New York Codes, Rules and Regulations
Title 9 - EXECUTIVE DEPARTMENT
Subtitle H - DIVISION OF PROBATION AND CORRECTIONAL ALTERNATIVES
Chapter I - ADMINISTRATION OF PROBATION
Part 345 - Probation State Aid Block Grant
Section 345.4 - Plan approval, funding, and reporting
Universal Citation: 9 NY Comp Codes Rules and Regs ยง 345.4
Current through Register Vol. 46, No. 12, March 20, 2024
(a) State aid grants shall not be used for expenditures for capital additions or improvements, or for debt service costs for capital improvements.
(b) Each plan shall:
(1) ensure adherence to all
applicable laws and rules and regulations governing probation
services;
(2) ensure that the
integrated probation registrant system will be maintained by the department in
a timely and accurate manner and that the proportion of active but closable
adult supervision cases will be maintained at less than five percent of the
total active department caseload and whenever in excess, immediate steps will
be undertaken to reduce percentage to less than five percent;
(3) ensure that the department will timely
collect DNA from individuals under their supervision who have not yet submitted
DNA as agreed upon pursuant to a plea, as required by law, or as otherwise
ordered by the court and routinely review the "DNA Owed" report on the
division's probation services suite for such purposes;
(4) ensure that the department will
facilitate timely Sex Offender Registration Act (SORA) compliance
(registration, submission of photographs, completion of annual address
verification form, change of address forms, and 48-hour forms) by the
department and by any registered sex offender subject to supervision by the
department and conduct quarterly address checks of registerable sex offenders
under probation supervision as requested by the division to verify
compliance;
(5) ensure that
probation officers have access to the division's eJusticeNY;
(6) ensure that the department uses a
division approved fully validated risk/need assessment instrument for juvenile
and adult offender populations;
(7)
if application is made for ISP service funding, make the following assurances:
(i) defendants will be screened at the
earliest/appropriate stage in the dispositional process for program
participation using division eligibility criteria, and any additional criteria
developed by the department;
(ii)
the department will maintain and update, when applicable, local eligibility
criteria that will further limit the unnecessary incarceration of certain high
risk offenders. These criteria shall be in accordance with division rules and
regulations and such criteria and any update shall be forwarded to the
division;
(iii) the department will
use an approved division assessment process or instrument to identify and
target those with greatest risk and needs for program participation;
(iv) the department will reduce the number of
defendants who may be unnecessarily incarcerated by diverting them into the
program by facilitating a probation sentence with the condition of program
participation for suitable high risk defendants who would otherwise have been
incarcerated and probationers who violate the original order and conditions of
probation who will be continued under probation supervision with the condition
of program participation, as an alternative to incarceration;
(v) the department will complete a full
assessment of all probationer program participants' criminogenic risks and
needs, using a division approved instrument and establish a supervision plan in
a timely manner;
(vi) the
department will refer all such probationers to appropriate service providers
based on the case planning assessment in the supervision plan; and
(vii) the department will ensure that all
such probationer's participate and engage in all service programs, and monitor
their progress;
(8) if
application is made for ESSO funding, make the following assurances:
(i) the department will ensure that all SORA
Level 2 or 3 registered sex offenders under probation supervision are subject,
where applicable, to the mandatory sex offender condition(s) set forth in Penal
Law section
65.10 (4- a), and
court-ordered or interstate authorized specialized sex offender conditions
which may include, but are not limited to, the internet restriction condition
under Penal Law section
65.10 (5-a);
(ii) the department will ensure that all such
sex offenders are assigned to the caseload of an experienced probation officer/
probation unit who either solely or primarily supervises sex offenders, or has
a significant concentration of sex offenders on the caseload, and who has
received specialized training on sex offender management;
(iii) the department will perform enhanced
field work (i.e., surveillance, collateral contacts, employment visits, as well
as use of electronic monitoring, global positioning systems, computer scanning,
internet usage monitoring, and other enforcement initiatives) in supervising
such sex offenders;
(iv) the
department will conduct at least one visit to a SORA Level 2 or 3 sex
offender's home each quarter during which, at a minimum, a plain view search
for prohibited items and/or substances is completed;
(v) the department will ensure that all such
sex offenders are assessed by a probation officer or treatment provider using a
sex-offender specific assessment instrument approved by the division;
(vi) the department will ensure that all such
sex offenders are referred to, participate in, or successfully complete
association for the treatment of sexual abusers (ATSA)-compliant clinical
evaluation and/or treatment where available;
(vii) the department will maintain and
implement a policy which provides for collaboration with other law enforcement
and service agencies on: warrant execution sweeps, home visits, surveillance,
searches, treatment planning, housing, and other activities related to general
sex offender management;
(viii) the
department will maintain and implement a policy which provides for officers to
independently or in concert with law enforcement execute warrants on sex
offenders, including apprehending absconders who are found, pursue extradition
where appropriate, and secure warrants and retake interstate sex offenders
where required and/or necessitated; and
(ix) the department will utilize polygraph
examinations for the management of certain sex offenders consistent with the
goals of community safety where available;
(9) if application is made for J-RISC
funding, make the following assurances:
(i)
the department will use an approved division risk and needs assessment process
or instrument, refer alleged and/or adjudicated persons in need of supervision
(PINS) and juvenile delinquent (JD) youth who are determined to be high risk
and appropriate for program services and conduct reassessments as necessary;
and
(ii) the department will assign
juvenile probation officers trained in family intervention and cognitive
behavioral techniques, youth supervision and delinquency prevention to perform
program services and/or work collaboratively with evidence-based intervention
provider(s) to achieve reductions in dynamic risk for J-RISC youth and to
achieve successful program completion;
(10) ensure adherence to other program goals,
objectives, and performance target requirements set forth by the division for
additional State aid with respect to special/specific populations other than
the populations specified in paragraphs (7), (8) and (9) of this
subdivision.
(c) The commissioner may require modification of the plan in order to obtain approval. Any modification of a plan requires commissioner approval.
(d) Vouchers and program reports shall be in a format established by the division and shall be submitted on a schedule established by the division.
(e) Division or other governmental findings by audit or program analysis and review which show that the department has not adhered to the approved plan of operation and/or standards governing probation practice, may be the basis for withholding the payment of State aid or recouping monies. A county or the City of New York may request reconsideration of the decision to withhold payment or recoup monies to the office and shall submit information as to their respective position and specific details in support of its position and such other information as may be requested by the director. After consultation with the director, the commissioner will render a final determination which may include the steps that are necessary to obtain funding.
Disclaimer: These regulations may not be the most recent version. New York may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
