N.Y. Comp. Codes R. & Regs. tit. 9 § 351.6

Current through Register Vol. 46, No. 45, November 2, 2024

Section 351.6 - Probation supervision

The goal of probation supervision is to reduce recidivism by achieving a balance between risk management and risk reduction. Probation supervision is the foundation for that balance and required as follows:

(a) If the case is an active case, differential supervision shall be based on the results of the assessment instrument and the case plan, as follows:

(1) For the greatest risk population, the probation department shall conduct a minimum of six probationer contacts, six collateral contacts, and one positive home contact per month. The probationer contacts shall include one in-person contact per week and two probationer contacts per month. One positive home contact is required each month from case assignment. A positive home contact constitutes one of the required in-person contacts. After the stabilization period of three months for juveniles and three-six months for adults has been completed, and if the probationer has complied with the conditions of probation and the case plan, he/she may be considered for merit credit. Up to one probationer contact per month may be credited.

(2) For the high risk population, the probation department shall conduct a minimum of one in-person contact per week, six collateral contacts per quarter, and one home contact per month. One positive home contact is required during the first month from case assignment. Thereafter, three home contacts are required each quarter, one completed each month during the quarter, two of which must be positive home contacts. A positive home contact constitutes a required in-person contact. After the stabilization period of three months for juveniles and three-six months for adults has been completed, and if the probationer has complied with the conditions of probation and the case plan, he/she may be considered for merit credit. Up to one in-person contact per month may be credited.

(3) For the medium risk population, the probation department shall conduct a minimum of two probationer contacts per month and two collateral contacts per quarter. The probationer contacts shall include one in-person contact per month. One positive home contact is required during the first 45 calendar days from case assignment and as needed thereafter. A positive home contact constitutes one of the required in-person contacts. If the probationer has complied with the conditions of probation and the case plan, he/she may be considered for merit credit. Up to one probationer contact per month may be credited.

(4) For the low risk population, the probation department shall conduct a minimum of one contact per month. Collateral contacts and home contacts will be conducted as needed. Merit credit activities may be used as incentives only.

(b)Contact substitution.

Contact substitutions are available only for juvenile delinquent and Persons in Need of Supervision probationers under age 18 at the time of disposition. Contact substitutions, lasting no longer than six months in duration, are specifically for those juveniles on probation supervision who are participating in a community-based treatment or therapeutic program which is evidence-based. During program participation, in-person contacts and positive home contacts with outside agency program staff may be substituted for probation department required contacts; up to 50 percent of the required probationer contacts per month or quarter, as determined by their risk level, may be substituted. During the time of program participation and where substitutions are applied, a probation officer must conduct one of the collateral contacts as required with the agency/program, and document the probationer progress in the case record. Merit credits may not be applied during the period of contact substitution.

Classification	Minimum probationer contacts	Minimum collateral contacts	Minimum home contacts	Merit credits/activities
Greatest risk	Six probationer contacts per month. Contacts shall include one in-person contact per week and two probationer contacts per month.	Six per month including contacts related to the criminogenic needs identified in the case plan.	One positive home contact is required each month from case assignment. A positive home contact constitutes one of the required in-person contacts.	Following the stabilization period (three months for juveniles and three-six months for adults), and if the probationer is compliant with the conditions of probation and case plan, and there is documentation of merit credit activities, the probationer may be credited with up to a maximum of one probationer contact per month on an on-going basis unless rescinded. Merit credit activities are defined as the following: (1) Victim restoration measures; (2) Employment retention; (3) Educational achievement; (4) Sustained program participation; (5) Program completion; or (6) Pro-social community activities.
High risk	A minimum of one in-person contact per week.	Six per quarter including contacts related to the criminogenic needs identified in the case plan.	One positive home contact is required during the first month from case assignment. Thereafter, three home contacts are required during each quarter, one completed each month during the quarter, two of which must be positive home contacts. A positive home contact constitutes a required in-person contact.	Following the stabilization period (three months for juveniles and three-six months for adults), and if the probationer is compliant with the conditions of probation and case plan, and there is documentation of merit credit activities, the probationer may be credited with up to a maximum of one in-person contact per month on an on-going basis unless rescinded. Merit credit activities are defined as the following: (1) Victim restoration measures; (2) Employment retention; (3) Educational achievement; (4) Sustained program participation; (5) Program completion; or (6) Pro-social community activities.
Medium risk	Two probationer contacts per month. The probationer contacts shall include a minimum of one in-person contact during each month.	Two per quarter including contacts related to the criminogenic needs identified in the case plan.	One positive home contact is required during the first 45 calendar days from case assignment and as needed thereafter. A positive home contact constitutes one of the required in-person contacts.	Documentation of the following may be credited toward up to one probationer contact per month. Merit credit activities are defined as the following: (1) Victim restoration measures; (2) Employment retention; (3) Educational achievement; (4) Sustained program participation; (5) Program completion; or (6) Pro-social community activities.
Low risk	One contact per month.	As needed.	As needed.	No merit credit may be applied to the one contact per month that is statutorily required.

(c) If the case is determined to be an administrative case at the beginning of supervision, or at any time during the period of supervision through probation department protocols, the probation department shall make one contact per month until no longer meeting the criteria for an administrative case. Administrative cases include:

(1) absconders. In all absconder cases, the department shall comply with section 352.5(b) of this Title. For absconders, the one contact per month may include running criminal history reports, contact with local law enforcement or intelligence centers, or any other collateral contact relevant to the case;

(2) hospitalization or cases in which a probationer/respondent has been diagnosed with an infectious, contagious or terminal medical condition and more frequent reporting may compromise the well being of the individual probationer or his/her probation officer;

(3) outgoing pending interstate cases where a notice of departure has been submitted in accordance with the applicable Interstate Compact;

(4) interstate cases where the probationer has been accepted for supervision by another receiving state until his/her return or retaking in accordance with the applicable Interstate Compact;

(5) interstate cases where the probationer is not subject to the jurisdiction of the Interstate Compact but the court has authorized such relocation;

(6) interim probation supervision cases in which the duty of supervision is being carried out by another local probation department and jurisdiction is retained by the transferring court;

(7) family court intrastate cases in which the duty of supervision is being carried out by another local probation department and jurisdiction is retained by the transferring court;

(8) incarcerated but not intermittently;

(9) residential programming or treatment;

(10) in Immigration and Customs Enforcement (ICE) custody or deported; or

(11) United States military deployment.

Classification	Minimum contacts (probationer or collateral)	Minimum home contacts	Merit credits/activities
Administrative cases (cases unavailable for active supervision, regardless of risk level)	One contact per month	N/A	N/A

(d)Periodic reassessments/case reviews.

(1) The purpose of the periodic case review during probation supervision is to reassess the probationer's progress in achieving the goals identified in the case plan and his/her compliance with conditions of probation.

(2) The periodic case review of each probationer shall be conducted by the assigned probation officer, reviewed and approved according to department policies, and documented in the case record as provided below:

(i) For active family court juvenile cases, the periodic case review shall be conducted every three months. For active criminal court and family court adult supervision cases, the periodic case review shall be conducted every six months. For administrative cases, who are probationers otherwise unavailable for active supervision, the periodic case review shall be conducted every 12 months.

(ii) The periodic case review shall include:

(a) a reassessment or case review utilizing a state approved risk and need assessment or case review instrument;

(b) a review of compliance with all required contacts during the prior supervision period and documentation of such included in the case file;

(c) where applicable, a review of documented participation in merit credit activities during the prior supervision period and documentation of such included in the case file; and

(d) a review of compliance with the conditions of probation as well as progress toward achieving the case plan goals, objectives, and action steps during the current supervision period and documentation of such included in the case file.

(3) After conducting the periodic case review, the probation officer shall consider the case for the following options:

(i) modification of the case plan;

(ii) reclassification of the supervision level;

(iii) modification of the conditions of probation; and/or

(iv) where applicable, merit credit eligibility.

N.Y. Comp. Codes R. & Regs. Tit. 9 § 351.6

Amended New York State Register March 27, 2019/Volume XLI, Issue 13, eff. 3/27/2019