U.S.

Department of Justice

C i v i l Rights Division

Special Litigation Section - PHB

JCP:JA:ACL 950 Pennsylvania Ave, NW
D.J 168-50-43. 44. 48. and 49. Washington DC 20530

July 14, 2010

Clerk's Office
James T. Foley - U.S. Courthouse
445 Broadway, Room 509
Albany, N Y 12207-2924

RE: United States v. New Y o r k

To W h o m i t M a y Concern:

This letter is to advise you that the two attachments that were electronically filed w i t h
this Complaint should actually be docketed as a separate motion ("Joint M o t i o n to Enter
Settlement Agreement") and proposed order ("Order Entering Settlement Agreement). Because
it was important to the parties that the Complaint and Joint M o t i o n to Enter Settlement.
Agreement be filed concurrently, we uploaded the latter as an attachment to the Complaint.

Should you have any questions, do not hesitate to contact us at (202) 305-2994.

Regards,

Alyssa C. Lareau
Trial Attorney
Special Litigation Section
 I N T H E U N I T E D STATES DISTRICT COURT
FOR T H E N O R T H E R N D I S T R I C T OF N E W Y O R K

U N I T E D STATES,

Plaintiff,

C i v i l No.
T H E STATE OF N E W Y O R K and
T H E N E W Y O R K STATE OFFICE. OF
C H I L D R E N A N D F A M I L Y SERVICES,

Defendants.

JOINT MOTION TO ENTER SETTLEMENT A G R E E M E N T

The U n i t e d States a n d t h e State of N e w Y o r k a n d t h e N e w Y o r k State Office

of C h i l d r e n a n d F a m i l y Services, h a v i n g entered i n t o a S e t t l e m e n t A g r e e m e n t

concerning t h e conditions of confinement a t t h e F i n g e r L a k e s R e s i d e n t i a l Center,

t h e L a n s i n g R e s i d e n t i a l Center, t h e T r y o n ' R e s i d e n t i a l Center, a n d the T r y o n G i r l s

Center, j o i n t l y move t h i s C o u r t for e n t r y of t h e a t t a c h e d S e t t l e m e n t A g r e e m e n t to

resolve t h e above-captioned case. A f t e r engaging i n s e t t l e m e n t discussions, the

Parties have agreed to t h e attached Settlement Agreement to o b t a i n more

i m m e d i a t e r e l i e f a n d to a v o i d t h e b u r d e n s of contested l i t i g a t i o n . The S e t t l e m e n t

A g r e e m e n t , i f e n t e r e d b y t h i s Court, w i l l resolve a l l claims t h a t t h e U n i t e d States

raises i n i t s contemporaneously f i l e d C o m p l a i n t .

The P a r t i e s represent to the C o u r t t h a t t h e S e t t l e m e n t A g r e e m e n t satisfies

a l l of t h e r e q u i r e m e n t s of 18 U S C § 3626(a). The P a r t i e s also request t h a t t h e

Court issue an order finding that the Settlement Agreement satisfies the
r e q u i r e m e n t s of 18 U.S.C. § 3626(a)(1)(A) a n d t h a t t h e prospective r e l i e f i n t h e

"Settlement A g r e e m e n t is n a r r o w l y d r a w n a n d extends no f u r t h e r t h a n necessary.

Respectfully s u b m i t t e d t h i s 1 4 t h day of J u l y , 2010.

A T T O R N E Y S FOR P L A I N T I F F :

s/Thomas E . Perez
T H O M A S E. PEREZ
Assistant A t t o r n e y General
Civil Rights D i v i s i o n

s/Samuel R. Bagenstos
. S A M U E L R. B A G E N S T O S
Principal Deputy Assistant
Attorney General
Civil Rights D i v i s i o n

s/Judv C. P r e s t o n
J U D Y C. P R E S T O N
Acting Chief
Special L i t i g a t i o n Section

s/Julie K . A b b a t e
J U L I E K. A B B A T E
Acting Deputy Chief
Special L i t i g a t i o n Section

s/Alvssa C. L a r e a u
A L Y S S A C. L A R E A U
Trial Attorney
U . S . D e p a r t m e n t of Justice
Civil Rights D i v i s i o n
Special L i t i g a t i o n Section
950 P e n n s y l v a n i a A v e n u e , N W
P H B 5519
W a s h i n g t o n , D C 20530
Phone: (202) 305-2994
Facsimile: (202) 514-4883
E m a i l : Alyssa.Lareau@usdoj.gov

-2-
T H E S T A T E OF N E W Y O R K

s/Peter J . K i e r n a n
PETER J. K I E R N A N
Counsel to t h e Governor

T H E N E W Y O R K STATE O F F I C E OF
C H I L D R E N A N D F A M I L Y SERVICES

s / K a r e n W a l k e r Bryce
K A R E N WALKER BRYCE
D e p u t y Commissioner a n d G e n e r a l Counsel
N e w Y o r k State Office of
C h i l d r e n a n d F a m i l y Services

ANDREW M . CUOMO
A t t o r n e y General of t h e State of N e w Y o r k
A T T O R N E Y FOR D E F E N D A N T S

By: s/Megan L e v i n e
MEGAN LEVINE
D e p u t y A t t o r n e y G e n e r a l , O f Counsel
B a r R o l l No. 516377
The C a p i t o l
A l b a n y , N Y 12224
Phone: (518)473-8946
F a c s i m i l e : (518) 408-2263
E m a i l : Meg.Levine@ag.ny.g-ov
 I N T H E U N I T E D STATES D I S T R I C T COURT
FOR T H E N O R T H E R N D I S T R I C T OF N E W Y O R K

U N I T E D STATES,

Plaintiff,

v.
Civil No.
T H E STATE OF N E W Y O R K and
T H E N E W Y O R K STATE OFFICE OF
C H I L D R E N A N D F A M I L Y SERVICES,

Defendants.

ORDER ENTERING SETTLEMENT AGREEMENT

The U n i t e d States a n d t h e State of N e w Y o r k a n d t h e N e w Y o r k State Office

of C h i l d r e n a n d F a m i l y Services have d e t e r m i n e d t h a t e n t e r i n g i n t o a S e t t l e m e n t

A g r e e m e n t a n d Order concerning t h e conditions of confinement a t t h e F i n g e r L a k e s

R e s i d e n t i a l Center, t h e L a n s i n g Residential. Center, t h e T r y o n R e s i d e n t i a l Center,

a n d t h e T r y o n G i r l s Center ("Settlement A g r e e m e n t " ) (executed b y a l l P a r t i e s o n or

before J u l y 14, 2010), r a t h e r t h a n contested l i t i g a t i o n , is t h e best w a y to resolve t h e

U n i t e d States' claims.

T h e C o u r t finds t h a t t h e S e t t l e m e n t A g r e e m e n t satisfies a l l of the

r e q u i r e m e n t s of the P r i s o n L i t i g a t i o n Reform A c t , 18 U.S.C. § 3626(a)(1)(A) a n d

t h a t t h e prospective r e l i e f i n t h e S e t t l e m e n t A g r e e m e n t is n a r r o w l y d r a w n a n d

extends no f u r t h e r t h a n necessary.

The C o u r t s h a l l r e t a i n j u r i s d i c t i o n over t h i s case consistent w i t h t h e t e r m s of

t h e S e t t l e m e n t Agreement, u n t i l t h e case is dismissed.

 T h e C o u r t s h a l l have t h e power t o enforce t h e S e t t l e m e n t A g r e e m e n t .

"Good cause appearing, i t is this day of -2010 in the U n i t e d

States D i s t r i c t C o u r t for t h e N o r t h e r n D i s t r i c t of N e w Y o r k , O R D E R E D :

1. T h a t t h e P a r t i e s ' J o i n t M o t i o n for E n t r y o f t h e S e t t l e m e n t A g r e e m e n t

a n d O r d e r hereby is G R A N T E D ;

2. T h a t t h e S e t t l e m e n t A g r e e m e n t be e n t e r e d as a n O r d e r of t h e C o u r t ;

3. T h a t t h e S e t t l e m e n t A g r e e m e n t satisfies t h e r e q u i r e m e n t s of t h e

P r i s o n L i t i g a t i o n Reform A c t , 18 U.S.C. § 3626(a)(1)(A);

4. T h a t t h e C o u r t s h a l l r e t a i n j u r i s d i c t i o n over t h i s case consistent w i t h

t h e t e r m s of t h e Settlement A g r e e m e n t u n t i l t h e case is dismissed; a n d

5. T h a t t h e C o u r t s h a l l have t h e power t o enforce t h e S e t t l e m e n t

A g r e e m e n t t h r o u g h a l l remedies p e r m i t t e d b y l a w .

Dated: July , 2010

, New York

U n i t e d States D i s t r i c t C o u r t Judge

-2-
Attachment
 UNITED STATES DISTRICT COURT
FOR T H ENORTHERN DISTRICT OF NEW YORK

U N I T E D STATES OF A M E R I C A ,

Plaintiff,

C i v i l No.
T H E S T A T E OF N E W Y O R K a n d
T H E N E W Y O R K STATE OFFICE
OF C H I L D R E N A N D F A M I L Y
SERVICES,

Defendants.

SETTLEMENT AGREEMENT
 TABLE OF CONTENTS

I. INTRODUCTION 1

II. DEFINITIONS 3

III. S U B S T A N T I V E R E M E D I A L M E A S U R E S 5

A. Protection F r o m H a r m 5

Use of r e s t r a i n t s 5

Use of force 7
E m e r g e n c y response 8
R e p o r t i n g a n d i n v e s t i g a t i n g of i n c i d e n t s 8

B. Mental Health Care and Treatment 10

Behavioral treatment program 10

M e n t a l h e a l t h crises 11
E v a l u a t i o n of m e n t a l h e a l t h needed 11
Use of psychotropic medications 13
S t a f f t r a i n i n g o n psychotropic m e d i c a t i o n s
a n d p s y c h i a t r i c disabilities 14
Psychotropic m e d i c a t i o n refusals 15
I n f o r m e d consent 16
Treatment planning 16
Substance abuse t r e a t m e n t 18
Transition planning 18

C. Document Development and Quality Assurance 18

D o c u m e n t development a n d r e v i s i o n 18
Q u a l i t y assurance p r o g r a m s 18

i
IV. IMPLEMENTATION AND MONITORING 19

Monitoring Team 1ST

M o n i t o r i n g T e a m Access to F a c i l i t i e s a n d records 20
Settlement agreement coordinator 22
Master Action P l a n (MAP) 22
D o c u m e n t development a n d r e v i s i o n 23
Request for t e c h n i c a l assistance 24
o

U n i t e d States access to F a c i l i t i e s a n d records 24

Response to questions 24
M o n i t o r ' s response to questions 25
N o t i f i c a t i o n of t h e U n i t e d States of i n c i d e n t s ..25
Confidentiality 25

V. ENFORCEMENTAND TERMINATION 25

Notice p r i o r t o j u d i c i a l action .25

E x i g e n t circumstances defense 26
Termination *. 26

VI. GENERAL PROVISIONS 28

Successors 28
Non-retaliation 28
Notice 28
Defense of agreement 28
N o w a i t e r for f a i l u r e to enforce 28
Unforeseen delay 29
Appropriations 29
Sub-headings 29
Severability ...29
Fees a n d expenses 29

ii
 I. INTRODUCTION

1. T h i s S e t t l e m e n t A g r e e m e n t ("Agreement") is entered i n t o between the~Umted

States of A m e r i c a , t h r o u g h t h e D e p a r t m e n t of Justice (the " U n i t e d States"),
t h e State of New Y o r k ("State"), a n d t h e N e w Y o r k State Office of C h i l d r e n
a n d F a m i l y Services ("OCFS") (collectively, "Parties") to address conditions a t
four j u v e n i l e justice facilities: t h e F i n g e r L a k e s R e s i d e n t i a l Center ("Finger
L a k e s , " f o r m e r l y k n o w n as the L o u i s Gossett J r . R e s i d e n t i a l Center) a n d
L a n s i n g R e s i d e n t i a l Center ("Lansing") i n L a n s i n g , N e w Y o r k , a n d t h e T r y o n
R e s i d e n t i a l Center ( " T r y o n Boys") a n d t h e T r y o n G i r l s C e n t e r ("Tryon Girls")
i n J o h n s t o w n , N e w Y o r k (collectively, " F a c i l i t i e s " ) .

2. T h i s A g r e e m e n t resolves the i n v e s t i g a t i o n of t h e F a c i l i t i e s conducted by t h e

U n i t e d States p u r s u a n t to the C i v i l R i g h t s of I n s t i t u t i o n a l i z e d Persons A c t
("CRIPA"), 42 U.S.C. § 1997, a n d t h e V i o l e n t C r i m e C o n t r o l a n d L a w
E n f o r c e m e n t A c t of 1994, 42 U.S.C. § 14141 ("Section 14141").

3. O n December 14, 2007, t h e U n i t e d States n o t i f i e d State officials of i t s i n t e n t

t o investigate conditions of confinement a t t h e F a c i l i t i e s . O n J u n e 2-5, June
3 0 - J u l y 3, November 12-14, a n d N o v e m b e r 24-26, 2008, t h e U n i t e d States
conducted on-site inspections of t h e F a c i l i t i e s w i t h experts i n p r o t e c t i o n f r o m
h a r m , use of force, a n d m e n t a l h e a l t h care.

4. T h e State has cooperated a n d n e g o t i a t e d i n good f a i t h w i t h t h e U n i t e d States

r e g a r d i n g i t s i n v e s t i g a t i o n of t h e F a c i l i t i e s , p r o v i d e d t h e U n i t e d States a n d
j i t s consultants f u l l access to t h e t o u r e d F a c i l i t i e s a n d documents, a n d was
receptive t o the on-site recommendations of t h e D e p a r t m e n t of Justice's
consultants.

5. O n A u g u s t 14, 2009, t h e U n i t e d States issued a F i n d i n g s L e t t e r p u r s u a n t to

42 U.S.C. § 1997(a)(1), w h i c h concluded t h a t c e r t a i n conditions a t t h e
F a c i l i t i e s v i o l a t e d t h e c o n s t i t u t i o n a l r i g h t s of juveniles c o m m i t t e d to the
F a c i l i t i e s ("Findings L e t t e r " ) .

6. P r i o r to t h e issuance of t h e F i n d i n g s L e t t e r b y the U n i t e d States t h a t forms

t h e basis of t h i s A g r e e m e n t , i n September 2008, Governor P a t e r s o n convened
a T a s k Force on T r a n s f o r m i n g N e w Y o r k ' s J u v e n i l e Justice System. The
T a s k Force was charged i n p a r t w i t h e x a m i n i n g the needs of adjudicated
- y o u t h i n t h e care a n d custody of O C F S . T h e U n i t e d States recognizes t h a t
I; t h e State of N e w Y o r k , t h r o u g h t h e convening of the T a s k Force a n d other
actions, has t a k e n independent steps to t r a n s f o r m t h e State's j u v e n i l e
p l a c e m e n t facilities.

1
7. W h i l e n o t n a m e d as P a r t i e s to t h i s Agreement, t h e State recognizes t h a t the
roopfirfltion of nt.Viftr at.at.ft a g e n c i e s w i l l h e r e q u i r e d t o n o m p l y w i t h t h i s

A g r e e m e n t . I n t h e event t h a t t h e State enters i n t o contracts w i t h n o n -

g o v e r n m e n t a l t h i r d p a r t i e s to p e r f o r m any of t h e obligations i d e n t i f i e d i n t h i s
A g r e e m e n t , t h e State w i l l incorporate b y reference t h e t e r m s a n d conditions
of t h i s A g r e e m e n t i n t o such contracts, a n d w i l l t a k e a l l actions reasonably
necessary to enforce such t e r m s a n d conditions.

8. N o t h i n g i n t h i s A g r e e m e n t s h a l l p r e v e n t the State f r o m m o d i f y i n g or closing

any or a l l of t h e F a c i l i t i e s or f r o m developing a l t e r n a t i v e c o m m u n i t y
placements for y o u t h placed at t h e F a c i l i t i e s .

9. T h i s A g r e e m e n t is not i n t e n d e d to have any preclusive effect except b e t w e e n

the P a r t i e s . S h o u l d the issue of t h e preclusive effect of t h i s A g r e e m e n t be
raised i n a n y proceeding other t h a n t h i s c i v i l action, the P a r t i e s agree to
certify t h a t t h i s A g r e e m e n t was i n t e n d e d to have no such preclusive effect.

10. T h i s A g r e e m e n t is not i n t e n d e d t o be used t o prove deficiencies i n t h e l e v e l of

care p r o v i d e d b y t h e Defendants at any of t h e F a c i l i t i e s i n a n y proceeding
other t h a n a n enforcement a c t i o n between the P a r t i e s .

11. N o person or e n t i t y is i n t e n d e d to be a t h i r d - p a r t y beneficiary of t h e

provisions of t h i s A g r e e m e n t for purposes of a n y c i v i l , c r i m i n a l , or
a d m i n i s t r a t i v e action, a n d accordingly, no person or e n t i t y m a y assert a n y
c l a i m or r i g h t as a beneficiary or protected class u n d e r t h i s A g r e e m e n t . T h i s
A g r e e m e n t is n o t i n t e n d e d to i m p a i r or expand t h e r i g h t of a n y person or
o r g a n i z a t i o n t o seek r e l i e f against the State, or i t s officials, employees, or
agents for t h e i r conduct; accordingly, t h i s A g r e e m e n t does n o t a l t e r l e g a l
standards governing any such claims, i n c l u d i n g those u n d e r N e w Y o r k l a w .

12. T h e C o u r t has j u r i s d i c t i o n over t h i s a c t i o n p u r s u a n t to 28 U.S.C. § 1 3 3 1 , .

28 U.S.C. § 1345, a n d 42 U.S.C. § 14141. Venue is proper i n t h i s D i s t r i c t
p u r s u a n t t o 28 U.S.C. § 1391(b).

13. A s long as t h e State's policies a n d procedures are i n accordance w i t h federal

l a w a n d meet c o n s t i t u t i o n a l standards a n d t h e r e q u i r e m e n t s of t h i s
agreement, t h e State of N e w Y o r k has t h e r i g h t to d e t e r m i n e t h e p h i l o s o p h y
b y w h i c h i t w i l l operate i t s j u v e n i l e justice system.

14. To the e x t e n t t h a t the State's i m p l e m e n t a t i o n of t h i s A g r e e m e n t r e q u i r e s t h e

exercise of professional j u d g m e n t , t h e s t a n d a r d a r t i c u l a t e d i n Y o u n g b e r g v .
Romeo. 457 U S 307 (1982), s h a l l be applied.

2
15. F o r purposes of t h i s A g r e e m e n t o n l y a n d i n order to settle t h i s m a t t e r , t h e
Parties s t i p u l a t e that, t h i s Agreement, complies i n a l l respects w i t h t h e
provisions o f t h e T n s o n L i t i g a t i o n Reform A c t , 18TX5XJ. § 3626(a) ("PTJRA").

16. The P a r t i e s s t i p u l a t e a n d agree t h a t a l l of t h e prospective r e l i e f i n t h i s

A g r e e m e n t is n a r r o w l y d r a w n a n d extends no f u r t h e r t h a n necessary.

17. The issue of l i a b i l i t y has n o t been l i t i g a t e d . T h e P a r t i e s ask t h e C o u r t t o

approve t h i s A g r e e m e n t w i t h o u t a f u l l h e a r i n g o n t h e m e r i t s , o n t h e basis of
t h e U n i t e d States' c o m p l a i n t a n d t h e above s t i p u l a t i o n s .

18. T h i s A g r e e m e n t s h a l l constitute t h e e n t i r e i n t e g r a t e d agreement of t h e

Parties. W i t h t h e exception of t h e F i n d i n g s L e t t e r referenced i n p a r a g r a p h 5
hereof, no p r i o r contemporaneous communications, o r a l or w r i t t e n , or p r i o r
drafts s h a l l be r e l e v a n t or admissible for purposes of d e t e r m i n i n g t h e
m e a n i n g of any provisions h e r e i n i n t h i s l i t i g a t i o n or i n any other proceeding.

II. DEFINITIONS

As used i n t h i s Agreement, t h e f o l l o w i n g d e f i n i t i o n s apply:

19. "Consistent w i t h generally accepted professional s t a n d a r d s " s h a l l m e a n a

decision b y a q u a l i f i e d professional t h a t s u b s t a n t i a l l y complies w i t h a n d is
based u p o n contemporary a n d professional j u d g m e n t , practice, or s t a n d a r d s .

20. "Day" s h a l l m e a n a calendar day.

21. "Effective D a t e " s h a l l m e a n t h e date of service of t h e C o u r t executed

A g r e e m e n t on t h e Defendants or t h e i r representatives.

22. " F a c i l i t y " s h a l l m e a n t h e F i n g e r Lakes R e s i d e n t i a l Center, L a n s i n g

R e s i d e n t i a l Center, T r y o n G i r l s Center, or T r y o n R e s i d e n t i a l Center.

23. " F a c i l i t i e s " s h a l l m e a n the F i n g e r Lakes R e s i d e n t i a l Center, L a n s i n g

R e s i d e n t i a l Center, T r y o n G i r l s Center, a n d T r y o n R e s i d e n t i a l Center,
collectively.

24. " F a c i l i t y A d m i n i s t r a t o r " s h a l l m e a n the F a c i l i t y D i r e c t o r .

25. " F i n g e r L a k e s " s h a l l m e a n F i n g e r Lakes R e s i d e n t i a l Center, f o r m e r l y called

t h e L o u i s Gossett J r . R e s i d e n t i a l Center, located a t 250 A u b u r n Road,
L a n s i n g , N e w Y o r k , or any f a c i l i t y t h a t is used to replace or s u p p l e m e n t
Finger Lakes.

3
26. " L a n s i n g " s h a l l m e a n the L a n s i n g R e s i d e n t i a l Center, located at 270 A u b u r n
Rc^d^LansingrJ^^
supplement L a n s i n g .

27. " M e n t a l h e a l t h crisis" s h a l l m e a n a n acute disturbance of t h i n k i n g , mood,

behavior, or social relationships t h a t requires a n i m m e d i a t e i n t e r v e n t i o n .
Indicators of such a disturbance m a y include, b u t are not l i m i t e d to: s u i c i d a l
t h r e a t s , gestures or a t t e m p t s ; self-injurious or s e l f - m u t i l a t i v e behavior; a n d
b e h a v i o r a l manifestations of p s y c h i a t r i c disorders.

28. "OCFS" s h a l l m e a n the N e w Y o r k State Office of C h i l d r e n a n d F a m i l y

Services, w h i c h is responsible, for, a m o n g other t h i n g s , t h e care, t r e a t m e n t ,
a n d r e h a b i l i t a t i o n of y o u t h confined at the F a c i l i t i e s .

29. "Psychotropic medication" s h a l l m e a n a n y substance used i n the t r e a t m e n t of

m e n t a l h e a l t h problems or m e n t a l illness w h i c h exerts a n effect on t h e m i n d
a n d is capable of m o d i f y i n g m e n t a l a c t i v i t y or behavior.

30. " Q u a l i f i e d m e n t a l h e a l t h professional" s h a l l m e a n a m e n t a l h e a l t h care

provider a u t h o r i z e d a n d s u f f i c i e n t l y t r a i n e d to provide t h e services he or she
undertakes to provide.

31. " R e s t r a i n t " s h a l l m e a n any m e t h o d t h a t restricts, l i m i t s , or directs a n

i n d i v i d u a l ' s freedom of m o v e m e n t , i n c l u d i n g b u t n o t l i m i t e d to mechanical
r e s t r a i n t s (e.g., handcuffs, b e l l y chains, leg shackles) a n d p h y s i c a l r e s t r a i n t s
(e.g., m a n u a l holds). The t e r m " r e s t r a i n t " does n o t include v e r b a l directives,
r o o m confinement or use of r e s t r a i n t s for t r a n s p o r t .

32. "State" s h a l l m e a n the State of N e w Y o r k , i n c l u d i n g t h e executive b r a n c h of

the State government, a n d O C F S .

33. " T r a i n " s h a l l m e a n to i n s t r u c t a n i n d i v i d u a l or i n d i v i d u a l s i n the s k i l l s

addressed, i n c l u d i n g ongoing assessment of m a s t e r y of i n s t r u c t i o n a l
m a t e r i a l . T r a i n i n g s h a l l be competency based a n d s h a l l incorporate t e s t i n g
a n d i n s t r u c t i o n a l methods t h a t establish m i n i m a l standards for d e f i n i n g staff
competency.

34. " T r e a t m e n t p l a n " s h a l l m e a n a document t h a t : sets out, i n a n i n t e g r a t e d a n d

coherent m a n n e r , a l l of the i n d i v i d u a l i z e d t r e a t m e n t s , b e h a v i o r a l - - •»
i n t e r v e n t i o n s , counseling services, support services, a n d activities to be
p r o v i d e d to a resident y o u t h ; includes i n d i v i d u a l i z e d , specific goals a n d
objectives for t h e resident y o u t h to meet d u r i n g his or her residence a t a
F a c i l i t y ; is based u p o n comprehensive assessments p e r f o r m e d b y a n
i n t e r d i s c i p l i n a r y t e a m comprised of q u a l i f i e d professionals; reflects t o the

4
 fullest e x t e n t possible t h e resident youth's i n p u t a n d f a m i l y i n p u t (where
appropriate); identifies t h e youth's preferences, strengths, and needs; and
specifies methods t o t r a c k a n d document progress t o w a r d i d e n t i f i e d goals a n d
objectives.

35. " T r y o n Boys" s h a l l m e a n t h e T r y o n R e s i d e n t i a l Center, located a t 8 8 1 County

H i g h w a y 107, i n J o h n s t o w n , N e w Y o r k , or a n y f a c i l i t y t h a t is used t o replace
or supplement T r y o n Boys.

36. " T r y o n G i r l s " s h a l l m e a n t h e T r y o n G i r l s Center, located a t 8 8 1 C o u n t y

H i g h w a y 107, i n J o h n s t o w n , N e w Y o r k , or a n y f a c i l i t y t h a t is used t o replace
or supplement T r y o n G i r l s .

37. " U n i t e d States" s h a l l m e a n t h e U n i t e d States D e p a r t m e n t of Justice, C i v i l

R i g h t s D i v i s i o n , w h i c h represents t h e U n i t e d States i n t h i s m a t t e r .

38. "Use of force" s h a l l m e a n any p h y s i c a l contact i n i t i a t e d b y a s t a f f person t h a t

i n t e n t i o n a l l y r e s t r i c t s t h e m o v e m e n t of a y o u t h , i n c l u d i n g a p h y s i c a l
restraint.

39. " Y o u t h " s h a l l m e a n a n y person c o m m i t t e d b y a c o u r t t o OCFS a n d w h o is

residing at a Facility.

III. SUBSTANTIVE R E M E D I A L M E A S U R E S

A. Protection F r o m H a r m

40. T h e State s h a l l , a t a l l t i m e s , p r o v i d e y o u t h i n t h e F a c i l i t i e s w i t h reasonably

safe l i v i n g conditions as follows:

41. U s e o f r e s t r a i n t s . The State s h a l l r e q u i r e t h a t y o u t h m u s t n o t be subjected

to undue r e s t r a i n t s . T h e State s h a l l create or m o d i f y policies, procedures,
a n d practices t o r e q u i r e t h a t t h e use of r e s t r a i n t s be>limited t o exceptional
circumstances, as set f o r t h below, w h e r e a l l other a p p r o p r i a t e pro-active,
non-physical b e h a v i o r a l m a n a g e m e n t techniques have been t r i e d a n d f a i l e d
a n d a y o u t h poses a danger to h i m s e l f / h e r s e l f or others. R e s t r a i n t s s h a l l
never be used t o p u n i s h y o u t h . A c c o r d i n g l y , r e s t r a i n t s s h a l l be used o n l y i n
t h e f o l l o w i n g circumstances:

i. w h e r e emergency p h y s i c a l i n t e r v e n t i o n is necessary t o protect

t h e safety of any person;

ii. w h e r e a y o u t h is p h y s i c a l l y a t t e m p t i n g t o escape t h e b o u n d a r y
of a F a c i l i t y ; or

5
 iLL w h e r e a youth's behavior poses a s u b s t a n t i a l t h r e a t to the safety
a n d order of t h e F a c i l i t y .

F u r t h e r , t h e State s h a l l :

a. Create or m o d i f y a n d i m p l e m e n t policies, procedures, a n d practices to

require t h a t i n t h e l i m i t e d circumstances w h e n t h e use of r e s t r a i n t s is
necessary, s t a f f s h a l l employ only t h e m i n i m u m a m o u n t of p h y s i c a l
control a n d t i m e i n r e s t r a i n t s necessary to stabilize t h e s i t u a t i o n .

b. Create or m o d i f y and i m p l e m e n t policies, procedures, a n d practices

r e g a r d i n g t h e a p p l i c a t i o n of r e s t r a i n t s to y o u t h a t h e i g h t e n e d r i s k of
physical or psychological h a r m f r o m r e s t r a i n t s , i n c l u d i n g , b u t not
l i m i t e d to, y o u t h who are obese, have serious r e s p i r a t o r y or cardiac
problems, have histories of sexual or physical abuse, or are p r e g n a n t .

c. I f face-down r e s t r a i n t s continue t o be used, create or m o d i f y a n d

i m p l e m e n t policies, procedures, a n d practices to r e q u i r e t h a t staff
u t i l i z e t h e m only i n emergencies w h e n less r e s t r i c t i v e measures w o u l d
pose a s i g n i f i c a n t r i s k to t h e safety of t h e y o u t h , other y o u t h , or staff.
I n addition:

i. Face-down r e s t r a i n t s s h a l l be employed for o n l y as long as i t

takes to diffuse the emergency, b u t i n no event s h a l l a y o u t h be
r e s t r a i n e d i n a face-down p o s i t i o n for more t h a n t h r e e (3)
minutes.

ii. T r a i n e d staff s h a l l m o n i t o r y o u t h for signs of p h y s i c a l distress

a n d t h e youth's a b i l i t y to speak w h i l e r e s t r a i n e d .

hi. M e d i c a l personnel s h a l l be i m m e d i a t e l y n o t i f i e d of t h e i n i t i a t i o n
of a face-down r e s t r a i n t position, a n d t h e y o u t h s h a l l be
i m m e d i a t e l y assessed b y m e d i c a l personnel t h e r e a f t e r . I n no
event s h a l l more t h a n 4 hours lapse b e t w e e n t h e e n d of a face-
d o w n r e s t r a i n t i n c i d e n t a n d t h e assessment of t h e i n v o l v e d
y o u t h by medical staff.

- d. P r o h i b i t t h e use of chemical agents such as pepper spray for-purposes

of r e s t r a i n t .

e. P r o h i b i t use of psychotropic m e d i c a t i o n solely for purposes of r e s t r a i n t .

6
 f. Create or m o d i f y a n d i m p l e m e n t policies, procedures, a n d practices to
r e q n i r e t h a t , s t a f f a r e , ade.qnatp.1y t r a i n e d i n a p p r o p r i a t e r e s t r a i n t
techniques, procedures t o m o n i t o r t h e safety a n d h e a l t h of y o u t h w h i l e
r e s t r a i n e d , f i r s t a i d , a n d c a r d i o p u l m o n a r y r e s u s c i t a t i o n ("CPR"). T h e
State s h a l l r e q u i r e t h a t o n l y those s t a f f w i t h c u r r e n t t r a i n i n g o n t h e
appropriate use of r e s t r a i n t s are a u t h o r i z e d to u t i l i z e r e s t r a i n t s .

42. U s e o f f o r c e . I n order t o adequately protect y o u t h f r o m excessive use of

force a t t h e Facilities, t h e State s h a l l :

a. Continue to p r o h i b i t " h o o k i n g a n d t r i p p i n g " y o u t h a n d u s i n g

chokeholds o n y o u t h .

b. Create or m o d i f y a n d i m p l e m e n t a comprehensive policy a n d

accompanying practices governing uses offeree, w h i c h s h a l l provide,
a m o n g other t h i n g s , t h a t t h e least a m o u n t of force necessary for t h e
safety of staff a n d y o u t h is used.

c. Create or m o d i f y a n d i m p l e m e n t policies, procedures, a n d practices to

r e q u i r e t h a t s t a f f adequately a n d p r o m p t l y document a n d r e p o r t a l l
uses of force.

d. Create or m o d i f y a n d i m p l e m e n t a system for r e v i e w , b y senior

management, of uses of force a n d alleged c h i l d abuse so t h a t t h e y m a y
use the i n f o r m a t i o n g a t h e r e d to i m p r o v e t r a i n i n g a n d supervision of
staff, guide staff discipline, and/or m a k e policy or p r o g r a m m a t i c
changes as needed.

e. E s t a b l i s h procedures a n d practices w h e r e b y each F a c i l i t y

A d m i n i s t r a t o r or h i s or h e r designee w i l l conduct w e e k l y reviews of t h e
use of force r e p o r t s a n d videotaped i n c i d e n t s i n v o l v i n g uses of force t o
evaluate proper techniques. U p o n t h i s review, staff w h o e x h i b i t
deficiencies i n technique(s) s h a l l be p r o h i b i t e d f r o m u s i n g force u n t i l
such staff receive documented i n s t r u c t i o n o n t h e p r o p e r technique(s).

f. T r a i n direct care s t a f f i n conflict r e s o l u t i o n a n d approved uses of force

t h a t m i n i m i z e t h e r i s k of i n j u r y to y o u t h . The State s h a l l only use
i n s t r u c t o r s w h o h a v e successfully completed t r a i n i n g designed for use
offeree i n s t r u c t o r s . A l l - t r a i n i n g s h a l l include each s t a f f member's
d e m o n s t r a t i o n of t h e approved techniques a n d r e q u i r e t h a t each s t a f f
member meet t h e m i n i m u m standards for competency established b y
t h e m e t h o d . D i r e c t care s t a f f skills i n e m p l o y i n g t h e m e t h o d s h a l l be
periodically r e - e v a l u a t e d . Staff w h o demonstrate deficiencies i n
technique or m e t h o d s h a l l be r e - t r a i n e d at least every six m o n t h s u n t i l

7
 t h e y meet m i n i m u m standards for competency established b y t h e
method—Supervisory staff w h o are routinely involved i n responding to
incidents ancTaltercations s h a l l be t r a i n e d to evaluate t h e i r
subordinates' uses of force a n d m u s t provide e v a l u a t i o n of t h e s t a f f s
proper use of these methods i n t h e i r reports addressing use of force
incidents.

E m e r g e n c y r e s p o n s e . The State s h a l l create or m o d i f y a n d i m p l e m e n t

policies, procedures, a n d practices r e l a t i v e to staff use of personal safety
devices (sometimes r e f e r r e d t o as "pins") to c a l l for assistance i n addressing
y o u t h behavior. To t h i s end, t h e State s h a l l :

a. I m m e d i a t e l y revoke t h e December 18, 2007 d i r e c t i v e to staff of F i n g e r

Lakes to " p u s h t h e p i n . "

b. Create or m o d i f y policies p r o v i d i n g staff w i t h guidelines as to w h e n a

call for assistance is a p p r o p r i a t e .

c. Create or m o d i f y policies a n d procedures r e g a r d i n g t h e

appropriateness of t h e response t o t h e s i t u a t i o n presented.

d. Require a d m i n i s t r a t o r s of each F a c i l i t y to s u b m i t a n emergency

response p l a n for review a n d a p p r o v a l i n accordance w i t h statewide
policy.

e. T r a i n a l l F a c i l i t y staff i n t h e o p e r a t i o n of t h e above policy a n d

procedures.

R e p o r t i n g a n d i n v e s t i g a t i o n of i n c i d e n t s . The State s h a l l adequately

r e p o r t , investigate, a n d address the f o l l o w i n g allegations of staff misconduct:

i. i n a p p r o p r i a t e use of r e s t r a i n t s ;

ii. use of excessive force on y o u t h ; or

iii. f a i l u r e of supervision or neglect r e s u l t i n g i n :

(1) y o u t h i n j u r y ; or

(2) suicide a t t e m p t s or self-injurious behavior.

To t h i s end, t h e State s h a l l :

8
a. Create or modify a n d i m p l e m e n t policies, procedures, a n d practices to
r e q u i r e t h a t such incidents or allegations are r e p o r t e d to appropriate
i-hli-ividua
r e t a l i a t i o n , a n d t h a t such r e p o r t i n g be done i n a m a n n e r t h a t
preserves c o n f i d e n t i a l i t y to t h e e x t e n t possible, consistent w i t h the
need to investigate a n d address allegations.

b. Create or modify a n d i m p l e m e n t policies, procedures, a n d practices

p r o v i d i n g t h a t such incidents or allegations are p r o m p t l y screened a n d
w h i c h establish c r i t e r i a for p r i o r i t i z i n g F a c i l i t y investigations based on
the seriousness a n d other aspects of t h e a l l e g a t i o n . T h e r e s h a l l be a
p r o m p t d e t e r m i n a t i o n of t h e a p p r o p r i a t e l e v e l of contact between t h e
s t a f f a n d y o u t h , i f any, i n l i g h t of t h e n a t u r e of the a l l e g a t i o n and/or a
p r e l i m i n a r y i n v e s t i g a t i o n of t h e c r e d i b i l i t y of t h e a l l e g a t i o n . The
d e t e r m i n a t i o n s h a l l be consistent w i t h t h e safety of a l l y o u t h . The
d e t e r m i n a t i o n m u s t be documented.

c. Create or modify a n d i m p l e m e n t policies, procedures, a n d practices to

r e q u i r e t h a t a nurse or other h e a l t h care p r o v i d e r w i l l question,
outside t h e h e a r i n g of other staff or y o u t h , each y o u t h w h o reports to
the i n f i r m a r y w i t h a n i n j u r y r e g a r d i n g t h e cause of t h e i n j u r y . I f , i n
t h e course of t h e youth's i n f i r m a r y v i s i t , a h e a l t h care p r o v i d e r
suspects s t a f f - o n - y o u t h abuse, t h e h e a l t h care p r o v i d e r s h a l l
i m m e d i a t e l y t a k e a l l a p p r o p r i a t e steps to preserve evidence of the
i n j u r y , report t h e suspected abuse to t h e Statewide C e n t r a l Register of
C h i l d Abuse a n d M a l t r e a t m e n t ("SCR"), document adequately the
m a t t e r i n the y o u t h ' s m e d i c a l record, a n d complete a n i n c i d e n t report.

d. Create or modify a n d i m p l e m e n t policies, procedures, a n d practices to

r e q u i r e t h a t a l l allegations of s t a f f misconduct described above are
adequately a n d t i m e l y i n v e s t i g a t e d by n e u t r a l , t r a i n e d investigators
a n d reviewed b y s t a f f w i t h no i n v o l v e m e n t or personal i n t e r e s t i n t h e
u n d e r l y i n g event.

i. Such policies, procedures, a n d practices s h a l l address

circumstances i n w h i c h evidence of i n j u r i e s t o y o u t h , i n c l u d i n g
complaints of p a i n or i n j u r y due to i n a p p r o p r i a t e use of force by
staff, conflicts w i t h t h e statements of staff or other witnesses.

ii. I f a f u l l i n v e s t i g a t i o n is n o t w a r r a n t e d , t h e n t h e reasons w h y a
f u l l i n v e s t i g a t i o n is not conducted s h a l l be documented i n
w r i t i n g . I n cases where a y o u t h w i t h d r a w s a n allegation, a
p r e l i m i n a r y i n v e s t i g a t i o n s h a l l be conducted t o d e t e r m i n e t h e

9
 reasons for t h e w i t h d r a w a l and, i n cases where i t is w a r r a n t e d ,
-aJiullJiKzestigat^^

e. Create or modify a n d i m p l e m e n t policies, procedures, a n d practices to

r e q u i r e p r o m p t a n d a p p r o p r i a t e corrective measures i n response to a
f i n d i n g of staff misconduct described above.

f. Provide adequate t r a i n i n g to staff i n a l l areas necessary for t h e safe

a n d effective performance of job duties, i n c l u d i n g t r a i n i n g i n : c h i l d
abuse r e p o r t i n g ; t h e safe a n d appropriate use of force a n d p h y s i c a l
r e s t r a i n t ; t h e use of force c o n t i n u u m ; a n d crisis i n t e r v e n t i o n a n d de-
escalation techniques. R o u t i n e l y provide refresher t r a i n i n g consistent
w i t h generally accepted professional standards.

g. Create or modify a n d i m p l e m e n t policies, procedures, a n d practices to

r e q u i r e adequate s u p e r v i s i o n of staff.

h. The State s h a l l u t i l i z e reasonable measures to d e t e r m i n e applicants'

fitness to w o r k i n a j u v e n i l e justice facUity p r i o r to h i r i n g employees .
for positions at the F a c i l i t i e s , i n c l u d i n g b u t not l i m i t e d to state
c r i m i n a l b a c k g r o u n d checks. The State s h a l l update state c r i m i n a l
b a c k g r o u n d checks a n d SCR clearances for a l l staff w h o come i n t o
contact w i t h y o u t h every t w o years.

Mental Health Care and Treatment

The State s h a l l provide adequate a n d appropriate m e n t a l h e a l t h care a n d

t r e a t m e n t to y o u t h consistent w i t h generally accepted professional standards
as follows:

B e h a v i o r a l t r e a t m e n t p r o g r a m . The State s h a l l provide a n i n t e g r a t e d , ...

adequate, appropriate, a n d effective b e h a v i o r a l t r e a t m e n t p r o g r a m at the
F a c i l i t i e s . To t h i s end, t h e State s h a l l :

a. Create or modify a n d i m p l e m e n t policies, procedures, a n d practices for

a n effective b e h a v i o r a l t r e a t m e n t p r o g r a m consistent w i t h generally
accepted professional standards a n d evidence-based p r i n c i p l e s . The
b e h a v i o r a l t r e a t m e n t p r o g r a m s h a l l be i m p l e m e n t e d t h r o u g h o u t
w a k i n g hours, i n c l u d i n g d u r i n g school t i m e .

b. Create or modify a n d i m p l e m e n t policies, procedures, a n d practices to

r e q u i r e t h a t m e n t a l h e a l t h s t a f f provide r e g u l a r c o n s u l t a t i o n r e g a r d i n g
behavior m a n a g e m e n t t o direct care staff a n d other s t a f f i n v o l v e d i n
the behavioral treatment program.

10
 -a Create, or m o d i f y a n d i m p l e m e n t policies, procedures, a n d practices to
r e g u l a r l y assess trie effectiveness o f t h e i n t e r v e n t i o n s u t i l i z e d "

d. E x p l a i n t h e b e h a v i o r a l t r e a t m e n t p r o g r a m to a l l y o u t h d u r i n g a n
o r i e n t a t i o n session, s e t t i n g f o r t h F a c i l i t y rules a n d the positive
incentives for compliance as w e l l as t h e sanctions for v i o l a t i n g those
rules. The r u l e s for the b e h a v i o r a l t r e a t m e n t p r o g r a m s h a l l be posted
conspicuously i n F a c i l i t y l i v i n g u n i t s .

47. M e n t a l h e a l t h c r i s e s . The State s h a l l provide any y o u t h experiencing a

m e n t a l h e a l t h crisis w i t h p r o m p t a n d adequate m e n t a l h e a l t h services
a p p r o p r i a t e to t h e s i t u a t i o n . To t h i s end, t h e State s h a l l :

a. T r a i n a l l a p p r o p r i a t e staff, i n c l u d i n g direct care staff, on a p p r o p r i a t e ,

positive strategies to address a youth's i m m e d i a t e m e n t a l h e a l t h crisis,
i n c l u d i n g a crisis m a n i f e s t i n g i n self-injurious b e h a v i o r or other
destructive behavior. Such strategies should be u t i l i z e d i n a n effort to
stabilize a n d c a l m t h e y o u t h , to t h e extent possible, w h i l e a w a i t i n g t h e
a r r i v a l of a q u a l i f i e d m e n t a l h e a l t h professional. S t a f f s h a l l n o t resort
to uses of force, i n c l u d i n g r e s t r a i n t s , except as p r o v i d e d i n p a r a g r a p h s
4 1 and 42, supra.

b. Create or m o d i f y a n d i m p l e m e n t policies, procedures, a n d practices for

contacting a q u a l i f i e d m e n t a l h e a l t h professional outside of r e g u l a r
w o r k i n g h o u r s i n the event of a youth's m e n t a l h e a l t h crisis or other
emergency s i t u a t i o n .

c. Require t h a t a n y y o u t h who experiences a m e n t a l h e a l t h crisis a n d

resorts to m a l a d a p t i v e coping strategies, such as self-injurious
behavior, is r e f e r r e d for m e n t a l h e a l t h services f o l l o w i n g the r e s o l u t i o n
of the i m m e d i a t e crisis. A q u a l i f i e d m e n t a l h e a l t h professional s h a l l
develop a crisis m a n a g e m e n t p l a n i n conjunction w i t h the y o u t h a n d
his or her other m e n t a l h e a l t h service providers. The crisis
m a n a g e m e n t p l a n s h a l l specify methods to reduce the p o t e n t i a l for
recurrence t h r o u g h psychiatric t r e a t m e n t , t r e a t m e n t p l a n n i n g ,
b e h a v i o r a l modification, a n d e n v i r o n m e n t a l changes, as w e l l as a
strategy to help the y o u t h develop a n d practice positive coping s k i l l s .
Such services s h a l l continue t h r o u g h o u t the d u r a t i o n of the youth's
commitment to the Facility.

48. E v a l u a t i o n of m e n t a l h e a l t h n e e d s . The State s h a l l require t h a t y o u t h

w i t h m e n t a l h e a l t h needs are t i m e l y i d e n t i f i e d a n d p r o v i d e d adequate m e n t a l
h e a l t h services. To t h i s end, the State s h a l l :

11
-a, Ci^ai^HL-mxxiif^^ procedures^-ariH practices to
require t h a t each y o u t h a d m i t t e d to a F a c i l i t y is comprehensively
screened b y a q u a l i f i e d m e n t a l h e a l t h professional i n a t i m e l y m a n n e r
u t i l i z i n g r e l i a b l e a n d v a l i d measures. The State s h a l l r e q u i r e t h a t any
y o u t h whose m e n t a l h e a l t h screening indicates t h e possible need for
m e n t a l h e a l t h services receives t i m e l y , comprehensive, a n d
appropriate assessment by a q u a l i f i e d m e n t a l h e a l t h professional a n d
r e f e r r a l w h e n a p p r o p r i a t e to a p s y c h i a t r i s t for a t i m e l y m e n t a l h e a l t h
evaluation.

b. Require t h a t any y o u t h whose m e n t a l h e a l t h screen identifies a n issue

t h a t places t h e y o u t h at i m m e d i a t e r i s k is i m m e d i a t e l y r e f e r r e d to a
q u a l i f i e d m e n t a l h e a l t h professional. The q u a l i f i e d m e n t a l h e a l t h
professional s h a l l determine w h e t h e r assessment or t r e a t m e n t is
necessary. A d e t e r m i n a t i o n t o t r a n s f e r a y o u t h t o a m o r e appropriate
s e t t i n g o n other t h a n a n emergency basis s h a l l r e q u i r e c o n s u l t a t i o n
w i t h a c o m m i t t e e designated b y OCFS' D e p u t y Commissioner for
Juvenile Justice a n d O p p o r t u n i t i e s for Y o u t h ( " D J J O Y ' ) or h i s or h e r
designee or successor. Such c o m m i t t e e m a y i n c l u d e q u a l i f i e d m e n t a l
h e a l t h professionals at OCFS' c e n t r a l office. I f a d e t e r m i n a t i o n is
made t h a t t h e y o u t h should be t r a n s f e r r e d to a more appropriate
setting, t h e State s h a l l i m m e d i a t e l y i n i t i a t e procedures t o t r a n s f e r t h e
y o u t h to such s e t t i n g .

c. Require t h a t assessments t a k e i n t o account n e w diagnostic a n d

t r e a t m e n t i n f o r m a t i o n t h a t becomes available, i n c l u d i n g i n f o r m a t i o n
about t h e efficacy or lack of efficacy of t r e a t m e n t s a n d b e h a v i o r a l
interventions.

d. Create or m o d i f y a n d i m p l e m e n t policies, procedures, a n d practices to

r e q u i r e t h a t for each y o u t h r e c e i v i n g m e n t a l h e a l t h services, t h e
youth's t r e a t i n g q u a l i f i e d m e n t a l h e a l t h professional(s), i n c l u d i n g t h e
t r e a t i n g p s y c h i a t r i s t , i f applicable, develop a consistent w o r k i n g
diagnosis or diagnoses. The diagnosis or diagnoses s h a l l be u p d a t e d
u n i f o r m l y a m o n g a l l q u a l i f i e d m e n t a l h e a l t h professionals p r o v i d i n g
services to t h e y o u t h .

e. Create or m o d i f y a n d i m p l e m e n t policies, procedures, a n d practices to

r e q u i r e t h a t b o t h i n i t i a l a n d subsequent p s y c h i a t r i c evaluations are.
consistent w i t h generally accepted professional standards. I n i t i a l
evaluations s h a l l be legibly w r i t t e n a n d detailed, a n d s h a l l include, at
m i n i m u m , t h e f o l l o w i n g i n f o r m a t i o n for each y o u t h evaluated:

12
 i. current mental status;

it historyisfpre^^

iii. c u r r e n t medications a n d response to t h e m ;

iv. h i s t o r y of t r e a t m e n t w i t h medications a n d response, i n c l u d i n g

adverse side effects or m e d i c a t i o n allergies;

v. social h i s t o r y ;

vi. substance abuse h i s t o r y ;

vii. i n t e r v i e w s of p a r e n t s or g u a r d i a n s ;

viii. r e v i e w of p r i o r records; a n d

ix. e x p l a n a t i o n of h o w t h e youth's s y m p t o m s meet diagnostic .

c r i t e r i a for t h e proffered diagnosis or diagnoses.

U s e o f p s y c h o t r o p i c m e d i c a t i o n s . The State s h a l l r e q u i r e t h a t t h e
p r e s c r i p t i o n a n d m o n i t o r i n g of t h e safety, efficacy, a n d appropriateness of a l l
psychotropic m e d i c a t i o n use is consistent w i t h generally accepted
professional standards. To t h i s end, t h e State s h a l l :

a. Create or m o d i f y a n d i m p l e m e n t policies, procedures, a n d practices to

r e q u i r e t h a t any psychotropic m e d i c a t i o n is:

i. prescribed only w h e n i t is t i e d t o c u r r e n t , c l i n i c a l l y j u s t i f i e d
diagnoses or c l i n i c a l symptoms;

ii. t a i l o r e d to each y o u t h ' s symptoms;

iii. prescribed i n t h e r a p e u t i c a m o u n t s , as d i c t a t e d by t h e needs of

the y o u t h served;

iv. m o d i f i e d based o n c l i n i c a l r a t i o n a l e s ; a n d

•••••v. documented i n t h e youth's record w i t h : (1) t h e n a m e of e a c h -

medication; (2) t h e r a t i o n a l e for t h e p r e s c r i p t i o n of each
medication; a n d (3) t h e t a r g e t s y m p t o m s i n t e n d e d t o be t r e a t e d
b y each m e d i c a t i o n .

13
 b. Create or modify a n d i m p l e m e n t policies, procedures, a n d practices for
th^:i%)uii-n^mcH3ii^^

i. establishing medication-specific standards a n d schedules for

laboratory examinations;

ii. m o n i t o r i n g a p p r o p r i a t e l y for c o m m o n and/or serious side effects,

i n c l u d i n g r e q u i r i n g t h a t staff responsible for m e d i c a t i o n
a d m i n i s t r a t i o n r e g u l a r l y ask y o u t h about side effects t h e y m a y
be experiencing a n d document responses;

iii. establishing protocols for t i m e l y i d e n t i f i c a t i o n , r e p o r t i n g , d a t a

analyses, a n d follow up r e m e d i a l a c t i o n r e g a r d i n g adverse d r u g
reactions;

iv. m o n i t o r i n g for effectiveness against clearly i d e n t i f i e d t a r g e t

symptoms a n d t i m e frames;

v. r e q u i r i n g t h a t such medications are used on a t i m e - l i m i t e d ,

s h o r t - t e r m basis w h e r e such use is a p p r o p r i a t e , a n d not as a
s u b s t i t u t e for adequate t r e a t m e n t of t h e u n d e r l y i n g cause of t h e
youth's distress;

vi. r e q u i r i n g t h a t y o u t h are n o t i n h i b i t e d f r o m m e a n i n g f u l l y
p a r t i c i p a t i n g i n t r e a t m e n t , r e h a b i l i t a t i o n , or e n r i c h m e n t a n d
educational services as a r e s u l t of excessive sedation; a n d

vii. estabhshing protocols for r e v i e w i n g such policies a n d procedures

to require t h a t t h e y r e m a i n consistent w i t h generally accepted
professional standards.

c. Require t h a t t h e r e s u l t s of l a b o r a t o r y e x a m i n a t i o n s a n d side effect

m o n i t o r i n g are reviewed b y t h e youth's p s y c h i a t r i s t , i f applicable, a n d
t h a t such review is documented i n the youth's record.

50. Staff training on psychotropic medications a n d psychiatric

d i s a b i l i t i e s . The State s h a l l create or modify policies a n d procedures
r e q u i r i n g staff i n F a c i l i t i e s to complete competency-based t r a i n i n g o n
psychotropic medications a n d p s y c h i a t r i c d i s a b i l i t i e s .

a. The t r a i n i n g s h a l l p r o v i d e , at m i n i m u m , a n overview of t h e
b e h a v i o r a l a n d f u n c t i o n a l i m p a c t of p s y c h i a t r i c disabilities o n y o u t h ,
c o m m o n t r e a t m e n t s for such p s y c h i a t r i c disabilities, i n c l u d i n g b o t h
b e h a v i o r a l a n d p h a r m a c e u t i c a l i n t e r v e n t i o n s ; commonly used

14
 medications a n d t h e i r effects, i n c l u d i n g p o t e n t i a l adverse side effects
a n d i n t e n d e d benefits; a n d w a r n i n g signs t h a t a y o u t h m a y be
srn%Tm"g"a~serioTis^^
i m m e d i a t e a n d follow-up actions to be t a k e n by t h e staff i n such a n
incident.

b. The State s h a l l create or modify policies, procedures, a n d t r a i n i n g

m a t e r i a l s for s t a f f at a l l F a c i l i t i e s as follows:

i. Staff employed at t h e F a c i l i t i e s who r o u t i n e l y w o r k d i r e c t l y w i t h

y o u t h (but n o t i n c l u d i n g q u a l i f i e d m e n t a l h e a l t h professionals or
m e d i c a l professionals) s h a l l complete a m i n i m u m of six (6) hours
of competency-based t r a i n i n g r e g a r d i n g psychotropic
medications a n d p s y c h i a t r i c disabilities a n n u a l l y for t h e t e r m of
t h i s A g r e e m e n t . Such staff includes, b u t is not l i m i t e d to, Y o u t h
D i v i s i o n Aides, Y o u t h Counselors, teachers, r e c r e a t i o n staff,
licensed p r a c t i c a l nurses, F a c i l i t y A d m i n i s t r a t o r s , a n d D e p u t y
Administrators.

ii. A l l other staff at the F a c i l i t i e s s h a l l be r e q u i r e d to complete a

m i n i m u m of one (1) h o u r of competency-based t r a i n i n g
r e g a r d i n g psychotropic medications a n d p s y c h i a t r i c disabilities
a n n u a l l y for t h e t e r m of t h i s Agreement.

P s y c h o t r o p i c m e d i c a t i o n r e f u s a l s . The State s h a l l create or m o d i f y a n d

i m p l e m e n t policies, procedures, a n d practices r e g a r d i n g psychotropic
m e d i c a t i o n refusals b y y o u t h w h i c h provide, a t m i n i m u m , as follows:

a. A l l y o u t h w h o are scheduled to receive m e d i c a t i o n s h a l l be t a k e n

w i t h o u t t h e use of force to t h e m e d i c a t i o n a d m i n i s t r a t i o n location at
t h e prescribed t i m e . A n y y o u t h w h o expresses his or her i n t e n t to
refuse m e d i c a t i o n s h a l l c o m m u n i c a t e his or her r e f u s a l d i r e c t l y to
medical staff.

b. I n circumstances w h e r e s t a f f s v e r b a l efforts to convince a y o u t h to

report to t h e m e d i c a t i o n a d m i n i s t r a t i o n location r e s u l t s i n a n
escalation of a youth's aggressive behavior, staff s h a l l not forcibly t a k e
t h e y o u t h to receive medication. S t a f f s h a l l contact a supervisor to
report to t h e location. The supervisor s h a l l document the youth's
refusal on a m e d i c a l refusal f o r m , a n d s h a l l complete a n i n c i d e n t
report d o c u m e n t i n g t h e circumstances of t h e r e f u s a l , i n c l u d i n g t h e
j u s t i f i c a t i o n for n o t escorting t h e y o u t h to m e d i c a t i o n .

15
 c. A m e d i c a l r e f u s a l f o r m s h a l l be completed each t i m e a y o u t h is
sch«4ul^-4e-^e€eiA^^^iGati^n^ —
a n d t i m e , youth's name, a n d prescribed m e d i c a t i o n w h i c h t h e y o u t h is
r e f u s i n g , t h e f o r m s h a l l i n c l u d e a n area for e i t h e r t h e y o u t h or a staff
person to record the youth's s t a t e d reason f o r r e f u s i n g m e d i c a t i o n , a n
area for t h e y o u t h ' s t r e a t i n g p s y c h i a t r i s t t o c e r t i f y t h a t s/he has
r e v i e w e d t h e m e d i c a t i o n r e f u s a l f o r m , a n d a s i g n a t u r e l i n e for t h e
refusing youth.

d. The youth's p s y c h i a t r i s t s h a l l receive, r e v i e w , a n d s i g n a l l m e d i c a t i o n

r e f u s a l forms p r i o r to m e e t i n g w i t h t h e y o u t h .

e. The youth's t r e a t m e n t t e a m s h a l l address h i s or h e r m e d i c a t i o n

refusals.

52. I n f o r m e d c o n s e n t . T h e State s h a l l revise i t s policies a n d procedures for

o b t a i n i n g i n f o r m e d consent for t h e p r e s c r i p t i o n of psychotropic medications
consistent w i t h generally accepted professional s t a n d a r d s . I n a d d i t i o n , t h e
State s h a l l r e q u i r e t h a t t h e i n f o r m a t i o n r e g a r d i n g prescribed psychotropic
medications is p r o v i d e d to a y o u t h a n d to his or h e r p a r e n t s or g u a r d i a n s or
person(s) responsible for the youth's care by a n i n d i v i d u a l w i t h p r e s c r i p t i v e
a u t h o r i t y , such as a p s y c h i a t r i c nurse p r a c t i t i o n e r . T h i s i n f o r m a t i o n s h a l l
include:

i. t h e purpose and/or benefit of t h e t r e a t m e n t ;

ii. a description of t h e t r e a t m e n t process;

hi. a n e x p l a n a t i o n of t h e r i s k s of t h e t r e a t m e n t ;

iv. a s t a t e m e n t of a l t e r n a t i v e t r e a t m e n t s , i n c l u d i n g t r e a t m e n t
w i t h o u t medication; and

v. a s t a t e m e n t r e g a r d i n g w h e t h e r t h e m e d i c a t i o n has been
approved for use i n c h i l d r e n .

53. T r e a t m e n t p l a n n i n g . The State s h a l l develop a n d m a i n t a i n adequate

f o r m a l t r e a t m e n t p l a n n i n g consistent w i t h generally accepted professional
s t a n d a r d s . To t h i s end, t h e State s h a l l :

a. Create or m o d i f y a n d i m p l e m e n t policies, procedures, a n d practices

r e g a r d i n g t r e a t m e n t p l a n n i n g w h i c h address, a m o n g other elements,
t h e r e q u i r e d content of t r e a t m e n t plans a n d a p p r o p r i a t e p a r t i c i p a n t s
of a youth's t r e a t m e n t t e a m .

16
b. Require t h a t t r e a t m e n t teams focus on t h e youth's t r e a t m e n t p l a n , not
col-la-ternl-documen^

c. Require t h a t t h e y o u t h is present a t each t r e a t m e n t t e a m m e e t i n g ,

unless t h e y o u t h is n o t physically located i n t h e F a c i l i t y d u r i n g the
m e e t i n g or t h e youth's presence is s i m i l a r l y impracticable, a n d t h a t , i f
applicable, t h e youth's t r e a t i n g p s y c h i a t r i s t a t t e n d t h e t r e a t m e n t t e a m
m e e t i n g a m i n i m u m of every other m e e t i n g .

d. I f a y o u t h has a h i s t o r y of t r a u m a , r e q u i r e t h a t t r e a t m e n t p l a n n i n g
recognizes a n d addresses the youth's h i s t o r y of t r a u m a a n d i t s impact,
a n d includes a strategy for developing appropriate coping s k i l l s b y the
youth.

e. Require t h a t t r e a t m e n t plans are i n d i v i d u a l i z e d for each y o u t h , a n d

t h a t t r e a t m e n t p l a n s include:

i. i d e n t i f i c a t i o n of the m e n t a l and/or b e h a v i o r a l h e a l t h issues to be

addressed i n t r e a t m e n t p l a n n i n g ;

ii. a description of any m e d i c a t i o n or medical course of action to be

pursued, i n c l u d i n g the i n i t i a t i o n of psychotropic medication;

hi. a description of any i n d i v i d u a l b e h a v i o r a l t r e a t m e n t p l a n or

i n d i v i d u a l strategies to be u n d e r t a k e n w i t h t h e y o u t h ;

iv. a description of t h e q u a l i t a t i v e a n d q u a n t i t a t i v e measures to

m o n i t o r t h e efficacy of a n y psychotropic medication, i n d i v i d u a l
b e h a v i o r a l t r e a t m e n t p l a n , or i n d i v i d u a l strategies u t i l i z e d w i t h
the youth;

v. a description of any counseling or psychotherapy to be provided;

vi. a d e t e r m i n a t i o n of w h e t h e r t h e type or level of t r e a t m e n t needed

can be p r o v i d e d i n t h e youth's c u r r e n t placement; a n d

vii. a p l a n for m o d i f y i n g or r e v i s i n g t h e t r e a t m e n t p l a n i f necessary.

f. Require t h a t t r e a t m e n t plans are m o d i f i e d or revised as necessary,

based o n the efficacy of i n t e r v e n t i o n s , new diagnostic i n f o r m a t i o n , or
other factors. The t r e a t m e n t p l a n s h a l l be u p d a t e d to reflect any
changes i n t h e youth's m e n t a l h e a l t h diagnosis.

17
S u b s t a n c e a b u s e t r e a t m e n t . The State s h a l l create or m o d i f y a n d
-im^l«ffl^t^k^«S5^i^ee4^

a. a l l y o u t h w h o have a suspected h i s t o r y of substance abuse are p r o v i d e d

w i t h adequate p r e v e n t i o n e d u c a t i o n w h i l e r e s i d i n g a t a F a c i l i t y ; a n d

b. a l l y o u t h w h o are k n o w n to have c u r r e n t problems w i t h substance

abuse or dependence are p r o v i d e d adequate t r e a t m e n t for those
problems w h i l e r e s i d i n g at a F a c i l i t y .

T r a n s i t i o n p l a n n i n g . T h e State s h a l l r e q u i r e t h a t each y o u t h w h o has

m e n t a l h e a l t h issues, or w h o has been or is receiving substance abuse
t r e a t m e n t , w h o is l e a v i n g a F a c i l i t y has a t r a n s i t i o n p l a n . T h e State s h a l l
create or modify a n d i m p l e m e n t policies, procedures, a n d practices for t h e
development of a t r a n s i t i o n p l a n for each such y o u t h . T h e t r a n s i t i o n p l a n
s h a l l include i n f o r m a t i o n r e g a r d i n g :

a. m e n t a l h e a l t h resources available i n the youth's h o m e c o m m u n i t y ,

i n c l u d i n g t r e a t m e n t for substance abuse or dependence i f a p p r o p r i a t e ;

b. referrals to m e n t a l h e a l t h or o t h e r services w h e n a p p r o p r i a t e ; a n d

c. provisions for s u p p l y i n g psychotropic medications, i f necessary, u p o n

release f r o m t h e F a c i l i t y .

Document Development and Quality Assurance

D o c u m e n t d e v e l o p m e n t a n d r e v i s i o n . Consistent w i t h p a r a g r a p h 68 of
t h i s A g r e e m e n t , t h e State s h a l l create or modify policies, procedures,
protocols, t r a i n i n g c u r r i c u l a , a n d practices to r e q u i r e t h a t t h e y are consistent
w i t h , incorporate, address a n d i m p l e m e n t a l l provisions of t h i s A g r e e m e n t .
I n accordance w i t h p a r a g r a p h 68 of t h i s A g r e e m e n t , t h e State s h a l l create or
m o d i f y , as necessary, other w r i t t e n documents - such as screening tools,
handbooks, m a n u a l s , a n d forms - to effectuate t h e p r o v i s i o n s of t h i s
A g r e e m e n t . T h e State s h a l l s u b m i t a l l such documents t o t h e U n i t e d States
for r e v i e w a n d a p p r o v a l , w h i c h s h a l l n o t be unreasonably w i t h h e l d .

Q u a l i t y a s s u r a n c e p r o g r a m s . T h e State s h a l l create or m o d i f y a n d
i m p l e m e n t q u a l i t y assurance p r o g r a m s consistent w i t h generally accepted
professional s t a n d a r d s for each of t h e substantive r e m e d i a l areas addressed
i n t h i s A g r e e m e n t . I n a d d i t i o n , t h e State shall: . . .

18
 a. create or modify a n d i m p l e m e n t policies a n d procedures to address
^r^l«ms^a-t^xeamGQv-er^^^
activities; a n d

b. create or modify a n d i m p l e m e n t corrective a c t i o n p l a n s to address

i d e n t i f i e d problems i n such a m a n n e r as to p r e v e n t t h e m f r o m
occurring again i n the future.

IV. I M P L E M E N T A T I O N AND M O N I T O R I N G

58. T h e State s h a l l i m p l e m e n t a l l reforms necessary t o effectuate t h i s A g r e e m e n t

w i t h i n t w e n t y - t h r e e (23) m o n t h s of t h e Effective D a t e of t h i s A g r e e m e n t . I f
t h e State cannot f u l l y i m p l e m e n t t h e reforms r e q u i r e d by t h i s A g r e e m e n t
w i t h i n t h e a l l o t t e d t i m e , t h e State s h a l l n o t i f y the U n i t e d States p u r s u a n t t o
p a r a g r a p h 83 of t h i s A g r e e m e n t .

59. W i t h i n t w o weeks of t h e Effective D a t e , t h e State s h a l l communicate t h e

provisions set f o r t h i n t h i s A g r e e m e n t t o officials, employees, agents, a n d
i n d e p e n d e n t contractors w h o are i n v o l v e d i n p r o v i d i n g care to t h e y o u t h
confined at t h e F a c i l i t i e s .

60. The State s h a l l require t h a t y o u t h a d m i t t e d p r i o r to the Effective D a t e of t h i s

A g r e e m e n t a n d r e s i d i n g a t any of t h e F a c i l i t i e s are afforded a l l of t h e same
protections a n d services p r o v i d e d by t h i s A g r e e m e n t to y o u t h a d m i t t e d o n or
subsequent to the Effective D a t e .

61. M o n i t o r i n g T e a m . Compliance w i t h t h i s A g r e e m e n t s h a l l be assessed by a

M o n i t o r i n g T e a m of t w o j o i n t l y selected subject m a t t e r experts ("Monitors")
consisting of one expert i n t h e area of p r o t e c t i o n f r o m h a r m a n d one expert i n
t h e area of m e n t a l h e a l t h services.

a. T h e State s h a l l bear a l l reasonable fees a n d costs of t h e M o n i t o r i n g

T e a m . P a y m e n t for t r a v e l a n d l o d g i n g s h a l l be at t h e applicable
federal government r a t e .

b. The M o n i t o r s s h a l l be p e r m i t t e d to i n i t i a t e a n d receive ex p a r t e
communications w i t h a l l P a r t i e s .

c. A l l non-public i n f o r m a t i o n o b t a i n e d b y t h e M o n i t o r s s h a l l be
maintained i n a confidential manner.

d. Except as r e q u i r e d or a u t h o r i z e d b y t h e t e r m s of t h i s A g r e e m e n t or t h e
P a r t i e s acting together, no m e m b e r of t h e M o n i t o r i n g T e a m s h a l l m a k e
any o r a l or w r i t t e n p u b l i c statements — i n c l u d i n g b u t not l i m i t e d to

19
 statements to the press, conference presentations, lectures, or articles
— w i t h r e g a r d to: t h e s t a t u s of t h e State's compliance or
noncompliance w i t h t h i s A g r e e m e n t ; any act or omission of t h e State
or i t s agents, representatives or employees; or t h e t e r m s of h i s or her
e m p l o y m e n t on the M o n i t o r i n g T e a m .

e. Except as r e q u i r e d or a u t h o r i z e d b y t h e t e r m s of t h i s A g r e e m e n t or t h e
Parties a c t i n g together, no M o n i t o r s h a l l testify i n a n y other l i t i g a t i o n
or proceeding w i t h r e g a r d to t h e status of the State's compliance or
noncompliance w i t h t h i s A g r e e m e n t ; any act or omission of t h e State
or i t s agents, representatives or employees; or t h e t e r m s of h i s or h e r
e m p l o y m e n t o n t h e M o n i t o r i n g T e a m , unless o t h e r w i s e l a w f u l l y
compelled t o do so. The M o n i t o r s m a y testify i n t h i s l i t i g a t i o n
concerning t h e State's compliance or noncompliance w i t h t h i s
Agreement.

f. Unless such conflict is w a i v e d by b o t h Parties, members of t h e

M o n i t o r i n g T e a m s h a l l n o t accept e m p l o y m e n t or provide c o n s u l t i n g
services t h a t w o u l d present a conflict of i n t e r e s t w i t h t h e i r
responsibilities u n d e r t h i s A g r e e m e n t , i n c l u d i n g b e i n g r e t a i n e d (on a
p a i d or u n p a i d basis) b y a n y c u r r e n t or f u t u r e l i t i g a n t or c l a i m a n t or
. such l i t i g a n t ' s or c l a i m a n t ' s a t t o r n e y , i n connection w i t h a c l a i m or s u i t
against t h e State or i t s d e p a r t m e n t s , officers, agents or employees
concerning m a t t e r s r e l e v a n t to t h i s A g r e e m e n t .

g. N e i t h e r P a r t y , nor any employee or agent of e i t h e r P a r t y , s h a l l have

any supervisory a u t h o r i t y over t h e M o n i t o r i n g Team's activities, .
reports, f i n d i n g s , or recommendations.

h. M e m b e r s of t h e M o n i t o r i n g T e a m m a y be t e r m i n a t e d i f b o t h P a r t i e s
agree a n d u p o n good cause s h o w n . Good cause s h a l l include any
v i o l a t i o n of State or federal l a w w h i c h reasonably calls i n t o question
t h e M o n i t o r i n g T e a m member's fitness to continue s e r v i n g as a
member of t h e M o n i t o r i n g T e a m . I n t h e event t h e P a r t i e s do n o t agree
u p o n t h e need for t e r m i n a t i o n , t h e Parties agree to w o r k i n good f a i t h
to resolve t h e i r differences.

62. M o n i t o r i n g T e a m a c c e s s t o F a c i l i t i e s a n d r e c o r d s . I n order to assess

t h e S t a t e ' s - i m p l e m e n t a t i o n of each substantive p r o v i s i o n of t h i s A g r e e m e n t ,
. t h e M o n i t o r i n g T e a m w i l l conduct r e g u l a r compliance reviews to ensure t h a t
t h e State has i m p l e m e n t e d a n d continues to i m p l e m e n t a l l measures
r e q u i r e d by t h i s A g r e e m e n t .

20
T h e f i r s t compliance r e v i e w w i l l be conducted a p p r o x i m a t e l y eight (8)
-4#^ek^fmm^he^ppa^^ -
p a r a g r a p h 64 of t h i s A g r e e m e n t . Thereafter, r o u t i n e compliance
reviews w i l l be conducted by the M o n i t o r i n g T e a m a p p r o x i m a t e l y
every six (6) m o n t h s at each of the F a c i l i t i e s u n t i l t h i s A g r e e m e n t is
t e r m i n a t e d . Such r o u t i n e compliance reviews w i l l assess t h e State's
compliance w i t h each of t h e substantive r e m e d i a l measures set f o r t h i n
Section I I I . The U n i t e d States a n d t h e M o n i t o r i n g T e a m s h a l l consult
w i t h the State to schedule m u t u a l l y acceptable dates for t h e
compliance reviews.

T h e U n i t e d States m a y determine t h a t a n a d d i t i o n a l compliance

r e v i e w or reviews is necessary due to emergent issues at a F a c i l i t y
( i n c l u d i n g b u t n o t l i m i t e d to t h e d e a t h of a y o u t h or receipt of credible
allegations of sexual abuse by staff of y o u t h ) or r e c u r r i n g problems
w i t h substantive p r o v i s i o n ^ ) of t h e A g r e e m e n t . I f t h e U n i t e d States
believes t h a t such a d d i t i o n a l compliance reviews are necessary, the
U n i t e d States a n d t h e M o n i t o r i n g T e a m s h a l l consult w i t h t h e State to
schedule m u t u a l l y acceptable dates for such a d d i t i o n a l compliance
reviews.

A t each, compliance review, each M o n i t o r s h a l l have t h e r e s p o n s i b i l i t y

a n d a u t h o r i t y to i n d e p e n d e n t l y observe, assess, r e v i e w , a n d r e p o r t on
t h e State's i m p l e m e n t a t i o n a n d compliance w i t h t h e provisions of t h i s
A g r e e m e n t . I n order t o accurately assess conditions a t each F a c i l i t y ,
each M o n i t o r s h a l l : conduct on-site inspections; observe p r o g r a m s a n d
activities; i n t e r v i e w p e r t i n e n t a d m i n i s t r a t o r s , professional staff, direct
care staff, a n d contractors; i n d i v i d u a l l y i n t e r v i e w a sample of y o u t h ;
a n d conduct d e t a i l e d reviews of y o u t h records a n d o t h e r p e r t i n e n t
documents. T h e M o n i t o r i n g Team s h a l l spend a sufficient a m o u n t of ,
t i m e at each F a c i l i t y i n order to accurately assess day-to-day
operations a n d conditions. The M o n i t o r i n g T e a m s h a l l be responsible
for i n d e p e n d e n t l y v e r i f y i n g representations f r o m t h e State r e g a r d i n g
progress t o w a r d compliance, e x a m i n i n g s u p p o r t i n g d o c u m e n t a t i o n
where applicable.

W i t h i n s i x t y (60) days after each compliance review, t h e M o n i t o r i n g

T e a m s h a l l file w i t h t h e C o u r t a f i n a l consolidated r e p o r t w h i c h
describes the steps t a k e n by the State t o i m p l e m e n t t h i s A g r e e m e n t ,
evaluates t h e e x t e n t to w h i c h the State has complied w i t h each
substantive p r o v i s i o n of t h e A g r e e m e n t , cites the evidence u p o n w h i c h
such e v a l u a t i o n is based, a n d provides recommendations. E a c h r e p o r t
s h a l l be p r o v i d e d to t h e P a r t i e s i n d r a f t f o r m for c o m m e n t w i t h i n
t w e n t y - e i g h t (28) days after each compliance review, a n d t h e Parties

21
 s h a l l have t w e n t y (20) days after receipt of t h e d r a f t r e p o r t t o comment
o n t h e r e p o r t before i t is f i n a l i z e d b y t h e M o n i t o r i n g T e a m . N e i t h e r
PaTty7howweTTsh~all^^
reports, f i n d i n g s , or recommendations.

e. F o r the purpose of a s c e r t a i n i n g compliance w i t h t h i s A g r e e m e n t , t h e

M o n i t o r i n g T e a m s h a l l have reasonable access t o : t h e b u i l d i n g s a n d
grounds of each F a c i l i t y ; F a c i l i t y documents a n d records; OCFS
documents a n d records; F a c i l i t y officials, employees, agents, a n d
independent contractors; OCFS officials, employees, agents, a n d
independent contractors; a n d y o u t h r e s i d i n g a t t h e F a c i l i t i e s , i n c l u d i n g
t h e r i g h t to meet w i t h y o u t h p r i v a t e l y . The M o n i t o r i n g T e a m s h a l l
coordinate t h e t i m i n g of i t s on-site F a c i l i t y v i s i t s a n d requests for
documents so as t o m i n i m i z e d i s r u p t i o n to F a c i l i t y operations a n d
State employee w o r k functions. Such access s h a l l c o n t i n u e u n t i l t h i s
A g r e e m e n t is t e r m i n a t e d i n accordance w i t h t h e t e r m i n a t i o n
provisions h e r e i n .

S e t t l e m e n t a g r e e m e n t c o o r d i n a t o r . T h e State s h a l l a p p o i n t a s e t t l e m e n t
agreement coordinator t o oversee compliance w i t h t h i s A g r e e m e n t . T h e
s e t t l e m e n t agreement coordinator s h a l l :

a. Develop reports r e g a r d i n g compliance w i t h t h i s A g r e e m e n t a n d

provide such reports t o t h e U n i t e d States a n d the M o n i t o r i n g T e a m
every six m o n t h s u n t i l t h i s A g r e e m e n t is t e r m i n a t e d . T h e f i r s t r e p o r t
s h a l l be p r o v i d e d b y the settlement agreement coordinator six m o n t h s ,
after the a p p r o v a l o f t h e master a c t i o n p l a n as set f o r t h p a r a g r a p h 64
of t h i s A g r e e m e n t .

b. Provide to t h e U n i t e d States a n d t h e M o n i t o r i n g T e a m t h e r a w d a t a
u p o n w h i c h each compliance r e p o r t is based, a n y reports p r e p a r e d b y
t h e State's t e c h n i c a l consultants r e g a r d i n g compliance w i t h t h i s
Agreement, a n d a n y other reports r o u t i n e l y s u b m i t t e d t o t h e p o i n t of
contact r e g a r d i n g compliance w i t h t h i s Agreement.

M a s t e r A c t i o n P l a n ( M A P ) . W i t h i n s i x t y (60) days of t h e Effective D a t e of

t h i s A g r e e m e n t , t h e State s h a l l s u b m i t t o t h e U n i t e d States for r e v i e w a n d
a p p r o v a l a master a c t i o n p l a n ("MAP") t o i m p l e m e n t t h e provisions of t h e
A g r e e m e n t . T h e purpose of t h e M A P is t o provide a p r a c t i c a l f r a m e w o r k for
t h e actions the State a n d OCFS m u s t t a k e o n b o t h systemic a n d F a c i l i t y t
specific levels t o effectuate t h e substantive provisions of t h i s A g r e e m e n t . I t
s h a l l be periodically reviewed, modified, u p d a t e d , a n d approved b y t h e
U n i t e d States t h r o u g h o u t t h e t e r m of t h i s A g r e e m e n t . T h e M A P s h a l l :

22
 a. Set f o r t h specific t a r g e t a n d deadline dates for i m p l e m e n t a t i o n of
goals, objectives, a n d t a s k s to effectuate compliance w i t h t h i s
A g r e e m e n t i n a t i m e l y a n d effective m a n n e r .

b. I n c l u d e a t i m e l i n e for t h e r e v i s i o n or development of w r i t t e n policies,

procedures, protocols, t r a i n i n g m a t e r i a l s , screening a n d assessment
tools, or other documents needed t o effectuate t h e provisions of t h i s
Agreement.

c. Designate t h e persons responsible for oversight a n d i m p l e m e n t a t i o n of

tasks o u t l i n e d i n t h e M A P .

d. I n c l u d e copies of any w r i t t e n policies, procedures, protocols, t r a i n i n g

m a t e r i a l s , screening a n d assessment tools, or o t h e r documents
r e l e v a n t to t h e provisions of t h i s A g r e e m e n t and/or w h i c h are cited i n
t h e M A P , a n d t h a t have been created or revised before t h e c o m p l e t i o n
of t h e M A P .

A p p r o v a l of t h e M A P a n d a n y subsequent modifications s h a l l not be

unreasonably w i t h h e l d .

65. I f requested by t h e State, t h e U n i t e d States a n d the M o n i t o r i n g T e a m w i l l

provide technical assistance t o the State i n developing t h e i n i t i a l a n d
subsequent i t e r a t i o n s of t h e M A P .

66. I f t h e U n i t e d States has a n y objection t o t h e M A P , i t w i l l provide i t s

objections a n d recommended modifications to t h e M A P w i t h i n t h i r t y (30)
days of receipt of t h e M A P f r o m the State.

67. T h e State s h a l l evaluate i t s adherence t o t h e M A P i n c o n s u l t a t i o n w i t h t h e

U n i t e d States a n d t h e M o n i t o r i n g T e a m o n at least a n a n n u a l basis a n d o n
t h e basis of those c o n s u l t a t i o n s . The State s h a l l update or m o d i f y t h e M A P
i n c o n s u l t a t i o n w i t h t h e U n i t e d States a n d t h e M o n i t o r i n g T e a m to effectuate
compliance w i t h t h i s A g r e e m e n t i n a t i m e l y a n d effective m a n n e r .

68. D o c u m e n t d e v e l o p m e n t a n d r e v i s i o n . The State s h a l l t i m e l y revise

and/or develop policies a n d procedures, forms, screening tools, b l a n k log
forms, a n d other documents as necessary to ensure t h a t t h e y are consistent
w i t h , incorporate, address, a n d i m p l e m e n t a l l provisions of t h i s A g r e e m e n t .

a. W i t h i n s i x t y (60) days of i t s receipt of t h e policies, procedures a n d

other w r i t t e n documents, t h e U n i t e d States s h a l l p r o v i d e e i t h e r
w r i t t e n a p p r o v a l of each document, or w r i t t e n concerns or objections i t
has to t h e documents t h a t i n c l u d e proposed revisions. Such a p p r o v a l

23
 s h a l l n o t be unreasonably w i t h h e l d . I n t h e event t h a t t h e U n i t e d
States asserts t h a t policies, procedures, or_other w r i t t e n documents are
~ n o t i n compliance w i t h t h e t e r m s of t h i s A g r e e m e n t , t h e Parties w i l l
confer o n t h e m a t t e r for u p t o t h i r t y (30) days. I f i t is u l t i m a t e l y
d e t e r m i n e d b y t h e Parties t h a t revisions are r e q u i r e d i n order t o m a k e
such policies consistent w i t h t h i s A g r e e m e n t , t h e P a r t i e s s h a l l w i t h i n
t e n (10) days, agree t o a schedule for t h e State t o s u b m i t revisions. I f
the U n i t e d States does n o t p r o v i d e w r i t t e n a p p r o v a l or concerns
r e g a r d i n g a document w i t h i n n i n e t y (90) days of receipt, t h e document
s h a l l be considered approved. I f , after t h e policies, procedures, a n d
practices affected b y t h i s A g r e e m e n t are i m p l e m e n t e d , a n y of t h e
Parties determines t h a t a policy, procedure, or practice, as
i m p l e m e n t e d , fails t o effectuate t h e t e r m s o f t h i s A g r e e m e n t , t h e State
s h a l l consult w i t h t h e U n i t e d States a n d revise t h e policy, procedure,
or practice t o effectuate t h e t e r m s of t h i s A g r e e m e n t .

69. R e q u e s t for t e c h n i c a l a s s i s t a n c e . T h e U n i t e d States, a t i t s discretion,

a n d t h e M o n i t o r i n g T e a m agree t o p r o v i d e t e c h n i c a l assistance to t h e State
for policy/procedure development i n general, a n d i n p a r t i c u l a r , for
policy/procedure a n d p r o g r a m development for g i r l s ' facilities, conflict
resolution, a p p r o p r i a t e use of r e s t r a i n t s , security classification of y o u t h , a n d
positive y o u t h development.

70. U n i t e d S t a t e s a c c e s s t o F a c i l i t i e s a n d r e c o r d s . T h e U n i t e d States a n d
i t s attorneys s h a l l have f u l l a n d complete access t o : t h e b u i l d i n g s a n d
grounds of each F a c i l i t y ; F a c i l i t y documents a n d records; O C F S documents
a n d records; F a c i l i t y officials, employees, agents, a n d i n d e p e n d e n t
contractors; O C F S officials, employees, agents, a n d i n d e p e n d e n t contractors;
a n d y o u t h r e s i d i n g a t t h e Facilities, i n c l u d i n g t h e r i g h t t o meet w i t h y o u t h
p r i v a t e l y . Such access s h a l l continue u n t i l t h i s A g r e e m e n t is t e r m i n a t e d i n
accordance w i t h t h e t e r m i n a t i o n provisions h e r e i n . T h e U n i t e d States s h a l l
have t h e r i g h t t o conduct u n a n n o u n c e d v i s i t s t o t h e F a c i l i t i e s ; however, t h e
U n i t e d States s h a l l generally coordinate t h e t i m i n g of i t s on-site F a c i l i t y
v i s i t s a n d requests for documents so as t o m i n i m i z e d i s r u p t i o n t o F a c i l i t y
operations a n d State employees' w o r k functions.

71. R e s p o n s e t o q u e s t i o n s . W i t h i n t h i r t y (30) days of t h e receipt of w r i t t e n

questions f r o m t h e U n i t e d States r e g a r d i n g the State's compliance w i t h t h i s
.«.,..»•,•«.. A g r e e m e n t , t h e State s h a l l provide t h e U n i t e d States w i t h w r i t t e n answers
a n d access to a n y requested documents r e g a r d i n g t h e State's compliance w i t h
t h e r e q u i r e m e n t s of t h i s A g r e e m e n t . T h e U n i t e d States s h a l l p r o v i d e t h e
State w i t h w r i t t e n responses t o a n y questions r e g a r d i n g t h e State's
compliance w i t h t h e A g r e e m e n t w i t h i n t h i r t y (30) days of t h e receipt of such
questions.

24
79, M o n i t o r ' s r e s p o n s e tojqpjestions. W i t h i n t h i r t y (30) d a y s n f the, r e c e i p t of
w r i t t e n questions f r o m t h e U n i t e d States r e g a r d i n g a M o n i t o r ' s a c t i v i t i e s i n
assessing compliance w i t h t h i s A g r e e m e n t and/or t h e State's compliance w i t h
t h i s A g r e e m e n t , the M o n i t o r s h a l l provide t h e U n i t e d States w i t h w r i t t e n
answers.

73. N o t i f i c a t i o n o f t h e U n i t e d S t a t e s of i n c i d e n t s . T h e State s h a l l n o t i f y t h e
U n i t e d States no l a t e r t h a n one business day after t h e State becomes aware
of t h e f o l l o w i n g categories of incidents: y o u t h d e a t h ; any y o u t h i n j u r y
r e s u l t i n g i n t r a n s p o r t of t h e y o u t h to t h e emergency room or r e q u i r i n g
h o s p i t a l i z a t i o n ; a n d allegations of custodial sexual misconduct i n v o l v i n g
sexual contact.

a. T h e State s h a l l t i m e l y f o r w a r d to t h e U n i t e d States copies of a l l

i n c i d e n t reports a n d f i n a l reports of i n v e s t i g a t i o n s r e l a t e d to such
incidents, as w e l l as a n y autopsies, m o r t a l i t y reviews, a n d d e a t h
summaries.

b. F o r t h e purposes of t h i s p r o v i s i o n , t h e r e q u i r e m e n t t o n o t i f y t h e U n i t e d
States is m e t w h e n t h e State contacts a t least one of t h e Special
L i t i g a t i o n Section t r i a l attorneys assigned t o t h i s m a t t e r .

74. C o n f i d e n t i a l i t y . W i t h respect to non-public i n f o r m a t i o n , t h e P a r t i e s agree

t h a t t h e r e is a v a l i d a n d r e l e v a n t C o n f i d e n t i a l i t y A g r e e m e n t i n place,
a t t a c h e d hereto as a d d e n d u m n u m b e r 1, i n c o r p o r a t e d h e r e i n a n d made a p a r t
hereof, a n d f u r t h e r agrees to continue to abide b y t h e t e r m s thereof.

V. E N F O R C E M E N T AND T E R M I N A T I O N

75. N o t i c e p r i o r to j u d i c i a l a c t i o n . W i t h t h e exception of conditions or

practices t h a t pose a n i m m e d i a t e a n d serious t h r e a t to t h e life, h e a l t h , or
safety of y o u t h , i f t h e U n i t e d States believes t h a t t h e State has f a i l e d to
s u b s t a n t i a l l y comply w i t h a n y o b l i g a t i o n u n d e r t h i s A g r e e m e n t , t h e U n i t e d
States s h a l l give w r i t t e n notice of t h e f a i l u r e t o t h e State p r i o r t o seeking
j u d i c i a l enforcement of t h e A g r e e m e n t .

a. W i t h t h e exception-of a n i m m e d i a t e or serious t h r e a t t o l i f e , h e a l t h , or
safety of y o u t h r e s i d i n g a t t h e F a c i l i t i e s , t h e State s h a l l have t h i r t y
'. (30) days f r o m the date of such w r i t t e n notice t o cure t h e f a i l u r e a n d
provide t h e U n i t e d States w i t h sufficient proof of i t s cure i f t h e f a i l u r e
can be c u r e d w i t h i n t h i r t y (30) days. I f t h e f a i l u r e cannot be c u r e d
w i t h i n t h i r t y (30) days, t h e State s h a l l p r o m p t l y s u b m i t a p l a n to cure

25
 the f a i l u r e , b u t , i n any event, no l a t e r t h a n forty-five (45) days f r o m
r e c e i p t of t h e w r i t t e n notice.

b. I f either t h e State or the U n i t e d States believes or i f t h e P a r t i e s agree

t h a t m o d i f i c a t i o n of t h i s A g r e e m e n t is r e q u i r e d to cure t h e f a i l u r e , t h e
P a r t y or P a r t i e s s h a l l move t h e C o u r t to modify t h e A g r e e m e n t .

c. I f t h e Parties agree to a p l a n to cure a n alleged v i o l a t i o n a n d t h e

U n i t e d States beheves t h a t t h e v i o l a t i o n has s t i l l n o t b e e n cured, t h e
U n i t e d States m u s t provide a t least f i f t e e n (15) days notice before
f i l i n g any m o t i o n w i t h the C o u r t .

d. I n the event a disagreement occurs, t h e U n i t e d States a n d t h e State

c o m m i t to w o r k i n good f a i t h to resolve disputes; p r o v i d e d , however,
n o t h i n g i n t h i s s u b p a r a g r a p h s h a l l impede r e s o l u t i o n of a m a t t e r
deemed by t h e U n i t e d States to present a n i m m e d i a t e a n d serious
t h r e a t to t h e life, h e a l t h , or safety of y o u t h .

e. T h e State reserves t h e r i g h t t o seek j u d i c i a l review, u p o n m o t i o n to t h e

Court, i n t h e event t h e U n i t e d States makes a d e t e r m i n a t i o n t h a t t h e
State has f a i l e d to s u b s t a n t i a l l y comply w i t h any o b l i g a t i o n u n d e r t h i s
Agreement.

76. E x i g e n t c i r c u m s t a n c e s d e f e n s e . I f t h e U n i t e d States i n s t i t u t e s j u d i c i a l
enforcement of t h i s A g r e e m e n t , t h e State reserves t h e r i g h t to raise as a
defense exigent circumstances i n t h e State, i n c l u d i n g b u t n o t l i m i t e d t o :
economic recession, fiscal constraints, necessary d i v e r s i o n of resources a n d
personnel i n t h e event of w i d e s p r e a d t h r e a t to p u b l i c h e a l t h , a n act of w a r , or
l e g a l i m p o s s i b i l i t y . T h e U n i t e d States reserves t h e r i g h t t o oppose any such
claim.

77. T e r m i n a t i o n . T h i s A g r e e m e n t s h a l l t e r m i n a t e i n accordance w i t h t h e
f o l l o w i n g conditions:

a. The A g r e e m e n t w i l l t e r m i n a t e i n i t s e n t i r e t y w h e n t h e U n i t e d States
certifies t h a t t h e State is i n s u b s t a n t i a l compliance w i t h a l l provisions
of t h i s A g r e e m e n t for t w e l v e (12) consecutive m o n t h s .

b. The State m a y , a t any t i m e d u r i n g t h e t e r m of t h i s A g r e e m e n t , request

t h a t the U n i t e d States c e r t i f y t h a t t h e State has m a i n t a i n e d
s u b s t a n t i a l compliance w i t h a l l provisions of t h i s A g r e e m e n t for t w e l v e
(12) consecutive m o n t h s . I f t h e U n i t e d States so certifies, t h i s
Agreement w i l l terminate i n its entirety.

26
c. T h e State m a y , a t any t i m e d u r i n g t h e t e r m of t h i s A g r e e m e n t , request
t h a t the U n i t e d States certify t h a t t h e State has m a i n t a i n e d
s u b s t a n t i a l compliance for t w e l v e (T2) consecutive m o n t h s witTTthls
A g r e e m e n t w i t h respect to one or more F a c i l i t i e s . I f t h e U n i t e d States
so certifies, t h i s A g r e e m e n t w i l l t e r m i n a t e w i t h respect to s a i d F a c i l i t y
or F a c i l i t i e s .

d. T h e State may, a t a n y t i m e d u r i n g t h e t e r m of t h i s A g r e e m e n t , request

t h a t t h e U n i t e d States certify t h a t t h e State has m a i n t a i n e d
s u b s t a n t i a l compliance for t w e l v e (12) consecutive m o n t h s w i t h a
p o r t i o n of t h i s A g r e e m e n t w i t h respect t o one or more F a c i l i t i e s . I f t h e
U n i t e d States so certifies, t h i s A g r e e m e n t w i l l t e r m i n a t e w i t h respect
to such portions i n such F a c i l i t i e s i n d e p e n d e n t l y of o t h e r p o r t i o n s of
t h i s A g r e e m e n t . F o r purposes of t h i s p a r a g r a p h , " p o r t i o n " s h a l l m e a n
a l l provisions t h a t r e l a t e to e i t h e r Section I I I . A or I I I . B of t h i s
Agreement.

e. T h e U n i t e d States s h a l l n o t i f y t h e State b y t h e f i f t y - e i g h t h (58) m o n t h

after the Effective D a t e of t h i s A g r e e m e n t i f i t has d e t e r m i n e d t h a t t h e
State w i l l not be i n s u b s t a n t i a l compliance w i t h t h i s A g r e e m e n t , or
p o r t i o n s thereof, i n m o n t h s i x t y (60) of t h i s A g r e e m e n t . I f t h e U n i t e d
States provides s u c h n o t i f i c a t i o n , t h e p a r t i e s s h a l l discuss t h e
a n t i c i p a t e d date of f u l f i l l m e n t of the provisions of t h i s A g r e e m e n t a n d
m a y agree to revise t h e M A P accordingly. I f t h i s A g r e e m e n t s h a l l n o t
have t e r m i n a t e d b y t h e s i x t i e t h (60) month, of t h i s A g r e e m e n t , t h e
U n i t e d States s h a l l n o t i f y t h e State every six (6) m o n t h s t h e r e a f t e r ,
b e g i n n i n g w i t h t h e s i x t y - s i x t h (66) m o n t h after the effective date, of
w h e t h e r i t w i l l c e r t i f y t h a t t h e State has been i n s u b s t a n t i a l
compliance for t w e l v e (12) consecutive m o n t h s w i t h t h i s A g r e e m e n t , or
p o r t i o n s thereof, a n d , i f i t w i l l not so certify, the basis for i t s
d e t e r m i n a t i o n t h a t t h e State has n o t achieved s u b s t a n t i a l compliance.

f. I f t h e U n i t e d States certifies a t any t i m e t h a t the State is i n

s u b s t a n t i a l compliance for t w e l v e (12) consecutive m o n t h s w i t h : (1)
the e n t i r e t y of t h i s A g r e e m e n t p u r s u a n t t o p a r a g r a p h s (a), (b) or (e);
(2) t h i s A g r e e m e n t w i t h respect to a F a c i l i t y or F a c i l i t i e s p u r s u a n t t o
p a r a g r a p h (c); or (3) a p o r t i o n of t h i s A g r e e m e n t w i t h respect to a
F a c i l i t y or F a c i l i t i e s p u r s u a n t to p a r a g r a p h (d); t h e p a r t i e s s h a l l
j o i n t l y move t h e C o u r t to dismiss t h i s a c t i o n i n whole or i n p a r t .

g. T h e State reserves t h e r i g h t to seek j u d i c i a l t e r m i n a t i o n of t h i s

A g r e e m e n t i f t h e State believes t h a t i t has been i n s u b s t a n t i a l
compliance w i t h t h e provisions of t h i s A g r e e m e n t , as set f o r t h i n
p a r a g r a p h s (a) (b) (c), or (d) of t h i s section a n d the U n i t e d States

27
 refuses to c e r t i f y t h a t t h e State has been i n s u b s t a n t i a l compliance for
t w e l v e (12) c o n p s e c u t i ^ p ^ m o n t h s ,

h. A d e t e r m i n a t i o n t h a t the State is i n s u b s t a n t i a l compliance s h a l l n o t

be unreasonably w i t h h e l d .

i. A n y alleged noncompliance m u s t be systemic. Noncompliance w i t h

mere technicalities or t e m p o r a r y f a i l u r e to comply w i t h a p e r i o d of
otherwise s u s t a i n e d compliance w i l l n o t constitute f a i l u r e to m a i n t a i n
s u b s t a n t i a l compliance. A t t h e same t i m e , i n t e r m i t t e n t or t e m p o r a r y
compliance d u r i n g a p e r i o d of s u s t a i n e d noncompliance s h a l l n o t
constitute s u b s t a n t i a l compliance.

j. P u r s u a n t to t h e P L R A , 18 U.S.C. 3626(b), t h e State reserves t h e r i g h t

to seek j u d i c i a l t e r m i n a t i o n of t h i s Agreement, or p o r t i o n s thereof,
u p o n m o t i o n t o t h e Court. The State s h a l l give w r i t t e n notice t o t h e
U n i t e d States p r i o r to seeking such a t e r m i n a t i o n .

VI. G E N E R A L PROVISIONS

78. S u c c e s s o r s . T h i s A g r e e m e n t s h a l l be b i n d i n g on a l l successors, assignees,

employees, agents, contractors, a n d a l l others w o r k i n g for or on b e h a l f of t h e
State.

79. N o n - r e t a l i a t i o n . The State agrees t h a t i t s h a l l not r e t a l i a t e against a n y

person because t h a t person has p r o v i d e d a n y i n f o r m a t i o n or assistance t o t h e
U n i t e d States or t h e M o n i t o r i n g T e a m , has f i l e d or w i l l file a c o m p l a i n t , or
has p a r t i c i p a t e d i n any other m a n n e r i n a n i n v e s t i g a t i o n or proceeding
r e l a t i n g to t h i s A g r e e m e n t . The State agrees t h a t i t s h a l l t i m e l y a n d
t h o r o u g h l y investigate any allegations of r e t a l i a t i o n i n v i o l a t i o n of t h i s
A g r e e m e n t a n d t a k e any necessary a n d legally permissible corrective actions
i d e n t i f i e d t h r o u g h such i n v e s t i g a t i o n s .

80. N o t i c e . "Notice" u n d e r t h i s A g r e e m e n t s h a l l be p r o v i d e d b y electronic m a i l

a n d o v e r n i g h t d e l i v e r y a n d s h a l l be p r o v i d e d to counsel for t h e State of N e w
Y o r k a n d OCFS a n d counsel for the U n i t e d States.

81. D e f e n s e of a g r e e m e n t . The Parties agree to defend t h e provisions of t h i s

A g r e e m e n t . The P a r t i e s s h a l l n o t i f y each other of a n y c o u r t challenges to
t h i s A g r e e m e n t . I n the event any p r o v i s i o n of t h i s A g r e e m e n t is challenged
i n any local or state court, r e m o v a l to a federal court s h a l l be sought.

82. N o w a i v e r for f a i l u r e t o e n f o r c e . F a i l u r e by e i t h e r P a r t y to enforce t h i s

e n t i r e A g r e e m e n t or a n y p r o v i s i o n t h e r e o f w i t h respect to any deadline or

28
 other p r o v i s i o n h e r e i n s h a l l n o t be construed as a w a i v e r of i t s r i g h t to
enforce deadlines or provisions of t h i s A g r e e m e n t .

83. U n f o r e s e e n d e l a y . I f a n unforeseen circumstance occurs t h a t causes a

f a i l u r e t o t i m e l y f u l f i l l any r e q u i r e m e n t of t h i s A g r e e m e n t , t h e State s h a l l
n o t i f y t h e U n i t e d States i n w r i t i n g w i t h i n t w e n t y (20) days a f t e r t h e State
becomes aware of t h e unforeseen circumstance a n d i t s i m p a c t on t h e State's
a b i l i t y to p e r f o r m u n d e r the A g r e e m e n t . The notice s h a l l describe t h e cause
of t h e f a i l u r e t o p e r f o r m a n d t h e measures t a k e n to p r e v e n t or m i n i m i z e t h e
f a i l u r e . T h e State s h a l l t a k e a l l reasonable measures to a v o i d or m i n i m i z e
any such f a i l u r e .

84. A p p r o p r i a t i o n s . The State, t h r o u g h t h e Governor, agrees t o propose a n

a p p r o p r i a t i o n i n order to f u l f i l l t h e obligations of t h e State u n d e r t h i s
A g r e e m e n t i n t h e Executive B u d g e t each year d u r i n g t h e t e r m of t h e
A g r e e m e n t i n a n a m o u n t sufficient to meet i t s obligations h e r e u n d e r , a n d
w i l l w o r k i n good f a i t h to o b t a i n legislative a p p r o v a l .

85. S u b - h e a d i n g s . A l l subheadings i n t h i s A g r e e m e n t are w r i t t e n for t h e

convenience of l o c a t i n g i n d i v i d u a l provisions. I f questions arise as to the
meanings of i n d i v i d u a l provisions, the Parties s h a l l follow t h e t e x t of each
provision.

86. S e v e r a b i l i t y . I n t h e event t h a t a n y p r o v i s i o n of t h i s A g r e e m e n t is declared

i n v a l i d for any reason by a c o u r t of competent j u r i s d i c t i o n , s a i d f i n d i n g s h a l l
not affect t h e r e m a i n i n g provisions of t h i s A g r e e m e n t .

87. F e e s a n d e x p e n s e s . E a c h P a r t y s h a l l bear t h e cost of t h e i r fees a n d

expenses i n c u r r e d i n connection w i t h t h i s m a t t e r .

29
Respectfully submitted71Eis"/f^aay of^^T^OTO

FOR THEUNITED STATES:

T H O M A S PEREZ
Assistant Attorney General
Civil Rights Division

S A M U E L R. B A G E N S T O S
Principal Deputy Assistant
Attorney General
Civil Rights Division

J U D Y C. P R E S T O N
Acting Chief
Special L i t i g a t i o n Section

JJ/LIE K. A B B A T E
Acting Deputy Chief
Special L i t i g a t i o n Section

ALYSSAC. LAREAU
Trial Attorney
Special L i t i g a t i o n Section
Civil Rights Division
U.S. D e p a r t m e n t o f Justice
950 P e n n s y l v a n i a A v e n u e , N W
P H B 5519
W a s h i n g t o n , D C 20530
Telephone: (202) 305-2994
Facsimile: (202) 514-4883
E m a i l : Alyssa.Lareau@usdoj.gov

30
Dated:
PETER J . KIERNAN
Counsel to the Governor

THE NEW YORK STATE OFFICE OF

CHILDREN AND F A M I L Y SERVICES

Dated:
UN WALKER BRYCE
Deputy Commissioner and General Counsel
New York State Office of
Children and Family Services

ANDREW M . CUOMO
Attorney General of the'State of New York
ATTORNEY FOR DEFENDANTS

Dated:
MEGAN L i
Deputy Attorney General, Of Counsel
Bar Roll No. 516377
The Capitol
Albany, NY 12224
Phone: (518) 473-8946
Facsimile: (518) 408-2263
Email: Meg.Levine@ag.ny.gov

31
SO O R D E R E D T H I S D A Y OF , 2010

U.S. D I S T R I C T J U D G E

32
Addendum 1
 PPR--23-2008 04:53 DOJ/SPL 202 514 0212 P.02/04

CONFIDENTIALITY AGREEMENT
between
' T H E UNITED STATES DEPARTMENT OF J U S T I C E
andPI —
T H E N E W Y O R K S T A T E O F F I C E O F CBDDLDREN AND F A M I L Y S E R V I C E S

1. This is an Agreement between the United States Department of Justice ("DOJ")

and the New York State Office of Children and Family Services ("OCFS") ("the Parties")

regarding documents, records, and information collected by the DOJ during the course of its

investigation of the Lansing Residential Center, Louis Gossett Jr. Residential Center, the Tryon

Girls Center, and the Tryon Residential Center pursuant to the Civil Rights of liistitationalized.

Persons Act (CRJPA), 42 U . S . C §199?.

2. All documents, including records of current and former residents and

non-public inforrnation about current and former -residents, shall be subject to the conditions set

forth in this Agreement.

3. Materials included in f 2 above shall be treated as confidential by the

DOJ, and shall not, except as provided below or with the consent of the O C F S , be shared with

any third party. DOJ agrees that disclosure of such documents shall be limited to employees,

agents, consultants or experts of the DOJ.

4. DOJ agrees to maintain the materials included in % 2 above in a confidential

manner and shall ensure that the provisions of this Agreement are made known to agents of DOJ

involved in the investigation, including attorneys, office personnel, consultants, and experts.

DOJ agrees that disposal of confidential documents shall be by burning or shredding only.

5. The DOJ shall adhere to the requirements of Federal law and

regulation, including the Freedom of Ixrformation Act ("FOIA"), 5 U.S.C. § 552 and .the

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 APR-23-2008 04:54 DOJ/SPL 202 514 0212 P.03/04

-2-

Department of Justice 'Touhy*?- regulations, 28 CJFJL § 16.21-16.29. In the event the DOJ

receives a request for materials included in % 2 pursuant to FOIA, the DOJ agrees to assert all

applicable exemptions in protecting the materials from disclosure including 5 U , S C . §§ 552 (b)

(6), (b) (7) (A), (b) (7) (D), (b) (7) (E), and (b) (7) (F). In the event a subpoena or other demand

is served on the DOJ seeking documents or information included in f 2, the D O J will assert all

applicable grounds for non-disclosure including 28 C.F.R. § 16.26.

6, The DOJ will notify me State regarding any request for materials

and/or any judicial challenge to a decision by the DOJ to refuse to disclose to third parties

documents or informatian covered by this Agreement

7. Nothing in mis Agreement shall prohibit the DOJ from using ^formation

contained in documents and records subject to this Agreement in any expert's or consultant's

report,, or findings letters as required by 42 U.S.C. § 1997 c (b). DOJ agrees to replace all

personal identifying information, mcluding names and addresses ofany'mdlvidual, with a

pseudonym and/or other code for the purpose of any such drafts or final documents.

8, In the event of litigation between the Parties, if the Parties use any

document or records included in f 2 in a court filing or as evidence at trial, the Parties shall

redact or otherwise obscure the name or names of the individual(s) and shall redact or obscure
5

the home address of the mdividual(s), or substitute a pseudonym and/or other code. Where the

name or names and/or addresses are an integral part of a document or record, or obscuring the

name and/or address destroys the utility or understandability of the document or record, the

parties shall seek to file the document or record under seal of the Court.

9. This Agreement shallriotbar the DOJ from providing confidential

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 APR-23-2008 04=54 DOJ/SPL 202 514 0212 P.04/04

_Afnrmation. records or documents, or portions therein, ,&s required by Federal law or court order.

10. This Agreement shall be binding on the DOJ, the OCFS, and their respective

attorneys, employees, agents, experts, arid consultants.

On behalf of the United States Department of Justice:

l 1
Amis Murphy / // ~
Senior Trial Attorhiy
Special Litigation Section.
Civil Rights Division
United States Department of Justice .

On behalf of the New York State Office of Children and Family Services:

Date: 4/23/08
JohnA.Ouimet
/Deputy General Counsel
rlew York State Office of Children and
Family Services

TOTAL P.04

2008-04-23 15:21 07286 202 514 0212 » OCFS P 4/4.