part 351 of title 9 nycrr probation supervision rule

Part 351 of Title 9 NYCRRProbation Supervision Rule

2012 Training for Probation Directors, Supervisors, Staff Development Officers, and FPP Certified Instructors

NYS Division of Criminal Justice ServicesOffice of Probation and Correctional Alternatives

DCJS Office of Probation and Correctional Alternatives

The Importance of Probation Supervision

Nearly 120,000 adults and 17,000 juveniles are under probation supervision on any given day-a larger number than those incarcerated in prison or under parole supervision combined.

It is the mechanism by which officers enforce the orders of the court and change offender behavior in order to reduce recidivism and enhance public safety.

It is the most visible aspect of probation that the public utilizes to measure the effectiveness of probation.

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Why a new Supervision Rule?

Current rule:– not updated in nearly 30 years– outdated practices and language– not based in evidence– risk levels more offense focused than

offender focused– focused on beginning and end stages of

supervision rather than entire process

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Why a new Supervision Rule?

• Enhance public safety and provide some mandate relief for counties

• Incorporate evidence-based practices developed over the last two decades

• Re-engineer assessment, case planning, and reassessment to support best practices throughout the entire supervision period

• Re-focus ISP and PED efforts to improve supervision of high risk cases

• Provide for well defined approach to administrative cases

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Opportunities for Improvement

Why a new Supervision Rule?.

• Emphasize quality not just quantity in probation contacts

• Incorporate technology in probation work• Incorporate more structured graduated

sanctions and rewards into probation supervision

• Incorporate quality assurance/supervisory oversight

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Opportunities for Improvement

Rule Revision—the Process• Workgroup started meeting monthly in January 2010, included

COPA, NYSPOA, NYSAC, DCJS Legal and Research staff, DOB, Executive Chamber, and OPCA staff. Monthly meetings for almost 2 years were held.

• Process was data-driven with data presented by Northpointe, Orbis Partners, and DCJS

• Literature reviews were conducted via Council of State Governments and APPA documents

• Other states and jurisdictions were consulted-NYS Parole, NYS OCFS, Federal Probation, Texas, Colorado, Arizona

• In all, 18 draft versions were developed and reviewed6

Probation Supervisionis based in…

• Risk Principle

• Need Principle

• Responsivity Principle

• Program Integrity Principle

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DefinitionsSection 351.1

• Active vs. Administrative case• Actuarial risk• case plan• Contacts (collateral; contact

substitution; home contact; in-person contact; positive home contact; probationer contact)

• Criminogenic need• Educational achievement• Employment retention• Evidence-based practice• Graduated sanctions• Incentive• Interim Probation Supervision

• Merit credit and merit credit activities

• Program completion• Pro-social community activities• Protective factor• Risk and need assessment• Risk management• Risk reduction• Specialized assessment• Stabilization period• Sustained program participation• Technology• Victim restoration

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Objective and ApplicabilitySections 351.2 and 351.3

Objective 351.2• What is the point of the rule?• Provide procedures• Interim Probation Supervision

cases now included• Promotes evidence-based

practices in probation supervision

• Holds offenders accountable, improves offender competencies, restores victims

• Reduces recidivism

Applicability 351.3• The rule is applicable to all

probation departments in NYS• For family and criminal court

supervision cases• For interim supervision cases

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Case AssignmentSection 351.4

• No change—still three (3) business days from probation department’s official notification of disposition

• Requires Probation Director or designee to:– Review case for legality of sentence and inclusion

of all statutorily required conditions; and– Verify the dates of disposition or interim probation

supervision – Assign to specialized caseloads, if available

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Assessment and Case PlanningSection 351.5

• Assessment and Case Plan process must be completed within thirty (30) business days

• Assessment needs to be completed if not already completed during PSI

• What is 30 business days?

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The AssessmentSection 351.5 (a)

The Assessment:– Initial Interview: within eight (8) business days from the date

of case assignment (previously was 5 days from sentence for ISP and 7 days from sentence for others)

– Still allows for auxiliary personnel to conduct limited Initial Interviews

– Allows for documented exceptions for cases where probationer is unavailable for Initial Interview within eight days

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Supervision Level AssignmentSection 351.5(b)

• Risk assessment instrument shall assist with supervision level

• Levels now based on Greatest Risk; High Risk; Medium Risk; and Low Risk

• Case status now includes Active Cases or Administrative Cases

• Over-rides must follow policy, be approved and documented

• Supervision requirement while pending assessment is in-person contact every week

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Supervision Level AssignmentSection 351.5(c)

All applicable legal case requirements must be met at this time:

– DNA sample– SORA status compliance– Fingerprints– Restitution

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Case PlanningSection 351.5(d)

• Case plan shall be based primarily on information from assessment/s

• Case plan must include efforts to engage probationer and/or family

• Case plan must be focused on remediation of behavior giving rise to complaint (charge)

• Case plan must address identified risk and needs, and include protective factors and strengths

• Case plan is the road map for probation supervision—outlines how conditions of probation will be achieved

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Case PlanningSection 351.5(d) cont.

Case planning should include:

1. Feedback to probationer of assessment results2. Use of Motivational Interviewing styles and skills3. Analysis of probationer level of motivation4. Matching motivation level to case plan goals/strategies5. Long term goals (achievable by end of probation); short term

goals (achievable by next reassessment); and action steps (achievable by next appointment with Probation Officer)

6. Identified roles and responsibilities of those involved in case plan

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Probation SupervisionSection 351.6

• Balance between risk management and risk reduction

• What is risk management?

• What is risk reduction?

• Active or Administrative case status?

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New Risk LevelsGreatest Risk

High Risk

Medium Risk

Low Risk18

Required Contacts1. In Person Contact requires the physical presence of the

probationer

2. Probationer Contact requires a visual contact with the probationer (allows for real-time technology)

3. Collateral Contact requires a third party verification of probationer information

4. Positive Home Contact requires the physical presence of the probationer during the home contact

5. Home Contact is a contact at the probationer’s home without the physical presence of the probationer

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Probation SupervisionSection 351.6 (a) (1-4)

Contacts for Greatest Risk1. 6 probationer contacts per

month, with a minimum of 1 in-person contact per week and 2 probationer contacts per month

2. 6 collateral contacts per month-related to criminogenic needs

3. 1 positive home contact each month from case assignment—a positive home contact counts as an in-person contact

Contacts for High Risk1. 1 in-person contact per week2. 6 collateral contacts per

quarter—related to criminogenic needs

3. 1 positive home contact during the 1st month from case assignment-thereafter, 3 home contacts per quarter, 2 of which must be positive home contacts—a positive home contact counts as an in-person contact

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Probation SupervisionSection 351.6 (a) (1-4)

Contacts for Medium Risk1. 2 probationer contacts per

month, with a minimum of 1 in-person contact per month

2. 2 collateral contacts per quarter—related to criminogenic needs

3. 1 positive home contact during 1st 45 days from case assignment—a positive home contact counts as an in-person contact

Contacts for Low Risk1. 1 contact per month2. Collateral contacts as needed3. Home contacts as needed

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Stabilization Period Stabilization period means the first three (3) months of juvenile

probation supervision and three-six (3-6) months of adult probation supervision as a Greatest Risk or High Risk probationer during which the probationer is assessed for compliance with the conditions of probation and the case plan.

Stabilization periods are not necessary for Medium and Low Risk cases, as by definition, they are relatively stable.

Stabilization period is the minimum amount of time during which the probation officer is able to assess the probationer for compliance before Merit Credit may be considered

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Merit Credit Eligibility• Merit credit means a protocol by which Greatest Risk, High Risk

or Medium Risk probationers, who are in compliance with their conditions of probation and achieving their case plan goals, may be considered for a reduction in contacts by their probation officer, or eligible for other forms of incentives as determined by local probation departments. Merit credits reflect sustained and measurable achievement and must be documented in the case file.

• Merit credit activities are defined as victim restoration measures, employment retention, educational achievement, sustained program participation, program completion, or pro-social community activities. Merit credit activities are directly related to the probationer’s identified criminogenic needs, conditions of probation and case plan.

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Merit Credit Activities1. Educational Achievement is measurable and documented

educational or vocational achievement2. Employment Retention is sustaining documented employment3. Program Completion is documentation of completing all

program requirements4. Pro-Social Community Activities must be extended, consistent

participation that can be measured and documented5. Sustained Program Participation must have consistent

attendance and meaningful participation that can be documented

6. Victim Restoration Measures can include restitution, community service, apology letters, other restorative practices and must also be documented

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Stabilization Period and Merit Credit Eligibility-how it works

• For Greatest Risk: Following the stabilization period (3 months for juveniles and 3-6 months for adults), and if the probationer is compliant with the conditions of probation and case plan, and there is documentation of merit credit activities, the probationer may be credited with up to a maximum of 1 probationer contact per month on an on-going basis unless rescinded. Merit credit activities are defined as the following: (1) Victim Restoration Measures; (2) Employment Retention; (3) Educational Achievement; (4) Sustained Program Participation; (5) Program Completion; or (6) Pro-Social Community Activities.

• For High Risk: Following the stabilization period (3 months for juveniles and 3-6 months for adults), and if the probationer is compliant with the conditions of probation and case plan, and there is documentation of merit credit activities, the probationer may be credited with up to a maximum of 1 in-person contact per month on an on-going basis unless rescinded. Merit credit activities are defined as the following: (1) Victim Restoration Measures; (2) Employment Retention; (3) Educational Achievement; (4) Sustained Program Participation; (5) Program Completion; or (6) Pro-Social Community Activities.

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Stabilization Period and Merit Credit Eligibility-how it works

• For Medium Risk: Documentation of the following may be credited toward up to 1 probationer contact per month. Merit credit activities are defined as the following: (1) Victim Restoration Measures; (2) Employment Retention; (3) Educational Achievement; (4) Sustained Program Participation; (5) Program Completion or (6) Pro-Social Community Activities.

• For Low Risk: No merit credit may be applied to the one contact per month that is statutorily required.

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Probation SupervisionSection 351.6 (b)

Juvenile Contact Substitution

The intent is not to reduce quantity of contacts but to restructure contacts to support the juvenile and his/her family while engaged in short-term community based evidence based treatment programs

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Probation SupervisionSection 351.6 (b)

Juvenile Contact Substitution• Available at the discretion of the department• Applies only to JD and PINS cases under age 18 at time of

disposition• Lasts no longer than 6 months• Requires participation in a community-based program which is

evidence-based (program must be known and approved by the department and effective in addressing criminogenic needs)

• Allows for substitution of up to 50% of required contacts with probation officer by community-based program

• One of the required collateral contacts by probation officer must be with the community-based program that is making the substitute contact

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Probation SupervisionSection 351.6 (c)

Administrative CasesCan include cases with any assigned supervision level who are

unavailable for Active Supervision

Contacts for Administrative Cases1 Contact per month (specific contacts allowed for absconder cases)

Types of Administrative Cases include:– Absconders– Hospitalization– Interstate cases– Incarcerated– Residential program– ICE cases

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Probation SupervisionSection 351.6 (d)

Periodic Reassessment/Case Reviews

• Purpose is redefined to ‘reassess probationer progress (or lack of) in achieving the goals identified in the case plan and his/her compliance with conditions of probation’

• Allows for objective, quantitative input into case planning decisions

• For Active juvenile Family Court cases-every three (3) months

• For Active Criminal Court cases and adult Family Court cases-every six (6) months

• For Administrative Cases-every twelve (12) months30

Probation SupervisionSection 351.6 (d) cont.


Step One:1. Reassess using reassessment/case review

instrument—the initial provides a baseline point to measure against

2. Review compliance with contact requirements3. Review Merit Credit activities, if applicable4. Review compliance with conditions of probation and

case plan achievement31



Step Two:Consider the case for the following possible options:

– Case Plan modification?– Reclassification to another supervision level?– Conditions of Probation modification?– Merit Credit eligibility, where applicable?

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Probation Supervision PracticesSection 351.7 (a-f)

Specific probation supervision practices include:

(a) Victims Services (restitution, notification, information, referrals for assistance)

(b) Probationer Referrals (probation officer role in addressing resistance; matching probationer to program; higher risk probationers referred to higher intensity programs; providing assessment information to program)

(c) Risk Management (monitoring probationer activities; reviewing conditions of probation; documentation)

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Specific probation supervision practices include:

(d) Risk Reduction (use of assessment information; monitoring achievements and challenges in case plan; using incentives; using Merit Credits; using graduated sanctions; swift and certain graduated responses; modifying Conditions of Probation)

(e) Technology (Ignition Interlock, GPS, computers, video-conference, electronic monitoring) should be used to enhance supervision, not replace

(f) Supervisory Directives (use of written departmental policies giving specific instructions for probationers to follow)

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Inter- and Intra- State transfersSection 351.8

• State Laws• OPCA Rule 349• Interstate Compact for Adult Offender

Supervision (ICAOS)• Interstate Compact for Juveniles (ICJ)• Review of compliance with conditions of

probation and case plan goals• Waiver of extradition signed

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Termination of SentenceSection 351.9

Early Termination/Early Discharge– When ‘probationer is no longer in need of such guidance,

training or other assistance which would otherwise be administered through probation services’ and

– When ‘probationer has diligently complied with the terms and conditions of sentence of probation’ and

– ‘the termination of the sentence of probation is not adverse to the protection of the public or the victim/s’

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Case ClosingSection 351.10

Case Closing options include:1. Termination of Sentence (ET/ED)2. Maximum Expiration (ME)3. Revocation4. Complete intrastate transfer5. Death6. Other (DOCCS; federal custody)

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Reporting RequirementsSection 351.11

Probation departments must report any and all information requested to the Commissioner of DCJS

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Greatest Risk (ISP)

High Risk (Level 1)

Medium Risk (Level 2)

Low Risk (Level 3)

Case Assignment No change

3 business days

No change 3 business days



Initial Interview Current: 5 business days from sentence Proposed: 8 business days from case assignment

Current: 7 business days from knowledge of sentence Proposed: 8 business days from case assignment



Assessment and Case Planning

No change 30 business days (some elements are required within 30 calendar days)




Greatest Risk (ISP)

High Risk (Level 1)


Low Risk (Level 3)

Contact Requirements

Current: 8 Personal Contacts on a twice weekly schedule; 2 Home Visits, and 4 Collateral Contacts per month Proposed: 6 probationer contacts per month, with a minimum of 1 in-person contact per week and 2 probationer contacts per month. 6 collateral contacts per month, including contacts related to the criminogenic needs.

Current: 4 Personal Contacts, at least one of which must be a Home Visit; and 1 Home Visit per month, 6 Collateral Contacts per quarter Proposed: A minimum of 1 in-person contact per week. 6 collateral contacts per quarter, including contacts related to the criminogenic needs. 1 positive home contact during the first month from case

Current: 2 Personal Contacts per month, one or more of which may be a Home Visit; and 2 Collateral Contacts per quarter Proposed: 2 probationer contact per month, with a minimum of 1 in-person contact per month. 2 collateral contacts per quarter, including contacts related to the criminogenic needs.

Current: 1 contact per month with the probationer/respondent; and 1 Collateral Contact per quarter Proposed: 1 contact per month Collateral contacts as needed

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Greatest Risk (ISP)

High Risk (Level 1)


Low Risk (Level 3)

Contact Requirements

Current: 8 Personal Contacts on a twice weekly schedule; 2 Home Visits, and 4 Collateral Contacts per month Proposed: 6 probationer contacts per month, with a minimum of 1 in-person contact per week and 2 probationer contacts per month. 6 collateral contacts per month, including contacts related to the criminogenic needs. 1 positive home contact each month from case assignment. A positive home contact constitutes a required in-person contact.

Current: 4 Personal Contacts, at least one of which must be a Home Visit; and 1 Home Visit per month, 6 Collateral Contacts per quarter Proposed: A minimum of 1 in-person contact per week. 6 collateral contacts per quarter, including contacts related to the criminogenic needs. 1 positive home contact during the first month from case assignment. Thereafter, 3 home contacts per quarter, 1 each month during the quarter, 2 of which must be positive home contacts. A positive home contact constitutes a required in-person contact.

Current: 2 Personal Contacts per month, one or more of which may be a Home Visit; and 2 Collateral Contacts per quarter Proposed: 2 probationer contact per month, with a minimum of 1 in-person contact per month. 2 collateral contacts per quarter, including contacts related to the criminogenic needs. 1 positive home contact during the first 45 days from case assignment then as needed thereafter. A positive home contact constitutes a required in-person contact.

Current: 1 contact per month with the probationer/respondent; and 1 Collateral Contact per quarter Proposed: 1 contact per month Collateral contacts as needed Home contacts as needed

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Greatest Risk (ISP)

High Risk (Level 1)


Low Risk (Level 3)

Merit Credit provision

3-6 month stabilization period, and compliance with conditions and case plan, allows for up to 1 probationer contact per month in merit credit.

3-6 month stabilization period, and compliance with conditions and case plan, allows for up to 1 in person contact per month in merit credit.

Compliance with conditions and case plan allows for up to 1 probationer contact per month in merit credit. No stabilization period is required for Medium Risk.

Merit credit activities may be used as incentives only for Low Risk.

Contact Substitution provision (for Juvenile cases only)

Proposed: Allows for in-person and home contact substitutions for juveniles in specifically defined programs. These contact substitutions shall not total more than 50% of the required probationer contacts per month or quarter, as determined by their risk level.




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Greatest Risk (ISP)

High Risk (Level 1)


Low Risk (Level 3)

Periodic Reassessments/ Case Reviews

Proposed: Provides for replacement of traditional ‘quarterlies’ with actuarial reassessment, review of compliance with conditions, and progress toward achieving case plan goals. Provides for options to consider as a result of reassessment/case review.




[email protected]

518-485-5168

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part 351 of title 9 nycrr probation supervision rule

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