1. Probation Supervision Rule NYS Division of Criminal Justice Services
DCJS
Office of Probation and Correctional Alternatives
Part 351 of Title 9 NYCRR
Probation Supervision Rule
2012 Training for Probation Directors, Supervisors, Staff Development Officers, and FPP Certified Instructors
NYS Division of Criminal Justice Services
Office of Probation and Correctional Alternatives
OFFICE OF PROBATION AND CORRECTIONAL ALTERNATIVES

2. 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.

3. 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outdated practices and language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

4. Why a new Supervision Rule?
Opportunities for Improvement
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

5. Why a new Supervision Rule?.
Opportunities for Improvement
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

6. 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 reviewed

7. Probation Supervision is based in…
Responsivity Principle
Program Integrity Principle
Risk Principle
Need Principle

8. Definitions Section 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

9. Objective and Applicability Sections 351.2 and 351.3
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
The rule is applicable to all probation departments in NYS
For family and criminal court supervision cases
For interim supervision cases

10. Case Assignment Section 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

11. Assessment and Case Planning Section 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?

12. The Assessment Section 351.5 (a)
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

13. Supervision Level Assignment Section 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

14. Supervision Level Assignment Section 351.5(c)
All applicable legal case requirements must be met at this time:
DNA sample
SORA status compliance
Fingerprints
Restitution

15. Case Planning Section 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

16. Case Planning Section 351.5(d) cont.
Case planning should include:
Feedback to probationer of assessment results
Use of Motivational Interviewing styles and skills
Analysis of probationer level of motivation
Matching motivation level to case plan goals/strategies
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)
Identified roles and responsibilities of those involved in case plan

17. Probation Supervision Section 351.6
Balance between risk management and risk reduction
What is risk management?
What is risk reduction?
Active or Administrative case status?

18. New Risk Levels
Greatest Risk
High Risk
Medium Risk
Low Risk

19. Required Contacts
In Person Contact requires the physical presence of the probationer
Probationer Contact requires a visual contact with the probationer (allows for real-time technology)
Collateral Contact requires a third party verification of probationer information
Positive Home Contact requires the physical presence of the probationer during the home contact
Home Contact is a contact at the probationer’s home without the physical presence of the probationer

20. Probation Supervision Section 351.6 (a) (1-4)
Contacts for Greatest Risk
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-related to criminogenic needs
1 positive home contact each month from case assignment—a positive home contact counts as an in-person contact
Contacts for High Risk
1 in-person contact per week
6 collateral contacts per quarter—related to criminogenic needs
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

21. Probation Supervision Section 351.6 (a) (1-4)
Contacts for Medium Risk
2 probationer contacts per month, with a minimum of 1 in-person contact per month
2 collateral contacts per quarter—related to criminogenic needs
1 positive home contact during 1st 45 days from case assignment—a positive home contact counts as an in-person contact
Contacts for Low Risk
1 contact per month
Collateral contacts as needed
Home contacts as needed

22. 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

23. 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.

24. Merit Credit Activities
Educational Achievement is measurable and documented educational or vocational achievement
Employment Retention is sustaining documented employment
Program Completion is documentation of completing all program requirements
Pro-Social Community Activities must be extended, consistent participation that can be measured and documented
Sustained Program Participation must have consistent attendance and meaningful participation that can be documented
Victim Restoration Measures can include restitution, community service, apology letters, other restorative practices and must also be documented

25. 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.

26. 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.

27. Probation Supervision Section 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

28. Probation Supervision Section 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

29. Probation Supervision Section 351.6 (c)
Administrative Cases
Can include cases with any assigned supervision level who are unavailable for Active Supervision
Contacts for Administrative Cases
1 Contact per month (specific contacts allowed for absconder cases)
Types of Administrative Cases include:
Absconders
Hospitalization
Interstate cases
Incarcerated
Residential program
ICE cases

30. Probation Supervision Section 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) months

31. Probation Supervision Section 351.6 (d) cont.
Periodic Reassessment/Case Reviews
Step One:
Reassess using reassessment/case review instrument—the initial provides a baseline point to measure against
Review compliance with contact requirements
Review Merit Credit activities, if applicable
Review compliance with conditions of probation and case plan achievement

32. Probation Supervision Section 351.6 (d) cont.
Periodic Reassessment/Case Reviews
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?

33. Probation Supervision Practices Section 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)

34. Probation Supervision Section 351.7 (d) cont.
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)

35. Inter- and Intra- State transfers Section 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

36. Termination of Sentence Section 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’

37. Case Closing Section 351.10 Case Closing options include:
Termination of Sentence (ET/ED)
Maximum Expiration (ME)
Revocation
Complete intrastate transfer
Death
Other (DOCCS; federal custody)

38. Reporting Requirements Section 351.11
Probation departments must report any and all information requested to the Commissioner of DCJS