Title 9 Part 357 NYCRR — browse free

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Compiled text through Sep 15, 2021Register checked through July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)

All 9 displayed sections in this Part carry the same compiled date. Status and warnings stay on each section.

9 NYCRR 357.1 - Definitions

LawEngine holds a witnessed source copy, but later State Register activity targets this section. Inline text is withheld until the change record and source text are reconciled.

Dates and status

Compiling agency: Executive Department
Text status: Source-only entry
Compiled text through: Sep 15, 2021
Register checked through: July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status: Later Register activity found — review the notice before relying on the compiled text.
Latest notice: CJS-47-22-00002-A · Adopted rule · Mar 29, 2023
Source snapshot: Jun 6, 2026

9 NYCRR 357.2 - Objective

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Dates and status

Compiling agency: Executive Department
Text status: Source receipt
Compiled text through: Sep 15, 2021
Register checked through: July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status: Later Register activity found — review the notice before relying on the compiled text.
Latest notice: CJS-47-22-00002-A · Adopted rule · Mar 29, 2023
Source snapshot: Jun 6, 2026

The objective of preliminary procedure is to provide opportunity for assessment, case planning, and effective community-based services for non-judicial resolution of complaints.

9 NYCRR 357.3 - Applicability

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Dates and status

Compiling agency: Executive Department
Text status: Source receipt
Compiled text through: Sep 15, 2021
Register checked through: July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status: Later Register activity found — review the notice before relying on the compiled text.
Latest notice: CJS-47-22-00002-A · Adopted rule · Mar 29, 2023
Source snapshot: Jun 6, 2026

This Part contains all requirements for the provision of diversion services in matters pertaining to PINS, pursuant to FCA section 735. These requirements apply to probation departments that have been designated as the lead agency by their jurisdiction to conduct preliminary procedure. Where probation has responsibility to provide a portion of preliminary procedure, the relevant section(s) of this Part shall apply.

9 NYCRR 357.4 - Jurisdiction

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Dates and status

Compiling agency: Executive Department
Text status: Source receipt
Compiled text through: Sep 15, 2021
Register checked through: July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status: Later Register activity found — review the notice before relying on the compiled text.
Latest notice: CJS-47-22-00002-A · Adopted rule · Mar 29, 2023
Source snapshot: Jun 6, 2026

Where the youth resides in one county but the acts giving rise to the presenting problem occur in another county, the complaint shall be made in the county where the acts occurred. The matter may be transferred directly to the county of residence. Where transferred, the receiving county shall accept the case for consideration of diversion services. Where diversion services are unsuccessful, the matter shall be returned to the originating county for referral to petition.

9 NYCRR 357.5 - General requirements for PINS preliminary procedure

LawEngine holds a witnessed source copy, but later State Register activity targets this section. Inline text is withheld until the change record and source text are reconciled.

Dates and status

Compiling agency: Executive Department
Text status: Source-only entry
Compiled text through: Sep 15, 2021
Register checked through: July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status: Later Register activity found — review the notice before relying on the compiled text.
Latest notice: CJS-47-22-00002-A · Adopted rule · Mar 29, 2023
Source snapshot: Jun 6, 2026

9 NYCRR 357.6 - Probation intake

LawEngine holds a witnessed source copy, but later State Register activity targets this section. Inline text is withheld until the change record and source text are reconciled.

Dates and status

Compiling agency: Executive Department
Text status: Source-only entry
Compiled text through: Sep 15, 2021
Register checked through: July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status: Later Register activity found — review the notice before relying on the compiled text.
Latest notice: CJS-47-22-00002-A · Adopted rule · Mar 29, 2023
Source snapshot: Jun 6, 2026

9 NYCRR 357.7 - Diversion services

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Dates and status

Compiling agency: Executive Department
Text status: Source receipt
Compiled text through: Sep 15, 2021
Register checked through: July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status: Later Register activity found — review the notice before relying on the compiled text.
Latest notice: CJS-47-22-00002-A · Adopted rule · Mar 29, 2023
Source snapshot: Jun 6, 2026

(a)In the provision of diversion services, probation shall:

(1)provide written notice to the complainant that the case has been opened for diversion services;

(2)make diligent efforts to provide diversion services in accordance with the general requirements of this Part;

(3)target the underlying risk factors related to the presenting problem behavior(s) which gave rise to each complaint;

(4)make referrals for service as needed, based on the results of a State approved risk and needs assessment instrument; and

(5)prioritize resources to higher risk youth and target interventions to reduce dynamic risk factors.

(b)In addition to providing community-based intervention services that target specific dynamic risk factors, probation shall work to effectively engage the youth and family in appropriate and available services that support positive youth development and lead to successful outcomes.

(c)Electronic monitoring may only be used with probation director consent and upon specific court order.

(d)Probation may continue diversion efforts:

(1)until the complaint is successfully resolved or the designated lead agency determines that there is no substantial likelihood that the youth and family will benefit from further services;

(2)after the filing of a petition where the designated lead agency determines that the youth and family will benefit from further attempts to prevent the youth from entering foster care.

9 NYCRR 357.8 - Assessment, reassessment, case planning, and client engagement

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Dates and status

Compiling agency: Executive Department
Text status: Source receipt
Compiled text through: Sep 15, 2021
Register checked through: July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status: Later Register activity found — review the notice before relying on the compiled text.
Latest notice: CJS-47-22-00002-A · Adopted rule · Mar 29, 2023
Source snapshot: Jun 6, 2026

(a)As part of diversion services, probation shall assess for risk and needs and utilize case planning tools and protocols, as approved by the Division of Criminal Justice Services, to:

(1)identify youth who are at moderate or high risk for continuing in the behaviors underlying the presenting problem to address the priority areas for intervention;

(2)complete a full risk and needs assessment at case opening and case closure for all medium and high-risk youth to ensure effective case planning and to measure change in dynamic risk and protective factors;

(3)develop case plans based on assessment results that focus on the priority areas for intervention to address the presenting problem;

(4)engage youth by providing evidence-based services through probation department and/or community-based service providers; and

(5)advocate for the youth’s timely commencement of services and work closely through on-going communication with the service providers to monitor a youth’s participation and progress in completing the services that address the needs identified in the case plan. Document in the case file the youth’s and family’s progress in the services.

(b)As part of assessment, case planning, and reassessment, probation shall use effective client engagement skills such as motivational interviewing with the youth, and where practicable, his/her family to:

(1)develop a case plan within 30 calendar days of the initial conference with the youth and parent(s) or other persons legally responsible for his/her care that addresses:

(i)priority dynamic risk and need areas for intervention;

(ii)objectives that build on existing protective factors;

(iii)roles and responsibilities of the youth, parent(s) or other persons legally responsible for his/her care, probation officer, and other service providers;

(iv)intended outcomes for successful case closure;

(v)input from parent(s) or other person(s) legally responsible for his/her care and youth to identify any barriers to meeting case plan goals;

(vi)engaging medium and higher risk youth in cognitive-behavioral programming, where appropriate, and available, with services provided either through the probation department or a community-based agency;

(vii)where available, referring youth to effective, community-based services to address the underlying issues resulting in the presenting problem;

(viii)referring to family-focused services, where appropriate, and available;

(ix)the appropriate level of intervention and contact based upon the youth’s risk, needs and protective factors; and

(x)responsivity considerations;

(2)utilize the participation and/or services of community-based providers as appropriate;

(i)the assessment and approved case plan may be shared and reviewed with active service providers;

(3)include the youth, and the family, where practicable, in review of the assessment results and all case plans;

(4)review and update the case plan on an ongoing basis to document any changes in priority areas, goals, action steps, roles and responsibilities, and progress;

(5)reassess all youth with open diversion cases within 60 calendar days of the initial case plan, and every 90 calendar days thereafter, to measure progress toward intended outcomes; and update the case plan in accordance with the results of reassessment; and

(6)reassess at case closing.

(c)Probation will work to address the needs identified in the assessment and case plan. The probation officer shall use effective client engagement skills such as motivational interviewing and other engagement tools to assist the youth in identifying the behavioral risks and understand how thinking/attitudes, associates and peers, chemical dependency, and other factors influence behavior.

(d)Probation will work to effectively engage youth to ensure that higher risk youth receive more intervention, contact, and evidence-based services. Front-loading probation and community service interventions is essential to achieving positive outcomes for youth. The probation officer shall use graduated responses to encourage and/or support pro-social behavior.

9 NYCRR 357.9 - Petition to court

LawEngine holds a witnessed source copy, but later State Register activity targets this section. Inline text is withheld until the change record and source text are reconciled.

Dates and status

Compiling agency: Executive Department
Text status: Source-only entry
Compiled text through: Sep 15, 2021
Register checked through: July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status: Later Register activity found — review the notice before relying on the compiled text.
Latest notice: CJS-47-22-00002-A · Adopted rule · Mar 29, 2023
Source snapshot: Jun 6, 2026

9 NYCRR 357.10 - Return from court

Later Register activity found — review the notice before relying on the compiled text.

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Dates and status

Compiling agency: Executive Department
Text status: Source receipt
Compiled text through: Sep 15, 2021
Register checked through: July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status: Later Register activity found — review the notice before relying on the compiled text.
Latest notice: CJS-47-22-00002-A · Adopted rule · Mar 29, 2023
Source snapshot: Jun 6, 2026

Where pursuant to FCA section 742(b) the court orders the youth and/or the parent(s) or other person(s) legally responsible for his/her care to participate in diversion services, probation shall thereafter notify the court when it either determines the case has been successfully resolved, or that there is not a substantial likelihood that the youth and/or the youth's family will benefit from continued diversion services.

9 NYCRR 357.11 - Pre-diversion case designation requirements and criteria

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Dates and status

Compiling agency: Executive Department
Text status: Source receipt
Compiled text through: Sep 15, 2021
Register checked through: July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status: Later Register activity found — review the notice before relying on the compiled text.
Latest notice: CJS-47-22-00002-A · Adopted rule · Mar 29, 2023
Source snapshot: Jun 6, 2026

(a)Pre-diversion services: this case designation shall apply where:

(1)the youth has demonstrated a pattern of behavior that meets the definition of PINS;

(2)the potential complainant does not file a complaint; and

(3)the potential complainant, youth and family were engaged in an alternative resolution of the presenting problem.

9 NYCRR 357.12 - Case closing requirements

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Dates and status

Compiling agency: Executive Department
Text status: Source receipt
Compiled text through: Sep 15, 2021
Register checked through: July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status: Later Register activity found — review the notice before relying on the compiled text.
Latest notice: CJS-47-22-00002-A · Adopted rule · Mar 29, 2023
Source snapshot: Jun 6, 2026

(a)Cases where the goals of the case plan have been met shall be considered for successful case closure.

(b)Progress made toward youth risk reduction shall be documented through reassessment prior to closing the case.

(c)Probation shall promptly give written notice of case closure to the potential petitioner and the parent(s) or other person(s) legally responsible for his/her care of the potential respondent.

(d)A finding by the designated lead agency that a case has been successfully diverted shall constitute presumptive evidence that the factual allegations have been successfully resolved and cannot be used in any subsequent petition.

(e)All cases opened for diversion services shall be closed in accordance with one of the following case closing designations:

(1)successfully diverted: where satisfactory resolution of the complaint was achieved as the result of preliminary procedure. This shall include cases that were diverted either at the initial conference, or after a period of diversion services;

(2)withdrawn: where the potential petitioner withdrew the complaint, for any reason, either before or during the provision of diversion services, the complainant shall be advised that the factual allegations may be used in making a future complaint;

(3)terminated with no bar to petition: where the case has not been successfully diverted and the designated lead agency determines that diversion efforts have been exhausted and that there is no substantial likelihood that the youth and family would benefit from continued services. For parent(s) or other person(s) legally responsible for his/her care filed complaints, such closing designation shall also require documentation of consent and active participation of the parent(s) or other person(s) legally responsible for his/her care in diversion services; or

(4)terminated with bar to petition: such case closing shall be used for parent(s) or other person(s) legally responsible for his/her care initiated complaints that have not been successfully diverted because the parent(s) or other person(s) legally responsible for his/her care did not consent to, actively participate in, or pursue diversion services.

9 NYCRR 357.13 - Case recordkeeping requirements

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Dates and status

Compiling agency: Executive Department
Text status: Westlaw Inline Boundary Correction
Compiled text through: Sep 15, 2021
Register checked through: July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status: Later Register activity found — review the notice before relying on the compiled text.
Latest notice: CJS-47-22-00002-A · Adopted rule · Mar 29, 2023
Source snapshot: Jun 6, 2026

(a)All preliminary procedure case records shall be kept in either paper or electronic format, or a combination of both.

(b)Pre-diversion services: where pre-diversion services are provided in lieu of initiating preliminary procedure, it is not necessary to open an individual case file. However, at minimum a record of the following information shall be maintained:

(1)youth name and date of birth;

(2)date(s) of receipt of the complaint(s);

(3)description of the pre-diversion services either referred to or directly provided, and any information regarding outcome(s).

(c)Preliminary procedure: where preliminary procedure was commenced, probation case records shall include the following, where applicable:

(1)documents:

(i)copy of the complaint;

(ii)copy of letter to complainant advising of the initiation of diversion services;

(iii)all assessment and reassessments;

(iv)the initial case plan, and case plan updates that flow from the reassessments;

(v)a brief closing summary of progress toward achieving case plan goals;

(vi)copy of written notices to the complainant regarding the case closing and whether the complaint has been successfully resolved;

(vii)documentation of notification to the parent(s) or other person(s) legally responsible for his/her care of the potential respondent regarding: the case closing; whether the complaint has been successfully resolved; and if there is any bar to petition by the parent(s) or other person(s) legally responsible for his/her care; and

(viii)copy of the petition report in all cases where a petition is filed with the court.

(2)other required case record information:

(i)date(s) of receipt of the complaint(s);

(ii)date(s) of conference(s) with the youth, parent(s) or other person(s) legally responsible for his/her care and complainant;

(iii)documentation that the youth and parent(s) or other person(s) legally responsible for his/her care were advised of their rights related to the diversion process;

(iv)parent or other person(s) legally responsible for his/her care and youth acknowledgment of participation in diversion services;

(v)summary of the reasons for any delay in developing an initial case plan;

(vi)date(s) of any referral(s) for specialized assessment and treatment (i.e., educational, mental health, substance abuse, sexual victimization, or sexualized acting out behaviors);

(vii)documentation of services provided in accordance with the assessment and reassessment;

(viii)dates and types of contacts and any significant information, events, or actions taken; and/or

(ix)date of case closing.

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