Title 42: Department of Probation

Chapter 1: Procedure For Obtaining Pre-Sentence Reports

§ 1-01 Requests for Records.

The request for such records shall be in writing, indicating the case name and appellate court where pending, submitted by the subject-defendant, counsel on appeal, or the Assistant District Attorney, or by order of the sentencing court or by subpoena and directed to the New York City Department of Probation, Office of the General Counsel, 115 Leonard Street, New York, N.Y. 10013. In order to identify the correct records, the request shall also include the following information:

Defendant’s full name.

NYSIS number.

Indictment or Docket number.

County of conviction.

Sentence received, date and name of judge.

The request should also include whenever possible the following:

Aliases used by defendant.

If sentenced to probation, the county and name of supervising officer.

If sentenced to a term of imprisonment, the name and address of the facility where served and the inmate identification number.

Defendant’s date of birth.

§ 1-02 Production of Records.

(a) Basic procedure. Upon receipt of a proper request, as indicated above, the Department of Probation shall cause three copies of the pre-sentence investigation report to be forwarded to the appropriate appellate court. Said records may then be obtained from the Office of the Clerk of that court. Under no circumstances will the Department of Probation release pre-sentence investigation reports directly to any defendant or attorney. CPL 390.50 provides that probation records are confidential, and are available only for purposes of initial sentencing and upon appeal, and that in those instances "the court shall release" the records.
  1. Time of requests for production. Requests for probation records should be made as far in advance of the date for perfection of the appeal as is possible. Cases which are two or more years old are archived and take a minimum of three to four weeks to locate and forward to the appellate court. Some take longer.
  2. Failure to produce records. It is the responsibility of the requesting party to ascertain whether the probation records have reached the appellate court. No notice will be sent by the Department of Probation. However, if the appellate court indicates that the records have not been received in a reasonable time, further inquiries should be directed either in writing or by telephone to the New York City Department of Probation, Office of the General Counsel, (212) 374-3718, 115 Leonard Street, New York, N.Y. 10013.

Chapter 2: Adjudications

§ 2-01 Fitness and Discipline Adjudications of Department of Probation Em- ployees.

New York City Department of Probation adjudications regarding the fitness and discipline of agency employees will be conducted by the Office of Administrative Trials and Hearings. After conducting an adjudication and analyzing all testimony and other evidence, the hearing officer shall make written proposed findings of fact and recommend decisions, which shall be reviewed and finally determined by the Commissioner of the Department of Probation.

Chapter 3: Fees

§ 3-01 Probation Administrative Fee.

(a) General. Pursuant to § 257-c of the Executive Law and § 9-201 of the Administrative Code of the City of New York, any individual currently serving or who shall be sentenced to a period of probation in New York City upon conviction of any crime under article thirty-one of the Vehicle and Traffic Law shall pay an administrative fee of thirty dollars per month to the New York City Department of Probation.
  1. Collection of the Probation Administrative Fee. The probation administrative fee shall be paid on the first of every month, commencing on November 1, 2010. The fee shall be payable by money order, certified check or cashier’s check made out to the New York City Department of Probation or any electronic, credit card or debit card payment method that the New York City Department of Probation develops the capacity to accept. The probationer shall include his or her case name and case number on the money order or check. The fee shall be sent to:

New York City Department of Probation 33 Beaver Street, 21st Floor New York, New York 10004 Attn: Financial Operations

  1. Enforcement. Failure to pay the probation administrative fee in full, unless the fee has been waived pursuant to subdivision d of this section, shall subject the probationer to collection pursuant to all applicable laws.
  2. Waiver.

   (1) Definitions. As used in this subdivision, the following terms shall have the following meanings:

      Department. “Department” means the Department of Probation.

      Dependent. “Dependent” means a person who resides in the probationer’s household and has any of the following relationships with the probationer:

      (i) Husband, wife, or registered domestic partner;

      (ii) Minor child of the probationer or sibling of the minor child who is also a minor child (including half and step-siblings); or

      (iii) Non-minor child of the probationer or a descendant of such a child, brother or sister of the probationer or his or her descendant, or parent or grandparent of the probationer:

         (A) whose income is less than $3650 and

         (B) with respect to whom the probationer provides over one half of the individual’s support for the calendar year.

      Federal Poverty Guidelines. “Federal Poverty Guidelines” are the annual guidelines prepared by the United States Department of Health and Human Services and published in the Federal Register. The Federal Poverty Guidelines are available at http://aspe.hhs.gov/poverty/. These guidelines are based on household income and number of dependents.

      Income. “Income” means all income before taxes and other deductions. Income shall include but not be limited to wages, salary, tips from work, self-employment income (after business expenses), unemployment compensation, workers’ compensation, Social Security, Supplemental Security Income, public assistance, veterans’ payments, survivor benefits, pension or retirement income, interest, dividends, rents, royalties, income from estates or trusts, alimony, child support, and assistance from outside the household.

      Minor child. “Minor child” is a child who is under eighteen years of age or is under nineteen years of age and attending a secondary school (high school) or an equivalent level of vocational or technical training.

   (2) Eligibility. The Department shall grant a temporary waiver of all of the probation administrative fee when a probationer has provided proof that (i) his or her combined household income is less than 200% of the Federal Poverty Guidelines or (ii) there exist additional financial circumstances that would render the probationer indigent, such that the payment of the administrative fee would work an unreasonable hardship on the probationer, his or her immediate family, or any other person who is dependent on such person for financial support.

   (3) Application.

      (i) A probationer applying for a waiver or the renewal of a waiver shall mail a signed and dated “Request for Temporary Waiver” form, including an explanation of any additional financial circumstances that would render the probationer indigent, to the address below:

New York City Department of Probation 33 Beaver Street, 23rd Floor New York, New York 10004. Attn: “DWI Fee Review Officer”

      (ii) The probationer shall attach proof of income and proof of dependants with the “Request for Temporary Waiver” form.

         (A) Proof of income shall include but not be limited to all of the following documentation that are applicable: income tax returns, paystubs, pay checks, public assistance, Supplementary Security Income, Social Security Disability, unemployment benefits, workers’ compensation, veteran payments, and pension or retirement income.

         (B) Proof of dependents shall include but not be limited to any of the following documentation: birth certificate, letters or certificates of guardianship, marriage certificate, and domestic partner registration certificate.

   (4) Department determinations. The Department shall review the application and determine whether to issue a waiver or to return the application with a request for further documentation. If the Department denies the application for a waiver, written notice shall be mailed or sent electronically to the probationer at the address in the Department’s records informing the probationer of the reasons for denial and of the probationer’s right to appeal the determination in writing within fifteen calendar days of the date of the notice. The commissioner or his or her designee shall review the probationer’s written appeal and shall issue a determination, which shall be final.

   (5) Duration of waiver.

      (i) A waiver shall remain in effect for one year.

      (ii) A probationer who has been granted a waiver shall inform the Department of Probation immediately upon a change of his or her circumstances affecting the probationer’s eligibility for the waiver.

      (iii) The Department may terminate the waiver upon a determination that the probationer is no longer eligible for the waiver. Written notice of the proposed termination shall be mailed or sent electronically to the probationer at the address in the Department’s records and shall inform the probationer of the reasons for the proposed termination and that the probationer has the right to appeal the determination in writing with fifteen calendar days of the date of notice. The commissioner or his or her designee shall review the probationer’s written appeal and shall issue a determination, which shall be final.

      (iv) A probationer may apply to renew a waiver by submitting an application as provided in paragraph 3 of this subdivision.