Prison Reform | Public Safety Crisis

The New York State Department of Corrections and Community Supervision  (NYSDOCCS) is grappling with a severe staffing crisis driven by unregulated mandatory overtime, unclear budgetary assumptions, and insufficient staffing metrics. These challenges, detailed in the  NYSCOPBA contract negotiations and the 2023 Annual Legislative Report on  Security and Staffing, have led to workforce fatigue, operational instability, and a normalization of understaffing. The situation is further complicated by the administration of the New York State HALT  Act, which has, in part, been focused as the common denominator that contributes to the rising violence in correctional facilities.  This response addresses the underlying causes of the staffing crisis, as it aims to provide clarity and insights for actionable reforms.  Additionally, it examines the role of the Halt Act Senate Bill S2836 and outlines a comprehensive path forward to maintain a well-regulated workforce.   

1. Unregulated Mandatory Overtime and Workforce Fatigue

The  NYSCOPBA contract negotiations, specifically on page 113, highlight the detrimental impact of mandatory overtime on corrections officers'  work-life balance. During negotiations for a successor agreement to the  2016–2023 collective bargaining contract, the parties discussed overtime's effects 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, with recommendations to be made 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. It also disrupts each member's personal life, leading to burnout and higher attrition rates.  

• Contractual Ambiguity: The contract's vague language creates uncertainty, which could be exploited to prioritize cost reduction over officers' quality of life.  For example, without precise limits, employers may over-rely on overtime to fill staffing gaps, neglecting the well-being of uniformed personnel.  

• Ethical Concerns: The lack of operational safeguards, such as defined overtime limits,  risks the unethical exploitation of corrections officers, violating constitutional obligations to maintain a well-regulated workforce.  

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: The report 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 lacks 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 impact of enforced mandatory overtime, which has led to excessive workforce fatigue and jeopardized operational safety. 

•  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, straining baseline functionality and creating budgetary disharmony.  

3. Normalization of Understaffing

The  staffing crisis has led to a normalization of understaffing, where "70%  is the new 100%." This mindset masks the extent of staffing shortfalls,  creating operational instability and increasing the risk of emergency post-closures. 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: Each organization has budgeted and non-budgeted post requirements, with officers having straight-time appearance rates and contractual leave benefits (e.g., vacation, sick days). However, staffing deficits persist as budgetary gaps, as they are unmeasured and untenable to sustain operations.  

•  Need for Data-Driven Analysis: A well-experienced correctional workforce administrator could determine overtime quantification versus the available workforce by analyzing cost, time, and energy dynamics. This approach is essential to safeguard workforce continuity and prevent haphazard abuse by leadership. 

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

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 under specific circumstances. Additional provisions may also be implemented to raise thresholds beyond these measures at the request of personnel and according to 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 corrections officers and ensure operational stability.  Unregulated overtime degrades workforce performance and benefits,  compromising 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 with these standards and 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, data engineering, and machine learning can provide an actuarial synergy to accurately assess staffing needs and budgetary allocations.  

•  Addressing Budgetary Gaps: Critical function losses require an analysis of differentiation between current budgetary assumptions and actual functional costs, including primary and ancillary tasks. This analysis is crucial to reconcile budgetary gaps and ensure 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 overtime, sustaining leave benefits, and regulating 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 point within the contention of this staffing crisis. While the act was intended to promote humane treatment,  it has, in many accounts, been a common denominator 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 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 staffing needs and budgetary allocations accurately.  

•  Transparency in Budget Assumptions: Provide clarity in differentiating between budgeted and non-budgeted positions and analyzing cost allocations for ancillary tasks. This transparency is essential to understand 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 of 57–65 hours to manage workforce performance and prevent exploitation. These caps should be enforced through contractual agreements and legislative dictates. 

•  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 contract language and establish operational safeguards to prevent unethical exploitation of uniformed personnel. This aligns with the constitutional obligation to maintain a well-regulated workforce.  

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 complementary measures to enhance security and discipline within correctional facilities, such as increased staffing for 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 NYSDOCCS is a multifaceted issue driven by unregulated mandatory overtime, unclear budgetary assumptions, and insufficient staffing metrics. These challenges, outlined in the  NYSCOPBA contract negotiations and the 2023 Annual Legislative Report on  Security and Staffing, have led to workforce fatigue, operational instability, and a normalization of understaffing. Proposed reforms,  such as monthly overtime caps and data-driven staffing standards, are essential to prevent human exploitation and uphold minimum standards of care. However, the situation is further complicated by the New York  State HALT Act, which has been a common denominator contributing to rising violence in correctional facilities.  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 a correctional system that is both safe and sustainable. This requires a comprehensive approach that combines operational improvements,  legislative action, and a commitment to balancing humanitarian goals with security needs. Only through such efforts can NYSDOCCS ensure the welfare and rehabilitation of incarcerated individuals while maintaining a well-constituted workforce capable of governing a free society.