9 NYCRR Part 357 - Executive Department

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Source versions current through Sep 15, 2021 - Sep 30, 2026 across sections

Sections in this Part carry different compiled dates; each section shows its own.

9 NYCRR 357.1 - Earlier source heading: Definitions

Related State Register notice: Adopted rule CJS-47-22-00002-A. Published Mar 29, 2023. Notice effective date: Mar 29, 2023.

Source version current through Mar 15, 2023

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 15, 2023
Related Register notice: CJS-47-22-00002-A · Adopted rule
Related notice published: Mar 29, 2023
Related notice effective date: Mar 29, 2023

Current section text is not available here.

9 NYCRR 357.2 - Objective

Source version current through Sep 15, 2021

A matched Register action is not later than the compiled-text reference date.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021
Related Register notice: CJS-47-22-00002-P · Proposed rule
Related notice published: Nov 23, 2022

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

Source version current through Sep 15, 2021

A matched Register action is not later than the compiled-text reference date.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021
Related Register notice: CJS-47-22-00002-P · Proposed rule
Related notice published: Nov 23, 2022

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

Source version current through Sep 15, 2021

A matched Register action is not later than the compiled-text reference date.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021
Related Register notice: CJS-47-22-00002-P · Proposed rule
Related notice published: Nov 23, 2022

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 - Earlier source heading: General requirements for PINS preliminary procedure

Related State Register notice: Adopted rule CJS-47-22-00002-A. Published Mar 29, 2023. Notice effective date: Mar 29, 2023.

Source version current through Mar 15, 2023

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 15, 2023
Related Register notice: CJS-47-22-00002-A · Adopted rule
Related notice published: Mar 29, 2023
Related notice effective date: Mar 29, 2023

Current section text is not available here.

9 NYCRR 357.6 - Probation intake

Source version current through Mar 15, 2023

A matched Register action is not later than the compiled-text reference date.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 15, 2023
Related Register notice: CJS-44-20-00002-A · Adopted rule
Related notice published: Mar 31, 2021
Related notice effective date: Mar 31, 2021

Prior to commencing diversion services, probation shall review the complaint to determine whether it is within the scope of FCA article 7.

(a)Where the behavior meets the criteria set forth in FCA article 7, pre-diversion services may be provided as an alternative to probation intake.

(b)Where it is determined that the complaint is within the scope of FCA article 7 and the complainant seeks preliminary procedure services, probation shall confer with any person seeking to file a petition, the potential respondent, family, and other interested persons concerning the provision of diversion services before any petition may be filed. This shall include:

(1)offering community-based alternatives to pre-dispositional placement where appropriate and available;

(2)scheduling and holding at least one conference with the youth and his or her family and the person or representatives of the entity seeking to file a petition under this article concerning alternatives to filing a petition and services that are available. Where feasible, such conference shall be held jointly with all parties present;

(3)the use of effective client engagement skills such as motivational interviewing with the youth, and where practicable, his/her family;

(4)identifying the level of youth risk for continuing in the behaviors underlying the presenting problem using a State-approved risk and needs assessment. A youth presenting as low risk shall be considered for prompt termination of diversion efforts with minimal probation intervention services;

(5)providing, at the first contact, information on the availability of or referral to services in the geographic area where the youth and family are located to reduce the risk of continuing in the presenting behaviors and prevent the filing of a petition under this article; including:

(i)residential respite: availability of a residential respite program, for up to 21 calendar days, if the youth and parent(s) or other persons legally responsible for his/her care agree;

(ii)crisis intervention: availability of other non-residential crisis intervention programs such as family crisis counseling or alternative dispute resolution programs;

(iii)short-term safe house services: availability of safe house services when the youth has been identified as sexually exploited; and

(iv)informal respite: availability of a temporary location (usually the home of a family member or close friend) where the youth may stay during times of escalating/increased stress or conflict in the youth’s primary residence.

(6)advising the youth and parent(s) or other person(s) legally responsible for his/her care of their rights and responsibilities, including the fact that they may be barred from filing a petition where diversion services have been terminated because of their failure to consent to or participate in diversion services.

(c)Where the complainant is a school district or local educational agency, probation shall review the steps taken by the school district or local educational agency to improve the youth's attendance and/or conduct in school and attempt to engage the school district or local educational agency in further diversion attempts, if it appears that such attempts will be beneficial to the youth.

(d)Where the complainant states that the youth has run away or is staying away from home, the probation department:

(1)shall gather information from the parent(s) or other person(s) legally responsible for his/her care regarding possible contact information, and what efforts have been made to locate the youth; and

(2)may attempt to contact a runaway or stayaway youth for the purpose of engaging the youth and family in diversion services; and

(3)shall inform the parent(s) or other person(s) legally responsible for his/her care that they must file a report with police where it is determined that the youth's whereabouts are unknown; and

(4)may refer the matter for petition for the purpose of seeking a warrant where efforts to locate and engage the youth are unsuccessful.

(e)Probation shall attempt to secure from the parent(s) or other person(s) legally responsible for his/her care all necessary consents for release of information regarding the youth, and shall further request from the school certain information deemed pertinent to the presenting behaviors. For school-based complaints, where parents refuse such consent, probation may refer the matter for petition for the purpose of requesting a court order to direct either the parent or other person(s) legally responsible for his/her care to sign a release of information for school records or for the court on its own volition, to direct the release of information from school authorities. Where appropriate, probation may recommend that the school pursue an educational neglect report.

9 NYCRR 357.7 - Diversion services

Source version current through Sep 30, 2026

A matched Register action is not later than the compiled-text reference date.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Effective date: Mar 29, 2023
Source version current through: Sep 30, 2026
Related Register notice: CJS-47-22-00002-A · Adopted rule
Related notice published: Mar 29, 2023
Related notice effective date: Mar 29, 2023

CJS-47-22-00002-A

Diversion services

(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. Absent a directive from the Court for a specified time period, Probation shall ensure the cumulative application of electronic monitoring not exceed 90 days for each diversion case.

(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

Related State Register notice: Adopted rule CJS-47-22-00002-A. Published Mar 29, 2023. Notice effective date: Mar 29, 2023.

Source version current through Sep 15, 2021

Top

Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021
Related Register notice: CJS-47-22-00002-A · Adopted rule
Related notice published: Mar 29, 2023
Related notice effective date: Mar 29, 2023

Current section text is not available here.

9 NYCRR 357.9 - Earlier source heading: Petition to court

Related State Register notice: Adopted rule CJS-47-22-00002-A. Published Mar 29, 2023. Notice effective date: Mar 29, 2023.

Source version current through Mar 15, 2023

Top

Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 15, 2023
Related Register notice: CJS-47-22-00002-A · Adopted rule
Related notice published: Mar 29, 2023
Related notice effective date: Mar 29, 2023

Current section text is not available here.

9 NYCRR 357.10 - Return from court

Source version current through Sep 15, 2021

A matched Register action is not later than the compiled-text reference date.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021
Related Register notice: CJS-47-22-00002-P · Proposed rule
Related notice published: Nov 23, 2022

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

Source version current through Sep 15, 2021

A matched Register action is not later than the compiled-text reference date.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021
Related Register notice: CJS-47-22-00002-P · Proposed rule
Related notice published: Nov 23, 2022

(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

Source version current through Sep 15, 2021

A matched Register action is not later than the compiled-text reference date.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021
Related Register notice: CJS-47-22-00002-P · Proposed rule
Related notice published: Nov 23, 2022

(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

Source version current through Sep 15, 2021

A matched Register action is not later than the compiled-text reference date.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021
Related Register notice: CJS-47-22-00002-P · Proposed rule
Related notice published: Nov 23, 2022

(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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