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 357.13 - Case recordkeeping requirements

Universal Citation: 9 NY Comp Codes Rules and Regs ยง 357.13

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) 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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