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Probation

Probation
Title Major Revision Previous Schedules Schedule Item
Probation department case files


NOTES: Although the records have a less than permanent retention period, the State Archives urges county probation agencies to retain presentence or predisposition investigation reports, quarterly supervision reports, and termination reports permanently. These reports contain information not available elsewhere, have long-term research value, document the local government's role in the probation process, and may possess long-term legal and administrative value as well.

 2020 (♦)
 CO2 431 1123

a: Presentence or predisposition investigation reports; quarterly supervision reports, including initial supervision plan; and termination reports, except for adults and juveniles whose cases were adjusted or diverted by the courts in lieu of adjudication:
RETENTION: 10 years after case closed

b: All case record material, other than presentence investigation reports or predisposition reports, quarterly supervisory reports, and termination reports:
RETENTION: 6 years after case closed

c: All case record material pertaining to adults and juveniles whose cases were adjusted or diverted by the courts in lieu of adjudication or adjudicated outside of court:
RETENTION: 6 years after case closed

d: Routine drug tests results, where results are found to be negative and are not filed as part of the case file:
RETENTION: 5 years

e: Monitoring records for ignition interlock devices, including notification of installation or de-installation of device, emergency notification program communications/notifications, motor vehicle information, monitoring data, and correspondence:
RETENTION: 1 year or once the probation period has ended, whichever is longer
Master summary record

(index) containing summary information on each case:
RETENTION: PERMANENT

 CO2 432 1125
Certificate of relief from disabilities

issued to probationer:
RETENTION: 1 year

 CO2 433 1129
Probation department case assignment register

and related records showing assignment of cases, establishing and reviewing work scheduling and work load:
RETENTION: 1 year after all cases listed are closed

 CO2 434 1130
Restitution and other similar financial records

covering DWI, court, supervision and other fees, including but not limited to payment change order, cash book showing receipts and disbursements of funds, ledger card or book, and records of collection attempts:
RETENTION: 6 years after last payment

 CO2 435 1131
List of persons in arrears in restitution payments:


RETENTION: 6 years after list is issued or last entry, whichever is shorter

 CO2 436 1132
Conditional release case file,

covering inmate in county correctional facility, created pursuant to Article 12, Correction Law:
RETENTION: 6 years after date of most recent entry in record

 CO2 878 1133
Sex-offender records

maintained in addition to those found in client case file, including but not limited to surveys and information received from law enforcement agencies or the State Division of Criminal Justice Services, or downloaded off the Internet; detailed GPS tracking records; daily individual location logs; and non-official copies of offender registration records:
RETENTION: 6 years

 2020 (♦)
 1128
Lists of probationers and other clients,

submitted to and received from New York State Division of Criminal Justice Services, including update and correction records:
RETENTION: 0 after superseded or obsolete

 2020 (♦)
 1127
Probation-related reports, studies or data queries, including their documentation


2020 (♦)
 1126

a: Annual summary reports, including those submitted to the New York State Division of Criminal Justice Services and the county legislative body:
RETENTION: PERMANENT

b: Quarterly and monthly reports submitted to New York State Division of Criminal Justice Services:
RETENTION: 3 years

c: Reports, studies, or queries having legal or fiscal value, such as reports covering personnel resources, reports on socio-economic characteristics of department clients, reports on clients participating in different programs, and assignment and disposition of similar type cases:
RETENTION: 6 years
NOTES: Appraise these records for historical value prior to disposition. Reports and studies analyzing probation department programs and activity may be valuable for long-term planning, analysis of trends in criminal justice, and for historical and other research. Contact the State Archives for additional advice.

d: Reports, studies or queries having no legal or fiscal value, such as daily activity, individual staff assignments, or other routine internal reports:
RETENTION: 0 after no longer needed
Probation client data system

containing electronic information on probationers and other clients

 2020 (♦)
 1124

a: Summary data on any individual contained in or produced by an automated system:
RETENTION: PERMANENT

b: Detailed data on any individual contained in or produced by an automated system, regardless of duplication of information found in individual case file:
RETENTION: 10 years after case closed
NOTES: Although the data covered by part "b" has a less than permanent retention period, the State Archives urges county probation agencies to retain information on presentence or predisposition investigations, quarterly supervision, and termination permanently. This information may not be available elsewhere, and documents the county's role in the probation process and may possess long-term legal and administrative value as well. Maintaining the data electronically may be preferable to maintaining the paper case record materials covered by item no. 1123b.

c: Macros and queries (including the necessary documentation used in report and query generation) used to generate reports and other output from system data:
RETENTION: Retain as long as resulting report or other data output record