmate must retain a copy of the permit to protect the
- privilege of retaining this Item. ••'•"•••• -.....: r . -i(,. ^ , • T ^ . - ; ^ , . v . , £ 3
4. By signing the local permit, the inmate shall Indicate his understanding that the permit is valid only • | n his current facility and,' in the event that he Is transferred and cannot obtain a local permit forthe Item at his subsequent location, the Hern must be disposed of at his expense. • i r-1z z

5. The local permit shall specify the terms and conditions regarding the use of the article (with respect to program and periods or locations in which the article may be used) and Indicate that failure to adhere to such terms and conditions may result In the revocation of the permit. The permit shall state (and the inmate's signature shall Indicate his agreement) that, in the event of relocation, the article must be disposed of at the Inmate's expense.

TTRE

PACKAGES AND ARTICLES SENT OR BROUGHT

NO. 4911

REV. DATE 04/28/94 REPLACES Ps. * C»l«f CO/M/W

B. Each Superintendent isrequired tomaintain acurrent list of all approved local permits to include:

1. Identification ofinmate; -

ry

2. Identification ofthe Kern;

'

'

I.

• - 3._ Identification ofthe approving authority; and 4. Date of approval.

IV. ALLOWABLE ITEMS. Items listed below maybe received through the Package Room byinmates in all facilities subject to the following restrictions and qualifications:

A. Food Items - General

No glass containers

Except forfresh fruit andvegetables, food products must be received commercially packaged in airtight hermetically sealed containers impervious to external influence (e.g., sealed cans, heat sealed plastic bags, vacuum sealed plastic jars, glue sealed paper or cardboard boxes, etc.).

• .. No home, bakery, restaurant, ordelicatessen prepared foods, unless authorized under Section Il-D.

Health foods - Items listed below maybe ordered and received directly from ahealth food manufacturer or retail store which hasbeen approved by the Superintendent and maybe receivedas packaged by the vendor.

No alcoholic content oringredients.

B. Specific Items ofFood

Beverages • including dried beverage mix. (Noplastic soda/liquid drink containers).

Bread insealed package, notwist ties

Canned foods - no larger than 16oz.each - that do not require cooking (except infacilities that

,' -

permit cooking) -

r"

Candy - noalcohol filled .

Cheese (sliced or chunk)

. Coffee

t- . •

.".V

Cold cuts

Dried coffee cream

' -'•• F r u i t

"•• •:•* • • " • -

-

Meats (cooked only) -

Nuts (without shells)

_. . . _ . . • - , P a s t r y . i : - : > . . . ^ ^ - > . , - v - , ^ ; . . : , . : ; .^.. ...... - • _ , , ; . - .

. .

—.-..-,

;, Raisins, notto exceed one2 oz.package perfood package ,';'.,,. .-'.'._..

Seafood (cooked only, including smoked)

".'.'.'.'.:'" ~~

Snacks - potato chips, pretzels, cheese twists, crackers, cookies, andother similar Items

- Tea- no loose tea (herbal and flavored tea allowed)' "•"-" ""' " ' - " • • • r Vegetables - fresh that donot require cooking (except Infacilities that permit cooking)

C. "FoodUtensBs(PlasticOnly)v~"'J5 " T ! ' ; > * i f " - ^ ^ ' -•''-• •:i!- v n - « i - 1V1}r::; ;:"'•

r Bowls

.......

Food Storage containers - 2 quart maximum

r,z~z •:: - j r t r - G " ; - . ••• ••.-.'I"'''''••(••^?» v'.i OWSHT;^:."1:'.•'."."i;r .•...:.::"«

• ^ ."_.:• -. . „ .v.-it-O^-1--- ., -

,ni , w ^ ° ^ s a u c e r s : a l ^ . | ^ ^ ':]T > o S i L b l e o n l x ^ ^ f e ; -

3 - : ^ Drinking Containers ((nollarger thhan16 )c^«^

~

.VNOTE: •Metal cooking utensils may be permitted Infacilities that permit cooking andIn quantities , asprescribed by the Superintendent (local permit only).. _ •-'•™s'~r~.Z:">*~,:l^.-".-~~'

-"'z-iTnt-l

3 f t ! •.-'•:.".•':.:i ••rrr-.---: '•;:"rS~H )£:-?• ---•'"

'

&v

STATS Of NEWYORK DEPARTMENT Or CORRECTIONAL SERVICES
REVISION NOTICE
NOTCS: THIS REPLACES PAGE 5 DATED 4/28/94Remave old page and insert this new one. Distrib. AA8

TTTtE

4 911-

PACKAGES AJND ARTICLES SENT OR BROUGHT TO FACILITIES

REVISION OATE
07/01/94

D. Tobacco Products. Tobacco products must beSaJ^e oriainal commerciallyy sealed containers,&ftdd-rmrsi—,

a*

p

Cigarettes - 5 cartons max per month

Cl

ll\- 6 mu.66T bbeeaar -a W w Y=>rK

p

Cigarette roller (Limit 1)

Pipes and pipe cleaners

Cigarette papers

Tobacco - chewing and smoking

Cigars - 200 maximum per month

Tobacco pouch

Snuff

E. Toilet Articles Including Cosmetics/Toiletries. Toiletries orcosmetics* that do not contain alcohol, as

defined below, are acceptable rf received in commercially-sealed non-pressurized cans or commercially

sealed plastic containers orif received directly from an approved store or manufacturer. When ap-

proved toiletries cannot be obtained in plastic containers or cans then one ounce glass containers may

be permitted when received directly from an approved store or manufacturer as packaged by them.

'Cosmetic, as defined in the Food, Drug, and Cosmetic Act (21 U.S.C^L. Section 321 (i)), means (1) articles intended to be rubbed, poured, sprinkled, or sprayed on, introduced into, or otherwise applied to the human body or any part thereof for cleansing, beautifying, promoting attractiveness, or altering the appearance, and (2) articles intended for use as a component of any such articles; except that such term shall notinclude soap.
No cosmetic ortoiletry which lists alcohol** as an ingredient may be received.
"21 CFR Section 701.3 Designation of ingredients (states in part) (a) The label on each package of a cosmetic shall bear a declaration of the name of each ingredient in descending order of prominence,....

The following toilet articles including cosmetics and toiletries may be received through the Package Room.

a. Ail Facilities
Afro picks - plastic Aftershave lotion 8aby oil Beard Trimmer, electric
(local permit only) Caustic sticks and styptic pencils Combs - plastic Cream rinse Denture adhesive Denture cleanser - tablets Deodorant - stick-type only Emery boards Fingernail clipper - 2 1/2" maximum Hair brush - plastic Hair dressing - non-medicated

hairnets Hand/face cream orlotion. Mirror - 8"x10" maximum, plastic only Mouthwash Razor, electric (local permit only) Shampoo Shaving items - brush, cream - no pressurized cans,
cup,soap Soap - standard size Soap dish - plastic Stick cologne Toenail clipper 3 1/2" maximum Toothbrush - non-electric Tweezers

b. Female Facilities Only

- Facial makeup - eye makeup, face powder, lipstick, rouge, etc.

Hair fasteners - barrettes, bobbie pins, hair bands, hair rollers, hair rubber bands

Hair spray - non-aerosol

.

Perfume/cologne - 3'oz. maximum per month - no aerosols

17715

PACKAGES AND ARTICLES SENT OR BROUGHT

NO. 4911

RHV.OATE;- •• 0 7 / 0 1 / 9 4 REPtAC£SPg_6 Dal*d; 4/2B/94

F_ Clothing. Blue, black, gray or orange clothing is not permitted with the exception of the following items which are permrtted in the color black: socks, winter knit watch cap, belts, gloves/mittens, bow ties and earmuffs. Any shades of colors such as melon, peach, aqua, etc. that are not readily distinguishable from orange, blue, etc. are not permitted. Quilted clothing is-not"permitted. Snorkel-type hoods are not permitted. No clothing item may exceed 550 in value. Allowable items must not be.second hand.

a. Acceptable Items - All Facilities

Athletic supporters - no metal or plastic cups Bathrobe - solid color only Belts (non-elastic) - maximum 1 1 /2" wide, with buckle (maximum 1 1 /2" x 1 1 /2") Boots - 6" maximum height exclusive of two inch maximum height heel. No hollow or
platform heels or soles. Any color. Two inch width heel, no pointed toe, no spikes. No metal shanks/supports or toes. Bow ties Earmuffs Gloves and mittens - wrist length - bag gloves without metal inserts Handkerchiefs - white only Hats - winter knit watch cap solid color only, clear transparent plastic rain hat Jacket - (Outer garment intended for use during inclement weather.) Fabric, 3/4 length, must be solid green in color, including lining. No hoods. Jacket - military style solid green (including lining) field jacket without hood. No military patches, insignia or decals are permitted. (Short-waisted "Ike jackets" are not permitted.) Neckties - cloth, solid colors only Pajamas - solid color only Rain jacket - clear colorless, transparent plastic, hoods permitted, maximum value $20 Rubber galoshes and overshoes Sandals Scarves - solid colors only Shirts - solid colors except the manufacturer's logo (fox, alligator, turtle, etc.) permitted; includes turtle, mock turtleneck, and polo shirt. Shoes - 2" heel maximum. No hollow or platform heels or soles. No blue. No metal/stone or clip-on decorations. No metal supports. Shorts - gym, Bermuda - no logo

Slippers Sneakers - no blue, no pockets, no pumps, no hollow soles, no metal supports
Socks - no pockets Sweaters - solid colors only, except that manufacturer's logo (fox, alligator, turtle, etc.)
permrtted. Sweatshirts and sweat pants - cloth only - hoods permitted These may
have muttiple-or solid vertical stripe(s) not to exceed two inches in width. No logos. T-shirts - solid colors only Underwear- jockey, boxer, thermal

b. Acceptable Items - Female Inmates Only

Blouses- solid color, any color but blue, black, gray, or orange; short/iongsleeve or sleeveless

Boots - maximum height 18", 3" heels, no hollow heeis or soles. Any color.

Nightgowns - solid color only

Shawls -1 yard square

Shoes-3" heels. Any color

.

•_

Stockings - panty hose

.

•

"_

-

Underclothing - bra, panties, slips full and half, girdle

'

.

" PACKAGES-AND ARTICLES SENT-OR~BROUGHT

NO: 4 911

03/04/94-

PAGE- 7 Of" 10: PAGES".

G. .Educational Supplies

"

.

Books, magazines and periodicals received from other than the publisher oc an approved distributor may be delayed through the Package Room up to six days while being subject to close securrty inspection. All.material is subject to Media Review guidelines. (See Directive #4913 for maximum number inmate is allowed to possess in cell/cube.-) •

Newspapers may Review quidelines

oNn°ly-

bt ee"r•eceiNveedwfrosmp

the publisher or an approved a p e r - c l i p p i n g s may

distributor,be rece

subject ived

tn Media from o

t

h

e

r

thar

the publisher or approved d i s t r i b u t o r within regular correspondence

s u b j e c t to Media Review G u i d e l i n e s and the p r o v i s i o n s r e g a r d i n g such

Cartfon paper

clippings set forth in Directive £4572.*

Cassette type automatic demagnetizer

Clip boards (commercial 9*x15" maximum) non-metal Composftion books - no metal spiral binding

Crayons

Dictionaries

Drafting pens - no sharp points, no internal or refutable ink reservoirs

Drawing paper

Erasers

Headphones received directly from manufacturer or established dealer only (maximum value $50.00) -

Local permit only. (SeeDirective #4"920 for additional stipulations.)

Masking tape - 1" maximum width

Mini-calculator ($30 maximum value)

Musical instrument, with case - (maximum value $200) oneonly - local permit only

Notebook covers

Paper

Pens - ball point or felt tip only - no fluorescent type

Pen holders (diptype)

Pencils

Pencil sharpener (manual)

Radio - no larger that 8*x14" - received directly from manufacturer or established dealer only.

See Directive #4920, "Inmate Radios, Tape Players & Radio/Tape Player Combinations

Radio/Tape Player combination - no larger than 8*x14" - received directly from manufacturer

or established dealer only, no microphone or talk switch recording device. SeeDirective #4920.

RuisrsfiZ'rr^irr.urr., norvmstci)

......

Tape player - no larger than 8">n 4' - received directly from rnar.LicctL'rer or establisnsd dealer

only, no microphone or talk switch recording device. SeeDirective #4920.

Tapes - (cassette) - commercially made and sealed in cellophane or similar material, received

directly from a distributor, retailer, or manufacturer only. Subject to Media Review.

Religious tapes maybe received from a bonafide religious organization. These tapes must be

in clear packaging and be reviewed by the chaplain's office or the Media. Review Committee.

Transparent tape - 1 " maximum width

&

Typewriter Portable - Mechanical or battery-operated with or without memory -

Electric typewriter allowed with local permit only.

Electric adapter or converter allowed with local permit only.

Memory typewriter Memory should be 7000 bytes or less. (This total does not include a

built-in dictionary.) No discs or any other method of transferring information from one unit to

another. No external, memory adapter or other addition to increase memory. No upgrade boards.

The Department assumes no liability for information loss due to searches, power surges or

outages,, etc.

Typewriter w/case - maximum value $200'. NOTE: Typewriters mayonly be received through purchase from the commissary or established

dealer, or-brought with the inmate when transferred from another facility.

Typewriter ribbons - maximum of6

Typewriter correction paper

'

Typewriter print.wheel, one only on an exchange'basis

." ;

TITLE.

PACKAGES AND ARTICLES'SENT OR BROUGHT

H. Miscellaneous

"

DATE 03704/94-"'1

PAGE 8 : Of- 10 PAGES'- . ••

.

a.- All Facilities

'

.

Bedding - No blue, black, orange, gray, or white permitted. Solid color only. Calendar-no larger than 18*x14" when opened Can opener - manual only with short handle Coat hangers - plastic-only Coffee pot - non-electric, 9 cups maximum, local permit only Extension cord - 9' maximum, UL approved, one only Greeting cards wrth envelopes (no electrically operated greeting cards) (Maximum of 50) Hot pot - local permit only Hair dryer/blow dryer - local permit only Key ring Lamp - 20" maximum, UL approved, no hi-intens'rty, maximum value $20, local permit only Lamp shade - non-flammable Magnifying glass - plastic 2"x3" or 3" diameter maximum Matches (book) Needles and thread Pins - safety Pillow cases - no blue, black, gray, white, or orange - solid color only. Posters -18" x 14" maximum - subject to Media Review guidelines Rug - solid color only, 3'x 5' maximum, not braided - one only. Does not include prayer rugSaddle Soap Shoe laces Sponges Sunglasses - standard size - no reflector type - total maximum value $25.00 (2 pair only) Thermos bottle - 2 qt. maximum, plastic Tissues - eyeglass and facial Towels - solid color only - no black, blue, gray, orange, green or white Washcloths - solid color only - no black, blue, gray, orange, green or white Watch/watchband - alarm watch permitted, maximum combined value $50 one only,
no stones W^ch battery --subiecfio air exchange crra cno-fcr-cne basii. Wedding band - maximum value S150.00, no stones, no protrusions Writing Paper, no envelopes

b. Miscellaneous - Female Inmates Only

Jewelry - no stones Bracelets (wrist or ankle)- - limit 2 ,,., Earrings (pierced, or clip) - limit 3 pair Necklaces (18' maximum) - limit Z Rings (other than--wedding.bands) - limit 2, no stones, no protrusions

• Combined, value of all of the above not to exceed $150.00.

Tm£

PACKAGES AND ARTICLES SENT OR BROUGHT

NO. 4911

DATE 0 3 / 0 4 / 9 4

PAGE 9 Of 1 0 PAGES - ; -

I. Recreational Supplies

Baseball caps • no blue, black, gray, or orange - no logos Baseball shoes with rubber cleats Checkerboards and checkers Chess sets Dominos Gloves • baseball, handball Handballs - original sealed containers only Jigsaw puzzles - In original sealed container Playing cards - original pack unopened
Tennis balls - original sealed container only

NOTE: Dice are not permitted.

J. Art and Hobby Supplies
A list of articles approved by an employee designated by the Superintendent must be submitted to the Package Room before they may be received by the inmate.

K. Religious Articies

Purchase, receipt or use of religious articles is subject to the provisions of Directive #4202, "Religious Programs and Practices." No color restrictions apply unless specified. Clothing Items must not exceed $50 in value.

Bible & Koran and other scriptural and devotional books - see Directive #4202. Subject to the restrictions for other printed material covered in Section IV-G of Directive #4911.

Guthra (prayer shawl) - 1 yard square

Islamic Oils - six vials per month, must be approved by Superintendent and come from an

approved source

Khlmar - a cloth hem - female only - 4 feet square (solid black, blue, gray, or orange not permitted)

may be multicolored.

Kufi - a hemispheric head cap that can be made of cloth, knitted or crocheted, multicolored or single

colored. No color prohibitions. The kufi may have a peak on top. It must fit close to the head. No

protrusions (visor, tassels, etc.)

Prayer beads - see Directive #4202

Prayer rug (one only). May be possessed in addition to rug permitted in Section IV-H-a above.

No blue, black, gray, or orange.

Religious medal and chain - $50.00 maximum value, no stones, maximum 2" diameter.

Robes (solid black, blue, gray or orange not permitted)

Tallt {prayer shawl) - 1 yard square

.'., , -

Talit Katan (fringed underwear)

Tefillin (phylacteries)

Yarrnulke - a close-fitting skull cap that can be made of cloth, knitted or crocheted, multicolored or

single colored. There are no color prohibitions.

!>:-,.'
ACniMlMKNT, in;jdu Juno IV, 1975, by find botv/ouu t h e DEPARTMENT.OF CORRECTIONAL SERVICE.'; (through i Lr. D i r e c t o r of M i n i s t e r i a l S e r v i c e s ) , ;nt oyency of the S t a t e of Nnw York, h-aviny i t s p r i n c i p a l o f f i c e l o c a t e d aL Builcliny 'i?., S t a t e .Office Campus, Albnny, Mew. York 12226, h e r e i n a f t e r r e f e r r e d to a s . "CORRECTIONS", and the COUNCIL OF CHIEFS OF TI|E ONONDAGA NATION on b e h a l f of i n m a t e s from' t h e Ononducj.-j, Seneca, T u s c J i o r a , Oneida, Mohawk and Cayuya n a t i o n s j huL-«i.naC t e r r e f e r r e d Lq as "COUMCIL OFC1I1EFS".
p-
WITNIiSSETU: WIlEUiiAS, COnnriCTIOMG i s charged wit)^ the d u t i e s to provide r e l i y i o u s programs for .inmates within i t s i n s t i t u t i o n s ; and WllEUliAS, many inmntcs of COllKECTIONii are n«ti.vc American I n d i a n s v/it!i t h n t c u l t u r e t h e i r " r e l i y i o u s [kre furoncn" ;/^iiritP WHEl'.KAS, COJO)J:CTIOHS does not have the s t a f f t o provide jthe c u l t u r a l development to i t s n a t i v e Am^ri-ran I n d i a n s ; and WHEIUJAS, the Six Notions actiny til rough the CuUNC.lL OF illiit'Jj liave th'. c a p c i b i l i t : J S of providJMy f o r t h e cujtucaJ. [of n a t i v e American Indi«*no.
.« 1>IO\Vr 'i'HEREfGRE, in-cor.^:.iK!riition oi the mutual c, and considerations iu«re:in se'j fortl;, the parties ayrer as toJlcv.'st 1. A liaison person is to be designated by thr* COUNCIL OF ClilLM.S from the Onondnya Nation to work with tluj Director uf Ministerial Services in coordinating the establishment ar.J coordination of the Indian Religious Development Program within the Atlic.1 Auburii and Albion Correct, i.orul Facilities. Such iinison pernoli sliall be approved by CORRECTIONS. The liaison person will be given tho authority by th« COUNCIL OF CHIEFS with the concurrence of tl-e Director of Mini.stori.i.*
Services of CORRECTIONS.
2. The Jinison person will be allowed to visit native: American inmatna oi^ a reyvilar basi:: and will monitor I lie. p.voyr.inu; I
- j
for such inmal.c.rj a\ the l.itcilil.ios.
I
ATTACHMENT F I
i
I
i

-2-

3. TIiu liaison person Wil.l report, in writing, monthly

to the COUNCIL OF CHIEFS and the Director of Ministerial Services

regarding any areas .of problems, areas that need further inter-

pretation and the ovorall status of the program.

•

4. There will be desiynatod for each of the named

correctional facilities at least two members of the nations mentioned herein who will play an active role in the operation of the Religious Development Programs. They will be selected by the Chiefs and this information will be transmitted to the facilities via the Director of Ministerial Services. These individuals will function as instructors within the context of this program and will be permitted to visit the above facilities at times agreeable

to the Director of Ministerial Services. They will secure via the

liaison person, necessary materials for implementing tho procjrnr.uJ.

In addition to the outcide. persons there will be at' least one in-

mate designated as the internal coordinator.

5. There will bo. .three Chiefu from each of the Six H.ilionc

who will be on a, correspondence lii.t and will have tho.se pri vilcitje«:

with all Indian inmates. Their correspondence will bo dealt With

in the snma manner as is designated tor government officials.

Other Chiefs who wish to coriespond will notify the Director of j Ministerial Services via the liaison person; the Director of

Ministerial Services will, in turn, submit tho name to thu appro-

priate Correctional Facility authorizing said correspondence.

6. In addition to the f»abovc-incncioncd Chiefs, there Will '

be three Clan Mothers,, and three Faith Keepers of the Six Nation*]

who Will be on a visiting list and will have the same visiting

i

privileges as those afforded other religious leaders, with ail

•

Ir.Jian ir.i;;;:tc5. Tho Chiefs, Ci.in UoLhors and F.iith K(juJ'cjj:iJ will function as religion.1; advisors and counselors. The names of. the

Eight-con Chiefs, Eighteen Clan Mother.-, and Kightcon Faith Keepers

will be made available to.tho Senior Ch.tpl.-nn and the facility

aiimini.v.Lrcitor:;. In the internet oT ;u]nij nii'trntion of the fai:ilitii«:

COP.Ur.ClTlOWn rer.ervcy tin. Light to limit tin: iiumbur of visitor:;.

-3-

i

I-

7. In order to facilitate the admittance of the represen-

tatives of the; Uix Nations into each correctional facility, the

liaison peryon shall notify CORRb'CTIONS weekly of the names of \

the representatives who will be visiting. A' list of backup

personnel will'also be provided. Each visitor is required to have

proper credentials on his person at the time of his admittance to

the correctional facility. Such credentials shall be issued by

the Director of Ministerial Services.

B. The Director of Ministerial Services shall provide an

orientation.session for each representative and each representative

shall be required to receive such orientation. The orientation

shall acquaint each representative with the statutes, policies,

rules and regulations of CORRECTIONS.

y

9. CORRECTIONS assumes no liability for the safety of the

liaison pelson and backup personnel beyond that provided for other

visitors. CORRECTIONS shall•exercise such supervision over the

as is necessary and appropriate for the r.dfcty and pecurity

[of th.2 institution.

'

. 10. This ACKEEMENT shall begin on June 17, 1975, and chall

continue until July 1, 1976. However, this ACREEMENr may bo ter-

minated by either party upon 30 days' notice.
I
11. Any notice to either party hcreunder must be iii writing,
signed by the party giving it, and shall be served either personally

or by registered mail addressed as follows:

TO: The Council of Chiefs of the Onondny? Nation Ned row, Now York 13120

TO: The Reverend Earl D. Moora

Director of Ministerial Sorvicr.

Building H2

' „

State Campus

Albany, New York 12226

and/or such other addressee as may be designated by cither party

upon wr.itton not.i.cn. Any notice r.hall not be effective until

received by the addressee.

-- .

-4-

IN WITNESS WIIE11E0F, t h e p a r t i e s h e r e t o have nxecuted tliic •

AGREEMENT t h e dny and year f i r s t w r i t t e n above.

COUNCIL OF CHIEFS OF THE OUONDfsGft NATION

DEPARTMENT OF

JcnjiTinin Ward
Commissioner

Earl U. Moore Director of Ministerial
Services
\

ji.

'<•/

-..•iris eiyht religious festivals per year, a l l oT which are associated with the n:i .*nd the cyclo of nature. They are (with npproxiniatfi periods within i;h.ich [hoy

•• i
Ihiiiitlcr
'1 ;.nl. jii|j^ ILr.iwbi.jry Jri.LTi Corn larvest (breud Uancci)

-'.End,of .K-Jiiuu.'y (2 .lays) Litu IVjtruiry t o !n.id-M.:i March /ipi-.il I.ntc /iprii t-r. o.:i\:y \i::y

p

y

Lat.j diwubsr t j .••arly K'ovc-nberi

> .
l •

 
 UNITED STATES DISTRICT COURT WESTERN DISTRICT OF NEW YORK

KIRK [HUGHES, et al. Plaintiffs,
vs.
GLENN GOORD, et a!., Defendants.

RULE 41 VOLUNTARY STIPULATION OF DISMISSAL SUBJECT TO CONDITIONS 97-CV-643KCS)

The parties, by their attorneys, hereby stipulate and agree as follows: WHEREAS, Plaintiffs filed this action on September 29, 1997, alleging the systeijnatic deprivation of religious rights of traditional Native American prisoners, and discrimination at facilities of the New York State Department of Correctional Services (hereinafter "DOCS");
i
| WHEREAS, Plaintiffs further alleged that Defendants, acting under color of state law, Have violated Plaintiffs' rights by failing to provide Native American prisoners with the op| portunity to practice their traditional Native American religion;
! WHEREAS, Plaintiffs sought injunctive relief to enjoin Defendants from violating Plaintiffs' right to the free exercise of religion and equal protection of law; and,
WHEREAS, the Defendants have denied that they have violated Plaintiffs' constitutional rights; and,

Hughes v. Goord PC-NY-040 001

\^HEREAS, counsel for the plaintiffs and defendants, without conceding any infirmity in their claims or defenses, have subsequently engaged in negotiations to
j
resolve the Plaintiffs' claims; ijr IS HEREBY STIPULATED AND AGREED by and between the attorneys for the
parties ^s follows: 1. DEFINITIONS A. "Native American" shall mean any person who is a descendant of the original inhabitants of the American continents as demonstrated by any of the following: (1) birth certificate; (2) a listing on the tribal registry; (3) a letter of verification from a
j tribal qIhief, clan mother or other bona fide Native American authority, (4)
i
documentation from the U.S. Bureau of Indian Affairs or the New York State Department of Education or other reliable governmental records; or (5) subject to the approval of the Division of Ministerial Services and Office of Counsel within the Department of Correctional Services (hereinafter DOCS), any other appropriate documejntation. B. "Traditional Native American" shall mean a person who follows the traditional religion or "way of life" of their Native American nation. C. "LjDnghouse" shall mean the traditional religion or "way of life" of the Haudenpsaunee, who are the Six Nations comprising the Iroquois Confederacy and are made ub of the Onondaga, Seneca, Tuscarora, Oneida, Mohawk and Cayuga Nations.

II. Native American Chaplain or Spiritual Leader

A. Irfi order to facilitate Native American spiritual practices in DOCS' facilities,
i
Defendants agree that DOCS will create a half-time Native American chaplain position
i
and continue to use its best efforts to hire a person for such position. The Native

American spiritual leader who is hired will be recognized by Native American tribal

authorities of the Longhouse as possessing the requisite expertise.
i
Until such time as a Native American Chaplain is hired, and during any times

that tfne position may become vacant, determinations concerning Native American

religious practices shall be made in consultation with approved volunteers or other

recoghized authorities on Native American Spirituality.

B. Thje Native American Chaplain will provide spiritual counseling and guidance'to the

traditijonal Native American population, will advise DOCS personnel on questions

regarding Native American Spirituality and will coordinate religious observance by

traditijonal Native Americans.
•
C. Trie Native American Chaplain will seek advice and counsel from the spiritual
i
leadeifs of Native American traditions other than the Longhouse when necessary to

servejthe needs of such other traditional Native Americans.

III. General Principles

A. Native Americans will be permitted to practice their religion, as set forth herein, in

j

any DOCS facility. Native Americans will be permitted to participate in traditional

I

•

•

Nativ$ American ceremonies subject to the criteria set forth in Section V herein.

B. Native Americans will be permitted to meet for religious purposes at least once per week Provided that in the absence of an approved volunteer, an approved inmate facilitajtor is present. Native Americans may request permission to meet an additional time p4r week when the purpose for the additional meeting is related to study, practice of religion or traditional language, or planning of future ceremonies. The Superintendent, after consultation with the Director of Ministerial and Family Services, shall rrjake a determination on such request within 14 days of the request.
JThe reason(s) justifying any refusal to grant such permission shall be stated in writing!. An inmate or group wishing to appeal such a denial may file a grievance with the facjility grievance program. C. Natiye American inmates shall have the right to possess Native American religious ;• items s|ubject to the criteria set forth in Section IV. D. Subjject to the criteria set forth in Section V, traditional Native Americans at every general confinement facility will be permitted to observe the sacred seasonal ceremonies of the Longhouse religion which include: Mid-Winter, Maple Syrup, Corn Planting, Strawberry, Bean Harvest, Green Corn Festival, Harvest Festival and Ail-Night ceremcjny. The Ail-Night ceremony will be celebrated during the same general time of the day that the other permitted seasonal ceremony days are celebrated. E. The parties believe that the Longhouse religion of the Six Nations constitutes the traditional religion for the greatest number of Native Americans incarcerated in DOCS
j
facilities. For that reason, reference is made to the Longhouse religion throughout this

Stipulation. DOCS shall make reasonable efforts to accommodate the religious needs of Native Americans who are not members of the Longhouse. F. (dative Americans will be permitted to request, from their assigned corrections counselor, consideration for transfer, when eligible, to another facility. The practice of religion will not be grounds for denying a transfer request. G. Nothing in this stipulation shall be construed as requiring provision of sweat lodgjes. Notwithstanding the foregoing, consistent with its rules and regulations governing family-tie furloughs, DOCS will permit Native American inmates who are otherwise eligible for temporary release to apply for a family-tie furlough for the primary purpose of allowing the inmate to participate in a sweat lodge ceremony during his or her absence from the facility. IV. Approved Native American Items A. ppon the issuance of a permit by the facility chaplain, Native American inmates, other than those confined in disciplinary or administrative segregation Special Housing Units, may possess any items listed in Section in IV-G below (hereinafter "Religious Items") within any DOCS correctional facility. Upon the issuance of a permit, Native
j
American inmates confined in disciplinary or administrative segregation Special Housing Units may possess: one (1) unsealed medicine bag; one (1) rosette; one (1) small pouch of sacred herbs; and on request, one (1) facility issued, disposable ashtray for smudging, to be replaced on a one for one basis. Any depriviation of approved Native American Religious Items for Native American inmates confined in disciplinary

or administrative segregation Special Housing Units shall be subject to the provisions
i
of DOCS Directive 4933. Nothing in this paragraph shall be construed to curtail the Religious Items that Native American inmates are otherwise permitted to posses pursuant to DOCS Directive 4933 when confined in disciplinary or administrative segregation Special Housing Units. B. Ijf the facility chaplain is uncertain as to the claimed religious significance of any Relicjjious Items listed below, he or she shall consult with the Native American chaplain. C. fach Religious Item shall be examined by the Deputy Superintendent of Security or hjs designee to determine whether a permit to possess such Religious Item will be issued to a Native American inmate. D. ilf the Deputy Superintendent of Security, or his designee, determines that a Religious Item exceeds the permitted size or $50.00 in value, is of an impermissible
i
design, can be used as a weapon, or otherwise constitutes a threat to the safety and security of the facility, the permit shall be denied. E. In the event a Native American inmate is denied permission to possess a Religious Iterr}, the inmate shall be informed in writing of the reason for the denial. F. Irji the event a Native American inmate who has been granted such a permit is transferred, the permit will be valid at any other facility, unless there exist overriding safety and security concerns. No permit shall be invalidated without consulting the Director of Ministerial and Family Services. The inmate shall be informed in writing of the reason for the decision to invalidate a permit.

G. ubject to the provisions set forth above, individual Native Americans may
personally possess the following Religious Items:
1) An unsealed medicine bag, no greater than 2" x 3", with drawstring or leather cord closure, worn under the clothing and completely concealed; may contain natural objects such as pebbles, small animal bones and herbs (as defined in paragraph 2 below) of a small quantity to permit visual inspection of all contents of the bag.
When a correction officer deems it necessary to inspect the contents of a medicine bag, it shall be held open by the inmate, if present, for visual inspection by the correction officer.
If the inmate is not present or if special security concerns exist -- such as the Native American inmate refuses to open the medicine bag; the Native American inmate threatens, assaults or attempts to assault staff or other inmates; or the inmate or the medicine bag poses a threat to the safety and security of the facility —, then the medicine bag may be held open by the chaplain.
If the chaplain is not available to open the bag for visual inspection by the correction officer, the bag shall be secured by the correction officer in an area designated by the Deputy Superintendent until the chaplain is present.
If exigent circumstances exist, however, the superintendent may authorize the search of a bag without a chaplain, provided a lieutenant or higher ranking officer is present when the bag is opened for visual inspection.
Nothing herein shall preclude a correction officer or other security staff from scanning the bag at any time with a metal or other electronic detector.
Pursuant to DOCS' Directive 4938, nothing herein shall preclude the testing for illegal substances if contraband is suspected, provided that a security supervisor of the rank of sergeant or higher approves such testing.
2) Sacred herbs, consisting of sweet grass, sage, cedar, sacred tobacco, kinnick-kinnick from an approved commercial vendor, and calamus root can be possessed by Native American inmates on their person or in their housing location in such limited quantities as are necessary to accommodate religious practices as determined by the facility chaplain. Possession of these herbs by non-Native American inmates is considered
7

contraband. These herbs, with the exception of kinnick-kinnick, may not generally be available from a commercial vendor and may instead be available only from the Native American tribe or clan. Obtaining such herbs may only be accomplished by the Native American chaplain or the facility chaplain at the request of the Native American group or individual at the expense of such group or individual. Kinnick-kinnick may only be provided from an approved commercial vendor at the expense of such group or individual and may not be obtained from any other source. Any of the six herbs identified herein are subject to processing and inspecting for contraband and testing for illegal substances; thereafter, such herbs shall be stored by the supervising chaplain and dispensed to Native Americans upon request as previously described.
3) Rosettes (beaded pendants), attached to a leather or fabric cord, and worn under the clothing and completely concealed. Rosettes will be approved pursuant to guidelines specified in DOCS Directive #4202, "Religious Programs and Practices," Sections (N)(1), (N)(2)(a) and
4) A personal smoking pipe, not to exceed six inches in length.
5) A small ashtray or shell for smudging, less than three (3) inches in diameter, can be possessed in living quarters only. To be used for ritualistic burning of a small amount of herbs or tobacco to create smoke for ceremonial cleansing ("Smudging"). Smudging must be done in conformance with facility smoking regulations and double-cell housing policies where applicable. Except in the case of designated religious study group meetings or ceremonial festivals, all smudging is to be done by individual Native Americans within their living quarters. In dormitorystyle housing units, smudging may only be done within the inmate's cube.
6) At such time as DOCS eliminates all indoor smoking from its correctional facilities, smudging and the use of a personal pipe for prayer indoors by Native American inmates shall be permitted as follows:
(a) only non-tobacco substances consisting of either sweet grass, sage, cedar, kinnick-kinnick obtained from an approved commercial vendor, or calamus root may be used for smudging.
8

(b) only non-tobacco substances consisting of either sweet grass or kinnick-kinnick from an approved commercial vendor may be used for smoking in a personal pipe for prayer.
(c) smudging and smoking is to be done by individual Native Americans in one of the following locations to be designated by each facility: within their living quarters or within the inmate's cube, in dormitory housing style units or, in another designated location. Individual smudging and smoking will be permitted two times per day for fifteen minutes each time. One fifteen minute period will occur before the morning meal and the second fifteen minute period will occur in the evening, the exact times to be determined by the Superintendent of the facility in which the inmate is housed. With respect to smudging and smoking, the quantity of herbs that may be burned at any one time, shall be as follows:
(i) for a shell, a small amount, approximately one tablespoon;
(ii) for a pipe, the pipe bowl full;
(iii) for a sweet grass braid, approximately one inch.
7) Other religious artifacts or symbols such as clan or nature symbols; or representations, or additional items needed for ceremonies, including items of ceremonial dress, as approved by the Native American or facility chaplain.
Nothing herein shall be deemed to prohibit the possession of any other religious
i
itemithat is not considered contraband by the Deputy Superintendent for Security.
i
H. All inspections and approvals or denials shall be made within ten business days of
request or receipt of the Religious Item at the facility.
I. Aj\ inspections of the Religious Items shall be conducted in such a manner as to
respect the sacred nature of the Religious Item.
J. With respect to a decision to deny permission to possess a Religious item or permit
or a decision to invalidate an existing permit, a Native American may seek assistance

in resolving the complaint through the facility Chaplain, the Native American Chaplain,
or existing channels, informal or formal, prior to submitting a grievance. If the problem
is not resolved to the inmate's satisfaction, then the inmate may file a grievance with
the facility grievance program. The item in question will remain secured by the office
of t h i Deputy Superintendent of Security until the inmate receives notice of the final
grievance decision, provided a grievance is filed within 14 days of the inmate's receipt
of notice of the denial.
K. In; addition to the individual Religious Items listed above, Native American groups
i
in gerjieral population may possess the following as community items, to be kept in a
securb locker, subject to the written approval of the Deputy Superintendent for
•• i
Security and the supervising chaplain. Inspection of Native American group lockers and
the items they contain shall be subject to the provisions of DOCS' Directive 4910,
Section V(D) as in effect at the date of the signing of the agreement.
1. Audio tape player with no recording capabilities.
2. Native American religious and language tapes. Such tapes may be either commercial or non-commercial, and may be received from either a tribal chief, clan mother or other bonafide source. All tapes must be reviewed in their entirety by the supervising chaplain prior to issuance.
3. Ceremonial ribbon shirts; multi-colors are permitted, however a significant portion of the shirt material cannot consist of any solid color not
• authorized.
4. Drums.
5. Rattles.
6. Large ceremonial pipe for smoking.
10

y. Sacred herbs and tobacco (pursuant to the same rules for individual use). Dance bells. Feather fans.
flO. Native American religious and language literature. J11. Blanket of multi-color design, so long as a significant portion of the
blanket is not of a solid color not authorized.
i
12. Cooking utensils ( i.e., hot plates, electric fry pans, cooking pots and pans, coffee pot) for ceremonial use only.
|13. Other items necessary for group ritual or study, approved by the Native American or facility chaplain. No food items are to be stored in the locker, except that up to four
unopeified cans of corn and/or beans previously purchased by the Native American inmat^ group for use in a ceremony but which were not used may be stored in the locker|for use in future ceremonies.
The above listed items can be used by Native American Groups participating in any of the eight approved Native American religious ceremonies.
The above items, except K-1 2, may be used at the weekly group meeting referred to in the first sentence in Section III(B.). In the event that a second weekly
i
meeting is approved pursuant to the second sentence of Section III(B.), the above jtemsj except K-12, may also be used at that meeting unless the Deputy Superintendent for Security or the Deputy Superintendent for Programs determines that abcess to one or more of the items may be disruptive or pose a threat to the
11

safety or security of the facility. Non-contraband items are also permitted at the weekly group meetings, provided that they relate to the study, practice of religion or traditional language, or planning of future ceremonies.
At such time as DOCS eliminates all indoor smoking from its correctional facilities, smudging and smoking, at weekly group meetings, shall be limited to a cumijilative total of fifteen minutes of approved non-tobacco substances. L. Alt the request of a Native American group, the facility coordinating chaplain shall maintain, during the three-year period of the Stipulation, the administrative records of the group, provided that the volume of such records does not exceed the equivalent of orje-half (Vi) of a file cabinet drawer. V. Native American Ceremonies A. Ifi General - DOCS recognizes that the religious celebrations of the Longhouse religion are not celebrated on specific liturgical dates but instead are celebrated as the cycle of nature dictates. DOCS also recognizes that Native Americans believe that familjy (as defined in V (D.) below) is important to the religious celebration and for that reason it does not separate religiously from family celebrations and allows the eight
i
sacred seasonal holy days of the Longhouse to be celebrated in a unique way as described herein. B. D|ate and Time of Celebration - The day for each celebration shall be selected after consultation between the Native American group at the facility and appropriate facility
12

staff. Each ceremony should begin at approximately 8:30 AM and conclude after the

celebration of a community meal in the early afternoon at approximately 2:3Q PM.

C. Attendance (Inmates) - Inmates whose ethnicity and/or religion is listed as Native

Amejrican and are approved by the coordinating chaplain, in consultation with the
j
Native American community and/or its advisor or chaplain, shall be permitted to attend
j
a ceijemony. Determinations made by the coordinating chaplain shall take precedence. I
D. 4ttendance (Outside Guests) - Native American inmates at the facility, as well as

the Native American community, may propose outside Native Americans to be invited

guesjts, subject to the approval of the facility administration. Native American invited

guesjts will be permitted to bring to and later remove from the facility any of the sacred

itemB listed in Section IV above. Native American invited guests will be processed as

"farrjily members" in accordance with Department Directive 4022. The names and

soci$l security numbers (if available) of invited guests will be provided to the facility

at lebst seventy-two hours prior to a scheduled celebration.

E. Lbcation - The area of the facility selected for the ceremony must contain sufficient

spade for religious dancing, the preparation of food, and dining. Where feasible, the

area should also allow for privacy of the group in the celebration of their rites,

provided, however, that nothing herein shall be construed to limit the ability of DOCS'

security personnel to monitor the ceremony.

i

•

•

•

F. Rood - DOCS recognizes that Native Americans believe that the community meal

is central to the celebration since it represents the sharing of the blessings. The food

13

for the meal will be provided by the inmates as well as the guests. Inmates will be I

allowjed to purchase food and drink from the commissary or approved outside vendor

i

,

.

•

and b| ring them to the ceremony. Outside guests will be permitted to bring in prepared

i

food$, which will be processed in the facility package room and transported to the

cereqnony site. During the ceremony the group will be allowed access to their hot

platejs, electric frying pans, coffee pots, and pots and pans for use in the preparation

as wjell as re-heating of foods. After the ceremony, outside guests will be permitted

to rehnove food items, subject to inspection.

VI. Notification and Training of Staff A. A copy of this Stipulation and any other directives or notices pertaining to Native
Amejrican religious practices shall be provided to all Superintendents, ^Deputy

Superintendents, counselors, chaplains, and Inmate Grievance Program Supervisors.

B. lip consultation with the Native American Chaplain, the Director of Ministerial and

Family Services will prepare literature on Native American spirituality to distribute to all chaplains to assist them in serving the Native American population. C. 4s one component of training, within 30 days of the signing of the Stipulation, a

sumjmary of the key provisions relevant to security operation's will be prepared by the
i
Deputy Commissioner for Correctional Facilities and read at line-up. Copies of the
i
summary will be posted on employee bulletin boards at each facility.

D. pOCS will also undertake training to educate appropriate facility personnel on

Native American religious items as defined and identified in section 1V(G)(1)(3)(4)(5)

14

anc IV(K); on the six herbs identified in section IV(G)(2); and on Native American religious practices, as set forth in this Stipulation.

E. |DOCS agrees to amend the following four directives as follows:

(1) Number 4933, to include personally owned items that Native Americans

may possess in SHU;

(2) Number 4202, to reflect the scheduling of Native American ceremonies and

the items that Native Americans may possess at group meetings;

(3) Number 4910, to reflect the Native American locker as a religious area;

(4) Number 4911, to list Native American items that may be processed through

the package room.
i
Notjhing herein shall be construed to incorporate by reference DOCS directives rnto this
i
Stimulation.
I
VII. Observation Period
i
A. There shall be an observation period of two (2) years from the date the Stipulation

is s gned by the parties (hereinafter the "Observation Period"). B. During the Observation Period, defendants will provide plaintiffs' counsel at

quarterly intervals, the following records:

I

1. All written grievances concerning issues relating to Native

I

American religion;

|

2. All new or revised DOCS forms and statements of policy

i

regarding compliance with the Stipulation.

15

3. A list of inmates received by DOCS during the quarter who have identified themselves as Native American by ethnicity or religion and the facility at which they are confined.

C. [{During the Observation Period, plaintiffs' counsel may request at quarterly

internals, a list of ail inmates who identify themselves as Native American by ethnicity
i
or religion and the facility at which they are confined. Plaintiffs' counsel may not
•
distribute inmate names, inmate DIN numbers, and inmate location to other inmates.
VIII. .Dispute Resolution

A. If! any Native American inmate who practices traditional Native American religion

belie\ es that the terms of this Stipulation have not been followed with regard to his or hef own circumstances, he or she may attempt to resolve the problem through the

facility Chaplain, the Native American Chaplain, or other existing channels, forn-tal or

•informal prior to submitting a grievance. If the problem is not resolved to his or her

satisiaction, he or she may file a grievance with the facility grievance program.
•
B. DUring the Observation Period, if plaintiffs' counsel believes that the terms of the

Stipulation are not being followed by defendants, plaintiffs' counsel may request a

meet ng with counsel for defendants to discuss and attempt to resolve the dispute(s).

Counsel for both parties, including counsel for DOCS, shall attend the meeting at a

i

. -

mutujally agreeable place and time. Defendants' counsel agree to meet with plaintiffs'

counjsel as many as, but not exceeding, three (3) times peryear during the Observation

Periob. Nothing said by either party or counsel for either party during those meetings

16

may be used by the opposing party in any subsequent litigation in this or any other

lawsyit.

C. If, after sixty (60) days following any meeting held pursuant to Section VIII(B.)

abovje, plaintiffs' counsel believes that defendants are not in "substantial compliance"

withjthe terms of this Stipulation (as defined herein), plaintiffs' counsel may request

a conference with all parties before the Honorable Charles J. Siragusa, United States

Distrjict Court, concerning the filing of a motion to reinstate this lawsuit, as provided

in Section IX(B.) below. Plaintiffs' counsel may request such a conference no earlier

thani five (5) months from the date this Stipulation is signed by the parties.

Defendants shall be considered to be in "substantial compliance" with the terms of this

Stipulation unless defendants' failures or omissions to meet the terms f)f the

Stipulation were not minimal or isolated but were substantially and sufficiently

eqijjent and widespread as to be systemic.
•
IX. (plass Action Certification, Dismissal And Reinstatement Of The Complaint
A. Ippon the signing of this Stipulation, the plaintiffs will move the Court to certify a

clasp of all Native American inmates. Defendants will stipulate to such a class as

defined above. Neither party shall move to certify a subclass, Should the Court deny

the motion, the Stipulation shall become null and void. Should the Court grant the

i

-

.

motion, the parties will jointly move the Court for entry of an order dismissing this

action, pursuant to Fed. R. Civ. P. 23(e) and 41(a)(2), and will attach a copy of this

Stipulation to such motion. This dismissal shall be without prejudice to plaintiffs' right

17

I
to rrjove to reinstate the action, pursuant to Section IX(B.) below, within three (3)
i
years from the date the Stipulation is signed. Should the Court deny the motion for dismissal, the Stipulation shall become null and void. B. Ffollowing any conference before Judge Siragusa as set forth in Section VIII(C.) abovje, plaintiffs' counsel may file a motion with the Court for an order reinstating this lawsjuit. Plaintiffs may not file such a motion without first requesting a pre-motion conference before Judge Siragusa as provided in Section above VIII(C), and, if granted by tlfie Court, participating in the conference. The case shall not be reinstated unless the Court finds by clear and convincing evidence that defendants' failures or omissions
j-
to ifieet the terms of the Stipulation were not minimal or isolated but were substantially and sufficiently frequent and widespread as to be systemic. A
i
X. General Provisions A. Jhe terms of this Stipulation shall remain in effect for a period of three (3) years frorrt the date that the Stipulation is signed by the parties and shall be binding on the part es, their successors, agents, employees and all persons acting in concert with
j
therf). After three years, the terms of this Stipulation shall automatically cease to bind
the parties, as well as their successors, agents, employees, assigns and those acting
in concert with them.
B. If any provision of this Stipulation is declared invalid, illegal or unenforceable in any
respect, the remaining provisions shall remain in full force and effect, unaffected or
impaired. 18

C. This Stipulation shall resolve all claims or potential claims for injunctive relief identified in the Complaint dated September 26, 1 997 regarding the religious rights of Native Americans inmates. Its terms are not intended to restrict, modify or enhance, in an|y way, any claim(s) that an individual Native American inmate may have for damages for acts or omissions that are alleged to have occurred before, on or after the daterthis Stipulation is signed. Any such claims, however, must be commenced by a sepaj-ate lawsuit. This Stipulation is also not intended to restrict any defenses to any such'future claims that may be available to defendants, or the legal requirements, procedures, or standards to be employed in determining any such claims. D. Defendants agree to reimburse plaintiffs1 counsel $50,000 in attorney's fees, court cost$, and disbursements. Plaintiffs agree to waive any rights or claims to attorney's fees,; court costs or disbursements incurred during the two year Observation Period. In th^ event that plaintiffs' counsel successfully moves to reinstate this lawsuit as provided in Section IX(B.) above, plaintiffs' counsel is not precluded from making a motion to the Court, consistent with and subject to all applicable law, for attorney's fees,j court costs and disbursements directly and reasonably incurred in relation to their motion to reinstate the lawsuit, as well as for attorney's fees, court costs and disbursements directly and reasonably incurred in relation to the successful prosecution of the lawsuit. Nothing in this Agreement shall be construed to either provide for or preclude plaintiffs' counsel from recovering attorney's fees, court costs or
19

disbursements in the event that a state court action is brought to enforce a-term or condition of this Agreement. E. "(his Stipulation does not constitute (a) an admission by any defendant of any violation of law or wrongdoing, (b) an admission by any defendant that any standard policjy, practice or procedure addressed in this action violated or failed to comply with either the language or the intent of any applicable law, rule or regulation, or (c) an
i
admission by any defendant that its position in this litigation was not substantially justified. F. As this Stipulation was entered into based upon the unique religious needs of Native American inmates, this Stipulation shall not in any way be construed as
i
precedent for any other present or future inmate religious groups and organizations.
20

XI. fjlotlce
i
Copies of this Stipulation shall be made available upon request in each facility law
library.
i
Datep: Rochester, New York July _3_, 1999

Fortbe Plaintiffs:

Sarah Betsy Fuller, Esq. Public Interest Law Firm II Syracuse University, Office of Clinical Programs P.O. Box 6543 Syracuse, New York 13217-6543
V
Tom Terrizzi, Esq. ^ $ Prisoners' Legal Services of New York 11 8 Prospect Street Suite 307 Ithaca, New York 14850 ,

For tjhe Defendants:

id. Eliot Spitzer, New York State Attorney General By: Marian W. Payson, Esq. Assistant Attorney General In-Charge New York State Attorney General's Office 144 Exchange Boulevard Rochester, New York 14614

21

Index

Topic \
I. DefMtions "Native American Definition" (A) "Traditional Native American" (B) "Longhouse" Ceremonies (C) II. Native American Chaplain or Spiritual Leader (A-C) HI. General Principles Religion Practices (A) Meetings (B-C) Observance of Sacred Ceremonies (D) Religious Needs of Non-Longhouse (E) Transfer (F) Sweat Lodges (G) IV. Approved Native American Items (A) Facility Chaplain consult with Native American Chaplain (B) Issuance of Permits for Religious Items (C) Denial of Permits for Religious Items (D) Denials Informed by Writing (E) Invalidation Upon Transfer (F) Possess on of Religious Items (G) Unsealed Medicine Bag (G-l) Sacred Herbs (G-2) Rosette i (G-3) Pipe(G 4) Ashtray or Shell for Smudging (G-5) Effects f Indoor Smoking (G-6) Non-pn hibit Herbs Smudging (G-6a) Non-prc Mbit Herbs for Smoking (G-6b) Locations for Smudging and Smoking (G-6c) Other Rjligious Artifacts/Symbols (G-7) All Inspsctions and Approvals and Denials- (H) All Inspxtions of the Religious Items (I) Procedure for Grieving Denial of Possession a Permit (J) Possessions of Native American Groups in General Population (K) V. Native'American Ceremonies In Genejal (V-A) Date and Time of Celebration (V-B) Attendance (Inmates) (V-C) Attendance (Outside Guests) (V-D) Location (V-E) Food (VpF)

Page(s)
2 2 2 2 3 3-4 3 4 4 4-5 5 5 5-6 6 6 6 6 6 7 7 7-8 8 8 8 8 8 9 9 9 9 9 9-10 10-11 12 12 12-13 13
13 13 13-14

VI. 1 Notification and Training of Staff ' VII. Observation Period
Dispute Resolution
IX. Class Action Certification, Dismissal and Reinstatement of the Complaint
X. General Provisions XI. Notice

14-15 15-16 16-17 17-18
18-20 21

 
 CM/ECF LIVE - U.S. District Court:nywd - Docket Report

Page 1 of 11

CLOSED_2000
U.S. DISTRICT COURT WESTERN DISTRICT OF NEW YORK [LIVE] (Rochester)
CIVIL DOCKET FOR CASE #: 6:97-cv-06431-CJS

Hughes, et al v. Goord, et al Assigned to: Hon. Charles J. Siragusa Demand: $0 Cause: 42:1983 Prisoner Civil Rights
Plaintiff Kirk Hughes

Date Filed: 09/29/1997 Jury Demand: Defendant Nature of Suit: 550 Prisoner: Civil Rights Jurisdiction: Federal Question
represented by David C. Leven Prisoners' Legal Services 118 Prospect Street Ithaca, NY 14850 607-273-2283 TERMINATED: 09/05/2000 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Joseph Gerken 210 Franklin St. Suite 500 Buffalo, NY 14202 716-854-5161 TERMINATED: 09/14/1998 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Maria E. Pagano Prisoners Legal Services of New York 107 Delaware Ave Suite 1360 Buffalo, NY 14202 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Sarah Betsy Fuller Prisoners' Legal Services of New York Babcock Hall 118 Prospect Street Suite 307 Ithaca, NY 14850 (607) 273-2283 TERMINATED: 09/14/1998 LEAD ATTORNEY ATTORNEY TO BE NOTICED

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Plaintiff Dennis . Chrysler

Sarah Betsy Fuller Office of Clinical Programs Syracuse University College of Law P.O. Box 6543 Syracuse, NY 13217-6543 (315) 443-4582 TERMINATED: 08/08/2000 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Thomas D. Terrizzi Prisoners' Legal Services of New York 114 Prospect Street Ithaca, NY 14850 607-273-2283 Fax: 607--272-9122 Email: tterrizzi@plsny.org TERMINATED: 09/05/2000 LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by David C. Leven (See above for address) TERMINATED: 09/05/2000 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Joseph Gerken (See above for address) TERMINATED: 09/14/1998 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Maria E. Pagano (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Sarah Betsy Fuller (See above for address) TERMINATED: 09/14/1998 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Sarah Betsy Fuller (See above for address) TERMINATED: 08/08/2000 LEAD ATTORNEY

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Plaintiff Steve Jocko
Plaintiff Wendell Gloskey

ATTORNEY TO BE NOTICED
Thomas D. Terrizzi (See above for address) TERMINATED: 09/05/2000 LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by David C. Leven (See above for address) TERMINATED: 09/05/2000 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Joseph Gerken (See above for address) TERMINATED: 09/14/1998 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Maria E. Pagano (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Sarah Betsy Fuller (See above for address) TERMINATED: 09/14/1998 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Sarah Betsy Fuller (See above for address) TERMINATED: 08/08/2000 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Thomas D. Terrizzi (See above for address) TERMINATED: 09/05/2000 LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by David C. Leven (See above for address) TERMINATED: 09/05/2000 LEAD ATTORNEY ATTORNEY TO BE NOTICED

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Plaintiff Charles Webster

Joseph Gerken (See above for address) TERMINATED: 09/14/1998 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Maria E. Pagano (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Sarah Betsy Fuller (See above for address) TERMINATED: 09/14/1998 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Sarah Betsy Fuller (See above for address) TERMINATED: 08/08/2000 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Thomas D. Terrizzi (See above for address) TERMINATED: 09/05/2000 LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by David C. Leven (See above for address) TERMINATED: 09/05/2000 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Joseph Gerken (See above for address) TERMINATED: 09/14/1998 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Maria E. Pagano (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Sarah Betsy Fuller (See above for address)

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Plaintiff
Scott Mt. Pleasant on behalf of themselves and all others similarly situated

TERMINATED: 09/14/1998 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Sarah Betsy Fuller (See above for address) TERMINATED: 08/08/2000 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Thomas D. Terrizzi (See above for address) TERMINATED: 09/05/2000 LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by David C. Leven (See above for address) TERMINATED: 09/05/2000 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Joseph Gerken (See above for address) TERMINATED: 09/14/1998 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Maria E. Pagano (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Sarah Betsy Fuller (See above for address) TERMINATED: 09/14/1998 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Sarah Betsy Fuller (See above for address) TERMINATED: 08/08/2000 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Thomas D. Terrizzi (See above for address) TERMINATED: 09/05/2000 LEAD ATTORNEY

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V. Defendant Glenn . Goord Commissioner of the New York State Department of Correctional Services
Defendant Raymond Broadus Assistant Commissioner of the New York State Department of Correctional Services
Defendant Jimmie Harris Director of Ministerial Services

ATTORNEY TO BE NOTICED
represented by Emil J. Bove, Jr. Office of New York State Attorney General 144 Exchange Boulevard Rochester, NY 14614 585-327-3222 Fax: 585-546-7514 Email: emil.bove@oag.state.ny.us LEAD ATTORNEY ATTORNEY TO BE NOTICED
Mary H. Doyle New York State Attorney General's Office Department of Law 144 Exchange Boulevard Rochester, NY 14614 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Thomas D. Terrizzi (See above for address) TERMINATED: 08/08/2000 LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by Emil J. Bove, Jr. (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Mary H. Doyle (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by Emil J. Bove, Jr. (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Mary H. Doyle

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Defendant Supt. Joseph McCoy Cayuga Correctional Facility
Defendant Sally . Johnson Superintendent of Orleans Correctional Facility
Defendant Melvin Hollins Superintendent of Oneida Correctional Facility
Defendant Walter Kelly Superintendent of Attica Correctional Facility
Defendant David L. Miller

(See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by Emil J. Bove, Jr. (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Mary H. Doyle (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by Emil J. Bove, Jr. (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Mary H. Doyle (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by Emil J. Bove, Jr. (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Mary H. Doyle (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by Emil J. Bove, Jr. (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Mary H. Doyle (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by Emil J. Bove, Jr.

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Superintendent of the Eastern Correctional Facility

(See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Mary H. Doyle (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Date Filed 09/29/1997 09/29/1997 11/14/1997
11/14/1997 12/17/1997 12/17/1997 01/29/1998
09/10/1998 09/14/1998

#

Docket Text

1 COMPLAINT filed; FILING FEE $ 150.00 RECEIPT # 57079 (CM) (Entered: 10/01/1997)

SUMMONS(ES) issued for Glenn . Goord, Raymond Broadus, Jimmie Harris, Joseph McCoy, Sally . Johnson, Melvin Hollins, Walter Kelly, David L. Miller (CM) (Entered: 10/01/1997)

2 STIPULATION and ORDER amending paragraphs 10 and 70 in the complaint. Defendants' answer to the complaint may be filed within 20 days of the completion of service of process on all of the defendants. signed by USDJ Michael A. Telesca . Notice and copy of order sent to Mary H. Doyle, Joseph Gerken, David C. Leven, Sarah Betsy Fuller . (CM) (Entered: 11/17/1997)

3 NOTICE by Kirk Hughes, Dennis . Chrysler, Steve Jocko, Wendell Gloskey, Charles Webster, Scott Mt. Pleasant to take deposition of Edward Dann, et al (CM) (Entered: 11/18/1997)

4 ORDER transferring the case to Judge Siragusa. ( signed by USDJ Michael A. Telesca ) Notice and copy of order sent to Mary H. Doyle, Joseph Gerken, David C. Leven, Sarah Betsy Fuller (CM) (Entered: 12/18/1997)

CASE reassigned to USDJ Charles J. Siragusa (CM) (Entered: 12/18/1997)

5 STIPULATION and ORDER, set Answer deadline to 3/18/98 for David L. Miller, for Walter Kelly, for Melvin Hollins, for Sally . Johnson, for Joseph McCoy, for Jimmie Harris, for Raymond Broadus, for Glenn . Goord. Defendants to respond to plaintiffs' first interrogatories and request for documents by 4/1/98. signed by USDJ Charles J. Siragusa . Notice and copy of order sent to Mary H. Doyle, Joseph Gerken, David C. Leven, Sarah Betsy Fuller . (CM) (Entered: 01/30/1998)

6 ORDER, set Status Report deadline to 10/16/98 ( signed by USDJ Charles J. Siragusa ) Notice and copy of order sent to Mary H. Doyle, Joseph Gerken, David C. Leven, Sarah Betsy Fuller (CM) (Entered: 09/10/1998)

7 NOTICE of attorney appearance for Kirk Hughes, Dennis . Chrysler, Steve Jocko, Wendell Gloskey, Charles Webster, Scott Mt. Pleasant,

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09/18/1998
09/24/1998
10/01/1998 10/22/1998 10/22/1998 11/23/1998 11/23/1998 02/25/1999 03/11/1999
03/24/1999
03/24/1999 03/29/1999 05/12/1999 06/01/1999

Glenn . Goord by Tom Terrizzi (CM) (Entered: 09/18/1998)
8 LETTER ORDER submitted by Tom Terrizzi, Esq., dated 9/11/98, granting request to proceed without local counsel. ( signed by USDJ Charles J. Siragusa ) Notice and copy of order sent to Mary H. Doyle, Tom Terrizzi, David C. Leven (CM) (Entered: 09/18/1998)
9 STIPULATION and ORDER extending time for defendants to respond to the complaint, interrogatories and request for documents for 30 days. signed by USDJ Charles J. Siragusa Notice and copy of order sent to Emil J. Bove, Mary H. Doyle, Tom Terrizzi, David C. Leven . (CM) (Entered: 09/24/1998)
10 NOTICE of attorney appearance for Kirk Hughes, Dennis . Chrysler, Steve Jocko, Wendell Gloskey, Charles Webster, Scott Mt. Pleasant by Sarah Betsy Fuller. (CM) (Entered: 10/02/1998)
11 JOINT STATUS REPORT (CM) (Entered: 10/22/1998)
Deadline updated; set Scheduling Conference for 11:00 11/23/98 before CJS pursuant to notice. (CM) (Entered: 10/23/1998)
12 ANSWER to Complaint by Glenn . Goord, Raymond Broadus, Jimmie Harris, Joseph McCoy, Sally . Johnson, Melvin Hollins, Walter Kelly, David L. Miller; jury demand (CM) (Entered: 11/23/1998)
Status conference held. Parties working on settlement. If not settled, a scheduling conference will be heldon 3/3/99 @ 4 p.m. (CJS) (CM) (Entered: 11/30/1998)
Deadline updated; reset Scheduling Order Deadlines: Settlement Conference for 10:30 3/24/99 Pursuant to notice(CJS) (TO) (Entered: 02/25/1999)
13 ORDER, to Extend Time pending further scheduling conferences , and set Status Conference for 10:30 on 3/24/99 ( signed by USDJ Charles J. Siragusa ) Notice and copy of order sent to Emil J. Bove, Mary H. Doyle, Tom Terrizzi, Sarah Betsy Fuller, David C. Leven (TO) (Entered: 03/11/1999)
Minute entry:, Settlement Conference held, but still outstanding issues reset Settlement Conference for 5/12/99 , and reset submit Status Report deadline to 5/10/99 (CJS) (TO) Modified on 03/29/1999 (Entered: 03/29/1999)
Settlement conference held (CJS) (TO) (Entered: 03/29/1999)
14 TRANSCRIPT of proceedings before USDJ Siragusa (pages 1-25) (TO) (Entered: 03/30/1999)
Minute entry: Settlement Conference held reset Settlement Conference for 9:00 7/9/99 (CJS) (TO) (Entered: 05/18/1999)
15 TRANSCRIPT of proceedings before USDJ Charles Siragusa (pages 157, 5/12/99) (TO) (Entered: 06/01/1999)

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06/03/1999
07/09/1999 08/17/1999 09/01/1999 09/01/1999 09/01/1999 09/20/1999
09/20/1999
11/01/1999
11/24/1999
12/15/1999 01/06/2000 01/14/2000

16 ORDER, granting parties to change dates for settlement negotiations from 6/2, 6/16/99 to 6/9/99 and 6/21/99 ( signed by USDJ Charles J. Siragusa ) Notice and copy of order sent to Emil J. Bove, Mary H. Doyle, Tom Terrizzi, Sarah Betsy Fuller, David C. Leven (TO) (Entered: 06/03/1999)
Settlement conference held; agreement executed (CJS) (TO) (Entered: 07/14/1999)
17 LETTER regarding: protecting against the Voluntary stipulation of Dismissal of this case (TO) (Entered: 08/17/1999)
18 MOTION by plaintiffs to Certify Class Court to set return date (JL) (Entered: 09/01/1999)
19 STIPULATION by plaintiffs re: class certification (JL) (Entered: 09/01/1999)
20 MOTION by Kirk Hughes regarding notice to the class Court to set return date (JL) (Entered: 09/01/1999)
21 ORDER granting [18-1] motion to Certify Class ( signed by USDJ Charles J. Siragusa ) Notice and copy of order sent to Emil J. Bove, Mary H. Doyle, Tom Terrizzi, Sarah Betsy Fuller, David C. Leven (TO) (Entered: 09/20/1999)
22 STIPULATION and ORDER granting [20-1] motion regarding notice to the class signed by USDJ Charles J. Siragusa . Notice and copy of order sent to Emil J. Bove, Mary H. Doyle, Tom Terrizzi, Sarah Betsy Fuller, David C. Leven . (TO) (Entered: 09/20/1999)
23 OBJECTION by Kirk Hughes, Dennis . Chrysler, Steve Jocko, Wendell Gloskey, Charles Webster, Scott Mt. Pleasant to Rule 41 voluntary stipulation of dismissal ([0-0] settlement conference, agreement executed) (TO) (Entered: 11/01/1999)
24 Letter ORDER, granting plaintiff's request to modify the schedule and extend the period for submitting comments to 12/15/99 and def's time period from 15 days to 30 days which would be 1/14/00 ( signed by USDJ Charles J. Siragusa ) Notice and copy of order sent to Emil J. Bove, Mary H. Doyle, Tom Terrizzi, Sarah Betsy Fuller, David C. Leven (TO) (Entered: 11/24/1999)
25 Report of Comments by counsel for the plaintiffs (TO) (Entered: 12/15/1999)
26 LETTER regarding exhibit 6 which was omitted from the report of Comments; attached is exhibit 6 (TO) (Entered: 01/06/2000)
27 RESPONSE by Glenn . Goord, Raymond Broadus, Jimmie Harris, Joseph McCoy, Sally . Johnson, Melvin Hollins, Walter Kelly, David L. Miller to [25-1] remark (plaintitt's report of comments) (TO) (Entered: 01/18/2000)

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02/16/2000
02/17/2000 04/19/2000 08/08/2000 09/05/2000 09/08/2000
09/08/2000

28 Letter ORDER, granting request to Extend Time by one week so the parties are to inform the court of the status of the matter ( signed by USDJ Charles J. Siragusa ) Notice and copy of order sent to Emil J. Bove, Mary H. Doyle, Tom Terrizzi, Sarah Betsy Fuller, David C. Leven (TO) (Entered: 02/16/2000)
29 RESPONSE by Glenn . Goord, Raymond Broadus, Jimmie Harris, Joseph McCoy, Sally . Johnson, Melvin Hollins, Walter Kelly, David L. Miller to [25-1] remark (report of comments) (TO) (Entered: 02/17/2000)
30 STIPULATION of dismissal (TO) (Entered: 04/19/2000)
31 NOTICE of withdrawl by Sarah Betsy Fuller attorney for Kirk Hughes, Dennis . Chrysler, Steve Jocko, Wendell Gloskey, Charles Webster, Scott Mt. Pleasant, plaintiff will continue to be represetned by Prisioners' legal services, Tom Terrizzi of counsel (TO) (Entered: 08/08/2000)
32 NOTICE of attorney appearance for Kirk Hughes, Dennis . Chrysler, Steve Jocko, Wendell Gloskey, Charles Webster, Scott Mt. Pleasant by Maria E. Pagano (TO) (Entered: 09/06/2000)
33 ORDER, that the court approves the settlement of this action to Dismiss action as settled upon the terms set forth in the stipulation of dismissal (#30) ( signed by USDJ Charles J. Siragusa ) Notice and copy of order sent to Emil J. Bove, Mary H. Doyle, Maria E. Pagano (TO) (Entered: 09/08/2000)
Case closed (TO) (Entered: 09/08/2000)

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