N.Y. Comp. Codes R. & Regs. tit. 9 § 351.7

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

Section 351.7 - Probation supervision practices

Supervision is the sum of activities of a probation officer(s), or other authorized personnel with a probationer during the term of probation or interim probation supervision and shall include, but is not limited to:

(a)Probationer engagement.

(1) Engage the probationer by using motivational interviewing and other evidence-based tools to prompt an understanding for the need to change criminal thinking and behavior, and to lead a law-abiding life.

(2) Document in the case file the probationer's progress in changing his/her thinking and behavior.

(3) Advocate for the probationer's timely commencement of services and work closely through on-going communication with the service provider(s) and monitor the probationer's motivation, participation, and progress in services that address the criminogenic needs identified in the case plan.

(4) Document in the case file the probationer's initiation of services.

(b)Probationer referrals and services.

(1) Advocate for the probationer's timely commencement of services and work closely, through on-going communication, with the service provider(s) to monitor a probationer's participation and progress in completing the services that address the criminogenic needs identified in the case plan.

(2) Document in the case file the probationer's participation in services, the nature of their progress, and completion of services.

(3) Probation officers shall refer probationers and/or their families to services available in the community. Probation officer efforts to engage probationers and to manage service referrals are intended to increase probationer motivation, identify incentives and/or barriers for behavior change, and help the probationer find solutions to reduce resistance to change.

(4) Probation officers should be knowledgeable of the services that are available in the jurisdiction and, based on information from the assessment and case plan, shall match the probationer to services that can specifically address the targeted criminogenic needs.

(5) Probationers with higher risk and needs shall be referred, if available, to more intensive interventions which target those risk and needs.

(6) Probation officers shall provide information to the service provider about the probationer's criminogenic needs so that services may be more targeted to those criminogenic needs.

(c)Risk management.

The utilization of accountability measures, including graduated sanctions, in probation supervision shall include:

(1) monitoring the probationer's activities and behaviors-tracking the "what, when, where, and with whom" of the probationer's behavior;

(2) periodically reviewing the conditions of probation and case plan with the probationer, being clear, explicit, and specific in expectations; and

(3) documenting information in the case record which is important and that may be needed in a future proceeding, in accordance with Part 348 of this Title.

(d)Risk reduction.

Providing direction, support, and services to the probationer facilitates change that contributes to lawful behavior, and may include:

(1) utilizing and periodically reviewing assessment information to determine level of supervision and criminogenic needs;

(2) Reviewing and documenting stages of change, participation in services, and progress in addressing criminogenic needs.

(3) reviewing probationer achievements and challenges and modifying the case plan;

(4) using incentives to recognize compliance with conditions of probation or achievement of case plan goals, including merit credit activities;

(5) authorizing merit credit, where the probationer has complied with the conditions of probation and the case plan, and has engaged in merit credit activities;

(6) using graduated sanctions when the probationer is non-compliant;

(7) responding to probationer positive and negative behavior change swiftly, consistently, predictably, and proportionately; or

(8) modifying conditions of probation.

Requests for modification of conditions of probation shall be pursuant to the following procedures:

(i) In accordance with departmental policies, the probation officer shall draft suggested revisions to the conditions of probation, specifically stating which of the original terms are to be modified or enlarged, or new terms added.

(ii) The probation officer shall submit the proposed revision to the court with a covering memorandum indicating specific rationale for the modification or enlargement and request, if necessary, a court appearance for the probationer to effect these changes.

(iii) If the modification of the conditions consists solely of the elimination or relaxation of one or more conditions, the probationer shall not be required to appear in court and shall be so advised unless the court directs otherwise. If the modification of the conditions consists of an enlargement of the conditions, the probationer shall be required to appear in court.

(iv) Upon a probation officer's notification of the court's approval of the modification or enlargement of the terms and conditions of probation, the probation officer shall review all of the current terms and conditions with the probationer.

(e)Technology.

Various technologies may be used as a form of communication between probation officers and probationers, where approved and applicable, pursuant to existing department policies. Certain technology, for example ignition interlock devices, global positioning systems, and computer searches, may be required by law or court order as part of probation supervision. Technology may be utilized to enhance supervision skills and strategies, but it is not a replacement for probation supervision. Technology alone will not change probationer behavior unless coupled with effective assessment, case planning, services, incentives and graduated sanctions. Technology enhanced supervision may be used when feasible with all levels of probation supervision. Where applicable, existing probation department written policies shall reflect how technology may be used in probation supervision.

(f)Supervisory directives/instructions.

Courts are required to impose specific conditions related to probation supervision and others as required by law. These conditions of probation are relative to conduct, rehabilitation, movement, and controls, so as to ensure that the probationer being supervised will lead a law-abiding life or assist him/her in doing so, or to ameliorate the conduct which gave rise to the term of probation. Each probation director may establish written policies providing that supervisory directives and/or instructions are required for the probationer to follow as part of his/her respective supervision plan. Any directives and/or instructions shall be reviewed and approved by a supervisor within the department. Such directives or instructions shall relate to and clarify any general or specific conditions of probation imposed by the court relative to conduct, rehabilitation, movement, controls, assessment, needs, or classification relevant to the supervision plan of the probationer. The probationer shall be given written documentation of any such directives or instructions and the probation officer shall review its content with the probationer to ensure that he/she is aware of and understands the supervisory requirements. The probationer shall sign an acknowledgement that the supervisory directive(s) has been provided and explained. Supervisory directives/instructions may apply to interstate cases where probation has authority to impose probation conditions.

(g)Victims services.

Probation departments shall refer victims of crime to services in the community where available. Probation departments may provide services to victims, including:

(1) restitution collection and disbursement;

(2) victim notification;

(3) helping victims complete applications for victim compensation;

(4) offering or referring for victim/offender mediation;

(5) offering or referring for victim impact panels; or

(6) responding to victim inquiries regarding information about a probationer's status on probation, where allowed by law.

N.Y. Comp. Codes R. & Regs. Tit. 9 § 351.7

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