New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle H - DIVISION OF PROBATION AND CORRECTIONAL ALTERNATIVES › Chapter I - ADMINISTRATION OF PROBATION › Part 350 - Investigations And Reports › Section 350.6 - Investigation process for criminal, juvenile delinquency, persons in need of supervision, and family offense proceedings

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Order for Investigation and Report. The
				  court order for investigation and report shall include, at a minimum, the same
				  information and attachments, as applicable. The receipt of a court order for an
				  investigation and report shall be entered in either a paper or electronic
				  departmental case record management system which shall include but not be
				  limited to the date received, the name of the person subject to the
				  investigation, the date of birth, the final conviction charge/finding,
				  disposition/sentencing date, and the name of the person assigned to conduct the
				  investigation and prepare the report. In the case of fingerprint- able offenses
				  (juvenile and adult), the Criminal Justice Tracking Number (CJTN) and NYSID
				  shall also be recorded to positively identify the subject of the investigation
				  and obtain a complete criminal history.
(b) Scope of Investigation Process. The
				  investigation process shall consist of the gathering of all information
				  required for inclusion in the pre-dispositional/pre-plea/pre-sentence
				  investigation report and as deemed relevant by the probation department
				  conducting the investigation that may have a bearing upon the recommendation or
				  court disposition/sentencing, as well as any additional information directed by
				  the court
(1) Legal history: the
				  investigation shall consist of the gathering of available, relevant and
				  reliable information from New York and multi-state criminal history records and
				  other official records relative to: arrests; previous conduct and complaints;
				  convictions; adjudications; youthful offender eligibility; prior designated
				  felony act offenses; predicate felony status; persistent felony offender; DNA
				  and/or sex offender registration eligibility; dispositions; sentences; any
				  period of time respondent/defendant served in a placement/correctional
				  facility; information relevant to probation, parole, violation of probation or
				  parole proceedings; warrants; order(s) of protection; and any prior
				  deportation(s). For all investigations, the officer shall not gather
				  information as to matters which have been terminated in favor of the
				  respondent/defendant pursuant to Criminal Procedure Law, section
				  160.50 and Family Court Act, section
				  375.1.
				  When conducting an investigation upon an adult after conviction, JD and PINS
				  intake diversion records may be gathered, unless such records have been sealed
				  pursuant to Family Court Act, section
				  375.1.
				  The officer may, however, gather independent legal information voluntarily
				  received from other sources (such as the respondent/defendant, family members,
				  victims, schools or police) as to past behavior.
(2) Social circumstances: the investigation
				  shall consist of the gathering of available, relevant and reliable information
				  regarding past and present social circumstances, including:
(i)
(i)
(a) any systems involvement with the
				  respondent/defendant's family that may be relevant (i.e., local department of
				  social services, police, probation, Federal immigration);
(b) the family and home situation;
(c) citizenship and, if applicable, alien
				  status;
(d) financial and family
				  support obligations, including history of meeting those obligations;
(e) community and neighborhood
				  environment;
(f) peer/associate
				  relationships, including any gang involvement;
(g) educational status and vocational
				  skills;
(h) employment and military
				  experience;
(i) any violent
				  behavior in the home or community;
(j) access to weapons, ownership, and any
				  licenses related to such weapons;
(k) all other social circumstances that
				  constitute criminogenic risk, needs, and protective factors; and
(l) all significant patterns of which the
				  court should be aware, such as assaultive behavior, chemical dependency,
				  domestic violence, driving offenses, endangering or other reckless behavior,
				  mental health concerns or sexual offending.
(ii) For juvenile cases the investigation
				  shall also include the gathering of available, relevant and reliable
				  information regarding any:
(a) history of
				  running away;
(b) child
				  neglect/abuse;
(c) appropriate use
				  of parental authority and attitudes toward the child and their
				  behavior;
(d) consistency and
				  appropriateness of caring, rewards, discipline, and supervision in the
				  home;
(e) positive adult
				  relationships and social support networks;
(f) significant family conflict, or safety
				  concerns affecting either the respondent or other persons in the home (i.e.,
				  violence or abuse);
(g) school
				  adjustment, academic performance and conduct/special needs;
(h) previous social assistance provided by
				  voluntary or public agencies and the response of the youth to such
				  assistance;
(i) any detention or
				  other residential placement history, and the youth's adjustment to such
				  placement.
(iii) Where
				  an out-of-home placement of a juvenile is being considered, the probation
				  department shall consult with social services, as appropriate, and where
				  feasible shall address:
(a) whether
				  continuation in the respondent's home is contrary to the best interest of the
				  respondent;
(b) whether efforts
				  were made prior to the date of the dispositional hearing to prevent or
				  eliminate the need for removal of the respondent from his or her home;
				  and
(c) whether there is a
				  placement offer within proximity to the respondent's family, school, and
				  community.
(3)
				  Victim information: the investigation shall consist of the gathering of
				  relevant and reliable information related to the victim(s) of the offense/act
				  as such terms are defined in section
				  350.1  of this Part.
				  Where available, victim information shall address:
(i) each victim's age at the time of the
				  offense, gender, any special needs or disabling conditions, and relationship to
				  the offender;
(ii) all pertinent
				  information relative to each victim's version of the offense/act; the victim
				  impact statement(s), including physical, psychological, or economic injuries,
				  damages, and out-of-pocket losses sustained;
(iii) any violence or threatening behavior,
				  or other safety concerns related to the victim(s) or the victim(s)'
				  family;
(iv) any order of
				  protection that has been issued against the respondent/defendant;
(v) any restitution or reparation
				  sought;
(vi) any reimbursement
				  received or anticipated by the victim(s), whether from the Office of Victims
				  Services, or the victim(s)' insurance;
(vii) the victim's view toward
				  disposition/sentence;
(viii) and
				  all other relevant and reliable information of which the court should be aware,
				  and may include, where appropriate, information as to other individuals who may
				  have been victimized by the respondent/defendant.