Sec. 348.4. Case records

(a) The case record shall include information on all probation services rendered and may be maintained in written and/or electronic format within an automated case management system.

(b) The contents of the case record shall include information and/or documents of:

(1) intake services, where applicable;

(2) pretrial services, where applicable;

(3) pre-dispositional services, where applicable;

(4) voluntary assessment and case planning services, where applicable;

(5) arrest, complaint, appearance ticket, and any other legal information and/or documentation obtained or generated;

(6) any probation investigation and report and related information and/or documents;

(7) all probation supervision-related information and/or documents, including order and conditions, risk and needs assessment(s), applicable interstate/intrastate transfer records, case plan;

(8) any victim impact statement and information, where available;

(9) all correspondence received relating to or associated with the case.

(c) The cumulative case record shall include reasons for the individual’s entry into the probation system, reflect actions taken by the individual and probation officer at critical points, and rationale for all significant decisions made from entry until termination of probation services.

(d) Case records shall be maintained or destroyed in accordance with the Records Retention and Disposition Schedules promulgated by the State Education Department.

(e) Each probation department shall establish an index filing system for all cases which may be established and maintained in an automated system. The minimum data in any file shall include:

(1) individual’s name and date of birth;

(2) identifying case information:

(i) probation, pre-dispositional supervision, or interim probation supervision period;

(ii) court control/criminal justice tracking number;

(iii) New York State identification (NYSID), where applicable;

(iv) social security number, where available;

(3) type of complaint or conviction/adjudication;

(4) court's disposition and date;

(5) discharge date and type of discharge.

(f) The security of case records shall be maintained. Appropriate protections shall be instituted to safeguard records, electronic or otherwise prepared, transmitted, and stored.