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NEW YORK STATE

DEPARTMENT OF CORRECTIONAL

SERVICES

SEX OFFENDER COUNSELING AND

TREATMENT PROGRAM

GUIDELINES OFFICE OF GUIDANCE AND COUNSELING NOVEMBER 2008

TABLE OF CONTENTS Introduction..................................................................................................................... 4 Mission Statement............................................................................................................ 5 Philosophy of Sex Offender Counseling.............................................................................. 5 Overview of Sex Offender Counseling and Treatment Program............................................ 7 Curriculum....................................................................................................................... 8 Program Goals ................................................................................................................. 8 Program Administration & Staff ......................................................................................... 9 Sex Offender Counseling Staff........................................................................................... 9 Modular Program ........................................................................................................ 9 Residential Program ................................................................................................... 9 Counselor Caseloads ........................................................................................................ 9 Sex Offender Counseling Staff Training.............................................................................. 9 PROGRAM ELIGIBILITY Establishing the Sex Offender Counseling Need................................................................ 10 Program Criteria............................................................................................................. 11 ASSESSMENT AND PLACEMENT Assessment ................................................................................................................... 12 Transfer Procedure......................................................................................................... 13 KIPY Codes.................................................................................................................... 14 PROGRAM RELATED POLICIES Policy on Pornography, Photographs and Other Materials ................................................. 15 Contact with Victims....................................................................................................... 15 Confidentiality................................................................................................................ 16 Treatment Amenability ................................................................................................... 16 Legal Concerns .............................................................................................................. 18 Program Refusal ............................................................................................................ 19 Retention Review Committee .......................................................................................... 20 MANAGEMENT OF RECORDS Program Folders............................................................................................................. 22 Records Security ............................................................................................................ 22 Records Confidentiality and Access.................................................................................. 22 Records Depository ........................................................................................................ 22 Processing Inmate Records for Transfer .......................................................................... 22 SOCTP Record ............................................................................................................... 23 Disclosure of Programmatic Record ................................................................................. 23 Access to Clinical Record ................................................................................................ 24 SORA Proceedings.......................................................................................................... 25 ASAT Records ................................................................................................................ 26 TABLE OF CONTENTS (cont.)

PROGRAM DISCHARGE AND READMISSION Program Discharges ....................................................................................................... 27 Satisfactory Discharge .................................................................................................. 27 Administrative Discharge .............................................................................................. 27 Unsatisfactory Discharge .............................................................................................. 28 Readmission to the Program ........................................................................................... 29 Credit for Previous Program Participation......................................................................... 29 Policy for SOCTP Refusers to Gain Entry Into the Program................................................ 29

ATTACHMENTS ATTACHMENT 1 - SOMTA – Article 19 – Sexual Offenses ................................. 31 ATTACHMENT 2 - NYS Sex Offender Registry – Registerable Offenses .............. 32 ATTACHMENT 3 - Waiver of Access to Pornography, Photographs and Other Materials and Other Materials and Amendment to Waiver of Access to Pornography, Photographs and Other Materials . 34 ATTACHMENT 4 - Limits of Confidentiality, Partial Waiver of Confidentiality and Acknowledgement........................................................ 36 ATTACHMENT 5 - Refusal Form ................................................................... 38 ATTACHMENT 6 - HIPAA Form ....................................................................... 39

INTRODUCTION The New York State Department of Correctional Services (DOCS) operates the largest counseling and

treatment program for sex offenders in the nation. The program is offered at maximum and medium

security correctional facilities in the state prison system and is providing comprehensive sex offender

treatment for convicted sex offenders, those convicted of sexually motivated offenses, and other

inmates whose histories, including behavior while incarcerated, indicate that they are likely to benefit

from sex offender counseling and treatment.

Despite increased attention on convicted sex offenders and those convicted of certain designated

offenses, including such initiatives as civil management, sex offender registration and local residency

restrictions, DOCS recognizes that most sex offenders and other inmates with histories of sexual

offending behavior will be released to live and work in our communities. Only a small fraction of sex

offenders will be the subject of a civil management proceeding. Most participants, once released, will

bear the responsibility of controlling their own behaviors. The SOCTP is designed to give convicted

sex offenders, and other inmates with a history of sexual offending behavior, the knowledge and skill

sets that they need to live pro-social, law-abiding and productive lives. It is also designed as a first

step in the on-going continuum of sex offender treatment.

As used in connection with the SOCTP, the term “sex offender” includes all DOCS inmates who are

convicted sex offenders, those convicted of sexually motivated offenses, and other inmates who are

likely to benefit from sex offender counseling. The term “sex offender” is not limited to participants

who are required to register under the Sex Offender Registration Act (Correction Law §168-a) and/or

who are detained sex offenders subject to civil management review under Mental Hygiene Law

§10.03 (g).

These Guidelines are meant to maintain standardization of the SOCTP’s.

MISSION STATEMENT In keeping with the vision of enhancing public safety, DOCS is providing sex offender counseling to

the increasing number of sex offenders and other inmates with histories of sexual offending behavior

in state custody. In accordance with the Sex Offender Management and Treatment Act (SOMTA),

the Department is committed to providing the highest quality and most comprehensive counseling

possible. The primary purpose of the program is to reduce the likelihood of re-offending by assisting

participants in controlling their chain of behaviors that lead to sexual offending.

PHILOSOPHY OF SEX OFFENDER COUNSELING The Department supports and conducts sex offender counseling and treatment programs under the

premise that sex offenders can change and that sexual re-offending behavior can be reduced through

counseling and treatment. If an inmate is referred for review under Mental Hygiene Law, Article 10,

successful completion of the SOCTP will be considered during the evaluations which take place as

part of that process and may be viewed as a factor in the inmate's favor regarding the need for civil

management.

When participants return to the community, supervision and treatment for released sex offenders

needs to be continued. Effective supervision and intervention can be accomplished with the

monitoring of risk behaviors by the New York State Division of Parole and community treatment

providers. Properly monitored and treated sex offenders in a supportive environment are less likely

to re-offend.

PHILOSOPHY OF SEX OFFENDER COUNSELING (cont.)

The Department’s philosophy of counseling sex offenders incorporates the following beliefs and premises: • Sex offenders are completely responsible for their behaviors and their acknowledgement and acceptance of responsibility is possible with counseling. • Sexual abuse results from a series of decisions made by the offender. • It is possible for the participants to learn to monitor and control behaviors which may lead to

sexually abusive behaviors. • Counseling services for sex offenders must be delivered in a professional and ethical manner. • No discrimination is allowed against participants for reasons of race, sexual orientation, ethnicity, age and religious beliefs. • Provision of equal opportunity for active participation in the program is necessary. • Program participants are responsible for their participation and progress in the program. • Monitoring participation and progress is necessary to provide warranted intervention.

OVERVIEW OF THE SEX OFFENDER COUNSELING AND TREATMENT PROGRAM

The Department’s SOCTP is the only recognized program designed to meet the sex offender counseling need of identified participants and others in DOCS custody who could benefit from sex offender counseling and treatment. The program provides counseling for low and moderate to high risk participants. In accordance with Correction Law 622, the length of participation for each inmate to achieve successful completion shall be dependent upon the initial assessment of the inmate’s specific needs and the degree of progress made by the inmate as a participant, but shall not be less than six months. The SOCTP provides residential and modular (non-residential) counseling programs. It is a comprehensive program that incorporates a didactic approach, group counseling and individualized counseling plans. Below is a brief description of both. 1. Residential Therapeutic Community: a setting where general confinement moderate and

high risk participants are housed together in a unit that employs Therapeutic Community (TC) concepts. Participants on these units participate in other programs when not engaged in sex offender counseling, however, most if not all counseling activities occur within the residential unit, including Alcohol and Substance Abuse Treatment (ASAT). Participants may have access to general population activities depending on the rules and policies of the facility. Residential treatment is available for maximum security inmates at Clinton Annex and Shawangunk Correctional Facilities; for medium security inmates at Gowanda, Mid-State and Oneida Correctional Facilities.

2. Modular Program: Provides for a call-out system where participants assemble in a specific

area where ongoing sex offender counseling occurs. The counseling room should ensure for group privacy as much as possible, without violating facility rules. Modular programs are provided for general confinement and special populations as follows: Intermediate Care Units (Attica, Sullivan and Elmira), Special Needs Units (Sullivan, Wende and Arthur Kill), Regional Medical Units (Wende, Walsh, and Fishkill), Protective Custody (Clinton APPU and Collins P.C.), Behavioral Health Units (Great Meadow and Sullivan), Wheelchair Accessible (Groveland), Visually Impaired (Wende), Hearing Impaired (Wende and Sullivan) and General Population (Wende, Great Meadow, Mohawk, Collins, Arthur Kill and Groveland). Modular programs are offered to participants who are low or moderate-high risk for re-offense.

Before an offender starts the program, an orientation is provided where the program-specific standards of behavior and expectations of the program are explained. They are provided with a copy of the SOCTP Inmate Orientation Handbook. The participants in the Residential Program also receive a copy of the Therapeutic Community Handbook. The administration at each facility offering the SOCTP is responsible for providing an acceptable and safe environment for the provision of the program. In addition to sex offender specific counseling, the participants are encouraged and expected to actively pursue other skill building and developmental activities such as education, vocational trades, moral and spiritual development and any other recommended counseling programs as deemed appropriate for the enhancement of wellness and self-esteem. For ongoing support of the recovery process, participants who complete the program are encouraged to continue treatment in the community upon release.

CURRICULUM The SOCTP will adhere to the SOCTP curriculum. The curriculum has been designed in such a way that it allows participants who have had their program interrupted for a short time to restart where they left off. The curriculum covers the following subjects: cognitive distortions, core values and beliefs, understanding sexually abusive behavior, sexual abuse cycle and relapse prevention skills, empathy and awareness, relationships and establishing a discharge plan. Changes to the curriculum are only allowed and directed by the approval of Central Office Guidance. PROGRAM GOALS The main goal of the SOCTP is to help participants advance through the stages below, through education and counseling. Participants should be able to demonstrate to SOCTP staff that they have progressed through these stages. 1. Demonstrate acceptance of responsibility for the sexual offending behavior; 2. Develop and demonstrate understanding of the cycle of sexual offending behavior; and 3. Develop a viable release plan with appropriate relapse intervention and prevention strategies. Progress is measured using the Progress Indicators form adapted from the Vermont Treatment Program for Sexual Aggressors, which establishes treatment objectives and evaluation criteria, and the Sex Offender Treatment Needs and Progress Scale.

PROGRAM ORGANIZATION AND STAFF

PROGRAM ADMINISTRATION Central Office Guidance and Counseling (Guidance) supervises the Sex Offender Counseling and Treatment Program under the direction and administration of the Deputy Commissioner for Program Services. SEX OFFENDER COUNSELING STAFF Modular Program Social Worker Sex Offender Correction Counselor Residential Program Assistant Deputy Superintendent for Programs (Gowanda & Oneida) Psychologist(s) Social Worker(s) Supervising Correction Counselor(s) Sex Offender Correction Counselor(s) Alcohol and Substance Abuse Treatment (ASAT) Counselor(s) Security Staff Clerical staff The program staff functions as a team, including the security staff. To accomplish maximum insight and benefit during the group dynamics, facilities conducting the SOCTP strive to pair male and female group co-facilitators.

COUNSELOR CASELOADS It is recommended that the correction counselors assigned to the SOCTP carry reduced caseloads: fifty (50) in the modular low risk programs (LR) and twenty (20) in the residential and the modular medium/high risk (HR) programs. SEX OFFENDER COUNSELING STAFF TRAINING SOCTP staff must attend a minimum of 32 hours of sex offender specific training per year. Sex offender training opportunities which come to the attention of facility staff must be forwarded to Central Office Guidance for review, approval and, if appropriate, statewide distribution.

PROGRAM ELIGIBILITY

ESTABLISHING THE SEX OFFENDER COUNSELING NEED Inmates will be assigned to participate in the SOCTP, if one or more of the following circumstances apply: 1. The offender is serving a sentence for a sex offense, attempted sex offense or conspiracy to

commit a sex offense as defined by Section 10.03 (p) of the NYS Mental Hygiene Law, including a sentence for a specified offense as a sexually motivated felony under Penal Law Section 130.91 (ATTACHMENT 1 - SOMTA – Article 10 – Sexual Offenses) or any Article 130 sex offense (ATTACHMENT 2).

2. The offender is serving any indeterminate or determinate sentence(s) of imprisonment for any

non-sex crime which also satisfies a sentence for any misdemeanor sex offense (e.g., pursuant to Penal Law Section 70.35).

3. The offender’s instant offense is a guilty plea to a non-sex crime, but there is evidence in the

pre-sentence report or other related documents that behavior of a sexual nature occurred in the commitment of the crime and/or the offender is sentenced on a violation of probation (VOP) for a sex offense.

4. At any time of his incarceration for the instant offense, the offender has a detainer

commitment lodged against him for a misdemeanor sex offense or any other offense that included behavior of a sexual nature.

5. The offender’s instant offense is Failure to Register as a Sex Offender 1st or 2nd offense (COR

Law 168-t). 6. The offender is a Returned Parole Violator (RPV) who had the assessed need of sex offender

counseling before release, but never completed the SOCTP. 7. The offender is a RPV and his supervision was revoked for incurring one or more sexually re-

offending risk factors (lapses) such as, but not limited to: absence of positive supports, non- compliance with supervision and/or treatment, employment instability, or substance abuse. Other risk factors such as prior sexual offending behavior, conflicts in adult relationships, intimacy deficits, deviant sexual arousal patterns, age at onset of sexual offending, same gender victims (male on male) and general and sexual self-regulation difficulties and/or psychopathy will also be reviewed and considered.

8. The reason for the offender’s Parole revocation was of a sexual nature. 9. Guilty finding per the Standards of Inmate Behavior of a sex offense, threats to commit a sex

offense, penal law offense of a sexual nature or attempt thereof.

ESTABLISHING THE SEX OFFENDER COUNSELING NEED (cont.) 10. After completing the SOCTP, the offender is found guilty per the Standards of Inmate

Behavior of committing a sex offense, threats to commit a sex offense, penal law offense of a sexual nature or attempt thereof.

11. After completing the SOCTP, the offender is found guilty per the Standards of Inmate

Behavior of Disobeying a Direct Order for possessing, accessing/using pornography or unauthorized literature, or possession of contraband as defined in the Waiver of Access to Pornography, Photographs and Other Materials and any amendment to the waiver.

The correctional facilities have the authority to establish the sex offender need in the Program/Earned Eligibility Plan of any offender whose instant offense (IO) is a sexual offense as defined by number one above. For all other cases, the correctional facilities are to send to Central Office Guidance an appropriate auto-routed electronic form (e-form) as indicated below and fax the supporting documentation to the Office of Guidance and Counseling ATTN: Sex Offender Counseling staff. Both documents are to be submitted on the same day. NON-SOREF - This e-form will be used to refer cases to Central Office Guidance which meet

criteria #2 through #5. SORPV - This e-form will be used to refer cases to Central Office Guidance which meet

criteria #6 through #8 and for all Returned Parole Violators (no new term) whose IO is a sexual crime as per Article 10 of the Mental Hygiene Law.

After reviewing the e-form referral and submitted documentation, the Central Office SOCTP staff will make a determination about an inmate’s need for sex offender counseling and will send a decision to the requesting facility via the e-mail answer mode. Facility staff will notify the inmate and file the received message in the inmate’s Guidance folder and make a chrono entry of the decision made in the chrono sheet. PROGRAM CRITERIA The following criteria will be followed when admitting inmates into the SOCTP. Central Office Guidance must be consulted if questions concerning eligibility arise. 1. Following best practices, sex offenders will be placed in the SOCTP as they get closer to their

release date: eighteen (18) months to earliest release date (ERD) for low risk participants and thirty six (36) months to conditional release date (CRD) for moderate and high risk participants.

2. Participants must submit to required assessments. See further information on page 12. 3. Participants must sign the Waiver of Access to Pornography, Photographs and Other Materials form (ATTACHMENT 3).

ASSESSMENT AND PLACEMENT ASSESSMENT All participants accepted into the SOCTP will undergo the following assessment process: 1. Re-offending risk is assessed using the STATIC 99 instrument. At reception, re-offending risk

of inmates who have a conviction for one or more offenses specified under MHL §10.03 (p) may be assessed by the Office of Mental Health Sex Offender Assessment Unit. Participants who have not yet had their re-offending risk assessed will be assessed by the SOCTP staff upon their admission to the program. Participants are given a designation of moderate to high or low re-offending risk. The risk level is entered into the F451 computer system under Function Code 82 by Central Office Guidance. When the risk level is entered, it will trigger the placement of the participant’s name on one of two Required Program Lists (RPL). Moderate to high risk (HR) participants are placed on the 87H RPL and low risk (LR) participants are placed on the 87C RPL.

2. Psychosexual evaluations and assessments may also be done by OMH staff for participants

convicted of a crime included within MHL Section 10.03 (p). The Department’s Mental Health staff will complete the Participation Notification Form, available in the orientation section of the curriculum, for all inmates convicted of a crime specified in MHL Section 10.03 (p) who are time eligible to participate in the program. If OMH indicates that an offender should not participate in the program, the offender will not be required to participate in the program and the MPU (medically or psychiatrically unable to participate) status code will be entered in the offender’s Program/Earned Eligibility Plan.

3. Once in the SOCTP, other assessment instruments are administered which may include the

Vermont Assessment Sex Offender Risk (VASOR), Texas Christian University (TCU) Criminal Thinking Scales, TCU Drug Screen II, Vermont Treatment & Progress Scale (VTPS) and Psychopathy Checklist Revised (PCL-R) and/or other assessment instruments consistent with best practices in the field of sex offender counseling and treatment.

TRANSFER PROCEDURE It is very important to provide sex offenders with statutorily mandated sex offender counseling in a timely fashion. Per Section 622 of the Correction Law, participation in the SOCTP is coordinated to permit the completion of the program prior to civil management review. Participants are placed in the program according to their qualifying release date. Inmates already at correctional facilities with the program are placed in the program by the SOCTP staff as they become time eligible for the program. Participants at correctional facilities without the SOCTP are transferred to facilities with the appropriate program when they are time eligible. Management reports provided by Program Planning, Research and Evaluation are used for this purpose. These reports provide Central Office Guidance with a list of participants who are time eligible for the program. Central Office Guidance instructs the correctional facilities to submit transfer requests for the movement of these participants. Procedurally, inmates closest to their qualifying release date will be placed into the program first. The specific transfer procedure is as follows: The Sex Offender Counseling Unit in Central Office sends an e-mail message to the Supervising Correction Counselor of the correctional facility housing the qualifying participants with instructions to submit a priority unscheduled transfer request (UTR) for participation in the SOCTP at a designated facility. Unless extenuating circumstances preclude it, the transfer requests are to be submitted within three (3) business days. Central Office Guidance must be notified via e-mail answer mode if the deadline cannot be met or if there are transfer requests that cannot be submitted. The action taken by the facility will be documented in the chrono sheet of the inmates’ guidance folders. Transfer requests must conform to the following format: ● T3 must indicate the specific receiving facility specified in the e-mail. ● T4 must list transfer considerations affecting placement such as ambulatory

limitations, hearing and speech deficits, medical concerns, etc. ● T5 must include the transfer explanation as follows: Inmate has been approved

by the Director of Guidance and Counseling for transfer to the Sex Offender Counseling and Treatment Program at (facility name & facility code).

A transfer order will be issued by the Office of Classification and Movement. Guidance will monitor movement of the participants to make sure participants closer to their qualifying release date are moved first.

KIPY CODES

The correct KIPY code must be used when admitting participants into the SOCTP. If the wrong code

is used, the participant’s name will remain in the RPL. KIPY codes will be used as follows:

PROGRAM CODE

RPL

KIPY CODE

Residential Program

87H 892

Modular High Risk Programs

87H 894

Modular Low Risk Programs

87C 872

Substance Abuse

75D 893*

*When an inmate is assigned to a Residential SOCTP (KIPY Code 892) and has a need for substance

abuse treatment (i.e., ABUSE on Inmate Program Plan), the inmate is also placed in KIPY Code 893,

CD/SOP unpaid. Please note that KIPY Code 893 is covered under RPL 75D as an ASAT Shop.

Placement in 893 must be done at the same time as placement in KIPY Code 892.

PROGRAM RELATED POLICIES POLICY ON PORNOGRAPHY, PHOTOGRAPHS AND OTHER MATERIALS Use of pornographic materials is counterproductive to the sex offender counseling and wellness process. Pornographic materials can trigger deviant sexual fantasies and are often found to be part of a sex offender’s grooming and sexual assault cycle. It promotes attitudes of objectification, degradation and sexualization, which reinforce deviant sexual interests and aggression. Prior to beginning Level I of the SOCTP, the Waiver of Access to Pornography, Photographs and Other Materials, as well as the Amendment to this waiver (ATTACHMENT 3), are explained to the participants. Based upon their individual sexual abuse history, the SOCTP treatment team will detail the specific categories of prohibited materials. Both documents will be signed by the offender and a SOCTP staff member. The prohibition of pornography is intended for both current participants and graduates of the program. This includes inmates whose participation is suspended while serving a disciplinary sanction. If access, possession or use of pornography is detected while in the program, this will result in a treatment team conference to decide on appropriate intervention for the offender’s behavior. If the treatment team decides to discharge a participant for this type of behavior, documentation of this action will be placed in both the SOCTP and guidance folders. If the behavior is detected after completing the program, this will be considered a relapse and a referral back to the SOCTP will be made. For these cases, it is important to send the relapse records to Parole. CONTACT WITH VICTIMS Per Directives #4422 – Inmate Correspondence Program and #4423 - Inmate Telephone Calls, inmates are prohibited from communicating in writing or by telephone with victims they have been convicted of abusing or are under indictment for their abuse. If available, the names of their victims must be placed on their negative telephone and correspondence lists. Program participants who write or call the victims of their sex offenses will be discharged from the program. This includes victims who are family members. As stipulated in these directives they, as well as graduates from the program, may also be subject to disciplinary action. Their behavior will be reported to Parole and the Board of Examiners of Sex Offenders. All contact with victims is to be documented. Per Directive #4423, if the victim of an inmate is residing with immediate family members of the inmate, authorization from the superintendent of the facility must be secured by the inmate before placing calls to that residence. To prevent accidental or manipulated contact with sex offense victims, calls to the victims’ residence are to be discouraged.

CONTACT WITH VICTIMS (cont.)

All orders of protection will be adhered to and complied with. If an order of protection prohibits physical contact, telephone and written communication, the name(s) of the protected person(s) must be placed on the negative telephone, correspondence and visiting lists. If a protected person changes his/her mind and wishes to resume contact with the offender, it is that person’s responsibility to contact the court and ensure that the order of protection is rescinded or amended as applicable. However, per Directive #4423, written and telephone contact with formerly protected persons who are victims of crimes for which an offender has been convicted or is under indictment for, is still prohibited. Their names will remain on the negative correspondence and telephone lists. CONFIDENTIALITY The Professional Code of Ethics of the Association for the Treatment of Sexual Abusers (ATSA) requires its members to inform clients of the limits of confidentiality, exceptions to any agreed upon confidentiality, mandatory reporting requirements, and to address issues of confidentiality in a group setting. The Department's SOCTP is designed to be as consistent as possible with the ATSA standards and the Limits of Confidentiality, Partial Waiver of Confidentiality and Acknowledgment form (ATTACHMENT 4) is intended to assist in meeting this ethical standard of treatment. Before proceeding to Level II, each participant must sign the Limits of Confidentiality, Partial Waiver of Confidentiality and Acknowledgment form. Signing this acknowledgement form is required before further participation in the SOCTP will be permitted, and before any sexual offending behavior specific counseling and treatment will be conducted. An inmate who declines to sign the acknowledgement form will be unsatisfactorily discharged from the SOCTP and documented as a refusal. The disclosures contemplated in the Acknowledgement form take into consideration those statutory and other disclosure requirements most often associated with treatment of incarcerated sex offenders and other inmates with a sex offender counseling need within New York State. These disclosure requirements may not be applicable in every case, however, as the law, facts and circumstances continue to change, so may disclosure requirements. TREATMENT AMENABILITY Participants with low amenability to sex offender counseling and a high level of denial cannot be excluded from participating in the SOCTP. It is well-accepted that having the need for sex offender counseling does not necessarily translate into wanting or seeking participation in sex offender counseling. In recognition of this, the Department will transfer inmates with an established sex offender counseling need to an appropriate program site. Although inmates cannot be forced to accept treatment, they will be provided with the necessary information for making an informed decision about participating in the SOCTP. Our legal and moral obligation is to make available to them the tools to self-manage their deviant behavior; it is up to them to accept and/or use those tools.

TREATMENT AMENABILITY (cont.) All identified sex offenders, and other inmates who are likely to benefit from sex offender counseling and treatment, will be interviewed by SOCTP staff including those refusing to participate in the program. The staff will explain the program and the role sex offender counseling has in lowering re- offending risk and how important understanding and managing risk factors are in the prevention of sexual re-offending. Participants need to make the connection between participating in the program and a successful community reintegration. Although the focus of the interview and program orientation will be on how the SOCTP will improve the participants’ chances of remaining in the community, participants will also be informed of the impact that refusing sex offender counseling or receiving an unsatisfactory discharge from the SOCTP may have on their eligibility for certain privileges such as transfers closer to home, earned eligibility, time allowance and family reunion. If an inmate is referred for review under Mental Hygiene Law, Article 10, successful completion of the SOCTP will be considered during the evaluations which take place as part of that process and may be viewed as a factor in the inmate's favor regarding the need for civil management. Reluctant participants who want to give counseling a try will be given the opportunity to participate in the program provided they sign the Waiver of Access to Pornography, Photographs and Other Materials and comply with the assessment process. If given the opportunity, some participants will begin to accept responsibility for their behavior and will become invested in the counseling process. If that does not occur, the offender can sign a program refusal form and an unsatisfactory discharge from the SOCTP will be made. Participants in the modular and residential programs will demonstrate the ability to:

• lower or attempt to lower self-protective defenses to facilitate counseling intervention; • change or attempt to change maladaptive patterns, rather than to try to change others or

their environment; • accept constructive feedback from others and use that feedback to make positive changes in

their lives; • give feedback to others in a positive and constructive way; • appropriately control anger, aggression and destructive behavior;

• actively participate in group dynamics and all other activities of the SOCTP; • apply the principles learned in counseling to daily activities instead of rote memorization and

verbalization of concepts; • abide by all prohibitions and restrictions ordered by the Court or recommended by SOCTP.

LEGAL CONCERNS An inmate’s legal concerns may serve as an impediment to effective treatment. In order for an inmate participant to benefit from the program of treatment, he or she must feel as comfortable as possible fully and frankly discussing his or her history of sexual offending behavior, whether that behavior resulted in the conviction for the instant offense, was behavior that occurred in connection with the conduct that resulted in the conviction, or was wholly unrelated to the instant offense. Most often, an offender’s legal concerns are expressed in the context of the Fifth Amendment right to be free from compelled self-incrimination. Accordingly, an offender is not required to admit the commission of a particular crime, whether it resulted in the present commitment or not. Furthermore, no written or oral statement made by a program participant in conjunction with treatment services rendered in connection with the Sex Offender Counseling and Treatment Program may be used against the inmate in any subsequent criminal proceeding in accordance with the Limits of Confidentiality, Partial Waiver of Confidentiality and Acknowledgment form. In addition, no program participant may reveal in any subsequent criminal proceeding any information disclosed by another inmate in a group therapy session or otherwise disclosed in conjunction with treatment services rendered as part of the Sex Offender Counseling and Treatment Program. For successful program participation, the offender may discuss his or her behavior in general terms without providing the full/last names of victims, without disclosing the exact dates, times, and places (e.g., the city, town, etc.) of various sexual offending behavior, and without admitting to any specific crime or the violation of any specific section of the Penal Law (e.g., rape in the first degree, criminal sexual act in the third degree, sexual abuse in the second degree, etc.). Nonetheless, the offender must openly and honestly discuss the behavior that resulted in his or her incarceration and referral to the program, demonstrate acceptance of responsibility for the conduct that resulted in his or her criminal conviction and demonstrate an understanding of his or her sexual offending behavior and cycle of abuse. In order to do so, an inmate will be expected to fully and frankly discuss the behavior that resulted in the conviction and any other history of sexual offending behavior. This will include discussing prior incidents of sexual offending behavior, and the individual thoughts and feelings associated with that behavior, regardless of whether any criminal justice intervention occurred. Although there is no prohibition against providing exact dates, ages of victims and other specific information, an inmate is not required to provide the full names of victims, exact dates, times, and places of various sexual offending behavior in order to appropriately participate in treatment.

PROGRAM REFUSAL An offender’s unwillingness to participate in the SOCTP based upon a claim that participation violates the offender’s Fifth Amendment rights will be construed as a refusal. In accordance with the private settlement agreement in Donhauser v. Goord, and consistent with the programmatic need to encourage participants to fully and frankly discuss their history of sexual offending behavior, no written or oral statement made by a program participant in conjunction with treatment services may be used against the inmate in any subsequent criminal proceeding. Similarly, a claim that an offender cannot suffer adverse consequences for refusing to participate in sex offender counseling because the case is on appeal and there is a continuing Fifth Amendment right not to be compelled to self-incriminate is incorrect. The Second Circuit United States Court of Appeals ruled in Johnson v. Baker, 108 F.3d 10, “…that state officials are permitted to take adverse administrative action for failure to respond to inquiries, even where the answers might tend to incriminate, so long as the adverse consequence is imposed for failure to answer a relevant inquiry and not for refusal to give up a constitutional right.” The court said “…no doubt that inquiries seeking an inmate’s admission to an alleged sexual offense are relevant to the proper functioning of a rehabilitative program.” The court further stated: “an inmate who is unwilling to admit to a particular criminal activity is unlikely to benefit from a rehabilitative process aimed at helping those guilty of that activity.” In light of program policies that permit an offender to participate in the SOCTP without providing the full names of victims, without disclosing the exact dates, times, and places of various sexual offending behavior, and without admitting to any specific crime or the violation of any specific section of the Penal Law, together with the policy providing that no written or oral statement made by a program participant in conjunction with treatment services rendered in connection with the Sex Offender Counseling and Treatment Program may be used against the inmate in any subsequent criminal proceeding, an inmate’s assertion of his Fifth Amendment rights as a basis to avoid fully participating in the SOCTP constitutes a refusal. The treatment team will conduct interviews with inmates who are refusing the program. The Program Refusal Form (ATTACHMENT 5) will be explained to the offender, completed and signed by both the offender and a treatment team member. If the inmate refuses to sign it, a notation to that effect must be entered on the form. The refusal will be properly documented in all pertinent records: chrono sheets of both the SOCTP and Guidance folders, the Program/Earned Eligibility Plan and Section I, Item 2 - Refusals to Accept Recommended Programs of the quarterly evaluation. An inmate who initially refused to participate in the SOCTP may subsequently, at any time, request to participate in the SOCTP. For these cases, the status code of REF (refusal) will remain in the Program/Earned Eligibility Plan until the offender starts participation in the program. He/she will be placed in SOCTP according to his/her applicable release date.

RETENTION REVIEW COMMITTEE

The Retention Review Committee (RRC) functions to assess program status. The RRC meets with an inmate to review poor program performance, disciplinary problems and continued non-compliance with program objectives or failure to complete the program. Major areas of review are as follows: assignments, counseling notifications, monthly evaluations (learning experiences and behavior contracts may also be considered). The RRC is comprised of the treatment team members and may include the following: Supervising Correction Counselor (SCC), the inmate’s primary Correction Counselor, ASAT Correction Counselor, Social Worker, Psychologist, Security personnel, when available, (preferably area Sergeant). The Committee is chaired by the SCC or appointed designee. The Committee should have at least three members to convene but additional staff input is always encouraged. When a staff member desires to share a concern or provide relevant documentation, contact should be made with the SCC. The RRC attempts to educate the inmate in reference to the seriousness of poor program performance or disciplinary problems. The goal of the RRC is to communicate a positive message which will impact the inmate’s personal decision making processes, translating into productive programming and satisfactory adjustment. Procedure Referrals: Completed by any staff member, the referral source must provide documentation for consideration at the meeting and include evidence of non-compliance or failure to meet the minimum standards of behavior as outlined in the Standards of Inmate Behavior, the TC Handbook, or other SOCTP guidelines or contracts. Documentation: A Chrono must be entered in the SOCTP folder indicating referral source, specific reason for the referral and sanctions imposed. Appearance: Referred inmate is required to be present at the RRC meeting. Reasons for the referral will be explained and the inmate will be given the opportunity to discuss the referral briefly. The course of action or sanctions will be discussed and expectations will be spelled out. No witnesses from the inmate will be permitted. Notification: Inmate will be notified in writing of the RRC’s decision within 72 hours of his or her appearance. At times, an inmate will refuse positive reinforcement and dismiss any direction. In this case, the RRC shall recommend a program removal and all facility/program policy and procedures or guidelines regarding program removals will be followed. The RRC may assign interventions such as behavior contracts, learning experiences or other tasks in relationship to treatment issues to promote both compliance and understanding of specific treatment objectives.

RETENTION REVIEW COMMITTEE (cont.) The RRC may, depending upon the nature of the referral, institute the following sanctions: ● Immediate unsatisfactory program removal ● Time extension ● Tasked assignments (individual or involving the community) ● Contract for Change ● Retention at the current level in the program ● Regression to a prior level in the program

MANAGEMENT OF RECORDS PROGRAM FOLDERS Red folders are provided by Central Office Guidance for the filing of all SOCTP records. Requests for folders for the use of the SOCTP are to be submitted to Central Office Guidance by e-mail. The folders contain different sections for the logical filing of records. Each section indicates the documents to be filed in that section. If questions arise as to where to file a particular document, the SOCTP staff in Central Office Guidance should be consulted. Original documents generated by or sent to SOCTP from other offices are to be filed in the SOCTP folders. RECORDS SECURITY SOCTP records are confidential and unauthorized access to the records must be prevented. Correctional facilities providing the SOCTP will make sure records are properly and securely stored. Disclosure of the SOCTP records will only be made pursuant to the Limits of Confidentiality, Partial Waiver of Confidentiality and Acknowledgement and as set forth below. RECORDS CONFIDENTIALITY AND ACCESS Beginning in November 2007, with the advent of the SOCTP under Correction Law §622, the program has utilized Psychologists, Licensed Clinical Social Workers and other mental health professionals in the provision of treatment to program participants. Accordingly, the SOCTP record is, in part, subject to the confidentiality and right of access provisions of Public Health Law and the Health Insurance Portability and Accountability Act (HIPAA). Furthermore, at many locations, the SOCTP is run in a Therapeutic Community (TC) environment and inmates participate in other therapeutic programs consistent with their individually identified program needs. RECORDS DEPOSITORY When participants are discharged from the program, regardless of the reason for the discharge, their records are to be sent to Central Office Guidance and Counseling for storage. PROCESSING INMATE RECORDS FOR TRANSFER Ordinarily, when participants in the SOCTP are transferred, their SOCTP records are NOT to be transferred with them. The only reason to transfer SOCTP records to another facility is if the offender is going to continue SOCTP participation at the next facility. If that is the case, the SOCTP folder will be forwarded to the receiving facility as per Directive #4011 – Processing Inmate Records for Transfer. The SOCTP staff needs to make sure records are complete and the chrono sheet indicates the date of the transfer and any pertinent instructions for the continuation of services. If no continuation of SOCTP is possible, the records are to be sent to the Office of Guidance and Counseling for storage.

SOCTP RECORD The SOCTP record is primarily comprised of two components; the Programmatic Record and the Clinical Record. Because the Clinical Record constitutes Protected Health Information (PHI), there are specific rules for record access and confidentiality applicable to this portion of the record. Note: DOCS records are not subject to the provisions of MHL §33.13, et seq. However, the confidentiality provisions under HIPAA closely parallel State law with respect to the confidentiality of mental health records. Public Health Law §18 also applies to patient information contained in records created by a health care provider including a Psychologist or a Certified Social Worker licensed under the State Education Law. The SOCTP record is subject to disclosure in accordance with State law and the Limits of Confidentiality, Partial Waiver of Confidentiality and Acknowledgement form. The SOCTP record is subject to disclosure to the NYS Division of Parole, to the extent that the Division will be supervising the offender upon release; the Board of Examiners of Sex Offenders, if the offender is subject to the Sex Offender Registration Act; the Office of Mental Health, if the offender is subject to evaluation in accordance with the Civil Management procedures set forth in Mental Hygiene Law Article 10 or otherwise under the care of OMH; and to any state agency, community organization or individual who subsequently engages the offender in sex offender treatment following release from the NYS Department of Correctional Services. It is also recognized that changes in State law may otherwise require or permit disclosure. All requests for the SOCTP record not specifically addressed by the Limits of Confidentiality, Partial Waiver of Confidentiality and Acknowledgement are governed by New York State Freedom of Information Law (FOIL) for the Programmatic Record, and Public Health Law §18 and HIPAA for the Clinical Record. DISCLOSURE OF PROGRAMMATIC RECORD The Programmatic Record may be released to the offender upon written request. The Offender may either review the Programmatic Record or obtain copies pursuant to and subject to the limitations set forth in FOIL. Other persons authorized by the offender may also obtain the same records. No specific type of authorization form is required for an offender to grant permission to another person to access his Programmatic Record.

ACCESS TO CLINICAL RECORD The Clinical Record may be requested pursuant to the procedure in Health Services Policy Manual (HSPM) 4.10, with the following modifications: II. DESCRIPTION II. A. Definition – The SOCTP Clinical Record is a health record. III. TYPES OF REQUESTS III. A. 2. Requests by an inmate to view and/or obtain a copy of the Clinical Record for a

current participant in the program must be made to the senior treatment provider (Psychologist or Social Worker) at the treatment site. Following discharge from the program, requests for access must be directed to the SOCTP Coordinator in the Office of Guidance and Counseling. The SOCTP Coordinator will consult with the treatment provider regarding the request for access.

III. A. 3. Any disclosure of the Clinical Record provided as a result of oral authorization

by the inmate is to be documented with the SOCTP progress notes/chronology on a separate disclosure log.

III. B. Third party requests for patient information.

Requests for the Clinical Record MUST be accompanied by a HIPAA compliant authorization form. A copy of the authorization is acceptable. The authorization form MUST specifically identify that release of the SOCTP record has been authorized by the offender (e.g., “SOCTP record,” “sex offender counseling file,” “SOP treatment file,” etc.). Because DOCS has not traditionally provided mental health treatment or been the holder of mental health records, a general HIPAA release for the “entire record” is NOT sufficient. A sample form is attached as ATTACHMENT 6.

III. B. 3. Requests for copies of the Clinical Record must be directed as set forth in II.

A. 2., above. IV. PROCEDURE IV. A. 2. Authorizations shall be filed in the SOCTP file under Section 8 (homework,

correspondence and miscellaneous records). IV. A. 3. Release of all or part of the Clinical Record must be entered into the SOCTP

progress notes/chronology on a separate disclosure log. All references in HSPM 4.10 requiring notation in the Disclosure Log shall instead be recorded with the SOCTP progress notes/chronology on a separate disclosure log.

IV. A. 8. The Director of Guidance should be consulted for non-routine requests for the

Clinical Record.

ACCESS TO CLINICAL RECORD (cont.) IV. E. Denial of Access or Denial of Health Record Copies.

IV. E. 1. Unreviewable reason for denial.

(Bullet 2) In any circumstance where the health provider (Psychologist or Social Worker) believes that providing a copy of protected health information (i.e., all or part of the Clinical Record) to the inmate may pose a danger to the health, safety, security, custody, or rehabilitation of the inmate or other inmates, or the safety of any officer, employee, or other person at the correctional facility or responsible for transporting the inmate, the health care provider must discuss the issue with the Director of Guidance, Superintendent and the Department’s HIPAA Privacy Officer.

Addition: Psychotherapy notes or personal notes and observations of a health care provider are not subject to review. Psychotherapy notes are notes recorded (in any medium) by a health care provider who is a mental health professional documenting or analyzing the contents of conversation during a private counseling session or a group, joint, or family counseling session and that are separated from the rest of the individual's medical record.

IV. F. Review Rights. Section IV.F.1-3. are not applicable to requests for the SOCTP

Clinical Record. A decision denying access may be appealed by writing to the HIPAA Officer. IV. H. Complaint Process. If an inmate has a complaint concerning access, release or

disclosure under this policy and HSPM 4.10, he/she should attempt to resolve the problem through contact with the senior treatment provider (Psychologist or Social Worker). If this is unsuccessful, the inmate should file a grievance through the Inmate Grievance Program.

SEX OFFENDER REGISTRATION ACT (SORA) PROCEEDINGS The SOCTP record is often sought in connection with a SORA risk level assessment hearing. A written request from a District Attorney’s Office, Public Defender’s Office or other attorney specifically seeking the record in connection with a SORA proceeding is sufficient for production of the Programmatic Record. However, a HIPAA compliant authorization or a subpoena signed by a judge and requiring production to the court is required before the Clinical Record may be released.

ASAT RECORDS For some participants, the SOCTP record may also include an Alcohol and Substance Abuse

Treatment (ASAT) component. Records pertaining to ASAT treatment are maintained in a separate

file within the SOCTP record. However, the ASAT treatment records are NOT considered a part of

the SOCTP record for disclosure purposes.

To the extent that an offender’s SOCTP record includes a separate ASAT record, those records are

confidential in accordance with the provisions of 42 U.S.C. §290dd-2 and disclosure is only permitted

pursuant to the provisions of 42 C.F.R. Part 2 (See, Directive #2010, “Departmental Records” section

VII.E). Any request for an offender’s SOCTP record that includes an ASAT component but is not

accompanied by a Release of Drug and Alcohol Abuse Records must be answered in a way that will

not affirmatively reveal that the offender has been, or is being diagnosed or treated for alcohol or

substance abuse.

PROGRAM DISCHARGE AND READMISSION PROGRAM DISCHARGES There are three (3) types of discharge from SOCTP: satisfactory, administrative and unsatisfactory. Each type is explained below. A Discharge Summary is prepared when program participants are discharged from the program. This document is to be filed in the inmate SOCTP folder. Satisfactory Discharge Participants will receive a satisfactory discharge from the SOCTP upon fulfillment of their individual program plan and successful achievement of his/her program goals. On their Program/Earned Eligibility Plan they will be given the SAT (satisfied program) status code if they: 1. Demonstrate acceptance of responsibility for the sexual offending behavior; 2. Develop and demonstrate understanding of the cycle of sexual offending behavior; and 3. Develop a viable release plan with appropriate relapse intervention and prevention strategies. Completion of the SOCTP will be listed in Section I, Item 2 of the quarterly evaluation under Major Program Accomplishment(s). Administrative Discharge An administrative discharge occurs when a program participant is removed from the program through no personal fault, such as in the case of transfers, health or psychiatric restrictions, protective custody status, etc. For these cases an appropriate status code RNF (Removed Through No Fault of His/Her Own) for the sex offender counseling need must be entered in the inmates’ Program/Earned Eligibility Plan and the documentation justifying the administrative discharge needs to be filed in both the SOCTP and Guidance folders of the inmate. If administrative discharges are requested for health or psychiatric reasons, it is the responsibility of the requesting office to notify the Guidance Unit of the facility when restrictions are lifted. Upon receipt of this notice, readmission into the SOCTP may be initiated, if appropriate. Transfer of program participants is to be avoided. Only necessary transfers are to be allowed such as medical, psychiatric, safety and security of the facility, etc. Transfer holds for program purposes will be submitted to Classification and Movement for cases where transfer of the offender can be delayed. If transfer cannot be avoided, efforts need to be made to transfer the offender to a correctional facility where continuation of the SOCTP is possible.

Unsatisfactory Discharge A treatment team review is necessary before making an unsatisfactory discharge from the SOCTP. The Program Retention Review Committee form will be completed and a copy placed in both the SOCTP and guidance folders. The REU (Removed Unacceptable Attendance, Participation or Progress) status code will be used to document the status of the sex offender counseling need in the Program/Earned Eligibility Plan of these cases. This status code will remain in the Program/Earned Eligibility Plan until the inmate is readmitted into the program. Reasons for which an inmate can be discharged unsatisfactorily from the SOCTP include, but are not limited to, the following: 1. The program participant contacts his victim, directly or indirectly. 2. The program participant acts out sexually during counseling and demonstrates an inability to

control deviant impulses and behaviors, such as exhibitionism. 3. The program participant demonstrates violent, aggressive behavior that places other group

members and/or group facilitators at risk. 4. The program participant fails to comply with the rules, policies and procedures of the

program. 5. The program participant fails to demonstrate positive progress and/or participation in the

program.

READMISSION TO THE PROGRAM With limited exceptions, participants who have received an unsatisfactory discharge from the program or who have had a regression in the sexual re-offending cycle are eligible for and may apply for readmission to the SOCTP. Readmission will be considered based upon the offender's attitude and commitment to the goals of the program. An offender seeking readmission into the program needs to send a written request to the Supervising Correction Counselor. In the request, the offender must address the reason or reasons for the unsatisfactory discharge from the SOCTP. If the behavior patterns causing the discharge from the SOCTP have changed, and the offender is sincere about committing to the goals of the program, an e-mail should be sent to Central Office Guidance recommending readmission. If readmission is approved, the offender will be placed on the RPL. The start date in the program will be contingent upon the offender's qualifying earliest release date and availability of space within the program. Priority for admission into the SOCTP will be given to individuals who are time eligible and have not yet had an opportunity to participate in the SOCTP. CREDIT FOR PREVIOUS PROGRAM PARTICIPATION Upon readmission to the SOCTP, the treatment team will determine how much credit, if any, will be given for previous participation in the program. Any credit will be based upon positive progress in the previous SOCTP. Credit for participation in other sex offender programs will not be considered. POLICY FOR SOCTP REFUSERS TO GAIN ENTRY INTO THE PROGRAM An inmate who, at one time, refused to participate in the SOCTP may rescind his prior refusal and request entry into the program. 1. The inmate must request to participate in the program through his assigned correction

counselor. 2. The correction counselor will notify the Sex Offender Unit in the Office of Guidance and

Counseling of the inmate’s request. 3. The status code REF will be maintained on all subsequent inmate reviews. 4. Central Office Guidance will ensure the inmate is on the correct Required Program List (RPL). 5. The inmate will be reviewed for entry into the appropriate SOCTP. 6. An Unscheduled Transfer Request (UTR) will be submitted per Central Office Guidance

direction. 7. The inmate will be scheduled for transfer when time and space permits.

ATTACHMENTS

ATTACHMENT 1 SOMTA - ARTICLE 10 - SEXUAL OFFENSES

(Includes Felony Attempt and Conspiracy to Commit) PL PL

SECTION CRIME CLASS SECTION CRIME CLASS 130.25 RAPE - 3RD E FELONY 130.75 COURSE SEX CONDUCT - CHILD - 1ST B FELONY 130.30 RAPE - 2ND D FELONY 130.80 COURSE SEX CONDUCT - CHILD - 2ND D FELONY 130.35 RAPE - 1ST B FELONY 130.85 FEMALE GENITAL MUTILATION E FELONY 130.40 CRIMINAL SEXUAL ACT - 3RD E FELONY 130.90 FACILITY SEX OFF/CONTROL SUBST D FELONY 130.45 CRIMINAL SEXUAL ACT - 2ND D FELONY 130.95 PREDATORY SEXUAL ASSAULT A-II FELONY 130.50 CRIMINAL SEXUAL ACT - 1ST B FELONY 130.96 PREDATORY SEXUAL ASSAULT AGAINST

A CHILD A-II FELONY

130.53 PERSISTENT SEXUAL ABUSE E FELONY 230.06 PATRONIZE PROSTITUTE - 1ST D FELONY 130.65 SEXUAL ABUSE - 1ST D FELONY 255.26 INCEST - 2ND D FELONY

130.65A AGGRAVATED SEXUAL ABUSE - 4TH E FELONY 255.27 INCEST - 1ST B FELONY 130.66 AGGRAVATED SEXUAL ABUSE - 3RD D FELONY 130.67 AGGRAVATED SEXUAL ABUSE - 2ND C FELONY 130.70 AGGRAVATED SEXUAL ABUSE - 1ST B FELONY

ARTICLE 10 DESIGNATED FELONIES IF SEXUALLY MOTIVATED*

For purposes of the Sex Offender Management and Treatment Act (SOMTA), a conviction of a designated felony, including a conviction for an attempt or a conspiracy to commit a designated felony, may be considered a sex offense if the act or acts constituting the designated felony were committed in

whole or in substantial part for the purpose of direct sexual gratification of the offender.

If the crime was committed on or after April 13, 2007, the offender is deemed to have committed a sex offense only if the offender is convicted of a sexually motivated felony in accordance with Penal Law §130.91.

Such conviction must be noted on the Sentence and Commitment or other Court documentation.

PL PL SECTION CRIME CLASS SECTION CRIME CLASS

120.05 ASSAULT - 2ND D FELONY 150.15 ARSON - 2ND: INTENT PERSON PRESNT B FELONY 120.06 GANG ASSAULT - 2ND C FELONY 150.20 ARSON - 1ST: CAUSE INJ/FOR PROFIT A-1 FELONY 120.07 GANG ASSAULT - 1ST B FELONY 160.05 ROBBERY - 3RD D FELONY 120.10 ASSAULT - 1ST B FELONY 160.10 ROBBERY - 2ND C FELONY 120.60 STALKING - 1ST D FELONY 160.15 ROBBERY - 1ST B FELONY 125.15 MANSLAUGHTER - 2ND C FELONY 230.30 PROMOTING PROSTITUTION - 2ND C FELONY 125.20 MANSLAUGHTER - 1ST B FELONY 230.32 PROMOTING PROSTITUTION - 1ST B FELONY 125.25 MURDER - 2ND A-1 FELONY 230.33 COMPELLING PROSTITUTION B FELONY 125.26 AGGRAVATED MURDER A-1 FELONY 235.22 DISSEM INDECENT MAT MINOR - 1ST D FELONY 125.27 MURDER - 1ST A-1 FELONY 263.05 USE CHILD <17 - SEX PERFORMANCE C FELONY 135.20 KIDNAPPING - 2ND B FELONY 263.10 PROM OBSCENE SEX PERF-CHILD <17 D FELONY 135.25 KIDNAPPING - 1ST A-1 FELONY 263.15 PROM SEX PERFORMANCE-CHILD <17 D FELONY 140.20 BURGLARY - 3RD D FELONY 140.25 BURGLARY - 2ND C FELONY 140.30 BURGLARY - 1ST B FELONY

* Sexual Motivation may be present if:

a. Instant Offense includes behavior that could have resulted in a sex charge, but did not. b. Instant Offense includes a sex offense charge. c. Offender made statements of intent of a sexual nature to the victim of the instant offense. d. Instant Offense is indicative of prior modus operandi resulting in a sexual offense conviction. e. Documented admission of the offender to the instant offense being sexually motivated.

ATTACHMENT 2

NEW YORK STATE SEX OFFENDER REGISTRY REGISTERABLE OFFENSES

EFFECTIVE NOVEMBER 1, 2007 The following list contains the New York State Penal Law statutes for which registration as a sex offender is required. Registration as a sex offender is required upon a conviction of a listed offense or a conviction for an attempt to commit a listed offense or a conviction of or a conviction for an attempt to commit a listed offense as a hate crime or a crime of terrorism. Additionally, registration as a sex offender is required upon a conviction of or a conviction for an attempt to commit certain listed offenses as a sexually motivated felony pursuant to Penal Law §130.91.

PENAL LAW STATUTE OFFENSE CLASS OFFENSE

130.20 A Misdemeanor Sexual misconduct

130.25 E Felony Rape in the third degree

130.30 D Felony Rape in the second degree

130.35 B Felony Rape in the first degree

130.40 E Felony Criminal sexual act in the third degree

130.40 E Felony Sodomy in the third degree

130.45 D Felony Criminal sexual act in the second degree

130.45 D Felony Sodomy in the second degree

130.50 B Felony Criminal sexual act in the first degree

130.50 B Felony Sodomy in the first degree

130.521 A Misdemeanor Forcible touching

130.53 E Felony Persistent sexual abuse

130.551 B Misdemeanor Sexual abuse in the third degree

130.60 A Misdemeanor Sexual abuse in the second degree

130.65 D Felony Sexual abuse in the first degree

130.65-a E Felony Aggravated sexual abuse in the fourth degree

130.66 D Felony Aggravated sexual abuse in the third degree

130.67 C Felony Aggravated sexual abuse in the second degree

130.70 B Felony Aggravated sexual abuse in the first degree

130.75 B Felony Course of sexual conduct against a child in the first degree

130.80 D Felony Course of sexual conduct against a child in the second degree

130.90 D Felony Facilitating a sex offense with a controlled substance

130.95 A-II Felony Predatory sexual assault

130.96 A-II Felony Predatory sexual assault against a child

135.052 A Misdemeanor Unlawful imprisonment in the second degree

135.102 E Felony Unlawful imprisonment in the first degree

135.202 B Felony Kidnapping in the second degree

135.252 A-1 Felony Kidnapping in the first degree

PENAL LAW

STATUTE OFFENSE CLASS OFFENSE 230.043 A Misdemeanor Patronizing a prostitute in the third degree

230.05 E Felony Patronizing a prostitute in the second degree

230.06 D Felony Patronizing a prostitute in the first degree

230.30(2) C Felony Promoting prostitution in the second degree

230.32 B Felony Promoting prostitution in the first degree

230.33 B Felony Compelling prostitution

230.34 B Felony Sex trafficking

235.22 D Felony Disseminating indecent material to minors in the first degree

250.45(2),(3) & (4)4 E Felony Unlawful surveillance in the second degree

250.50 D Felony Unlawful surveillance in the first degree

255.25 E Felony Incest (committed prior to 11/1/06)

255.25 E Felony Incest in the third degree

255.26 D Felony Incest in the second degree

255.27 B Felony Incest in the first degree

263.05 C Felony Use of a child in a sexual performance

263.10 D Felony Promoting an obscene sexual performance by a child

263.11 E Felony Possessing an obscene sexual performance by a child

263.15 D Felony Promoting a sexual performance by a child

263.16 E Felony Possessing a sexual performance by a child

1 A registerable offense only if the victim is less than eighteen years of age or where the defendant has a prior conviction for a sex offense, a sexually violent offense, forcible touching or sexual abuse in the third degree or an attempt thereof even if registration was not required for the prior conviction; regardless of when the prior conviction occurred.

2 A registerable offense only if the victim is less than seventeen years old and the offender is not the parent of the victim.

3 A registerable offense only if the person patronized is in fact less than seventeen years old.

4 A registerable offense unless the trial court finds that registration would be unduly harsh and inappropriate. Please note that an attempt to commit this offense does not require registration.

ATTACHMENT 3

WAIVER OF ACCESS TO PORNOGRAPHY, PHOTOGRAPHS AND OTHER

MATERIALS I, ____________________________________, DIN _____________, understand that as a part of my Sex Offender Counseling and Treatment Program, progress and rehabilitation, it is necessary for me to refrain from possessing or having access to materials which in the judgment of the treatment staff may be deemed to be pornography or other materials which the treatment staff have determined may encourage or otherwise suggest inappropriate sexual impulses or feelings. I understand that, although certain materials may be permissible under Directive #4572 – Media Review, I am affirmatively waiving and agreeing to refrain from possessing, reading, accessing or otherwise using pornography, photographs and other materials as directed by the treatment staff, throughout the course of the Sex Offender Counseling and Treatment Program and thereafter, including any period during which my treatment may have been suspended, as long as I am in the custody of the New York State Department of Correctional Services. I also understand and agree that the list of pornography, photographs and other materials I may not possess, read, access or use may be modified at any time during my participation in the program by the treatment staff. Upon such modification, I will be notified and I will sign an acknowledgement amending this Waiver. Questionable materials will be reviewed by the treatment staff in consideration of my offense and treatment history. I understand that if I am found to be in possession of pornography or material found to be inappropriate, it may result in a misbehavior report, and may also result in my removal from the Sex Offender Counseling and Treatment Program or regression to an earlier module of the program, if recommended by the Treatment Team. If removal is indicated, documentation will be placed in my Guidance file and notification will be sent to the NYS Division of Parole and the NYS Board of Examiners of Sex Offenders. I also understand that once I have successfully completed the Sex Offender Counseling and Treatment Program, if found to be in possession of any inappropriate materials, this will be considered a relapse and I will be referred again to participate in the Sex Offender Counseling and Treatment Program, documentation will be placed in my Guidance folder, and both the NYS Division of Parole and the NYS Board of Examiners of Sex Offenders will be notified. The Sex Offender Counseling and Treatment Program Policy and the Waiver of Access to Pornography, Photographs and Other Materials have been explained to me to my satisfaction by the treatment staff. I understand the policy and agree to the terms of this Waiver as set forth above.

_______________________________ _______________ Inmate Signature Date _______________________________ _______________ Treatment Staff Signature Date cc: Inmate Parole File Guidance File

STATE OF NEW YORK

DEPARTMENT OF CORRECTIONAL SERVICES

SEX OFFENDER COUNSELING AND TREATMENT PROGRAM

BRIAN FISCHER COMMISSIONER

ATTACHMENT 3

AMENDMENT TO WAIVER OF ACCESS TO PORNOGRAPHY, PHOTOGRAPHS AND OTHER MATERIALS

I, ____________________________________, DIN _____________, agree that I will refrain from accessing, possessing, reading or otherwise using the materials listed below, throughout my Sex Offender Counseling and Treatment Program and thereafter, as long as I am in the custody of the NYS Department of Correctional Services. These materials have been deemed by the Sex Offender Counseling and Treatment staff to be either pornographic or materials that may encourage or suggest inappropriate sexual impulses and feelings: __________________________________________________________________________________________

__________________________________________________________________________________________

_______________________________________________________

_____________________________________________________________________________________

_______________________________ _______________ Inmate Signature Date _______________________________ _______________ Treatment Staff Signature Date cc: Inmate Parole File Guidance File

STATE OF NEW YORK

DEPARTMENT OF CORRECTIONAL SERVICES

SEX OFFENDER COUNSELING AND TREATMENT PROGRAM

ATTACHMENT 4

LIMITS OF CONFIDENTIALITY, PARTIAL WAIVER OF

CONFIDENTIALITY AND ACKNOWLEDGEMENT

I understand that the primary purpose of the program is to reduce the likelihood of re-offending by assisting me to control my chain of behaviors that lead to sexual offending. I also understand that I am not required to admit the commission of a particular crime, whether it resulted in the present commitment or not. Rather, for successful program participation, I may discuss my behavior in general terms without providing the full names of victims, without disclosing the exact dates, times, and places of various sexual offending behavior, and without admitting to any specific crime or the violation of any specific section of the Penal Law. Nonetheless, I must openly and honestly discuss the behavior that resulted in my incarceration and referral to the program, demonstrate acceptance of responsibility for the conduct that resulted in my criminal conviction and demonstrate an understanding of my sexual offending behavior and cycle of abuse. I. Limits of Confidentiality I,_________________________, DIN _______________ understand that as a part of my Sex Offender Counseling and Treatment Program and progress, it is necessary to share my progress and participation with others who will be supervising me or continuing to treat me in the community when I am released. This includes sharing any/all homework assignments, program evaluations, discharge summaries and other related materials of the Sex Offender Counseling and Treatment Program. I understand that by signing this Limits of Confidentiality, Partial Waiver of Confidentiality and Acknowledgement, I am acknowledging that the Sex Offender Counseling and Treatment Program staff may release these materials to: the NYS Division of Parole, who will supervise my release; the Board of Examiners of Sex Offenders, who will evaluate my risk level pursuant to the Sex Offender Registration Act; the Office of Mental Health, who may evaluate me in accordance with the Civil Management procedures set forth in Mental Hygiene Law Article 10; and to any state agency, community organization or individual who engages me in sex offender treatment when I am released from the NYS Department of Correctional Services or as otherwise required or permitted under New York State law. II. Exceptions to Confidentiality I understand that if I disclose information indicating that I present a clear and immediate danger to another individual or individuals, staff are required to report such information to security and to the appropriate law enforcement agency.

STATE OF NEW YORK

DEPARTMENT OF CORRECTIONAL SERVICES

SEX OFFENDER COUNSELING AND TREATMENT PROGRAM

BRIAN FISCHER COMMISSIONER

Limits of Confidentiality, Partial Waiver of Confidentiality and Acknowledgement (cont.) III. Mandatory Reporting I understand that certain members of the treatment team are required by law to report to the Office of Children and Family Services when they have reasonable cause to suspect that a child is an abused or maltreated child. No part of this document shall be construed as releasing any member of the treatment team from complying with mandatory reporting laws. IV. Additional Issues I have been advised that no written or oral statement made by me in conjunction with treatment services rendered in connection with the Sex Offender Counseling and Treatment Program may be used against me in any subsequent criminal proceeding. I have further been advised that I may not reveal in any subsequent criminal proceeding any information disclosed by another inmate in a group therapy session or otherwise disclosed in conjunction with treatment services rendered as part of the Sex Offender Counseling and Treatment Program. V. Acknowledgment The Sex Offender Counseling and Treatment Program Policy and this document have been explained to me to my satisfaction by the Sex Offender Counseling and Treatment Program staff. I understand the policy and give my consent to the limits of confidentiality as set forth above. ______________________________ _______________ Inmate Signature Date ______________________________ _______________ Treatment Staff Signature Date cc: Inmate Parole File Guidance File

ATTACHMENT 5

REFUSAL FORM

I, ____________________________________, DIN _______________, am refusing to participate in the assigned Sex Offender Counseling and Treatment Program. I understand that my decision to refuse to participate may result in the following: * A negative decision by the NYS Board of Parole.

* A negative decision by the Time Allowance Committee.

* Denial of an Earned Eligibility Certificate.

* Denial of Family Reunion Program privileges.

I further understand that by refusing the Sex Offender Counseling and Treatment Program: * In the event that I change my mind and decide to participate, it is my

responsibility to contact the appropriate program staff to request an opportunity to participate in the program.

* If I decide to participate, but am housed in a facility where no Sex Offender

Counseling and Treatment Program exists, my previous refusal will remain in effect until I am transferred to a facility where there is a program and I have signed all appropriate documents.

Comments/Reasons for refusal ____________________________________________________

__________________________________________________________________________________

______________________________________________________________

__________________________ ________________ INMATE’S SIGNATURE DATE __________________________ ________________ TREATMENT STAFF SIGNATURE DATE cc: Original – SOCTP File Central Files Facility Guidance File Inmate Parole File

STATE OF NEW YORK

DEPARTMENT OF CORRECTIONAL SERVICES

SEX OFFENDER COUNSELING AND TREATMENT PROGRAM

BRAN FISCHER COMMISSIONER

N.Y.S. DEPARTMENT OF CORRECTIONAL SERVICES

AUTHORIZATION FOR USE OR DISCLOSURE OF PROTECTED HEALTH INFORMATION INCLUDING

CONFIDENTIAL HIV RELATED INFORMATION (COMPLETE BOTH SIDES)

I understand that confidential HIV related information is any information indicating that a person had an HIV related test, or has HIV infection, HIV related illness or AIDS, or any information which could indicate that a person has been potentially exposed to HIV (Human Immunodeficiency Virus).

Under New York State and Federal law, except for certain people, protected health information including HIV related information, can only be given to persons you allow by signing an authorization.

I understand that the information used or disclosed pursuant to this authorization may be subject to redisclosure by the recipient if the recipient is not a health care provider or health plan covered by the laws. Such redisclosure is restricted/limited by NYS Public Health Law 27-F.

By completing and signing this form, I authorize the use or disclosure of my health information as described below, which may include medical, mental health, dental records, and confidential HIV related information.

The following individual or organization is authorized to make the disclosure and provide the information as indicated below:

Purpose of Disclosure REQUIRED Check if for Continued Treatment? At the request of patient OR representative Third Party Request, why is information needed? _________________________________________

The type of information, limited to need and specified dates: FROM / TO ____ AHR,DR. 'S Orders ____ most recent ____ other/specify dates ______________ ______________ ____ Problem list ____ most recent ____ other/specify dates ______________ ______________ ____ MD Progress Notes ____ most recent ____ other/specify dates ______________ ______________ ____ Medication list ____ most recent ____ other/specify dates ______________ ______________ ____ history & physical ____ most recent ____ other/specify dates ______________ ______________ ____ discharge summary ____ most recent ____ other/specify dates ______________ ______________ ____ laboratory results ____ most recent ____ other/specify dates ______________ ______________ ____ x-ray/imaging rpts. ____ most recent ____ other/specify dates ______________ ______________ ____ consultation reports ____ most recent ____ other/specify dates ______________ ______________ ____ entire record ____ most recent ____ other/specify dates ______________ ______________ ____ list of allergies ____ TB History/Treatment ____ immunization record ____________________ ____ FHSl ____ OTHER _________________________________________________ ________________________________________________________________________________

REQUIRED SIGNATURES ON PAGE 2

Form 3124 (1/03)

Print Name (include alias) Date of Birth DIN#

Social Security # Address

Date Received

Name of Entity Disclosing Information Address of Entity Disclosing Information

Name of Entity Receiving Information Address of Entity Receiving Information

ATTACHMENT 6

PAGE 2 AUTHORIZATION FOR USE OR DISCLOSURE OF

PROTECTED HEALTH INFORMATION INCLUDING CONFIDENTIAL HIV RELATED INFORMATION

I understand that I may refuse to sign this authorization and that my refusal to sign will not affect my ability to obtain treatment or payment or my eligibility for benefits. I may inspect or copy any information used/disclosed under this authorization.

I understand that I may revoke this authorization in writing, at any time, by delivering or sending a copy of the revocation to the person (s) or entities I have authorized to use or disclose information as listed on Page 1. I understand that a revocation is not effective to the extent. that the person (s) named has relied upon this authorization.

This authorization expires ____________________________________________________________ (REQUIRED: insert date or event}

____________________________________________ ___________________________ (REQUIRED: Signature of Patient or Representative) (REQUIRED: Date Signed)

____________________________________________ (REQUIRED: Print Patient's Name)

____________________________________________ (PRINT NAME OF REPRESENTATIVE)

Check one: ___ Parent/Guardian ___ Executor/Administrator (also send court papers proving such) ___ Agent (by health care proxy)

____________________________________________________________________________________ Department of Correctional Services CANNOT release Psychiatric Information maintained by the Office of Mental Health. A separate authorization addressed to the Office of Mental Health must be sent to:

Office of Mental Health, Forensic Bureau, 44 Holland Avenue, Albany, NY 12226 ____________________________________________________________________________________ OFFICE PROCESSING

SEND COPY OF AUTHORIZATION FORM WITH REQUESTED HEALTH RECORD COPIES TO REQUESTER

_________________________ ______________________________________________ Date Information Sent Signature/Title

___________________________________________________________________________________________ To the recipient: This information has been disclosed to you from confidential records which are protected by law. State law prohibits you from making any further disclosure of this information without the specific written consent of the person to whom it pertains, or as otherwise permitted by law. Any unauthorized further disclosure in violation of state law may result in a fine or jail sentence or both. A general authorization for the release of medical or other information is not sufficient for further disclosure.

Copy: Patient Original: Health Record/Correspondence Section