New York Codes, Rules and Regulations
Title 9 - EXECUTIVE DEPARTMENT
Subtitle H - DIVISION OF PROBATION AND CORRECTIONAL ALTERNATIVES
Chapter I - ADMINISTRATION OF PROBATION
Part 356 - Probation Services for Article 3 Juvenile Delinquency (JD)
Section 356.13 - Case Record Keeping Requirements

Universal Citation: 9 NY Comp Codes Rules and Regs ยง 356.13

Current through Register Vol. 46, No. 12, March 20, 2024

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

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

(1) Documents:
(i) A copy of the complaint and date the complaint was received by probation;

(ii) A copy of the family court appearance ticket;

(iii) A copy of the letter to complainant advising of the initiation of adjustment services;

(iv) All assessment and reassessments;

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

(vi) 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;

(vii) A brief closing summary indicating date of case closure and progress toward achieving case plan goals;

(viii) Copies of written notices to the complainant regarding the case closing and whether the complaint has been successfully resolved. Where the case was closed as terminated without adjustment and referred to the presentment agency, this notice shall include a statement that the complaint was forwarded to the presentment agency;

(ix) Copy of notification to the parent(s) of the potential respondent or other person(s) legally responsible for his/her care regarding the case closing and whether the complaint has been successfully resolved or referred to the presentment agency;

(x) Copy of notification to the presentment agency in all cases where the matter was terminated without adjustment and referred for petition;

(xi) Copy of the certification of adjustment required by the FCA to be sent to the division and to the appropriate law enforcement agency (FCA§ 308.1 ) for cases where the potential respondent's fingerprints were taken and the case was adjusted; and

(xii) Copy of notification to the Family Court of the final case closing designation for cases referred back to probation by the family court after a petition was filed (FCA § 320.6 ).

(2) Other Required Case Record Information:
(i) Where approval or consent to an adjustment is required by the FCA, URFC, this Part, or local criteria, documentation as to the basis for the request for approval and a written copy of such approval, consent, or denial thereof, if any;

(ii) Date(s) of conference(s) with the youth, parent(s) or other person legally responsible for his/her care, police and interested persons;

(iii) Documentation of efforts made to secure the attendance of the potential respondent or the complainant upon the issuance of a family court appearance ticket;

(iv) Documentation that the complainant, youth, and parent(s) or other person(s) legally responsible for his/her care were advised of their rights related to the adjustment process, including the fact that the process is voluntary;

(v) Documentation of parent and youth acknowledgement of participation in adjustment services;

(vi) Summary of the reasons for any delay in developing an initial case plan;

(vii) Date(s) of any referral(s) for specialized assessment and treatment (i.e., educational, mental health, substance abuse, victimization, or sexual offending behaviors);

(viii) Documentation of services provided in accordance with the assessment and reassessment, including progress made toward youth risk factor reduction and/or increased protective factors; and

(ix) Dates and types of probation contacts, collateral contacts, and positive home visits, and any significant information, events, or actions taken;

(c) Excluded cases: A record shall be maintained on all cases which have been excluded from any opportunity for adjustment and referred to the presentment agency immediately. The record shall document the exclusionary criteria utilized, the date the case was closed, and a statement that the case was referred for petition immediately. In all cases, the record shall include a description of the complaint. In appropriate JD cases, the record shall also include any recommendation regarding the suitability of adjusting the case.

(d) Sealed cases: Records of JD cases which are considered terminated in favor of the respondent pursuant to Family Court Act § 375.1(2) include but are not limited to petitions withdrawn; petitions dismissed for matters where the presentment agency has chosen not to proceed to petition; and complaints closed by probation preliminary procedure as adjusted. When probation has received official notification from the Family Court that a JD matter has been terminated in favor of the respondent, case records shall be sealed pursuant to the provisions of the FCA and not be made available to any agency public or private. However, such records shall be made available to the respondent or his/her designated agent and the division, and the probation records shall be made available to any probation department for the purpose of complying with FCA § 308.1(4). Whenever a case is adjusted, probation shall provide certification of such disposition to the appropriate law enforcement agency.

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