Part 351 of Title 9 NYCRR Probation Supervision Rule 2012 Training for Probation Directors, - PowerPoint Presentation

Part 351 of Title 9 NYCRRProbation Supervision Rule2012 Training for Probation Directors, Supervisors, Staff Development Officers, and FPP Certified Instructors NYS Division of Criminal Justice ServicesOffice of Probation and Correctional Alternatives OFFICE OF PROBATION AND CORRECTIONAL ALTERNATIVES DCJS Office of Probation and Correctional Alternatives

The Importance of Probation SupervisionNearly 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.2

Why a new Supervision Rule?Current rule:not updated in nearly 30 yearsoutdated practices and languagenot based in evidencerisk levels more offense focused than offender focusedfocused on beginning and end stages of supervision rather than entire process3

Why a new Supervision Rule?Enhance public safety and provide some mandate relief for counties Incorporate evidence-based practices developed over the last two decadesRe-engineer assessment, case planning, and reassessment to support best practices throughout the entire supervision periodRe-focus ISP and PED efforts to improve supervision of high risk casesProvide for well defined approach to administrative cases4Opportunities for Improvement

Why a new Supervision Rule?.Emphasize quality not just quantity in probation contactsIncorporate technology in probation workIncorporate more structured graduated sanctions and rewards into probation supervisionIncorporate quality assurance/supervisory oversight 5Opportunities for Improvement

Rule Revision—the ProcessWorkgroup 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 DCJSLiterature reviews were conducted via Council of State Governments and APPA documentsOther states and jurisdictions were consulted-NYS Parole, NYS OCFS, Federal Probation, Texas, Colorado, ArizonaIn all, 18 draft versions were developed and reviewed6

Probation Supervisionis based in…Risk PrincipleNeed PrincipleResponsivity PrincipleProgram Integrity Principle7

DefinitionsSection 351.1Active vs. Administrative caseActuarial riskcase planContacts (collateral; contact substitution; home contact; in-person contact; positive home contact; probationer contact)Criminogenic needEducational achievement Employment retentionEvidence-based practice Graduated sanctionsIncentive Interim Probation Supervision Merit credit and merit credit activitiesProgram completion Pro-social community activitiesProtective factor Risk and need assessmentRisk management Risk reductionSpecialized assessment Stabilization periodSustained program participationTechnologyVictim restoration 8

Objective and ApplicabilitySections 351.2 and 351.3Objective 351.2What is the point of the rule?Provide proceduresInterim Probation Supervision cases now includedPromotes evidence-based practices in probation supervisionHolds offenders accountable, improves offender competencies, restores victimsReduces recidivismApplicability 351.3 The rule is applicable to all probation departments in NYS For family and criminal court supervision casesFor interim supervision cases 9

Case AssignmentSection 351.4No change—still three (3) business days from probation department’s official notification of dispositionRequires Probation Director or designee to:Review case for legality of sentence and inclusion of all statutorily required conditions; andVerify the dates of disposition or interim probation supervision Assign to specialized caseloads, if available10

Assessment and Case PlanningSection 351.5Assessment and Case Plan process must be completed within thirty (30) business days Assessment needs to be completed if not already completed during PSIWhat is 30 business days? 11

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 InterviewsAllows for documented exceptions for cases where probationer is unavailable for Initial Interview within eight days12

Supervision Level AssignmentSection 351.5(b)Risk assessment instrument shall assist with supervision levelLevels now based on Greatest Risk; High Risk; Medium Risk; and Low RiskCase status now includes Active Cases or Administrative CasesOver-rides must follow policy, be approved and documented Supervision requirement while pending assessment is in-person contact every week 13

Supervision Level AssignmentSection 351.5(c)All applicable legal case requirements must be met at this time:DNA sampleSORA status complianceFingerprintsRestitution14

Case PlanningSection 351.5(d)Case plan shall be based primarily on information from assessment/sCase plan must include efforts to engage probationer and/or familyCase 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 strengthsCase plan is the road map for probation supervision—outlines how conditions of probation will be achieved15

Case PlanningSection 351.5(d) cont.Case planning should include:Feedback to probationer of assessment resultsUse of Motivational Interviewing styles and skillsAnalysis of probationer level of motivationMatching motivation level to case plan goals/strategiesLong 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 16

Probation SupervisionSection 351.6Balance between risk management and risk reductionWhat is risk management?What is risk reduction?Active or Administrative case status?17

New Risk Levels Greatest RiskHigh RiskMedium RiskLow Risk18

Required ContactsIn Person Contact requires the physical presence of the probationerProbationer 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 19

Probation SupervisionSection 351.6 (a) (1-4)Contacts for Greatest Risk6 probationer contacts per month, with a minimum of 1 in-person contact per week and 2 probationer contacts per month6 collateral contacts per month-related to criminogenic needs1 positive home contact each month from case assignment—a positive home contact counts as an in-person contactContacts 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 20

Probation SupervisionSection 351.6 (a) (1-4)Contacts for Medium Risk2 probationer contacts per month, with a minimum of 1 in-person contact per month2 collateral contacts per quarter—related to criminogenic needs1 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 neededHome contacts as needed21

Stabilization PeriodStabilization 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 considered22

Merit Credit EligibilityMerit 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.23

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

Stabilization Period and Merit Credit Eligibility-how it worksFor 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. 25

Stabilization Period and Merit Credit Eligibility-how it worksFor 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.26

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 programs27

Probation SupervisionSection 351.6 (b) Juvenile Contact SubstitutionAvailable at the discretion of the departmentApplies only to JD and PINS cases under age 18 at time of dispositionLasts no longer than 6 monthsRequires 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 programOne of the required collateral contacts by probation officer must be with the community-based program that is making the substitute contact 28

Probation SupervisionSection 351.6 (c) Administrative CasesCan include cases with any assigned supervision level who are unavailable for Active SupervisionContacts for Administrative Cases 1 Contact per month (specific contacts allowed for absconder cases) Types of Administrative Cases include:Absconders HospitalizationInterstate casesIncarcerated Residential programICE cases 29

Probation SupervisionSection 351.6 (d) Periodic Reassessment/Case ReviewsPurpose 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 decisionsFor Active juvenile Family Court cases-every three (3) monthsFor 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. Periodic Reassessment/Case ReviewsStep One:Reassess using reassessment/case review instrument—the initial provides a baseline point to measure againstReview compliance with contact requirementsReview Merit Credit activities, if applicableReview compliance with conditions of probation and case plan achievement 31

Probation SupervisionSection 351.6 (d) cont. Periodic Reassessment/Case ReviewsStep 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? 32

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) 33

Probation SupervisionSection 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) 34

Inter- and Intra- State transfersSection 351.8State LawsOPCA Rule 349Interstate Compact for Adult Offender Supervision (ICAOS)Interstate Compact for Juveniles (ICJ)Review of compliance with conditions of probation and case plan goalsWaiver of extradition signed35

Termination of SentenceSection 351.9Early Termination/Early DischargeWhen ‘probationer is no longer in need of such guidance, training or other assistance which would otherwise be administered through probation services’ andWhen ‘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’ 36

Case ClosingSection 351.10Case Closing options include:Termination of Sentence (ET/ED)Maximum Expiration (ME)RevocationComplete intrastate transferDeathOther (DOCCS; federal custody) 37

Reporting RequirementsSection 351.11 Probation departments must report any and all information requested to the Commissioner of DCJS38

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Patricia.Donohue@DCJS.ny.gov518-485-516843