Public Safety Crisis | Establishing Operational Safeguards

Unfolding history is not an enigma. In 2025, the New York State and City correctional systems—and broader systems across the nation—have fallen out of compliance with core principles of the rule of law. The persistent void in executive workforce management standards has emerged as a primary driver of significant constitutional concerns. By not fully implementing or refining the standards in Title 9 of the New York Codes, Rules, and Regulations (NYCRR), New York State has failed to meet key obligations to those it governs. This administrative gap—evident in unregulated mandatory overtime and elevated vacancy rates—is not solely a budgetary issue; it represents a serious lapse in the responsibility to maintain safety and order.

When executive operations rely on unclear budgetary assumptions and insufficient staffing metrics, they undermine the original intent of relevant laws, shifting from structured governance to ad-hoc management. In this ongoing crisis, deficiencies in personnel standards have directly contributed to the risks of Eighth Amendment violations. Systemic challenges in workforce management have fueled conditions associated with "deliberate indifference," including delays in essential care and heightened vulnerabilities for those incarcerated—all compounded by an overstretched workforce.

By lacking robust impartial safeguards to address the complexities of institutional power, the State has allowed correctional facilities to become sites of ongoing noncompliance, where individual constitutional rights are often compromised amid operational instability.

The New York State Department of Corrections and Community Supervision (NYSDOCCS), the New York City Department of Corrections, and correctional systems nationwide face a profound constitutional crisis in workforce management. These systems, intended to align with established governance frameworks—as illustrated by Title 9 NYCRR, where Part 7017 outlines personnel standards and Part 7041 specifies staffing requirements—operate under a significant executive-level void. No comprehensive standards, provisions, or oversight exist to manage the scale and complexity of workforce needs effectively; ensure consistent compliance with statutory and constitutional duties; address budgetary constraints; support rehabilitative outcomes; establish impartial fiscal protections; or mitigate risks of prolonged noncompliance—resulting in inadequate guidance amid persistent mandatory overtime, unclear budgeting, and staffing shortfalls.

A sustained deterioration in command and control remains a key factor in each system's constitutional challenges. These issues have led to workforce fatigue, operational instability, tragic losses of life in difficult conditions, and the entrenched normalization of understaffing. Such maladministration also significantly hinders effective workforce coordination and governance under the New York State HALT Act, which some have cited as a contributing factor—though debated—to elevated violence in facilities. This analysis examines the root causes of the staffing crisis to offer clarity and perspectives on reforms, reviews the HALT Act (Senate Bill S2836), and proposes measures to regulate the workforce.

1. Unregulated Mandatory Overtime and Workforce Fatigue

Recent NYSCOPBA contract negotiations, specifically on page 113, highlight the detrimental impact of mandatory overtime on corrections officers'  work-life balance. During negotiations on a successor agreement to the 2016–2023 collective bargaining contract, the parties discussed the effects of overtime on scheduled vacations, incidental leave, regular days off, and consecutive shifts. Although no immediate solutions were reached, the negotiations led to the formation of a labor-management committee tasked with analyzing the causes of overtime and its impact on work-life balance, and with making recommendations to the President of NYSCOPBA and the Director of the Office of Employee Relations.  

• Impact of Overtime:  Excessive overtime has led to workforce abuse, reducing officers'  ability to perform effectively and safely. Excessive mandatory overtime violates human capacity. It also disrupts each member's quality of life and readiness, leading to burnout and higher attrition rates.  

• Contractual Ambiguity: The contract's vague language creates uncertainty that could be exploited to prioritize political goals and cost reduction over workforce dynamics and the quality of life of all affected parties. Employers may overtly over-rely on overtime to fill staffing gaps, neglecting the well-being of uniformed personnel and the conditions of public service.  

• Ethical Concerns: The lack of operational safeguards in correctional systems—such as defined overtime limits, comprehensive measures of task and staffing standards, and robust budgetary oversight—can lead to the unethical exploitation of staff through chronic understaffing and excessive mandatory overtime. These practices create unsafe and unhealthy work environments for personnel and incarcerated individuals alike, while risking violations of constitutional obligations to maintain a well-regulated workforce capable of ensuring safety, order, and humane conditions.

2. Deficiencies in the 2023 Annual Legislative Report on Security and Staffing

The  2023 Annual Legislative Report on Security and Staffing, prepared by  NYSDOCCS, reveals significant deficiencies that hinder effective  workforce management:

• Lack of Clarity in Budget Assumptions: A review of the 2023 Annual Legislative Report on Security and Staffing reveals that it fails to differentiate between budgeted and non-budgeted positions and does not adequately analyze cost allocations for ancillary tasks. This lack of transparency obscures the actual staffing needs and budgetary requirements. 

• Inadequate Use of Analytical Tools: The report lacked precision in multivariable calculus and actuarial terminology, essential for accurately interpreting staffing formulations. This makes it challenging to assess workforce requirements to sustain a well-constituted workforce.  

• Impact of Mandatory Overtime: The report does not adequately assess the level and effect of mandated overtime, which has led to excessive workforce fatigue and jeopardizes the operational safety of each prison and jail system. 

• Static Budgetary Formulations: The report relies on static budgetary assumptions that fail to account for the dynamic nature of correctional operations. Regular patterns of ancillary tasks reduce workforce availability, strain baseline functionality, and create fiscal disharmony. To all of which systems are undermined by managerial perspectives that regulate these ongoing crises, in the absence of safeguards in oversight.   

3. Normalization of Understaffing

The staffing crisis has led to a normalization of understaffing, when, before the 2025 strike, the Commissioner of State Corrections issued a memo entitled "70%  is the new 100%." This mindset masks the extent of staffing shortfalls,  creating operational instability and increasing the risk of emergency post-closures and their impact on services. Budgetary ambiguity and unregulated staffing gaps have caused many correctional systems to falter, with facilities struggling to meet codified minimum standards and operationalization needs.  

• Budgetary Gaps: Correctional organizations maintain both budgeted and non-budgeted post requirements, where staff are contractually entitled to straight-time compensation, appearance rates, and contractual leave benefits (e.g., vacation and sick days). Despite these provisions, persistent staffing deficits arise from anomalous budgetary gaps that remain unmeasured, unmanageable, and uncontrolled. These gaps continually widen, rendering it impossible to sustain adequate operational staffing levels.

• Need for Data-Driven Analysis: Data governance and administration support a well-administered correctional workforce that can determine budgetary measures and overtime utilization relative to available workforce capacity by analyzing cost, time, and energy dynamics. This approach is essential to safeguard workforce continuity and prevent haphazard abuse of leadership and corruption. 

To mitigate the staffing crisis and prevent human exploitation, the following reforms are being recommended:  

1. Monthly Overtime Caps Proposed Limits: Establish reasonable monthly overtime limitations and controls, such as a cap of 57 hours, with provisions to increase to 65 hours or other under contractual terms of agreement or other under emergency circumstances. Additional provisions may also be implemented to raise thresholds beyond these measures, at the request of personnel, in accordance with the needs and discretion of the command. A cap system manages workforce orchestration performance and attrition dynamics to prevent excessive fatigue.  

• Rationale: Clear limits on overtime are essential to uphold minimum standards of care for workforce sustainability and operational continuity.  Unregulated overtime degrades workforce performance by compromising public safety and rehabilitation efforts. 

• Legal and Ethical Basis: Under the New York Codes, Rules, and Regulations (NYCRR), Title 7, the  State Commission of Correction (SCOC) establishes minimum standards for correctional facilities, including care, custody, and supervision.  Overtime caps will align standards to remedy inadequacies in staffing policies.  

2. Data-Driven Staffing Standards 

• Need for Precision: The deficiencies in the 2023 Annual Legislative Report highlight the need for data-driven staffing standards. Multivariable calculus, Human-In-The-Loop (HITL) data engineering, and machine learning can provide a synergistic approach to accurately assess staffing needs and budgetary allocations.  

• Addressing Budgetary Gaps: Critical function losses require a cross-function analysis of differentiation between current budgetary assumptions and actual functional costs, including primary and ancillary tasks. This analysis is crucial for reconciling budgetary gaps and ensuring sustainable staffing levels.  

• Preventing Exploitation: Data-driven standards will limit workforce abuse and ensure staffing levels align with operational demands and contractual agreements.  

3. Legislative and Contractual Safeguards Clarifying Contract Language: Address the uncertainty in the NYSCOPBA contract by clarifying language related to workforce orchestration and operationalization to manage overtime, sustain leave benefits, and regulate shift durations. This will prevent deliberate misinterpretations or indifference that favor cost reduction over a person's quality of life. 

Implement operational safeguards to clarify the duration of extended shifts,  absent emergency exceptional events. This ensures employers adhere to ethical standards and constitutional obligations.  

Legislative Action: Establish safe and effective staffing gaps through legislative dictates,  complementing contractual agreements. This will provide a legal framework to prevent workforce exploitation and promote organizational readiness.  

The New York State HALT Act, which limits the use of solitary confinement in correctional facilities, is one aspect of the contention over this staffing crisis. While the act was intended to promote humane treatment,  it has, in many accounts, been a common denominator in its implementation that contributes to rising violence in correctional facilities.  

1. Impact on Prison Violence 

Union Concerns: The union representing corrections officers, NYSCOPBA, argues that the HALT  Act has weakened disciplinary measures, leading to an increase in assaults on both staff and incarcerated individuals. Data from the  Department of Corrections and Community Supervision (DOCCS) shows that assaults on staff rose from 1,043 in 2019 to nearly 2,000 in 2024.  

Safety Risks: Officers cite the act as a key factor in their demands for reform,  including stricter policies on contraband and third-party vendors. They argue that the act has exacerbated safety concerns, particularly in understaffed facilities where officers struggle to maintain order.  

2. Legislative Challenges 

• Union Demands: NYSCOPBA has called for changes to the HALT Act to address safety concerns. However, any modifications would require legislative action,  which may be difficult to achieve given the political sensitivities surrounding criminal justice reform.  

• Balancing Humanitarian Goals and Safety: While the HALT Act aims to promote humane treatment, its implementation must be balanced with measures to enhance security and workforce discipline within correctional facilities. This balance is critical to ensure the safety of both staff and incarcerated individuals.  

Addressing  the staffing crisis in NYSDOCCS requires a comprehensive approach that  tackles both operational and legislative challenges:  

1. Rectifying Deficiencies in the 2023 Annual Legislative Report -Improved Analysis: Address the deficiencies in the report by utilizing multivariable calculus and actuarial methodologies to assess and manage staffing demand and budgetary allocations accurately.  

• Transparency in Budget Assumptions: Clarify the distinction between budgeted and non-budgeted positions and the analysis of cost allocations for ancillary tasks. This transparency is essential to understanding the true extent of staffing shortfalls. 

• Assessing Mandatory Overtime: Evaluate the level and impact of enforced mandatory overtime to mitigate workforce fatigue and ensure operational safety.  

2. Implementing Proposed Reforms

• Overtime Caps: Implement the proposed monthly overtime caps, for example, 57–65 hours, to manage workforce performance and prevent exploitation. These caps should be enforced through contractual agreements, workforce policy, and legislative mandates. 

• Data-Driven Standards: Establish data-driven staffing standards to reconcile budgetary gaps and ensure sustainable staffing levels. This includes analyzing the rate of change between budgetary assumptions and actual functional costs.  

• Operational Safeguards: Clarify contractual language to define operational safeguards as cooperative cost-management measures designed to prevent the unethical exploitation of uninformed personnel, thereby fulfilling the constitutional duty to maintain a well-regulated workforce. By embedding these safeguards in collective bargaining agreements and employment contracts, employers and unions can jointly reduce unnecessary administrative overhead, costly litigation, and inefficient practices, generating sustainable cost savings without reducing worker compensation or benefits. These prudently redirected savings can then bolster and stabilize underfunded defined-benefit pension plans by improving funding ratios, lowering unfunded liabilities, and enhancing long-term retirement security for public employees. This action would simultaneously strengthen municipal budgets by easing fiscal pressures, enable more reliable delivery of critical public services such as police, fire, education, and infrastructure maintenance, and promote greater public trust through transparent, equitable, and constitutionally aligned labor practices.

3. Addressing the HALT Act 

• Revisiting Provisions:  Consider revisiting specific provisions of the HALT Act to address safety concerns, such as stricter policies on contraband and third-party vendors. Any changes should balance humanitarian goals with operational needs.  

• Complementary Measures: Introduce measures to enhance security, programming, and workforce discipline in correctional facilities, such as increased staffing and staffing protocols in high-risk units and improved officer training.  

• Legislative Engagement: Engage with lawmakers to advocate for balanced reforms addressing the union's concerns while maintaining the act's humanitarian goals. This may involve creating a task force to study the act's impact and recommend adjustments.  

The staffing crisis in New York State and the New York City Department of Corrections is a multifaceted issue driven by unregulated mandatory overtime, unclear budgetary assumptions, and insufficient staffing workforce metrics. A deterioration in command and control is the primary cause of each system's constitutional injury, which continues to worsen conditions through excessive workforce fatigue, reduced safety, increased violence, and the loss of functionality in critical services.

Constitutional backsliding occurs when institutional oversight mechanisms are not comprehensive, are incomplete or weakened, and when checks and balances erode or operate without transparency, often under prolonged autocratic pressure. This undermines the rule of law, heightens systemic instability, and normalizes deficiencies—such as chronic understaffing—that impair the state's ability to fulfill essential obligations for protecting public welfare and human rights.

Proposed reforms, such as monthly overtime caps and data-driven workforce standards, are essential to prevent human exploitation of society, its workforce, and the incarcerated and to uphold constitutional standards of care. By addressing the root causes of understaffing, implementing proposed reforms, and carefully navigating the challenges posed by the HALT Act, New York can work toward correctional systems that uphold safe, sustainable, and high-quality governance.

This requires a comprehensive approach that combines operational improvements, legislative action, and a commitment to balancing humanitarian goals with workforce needs. Only through such efforts can New York State and City carceral systems ensure the welfare and rehabilitation of incarcerated individuals while maintaining a well-constituted workforce capable of governing a free society.