Title 9 Part 351

The objective of this rule is to provide local probation departments with supervision procedures for persons who receive a probation sentence, are placed on probation supervision, or are under interim probation supervision by the courts. The rule promotes evidence-based practices in the field of probation to advance public safety by holding the offender accountable, improving offender competencies, restoring victims, and reducing recidivism.

This Part is applicable to all probation departments for family and criminal court probation supervision as well as interim probation supervision cases.

Each probation director or designee shall assign a case to a probation officer within three business days from the probation department’s receipt of the official notification of the disposition from either criminal or family court or the interim probation supervision; and

The time frame for assessment and case planning completion shall be up to 30 business days which begins at the date of the initial interview and extends no longer than completion of the case plan. During this time, the probation department shall:

The initial interview with the probationer by the assigned probation officer, another probation officer, or auxiliary probation personnel shall occur within eight business days from the date of assignment. When the initial interview is conducted by auxiliary probation personnel, it shall consist only of imparting to the probationer necessary preliminary information and instructions relating to the probation disposition or interim probation supervision; information on when, where, and to whom to report; and ensuring that the probationer is provided with a copy of his order and conditions of probation.

The case plan shall be developed by probation personnel and shall be based primarily on the information provided in the risk and need assessment instrument and any other specialized assessments that may be completed. Case planning shall include efforts to engage the probationer and his/her family. The plan shall be developed to remediate the underlying behavior which gave rise to the need for probation supervision by addressing the identified risks and needs, and incorporating the protective factors and strengths. Effective case planning includes the following activities:

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:

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.

If a probationer requests an interstate or an intrastate transfer of supervision during the term of probation, the probation department shall adhere to applicable state law governing interstate or intrastate transfer, the Interstate Compact for Adult Offender Supervision or the Interstate Compact for Juveniles and their respective governing rules, where applicable, and additional regulatory requirements set forth in Part 349 of this Title with respect to the Interstate and Intrastate Transfer of Probation Supervision for Adults and Juveniles. A review of the probationer’s compliance with conditions of probation and his/her progress in meeting the goals of the case plan should be considered before a transfer is recommended or initiated. For criminal court cases, where a probationer is granted permission to move or travel outside the court’s jurisdiction, he/she shall sign a written waiver of extradition agreeing to waive extradition proceedings where such proceedings are the result of the issuance of a warrant by the court pursuant to Criminal Procedure Law section 410.40(2), based upon an alleged violation of probation. Where an interstate case has been accepted for supervision by another state, the contact requirements herein shall be satisfied through the rules of the applicable Interstate Compact and the supervision requirements of the receiving state until such time as a return or retaking.

Following departmental policies, a probation officer may request of the court a termination of the probation sentence when the probation officer concludes:

Probation supervision cases shall be closed using one of the following case closing options:

Each probation director shall report to the Commissioner of the Division of Criminal Justice Services in the form, manner, and timeframes prescribed, including any and all such information requested pertaining to any person receiving a probation sentence, placed on probation, or subject to interim probation supervision.