N.Y. Comp. Codes R. & Regs. tit. 9 § 351.5

Current through Register Vol. 46, No. 50, December 11, 2024

Section 351.5 - Assessment and case planning

The time frame for assessment and case planning completion shall be up to 30 business days which begins at the date of the initial interview and extends no longer than completion of the case plan. During this time, the probation department shall:

(a) Conduct the initial interview. The initial interview with the probationer by the assigned probation officer, another probation officer, or auxiliary probation personnel shall occur within eight business days from the date of assignment. When the initial interview is conducted by auxiliary probation personnel, it shall consist only of imparting to the probationer necessary preliminary information and instructions relating to the probation disposition or interim probation supervision; information on when, where, and to whom to report; and ensuring that the probationer is provided with a copy of his order and conditions of probation.

(1) Where the probationer is unavailable for the initial interview during the required eight business day time frame because he/she is incarcerated, in detention, or in placement, the initial interview shall occur prior to release from custody, with the goal of establishing the supervision relationship.

(2) If the initial interview is not conducted within the required eight business day time frame because the probationer is unavailable, the probation department shall document the reasons for the delay in the case file.

(b) Complete the risk and need assessment, if not already completed at investigation. Probation departments may complete other specialized assessments, where available.

(1) Assign supervision level. The risk assessment instrument shall assist the department in determining the appropriate supervision level assignment. When the assessment is complete, the probationer shall be assigned according to risk level and/or over-ride as greatest risk; high risk; medium risk; low risk; or designated an administrative case, if criteria is met, and the department shall satisfy applicable probation supervision requirements set forth in section 351.6 of this Part. If the department imposes a supervision level different than that indicated by the risk assessment, the reason for the over-ride shall conform to criteria approved by the probation director, consistent with department policy, and be documented in the case record.

(2) Supervision pending classification. Pending initial classification the department shall provide appropriate supervision during assessment and case planning which shall include in-person contact every week until the assessment and case plan are completed.

(c) Confirm that all applicable legal case requirements are met, including:

(1) DNA sample obtained;

(2) Sex Offender Registration Act (SORA) status compliance;

(3) fingerprints obtained; and

(4) where ordered, a restitution account is established for collection.

(d) Develop and implement the case plan in accordance with department policy. The case plan shall be developed by probation personnel and shall be based primarily on the information provided in the risk and need assessment instrument and any other specialized assessments that may be completed. Case planning shall include efforts to engage the probationer and his/her family. The plan shall be developed to remediate the underlying behavior which gave rise to the need for probation supervision by addressing the identified risks and needs, and incorporating the protective factors and strengths. Effective case planning includes the following activities:

(1) provide feedback of assessment results to probationer;

(2) utilize motivational interviewing to engage the probationer in the case plan development;

(3) determine the probationer's level of motivation to change his/her behavior; and

(4) match case planning goals and strategies to probationer's level of motivation to change his/her behavior:

(i) for low risk probationers case planning should be minimal--referring for services related to the conditions of probation;

(ii) for medium risk/high risk/greatest risk probationers, case plans shall identify the priority criminogenic needs to be addressed in order to reduce risk.

(e) Case plans shall focus on three steps:

(1) Long term goals--achievable by the end of probation.

(2) Short term goals--achievable from reassessment to reassessment.

(3) Action steps--achievable from one probationer contact to the next.

(f) Case plans shall identify the roles and responsibilities of each person involved in the case plan, and realistic time frames for achieving stated goals.

N.Y. Comp. Codes R. & Regs. Tit. 9 § 351.5