New York Codes, Rules and Regulations
Title 9 - EXECUTIVE DEPARTMENT
Subtitle H - DIVISION OF PROBATION AND CORRECTIONAL ALTERNATIVES
Chapter I - ADMINISTRATION OF PROBATION
Part 357 - INTAKE FOR ARTICLE 7
Section 357.1 - Definitions

(a) The term accountability measure refers to practices designed for youth to take responsibility for their actions. Such measures may include, but are not limited to apology letters, behavioral contracts, mediation, community service, restorative justice programs or projects, peer court and school attendance tracking.

(b) The term case plan means the individual plan developed to provide diversion services to address the needs identified in the assessment. The plan shall include participation of the youth, parent(s) or other person(s) legally responsible for his/her care; and with input from the complainant and/or other service providers, as appropriate. The plan shall be developed to remediate the behavior which gave rise to the complaint. It shall address the identified risks and needs and shall incorporate protective factors.

(c) The term client engagement refers to the effective delivery of probation services to medium and higher risk youth by identifying which stage of change the youth is in and determining his/her motivation to change. The probation officer successfully engages the youth and family through the use of various tools including, but not limited to, motivational interviewing, role playing, and skill building. Client engagement is a probation officer skill-based approach to building understanding and trust with the youth in a culturally competent and trauma informed way with the goal of empowering the youth to make sustainable changes in behavior and avoid continuing the pattern of problematic behavior.

(d) The term complainant means the person or agency who seeks to file a petition, as described under Family Court Act (FCA) section 733, including: a peace officer, acting pursuant to his/her special duties, or a police officer; the parent(s) or other person(s) legally responsible for his/her care; any person who has suffered injury as a result of the alleged activity of a person alleged to be in need of supervision, or a witness to such activity; the recognized agents of any duly authorized agency, association, society or institution; or the presentment agency.

(e) The term complaint means a written statement of essential facts constituting the alleged PINS behavior.

(f) The term conference means the process of meeting with the parties in real time, either in-person, by telephone, or through videoconference, or other electronic media.

(g) The term diligent efforts means the sufficient attempts to engage the youth and family in the constructive resolution of the complaint through the provision of services that target the specific identified needs and behaviors which gave rise to the complaint. These efforts shall take into account available school, community, and cross-systems resources. The use of accountability measures, disciplinary actions and/or other sanctions, including, but not limited to, curfews, and court ordered electronic monitoring, without attempting the use of intervention services, shall not suffice in meeting the diligent efforts standard.

(h) The term diversion services means services provided to children and families pursuant to FCA section 735 for the purpose of avoiding the need to file a petition or direct the pre-dispositional placement of the child. Diversion services shall include: efforts to adjust cases before a petition is filed, or by order of the court, after the petition is filed but before fact-finding is commenced; and preventive services provided in accordance with section 409-a of Social Services Law to avert the placement of the child into foster care, including crisis intervention and respite services pursuant to FCA section 712.

(i) The term evidence-based practice means practice that is demonstrated through data-supported research and evaluation to be effective in producing the desired outcome.

(j) The term graduated responses means a system of incentives, sanctions, and/or referral to evidence-based services. The use of incentives/rewards should include, but not be limited to, encouragement by the probation officer, verbal praise, letter of recognition and easing of restrictions. The use of sanctions should include, but not be limited to, the imposition of progressively more severe or restrictive actions for continued non-compliance such as increased interventions and appearance at a departmental conference.

(k) The term intervention service refers to a service delivered by the probation department or through a community-based service provider which targets dynamic risk factors related to the presenting complaint, such as cognitive-behavioral interventions, interactive journaling, skill-building, family-focused treatment, mental health and substance abuse treatment, school-based interventions, educational/vocational services, and other evidence based programs and practices.

(l) The term manifestation determination refers to a New York State Education Department (SED) mandated procedure. It is a review by the Committee on Special Education (CSE) to establish the relationship between the student's disability and the behavior subject to disciplinary action (which includes a PINS referral), and to determine whether the behavior is a manifestation of the disability.

(m) The term no substantial likelihood means the probability that further or additional services will not resolve the underlying issues that resulted in the presenting problem because either: all appropriate services have been exhausted; the youth was not available to participate in such services; or the youth or parent(s) or other person(s) legally responsible for his/her care did not engage in such services.

(n) The term Person In Need of Supervision (PINS) means a person less than 18 years of age who does not attend school in accordance with Article 65 of the Education Law or who is ungovernable, or habitually disobedient, and is beyond the lawful control of the parent(s) or other person(s) legally responsible for his/her care, or other lawful authority, or who appears to be a sexually exploited child, but only if the child consents to the filing of a petition under this article pursuant to Penal Law Section 230.00. A pattern of behavior must be documented for complaints involving PINS behavior other than running away or, staying away.

(o) The term petition report means a written report, prepared by probation pursuant to the requirements of section 357.9 of this Part.

(p) The term positive youth development is an intentional, prosocial approach that engages youth within their communities, schools, organizations, peer groups and families in a manner that is productive and constructive; recognizes, utilizes, and enhances youth strengths; and promotes positive outcomes for youth by providing opportunities, fostering positive relationships, and furnishing the support needed to build on their strengths.

(q) The term potential respondent means a youth who is the subject of a PINS complaint, and who meets the definition of PINS pursuant to FCA section 712 and as defined in this section.

(r) The term pre-dispositional placement refers to the temporary care and maintenance of youths away from their own homes.

(s) The term pre-diversion services means services to youth whose behavior meets the criteria for FCA article 7 cases, where the potential complainant, youth and family are engaged in an attempt to address the underlying issues resulting in the presenting problem as an alternative to proceeding with a complaint at probation intake.

(t) The term preliminary procedure means all efforts prior to the filing of a petition, including: providing an immediate response to families in crisis; identifying and utilizing appropriate alternatives to pre-dispositional placement; and other services to divert youth from being the subject of a petition in Family Court. Preliminary procedure includes probation intake and diversion services.

(u) The term probation intake means the initial process of conferring with the complainant, potential respondent, the parent(s) or other person(s) legally responsible for his/her care, and any other interested person whose participation in diversion services would be, in the opinion of the probation officer, beneficial to the potential respondent for the purpose of avoiding the need to file a petition or directing the pre-dispositional placement of the youth.

(v) The term protective factor means certain strengths or assets that have been demonstrated by research to reduce risk of negative outcomes.

(w) The term referred for petition means the advisement by probation to the complainant that a petition may be filed, whether or not a petition is actually filed.

(x) The term responsivity means applying interventions that are tailored to the unique characteristics of an individual youth. Intervention services are maximized when treatment and accountability measures consider the youth's personal characteristics such as age, sex, gender expression, mental health needs, cognitive skill, literacy, primary language, and stabilization needs, and when services are provided in a culturally competent and trauma informed way.

(y) The term risk and needs assessment means a validated protocol approved by the Commissioner of the Division of Criminal Justice Services to screen and assess a youth's risk for continuing in the presenting PINS behavior.

(z) The term risk factor means a specific area of influence that increases the likelihood that a youth will engage in problematic behavior. Risk factors may be static (cannot be changed) or dynamic (can be changed).

(aa) The term runaway means a youth whose whereabouts are unknown to the parent(s) or other person(s) legally responsible for his/her care.

(ab) The term stayaway means a youth who has left home without permission from the parent(s) or other person(s) legally responsible for his/her care, and the youth's whereabouts are known, but he/she has indicated no intention to return.

(ac) The term successfully diverted means a determination by probation that the risks and needs related to the presenting problem have been satisfactorily addressed and the complaint has been adjusted or the youth has received maximum benefit from the intervention(s).

(ad) The term truancy refers to any intentional, unjustified, unauthorized, or illegal absence from compulsory education as defined in the New York State Education Law article 65 part 1.