Investigation
State law mandates that a Pre-Sentence Investigation (PSI) be prepared at the direction of the Court and submitted prior to sentencing when a defendant has been convicted after trial or plea to a felony or on certain misdemeanors, leading to: a sentence of Probation; a sentence of incarceration for a term longer than 90 days; aggregating consecutive sentences longer than 90 days; and, upon the discretion of the court.  The purpose of the PSI is to aid the Court in reaching an appropriate decision or disposition. To complete the report, the assigned Investigation officer: interviews the defendant and all relevant parties, including victims, (if applicable) to assess the extent of physical, psychological or financial injury.  The Probation Officer reviews and conducts an analysis of the individual’s past and present criminal, social, scholastic, employment, alcohol and/or substance abuse, as well as physical and psychological histories; reviews all relevant court documents; and, conducts address verification, including home visits, if necessary.   After a thorough investigation, the Department provides the judge with a sentence recommendation based on a summary of all pertinent facts gathered.  In addition to aiding the court in sentencing, the PSI forms the basis of information deemed important to the supervision of defendants sentenced to probation supervision.  The PSI is a central document used by State and City Corrections to assess and classify inmates; and, is used as a reference for NYS Parole when conducting parole hearings.  PSIs are transmitted electronically to the Court via the Department’s Reusable Case Management System (RCMS).

Supervision
Upon sentencing, the individual may be placed on probation supervision in conjunction with a period of incarceration (up to 6 months city jail), or, placed on probation supervision in lieu of state imprisonment.  Probation sentences range from one to six years for a misdemeanor or five to ten years for a felony conviction.

Supervision includes referrals to community-based resources for specific treatment needs. The goal is to encourage the probationer to become a law-abiding member of the community by: emphasizing deterrence of future violent behavior; and, reducing victimization by ensuring that the probationer complies with all conditions prescribed by the judge, including restitution to victims, community service and drug treatment.

The Department’s kiosk style supervision reporting stations are available only to a select few probationers who meet certain stringent criteria.

The Department’s supervision model consists of the following levels:

• Special Offender Unit (SOU) - Provides enhanced supervision to probationers at high risk for violent recidivism whose probation case meets any the following criteria: Registered Sex Offender under the Sex Offender Registration Act (SORA); predatory pedophile (under a Youthful Offender adjudication); Kendra’s Law psychiatric case; Child Abuse; domestic violence history; major drug dealer or gang involvement; high profile; offenders with three (3) or more arrests occurring in the year or three (3) or more open arrests; non-registered sex offenders; conviction for Criminal Possession of a Weapon in the third degree under the Gun Offender Registration Act (GORA) or, confidential informant probationers: those known to both State and Federal Witness Protection programs.
• High Risk (HR) – Provides enhanced supervision to those probationers at a high risk of recidivism based on scores tabulated using the Department’s risk assessment instrument; the score for each probationer includes elements based on age, type of crime and criminal history, or re-arrest. 
• Reporting – Monitors probationers not considered a high risk to commit violent crimes or probationers in good standing who have been transferred from a special offender or high risk unit after successfully completing specific supervision requirements.  Probationers in Reporting become eligible to report to kiosks, once certain stringent eligibility requirements are first met.
• Intensive Supervision Program (ISP) – Provides intensive supervision as an alternative to incarceration to convicted felony offenders who would otherwise receive a term of imprisonment.  Probationers in ISP are specifically assigned by the judge to this form of supervision and can be assigned to the program for up to 18 months.
• Central Interstate Unit (CIU) – The purpose of the Central Interstate Unit is to maintain and process incoming and outgoing interstate and intrastate cases at a Central location (Manhattan).  CIU is the Department’s central Interstate Compact designee and liaison with the NYS Interstate Commission for Adult Offender Supervision (ICAOS) Compact administrator.
• Sex Offender Containment Model – NYC Department of Probation adopted this nationally recognized treatment model, which utilizes a cognitive behavioral approach to supervising all eligible registered adult felony sex offenders.  This form of treatment with probation supervision holds sex offenders accountable for their actions by allowing the Department to respond immediately to any failure to comply with the conditions of probation or treatment program(s).  The goal of the program is to reduce recidivism and victimization through stringent supervision of the sex offender, who are the most difficult of the Department’s adult offender population due to the violent nature of the committed offense and the harm and fear generated in the victims and society as a whole. 

Juvenile Services Summary
The Department of Probation is committed to promoting public safety by reducing activity among juveniles. We do this through the identification, assessment, and addressing of individual needs that contribute to criminality by interrupting cycles of dysfunctional behavior while supporting positive attempts to achieve rehabilitation. In conjunction with schools, community-based organizations, and others within the justice system, we work with children and their families to advance law-abiding behavior in an atmosphere that encourages responsibility.

Intake
Probation Intake is the first step in the juvenile delinquency post-arrest process. Juveniles are persons between 7 and 16 years of age. The intake officer interviews all concerned parties, including the arresting officer and the complainant, and the parents or guardians of the juvenile, as well as, the juvenile to determine whether the case is to be referred for formal court proceedings or help open for adjustment services. If the decision is made to refer to court, the matter proceeds to the office of the Corporation Counsel, the city’s presentment agency. If the case is diverted from court, it is held open for adjustment services and monitored by Probation for up to four months.

Investigations
After a finding of criminal responsibility has been made, and, if ordered by the court, the department will conduct investigations to assist the court in making the best decision. Family Court Investigation and Reports (I&Rs) generally focus on the needs, strengths and behavior of the juvenile and the functioning of the family. This is accomplished through interviews with all parties involved in the case; in some instances, home visits and visits to the child's school as well as an evaluation of his/her physical and mental health as well as reports from service providers involved with the youth and/or family. A recommendation is then made balancing the best interest of the child and the safety of the community. In some cases, placement of the child is recommended.

The department also completes investigations relating to custody, visitation, family offense and adoption issues to assist the Family Court in making appropriate determinations in these complex and sensitive matters.

Supervision
Juvenile delinquents can be placed under the supervision of Probation for up to two years. The youth is assigned to a Probation Officer who sets up a reporting schedule and a treatment plan based on the needs of the youth and his or her family. Probation Officers can refer a youngster to a community-based treatment provider and are also responsible for monitoring the probationer's adjustment at home, at school and in the community to ensure compliance with the conditions of probation. Home visits are a staple component of juvenile supervision. When necessary, a violation of probation is filed and the youth is returned to the courts.