(b) Pre-diversion services: where pre-diversion services are provided in lieu of initiating preliminary procedure, it is not necessary to open an individual case file. However, at minimum a record of the following information shall be maintained:

1. (1) youth name and date of birth;
2. (2) date(s) of receipt of the complaint(s);
3. (3) description of the pre-diversion services either referred to or directly provided, and any information regarding outcome(s).

(c) Preliminary procedure: where preliminary procedure was commenced, probation case records shall include the following, where applicable:

1. (1) documents:

   1. (i) copy of the complaint;
   2. (ii) copy of letter to complainant advising of the initiation of diversion services;
   3. (iii) all assessment and reassessments;
   4. (iv) the initial case plan, and case plan updates that flow from the reassessments;
   5. (v) a brief closing summary of progress toward achieving case plan goals;
   6. (vi) copy of written notices to the complainant regarding the case closing and whether the complaint has been successfully resolved;
   7. (vii) documentation of notification to the parent(s) or other person(s) legally responsible for his/her care of the potential respondent regarding: the case closing; whether the complaint has been successfully resolved; and if there is any bar to petition by the parent(s) or other person(s) legally responsible for his/her care; and
   8. (viii) copy of the petition report in all cases where a petition is filed with the court.

2. (2) other required case record information:

   1. (i) date(s) of receipt of the complaint(s);
   2. (ii) date(s) of conference(s) with the youth, parent(s) or other person(s) legally responsible for his/her care and complainant;
   3. (iii) documentation that the youth and parent(s) or other person(s) legally responsible for his/her care were advised of their rights related to the diversion process;
   4. (iv) parent or other person(s) legally responsible for his/her care and youth acknowledgment of participation in diversion services;
   5. (v) summary of the reasons for any delay in developing an initial case plan;
   6. (vi) date(s) of any referral(s) for specialized assessment and treatment (i.e., educational, mental health, substance abuse, sexual victimization, or sexualized acting out behaviors);
   7. (vii) documentation of services provided in accordance with the assessment and reassessment;
   8. (viii) dates and types of contacts and any significant information, events, or actions taken; and/or
   9. (ix) date of case closing.