Introduction

Subsequent to the establishment of a criminal arrest record and the linking of prosecutorial and judicial actions to that arrest on the criminal history database at DCJS, information related to the sentencing of the individual should be added to the criminal history record.

Custodial Facilities

Custodial facilities in New York State include local and state agencies:

• Locally, county jails or correctional departments run by sheriff departments or the county police serve as both holding centers for detained defendants and custodial facilities for defendants sentenced to an incarceration term of up to one year. Town, village, district and city police departments which happen to have holding centers are considered local custodial agencies for detention purposes only.

• The New York State Department of Correctional Services (DOCS) maintains facilities for defendants sentenced to an incarceration term greater than one year.

Once the defendant is sentenced to serve time, the defendant is transferred to a county facility if the sentence is for up to one year, or to a state facility if the sentence is for more than a year.

In order to ascertain that the incarcerated person (inmate) is the same person who was arrested and convicted, it is the responsibility of the local correctional facility to fingerprint the inmate and submit that Institution Admission Fingerprint Card (DCJS-3) to DCJS as required by Corrections Law Section 618 . The taking and submission of an Institution Admission Fingerprint Card (DCJS-3), ensures the incarceration data is associated with the appropriate criminal history record.

DOCS fingerprints inmates upon admission, but does not send DCJS fingerprint images for identification purposes unless the on-line admission transaction sent to the repository is rejected as provided for under Chapter 413 of the Laws of 1993. DCJS uses the fingerprint images to associate the rejected admission transaction to the appropriate criminal history record.

Subsequent reporting of institution release data and parole data is associated with the appropriate event on that history through the inclusion of the key arrest identifiers.

Without the institution admission and release data, the DCJS Criminal History Report (rapsheet) is incomplete, leaving the criminal justice community unsure as to the inmate's status. Arresting agencies, probation departments, prosecutor offices and other criminal justice agencies may not be able to locate individuals currently incarcerated or would not have the incarceration history that might be useful in their investigations.

Probation Supervision

Probation departments provide information to the courts concerning a defendant's background, status in the community, special programs that may be helpful to the defendant and other factors. The departments also collect fine payments, restitution, surcharges and family support allowances involved in the sentencing of the defendants.

The Pre-Sentence Investigation report (PSI) and the Pre-Plea Investigation report (PPI) are some of the reports provided to the court. The PSI and PPI reports, by law, require inclusion of a legal history. A rapsheet is provided upon request to Probation and is used to provide a legal history for report purposes.

Probation departments provide case information either electronically or in hard copy form to the New York State Division of Probation and Correctional Alternatives (DPCA) for entry into the Division's Client Database System (CDS). DPCA then transmits all accepted transmissions with fingerprintable arrest charges to DCJS in an on-line, real-time basis for updating to the criminal history. The successful updating at DCJS is again dependent upon the inclusion of arrest identifiers to link the information to the appropriate arrest.

If an individual's criminal history does not reflect related probation information, either through failure to report or through a lack of key identifiers needed to update a transaction, the impact can be significant. The probation department will not be notified of any subsequent arrests while the individual is under supervision. The rest of the criminal justice community will be unaware of the individual's probation status at various stages of processing subsequent arrests, thus impacting decisions such as release, bail, etc.


Parole and Post-Release Supervision

Within the New York State Division of Parole, the Parole Operations Program, the core of the State parole system, comprises three major areas: preparing inmates for parole; assisting the 19 member Board of Parole in making parole release determinations; and supervising parolees upon release. As a result of changes to the Penal Law by the Sentencing Reform Act of 1995 and Jenna's Law, violent felony offenders will be subject to determinate sentencing and not eligible for early parole release. Those offenders, will, however, be subject to fixed periods of post-release supervision upon their release from prison and monitored by Parole Officers.

Section 259, Subsection 2 of the Executive Law requires the Division of Parole to maintain complete records of every person on parole, conditional release or post-release supervision. The Division is required to obtain and file as soon as practicable, information with regard to each inmate who is received in an institution under the jurisdiction of the Department of Correctional Services. Such information shall include:

• A complete statement of the crime for which the inmate has been sentenced
• The circumstances of such crime
• All pre-sentence memoranda
• The nature of the sentence
• The court in which the offender was sentenced
• The name of the judge and district attorney
• Copies of such probation reports as may have been made and reports as to the inmate`s social, physical, mental and psychiatric condition and history, as well as all reports of parole officers in relation to such persons

These records, which also must include the aliases and photograph of each offender, are made available, as deemed appropriate by the Chairman, for use by the Department of Correctional Services, the Division of Parole, and the Board of Parole. Key identifiers, such as NYSID, Criminal Justice Tracking Number (CJTN) and Arrest Date are essential for reporting to DCJS. The Criminal Justice Tracking Number (CJTN) was previously known as Court Control Number, OBTS Number, or 501 Number.

Section 259-m of the Executive Law authorizes the Governor to enter into a compact on behalf of the state of New York with any state of the United States for the purposes of out-of-state parolee supervision.

Parole information is critical to a complete criminal history, especially upon subsequent arrest of the individual. The agencies involved in processing the later arrest need to be aware of the parole status. In addition, in cases of out-of-state parolee transfers, if the parole information is not available, the other state may not be made aware of the possible violation of parole conditions.

Custodial Facilities and Parole
Fingerprinting a Sentenced Individual
Fingerprinting Interstate Cases
Reporting Release Data to DCJS
Obtaining a Criminal History Report (Rapsheet)
Criminal History Report (Rapsheet) Use
Sharing Documents with Other Agencies

Probation Supervision
Processing Court Requests for Reports
Transferring Probation Supervision
Criminal History Report (Rapsheet) Use
Sharing Documents with Other Agencies
Notification of Fingerprinting Needed

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