N.Y. Comp. Codes R. & Regs. tit. 9 § 356.8

Current through Register Vol. 46, No. 25, June 18, 2024

Section 356.8 - Assessment, Case Planning, and Client Engagement

(a) As part of adjustment services, probation shall conduct risk and need assessments and utilize case planning tools and protocols, as approved by the Commissioner, to:

(1) Identify youth who are at medium or high risk for continuing in the behaviors underlying the presenting problem to address the priority areas for intervention;

(2) Complete a full risk and needs assessment at case opening and case closure for all medium and high risk youth to ensure effective case planning and to measure change in dynamic risk and protective factors;

(3) Develop case plans based on assessment results that focus on the priority areas for intervention to remediate the presenting problem ;

(4) Engage youth by providing evidence-based services through probation department and/or community-based service providers; and

(5) Advocate for the youth's timely commencement of services and work closely through on-going communication with the service providers to monitor a youth's participation and progress in completing the services that address the criminogenic needs identified in the case plan. Document the case file of the youth's progress in the services.

(b) As part of assessment, case planning, and reassessment, probation shall use effective client engagement skills such as motivational interviewing with the youth, and where practicable, their families:

(1) In developing an initial case plan within 10 business days of the initial conference with the youth and parent(s) or other person(s) legally responsible for his/her care that addresses:

(i) priority risk and need areas for intervention;

(ii) objectives that build on existing protective factors;

(iii) roles and responsibilities of the youth, parent(s) or other person(s) legally responsible for his/her care, probation officer, and other service providers;

(iv) intended outcomes for successful case closure;

(v) input from parent(s) or other person(s) legally responsible for his/her care and youth to identify any barriers to meeting case plan goals;

(vi) engaging medium and higher risk youth in cognitive-behavioral programming, where appropriate, with services provided either through the probation department or a community based agency;

(vii) refer youth to effective, community-based services that reduce recidivism, where available;

(viii) referring to family-focused services, where appropriate;

(ix) the appropriate dosage based upon the youth's risk and needs; and

(x) responsivity considerations.

(2) By including the participation and/or services of community-based providers as appropriate.

(i) The assessment and approved case plan may be shared and reviewed with the active service providers.

(3) By including participation of youth, and the family, where practicable, in review of the assessment results and all case plans.

(4) In reviewing and updating the case plan on an ongoing basis to document any changes in priority areas, goals, action steps, roles and responsibilities, and status (progress toward completion).

(5) For purposes of reassessment at Extension of Adjustment period.

(6) For purposes of reassessment at case closing.

(c) Probation will work to address the criminogenic needs identified in the assessment and case plan. The probation officer shall use effective client engagement skills such as motivational interviewing and other engagement tools to assist the youth in identifying the criminogenic risks and understanding how criminal thinking/attitudes, criminal associates and peers, chemical dependency, and other factors influence behavior.

(d) Probation will work to effectively engage youth to ensure that higher risk youth receive more intervention, contact, and evidence-based service . The period of intake and adjustment is time limited and so front-loading probation and community service interventions is essential to achieving positive outcomes for youth. The probation officer shall use graduated responses to encourage and/or support pro-social behavior.

(1) For High Risk youth, the probation department shall conduct a minimum of one in-person youth contact per week, two collateral contacts per month, and one positive home contact per month. A positive home contact constitutes an in-person contact.

(2) For medium Risk youth, the probation department shall conduct a minimum of two youth contacts per month (including one in-person contact each month), and two collateral contacts in a three month period. One positive home contact is required in the first forty-five (45) days of the adjustment period, and as needed thereafter. A positive home contact constitutes an in-person contact.

(3) For Low Risk youth, the probation department shall conduct a minimum of one youth contact per month. Collateral contacts and home contacts will be conducted as needed.

(e) Contact Substitution: Contact substitutions are specifically for those youth who are participating in a community-based treatment or therapeutic program which is evidence-based.

During program participation, in-person contacts and positive home contacts with outside agency program staff may be substituted for probation department required contacts; up to 50 % of the required probationer contacts per month or quarter, as determined by their risk level, may be substituted. During the time of program participation and where substitutions are applied, a probation officer must conduct one of the collateral contacts as required with the agency/program, and document the probationer progress in the case record.

Classification	Minimum Youth Contacts	Minimum Collateral Contacts	Minimum Home Contacts
High Risk	A minimum of 1 in-person contact per week.	2 per month, including contacts related to the criminogenic needs identified in the case plan.	One positive home contact is required in the first month. Thereafter, 1 home contact is required per month during the adjustment period. Half of home contacts in the adjustment period must be positive. A positive home contact constitutes an in-person
Medium Risk	2 youth contacts per month. The youth contacts shall include a minimum of 1 in-person contact during each month.	2 contacts in a 3-month period including contacts related to the criminogenic needs identified in the case plan.	One positive home contact is required in the first 45 days of the adjustment period and as needed thereafter. A positive home contact constitutes an in-person contact.
Low Risk	1 contact per month.	As needed.	As needed.

N.Y. Comp. Codes R. & Regs. Tit. 9 § 356.8

Amended New York State Register March 27, 2019/Volume XLI, Issue 13, eff. 3/27/2019

Amended New York State Register April 17, 2024/Volume XLIV, Issue 16, eff. 4/17/2024