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Office of Mental Health

The Mental Health Resource Handbook
for Human Service Personnel
Serving the Local Correctional Population

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Richard P. Miraglia, CSW
Director
Bureau of Forensic Services
NYS Office of Mental Health

C. Terence McCormick, CSW
Program Specialist
NYS Office of Mental Health

Pamela C. Morschauser, CSW
Forensic Project Coordinator
Ulster County Mental Health Department

James R. Taisey, MA, CCHP
Forensic Medical Investigator
NYS Commission of Correction

Michelle Rosenbaum, MA
Community Education Specialist
Ulster County Mental Health Department

Judith F. Cox, MA
Director for Case Management
NYS Office of Mental Health

M. Peter Paravati
Former Forensic Medical Investigator
NYS Commission of Correction

Acknowledgements
Special thanks to the Fund for Modern Courts, Inc., New York, NY, for making its publication, "Criminal Court Monitoring Handbook," available to us for development of the Criminal Justice Process segments of this Handbook.
Copyright © 1987 by New York State Office of Mental Health. All rights reserved. Revised 2001

NYSOMH's intent is to make this handbook available for use by human service personnel serving local correctional populations. Non-profit and governmental organizations are encouraged to actively use this resource and may reproduce and distribute the forms and related narratives within their organizations.

Governmental and non-profit mental health agencies within NYS may obtain additional copies by contacting the Forensic Project at Ulster County Department of Mental Health (845-340-4168). Individuals or organizations from outside of NYS may purchase copies by contacting Printing and Design Services, 44 Holland Ave, Albany, NY 12229; Phone: 518-473-3574; Fax: 518-473-2684.

Acknowledgement

The Mental Health Resource Handbook was developed by the NYS Office of Mental Health, the NYS Commission of Correction and Ulster County Department of Mental Health as part of the NYS Local Forensic Suicide Prevention Crisis Service Project.

Grateful acknowledgment is made to those people who made significant contributions to the current edition:

Steven Stark-Riemer
OMH Office of Legal Counsel

Sue Williams
Kathy Vitkowski
Central New York Psychiatric Center

Charles Giglio
Dan Abreu
Dan Kelleher
Darcy Shufelt
OMH Bureau of Forensic Services

Donald Nadler
NYS Commission of Correction

Grateful acknowledgment is made to those people who made significant contributions to the original Handbook:

Anthony Cimino
Rochester Psychiatric Center

Dennis McCarty
NYS Division of Criminal Justice Services

Pamela Derrick
Mark Connors
NYS Division of Probation and Correctional Alternatives

Richard McDonald
Laurie G. Sherman
Consultants

Nancy Halleck
Office of Legal Counsel
NYS Office of Mental Health

Paulette Strong
NYS Division of Parole

Gerald Landsberg
School of Social Work
New York University

Aileen Townsend
Bethany Bowie
Central New York Psychiatric Center

OMH Production Services

The continued support of the OMH Commissioner was invaluable in developing the Handbook:

New York State
Office of Mental Health
James L. Stone, MSW, CSW, Commissioner

Preface

The Mental Health Resource Handbook was written to assist mental health professionals who provide services to persons with mental illness detained in local jails and police lockups. It was prepared as a training and reference resource to facilitate implementation of the New York State Local Forensic Suicide Prevention Crisis Service Model. In order for the model to realize its full potential, police, correction and mental health personnel must work together to identify and provide appropriate services to persons with acute and persistent mental health problems who become incarcerated. Mental health employees must nevertheless realize that the task of rendering care to persons in custody invariably poses a number of challenges that are not typically encountered in other situations. Even skilled clinicians can become frustrated if they do not understand how the criminal justice system operates and the role that mental health professionals are expected to play in it.

The goals of this handbook are: (1) to provide mental health staff with a better understanding of the criminal justice process; (2) to suggest ways in which practitioners can establish good working relationships with personnel at the jails and lockups that they serve; and (3) to describe the New York State laws which have the greatest impact on the delivery of mental health services to forensic patients.

Table of Contents

Acknowledgement - ii
Preface - iii
Table of Contents - v

Chapter 1
Criminal Justice System for Adults in NYS - 1-1
Types of Criminal Charges in New York State - 1-1
Law Enforcement Agencies - 1-1
Court Jurisdiction - 1-2
Prosecution and Defense Functions - 1-2
Competency to Proceed and the "Insanity Defense" - 1-2
The Criminal Justice Process from Arrest through Sentencing - 1-3
Probation and Parole - 1-7
Youthful Offender - 1-8
Alternatives to Incarceration Program - 1-9
Police Lockups and Court Pens - 1-10
County and Municipal Jails - 1-10
New York State Department of Correctional Services - 1-11
New York State Commission of Correction - 1-12
New York City Board of Corrections - 1-13

Chapter 2
Providing Mental Health Services in Local Detention/Correctional Facilities - 2-1
Need for Mental Health Services in Lockups and Jails - 2-1
Involvement of Criminal Justice Agencies in Local Mental Health Services Planning - 2-1
Types of Mental Health Services Provided - 2-1
Advanced Directives - 2-3
Operational Considerations: Working Within the Correctional Setting - 2-3
Establishing Liaisons and Maintaining Effective Relationships Within the Criminal Justice System - 2-5
Common Challenges for Corrections and Mental Health - 2-5
Mental Health Involvement in Capital Cases - 2-6
Current Opinions of the Council on Ethical and Judicial Affairs - 2-8
Forensic Mental Health Standards and Guidelines - 2-10
Jail Mental Health Services/References - 2-11

Chapter 3
New York State Laws and Options Open to Mental Health Staff - 3-1
Introduction - 3-1
Major New York State Laws Governing Forensic Patients - 3-1
Mental Hygiene and Correction Law Commitments - 3-1
Financial Liability and Treatment Setting - 3-3
CPL Commitments and Court Ordered Mental Health Examinations - 3-3
Fitness to Proceed (Capacity) - 3-4
Not Responsible by Reason of Mental Disease or Defect - 3-5
Presentence - 3-6
Financial Liability and Treatment Setting - 3-7
Legal Alternatives and Their Impact on Psychiatric Hospitalization - 3-8
Kendra's Law - 3-11

Chapter 4
Continuity of Care Planning - 4-1
Discharge Planning by OMH, CNYPC and RPCFU - 4-1
Transfer from County Jail to State Department of Correctional Services - 4-2
CNYPC Community Services (Satellite Units) - 4-3
CL §601(a) Inmate Information During Transfer of Custody - 4-5
CNYPC Transfer Sheet - County Jail Discharges - 4-13

Chapter 5
Risk Assessment for Suicide in Jails - 5-1
336 ADM - Suggested Guide for Risk Assessment for Suicide in Jails - 5-3
References - 5-9
What Constitutes Legal Dangerousness for Purposes of Mental Health Commitments and Retentions - 5-10

Chapter 6
MHL, CL, and CPL Commitments and Examinations: Procedures - 6-1
Mental Hygiene Law Article 9 - Commitment - 6-3
Mental Hygiene Law - Admissions Process Chart - 6-3
Correction Law §508 - 6-5
Correction Law §402 - 6-11
Criminal Procedure Law §730.20 - 6-17
Criminal Procedure Law §730.40 and §730.50 - 6-19
Criminal Procedure Law Designation Procedures - 6-21
Criminal Procedure Law §250.10 - 6-23
Criminal Procedure Law §330.20 - 6-25
Criminal Procedure Law §390.30 - 6-29
Mental Hygiene Law 33.13 - 6-31

Chapter 7
MHL, CL, and CPL Commitments and Examinations: Forms - 7-1
OMH 465 - Civil Order for Removal to Hospital - 7-3
OMH 471 - Application for Involuntary Admission on Medical Certification - 7-5
OMH 471A - Certificate of Examining Physician - 7-7
OMH 471B - Request by an Examining Physician to Take into Custody/Transport a Mentally Ill Person - 7-9
OMH 472 - Voluntary Request for Hospitalization - 7-11
OMH 474 - Emergency Admission - 7-15
OMH 474A/476A - Emergency or C.P.E.P. Emergency Admission - 7-17
OMH 475 - Application for Involuntary Admission on Certificate of a Director of Community Services or Designee - 7-19
OMH 475A - Certificate of Examination By Director of Community Services or Designee - 7-21
OMH 475B - Certificate of Observation By Director of Community Services (Non-Physician) - 7-23
OMH 475C - Examination Within 24 Hours - 7-25
OMH 475D - Examination Within 72 Hours - 7-27
OMH 476 - C.P.E.P. Emergency Admission - 7-29
OMH 402.1 - Proceedings for Commitment of Mentally Ill Inmate/Report of Physician - 7-31
OMH 402.2 - Proceedings for Commitment of Mentally Ill Inmate/Application for Order to Examine - 7-33
OMH 402.3 - Proceedings for Commitment of Mentally Ill Inmate/Order to Examine - 7-35
OMH 402.4 - Proceedings for Commitment of Mentally Ill Inmate/Certificate of Examining Physician - 7-37
OMH 402.5 - Proceedings for Commitment of Mentally Ill Inmate/Notice of Application - 7-39
OMH 402.6 - Proceedings for Commitment of Mentally Ill Inmate/Petition - 7-41
OMH 402.7 - Proceedings for Commitment of Mentally Ill Inmate/Affidavit of Service - 7-43
OMH 402.8 - Proceedings for Commitment of Mentally Ill Inmate/Order for Hearing - 7-45
OMH 402.9 - Proceedings for Commitment of Mentally Ill Inmate/Decision (After Hearing) - 7-47
OMH 402.10 - Proceedings for Commitment of Mentally Ill Inmate/Order of Commitment - 7-49
OMH 408.12 - Petition Affidavit and Order for Forthwith Commitment of Mentally Ill Inmate/Petition to Forthwith Commit/Affidavit of
Two Examining Physicians - 7-51
OMH 408.13 - Order of Forthwith Commitment - 7-52
AHR 704 Examination Report (C.P.L. Article 730) - 7-53
Form Y - Examination Report by a Qualified Psychiatric Examiner - 7-55
Affidavit of Service - 7-57

Appendices
A - General References & Resources - A-1
B - Civil Liability: Implications for Corrections/Detention Officers - B-1
C - Defense and Indemnification of Offices and Employees of the State and Public Entities - C-1
D - New York State Office of Mental Health Organization, Structure and Facilities - D-1
E - The Layperson's Glossary of Legal and Technical Terms - E-1

Illustrations

The New York State Criminal Justice System - 1-14
Chart I - Mental Hygiene, Criminal Procedure, Penal and Correction Laws: General Purpose and Statutes Governing Psychiatric Hospital Commitments and Court Ordered Examinations Applicable to the
Adult Forensic Patient - 3-2
Chart II - Financial Liability and Treatment Setting for Criminal Law Admissions - 3-3
Chart III - Financial Liability and Treatment Setting for Criminal Procedure Law Evaluations - 3-7
Chart IV - Impact of Various Legal Alternatives on the Psychiatric Hospitalization of Pre-Arraigned, Arraigned But Not Sentenced and Sentenced Criminal Justice Patients - 3-10