New York Codes, Rules and Regulations
Title 9 - EXECUTIVE DEPARTMENT
Subtitle H - DIVISION OF PROBATION AND CORRECTIONAL ALTERNATIVES
Chapter I - ADMINISTRATION OF PROBATION
Part 354 - Intake
Section 354.7 - Case recordkeeping requirements

(1) A record shall be maintained on all suitable cases which have been excluded from any opportunity for adjustment and referred for petition immediately. In all cases, the record shall include the article of the Family Court Act under which the case arises, the exclusionary criteria utilized and rationale for exclusion, the date the case was closed, and a statement that the case was referred for petition immediately. In cases where the basis for the referral for petition immediately was not an insistence upon access to the court, the record shall also include a description of the complaint in the case.

(2) The records of cases, terminated matter not pursued, and Family Court article 8 cases referred to Criminal Court shall, at least, include a statement as to the circumstances which precluded the commencement or continuation of the adjustment process.

(3) The records of cases which are not referred for petition immediately or are not terminated matter not pursued shall include the below-listed information:

(1) Where approval or consent to an adjustment is required by The Family Court Act, the Uniform Family Court Rules, this Part or local criteria, information as to the basis for the request for approval and/or consent and a written copy of such approval, consent, or denial thereof, if any.

(2) Where the adjustment period extends beyond the authorized initial period of time to adjust, a copy of the judge's authorization for the requested extension.

(3) Where community resources are used, a summary of their use and of the monitoring activities of probation intake.

(4) For cases closed as adjusted, the factors which prompted the adjustment.

(5) For cases that were terminated because the adjustment process is incomplete or unsuccessful, or when the potential respondent does not choose to commence the adjustment process, an indication that the potential petitioner was notified that a petition may be filed.

(6) For cases where the adjustment process was terminated prior to the satisfactory resolution of the complaint, the criteria and rationale therefor of the termination.

(7) For cases in which the adjustment process requires more than two contacts between probation intake and the potential respondent, the behavior or activities that the potential respondent must accomplish in order to successfully complete the adjustment process.

(8) For cases resolved by the filing of a voluntary agreement with the court, a copy of such agreement.

(9) For cases referred back to probation by the court after a petition was filed, an indication that the court was notified of the subsequent final case action.