ATTACHMENTS by liuqingyan

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									                                   New York State
                       Office of Children and Family Services

David A. Paterson
Governor


Gladys Carrión, Esq.
Commissioner

                        Child Fatality Review Team


                         Request for Proposals




                                 PART III

                             ATTACHMENTS
                             ATTACHMENTS
                        CONTRACT PROVISIONS


ATTACHMENT 1   State of New York Agreement




ATTACHMENT 2   Appendix A
               Standard Clauses for All New York State Contracts (June, 2006)



ATTACHMENT 3   Appendix A1   Standard Clauses for All OCFS Contracts (February 2010)


ATTACHMENT 4   Local and Regional Child Fatality Review Teams – Guidelines
               Appendix 4-A – New York State Laws – Child Fatality Review Team
               Appendix 4-B – Regional Offices


ATTACHMENT 5   Child Fatality Review Team – Protocol



ATTACHMENT 6   Payment and Reporting Schedule: Appendix C
ATTACHMENT 1
                                    STATE OF NEW YORK
                                       AGREEMENT


This AGREEMENT is hereby made by and between the State of New York agency (STATE) and the
public or private agency (CONTRACTOR) identified on the face page hereof.

                                           WITNESSETH:

WHEREAS, the STATE has the authority to regulate and provide funding for the establishment and
operation of program services and desires to contract with skilled parties possessing the necessary
resources to provide such services; and

WHEREAS, the CONTRACTOR is ready, willing and able to provide such program services and
possesses or can make available all necessary qualified personnel, licenses, facilities and expertise to
perform or have performed the services required pursuant to the terms of this AGREEMENT;

NOW THEREFORE, in consideration of the promises, responsibilities and covenants herein, the STATE
and the CONTRACTOR agree as follows:


I. Conditions of Agreement

     A.   This AGREEMENT may consist of successive periods (PERIOD), as specified within the
          AGREEMENT or within a subsequent Modification Agreement(s) (Appendix X). Each
          additional or superseding PERIOD shall be on the forms specified by the particular State
          agency, and shall be incorporated into this AGREEMENT.

     B.   Funding for the first PERIOD shall not exceed the funding amount specified on the face page
          hereof. Funding for each subsequent PERIOD, if any, shall not exceed the amount specified in
          the appropriate appendix for that PERIOD.

     C    This AGREEMENT incorporates the face pages attached and all of the marked appendices
          identified on the face page hereof.

     D.   For each succeeding PERIOD of this AGREEMENT, the parties shall prepare new
          appendices, to the extent that any require modification, and a Modification Agreement (The
          attached Appendix X is the blank form to be used). Any terms of this AGREEMENT not
          modified shall remain in effect for each PERIOD of the AGREEMENT.

          To modify the AGREEMENT within an existing PERIOD, the parties shall revise or complete
          the appropriate appendix form(s). Any change in the amount of consideration to be paid, or
          change in the term, is subject to the approval of the Office of the State Comptroller. Any other
          modification shall be processed in accordance with agency guidelines as stated in Appendix
          A1.

     E.   The CONTRACTOR shall perform all services to the satisfaction of the STATE. The
          CONTRACTOR shall provide services and meet the program objectives summarized in the
          Program Workplan (Appendix D) in accordance with: provisions of the AGREEMENT; relevant
          laws, rules and regulations, administrative and fiscal guidelines; and where applicable,
          operating certificates for facilities or licenses for an activity or program.

     F.   If the CONTRACTOR enters into subcontracts for the performance of work pursuant to the
          AGREEMENT, the CONTRACTOR shall take full responsibility for the acts and omissions of
          its subcontractors. Nothing in the subcontract shall impair the rights of the STATE under this
          AGREEMENT.        No contractual relationship shall be deemed to exist between the
          subcontractor and the STATE.

     G.   Appendix A (Standard Clauses as required by the Attorney General for all State contracts)
          takes precedence over all other parts of the AGREEMENT.

II. Payment and Reporting

     A.   The CONTRACTOR, to be eligible for payment, shall submit to the STATE's designated
          payment office (identified in Appendix C) any appropriate documentation as required by the
          Payment and Reporting Schedule (Appendix C) and by agency fiscal guidelines, in a manner
          acceptable to the STATE.

     B.   The STATE shall make payments and any reconciliation in accordance with the Payment and
          Reporting Schedule (Appendix C). The STATE shall pay the CONTRACTOR, in consideration
          of contract services for a given PERIOD, a sum not to exceed the amount noted on the face
          page hereof or in the respective Appendix designating the payment amount for that given
          PERIOD. This sum shall not duplicate reimbursement from other sources for CONTRACTOR
          costs and services provided pursuant to this AGREEMENT.

     C.   The CONTRACTOR shall meet the audit requirements specified by the STATE.


III. Terminations

     A.   This AGREEMENT may be terminated at any time upon mutual written consent of the STATE
          and the CONTRACTOR.

     B.   The STATE may terminate the AGREEMENT immediately, upon written notice of termination
          to the CONTRACTOR, if the CONTRACTOR fails to comply with the terms and conditions of
          this AGREEMENT and/or with any laws, rules, regulations, policies or procedures affecting this
          AGREEMENT.

     C.   The STATE may also terminate this AGREEMENT for any reason in accordance with
          provisions set forth in Appendix A1.

     D.   Written notice of termination, where required, shall be sent by personal messenger service or
          by certified mail, return receipt requested. The termination shall be effective in accordance
          with the terms of the notice.


     E. Upon receipt of notice of termination, the CONTRACTOR agrees to cancel, prior to the effective
        date of any prospective termination, as many outstanding obligations as possible, and agrees
        not to incur any new obligations after receipt of the notice without approval by the STATE.

     F. The STATE shall only be responsible for payment on claims pursuant to services provided and
        costs incurred prior to the termination date and pursuant to terms of the AGREEMENT. In no
        event shall the STATE be liable for expenses incurred after the termination date.
IV. Indemnification

     A.   The CONTRACTOR shall be solely responsible and answerable in damages for any and all
          accidents and/or injuries to persons (including death) or property arising out of or related to the
          services to be rendered by the CONTRACTOR or its subcontractors pursuant to this
          AGREEMENT. The CONTRACTOR shall indemnify and hold harmless the STATE and its
          officers and employees from claims, suits, actions, damages and costs of every nature arising
          out of the provision of services pursuant to this AGREEMENT.

     B.   The CONTRACTOR is an independent contractor and may neither hold itself out nor claim to
          be an officer, employee or subdivision of the STATE nor make any claim, demand or
          application to or for any right based upon any different status.


V. Property

          Any equipment, furniture, supplies or other property purchased pursuant to this AGREEMENT
          is deemed to be property of the STATE except as may otherwise be governed by Federal or
          State laws, ruled or regulations, or as stated in Appendix A1.


VI. Safeguards for Services and Confidentiality

     A.   Services performed pursuant to this AGREEMENT are secular in nature and shall be
          performed in a manner that does not discriminate on the basis of religious belief, or promote or
          discourage adherence to religion in general or particular religious beliefs.

     B. Funds provided pursuant to this AGREEMENT shall not be used for any partisan political
        activity, or for activities that may influence legislation or the election or defeat of any candidate
        for public office.

     C. Information relating to individuals who may receive services pursuant to this AGREEMENT shall
        be maintained and used only for the purposes intended under the contract and in conformity
        with applicable provisions of laws and regulations, or specified in Appendix A1.
ATTACHMENT 2
                                             APPENDIX A
                                      STANDARD CLAUSES FOR ALL
                                      NEW YORK STATE CONTRACTS

                                               (Revised June 2006)
The parties to the attached contract, license, lease, amendment or other agreement of any kind (hereinafter, "the
contract" or "this contract") agree to be bound by the following clauses which are hereby made a part of the contract
(the word "Contractor" herein refers to any party other than the State, whether a contractor, licenser, licensee, lessor,
lessee or any other party):

1. EXECUTORY CLAUSE. In accordance with Section 41 of the State Finance Law, the State shall have no liability
under this contract to the Contractor or to anyone else beyond funds appropriated and available for this contract.

2. NON-ASSIGNMENT CLAUSE. In accordance with Section 138 of the State Finance Law, this contract may not be
assigned by the Contractor or its right, title or interest therein assigned, transferred conveyed, sublet or otherwise
disposed of without the previous consent, in writing, of the State and any attempts to assign the contract without the
State's written consent are null and void. The Contractor may, however, assign its right to receive payment without
the State's prior written consent unless this contract concerns Certificates of Participation pursuant to Article 5-A of
the State Finance Law.

3. COMPTROLLER'S APPROVAL. In accordance with Section 112 of the State Finance Law (or, if this contract is
with the State University or City University of New York, Section 355 or Section 6218 of the Education Law), if this
contract exceeds $50,000 (or the minimum thresholds agreed to by the Office of the State Comptroller for certain
S.U.N.Y. and C.U.N.Y. contracts), or if this is an amendment for any amount to a contract which, as so amended,
exceeds said statutory amount, or if, by this contract, the State agrees to give something other than money when the
value or reasonably estimated value of such consideration exceeds $10,000, it shall not be valid, effective or binding
upon the State until it has been approved by the State Comptroller and filed in his office. Comptroller’s approval of
contracts let by the Office of General Services is required when such contracts exceed $85,000 (State Finance Law
Section 163.6.a).

4. WORKERS' COMPENSATION BENEFITS. In accordance with Section 142 of the State Finance Law, this contract
shall be void and of no force and effect unless the Contractor shall provide and maintain coverage during the life of
this contract for the benefit of such employees as are required to be covered by the provisions of the Workers'
Compensation Law.

5. NON-DISCRIMINATION REQUIREMENTS. To the extent required by Article 15 of the Executive Law (also known
as the Human Rights Law) and all other State and Federal statutory and constitutional non-discrimination provisions,
the contractor will not discriminate against any employee or applicant for employment because of race, creed, color,
sex, national origin, sexual orientation, age, disability, genetic predisposition or carrier status, or marital status.
Furthermore, in accordance with Section 220-e of the Labor Law, if this is a contract for the construction, alteration, or
repair of any public building or public work, or for the manufacture, sale, or distribution of materials, equipment, or
supplies, and to the extent that this contract shall be performed within the State of New York, Contractor agrees that
neither it nor its subcontractors, shall, by reason of race, creed, color, disability, sex, or national origin: (a)
discriminate in hiring against any New York State citizen who is qualified and available to perform the work; or (b)
discriminate against or intimidate any employee hired for the performance of work under this contract. If this is a
building service contract, as defined in Section 230 of the Labor Law, then, in accordance with Section 239 thereof,
Contractor agrees that neither it nor its subcontractors shall by reason of race, creed, color, national origin, age, sex,
or disability: (a) discriminate in hiring against any New York State citizen who is qualified and available to perform the
work; or (b) discriminate against or intimidate any employee hired for the performance of work under this contract.
Contractor is subject to fines of $50.00 per person per day for any violation of Section 220-e or Section 239, as well
as possible termination of this contract and forfeiture of all moneys due hereunder for a second or subsequent
violation.

6. WAGE AND HOURS PROVISIONS. If this is a public work contract covered by Article 8 of the Labor Law or a
building service contract covered by Article 9 thereof, neither Contractor's employees nor the employees of its
subcontractors may be required or permitted to work more than the number of hours or days stated in said statutes,
except as otherwise provided in the Labor law and as set forth in prevailing wage and supplement schedules issued
by the State Labor Department. Furthermore, Contractor and its subcontractors must pay at least the prevailing wage
rate and pay or provide the prevailing supplements, including the premium rates for overtime pay, as determined by
the State Labor Department in accordance with the Labor Law.
7. NON-COLLUSIVE BIDDING REQUIREMENT. In accordance with Section 139-d of the State Finance Law, if this
contract was awarded based upon the submission of bids, Contractor warrants, under penalty of perjury, that its bid
was arrived at independently and without collusion aimed at restricting competition. Contractor further warrants that,
at the time Contractor submitted its bid, an authorized and responsible person executed and delivered to the State a
non-collusive bidding certification on Contractor's behalf.

8. INTERNATIONAL BOYCOTT PROHIBITION. In accordance with Section 220-f of the Labor Law and Section 139-
h of the State Finance Law, if this contract exceeds $5,000, the Contractor agrees, as a material condition of the
contract, that neither the Contractor nor any substantially owned or affiliated person, firm, partnership or corporation
has participated, is participating, or shall participate in an international boycott in violation of the Federal Export
Administration Act of 1979 (50 USC App. Sections 2401 et seq.) or regulations there-under. If such Contractor, or any
of the aforesaid affiliates of Contractor, is convicted or is otherwise found to have violated said laws or regulations
upon the final determination of the United States Commerce Department or any other appropriate agency of the
United States subsequent to the contractors execution, such contract, amendment or modification thereto shall be
rendered forfeit and void. The Contractor shall so notify the State Comptroller within five (5) business days of such
conviction, determination or disposition of appeal (2NYCRR 105.4).

9. SET-OFF RIGHTS. The State shall have all of its common law, equitable and statutory rights of set-off. These
rights shall include, but not be limited to, the State's option to withhold for the purposes of set-off any moneys due to
the Contractor under this contract up to any amounts due and owing to the State with regard to this contract, any
other contract with any State department or agency, including any contract for a term commencing prior to the term of
this contract, plus any amounts due and owing to the State for any other reason including, without limitation, tax
delinquencies, fee delinquencies or monetary penalties relative thereto. The State shall exercise its set-off rights in
accordance with normal State practices including, in cases of set-off pursuant to an audit, the finalization of such
audit by the State agency, its representatives, or the State Comptroller.

10. RECORDS. The Contractor shall establish and maintain complete and accurate books, records, documents,
accounts and other evidence directly pertinent to performance under this contract (hereinafter, collectively, "the
Records"). The Records must be kept for the balance of the calendar year in which they were made and for six (6)
additional years thereafter. The State Comptroller, the Attorney General and any other person or entity authorized to
conduct an examination, as well as the agency or agencies involved in this contract, shall have access to the
Records during normal business hours at an office of the Contractor within the State of New York or, if no such office
is available, at a mutually agreeable and reasonable venue within the State, for the term specified above for the
purposes of inspection, auditing and copying. The State shall take reasonable steps to protect from public disclosure
any of the Records which are exempt from disclosure under Section 87 of the Public Officers Law (the "Statute")
provided that: (i) the Contractor shall timely inform an appropriate State official, in writing, that said records should not
be disclosed; and (ii) said records shall be sufficiently identified; and (iii) designation of said records as exempt under
the Statute is reasonable. Nothing contained herein shall diminish, or in any way adversely affect, the State's right to
discovery in any pending or future litigation.

11. IDENTIFYING INFORMATION AND PRIVACY NOTIFICATION. (a) FEDERAL EMPLOYER IDENTIFICATION
NUMBER and/or FEDERAL SOCIAL SECURITY NUMBER. All invoices or New York State standard vouchers
submitted for payment for the sale of goods or services or the lease of real or personal property to a New York State
agency must include the payee's identification number, i.e., the seller's or lessor's identification number. The number
is either the payee's Federal employer identification number or Federal social security number, or both such numbers
when the payee has both such numbers. Failure to include this number or numbers may delay payment. Where the
payee does not have such number or numbers, the payee, on its invoice or New York State standard voucher, must
give the reason or reasons why the payee does not have such number or numbers.

(B) PRIVACY NOTIFICATION. (1) The authority to request the above personal information from a seller of goods or
services or a lessor of real or personal property, and the authority to maintain such information, is found in Section 5
of the State Tax Law. Disclosure of this information by the seller or lessor to the State is mandatory. The principal
purpose for which the information is collected is to enable the State to identify individuals, businesses and others who
have been delinquent in filing tax returns or may have understated their tax liabilities and to generally identify persons
affected by the taxes administered by the Commissioner of Taxation and Finance. The information will be used for tax
administration purpose and for any other purpose authorized by law.

(2) The personal information is requested by the purchasing unit of the agency contracting to purchase the goods or
services or lease "the real or personal property covered by this contract or lease. The information is maintained in
New York State's Central Accounting System by the Director of Accounting Operations, Office of the State
Comptroller, 110 State Street, Albany, New York 12236.

12. EQUAL EMPLOYMENT OPPORTUNITIES FOR MINORITIES AND WOMEN. In accordance with Section 312 of
the Executive law, if this contract is: (i) a written agreement or purchase order instrument, providing for a total
expenditure in excess of $25,000.00, whereby a contracting agency is committed to expend or does expend funds in
return for labor, services, supplies, equipment, materials or any combination of the foregoing, to be performed for, or
rendered or furnished to the contracting agency; or (ii) a written agreement in excess of $100,000.00 whereby a
contracting agency is committed to expend or does expend funds for the acquisition, construction, demolition,
replacement, major repair or renovation of real property and improvements thereon; or (iii) a written agreement in
excess of $100,000.00 whereby the owner of a State assisted housing project is committed to expend or does
expend funds for the acquisition, construction, demolition, replacement, major repair or renovation of real property
and improvements thereon for such project, then:

(a) The Contractor will not discriminate against employees or applicants for employment because of race, creed,
color, national origin, sex, age, disability or marital status, and will undertake or continue existing programs of
affirmative action to ensure that minority group members and women are afforded equal employment opportunities
without discrimination. Affirmative action shall mean recruitment, employment, job assignment, promotion, upgrading,
demotion, transfer, layoff, or termination and rates of pay or other forms of compensation;

(b) at the request of the contracting agency, the Contractor shall request each employment agency, labor union, or
authorized representative of workers with which it has a collective bargaining or other agreement or understanding, to
furnish a written statement that such employment agency, labor union or representative will not discriminate on the
basis of race, creed, color, national origin, sex, age, disability or marital status and that such union or representative
will affirmatively cooperate in the implementation of the contractor's obligations herein; and

(c) the Contractor shall state, in all solicitations or advertisements for employees, that, in the performance of the State
contract, all qualified applicants will be afforded equal employment opportunities without discrimination because of
race, creed, color, national origin, sex, age, disability or marital status.

Contractor will include the provisions of “a”, “b”, and “c” above, in every subcontract over $25,000.00 for the
construction, demolition, replacement, major repair, renovation, planning or design of real property and improvements
thereon (the Work) except where the Work is for the beneficial use of the Contractor. Section 312 does not apply to:
(i) work, goods or services unrelated to this contract; or (ii) employment outside New York State; or (iii) banking
services, insurance policies or the sale of securities. The State shall consider compliance by a contractor or
subcontractor with the requirements of any federal law concerning equal employment opportunity, which effectuates
the purpose of this section. The contracting agency shall determine whether the imposition of the requirements of the
provisions hereof duplicate or conflict with any such federal law and if such duplication or conflict exists, the
contracting agency shall waive the applicability of Section 312 to the extent of such duplication or conflict. Contractor
will comply with all duly promulgated and lawful rules and regulations of the Division of Minority and Women's
Business Development pertaining hereto.

13. CONFLICTING TERMS. In the event of a conflict between the terms of the contract (including any and all
attachments thereto and amendments thereof) and the terms of this Appendix A, the terms of this Appendix A shall
control.

14. GOVERNING LAW. This contract shall be governed by the laws of the State of New York except where the
Federal supremacy clause requires otherwise.

15. LATE PAYMENT. Timeliness of payment and any interest to be paid to Contractor for late payment shall be
governed by Article XI-A of the State Finance Law to the extent required by law.

16. NO ARBITRATION. Disputes involving this contract, including the breach or alleged breach thereof, may not be
submitted to binding arbitration (except where statutorily authorized), but must, instead, be heard in a court of
competent jurisdiction of the State of New York.

17. SERVICE OF PROCESS. In addition to the methods of service allowed by the State Civil Practice Law & Rules
("CPLR"), Contractor hereby consents to service of process upon it by registered or certified mail, return receipt
requested. Service hereunder shall be complete upon Contractor's actual receipt of process or upon the State's
receipt of the return thereof by the United States Postal Service as refused or undeliverable. Contractor must
promptly notify the State, in writing, of each and every change of address to which service of process can be made.
Service by the State to the last known address shall be sufficient. Contractor will have thirty (30) calendar days after
service hereunder is complete in which to respond.

18. PROHIBITION ON PURCHASE OF TROPICAL HARDWOODS. The Contractor certifies and warrants that all
wood products to be used under this contract award will be in accordance with, but not limited to, the specifications
and provisions of State Finance Law §165. (Use of Tropical Hardwoods) which prohibits purchase and use of tropical
hardwoods, unless specifically exempted, by the State or any governmental agency or political subdivision or public
benefit corporation. Qualification for an exemption under this law will be the responsibility of the contractor to
establish to meet with the approval of the State.
In addition, when any portion of this contract involving the use of woods, whether supply or installation, is to be
performed by any subcontractor, the prime Contractor will indicate and certify in the submitted bid proposal that the
subcontractor has been informed and is in compliance with specifications and provisions regarding use of tropical
hardwoods as detailed in §165 State Finance Law. Any such use must meet with the approval of the State, otherwise,
the bid may not be considered responsive. Under bidder certifications, proof of qualification for exemption will be the
responsibility of the Contractor to meet with the approval of the State.

19. MACBRIDE FAIR EMPLOYMENT PRINCIPLES. In accordance with the MacBride Fair Employment Principles
(Chapter 807 of the Laws of 1992), the Contractor hereby stipulates that the Contractor either (a) has no business
operations in Northern Ireland, or (b) shall take lawful steps in good faith to conduct any business operations in
Northern Ireland in accordance with the MacBride Fair Employment Principles (as described in Section 165 of the
New York State Finance Law), and shall permit independent monitoring of compliance with such principles.

20. OMNIBUS PROCUREMENT ACT OF 1992. It is the policy of New York State to maximize opportunities for the
participation of New York State business enterprises, including minority and women-owned business enterprises as
bidders, subcontractors and suppliers on its procurement contracts.

Information on the availability of New York State subcontractors and suppliers is available from:


                                           NYS Empire State Development
                              Division of Minority and Women’s Business Development
                                                                    th
                                           30 South Pearl Street – 7 Floor
                                               Albany, New York 12245
                                              Telephone: 518-292-5250
                                                  Fax: 518-292-5803
                                            http://www.empire.state.ny.us


A directory of certified minority and women-owned business enterprises is available from:

                                           NYS Empire State Development
                              Division of Minority and Women's Business Development
                                                 30 South Pearl Street
                                               Albany, New York 12245
                                            http://www.empire.state.ny.us


The Omnibus Procurement Act of 1992 requires that by signing this bid proposal or contract, as applicable,
Contractors certify that whenever the total bid amount is greater than $l million:

(a) The Contractor has made reasonable efforts to encourage the participation of New York State Business
Enterprises as suppliers and subcontractors, including certified minority and women-owned business enterprises, on
this project, and has retained the documentation of these efforts to be provided upon request to the State;

(b) The Contractor has complied with the Federal Equal Opportunity Act of 1972 (P.L. 92-261), as amended;

(c) The Contractor agrees to make reasonable efforts to provide notification to New York State residents of
employment opportunities on this project through listing any such positions with the Job Service Division of the New
York State Department of Labor, or providing such notification in such manner as is consistent with existing collective
bargaining contracts or agreements. The Contractor agrees to document these efforts and to provide said
documentation to the State upon request; and

(d) The Contractor acknowledges notice that the State may seek to obtain offset credits from foreign countries as a
result of this contract and agrees to cooperate with the State in these efforts.

21. RECIPROCITY AND SANCTIONS PROVISIONS. Bidders are hereby notified that if their principal place of
business is located in a country, nation, province, state or political subdivision that penalizes New York State
vendors, and if the goods or services they offer will be substantially produced or performed outside New York State,
the Omnibus Procurement Act 1994 and 2000 amendments (Chapter 684 and Chapter 383, respectively) require that
they be denied contracts which they would otherwise obtain. NOTE: As of May 15, 2002, the list of discriminatory
jurisdictions subject to this provision includes the states of South Carolina, Alaska, West Virginia, Wyoming,
Louisiana and Hawaii. Contact the Department of Economic Development, Division for Small Business, 30 South
Pearl Street; Albany New York 12245, for a current list of jurisdictions subject to this provision
22. PURCHASES OF APPAREL. In accordance with State Finance Law Section 162 (4-a), the State shall not
purchase any apparel from any vendor unable or unwilling to certify that:
(i) Such apparel was manufactured in compliance with all applicable labor and occupational safety laws,
including, but not limited to, child labor laws, wage and hour laws and workplace safety laws; and
(ii) Vendor will supply, with its bid (or, if not a bid situation, prior to or at the time of signing a contract with the
State), if known, the names and addresses of each subcontractor and a list of all manufacturing plants to be
utilized for this contract by the bidder.
ATTACHMENT 3
                                APPENDIX A-1
                         STANDARD CLAUSES FOR ALL
      NEW YORK STATE OFFICE OF CHILDREN AND FAMILY SERVICES CONTRACTS
                                                     (Revised 2-2010)

1.   PERSONNEL

     a.   The Contractor agrees to be solely responsible for the recruitment, hiring, provision of employment benefits,
          payment of salaries and management of its project personnel, which shall be as shown in the
          APPENDICES. These functions shall be carried out in accordance with the provisions of this AGREEMENT,
          and all applicable Federal and State laws and regulations.

     b.   It is the policy of the Office to encourage the employment of qualified applicants for, or recipients of public
          assistance by both public organizations and private enterprises who are under contractual AGREEMENT to
          the Office for the provision of goods and services. Contractors will be expected to make best efforts in this
          area.

     c.   The Contractor agrees to identify, in writing, the person(s) who will be responsible for directing the work to
          be done under this AGREEMENT. No change or substitution of such responsible person(s) will be made
          without prior approval in writing from the Office, to the degree that such change is within the reasonable
          control of the Contractor.

2.        NOTICES

     a.   All notices permitted or required hereunder shall be in writing and shall be transmitted either:

             By certified or registered United States mail, return receipt requested;
             By facsimile transmission;
             By personal delivery;
             By expedited delivery service; or
             By e-mail.

          Notices to the Office shall be addressed to the Program Manager assigned to this contract at the Address,
          Telephone Number, Facsimile Number or E-Mail Address provided to the Contractor during contract
          development, or to such different Program Manager as the Office may from time-to-time designate.

          Notices to the Contractor shall be addressed to the Contractor’s designee as shown on the Cover Page in
          Appendix D, or to such different designee as the Contractor may from time-to-time designate.

     b.   Any such notice shall be deemed to have been given either at the time of personal delivery or, in the case of
          expedited delivery service or certified or registered United States mail, as of the date of first attempted
          delivery at the address and in the manner provided herein, or in the case of facsimile transmission or email,
          upon receipt.

     c. The parties may, from time to time, specify any new or different address in the United States as their address
         for purpose of receiving notice under this Agreement by giving fifteen (15) days written notice to the other
         party sent in accordance herewith. The parties agree to mutually designate individuals as their respective
         representatives for the purposes of receiving notices under this Agreement. Additional individuals may be
         designated in writing by the parties for purposes of implementation and administration/billing, resolving
         issues and problems and/or for dispute resolution.

3.   OFFICE SERVICES

     a.   The Contractor shall be responsible for the provision of necessary equipment and services for Contractor's
          staff, pursuant to and described in the narratives and budgets contained in the APPENDICES.

     b.   For Federally funded contracts, title to real property and non-expendable personal property whose
          requisition cost is borne in whole or in part by monies provided under this AGREEMENT shall be determined
          between the Contractor and the Office, pursuant to Federal regulations 45 CFR 92 unless such authority is
          otherwise inappropriate. Title to all equipment, supplies and material purchased with funds under this
          AGREEMENT under contracts which are not Federally funded shall be in the State of New York and the
          property shall not be transferred, conveyed, or disposed of without written approval of the Office. Upon
          expiration or termination of this AGREEMENT, all property purchased with funds under this AGREEMENT
          shall be returned to the Office, unless the Office has given direction for, or approval of, an alternative means
          of disposition in writing.

     c.   Upon written direction by the Office, the Contractor shall maintain an inventory of those properties that are
          subject to the provisions of sub-paragraph b of this section.

4.   GENERAL TERMS AND CONDITIONS

     a.   The Contractor agrees to comply in all respects with the provisions of this AGREEMENT and the
          attachments hereto. The Contractor specifically agrees to perform services according to the objectives,
          tasks, work plan and staffing plan contained in the APPENDICES. Any modifications to the tasks or
          workplan contained in Appendix D must be mutually agreed to by both parties in writing before the additional
          or modified tasks or workplan shall commence.

     b.   If any specific event or conjunction of circumstances threatens the successful completion of this project, in
          whole or in part, including where relevant, timely completion of milestones, the Contractor agrees to submit
          to the Office within three days of occurrence or perception of such problem, a written description thereof
          together with a recommended solution thereto.

     c.   In providing these services, the Contractor hereby agrees to be responsible for designing and operating
          these services, and otherwise performing, so as to maximize Federal financial participation to the Office
          under the Federal Social Security Act.

     d.   If funds from this contract will be used to pay any costs associated with the provision of legal services of any
          sort, the following shall apply:

             No litigation shall be brought against the State of New York, the New York State Office of Children and
              Family Services, or against any county or other local government or local social services district with
              funds provided under this contract. The term “litigation” shall include commencing or threatening to
              commence a lawsuit, joining or threatening to join as a party to ongoing litigation, or requesting any
              relief from either the State of New York, the New York State Office of Children and Family Services or
              any county or other local government or local social services district, based upon any agreement
              between such agency in litigation with another party and such party, during the pendency of the
              litigation.

             Opinions prepared by consultant law firms construing the statutes or Constitution of the State of New
              York do not constitute the view of the State unless the prior written approval of the Attorney General is
              obtained. Requests for said approval shall be submitted to the Solicitor General, Division of the
              Appeals and Opinions Bureau, Department of Law, The Capitol, Albany, New York 12224.

             The contractor shall provide to the New York State Office of Children and Family Services in a format
              provided by the Office such additional information concerning the provision of legal services as the
              Office shall require.

     e.   The Office will designate a Contract Manager who shall have authority relating to the technical services and
          operational functions of this AGREEMENT and activities completed or contemplated there under. The
          Contract Manager and those individuals designated by him/her in writing shall have the prerogative to make
          announced or unannounced on-site visits to the project. Project reports and issues of interpretation or
          direction relating to this AGREEMENT shall be directed to the Contract Manager.

     f.   Except where the Office otherwise authorizes or directs in writing, the Contractor agrees not to enter into
          any subcontracts, or revisions to subcontracts, for the performance of the obligations contained herein until it
          has received the prior written approval of the Office, which shall have the right to review and approve each
          and every subcontract prior to giving written approval to the Contractor to enter into the subcontract. All
          AGREEMENTS between the Contractor and subcontractors shall be by written contract, signed by
          individuals authorized to bind the parties. All such subcontracts shall contain provisions for specifying (1)
          that the work performed by the subcontractor must be in accordance with the terms of this AGREEMENT,
          (2) that nothing contained in the subcontract shall impair the rights of the Office under this AGREEMENT, (3)
          that nothing contained in the subcontract, nor under this AGREEMENT, shall be deemed to create any
          contractual relationship between the subcontractor and the Office, and (4) incorporating all provisions
          regarding the rights of the Office as set forth in Section 9 of this Appendix A-1 and in Appendix A-3, where
          applicable. The Contractor specifically agrees that the Contractor shall be fully responsible to the Office for
     the acts and omissions of subcontractors and of persons either directly or indirectly employed by them, as it
     is for the acts and omissions of persons directly employed by the Contractor

g.   The contractor warrants that it, its staff and any and all Subcontractors which must be approved by the
     Office, have all the necessary licenses, approvals and certifications currently required by the laws of any
     applicable local, state or federal government to perform the services pursuant to this AGREEMENT and/or
     subcontract entered into under this AGREEMENT. The Contractor further agrees such required licenses,
     approvals and certificates will be kept in full force and effect during the term of this Agreement, or any
     extension thereof, and to secure any new licenses, approvals or certificates within the required time frames
     and/or to require its staff and Subcontractors to obtain the requisite licenses, approvals or certificates. In the
     event the Contractor, its staff, and/or Subcontractors are notified of a denial or revocation of any license,
     approval or certification to perform the services under the AGREEMENT, Contractor will immediately notify
     Office.

h.   Prior to executing a subcontract agreement the Contractor agrees to provide to the Office the information the
     Office needs to determine whether a proposed Subcontractor is a responsible vendor. The determination of
     vendor responsibility will be made in accordance with Section 3 m. of this Appendix A-1.

i.   If the Contractor intends to use materials, equipment or personnel paid for under this contract in a revenue
     generating activity, the Contractor shall report such intentions to the Office forthwith and shall be subject to
     the direction of the Office as to the disposition of such revenue.

j.   Any interest accrued on funds paid to the Contractor by the Office shall be deemed to be the property of the
     Office and shall either be credited to the Office at the closeout of this AGREEMENT or expended on
     additional services provided for under this AGREEMENT.

k.   The Contractor ensures that the grounds, structures, buildings and furnishings at the program site(s) used
     under this AGREEMENT are maintained in good repair and free from any danger to health or safety and that
     any building or structure used for program services complies with all applicable zoning, building, health,
     sanitary, and fire codes.

l.   The Contractor agrees to produce, and retain for the balance of the calendar year in which produced, and
     for a period of six years thereafter, any and all records necessary to substantiate upon audit, the proper
     deposit and expenditure of funds received under this contract. Such records shall include, but not be limited
     to, original books of entry (e.g., cash disbursements and cash receipts journal), and the following specific
     records (as applicable) to substantiate the types of expenditures noted:

        Payroll Expenditures: cancelled checks and the related bank statements, time and attendance records,
         payroll journals, employee personal history folders, and cost allocation plans, if applicable.

        Payroll Taxes and Fringe Benefits: cancelled checks, copies of related bank statements, reporting
         forms, and invoices for Fringe Benefit expenses.

        Non-Personal Services Expenditures: original invoices/receipts, cancelled checks and related bank
         statements, consultant agreements, leases, and cost allocation plans, if applicable.

        Receipt and Deposit of Advance and Reimbursements: Itemized bank stamped deposit slips, and a
         copy of the related bank statements.

m. By signing this contract, the contractor certifies that within the past three years the contractor has engaged
   in no actions that would establish a basis for a finding by OCFS that the contractor is a non-responsible
   vendor or, if the contractor has engaged in any such action or actions, that all such actions have been
   disclosed to OCFS prior to entering into this contract. The actions that would potentially establish a basis for
   a finding by OCFS that the contractor is a non-responsible vendor include:

        The contractor has had a license or contract suspended, revoked or terminated by a governmental
         agency.
        The contractor has had a claim, lien, fine, or penalty imposed or secured against the contractor by a
         governmental agency.
        The contractor has initiated a bankruptcy proceeding or such a proceeding has been initiated against
         the contractor.
        The contractor has been issued a citation, notice, or violation order by a governmental agency finding
         the contractor to be in violation of any local, state or federal laws.
        The contractor has been advised by a governmental agency that a determination to issue a citation,
              notice or violation order finding the contractor to be in violation of any local, state or federal laws is
              pending before a governmental agency.
             The contractor has not paid all due and owed local, state and federal taxes to the proper authorities.
             The contractor has engaged in any other actions of a similarly serious nature.

          Where the contractor has disclosed any of the above to OCFS, OCFS may require as a condition precedent
          to entering into the contract that the contractor agree to such additional conditions as will be necessary to
          satisfy OCFS that the vendor is and will remain a responsible vendor. By signing this contract, the
          contractor agrees to comply with any such additional conditions that have been made a part of this contract.
          By signing this contract, the contractor also agrees that during the term of the contract, the contractor will
          promptly notify OCFS if the contractor engages in any actions that would establish a basis for a finding by
          OCFS that the contractor is a non-responsible vendor, as described above.

     n.   By signing this contract, the contractor agrees to comply with State Tax Law section 5-a.

     o.   If additional funds become available for the same purpose as described in the original procurement, OCFS
          reserves the right to modify the AGREEMENT to provide additional funding to the Contractor for provision of
          additional mutually agreed upon services and/or to extend the provision of services under the
          AGREEMENT. This additional funding can be provided within an existing period, or in conjunction with a
          change in the original term. Any changes in the amount or changes in period and amount are subject to the
          approval of the Office of the State Comptroller.

     p.   Any web-based intranet and Internet information and applications development, or programming delivered
          pursuant to the contract or procurement will comply with New York State Enterprise IT Policy NYS-P08-005,
          Accessibility Web-Based Information and Applications, and New York State Enterprise IT Standard NYS-
          S08-005, Accessibility of Web-Based Information Applications, as such policy or standard may be amended,
          modified or superseded, which requires that state agency web-based intranet and Internet information and
          applications are accessible to person with disabilities. Web content must conform to New York State
          Enterprise IT Standards NYS-S08-005, as determined by quality assurance testing. Such quality assurance
          testing will be conducted by OCFS and the results of such testing must be satisfactory to OCFS before web
          content will be considered a qualified deliverable under the contract or procurement.

     q.   Contractors must maintain Workers Compensation Insurance in accordance with the Workers
          Compensation Law. If a contractor believes they are exempt from the Workers Compensation insurance
          requirement then they must apply for an exemption. Contractors can apply for the exemption online through
          the New York State Workers Compensation Board website at :
          http://www.wcb.state.ny.us/content/ebiz/wc_db_exemptions/wc_db_exemptions.jsp

5.   REPORTS AND DELIVERABLES

     The Contractor shall prepare and submit all reports, documents, and projects required by this AGREEMENT to
     the Office's Contract Manager for review and approval. These reports shall be in such substance, form, and
     frequency as required by the Office and as necessary to meet State and Federal requirements.

6.   CONFIDENTIALITY AND PROTECTION OF HUMAN SUBJECTS

     a.   The Contractor agrees to safeguard the confidentiality of information relating to individuals and their families
          who may receive services in the course of this project. The Contractor shall maintain the confidentiality of all
          such information with regard to services provided under this AGREEMENT in conformity with the provisions
          of applicable State and Federal laws and regulations. Any breach of confidentiality by the Contractor, its
          agents or representatives shall be cause for immediate termination of this AGREEMENT.

     b.   Any contactor who will provide goods and/or services to a residential facility or program operated by OCFS
          agrees to require all of its employees and volunteers who will have the potential for regular and substantial
          contact with youth in the care or custody of OCFS to sign the Employee Confidentiality Certification and
          Employee Background Certification before any such employees and volunteers are permitted access to
          youth in the care or custody of OCFS and/or any client identifiable information concerning such youth.
          Additionally, OCFS will require a database check of the Statewide Central Register of Child Abuse and
          Maltreatment (SCR) of each employee and volunteer of the contractor who has the potential for regular and
          substantial contact with children in the care or custody of OCFS. Any other contractor whose employees
          and volunteers will have access to client identifiable information concerning youth in the care or custody of
          OCFS agrees to require all such employees and volunteers to sign the Employee Confidentiality Certification
          before any such employees and volunteers are permitted access to any client identifiable information
          concerning such youth.
7.   PUBLICATIONS AND COPYRIGHTS

     a.   The results of any activity supported under this AGREEMENT may not be published without prior written
          approval of the Office, which results (1) shall acknowledge the support of the Office and the State of New
          York and, if funded with federal funds, the applicable federal funding agency, and (2) shall state that the
          opinions, results, findings and/or interpretations of data contained therein are the responsibility of the
          Contractor and do not necessarily represent the opinions, interpretation or policy of the Office or the State of
          New York.

     b.   The Office and the State of New York expressly reserve the right to a royalty-free, non-exclusive and
          irrevocable license to reproduce, publish, distribute or otherwise use, in perpetuity, any and all copyrighted
          or copyrightable material resulting from this AGREEMENT or activity supported by this AGREEMENT. All
          publications by the Contractor covered by this AGREEMENT shall expressly acknowledge the Office's right
          to such license.

     c.   All of the license rights so reserved to the Office and the State of New York under this paragraph are equally
          reserved to the United States Department of Health and Human Services and subject to the provisions on
          copyrights contained in 45 CFR 92 if the AGREEMENT is federally funded.

     d.   The Contractor agrees that at the completion of any scientific or statistical study, report or analysis prepared
          pursuant to this AGREEMENT, it will provide to the Office at no additional cost a copy of any and all data
          supporting the scientific or statistical study, report or analysis, together with the name(s) and business
          address(es) of the principal(s) producing the scientific or statistical study, report or analysis. The Contractor
          agrees and acknowledges the right of the Office, subject to applicable confidentiality restrictions, to release
          the name(s) and business address(es) of the principal(s) producing the scientific or statistical study, report
          or analysis, together with a copy of the scientific or statistical study, report or analysis and all data
          supporting the scientific or statistical study, report or analysis.

8.   PATENTS AND INVENTIONS

     The Contractor agrees that any and all inventions, conceived or first actually reduced to practice in the course of,
     or under this AGREEMENT, or with monies supplied pursuant to this AGREEMENT, shall be promptly and fully
     reported to the Office. Determination as to ownership and/or disposition of rights to such inventions, including
     whether a patent application shall be filed, and if so, the manner of obtaining, administering and disposing of
     rights under any patent application or patent which may be issued, shall be made pursuant to all applicable law
     and regulations.

9.   TERMINATION

     a.   This AGREEMENT may be terminated by the Office upon thirty (30) days prior written notice to the
          Contractor. Such notice is to be made by way of registered or certified mail return receipt requested or hand
          delivered with receipt granted by the Contractor. The date of such notice shall be deemed to be the date the
          notice is received by the Contractor established by the receipt returned, if delivered by registered or certified
          mail, or by the receipt granted by the Contractor, if the notice is delivered by hand. The Office agrees to pay
          the Contractor for reasonable and appropriate expenses incurred in good faith before the date of termination
          of this AGREEMENT.

     b.   If the Contractor fails to use any real property or equipment purchased pursuant to this AGREEMENT for the
          purposes set forth in this AGREEMENT, or if at any time during the term of this AGREEMENT the
          Contractor ceases to provide the services specified in the AGREEMENT for which the equipment was
          purchased, the Office may terminate this AGREEMENT upon thirty (30) days written notice to the
          Contractor, where the Contractor has failed to cure as set forth hereafter. Said notice of breach shall be
          sent by way of registered or certified mail return receipt requested, or shall be delivered by hand, receiving
          Contractor's receipt therefore. Said notice shall specify the Contractor's breach and shall demand that such
          breach be cured. Upon failure of the Contractor to comply with such demand within thirty (30) days, or such
          longer period as may be specified therein, the Office may, upon written notice similarly served, immediately
          terminate this AGREEMENT, termination to be effective upon the date of receipt of such notice established
          by the receipt returned to the Office. Upon such termination, the Office may require a) the repayment to the
          Office of any monies previously paid to the Contractor, or b) return of any real property or equipment
          purchased under the terms of this AGREEMENT or an appropriate combination of a) and b), at the Office's
          option.

     c.   To the extent permitted by law, this AGREEMENT shall be deemed in the sole discretion of the Office
          terminated immediately upon the filing of a petition in bankruptcy or insolvency, by or against the Contractor.
          Such termination shall be immediate and complete, without termination costs or further obligation by the
        Office to the Contractor.

   d.   Should the Office determine that Federal or State funds are limited or become unavailable for any reason,
        the Office may reduce the total amount of funds payable to the Contractor, reduce the contract period or
        deem this contract terminated immediately. The Office agrees to give notice to the Contractor as soon as it
        becomes aware that funds are unavailable, in the event of termination under this paragraph. If the initial
        notice is oral notification, the Office shall follow this up immediately with written notice. The Office will be
        obligated to pay the Contractor only for the expenditures made and obligations incurred by the Contractor
        until such time as notice of termination is received either orally or in writing by the Contractor from the Office.
        For Legislative and other special purpose grants funded from a State Community Projects Fund (State
        Finance Law § 99-d) account, the state shall not be liable for payments under this agreement made
        pursuant to an appropriation to the account if insufficient monies are available for transfer to the account,
        after any required transfers are made pursuant to State Finance Law § 99-d (3).

   e.   The Contractor shall provide to the Office such information as is required by the Office in order that the
        Office may determine whether the Contractor is a responsible vendor for purposes of compliance with
        Section 163 of the State Finance Law and requirements of the Office of the State Comptroller established
        thereunder. If there is any change in any of the vendor responsibility information provided to the Office by
        the Contractor at any time during the term of this AGREEMENT, the Contractor shall be required to
        immediately notify the Office so that the Office may assess whether the Contractor continues to be a
        responsible vendor. Should the Contractor fail to notify the Office of any change in the vendor responsibility
        information or should the Office otherwise determine that the Contractor has ceased to be a responsible
        vendor for the purposes of this AGREEMENT, the Office may terminate this AGREEMENT upon thirty (30)
        days written notice to the Contractor. Said notice of termination shall be sent by way of registered or
        certified mail return receipt requested, or shall be delivered by hand, receiving Contractor's receipt
        therefore. Said notice shall specify the reason(s) that the Contractor has been found to no longer be a
        responsible vendor.

        Upon determination that the Contractor is no longer a responsible vendor the Office may, in its discretion
        and as an alternative to termination pursuant to this paragraph, notify the Contractor of the determination
        that the Contractor has ceased to be a responsible vendor and set forth the corrective action that will be
        required of the Contractor to maintain the contact. Should the Contractor fail to comply with the required
        corrective action within thirty (30) days of the date of notification, or such longer period as may be specified
        therein, the Office may, upon written notice similarly served, immediately terminate this AGREEMENT,
        termination to be effective upon the date of receipt of such notice established by the receipt returned to the
        Office. Upon such termination, the Office may require (a) the repayment to the Office of any monies
        previously paid to the Contractor, (b) return of any real property or equipment purchased under the terms of
        this AGREEMENT, or an appropriate combination of (a) and (b), at the Office's option.

10. CONTRACTOR COMPLIANCE

   The Office shall have the right to audit or review the Contractor’s performance and operations as related to this
   AGREEMENT and/or to retain the services of qualified independent auditors or investigators to perform such
   audit and review on the Office’s behalf. If the review indicates that the Contractor has violated or is in non-
   compliance with any of the terms of the AGREEMENT, or has abused or misused the funds paid to the
   Contractor, the Contractor agrees to pay to the Office any costs associated with the review.

   If the review indicates that the Contractor has violated or is in non-compliance with any of the terms of the
   AGREEMENT, or has abused or misused funds paid to the Contractor, or if the Contractor has violated or is in
   non-compliance with any term of any other AGREEMENT, or has abused or misused funds paid to the
   Contractor under any other AGREEMENT with the Office, the rights of the Office shall include, but not be limited
   to:

           Recovery of any funds expended in violation of the AGREEMENT;
           Suspension of Payments
           Termination of the AGREEMENT; and/or
           Employment of another entity to fulfill the requirements of the AGREEMENT.

   The Contractor shall be liable for all reasonable costs incurred on account thereof, including payment of any cost
   differential for employing such entity. The Contractor will assist the Office in transferring the operation of the
   contracted services to any other entity selected by the Office in a manner that will enable the Office or clients to
   continue to receive services in an on-going basis, including, but not limited to, notifying clients of the new entity
   to which the services will be transferred and the effective date of the transfer, providing the new entity promptly
   and at no charge with a complete copy of the clients’ and all other records necessary to continue the provision of
   the transferred services, and transferring any equipment purchased with funds provided under this
   AGREEMENT.

   Nothing herein shall preclude the Office from taking actions otherwise available to it under law including but not
   limited to the State’s “Set-Off Rights” and “Records” provisions contained in Appendix A (Standard Clauses for all
   New York State Contracts).

   The Contractor agrees to cooperate fully with any audit or investigation the Office or any agent of the Office may
   conduct and to provide access during normal business hours to any and all information necessary to perform its
   audit or investigation. The Contractor shall also allow the NYS Attorney General, State Comptroller, the Office,
   and any representatives specifically directed by the State Comptroller or the Office to take possession of all
   books, records and documents relating to this AGREEMENT without prior notice to the Contractor. The Office
   will return all such books, records and documents to the Contractor upon completing the official purposes for
   which they were taken.

   The Contractor agrees that all AGREEMENTS between the Contractor and a subcontractor or consultants for the
   performance of any obligations under the AGREEMENT will be by written contract (subcontract) which will
   contain provisions including, but not limited to, the above specified rights of the Office.

11. FISCAL SANCTION

   In accordance with the OCFS Fiscal Sanction policy, contractors may be placed on fiscal sanction when the
   Office identifies any of the following issues:

           The contractor has received an Advance, overpayment or other funds under this or another agreement
            that has not been refunded to OSCF within the established timeframe;
           An OCFS, Office of the State Comptroller, or other audit identifies significant fiscal irregularities and/or
            that funds are due to OCFS;
           The Contractor has not provided satisfactory services as required under the terms of this or another
            OCFS agreement;
           The contractor has not provided fiscal or program reports as required under the terms of this or another
            OCFS agreement;
           A local, State or federal prosecutorial or investigative agency identifies possible criminal activity, or
            significant fiscal or programmatic irregularities on the part of the contractor;
           The contractor is not in compliance with State or federal statutes or regulations, or applicable OCFS
            guidelines, policies and/or procedures; or
           Unsafe physical conditions exist at a program site operated by the contractor and funded under an
            agreement with OCFS.

   Once the contractor has been placed on Fiscal Sanction, payments on all open contracts and any new awards,
   amendments or contract renewals will not be processed until the issues have been satisfactorily resolved. The
   contractor will be notified in advance of any proposed Fiscal Sanction and will be provided a timeframe within
   which the issues must be resolved in order to avoid a Fiscal Sanction. Issues that are not resolved within the
   timeframe established by OCFS may be referred to the Attorney General for collection or legal action.

12. PROCUREMENT LOBBYING LAW

   The Contractor will comply with all New York State and Office procedures relative to the permissible contacts
   and disclosure of contacts as required by State Finance Law Sections 139-j and 139-k and Office procedures
   and will affirmatively certify that all information provided pursuant to those provisions is complete, true and
   accurate. This certification is included in the Offerer’s Certification and Affirmation of Understanding and
   Agreement pursuant to State Finance Law Sections 139-j and 139-k.

   The Office reserves the right to terminate this contract if the Offerer’s Certification filed by the Contractor in
   accordance with the New York State Finance Law Section 139-k was intentionally false or intentionally
   incomplete. Upon such a determination by the Office, the Office may exercise its termination right by providing
   written notification to the Contractor in accordance with the written notification terms of this contract. Nothing
   herein shall preclude or otherwise limit the Office’s right to terminate this contact as set forth at Paragraph 8 of
   this Appendix A-1.

13. REQUIRED REPORTS – CONTRACTS FOR CONSULTING SERVICES

   If consulting services (including services for analysis, evaluation, research, training, data processing, computer
   programming, engineering, environmental, health, and mental health services, accounting, auditing, paralegal,
                                                                                                  th
   legal, or similar services) are provided, the contractor must submit on or before May 15 of each year for the
                                       st
   annual period ending March 31 , Form OCFS-4843, State Consultant Services – Contractor’s Annual
   Employment Record. This form must report information for all employees who provided services under the
   contract whether employed by the contractor or a subcontractor. This form will be available for public inspection
   and copying under the Freedom of Information Law with any individual employee names and social security
   numbers redacted.

   Contractors can obtain this form from their Contract Manager or through the Internet at the following site:
   http://ocfs.state.nyenet/admin/Forms/Contracts/word2000/OCFS-4843%20State%20Consultant%20Services-
   Contractors%20Annual%20Employment%20Record.doc

   The contractor must submit a completed Form OCFS-4843, State Consultant Services – Contractor’s Annual
   Employment Record, to each of the following addresses:

   New York State Office of Children and Family Services
   Bureau of Contract Management
   52 Washington Street, South Building, Room 202
   Rensselaer, New York 12144

   New York State Office of the State Comptroller
   Bureau of Contracts
                       th
   110 State Street, 11 Floor
   Albany, New York 12236
   Attn: Consultant Reporting

   New York State Department of Civil Service
   Alfred E. Smith Office Building
    th
   8 Floor Counsel’s Office
   Albany, New York 12239


14. ADDITIONAL ASSURANCES

   a.   The Office and Contractor agree that Contractor is an independent contractor, and not an employee of the
        Office. The Contractor agrees to indemnify the State of New York for any loss the State of New York may
        suffer when such losses result from claims of any person or organization (excepting only the Office) injured
        by the negligent acts or omission of Contractor, its officers and/or employees or subcontractors.
        Furthermore, The Contractor agrees to indemnify, defend, and save harmless the State of New York, and its
        officers, agents, and employees from any and all claims and losses occurring or resulting to any and all
        contractors, subcontractors, and any other person, firm, or corporation furnishing or supplying work,
        services, materials, or supplies in connection with the performance of the contract, and from all claims and
        losses occurring or resulting to any person, firm, or corporation who may be injured or damaged by the
        Contractor in the performance of the contract, and against any liability, including costs and expenses, for
        violation of proprietary rights, copyrights, or rights of privacy, arising out of the publication, translation,
        reproduction, delivery, performance, or use, or disposition of any data furnished under the contract or based
        on any libelous or other unlawful matter contained in such data or written materials in any form produced
        pursuant to this contract.

   b.   The Contractor agrees that Modifications and/or Budget Revisions that do not effect any change in the
        amount of consideration to be paid, or change the term, will be in accordance with Appendix C.

   c.   Expectation of Insured: The Contractor, if a municipal corporation, represents that it is a self-insured entity. If
        a not-for-profit corporation or entity other than a self-insured municipal corporation, the Contractor agrees to
        obtain and maintain in effect a general policy of liability insurance in an appropriate amount. The Contractor
        agrees that it will require any and all Subcontractors with whom it subcontracts pursuant to this contract to
        obtain and maintain a general policy of liability insurance in an appropriate amount.

   d.   Notwithstanding the provisions of Article 14 of this contract, to the extent the contractor provides health care
        and treatment or professional consultation to residents of facilities operated by OCFS, in conformance with
        Executive Law §522 the provisions of paragraphs A, B and C of Article 14 (Article 14 A., B. and C.) shall not
        apply. In such cases, the provisions of Public Officers Law §17, to the extent provided by Executive Law
        §522, shall apply instead.

15. RENEWAL NOTICE TO NOT-FOR-PROFIT CONTRACTORS
With respect to contracts that include a renewal option, if the Office does not provide notice to Contractor of its
intent to not renew this contract by the date by which such notice is required by §179-t (1) of the State Finance
Law, this contract shall be deemed continued until the date that the Office provides the notice required by §179-t
(1), and the expenses incurred during such extension shall be reimbursable under the terms of this contract.
ATTACHMENT 4




                 LOCAL AND REGIONAL
             CHILD FATALITY REVIEW TEAMS


                                Revised 10/20/08
         (Guidelines May be revised or updated prior to February 1, 2011)


                                 GUIDELINES




     The purpose of these guidelines is to provide information to those parties
     who may wish to establish a local or regional Child Fatality Review Team
     pursuant to section 422-b and section 20(5) of the Social Services Law. These
     guidelines address the application and approval process that will be used by
     the New York State Office of Children and Family Services for the review
     and approval of an application to establish a local or regional Child Fatality
     Review Team.
   New York State Social Service Law allows a Child Fatality Review Team
 (CFRT) to be established at a local or regional level, with the approval of the
              Office of Children and Family Services (OCFS).



 The mission of the CFRT is to prevent future deaths and promote child safety, the __________
 County CFRT will review child fatalities, recommend corrective action by local Department of
  Social Services (LDSS) and community agencies and recommend measures to prevent future
                       child fatalities and promote overall child safety.


Scope and Purpose of Child Fatality Review Teams:

Child Fatality Review Teams (CFRT’s) are intended to build and strengthen agency performance
and community partnerships for the prevention of child fatalities through child fatality review.

An OCFS approved CFRT is authorized to review and/or issue reports on the death of any child:

      whose care and custody or custody and guardianship has been transferred to an
       authorized agency;
      any child for whom child protective services has an open case;
      any child for whom the local department of social services has an open preventive
       services case; and
      any child whose death has been reported to the New York State Central Register of Child
       Abuse and Maltreatment (SCR) as allegedly occurring as the result of abuse or
       maltreatment.


   The CFRT may also investigate any suspicious, unexplained or unexpected death of any
   child under the age of eighteen.
       The child fatality review is conducted to address the following:

          the safety and well being of children, especially surviving siblings;
          identification of action to prevent similar fatalities in the future
          appropriate and legitimate individual and systemic accountability for child welfare
           actions taken prior to and subsequent to a child fatality

A complete description of pertinent laws is included in Appendix 1 of these Guidelines.

Child fatality reviews examine the cause and circumstances of a child’s death and the
investigative activities of a local department of social services (LDSS), and other agencies and
staff as appropriate.
Items to be addressed in a child fatality review include, but are not limited to, determining the
following:

          What was the cause and circumstance of the child’s death?
          With the benefit of hindsight, could this child’s death have been prevented? If, how?
          Did the LDSS, voluntary child care agency and/or other community agency (ies)
           appropriately protect and safeguard the surviving siblings or other children in the case
           following a child’s death?
          Did the LDSS, voluntary child care agency and/or other community agency (ies)
           appropriately protect children and intervene with families prior to a child’s death?
          Was the child fatality appropriately reported to the SCR and investigated by the
           LDSS, OCFS Regional Office and/or voluntary child care agency?
          What actions by a LDSS, voluntary child care agency and/or other community agency
           (ies) are required or recommended to help prevent future child fatalities and enhance
           the safety and well being of all surviving children?


Child Fatality Review Report

After the review of a child fatality case, the Child Fatality Review Report (Fatality Report) draws
conclusions about the efficacy of the performance of the LDSS, voluntary agencies, and other
service providers throughout the history of the case. Such conclusions are based on law,
regulation, and policy, and supplemented by generally accepted standards of good case practice.

The results of the review and examination shall be summarized in a written Fatality Review
Report issued by the Regional Office, with encouraged support from the CFRT as able, to the
Office of Children and Family Services (OCFS) Home Office.


The OCFS Fatality Review Report must be submitted within six (6) months after the date of the
child’s death, as required by statute or within six months after the child’s death has been reported
to the SCR or to the appropriate Regional Office via the OCFS 7065 Form.

If the Fatality Report concludes that the performance of LDSS or other agency (ies) was
deficient, that LDSS or those agency (ies) may be required to take specific action(s) to
immediately correct identified deficiencies, absent the existence of any already initiated
corrective action plan.
Such corrective actions for a LDSS are required to be identified, monitored and supported by the
appropriate OCFS Regional Office. All identified corrective actions shall be discussed with the
LDSS prior to release of the Fatality Report.
Recommendations are intended to inform activity to prevent future deaths. An Annual Report
must be submitted by the CFRT Coordinator every year by September 1st to assist in this
mission.

An OCFS approved and/or funded CFRT must identify what category or categories of child
fatality cases will be reviewed by the team and whether a Fatality Review Report will be
prepared and issued by the CFRT. The OCFS child fatalities are defined in SSL 20(5) and 422-
b. Consistent with the team’s goal of preventing future child fatalities and promoting overall
child safety, the CFRT may prepare and issue an Independent Report to share information
beyond that which is specifically authorized within the parameters of SSL 20(5) and 422-b.

Independent Reports:

      An Independent Report may be prepared and issued in regard to any category of death
       where the CFRT determines that the public would benefit from the dissemination of
       information relating to the public safety and/or increasing public awareness of issues.
      An Independent Report may be issued by an approved OCFS CFRT.
      To write Independent Reports the CFRT should develop the capacity to review all
       suspicious, unexpected or unexplained deaths of children under 18 years old. An
       Independent Report may be prepared and issued following the review of any unexplained
       or unexpected death of a child under the age of 18 where such death is not included
       within one of the categories of deaths set forth in section 20(5) of the SSL.
      An approved CFRT may access pending or indicated SCR reports whether or not it is
       preparing a Fatality Report. However, a CFRT may access unfounded SCR reports as a
       CFRT only if it will be preparing a Fatality Review Report. Otherwise, the CFRT may
       only access unfounded SCR reports if the CFRT is also functioning as a multidisciplinary
       investigation team (MDT). The CFRT may access pending, indicated and legally sealed
       unfounded SCR reports only if they meet the criteria of a MDT as defined in SSL 423 (6).
      An Independent Report that is in relation to a category of a fatality set forth in section
       20(5) of the SSL may not be issued prior to OCFS review and the issuance of the Fatality
       Review Report.
      An Independent Report may not contain any client identifiable information.
      OCFS is not required to participate in the development, issuance or disclosure of the
       Independent Report.
      All CFRT members must have an opportunity to review and comment on the Independent
       Report before it is issued.
      No CFRT member may share or distribute any reports or drafts of such reports outside of
       team meetings.
General Requirements of CFRT’s

Types of Fatalities to be Reviewed

An OCFS approved local or regional CFRT must review any or all of the following categories of
deaths: SCR reports on deaths of children whose district is assigned primary jurisdiction by the
SCR, deaths of children in foster care, deaths of children in open child protective services or
preventive services cases. The above, is set forth in Section 20(5) of SSL. However, preparing
and issuing of Child Fatality Reports by the CFRT is not required in order to become an OCFS
approved CFRT.

The preparation and issuance of fatality review reports, although a requirement for regional
office staff is not a requirement for OCFS approval of the CFRT. Participation and support by
the CFRT of the writing of the Fatality Review Report is encouraged and appreciated. CFRTs
must enter data in NCCDR for all non-section 20(5) fatalities that are reviewed by the team.

While it is permissible for an OCFS approved local or regional CFRT to review deaths of
children other than those set forth in section 20(5) of the SSL, to include unexplained or
unexpected deaths of any child under the age of 18, a CFRT application will not be approved by
OCFS unless the CFRT intends to review a category or categories of deaths of children set forth
in section 20(5) of the SSL.

Pursuant to SSL §§ 20 (5) and 422-b (1), and in confirmation of its stated mission, the CFRT
may choose to prepare and issue Fatality Report(s) on the fatalities specified below that occur
within its jurisdiction. The CFRT must identify which category (ies) of cases to be reviewed. In
the application, check category (ies) that will receive a team review and those that will have the
Fatality Report prepared and/or issued by the CFRT.


Review __ Report __ A report made to the New York Statewide Central Register of Child
Abuse and Maltreatment (SCR) involving the death of a child; and/or

Review __ Report __ A child who at the time of his/her death was in the care and custody or the
guardianship and custody of DSS or a voluntary authorized agency located in _____________
County; and/or

Review __ Report __ A child for whom at the time of his/her death LDSS has an open CPS case;
and/or

Review __ Report __A child for whom at the time of his/her death has an open preventive
services case in ______________ County;

Review __Report __ Other: Independent Report on unexplained or unexpected death of any child
under the age of 18 years old, not otherwise included in the categories noted above.
Confidentiality Requirements

All CFRTs must provide assurances that the approved local or regional CFRT and its individual
members will comply with the confidentiality restrictions contained in SSL pertaining to the re-
disclosure of confidential information, including the execution of a confidentiality agreement by
all CFRT members. This must be documented in writing.

 In accordance with all applicable statutes, including but not limited to sections 20(5) and 422-b
(6) of the SSL, all members of the CFRT must maintain strict confidentiality with respect to all
materials received and matters discussed by the CFRT. Confidentiality statements must be
signed by each member of the CFRT at every meeting and protocols must be in place to
determine that all participating member agencies have signed a confidentiality agreement that is
on file with the CFRT coordinator.

Any information that the CFRT disseminates to the public shall be in accordance with applicable
confidentiality standards, including but not limited to those set forth in sections 20 (5), 422 (4),
422(5) and 422-b (6) of the SSL.

CFRT Review Process

Each application must specify which fatalities and the processes that the CFRT will use for the
review of child fatalities and the process for the preparation and issuance of Fatality Reports.
The application must describe the following:

CFRT Notification: How the CFRT will be notified or informed of the deaths of children whom
they will review. As applicable, how the CFRT can verify or confirm that they are informed of
each and every child death that the team has identified for review.

Frequency and Purpose of Meeting: The frequency with which the CFRT will meet and the
specific purposes therein.

Access to Information and Handling of Documents: How each team member will promptly
access all of the available information needed for a comprehensive review of a child’s death. An
approved CFRT may access pending or indicated SCR reports whether or not it is preparing a
Fatality Report. However, a CFRT may access unfounded SCR reports as a CFRT only if it will
be preparing a Fatality Report. Otherwise, the CFRT may only access unfounded SCR reports if
the CFRT is also functioning as a multidisciplinary investigation team (MDT). The CFRT may
access pending, indicated and legally sealed unfounded SCR reports only if they meet the criteria
of a MDT as defined in SSL 423 (6).

Conducting the Review: The process for the team review of the child’s death and the overall
functioning of the CFRT. This would include: the frequency and length of team meetings, how
agendas will be set, how decisions will be made and assignment of responsibility between and
among team members. Additionally, team leadership and coordination must also be explained in
the application.
The Child Fatality Review Report

Content of the Child Fatality Review Report: Pursuant to section 20(5)(b) of the SSL, such
reports must include (i) the cause of death, whether from natural or other causes, (ii)
identification of child protective or other services provided or actions taken regarding such child
and his or her family, (iii) any extraordinary or pertinent information concerning the
circumstances of the child’s death, (iv) whether the child or the child’s family had received
assistance, care or services from the social services district prior to the child’s death, (v) any
action or further investigation undertaken by the department or by the local social services
district since the death of the child, and (vi) as appropriate, recommendations for local or state
administrative or policy changes.

Such report must not contain any information that would identify the name of the deceased child,
his or her siblings, the parent or other person legally responsible for the child or any other
members of the child’s household

Except as it may apply directly to the cause of death of the child, nothing herein shall be deemed
to authorize the release or disclosure to the public the substance or content of any psychological,
psychiatric, therapeutic, clinical or medical reports, evaluations or like materials or information
pertaining to such child or the child’s family.

Preparing and Issuing the Fatality Review Report: The process to be used to write a Fatality
Review Report, including who will draft the report, who will review and modify the report and
how the report will be finalized and then issued to OCFS must all be addressed in the CFRT
application. CFRT’s are encouraged and not required to contribute to constructing the OCFS
required Fatality Review report submitted by the Regional Office. Fatalities reviewed that are not
under the purview of OCFS will be entered into NCCDR by the CFRT, not OCFS.

This process must also explain how differences between and among team members will be
resolved and how reports will be modified after feedback is received from OCFS Home Office
staff. The process must include submission of the required OCFS aggregate data collection
instruments for each case, the team’s completion of the Fatality Report and OCFS’s approval of
reports, via the OCFS Regional Office representative to facilitate distribution of the report within
the statutorily required six month time frame.

Distribution of the Child Fatality Review Report: Pursuant to section 20(5) (c) of the SSL, no
later than six months from the date of the death of such child, OCFS must forward its report to
the LDSS, chief county executive officer, chairperson of the local legislative body of the county
where the child’s death occurred and the LDSS which had care and custody or custody and
guardianship of the child, if different. OCFS must notify the temporary president of the New
York State Senate and the speaker of the New York State Assembly as to the issuance of such
reports and, in addition to the requirements of section 17 of the SSL, must submit an annual
cumulative report to the Governor and Legislature incorporating the data in the above reports and
including appropriate findings and recommendations. Conditions for release of Independent
Fatality Reports, if applicable, must be clarified in the CFRT Protocol.

In responding to requests for a Fatality Review Report or multiple fatality reports pursuant to
section 20(5) (b) of the SSL, OCFS will respond to a case specific or general request for such
report(s) and make a Fatality Review Report or reports available only following the
determination on an individual report basis that such disclosure is not contrary to the best
interests of the deceased child’s sibling(s) or other children in the household. OCFS will seek
the input of the applicable local district in making that determination.

Membership

Each CFRT protocol application will specifically list who will comprise the proposed team and
provide documentation in writing of the commitment of each member to participate. The
participation of OCFS is required for all approved local or regional CFRT’s and OCFS will
assign a staff person from the appropriate OCFS Regional Office. It is not necessary for the
application to address OCFS’s commitment to participate, however, should OCFS Regional
Office recommend approval of the CFRT to OCFS Home Office, a Regional Office
representative must be assigned as a member of the approved team. Section 422-b (3) detailed
in Appendix 1 details required membership.

Annual CFRT Report:

The Child Fatality Team must submit an Annual CFRT Report to OCFS by September first of
each year that provides the following information:

      Number of deaths reviewed, including;
          a) Reported to Statewide SCR;
          b) Open Child Protective Services;
          c) Open Preventive Services;
          d) Care and custody or custody and guardianship of Authorized Agency;
          e) Unexpected or Unexplained (Independent Reports);
      Number of team meetings;
      Number of Fatality Reports and Independent Reports written; and
      Recommendations for local or state administrative or policy changes.

The annual report should, at a minimum, include recommendations for improved or best practice
for the LDSS, community interventions and the practices and functioning of the CFRT.

Dissolution of the team: Assurance must be provided that the OCFS approved local or regional
CFRT will inform the Regional Office immediately in writing if the team decides to dissolve and
cease functioning as a local or regional CFRT.

Application for Approval

A standard CFRT Protocol template is available and should be used by all CFRT’s applying for
OCFS approval. These guidelines and the template are to be used for approval and to guide the
functioning of approved teams. Instructions for submitting an application to the Regional Office
for the establishment of local or regional CFRT, pursuant to section 422-b of the SSL are
detailed below.

I. Submitted To:
Each application must be submitted to the Director of the Regional Office of the OCFS that has
jurisdiction over the location of the proposed CFRT. The application should be guided by the
CFRT protocol template and CFRT guidelines provided by the attendant Regional Office. The
names and addresses of the OCFS Regional Office Directors are contained in Appendix 2
attached.

II. Submitted From:

An application will be accepted for review from one or more of the statutorily required members
of the proposed CFRT. Therefore, an application will be accepted from a child protective
services (LDSS) official; the district attorney; county attorney; emergency medical services; state
or local law enforcement agency; county department of health; the Medical Examiner or
Coroner; a pediatrician or comparable medical professional. However, each application must
document the written commitment of all representatives, required and permissive, to actively
participate in the review of child fatality cases and whether they elect to participate in the
preparation and issuance of individual child fatality reports.

III. Application Format:

Each application must describe the types of fatality cases that will be reviewed and for which a
Fatality Report will be prepared and issued to OCFS; the proposed CFRT’s purpose; and the
intent in assuming the responsibility to review child deaths. Pursuant to section 20(5) of the SSL,
each review of a death must be retrospective, examining the child/family history and
involvement with community agencies and whether there were actions that could have been
taken to prevent the child’s death and steps taken to prevent deaths of a similar nature, if
practicable.

IV. OCFS Review of an Application:

The appropriate OCFS Regional Office will review the application for establishment of a local or
regional CFRT. Technical assistance, requests for clarification, changes or additions to the
application for approval will be requested, as necessary, by the appropriate Regional Office
designee. Once reviewed by the Regional Office, the recommendations for application approval
or denial will be forwarded to the OCFS home office for review and signoff the ROPI Associate
Commissioner. The Regional Office will then forward signoff to the coordinator of the CFRT.

V.   OCFS Approval/Denial of an Application:

The OCFS Home Office will collaborate with the Regional Office on review and signoff of all
applications. Collaboration is intended to support consistency of practice across the state. Sign-
off of applications will be forwarded to the Regional Office by the OCFS Home Office.

OCFS reserves the right to rescind the approval of a local or regional CFRT status if, in the
judgment of OCFS, the team changes the functions or conditions upon which the original
approval was based or where a local or regional CFRT prepares and issues fatality reports in a
manner that is not consistent with the SSL, including, but not limited to, the failure to satisfy the
timeframes for issuance of these reports.
Appendix 4-A

New York State Laws
Child Fatality Review Teams

OCFS Investigation Requirements

SSL§20(5)(a) In the case of a death of a child whose care and custody or custody and
guardianship has been transferred to an authorized agency, or the death of a child for whom any
local department of social services has an open child protective services or preventive services
case, or in the case of a report made to the Statewide Central Register of Child Abuse and
Maltreatment (SCR) involving the death of a child, the Office of Children and Family Services
(OCFS) must (i) investigate or provide for the investigation of the cause and circumstances
surrounding such death, (ii) review such investigation, and (iii) prepare and issue a report on
such death, except where a report is issued by an approved local or regional fatality review team
in accordance with section 422-b of the Social Services Law (SSL).

Content of a Child Fatality Report

SLL§20(5)(d) Such report must include (i) the cause of death, whether from natural or other
causes, (ii) identification of child protective or other services provided or actions taken regarding
such child and his or her family, (iii) any extraordinary or pertinent information concerning the
circumstances of the child’s death, (iv) whether the child or the child’s family had received
assistance, care or services from the social services district prior to the child’s death, (v) any
action or further investigation undertaken by OCFS or by the social services district since the
death of the child, and (vi) as appropriate, recommendations for local or state administrative or
policy changes.

Such report must not contain any information that would identify the name of the deceased child,
his or her siblings, the parent or other person legally responsible for the child or any other
members of the child’s household, but must refer instead to the case, which may be denoted in
any fashion determined by OCFS or a local social services district. In making a fatality report
available to the public pursuant to section 20(5) (c) of the SSL, OCFS may respond to a specific
request for such report if the commissioner determines that such disclosure is not contrary to the
best interests of the deceased’s child siblings or other children in the household, pursuant to
section 422-a (5) of the SSL. Except as it may apply directly to the cause of death of the child,
nothing herein shall be deemed to authorize the release or disclosure to the public of the
substance or content of any psychological, psychiatric, therapeutic, clinical or medical reports,
evaluations or like materials or information pertaining to such child or the child’s family.

Submission of Child Fatality Report

SSL§20(5) (c) No later than six months from the date of the death of such child, OCFS unit
forwards its report to the social services district, chief county executive officer, chairperson of
the local legislative body of the county where the child’s death occurred and the social services
district which had care and custody or custody and guardianship of the child, if different. OCFS
unit notifies the temporary president of the Senate and the speaker of the Assembly as to the
issuance of such reports and, in addition to the requirements of section 17 of the SSL, must
submit an annual cumulative report to the Governor and Legislature incorporating the data in the
above reports and including appropriate findings and recommendations. Such reports concerning
the death of a child and such cumulative reports must thereafter be made available to the public
after such forwarding or submittal.

Obtaining Information

SSL§20(5) (d) To enable OCFS or a local or regional fatality review team to prepare such
report, OCFS or a local or regional fatality review team may request and must timely receive
from departments, boards, bureaus or other agencies of the state, or any of its political
subdivisions, or any duly authorized agency, or any other agency which provided assistance, care
or services to the deceased child such information as they are authorized to provide.

Establishing a Child Fatality Review Team §422-b (1)
A fatality review team may be established at a local or regional level, with the approval of
OCFS, for the purpose of investigating the death of any child whose care and custody or whose
custody and guardianship has been transferred to an authorized agency, any child for whom child
protective services has an open case, any child for whom the local department of social services
has an open preventive services case, and in the case of a report made to the statewide central
register involving the death of a child. A fatality review team may also investigate any
unexplained or unexpected death of any child under the age of eighteen.

Authority of a Child Fatality Review Team

SSL§422-b(2) A local or regional fatality review team may exercise the same authority as
OCFS with regard to the preparation of a fatality report as set forth in section 20(5)(b)&(c) of the
SSL. Notwithstanding any other provision of law to the contrary and to the extent consistent
with federal law, such local or regional fatality review teams shall have access to those client-
identifiable records necessary for the preparation of the report, as authorized in accordance with
section 20(5)(d) of the SSL. A fatality report prepared by a local or regional fatality review team
and approved by OCFS satisfies the obligation to prepare a fatality report as set forth in section
20(5) of the SSL. Such report shall be subject to the same re-disclosure provisions applicable to
fatality reports prepared by OCFS.


Child Fatality Review Membership

SSL§422-b(3) For the purpose of this section, a local or regional fatality review team must
include, but need not be limited to, representatives from child protective services, OCFS, county
department of health, the local health commissioner or his or her designee or the local public
health director or his or her designee, office of the medical examiner, or, should the locality not
have a medical examiner, office of the coroner, office of the district attorney, office of the county
attorney, local and state law enforcement, emergency medical services and a pediatrician or
comparable medical professional, preferably with expertise in the area of child abuse and
maltreatment or forensic pediatrics. A local or regional fatality review team may also include
representatives from local departments of social services, mental health agencies, domestic
violence agencies, substance abuse programs, hospitals, local schools and Family Court.

Access to Records

SSL§422-b(4) A local or regional fatality review team established pursuant to this section
shall have access to all records, except those protected by statutory privilege, within twenty one
days of receipt of a request.

Immunity

SSL§422-b(5) Members of a local or regional fatality review team, persons attending a
meeting of a local or regional fatality review team, and persons who present information to a
local or regional fatality review team shall have immunity from civil and criminal liability for all
reasonable and good faith actions taken pursuant to this section, and shall not be questioned in
any civil or criminal proceeding regarding any opinions formed as a result of a meeting of a local
or regional fatality review team. Nothing in this section shall be construed to prevent a person
from testifying as to information obtained independently of a local or regional fatality review
team or which is public information.

Confidentiality of Information

SSL§422-b (6) All meetings conducted and all reports and records made and maintained, and
books and papers obtained, by a local or regional fatality review team shall be confidential and
not open to the general public, except by court order and except for an annual report or a fatality
report, if the fatality review team chooses to complete such an annual or fatality report. The
release of any fatality report prepared by a local or regional fatality review team shall be
governed by the provisions of section 20(5) of the SSL. Any such annual or fatality report shall
not contain any individually identifiable information and must be provided to OCFS upon
completion. OCFS shall forward copies of any such report to all other local or regional fatality
review teams established pursuant to this section, to all citizen review panels established
pursuant to section 371-b of the SSL, and to the Governor, the temporary president of the Senate
and the speaker of the Assembly.

SSL§422(4) (A) (w) Reports made pursuant to Title 6 of Article 6 of the SSL as well as any
other information obtained, reports written or photographs taken concerning such reports in the
possession of the department, local departments, or the commission on quality of care for the
mentally disabled, shall be confidential and shall only be made available to . . . . . . (w) members
of a local or regional fatality review team approved by the office of children and family services
in accordance with section 422-b of the SSL.

SSL§422(5) (a) (ii)        Unless an investigation of a report conducted pursuant to Title 6 of
Article 6 of the SSL or section 45.07(c) of the Mental Hygiene Law determines that there is
some credible evidence of the alleged abuse or maltreatment, all information identifying the
subjects of the report and other persons named in the report shall be legally sealed forthwith by
the statewide central register and any local child protective services or the state agency which
investigated the report. Such unfounded reports may be unsealed and made available to OCFS
and local or regional fatality review team members for the purpose of preparing a fatality report
pursuant to section 20 or 422-b of the SSL.

Mandatory Reporting and Post–mortem Investigation

SSL§418 Mandatory Reporting to and Post-mortem Investigation of Deaths by Medical
Examiner or Coroner; Any person or official required to report cases of suspected child abuse or
maltreatment, including workers of the local child protective service, as well as an employee of
or official of a state agency responsible for the investigation of a report of abuse or maltreatment
of a child in residential care, who has reasonable cause to suspect that a child died as a result of
child abuse or maltreatment must report that fact to the appropriate medical examiner or coroner.
The medical examiner or coroner must accept the report for investigation and must issue a
preliminary written report of his or her findings within sixty days of the date of death, absent
extraordinary circumstances and his or her final written report promptly, absent extraordinary
circumstances, to the police, the appropriate district attorney, the local child protective service,
OCFS, and, if the institution making the report is a hospital, the hospital. OCFS must promptly
provide a copy of the preliminary and final reports to the Statewide Central Register.


Issuance of Reports by the Medical Examiner/Coroner
County Law§677(8) The coroner, coroner’s physician or medical examiner must promptly,
but in no event later than sixty days from the date of death, absent extraordinary circumstances,
provide OCFS with copies of any autopsy report, toxicological report or any report of any
examination or inquiry prepared with respect to any death occurring to a child whose care and
custody or care and guardianship has been transferred to an authorized agency, a child for whom
child protective services has an open case, a child for whom the local department of social
services has an open preventive services case, or a child reported to the Statewide Central
Register of child abuse and maltreatment. If the toxicological report is prepared pursuant to any
agreement or contract with any person, partnership or corporation or governmental agency with
the coroner or medical examiner, such report must be promptly, but in no event later than sixty
days from the date of death, absent extraordinary circumstances, provided to OCFS by such
person, partnership, corporation or governmental agency. Where the death involves a child
reported to the statewide central register, the reports referred to in section 677(8) of the County
Law must also be promptly, but in no event later than sixty days from the date of death, absent
extraordinary circumstances, provided to the local child protective service investigating the
report pursuant to section 424 of the SSL.
Appendix 4-B
                                       ALBANY REGIONAL OFFICE

Albany Regional Office                             Director: Kerri Barber (Acting Director)
NYS OCFS                                           Phone: 518-486-7078
155 Washington Ave., 3rd Floor                     Fax:      518-486-7625
Albany, NY 12210
Counties: Albany, Clinton, Columbia, Delaware, Essex, Franklin, Fulton, Greene, Hamilton, Montgomery, Otsego,
Rensselaer, Saratoga, Schenectady, Schoharie, Warren, Washington

                                      BUFFALO REGIONAL OFFICE

Buffalo Regional Office                            Director: Mary Miller
NYS OCFS                                           Phone: 716-847-3145
838 Ellicott Square Building                       Fax:      716-847-3742
Buffalo, NY 14203
Counties: Allegany, Cattaraugus, Chautauqua, Erie, Genesee, Niagara, Orleans, Wyoming

                                  NEW YORK CITY REGIONAL OFFICE

New York City Regional Office                      Director: Patricia Beresford
NYS OCFS                                           Phone: 212-383-1788
80 Maiden Lane, 5th Floor                          Fax:      212-383-1811
New York, NY 10038
Counties: New York City

                                    ROCHESTER REGIONAL OFFICE

Rochester Regional Office                        Director: Karen Buck (Acting Director)
NYS OCFS                                         Phone: 716-238-8201
259 Monroe Ave., 3rd Floor                       Fax:      716-238-8289
Rochester, NY 14607
Counties: Chemung, Livingston, Monroe, Ontario, Schuyler, Seneca, Steuben, Wayne, Yates

                                     SYRACUSE REGIONAL OFFICE

Syracuse Regional Office                        Director: Jack Klump
NYS OCFS                                        Phone: 315-423-1200
351 S. Warren St., 5th Floor                    Fax:       315-423-1198
Syracuse, NY 13202
Counties: Broome, Cayuga, Chenango, Cortland, Herkimer, Jefferson, Lewis, Madison, Oneida, Onondaga,
Oswego, St. Lawrence, Tioga, Tompkins

                                  SPRING VALLEY REGIONAL OFFICE

Spring Valley Regional Office                      Director: Patricia Sheehy
NYS OCFS                                           Phone: 914-377-2080
11 Perlman Drive                                   Fax:      914-377-2083
Spring Valley, NY 10977
Counties: Nassau, Putnam, Rockland, Suffolk, Sullivan, Westchester, Orange, Ulster, Dutchess
ATTACHMENT 5




               Child Fatality Review Team

                                     Protocol




                                      Template
                                         Revised 10/20/08
               (Protocol Template may be revised or updated prior to February 1, 2011)
        _____________ COUNTY CHILD FATALITY REVIEW TEAM
                           PROTOCOL
   New York State Social Service Law allows a Child Fatality Review Team
 (CFRT) to be established at a local or regional level, with the approval of the
              Office of Children and Family Services (OCFS).


Mission and goals of the                                    County CFRT:

Purpose and goals of the CFRT are to prevent future deaths and promote child safety, the
__________ County CFRT will review child fatalities, recommend corrective action for local
Department of Social Services (LDSS) and community agencies and recommend measures to
prevent future child fatalities and promote overall child safety.

Hereafter, County, Team or CFRT shall refer to the __________ County Child Fatality Review
Team.

The categories of child fatalities specified below will be promptly reviewed by the CFRT. The
results of the review and examination may then be summarized and issued in a written Fatality
Review Report submitted by the Regional Office with CFRT support as able to the Office of
Children and Family Services (OCFS) Home Office. The Fatality Review Reports must be
submitted in advance of six (6) months after the date of the child’s death per statute or in
advance of six months after the child’s death has been reported to the SCR or to the appropriate
Regional Office.

Pursuant to SSL §§ 20 (5) and 422-b (1), (see appendix) the CFRT may review and/or prepare
and issue a Child Fatality Review Report(s) on the fatalities specified below that occur within its
jurisdiction. The team must identify what category (ies) of cases will be reviewed and which
will have Fatality Review Reports completed. Check category(ies) that will receive the team
review and those that will have the Fatality Review Report completed/supported by the team.

Review __ Report __ a report made to the New York Statewide Central Register of Child Abuse
and Maltreatment (SCR) involving the death of a child; and/or

Review __ Report __ A child who at the time of his/her death was in the care and custody or the
guardianship and custody of DSS or a voluntary authorized agency located in _____________
County; and/or

Review __ Report __ A child for whom at the time of his/her death LDSS has an open CPS case;
and/or

Review __ Report __ A child for whom at the time of his/her death has an open preventive
services case in ______________ County.

Review __ Report __ Other: Independent Report on unexplained or unexpected death of any
child under the age of 18 years old, not otherwise included in the categories noted above.
Purpose and Goals of                 County Child Fatality Review

Child fatality reviews in this County will examine:
     The cause, manner and circumstances of a child’s death and
     The investigative activities of the LDSS and other community agencies and staff, as
        appropriate.

The team may also have goals to:

       A. Ensure the accurate identification and uniform, consistent reporting of the cause and
       manner of every child death.

       B. Improve communication and linkages among local and state agencies and enhance
       coordination of efforts.

       C. Improve agency responses in the investigation of child deaths.

       D. Improve agency responses to protect siblings and other children in the homes of
       deceased children.

       E. Improve criminal investigations and the prosecution of child homicides.

       F. Improve delivery of services to children, families, providers and community
       members.

       G. Identify specific barriers and system issues involved in the deaths of children.

       H. Identify significant risk factors and trends in child deaths.

       I. Identify and advocate for needed changes in legislation, policy and practices and
       expanded efforts in child health and safety to prevent child deaths.

       J. Increase public awareness and advocacy for the issues that affect the health and safety
       of children.

The Fatality Review Report must include recommendations for LDSS and other agency
corrective action or improved intervention. Measures to prevent future child deaths and overall
child safety will be recommended.

The CFRT will also prepare and issue an Annual Report to OCFS summarizing the team’s
activity and recommendations to be submitted to OCFS by September first of each year.
General Requirements to be met by the County CFRT

Membership:

The Team must be composed of team members in accordance with SSL § 422-b (3).

Specifically, this County’s Team will consist of a designated representative of the following
statutorily mandated agencies who must serve on the Team:

      The child protective service of the _____________ County Department of Social
       Services (hereinafter “DSS”);
      The New York State Office of Children and Family Services (hereinafter “OCFS”);
      The _______________ County Department of Health (hereinafter “DOH”), if the county
       does not have a County Department of Health, the _______Health Commissioner or the
       _________ Public Health Director;.
      The _____________ County Medical Examiner (hereinafter “Medical Examiner”), or the
       ____________County Coroner’s office (hereinafter coroner);
      The Office of the _____________ County District Attorney (hereinafter “District
       Attorney”);
      The Office of the _____________ County Attorney (hereinafter “County Attorney”);
      A representative of local police department(s) in _____________County;
       A representative of the New York State Police;
      A representative of the _____________ County Department of Emergency Services
       (EMS); and
      A pediatrician, with _________ expertise in the area of child abuse and maltreatment or
       forensic pediatrics,

As permitted by SSL § 422-b (3), the team may also include a designated representative from the
following agencies: (to be inserted here by team):

Attached are documents signed by each of the team’s prospective members committing to their
roles (described below) and participation on the County CFRT and their agreement to
confidentiality requirements attendant to their membership on the team.

Mandated Team Members:

Team Coordinator

This team will be served by a coordinator who will be selected in accordance with the procedures
set forth below. The coordinator will be jointly responsible for facilitating team functions;
chairing meetings; assigning Fatality Review Report writing responsibilities if the team has
elected to write such reports; circulating Fatality Review Reports and Independent Reports as
applicable; and keeping track of team member voting with respect to such reports. The
coordinator must also prepare and issue an Annual Report summarizing team activity.
The Coordinator must:
Upon being advised of a child fatality, immediately verify whether the team pediatrician has
been notified of the fatality in order to give him/her an opportunity to arrange to be present at the
autopsy and/or other forensic procedures. Thereafter, promptly notify all other team members or
their authorized designees;

       a)      With consensus of the mandated team members, invite case specific members to
               attend a meeting concerning a particular fatality;
       b)      Schedule meetings and notify team members as to the dates and times of any
               meetings and of any scheduling changes;
       c)      Establish the agenda for each team meeting reflecting the topics and/or cases to be
               discussed including any matters that require follow-up;
       d)      Distribute the meeting agenda as soon as practicable and whenever possible prior
               to the meeting.
       e)      In accordance with the confidentiality and document handling sections of this
               protocol and applicable statutes and regulations, make documents available for
               team member use at team meetings and, thereafter, properly dispose of same;
       f)      At each team meeting, require each person in attendance to sign an attendance
               sheet and maintain a record of such.
       g)      Chair and facilitate team meetings that comply with the procedures set forth
               herein and which respect and encourage the participation and input of all team
               members;
       h)      At the outset of reviews, reinforce with members their obligations to the
               confidentiality agreement they have signed;
       i)      With input from team members, assign tasks and/or establish sub-committees as
               necessary to conduct effective child fatality reviews or to develop the team’s
               recommendations for policy changes and prevention initiatives;
       j)      For each fatality reviewed, complete the National Center for Child Death Review
               (NCCDR) data collection form promulgated by OCFS or other team approved
               form and, in addition, prepare a list of all documents discussed. Any documents
               prepared shall remain in the possession of the coordinator and must jointly serve
               as the official record for each fatality reviewed;
       k)      Circulate reports prepared by the team;
       l)      Call for team member votes and keep track of team member voting;
       m)      Determine and implement a case tracking system;
       n)      Compile and maintain annual statistics concerning child fatalities within this
               County and prepare an annual report reflecting the team’s activity.
       o)      Arrange for the team to receive relevant training;
       p)      Address any breach of confidentiality by a team member. At the close of each
               team meeting, the coordinator must collect any copies of documents that had been
               distributed. If the fatality review for which the documents are relevant is not
               complete, the team coordinator must securely maintain the documents for use by
               team members at future team meetings.
       q)      In accordance with the team’s determination, the Team Coordinator will draft and
               circulate the Independent Report among team members for comment and
               approval.

The Department of Social Services (Child Protective Services):
The designated representative of the Department of Social Services must:

              a) Educate the team concerning the function and operation of the LDSS and the
                 SCR;
              b) Provide copies of pending and indicated SCR reports to the team for any child
                 fatality review, as authorized by SSL § 422(4)(a)(w). When the team is
                 preparing and issuing a fatality review report in accordance with SSL §§ 20
                 and 422-b, unseal unfounded SCR reports in accordance with SSL
                 §422(5)(a)(ii) and provide the team with copies of these reports. If the team is
                 not preparing and issuing a fatality review report, but is also functioning as a
                 multidisciplinary investigation team, unseal unfounded SCR reports in
                 accordance with SSL §422(5)(a)(iii) and provide the team with copies of these
                 reports;
              c) To the extent possible, procure releases necessary to obtain confidential
                 records including but not limited to medical records. Supply released
                 documents to the team in accordance with this protocol;
              d) If the fatality review is authorized by SSL §§ 20 (5) and 422-b, consistent
                 with paragraph (b) above, comprehensively report about the receipt of any
                 prior SCR reports and investigations that DSS conducted pertaining to the
                 deceased child, siblings or other children residing in the home, and/or the
                 child’s parent(s) or other person(s) that were legally responsible for the
                 deceased child;
              e) As permitted by applicable statutes and regulations including but not limited
                 to SSL §§ 20 (5), 422(4)(A), 422(5) and 422-b, make available for team
                 consideration all relevant documents and records created or in the possession
                 of DSS;
              f) If applicable, discuss the foster care placement or preventive service’s
                 treatment plan that was in place for the now deceased child, including any
                 contract that DSS had with the placement agency and/or foster care provider
                 during now deceased child’s placement;
              g) Describe in detail any investigation conducted by DSS as a result of the child
                 fatality including, as available, the results of the investigation and any actions
                 taken by OCFS as a consequence of the fatality or its investigation;
              h) Consistent with applicable statute, offer any other information relevant to the
                 team’s investigation of the child fatality.
The District Attorney’s Office:

The designated representative of the District Attorney must:

              a) Educate the team concerning applicable criminal law, the nature of criminal
                 proceedings and the prosecutor’s role and function;
              b) Secure the appearance at the team meeting of the necessary local law
                 enforcement representatives who investigated the specific child fatality under
                 review by the team;
              c) Disclose prior criminal convictions and pending criminal charges pertaining to
                 the accused; in conjunction with the local police department and any other law
                 enforcement agency that investigated the child fatality, present information
                 concerning the investigation to the extent that such disclosure does not
                 compromise the criminal investigation, an arrest or the integrity of the
                 prosecution of a criminal action or a family court proceeding;
              d) Discuss the status of the criminal proceeding, including any disposition
                 achieved;
              e) Maintain statistics concerning homicides of children and disclose same to the
                 team;
              f) Handle press inquiries. When practicable, issue statements and/or respond to
                 press inquiries jointly with the County Attorney’s Office.

The County Attorney:

The designated representative of the County Attorney/LDSS Attorney must:

              a) Educate the team concerning Family Court proceedings and the County
                 Attorney’s role in such proceedings;
              b) As legally permissible, provide information including the status of any
                 pending or prior Family Court proceedings relevant to a particular child
                 fatality in which the County Attorney’s Office participated or of which it is
                 aware;
              c) If an Assistant County Attorney participated in or observed the interview of
                 any witness, family member, and/or surviving sibling conducted in connection
                 with a child’s fatality, provide the team with an oral summary of the interview
                 including admissions, if any, made by the child’s parent(s) or other person(s)
                 legally responsible for the child;
              d) Handle press inquiries. When practicable, issue statements and/or
                 respond to press inquiries jointly with the District Attorney’s Office.
The Office of the _____________ County Medical Examiner or Coroner:

The designated representative of the Chief Medical Examiner must:

               a) Educate the team concerning medical issues, medical terminology, concepts
                  and practices and instruct the team regarding general procedures followed by
                  the Office of the Medical Examiner in investigating a child’s death;
               b) Specific to the fatality under review, explain to the team the medical findings
                  revealed by the autopsy/toxicology report and any related procedures. As
                  authorized by statute, provide the team with copies of relevant medical
                  records of the deceased accessed as a part of the autopsy and provide the team
                  with a copy of the autopsy report.
               c) Provide statistics concerning the death of any child less than eighteen years of
                  age who resided in ____________County.
               d) The Medical Examiner or Coroner must issue a preliminary written report
                  within 60 days of the date of the child’s death absent extraordinary
                  circumstances. (SSL §418)


The ________________ County Department of Health:

The designated representative of this agency must:

               a) Educate the team concerning the role and function of the agency and provide
                  definitions and insight concerning any medical condition relevant to the child
                  fatality review under review;
               b) To the extent permissible by law, and as relevant to child fatality under
                  review, provide information concerning any contact the agency had with the
                  deceased child, his/her siblings, other children in the home, or the deceased
                  child’s parent(s) or other person(s) who had been legally responsible for the
                  child;
               c) Provide statistics or other documents in the agency’s possession to assist the
                  team in formulating plans for corrective action or suggesting policy changes;
               d) In response to the team’s review, in accordance with the individual agency’s
                  mission and protocol, facilitate and coordinate community education
                  programs to prevent future child deaths and injuries.


The Team Pediatrician:

Selection of the Pediatrician or Comparable Medical Professional

A pediatrician or comparable medical professional shall be selected to serve on the team. It is
preferable that this individual be a Board certified pediatrician licensed to practice medicine in
New York State and that this individual have expertise in the area of child abuse and
maltreatment or forensic pediatrics.

The Team Pediatrician must:
              a) Educate the team concerning medical issues, medical terminology, concepts
                 and practices and instruct the Team regarding common causes of child fatality
                 and near fatal injuries;
              b) Subject to the permission of the Medical Examiner, observe the autopsy of
                 any child less than eighteen years old and/or any other procedures specific to
                 such autopsy;
              c) In accordance with applicable standards relating to client privacy, provide the
                 team with information concerning any prior contact or physical examinations
                 that the pediatrician conducted on the deceased child and/or his/her siblings
                 and/or upon other children who had resided in the same household as the
                 deceased child;
              d) Review and interpret any medical records or documents presented or secured
                 in connection with any child fatality under review;
              e) Offer an expert medical opinion concerning or relating to the child’s injuries
                 or illnesses revealed by any forensic examination.

The Office of Children and Family Services:

The designated representative of the Office of Children and Family Services must:

              a) Pursuant to SSL §§ 20 (5) and 422-b, attend and participate in any fatality
                 review conducted concerning the death of a child that was the subject of an
                 SCR report, a child for whom there is an open child protective services or
                 preventive services case and/or relating to a child who died while in the care
                 and custody or the guardianship of the LDSS or a voluntary authorized agency
                 located in _____________ County;
              b) Be invited, but is not mandated to participate in any child fatality review that
                 the team conducts that is authorized, but not required by SSL §§ 20 (5) and
                 422-b.;
              c) For any fatality under review, be invited but not mandated to participate in
                 team discussions concerning corrective measures to be taken by an agency
                 other than LDSS or a voluntary foster care or preventive service agency
                 and/or discussions regarding recommended State or local policy changes;
              d) Identify, review and monitor corrective action plans for DSS or any other
                 agency subject to the supervision or regulation of OCFS;
              e) Share statewide data, as appropriate, concerning child deaths;
              f) Be actively involved in the review, preparation and issuance of a child fatality
                 review report pursuant to SSL 20(5);
              g) Provide advice and instruction to the team concerning the child fatality review
                 process and report writing and may assist in drafting the service history
                 section of the Fatality Report;
              h) Act as liaison for OCFS Home Office/Legal review;
              i) Review for approval any Fatality Review Report prepared in accordance with
                 SSL §§ 20 (5) and 422-b;
              j) Function as the sole distributor of such Fatality Review Reports and respond
                 to any requests for information concerning Fatality Reports, whether such
                 requests be case specific or non-case specific;
              k) Review any Independent Report prepared by the team prior to its issuance;
                 and
              l) Notify DSS if a child who was placed in a foster care home or facility by an
                 authorized agency other than DSS dies in the County of _____________.

Local Law Enforcement Agency and the State Police:

       In conjunction with the District Attorney’s Office, present information and facts
       concerning law enforcement’s actual investigation of the child fatality to the extent such
       disclosure does not compromise the investigation, impede an arrest or affect the integrity
       of the criminal prosecution or the presentment of the case in Family Court.

Emergency Medical Services:

A designated representative(s) from Emergency Medical Services must;

       a) Discuss procedure for responding to calls for assistance generally;
       b) Serve as a liaison between EMS providers and the team;
       c) To the extent possible, assist in obtaining copies of 911 tapes and other documents
          prepared by individual EMS providers in connection with the provision of services in
          connection to any child fatality under the team’s review; and
       d) In response to the team’s review, in accordance with the individual agency’s mission
          and protocol, facilitate and coordinate community education programs to prevent
          future child deaths and injuries.

Permissive Team Members:

The designated representatives of these agencies must:

       a). Educate the team concerning the role and function of their agency and provide
           definitions and insight concerning any condition or aspect relevant to the child fatality
           under review;
       b). To the extent permissible by law, and as relevant to the child fatality under review,
           provide information concerning any contact the agency had with the deceased child,
           his/her siblings, other children in the home, or the deceased child’s parent(s) or other
           person(s) who had been legally responsible for the child;
       c). Make referrals or, as appropriate, provide services to assist the surviving    siblings,
           other children in the household, and/or the parent(s) or other persons who had been
           legally responsible for the child who dies and/or to others in need as a result of the
           loss;
       d). Provide statistics or other documents in the agency’s possession to assist the team in
           formulating plans for corrective action or suggesting policy changes; and
       e). In response to the team’s review, and in accordance with the individual agency’s
           mission and protocol, facilitate and coordinate community education programs to
           prevent future child deaths and injuries.


Case specific invitees
In accordance with SSL § 422-b (3), by consensus of team members and with the approval of the
coordinator, a representative from a mental health agency, domestic violence agency, substance
abuse program, probation, hospital, school, or the family court may be invited to attend a team
meeting on a case specific basis.

The invitee’s role should be determined by the contact that member had with the deceased child,
his/her siblings, other children in the home, parent(s) or other person(s) who were legally
responsible for the child. It is expected that case specific invitees will share information and
documents with the team to the full extent permitted under the law.

These individuals are subject to the same confidentiality requirements as other team members,
including, but not limited to the requirement to sign a confidential agreement. Any information,
documents and/or materials shared by these individuals must be maintained as confidential.
These invitees will not have voting rights.

OCFS is not be required to participate in any child fatality review that is not mandated by SSL §
20. In addition, the authority granted to the team to access CPS information set forth in SSL §§
422(4)(A)(w) and 422(5)(a)(ii) will not apply to fatalities not subject to SSL § 20.

In addition to conducting particular child fatality reviews, the team should discuss emerging
issues, patterns and/or circumstances revealed by the team’s previous child fatality reviews
and/or based upon information shared with the team by the Medical Examiner’s Office/Coroner
or other sources.

The team’s goal in this regard is to identify risk factors that contribute to children’s deaths in
your and to, as appropriate and consistent with confidentiality standards, share this information
with other agencies and/or the public in an effort to prevent future child deaths and promote child
safety.

CFRT Review Process

Team Notification of Child Fatalities:

If a child who was placed in a foster care home or facility by a local department of social
services other than your County DSS dies in the your County, OCFS must immediately notify
your County DSS, who will then be responsible to notify the CFRT Coordinator.

Additionally, any team member who learns about a child fatality from a source other than the
coordinator shall promptly notify the team’s coordinator.

Frequency and Purpose of Team Meetings:

The team must meet a minimum of ______ times per year. Also, upon notice of any child fatality
specified in this application as intended for review by this team, a team meeting must be
convened as soon as possible within ten (10) business days of such notification.

If a fatality appears to have resulted from natural causes, the coordinator will have the discretion
to schedule the initial meeting more than ten (10) business days after the date of notification of
the death in order to allow sufficient time to obtain the results of the autopsy and/or other
relevant medical information.

The coordinator must schedule additional meetings, as necessary, so that for each fatality
reviewed, the team:

       Is fully advised of the facts and circumstances leading to the child’s death including the
       cause of death as determined by the Medical Examiner/Coroner;
       Has access to all available relevant documents maintained by your County
        DSS, as authorized by statute;
       Has discussed all contacts had by any LDSS with the deceased child and/or siblings of
       that child as well as other children who resided in his/her household and/or with his/her
       parent(s), step-parent(s) or other persons who were legally responsible for his/her care;
      Has had full opportunity to identify or assist with any necessary corrective action;
      Has had a full opportunity to discuss whether recommendations for local or State
       administrative or policy changes would be appropriate; and

   The coordinator has the authority to schedule additional team meetings to allow participation
   in preparing and issuing any of the team’s written Fatality Reports and, if applicable, the
   team’s Independent Report(s). The fatality report must be submitted by the Regional Office
   to OCFS Home Office in advance of its six month finalization due date to allow for required
   internal OCFS review.

Corrective Action Plans

If the Fatality Review Report, as approved by OCFS, directs DSS and/or any authorized foster
care agency to take corrective action, these agencies must submit a corrective action plan to
OCFS. The LDSS must provide a copy of any such corrective action plan to your County Team
Coordinator for prompt distribution to team members. Within thirty (30) days thereafter, a team
meeting or meetings as necessary must be conducted to discuss the actions taken to implement
the corrective action plan.

Similarly, if the team prepares and issues an Independent Report that contains any
recommendations, a meeting must be scheduled within thirty (30) days of the release of the
Independent Report to discuss implementation of the team’s recommendations.



Access to Information and Handling of Documents:

As set forth above in this protocol and as mandated by SSL §§ 422(4)(A), 422(5), and 422-b (6),
all materials received and discussed by the team are confidential.

As permitted by law and as necessary for comprehensive child fatality reviews, team members or
invitees must provide the coordinator with copies of any documents and reports relevant to a
particular child fatality review prior to the meeting at which the document will be relevant.

Team members remain the custodians of their original documents and reports.
Prior to providing copies of any documents for team inspection, the provider must mark the
document “Confidential: Not to be Duplicated or Copied in any Manner”.

The Coordinator will provide documents to team members solely for their use and inspection
during the Child Fatality Review or team meeting.

If a team member wishes to examine documents or reports before or after a team meeting, the
coordinator must make arrangements to permit such review. However, the coordinator may not
give any team member a copy of any report or document to keep without the express consent of
the owner of the original document.

Upon OCFS’ approval of a team’s written Fatality Review Report and, if applicable, upon the
team’s completion of an Independent Report, the coordinator must promptly destroy and
appropriately dispose of the copies of any documents, reports or items that the team utilized
during that fatality review.

Conducting the Review:

In light of the confidentiality restrictions imposed by applicable statutes, all team meetings are
limited to team members and/or their designated representatives.

Each child fatality shall be discussed separately. Any fatality review conducted pursuant to SSL
§§ 20 (5) (b) and 422-b must address:

          The cause and manner of the child’s death;
          Any child protective or other services provided or actions taken regarding the child or
           the child’s family;
          Any extraordinary or pertinent information concerning the circumstances of the
           child’s death;
          Whether the child or the child’s family had received assistance, care or services from
           LDSS prior to the child’s death;
          Any action or further investigation by the LDSS subsequent to the child’s death; and
          As appropriate, recommendations for local or state administrative or policy changes.
          The safety of surviving siblings.

The review may also address protocols of other agencies or investigative practices.

Team members who have information concerning previous or pending law enforcement contacts
or concerning matters pending in criminal or Family Court will share this information within
legal limits insofar as doing so will not compromise the integrity of the case.

Team members are encouraged to ask questions of and seek clarification from any presenting
team member. With due consideration to the presenter’s preference, inquiries may be made
during a member’s presentation or at its completion. If a team member lacks sufficient
information to answer a particular question, that presenting member must make every effort to
obtain the necessary information for presentation at a follow-up meeting.
Subsequent to a full and complete discussion, the coordinator shall call for a consensus of all
team members as to the team’s recommendations. In formulating its recommendations, the team
must consider:

          The circumstances, events and risk factors that led to the child’s fatality;
          Where applicable, the history of assistance care and services provided by LDSS; and
          Any services or actions taken since the child’s death.

Each team member will have one vote which will assist the coordinator in obtaining consensus
on the team’s recommendations.

The Child Fatality Report

For each fatality reviewed pursuant to SSL §§ 20 (5) per this application, (RO) statute requires a
Fatality Review Report which must be submitted by the Regional Office. The team may write the
Fatality Review Report or contribute to its construction. The Fatality Review Report(s) must
comply with the applicable statutes and the guidelines promulgated by OCFS, which are annexed
hereto and incorporated herein, as Appendix A, and must be submitted to OCFS for approval

Based upon the team’s determinations and the procedures set forth below, the Fatality Report
must be written by the team designee(s) agreed to by team consensus.

 Upon completion of a draft and prior to its being issued to OCFS for approval, the contributions
and critique of all other team members must be sought when practicable. This is optional if RO
prepares and issues the report.
Content of the Child Fatality Report

A Fatality Review Report issued pursuant to SSL §§ 20 (5) and 422-b by this team must
commence with a statement identifying whether the fatality under review involved the death of a
child reported to the SCR, involved a foster child or a child in an open CPS or preventive
services case at the time of death.

The Fatality Review Report will identify the cause of death as determined by the Medical
Examiner/Coroner and must detail the events believed to have contributed to and caused the
fatality.

If the fatality review is authorized by SSL §§ 20 (5) and 422-b, the Fatality Report will include a
history of any SCR involvement and any information from other states concerning the child,
his/her parent(s) or other person(s) who were legally responsible for his/her care, to he extent
legally available.

Additionally, the Fatality Review Report will chronologically detail and/or summarize services
that your County DSS or any other LDSS provided to the child, the child’s siblings, and/or
his/her parent(s) or other person(s) legally responsible for his/her care. The Fatality Report will
include all relevant services provided.

In those instances in which the fatality under review involves the death of a child reported to the
SCR, the Fatality Review Report will discuss DSS’ investigation of the report, any services that
were provided to the deceased child’s surviving siblings and/or others affected by the child
fatality and/or other actions taken by DSS and/or its foster care provider subsequent to the
child’s death.

Consistent with SSL §§ 20 (5) (b) (6) and 422-b, the Fatality Report will include
recommendations for corrective action on the part of LDSS and/or an authorized foster care
agency and/or preventive services agency as needed and will also include recommendations for
local or state administrative or policy changes as agreed to by the team. Such recommendations
are subject to the review and approval of OCFS.

If the team elects to recommend action concerning any other agency or entity or to make any
other recommendations outside the ambit of SSL §§ 20 (5) (b) (vi) and 422-b, these
recommendations are not required to be contained in the team’s Fatality Report, but may be
included.

 The team may prepare a local Independent Report reflecting these recommendations and any
other information not specifically contemplated by the governing statutes. If the team prepares
an Independent Report in connection with a child fatality review that is conducted pursuant to
SSL §§ 20(5) and 422-b, it must be forwarded to OCFS for its review. The team’s Independent
Report does not require OCFS approval. However, it may not be released by the team unless and
until OCFS approves the Fatality Report that the team prepared in connection with that child
fatality. Independent Reports may not contain identifiable information.

While the team’s Fatality Review Report, including any Independent Report, may provide details
about the status of pending criminal prosecutions or Family Court proceedings, these reports
must not contain identifying information regarding any individual. Moreover, neither the team’s
Fatality Review Report nor any Independent Report may include the substance or content of any
psychiatric, psychological therapeutic, clinical or medical reports, evaluations or like materials or
information regarding the deceased child or the child’s family unless this information pertains
directly to the cause of the child’s fatality.

Preparing and Issuing the Fatality Report:

Subsequent to the completion of a child fatality review conducted pursuant to SSL §§ 20(5) and
422-b the team’s designee(s) may draft a Fatality Review Report that complies with the SSL and
OCFS guidelines and which accurately reflects the team’s consensus. The OCFS representative
must participate or be designated to draft the report in accordance with the policies and
requirements of that agency.

If a Fatality Review Report is undertaken by the team, the following procedure shall govern the
preparation and issuance:

          As soon as practicable after a child fatality review conducted pursuant to SSL §§ 20
           (5) and 422-b is completed, a draft of the proposed Fatality Review Report
           summarizing the team’s findings and recommendations must be drafted and
           circulated to all team members for their input;
          If the team elects to publish information to educate the public, recommend preventive
           measures or corrective action beyond that specifically authorized by SSL §§ 422-b
           and 20 (5)(b)(vi), the coordinator may draft an Independent Report and circulate it
           among team members for input. To the extent possible, this draft must be circulated
           at the same time as the proposed Fatality Review Report to which it relates.

When a Fatality Review Report is prepared and issued by the CFRT instead of by the Regional
Office, the following timeframes must be adhered to:

           Not more than two weeks after any proposed report has been circulated, the
           coordinator must call for a vote of team members or their designated representatives
           with respect to whether to forward the report to OCFS for its approval;
          If a consensus of the team does not approve a proposed Fatality Report and/or the
           Independent Report, the writer will have two weeks to modify the report(s) and re-
           circulate it to all team members for their comments. Not more than one week after a
           report is re-circulated, each team member or his/her designated representative must
           cast a vote regarding whether he/she approves the modified report(s) being forwarded
           to OCFS;
          In all instances, members may vote in person at meetings or by e-mail with notice to
           all team members. Any team member or team member designee that fails to cast a
           vote concerning a particular report within the time frame set by the coordinator will
           be deemed to have approved the changes;
          Once a consensus of the team approves a proposed report or reports, the coordinator
           must forward it to OCFS;
          Upon receiving the team’s proposed Fatality Review Report, OCFS will have a
           maximum of four (4) weeks in which to review the report and recommend corrections
           to it;
          If corrections to the proposed Fatality Review Report are required, OCFS will have
           the option of setting a due date, which may be thirty (30) days, by which the team
           must re-submit its Fatality Report. The coordinator, or team designee will be
           responsible for making the required changes. All changes must be made with notice
           to the team. Team members must signify their approval of the revised report in
           person at a team meeting or via e-mail with notice to all team members. Any team
           member or team member designee that fails to cast a vote concerning a particular
           report within the time frame set by the coordinator will be deemed to have approved
           the changes;
          If the team fails to amend the Fatality Review Report in accordance with OCFS’
           direction, upon notice to the coordinator, OCFS may take over the writing of the
           Fatality Review Report;
          If OCFS takes over the responsibility of writing any of the team’s reports, for
           whatever reason, the OCFS will have the option of submitting the report directly to its
           Home Office for review or following the team’s protocol for “Preparing and Issuing
           the Fatality Report”.

 As required by SSL § 20(5)(c), the team’s Fatality Review Report must be completed and
submitted by the Regional Office to OCFS Home Office in advance of the finalization due date
which is six months from the date of the death of the child whose fatality is under review. An
Independent Report may be prepared and issued following the Fatality Report. The Fatality
Report must be accompanied by a data collection instrument provided by OCFS for the purpose
of compiling statewide aggregate data.(attached).

Consistent with the team’s goal of preventing future child fatalities and promoting overall child
safety, the CFRT may prepare and issue an Independent Report to share information beyond that
which is specifically authorized by these statutes.

Independent Reports:

      An Independent Report may be prepared and issued in regard to any category of death
       where the CFRT determines that the public would benefit by the dissemination of
       information relating to public safety and/or the information would increase public
       awareness of issues that affect the health and safety of children.
      An Independent Report may be issued by an approved OCFS CFRT.
      An Independent Report may be prepared and issued following the review of any
       unexplained or unexpected death of a child under the age of 18 where such death is not
       included within one of the categories of deaths set forth in section 20(5) of the SSL.
      An approved CFRT may access pending or indicated SCR reports whether or not it is
       preparing a Fatality Report. However, a CFRT may access unfounded SCR reports as a
       CFRT, only if it is preparing a Fatality Review Report. Otherwise, the CFRT may only
       access unfounded SCR report if the CFRT is also functioning as a multidisciplinary
       investigation team (MDT). The CFRT may access pending, indicated and legally sealed
       unfounded SCR reports only if they meet the criteria of a MDT as defined in SSL 423 (6).
      An Independent Report that is in relation to a category of a fatality set forth in section
       20(5) of the SSL may not be issued prior to its review by OCFS and the issuance of the
       related Fatality Report.
      An Independent Report may not contain any client identifiable information.
      OCFS is not required to participate in the development, issuance or disclosure of the
       Independent Report.
      All CFRT members must have an opportunity to review and comment on the Independent
       Report before it is issued.
      No team member may share or distribute any reports or drafts of such reports outside of
       team meetings.

Distribution of the Report:

Fatality Review Reports Prepared in Connection with a Review Required by SSL §§ 20 (5)
and 422-b

In accordance with SSL § 20 (5) (c) OCFS must distribute the approved Fatality Review Report.
The team is responsible for distributing any Independent Report it prepares only after OCFS has
reviewed the report and released the related fatality report.

No team member may share or distribute an Independent Report or a draft of any report
forwarded to the team member for voting purposes unless and until the final Fatality Review
Report is approved by OCFS and distributed, pursuant to SSL § 20 (5) (b), by OCFS.

In accordance with SSL § 20 (5) (b) and OCFS guidelines for any fatality review mandated or
authorized by statute, the team must refer all requests for copies of a Fatality Reports or requests
for additional information to OCFS. LDSS must assist OCFS in making a “best interest”
determination and deciding whether the Fatality Review Report and/or additional case specific or
other information must be provided. Specifically, LDSS must provide input and information to
OCFS concerning the potential impact that the release of such information is likely to have on
any surviving siblings or other children that resided in the deceased child’s household.

CFRT Annual Child Fatality Report

The CFRT coordinator will submit an Annual Child Fatality Report to Home Office by
September 1, which provides the following information:

      Number of deaths reviewed, including;
           a) Reported to SCR;
           b) Open Child Protective Services;
           c) Open Preventive Services;
           d) Care and custody or custody and guardianship of Authorized Agency;
           e) Unexpected or Unexplained (Independent Reports);
      Number of team meetings;
      Number of Fatality Reports and Independent Reports written; and
      Data of the individual fatality reports and included appropriate findings and
       recommendations changes.
      The Annual Report will, at a minimum, include recommendations for improved or best
       practice for the LDSS, community interventions and the practices and functioning of the
       team.

Confidentiality Statement
In accordance with all applicable statutes, including but not limited to SSL §§ 422(4)(A), 422(5)
and 422-b (6), all members of the team must maintain strict confidentiality with respect to all
materials received and matters discussed by the team.

No information may be made available to the public by the team unless such disclosure is
authorized by applicable statute or regulation, including, but not limited to the confidentiality
standards set forth in SSL §§ 20 (5), 422 (4), 422(5) and 422-b (6).

Attached is your County confidentiality agreement required to be signed by all CFRT members.
A brief confidentiality statement must be included as part of the CFRT sign in sheet.


Dissolution of the Child Fatality Review Team
If the CFRT decides it will cease its existence as a fatality review team or decides it will cease
writing fatality reports, the coordinator must notify the appropriate OCFS Regional Office
representative, in writing, within two weeks of making that determination.

Submission of this signed protocol implies agreement to all conditions and requirements
stated herein.


Submitted for Approval by: ____________________________________

Date Submitted for Approval: __________________________________

Submitted to: _______________________________________________
ATTACHMENT 6


                    PAYMENT AND REPORTING SCHEDULE
                                        Rev. 3/01/10
                                     APPENDIX C


    This contract is funded with non-Federal funds only


    This contract is funded in whole or in part with Federal funds (see Appendix
     A3, paragraph 14 for Federal audit information)
    OCFS has determined that the Contractor is NOT a subrecipient
    OCFS has determined that the Contractor is a subrecipient

The Federal Funds for this contract are from Code of Federal Domestic Assistance (CFDA)
Number(s):

                     GENERAL SCHEDULE AND PAYMENT

 a) In consideration of the Services to be performed by the Contractor pursuant to this
    AGREEMENT, the Office of Children and Family Services, (Office), agrees to pay and the
    Contractor agrees to accept a sum not to exceed the amount specified on the face page
    thereof for the initial contract period and for subsequent periods, as specified in Appendix
    X, and in accordance with the budget contained in Appendix B, which is attached hereto.
    Payment under this AGREEMENT is conditional upon the continued availability of State
    funds for this purpose and upon approval by the New York State Division of Budget.
    Should funds become unavailable or the Division of Budget fail to approve sufficient funds
    to complete this project according to the amount contained on the face page and the
    Appendix B of this AGREEMENT, (including the supplements thereto), the Contractor
    shall be relieved of any obligation to continue this project beyond the period for which
    funds were allocated.

 b) To the extent permitted by applicable Federal and State Law and regulation, the Office
    may, at its own discretion, make advance payments to the Contractor, up to forty percent
    (40%), upon the submission of sufficient justification therefore. Said advance may be
    eligible for payment only upon approval of this AGREEMENT by the Attorney General
    and by the Comptroller of the State of New York and upon the submission to the Office by
    the Contractor of a properly executed State of New York Standard Voucher in a form
    acceptable to the Office and to the Comptroller of the State of New York. Each advance
    shall be recovered by crediting one third of the forty percent (40%) advance against each of
    the claims for the first three quarterly reporting periods. If the amount of any voucher is not
    sufficient to cover the proportionate advance amount to be recovered, then subsequent
    vouchers will be reduced until the advance is fully recovered. Any unexpended advance
    balance at the end of the contract period will be refunded by the Contractor to the Office. In
the event either party terminates the contract prior to its expiration, the Contractor agrees to
refund to the Office immediately any advance balance then outstanding.
c) Contractor shall provide complete and accurate billing invoices to the Office in
   order receive payment. Billing invoices submitted to the Office must contain all
   information and supporting documentation required by this AGREEMENT, the
   Office and the Office of the State Comptroller. Payment for invoices submitted by
   the Contractor shall only be rendered electronically unless payment by paper check
   is expressly authorized by the Commissioner of the Office, in the Commissioner's
   sole discretion, due to extenuating circumstances. Such electronic payment shall be
   made in accordance with ordinary State procedures and practices. The Contractor
   shall comply with the Office of the State Comptroller's procedures to authorize
   electronic payments. Authorization forms are available at the Office of the State
   Comptroller's website at        www.osc.state.ny.us/epay/index.htm, by email at
   epunit@osc.state.ny.us, or by telephone at 518-474-4032. Contractor acknowledges
   that it will not receive payment on any invoices submitted under this
   AGREEMENT if it does not comply with the Office of the State Comptroller's
   electronic payment procedures, except where the Commissioner of the Office has
   expressly authorized payment by paper check as set forth above.

 REFUNDS
 In the event that the contractor must make a refund to the Office for contract related
 activities (repayment of an advance, an audit disallowance, or for any other reason)
 payment must be made in the form of a check or money order payable to "New
 York State Office of Children and Family Services". The contractor must include
 with the payment a brief explanation of why the refund is being made and reference
 the contract number. Refund payments must be submitted to:

                    NYS Office of Children and Family Services
                    Attention: Contract Cash Receipts
                    Bureau of Contract Management
                    Capital View Office Park
                    52 Washington Street
                    South Building, Room 202
                    Rensselaer, NY 12144-2796

d) An initial advance, if determined to be payable to the contractor, shall be payable
   thirty days from the start date of services within the contract period or thirty days
   from the submission of a properly executed State of New York Standard Voucher in
   a form acceptable to the Office and to the Comptroller of the State of New York,
   whichever is later.

 The Office agrees to pay the Contractor for expenses incurred in behalf of fulfilling
 this AGREEMENT, according to the budget contained in Appendix B and upon the
 submission of a properly executed State of New York Standard Voucher in a form
 acceptable to the Office and to the Comptroller of the State of New York. These
 vouchers shall be submitted at least quarterly. The Office agrees to submit each
 approved voucher to the Comptroller for payment, unless it shall have notified the
 Contractor of its disapproval of payment, in writing and together with a justification
       therefore. The Contractor agrees to submit all vouchers to the Office no later than thirty days
       following the completion or termination of each period of this AGREEMENT. For purposes of
       Article XI- B of the State Finance Law, vouchers other than those for payment of advances
       are payable 30 days after receipt if deemed acceptable by Office and the Office of the State
       Comptroller.

     e) Subcontractors shall be paid on a timely basis after submitting the required reports and
        vouchers for reimbursement of services. When the Contractor has received a complete
        voucher from a subcontractor with all required information for the period of the
        reimbursement request, yet fails to pay the subcontractor for a period exceeding sixty days
        of receipt, the Office reserves the right to process direct payments to reimburse
        subcontractors for services rendered. The Contractor’s request for reimbursement for the
        same period will then be adjusted accordingly. Subcontractors shall contact the State
        directly at the Designated Payment Office address listed in this Appendix to report
        delinquent reimbursements. The Contractor shall inform its subcontractors of this condition
        and shall not impose any penalty or inconvenience upon subcontractors who choose to
        contact the State directly under this condition.

     f) Payment for travel costs and related expenses incurred by the Contractor’s staff and
        employees shall be made at no greater than the prevailing New York State rates established
        for travel costs and related expenses for employees.

     g) The Office reserves the right to withhold up to ten percent (10%) of the contract of any
        payment otherwise due under this AGREEMENT as security or the faithful completion of
        services under this AGREEMENT. Said amount is to be paid to the Contractor upon the
        receipt of all required reports, including the final programmatic and fiscal reports, all
        products of the project as provided in the AGREEMENT and the attachment hereto, a final
        voucher, the accounting for the advance payment made pursuant to this AGREEMENT,
        and upon certification by the Contractor that it has completed its obligations and duties of
        this AGREEMENT.

                                  REPORTING SCHEDULE

   a) The Contractor shall also prepare and submit quarterly program reports and quarterly
      financial reports to the Office's Project Officer for review and approval. Financial reports
      shall include information sufficient to enable State and Federal officials to audit the claims
      and to check them against the provisions of this AGREEMENT including the Appendices.
      The Contractor shall, prior to receipt of final payment under this AGREEMENT, submit a
      final project report and a final financial report satisfactory to the Office no later than 30 days
      following completion or termination of each program period and/or this AGREEMENT.

   BUDGET REVISIONS
   a) For the purposes of subparagraphs b), c) and d), direct cost categories are defined as the
      separate sections of the budget as shown on the Budget Summary Page.

b) The Contractor may make revisions to the budget contained in Appendix B up to ten percent
   (10%) of any direct cost category item without prior approval of the Office except that any
   budget revisions that affect changes in the workplan contained in Appendix D shall require
   prior written approval of the Office. The Contractor agrees to submit any and all revisions
   made pursuant to this subparagraph to the Designated Payment Office identified in Appendix
   C, within ten (10) days of implementing such revisions or as an attachment to any claims for
   reimbursement that may be associated with such revisions, whichever is the earliest date.

c) Budget revisions in excess of ten percent (10%) of any direct cost category item or which
   affect changes in the workplan as contained in Appendix D shall be submitted in writing to
   the Designated Payment Office identified in Appendix C, for approval, accompanied by
   justification therefore. The Office’s Project Officer shall notify the Contractor, in writing, of
   the Office’s approval of such budget revisions, or shall, in writing, notify the Contractor of
   the Office’s disapproval and identify the reasons for such disapproval.

d) Any proposed modification to the contract which results in a change of greater than ten
   percent (10%) to any budget category must be submitted by the Office to the Office of the
   State Comptroller (OSC) for approval.
OCFS Approval

The budget of any and all subcontractors shall not be revised by the subcontractor(s) or
Contractor without the prior written approval of the Office.


DESIGNATED PAYMENT OFFICE

Program Office:               NYS Office of Children and Family Services
Program Area:                  Child and Family Safety Unit
Program Officer:              Tom Hess
Telephone:                    518-474-9441
Address:                      New York State Office of Children and Family Services
                              Capital View Office Park
                              52 Washington Street, Room 321 North
                              Rensselaer, New York 12144-2796




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