N.Y. Comp. Codes R. & Regs. tit. 9 § 357.13

Current through Register Vol. 46, No. 45, November 2, 2024

Section 357.13 - Case recordkeeping requirements

(a) All preliminary procedure case records shall be kept in either paper or electronic format, or a combination of both.

(b) Pre-diversion services: where pre-diversion services are provided in lieu of initiating preliminary procedure, it is not necessary to open an individual case file. However, at minimum a record of the following information shall be maintained:

(1) youth name and date of birth;

(2) date(s) of receipt of the complaint(s);

(3) description of the pre-diversion services either referred to or directly provided, and any information regarding outcome(s).

(c) Preliminary procedure: where preliminary procedure was commenced, probation case records shall include the following, where applicable:

(1) documents:

(i) copy of the complaint;

(ii) copy of letter to complainant advising of the initiation of diversion services;

(iii) all assessment and reassessments;

(iv) the initial case plan, and case plan updates that flow from the reassessments;

(v) a brief closing summary of progress toward achieving case plan goals;

(vi) copy of written notices to the complainant regarding the case closing and whether the complaint has been successfully resolved;

(vii) documentation of notification to the parent(s) or other person(s) legally responsible for his/her care of the potential respondent regarding: the case closing; whether the complaint has been successfully resolved; and if there is any bar to petition by the parent(s) or other person(s) legally responsible for his/her care; and

(viii) copy of the petition report in all cases where a petition is filed with the court.

(2) other required case record information:

(i) date(s) of receipt of the complaint(s);

(ii) date(s) of conference(s) with the youth, parent(s) or other person(s) legally responsible for his/her care and complainant;

(iii) documentation that the youth and parent(s) or other person(s) legally responsible for his/her care were advised of their rights related to the diversion process;

(iv) parent or other person(s) legally responsible for his/her care and youth acknowledgment of participation in diversion services;

(v) summary of the reasons for any delay in developing an initial case plan;

(vi) date(s) of any referral(s) for specialized assessment and treatment (i.e., educational, mental health, substance abuse, sexual victimization, or sexualized acting out behaviors);

(vii) documentation of services provided in accordance with the assessment and reassessment;

(viii) dates and types of contacts and any significant information, events, or actions taken; and/or

(ix) date of case closing.

N.Y. Comp. Codes R. & Regs. Tit. 9 § 357.13

Amended New York State Register March 31, 2021/Volume XLIII, Issue 13, eff. 3/31/2021