New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle H - DIVISION OF PROBATION AND CORRECTIONAL ALTERNATIVES › Chapter I - ADMINISTRATION OF PROBATION › Part 345 - Probation State Aid Block Grant › Section 345.4 - Plan approval, funding, and reporting

Current through Register Vol. 46, No. 28, July 10, 2024
(a) State aid grants shall not be used for
				  expenditures for capital additions or improvements, or for debt service costs
				  for capital improvements.
(b) Each
				  plan shall:
(1) ensure adherence to all
				  applicable laws and rules and regulations governing probation
				  services;
(2) ensure that the
				  integrated probation registrant system will be maintained by the department in
				  a timely and accurate manner and that the proportion of active but closable
				  adult supervision cases will be maintained at less than five percent of the
				  total active department caseload and whenever in excess, immediate steps will
				  be undertaken to reduce percentage to less than five percent;
(3) ensure that the department will timely
				  collect DNA from individuals under their supervision who have not yet submitted
				  DNA as agreed upon pursuant to a plea, as required by law, or as otherwise
				  ordered by the court and routinely review the "DNA Owed" report on the
				  division's probation services suite for such purposes;
(4) ensure that the department will
				  facilitate timely Sex Offender Registration Act (SORA) compliance
				  (registration, submission of photographs, completion of annual address
				  verification form, change of address forms, and 48-hour forms) by the
				  department and by any registered sex offender subject to supervision by the
				  department and conduct quarterly address checks of registerable sex offenders
				  under probation supervision as requested by the division to verify
				  compliance;
(5) ensure that
				  probation officers have access to the division's eJusticeNY;
(6) ensure that the department uses a
				  division approved fully validated risk/need assessment instrument for juvenile
				  and adult offender populations;
(7)
				  if application is made for ISP service funding, make the following assurances:
(i) defendants will be screened at the
				  earliest/appropriate stage in the dispositional process for program
				  participation using division eligibility criteria, and any additional criteria
				  developed by the department;
(ii)
				  the department will maintain and update, when applicable, local eligibility
				  criteria that will further limit the unnecessary incarceration of certain high
				  risk offenders. These criteria shall be in accordance with division rules and
				  regulations and such criteria and any update shall be forwarded to the
				  division;
(iii) the department will
				  use an approved division assessment process or instrument to identify and
				  target those with greatest risk and needs for program participation;
(iv) the department will reduce the number of
				  defendants who may be unnecessarily incarcerated by diverting them into the
				  program by facilitating a probation sentence with the condition of program
				  participation for suitable high risk defendants who would otherwise have been
				  incarcerated and probationers who violate the original order and conditions of
				  probation who will be continued under probation supervision with the condition
				  of program participation, as an alternative to incarceration;
(v) the department will complete a full
				  assessment of all probationer program participants' criminogenic risks and
				  needs, using a division approved instrument and establish a supervision plan in
				  a timely manner;
(vi) the
				  department will refer all such probationers to appropriate service providers
				  based on the case planning assessment in the supervision plan; and
(vii) the department will ensure that all
				  such probationer's participate and engage in all service programs, and monitor
				  their progress;
(8) if
				  application is made for ESSO funding, make the following assurances:
(i) the department will ensure that all SORA
				  Level 2 or 3 registered sex offenders under probation supervision are subject,
				  where applicable, to the mandatory sex offender condition(s) set forth in Penal
				  Law section
				  65.10  (4- a), and
				  court-ordered or interstate authorized specialized sex offender conditions
				  which may include, but are not limited to, the internet restriction condition
				  under Penal Law section
				  65.10  (5-a);
(ii) the department will ensure that all such
				  sex offenders are assigned to the caseload of an experienced probation officer/
				  probation unit who either solely or primarily supervises sex offenders, or has
				  a significant concentration of sex offenders on the caseload, and who has
				  received specialized training on sex offender management;
(iii) the department will perform enhanced
				  field work (i.e., surveillance, collateral contacts, employment visits, as well
				  as use of electronic monitoring, global positioning systems, computer scanning,
				  internet usage monitoring, and other enforcement initiatives) in supervising
				  such sex offenders;
(iv) the
				  department will conduct at least one visit to a SORA Level 2 or 3 sex
				  offender's home each quarter during which, at a minimum, a plain view search
				  for prohibited items and/or substances is completed;
(v) the department will ensure that all such
				  sex offenders are assessed by a probation officer or treatment provider using a
				  sex-offender specific assessment instrument approved by the division;
(vi) the department will ensure that all such
				  sex offenders are referred to, participate in, or successfully complete
				  association for the treatment of sexual abusers (ATSA)-compliant clinical
				  evaluation and/or treatment where available;
(vii) the department will maintain and
				  implement a policy which provides for collaboration with other law enforcement
				  and service agencies on: warrant execution sweeps, home visits, surveillance,
				  searches, treatment planning, housing, and other activities related to general
				  sex offender management;
(viii) the
				  department will maintain and implement a policy which provides for officers to
				  independently or in concert with law enforcement execute warrants on sex
				  offenders, including apprehending absconders who are found, pursue extradition
				  where appropriate, and secure warrants and retake interstate sex offenders
				  where required and/or necessitated; and
(ix) the department will utilize polygraph
				  examinations for the management of certain sex offenders consistent with the
				  goals of community safety where available;
(9) if application is made for J-RISC
				  funding, make the following assurances:
(i)
				  the department will use an approved division risk and needs assessment process
				  or instrument, refer alleged and/or adjudicated persons in need of supervision
				  (PINS) and juvenile delinquent (JD) youth who are determined to be high risk
				  and appropriate for program services and conduct reassessments as necessary;
				  and
(ii) the department will assign
				  juvenile probation officers trained in family intervention and cognitive
				  behavioral techniques, youth supervision and delinquency prevention to perform
				  program services and/or work collaboratively with evidence-based intervention
				  provider(s) to achieve reductions in dynamic risk for J-RISC youth and to
				  achieve successful program completion;
(10) ensure adherence to other program goals,
				  objectives, and performance target requirements set forth by the division for
				  additional State aid with respect to special/specific populations other than
				  the populations specified in paragraphs (7), (8) and (9) of this
				  subdivision.