NON-

INSTITUTIONAL
CORRECTION

GRAY, MAY
ANGELA L.

0
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CCJE Department

MODULE II
PROBATION

Overview

This module is intended to be a resource for defendants, judges, probation

officers, prosecutors, defense attorneys, and other criminal justice practitioners. It may
help provide notice to defendants of the conditions of supervision that may be imposed;
help ensure that condition language is clear and legally sound; and assist the courts
and parties in recommending or imposing conditions that are narrowly and individually
tailored to address the relevant statutory factors.

Objectives

Lesson Outcomes:
At the end of every lesson, you should be able to:
1. Define probation.
2. Explain the basic precepts and concepts on probation.
3. Determine the different pioneers in the field of probation.
4. Know the different events in the history of probation.
5. Familiarize the different laws regarding probation.
.

Learning Activities

Lesson 1. Defined Probation

Probation as a term was derived from the Latin verb "probare" which mean to
prove or to test, which was coined by John Augustus. The law defined probation as a
disposition, under which a convicted individual is released subject to the conditions
imposed by the Court and to the supervision of a probation officer.

Basic Precepts and Concepts on Probation

1. As a system of instruction - The probationer will be placed under the
supervision of probation officer who shall be directly in charge of supervising and
monitoring the progress of the rehabilitation program based on the conditions
imposed by the court. Such control of the court shall be considered continuing in
character until such time that the court orders the discharge from probation of the
convict.
2. Suspended Imposition of Sentence - Probation consists of the conditional
suspension of the execution of sentence while the convict is placed under
supervision and is given individual guidance and treatment programs.
3. Provision for Individualize Treatment Program - The basic purpose for
probation is to provide an individualized treatment program offering a first time or
unhardened convict as an opportunity to be rehabilitated without institutional
confinement or imprisonment, under the tutelage of a probation officer and under
the continuing power of the court to impose institutional punishment for his
original offense in the event that he abuse such opportunity, and courts have a
wide discretion to accomplish such intent.

Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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CCJE Department

Predecessors of Probation
1. Money Compensation - which is a precursor of our use of fines and restitution
today, introduced by the Laws of Babylon, Greece and Rome, for those crimes
which did not affect the safety of the state. Slaves having nothing of value to offer
as compensation received unmitigated cruel punishments.
2. Cities of Refuge - sanctuaries where the accused was safe pending an
investigation of his criminal responsibility, introduced by the Jewish law for those
who killed without premeditation. The Jews also gives some consideration for the
individual in lesser penalties for impulsive offenses than for planned murder.
3. Benefit of the Clergy - seems to be the earliest device for softening brutal
severity of punishment. Dating back to reign of Henry Il in the 13th century, it
originated in a compromise with the Church which had maintained that a member
of the clergy brought to trial by a King's Court might be claimed from that
jurisdiction by the bishop or chaplain representing him, on the ground that he, the
prisoner, was subject to authority of the ecclesiastic courts only.
Note: The benefit resulting from this compromise which maintained jurisdiction in the
King's Court was greater leniency in sentencing, and particularly escapes from death
penalty.
4. Judicial Reprieve - a temporary withholding of sentence, practiced by the
English Court in the early 17th century, where they grant reprieves to prisoners
under sentence of death on condition that they accept deportation/transportation.
5. Banishment - any description of the treatment of crime in England must include
the system of transportation to her colonies, which grew from the ancient practice
of banishment and flourished for more than 200 years as a principal method of
disposing of offenders.
6. Recognizance - the direct ancestor of probation, means "binding over for good
behavior." An ancient practice developed also in England in the 14th century,
originated as a measure of preventive justice, involving an obligation or promise,
sworn to under court order by a person not yet convicted.
Note: Sureties or bail were usually required and the person who stood surety had the
power and the duty to enforce the conditions and return the offender to court if he
committed an offense during the specified period or failed to comply with other
conditions of his release.

Evolution of Probation
 Harsh punishments were imposed on adults and children alike for offenses that
were not always of a serious nature during the Middle Ages. Sentences such as
branding, flogging, mutilation, and execution were common. During the time Of
King Henry VIII, for instance, no less than 200 crimes were punishable by death,
many of which were minor offenses.
 This harshness eventually led to discontent in certain progressive segments of
English society that were concerned with the evolution of the justice system.
Slowly but resolutely, in an effort to mitigate these inhumane punishments, a
variety of measures were devised and adopted. Royal pardons could be
purchased by the accused; activist judges could refrain from applying statuses or
opt for a lenient interpretation of them; stolen property could be devalued by the
court so that offenders could be charged with a lesser crime. Also, methods such
as benefit of clergy, judicial reprieve, sanctuary, and abjuration offered offenders
a degree of protection from the enactment of harsh sentences.
 Eventually, the courts began the practice of "binding over for good behavior," a
form of temporary release during which offenders could take measures to secure
pardons or lesser sentences. Controversially, certain courts began suspending
sentences.
 In the United States, particularly in Massachusetts, different practices were being
developed. "Security for good behavior” also known as "good aberrance," was
much like modem bail: the accused paid a fee as collateral for good behavior.
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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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CCJE Department

Filing was also practiced in cases that did not demand an immediate sentence.
Using this procedure, indictments were "laid on file" or held in abeyance. To
mitigate unreasonable mandatory penalties, judges often granted a motion to
quash based upon minor technicalities or errors in the proceedings. Although
these American practices precursors to probation, it is the early use of
recognizance and suspended sentence that are directly related to modern
probation.

Pioneers in the field of Probation

Two main individuals closely associated for the establishment of Probation
1. Matthew Davenport Hill, an 18th-century English barrister and judge; and
2. John Augustus, a 19th-century Boston boot-maker.

 Matthew Davenport Hill (1792-1872)

- Father of Probation in England
- English lawyer and penologist
- Born on the 6th of August 1792, at Birmingham
- As a young professional in England, Hill had witnessed the sentencing of youthful
offenders to one-day terms, on the condition that they will be returned to a parent
or guardian who would closely supervise them.
- When he eventually became the Recorder of Birmingham, a judicial post, he
used a similar practice for individuals who did not seem hopelessly corrupt. If
offenders demonstrated a promise for rehabilitation, they were placed in the
hands of generous guardians who willingly took charge of them.
- Hill had police officers pay periodic visits to these guardians in an effort to track
the offender's progress and keep a running account.

 John Augustus (1785- 1859)

- Father of Probation
- Augustus was born in Woburn, Massachusetts in 1785.
- Recognized as the first true probation officer.
- By 1829, he was a permanent resident of Boston and the owner of a successful
boot-making business.
- It was undoubtedly his membership in the Washington Total Abstinence Society
that led him to the Boston courts. Washingtonians abstained from alcohol
themselves and were convinced that abusers of alcohol could be rehabilitated
through understanding, kindness, and sustained moral suasion, rather than
through conviction and jail sentences.
- In 1841, John Augustus attended police court to bail out a "common drunkard,"
the first probationer. The offender was ordered to appear in court three weeks
later for sentencing. He returned to court a sober man, accompanied by
Augustus. To the astonishment of all in attendance, his appearance and
demeanor had dramatically changed.
- Augustus thus began an 18-year career as a volunteer probation officer. Not
all of the offenders helped by Augustus were alcohol abusers, nor were all
prospective probationers taken under his wing. Close attention was paid to
evaluating whether or not a candidate would likely prove to be a successful
subject for probation. The offender's character, age, and the people, places, and
things apt to influence him or her were all considered.
- Augustus was subsequently credited with founding the investigations
process, one of three main concepts of modern probation, the other two
being intake and supervision. Augustus, who kept detailed notes on his activities,
was also the first to apply the term "probation" to his method of treating
offenders.
- By 1858, John Augustus had provided bail for 1,946 men and women.
Reportedly, only ten of this number forfeited their bond, a remarkable
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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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CCJE Department

accomplishment when measured against any standard. His reformer's zeal and
dogged persistence won him the opposition of certain segments of Boston
society as well as the devotion and aid of many Boston philanthropists and
organizations.
- The first probation statute, enacted in Massachusetts after this death in 1859,
was widely attributed to his efforts.

Following the passage of that first statute, probation spread gradually throughout the
United States. The juvenile court movement contributed greatly to the development of
probation as a legally recognized method of dealing with offenders. The first juvenile
court was established in Chicago in 1899. Formalization of the intake process is
credited to the founders of the Illinois juvenile court. Soon after, thirty states introduced
probation as a part of the juvenile court procedure. Today, all states offer both juvenile
and adult probation.

Other Important Persons and Events in the History of Probation

 Governor Alexander H. Rice (1818- 1895)
- 30th Governor of Massachusetts
Gov. Alexander H. Rice signed the first probation law that was passed by the
legislature of Massachusetts on April 26, 1878. The law provided for the appointment
and prescribed the duties of a salaried probation officer for the courts of Suffolk
Country.
Note: The first practical demonstration of probation, the first use of term as a court
service, and enactment of the first probation law occurred in Massachusetts.
 Edward H. Savage - an ex-chief of Police Boston named as the first probation
officer.
 Gardner Tufts (1880) - Director of Massachusetts Board of State Charities and
Corrections, reported in an address that the result of probation in cases of
juvenile offenders proved so decisively good that the legislature authorize the
City of Boston to appoint a probation officer for adults at the session of the
legislature of the present year, a statute was enacted permitting the appointment
of a probation officer for adult offenders in every city and town in the state.
 Vermont Act of 1898 — second law on probation law in the history was enacted
in Vermont. Many features of the Massachusetts law were incorporated with
several innovations. Vermont was the first to adopt the county plan. Each county
court was required to appoint a probation officer whose duty it was to make
investigation of accused persons at the request of any court. They are authorized
to recommend that such persons, if convicted, be placed on probation.
All courts were permitted to use probation in any case regardless of age or offense,
after conviction and imposition of sentence, for such time and upon such conditions as it
may prescribe. Thus, Vermont unlike Massachusetts provided for probation only after
suspension of sentence.
An important provision was added that the compensation of each probation officer
shall be determined by the court that appointed him, and shall be paid from the state
treasury on vouchers approved by the said court. An unusually liberal provision, quite
the opposite of the requirement in Massachusetts and other states that the probationers
must pay trial costs, permitted the officer to spend for their temporary support and
travelling expenses. Such reasonable sum as the court may deem expedient to be
repaid to the officer out of the state treasury on vouchers approved by the court.
 In 1899, Rhode Island - The third state that passed probation law. A completely
state-administered system appeared first in Rhode Island. The Act of 1899
empowered the Board of State Charities and Corrections to appoint a state
probation officer and additional probation officers, "at least one of whom be a
woman", to serve all courts in the state. The courts were authorized at any time
before sentence to provisionally place any offender, juvenile or adult, who can
lawfully be admitted to bail, except persons charged with treason, murder,
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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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CCJE Department

robbery, rape, arson or burglary, under the control and supervision of a probation
officer.
 New Jersey - The fourth state to pass a general probation law after the New
England model in 1900.
 New York - The fifth to provide for adult probation.
 In 1900 - soon after his appointment as secretary of the Prison Association of
New York, Sammuel June Barrows began to campaign for a probation law. His
interest stemmed from his work in Boston where he had seen the effect of
probation law. A Unitarian minister and editor of the Christian Register, he
became in 1889, one of the founders of the Massachusetts Prison Association,
which took an active part in extending probation in that state. A practical
humanitarian, he thought it a great pity to send so many persons found guilty of
crime to prison.
Notes: The British Probation of First Offender Act of 1887 and Missouri parole/
Probation Law of 1897 are not considered as probation laws. The reason for this is that
the no provision in the above stated laws that provides for supervision of offenders upon
their release for the said privileges.
 Calvin Coolidge (1872-1933)
- 30th U.S. President
- United States of America President who signed the Federal Probation Act which is
effective on March 4, 1925
 John Marshall (1801-1835)
- US Chief Justice
- United States Chief Justice who used his discretion in modifying the prescribed
penalties and gradually developed more humane methods of dealing with
violators of law.

History of Probation in the Philippines

1. Probation was first introduced in the Philippines during the American colonial
period (1898-1945) with the enactment of Act No. 4221 of the Philippine
Legislature on August 7. 1935. This law created a Probation Office under of
Justice.
2. On November 16, 1937, after barely two years of existence, the Supreme Court
of the Philippines declared the Probation Law unconstitutional because of some
defects in the laws of procedural framework.
 Teodulo Natividad
- Father of Probation in the Philippines
3. In 1972, House Bill No. 393 was filed in Congress by Congressman Teodulo
Natividad (considered as the father of Probation in the Philippines) of Bulacan,
which would establish a probation system in the Philippines. This bill avoided the
objectionable features of Act 4221 that struck down the 1935 law as
unconstitutional. The bill was passed by the House of Representatives, but was
pending in the Senate when Martial Law was declared and Congress was
abolished.
4. In 1975, after 18 technical hearings over a period of six months, the draft decree
was presented to a selected group of 369 jurists, penologists, civic leaders and
social and behavioral scientists and practitioners sponsored by the National
Police Commission and University of the Philippines Law Center. The group
overwhelmingly endorsed the establishment of an Adult Probation System in the
country.
 Ferdinand E. Marcos (1917-1989)
5. On July 24, 1976, Presidential Decree No. 968, also known as Adult Probation
Law of 1976, was signed into Law by the late President Ferdinand E. Marcos.
6. The start-up of the probation system in 1976-1977 was a massive undertaking
during which all judges and prosecutors nationwide were trained in probation
methods and procedures; administrative and procedural manuals were
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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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CCJE Department

developed; probation officers recruited and trained, and the central agency and
probation field offices organized throughout the country. Fifteen selected
probation officers were sent to United States for orientation and training in
probation administration. Upon their return, they were assigned to be trainers for
the newly recruited probation officers.
7. The probation system started to operate on January 3, 1978. As more probation
officers were recruited and trained, more field offices were opened.

Lesson 2. Probation Law of the Philippines

PHILIPPINE PROBATION LAW

(PD 968, July 24, 1976, As Amended by RA 10707)
On July 24, 1976, Presidential Decree No. 968 was promulgated. This law
applies to adult convicts and first time minor drug offenders by virtue of RA 9165
particularly Section 70, the law which is more popularly known as the Comprehensive
Dangerous Drugs Act of 2002, and child in conflict with the law (CICL) under Section 42
of RA 9344 or the Juvenile Justice and Welfare Act of 2006.
However, PD 968 was subjected to amendment of other statutes these
amendatory laws are as follows:
1. Presidential Decree No 1257 — effective upon issuance on December 1, 1977
amending Sections 4, 7 paragraph (1), 15, and 33 of PD 968;
2. Batas Pambansa Blg. 76 — effective upon approval by the President on June 13,
1980 amending Section 9 of PD 968;
3. Presidential Decree No. 1990 — promulgated on October 5, 1985 and took effect
on January 15, 1986, after 15 days from the date of its publication in the Official
Gazette (December 30, 1985). This law amended Sections 4 and 9 of PD 968;
4. Republic Act No. 10707, An Act Amending Presidential Decree No. 968, as
Amended — This Act which is a consolidation of Senate Bill No. 2280 and House
Bill No. 4147 was passed by the Senate and the House of Representatives on
September 15, 2015 and September 14, 2015, respectively. It is approved on
November 26, 2015 by President Benigno S. Aquino Ill
5. Republic Act No. 9344 or the Juvenile Justice and Welfare Act of 2006 —
amended Section 4 of PD 968 to read as follows:
"Section 42. Probation as an Alternative to Imprisonment — The court may, after it
shall have convicted and sentence a child in conflict with the law, and upon application
at any time, place the child on probation in lieu of service of her/ his sentence taking into
account the best interest of the child. For this purpose, Section 4 of Presidential Decree
No. 968, otherwise known as the "Probation Law of 1976," is hereby amended
accordingly."

Other laws prescribing disqualifications for Probation:

6. Omnibus Election Code of the Philippines (Batas Pambansa Blg.881)
disqualification for probation even the penalty of imprisonment is within the
coverage of PD No. 968.
“Section 264. Penalties - Any person found guilty of any election offense
under this Code shall be punished with imprisonment of not less than one year
but not more than six years and shall not be subject to probation.”
7. Wage Rationalization Act (Republic Act No. 6727)
“Section 12. Any person, corporation, trust, firm, partnership, association
or entity which refuses or fails to pay any of the prescribed increase or
adjustments in the wage rates made in accordance with this Act shall be
punished by a fine not less than twenty five thousand pesos(25,000) nor more
than one hundred thousand pesos (P100, 000) or imprisonment of not less than
two years nor more than four years, or both such fine and imprisonment at the
discretion of the court: Provided, that any person convicted under this Act shall
not be entitled to the benefits provided for under the Probation Law”
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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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CCJE Department

8. Comprehensive Dangerous Drugs Act of 2002 (RA 9165)

"Section 24. Non-Applicability of the Probation Law for Drug Traffickers
and Pushers — Any person convicted for drug Trafficking and pushing under this
Act, regardless of the penalty imposed by the Court, cannot avail of the privilege
granted by the Probation Law or Presidential decree No. 968, as amended. "

However, Sections 57 and 70 of RA 9165 requires the applicability of the

Probation Law
9. Probation and Community Service Under the Voluntary Submission Program
"Section 57. Probation and Community Service under the Voluntary
Submission Program — A drug dependent who is discharged as rehabilitated by
the DOH-accredited Center through the voluntary submission program, but does
not qualify for exemption from criminal liability under Section 55 of this Act, may
be charged under the provisions of this Act, but shall be placed on probation and
undergo a community service in lieu of imprisonment and/or fine in the discretion
of the court, without prejudice to the outcome of any pending case filed in court.
Such drug dependent shall undergo community service as part of his/her
after-care and follow-up program, which may be done in coordination with non-
governmental civic organizations accredited by the DSWD, with the
recommendation of the Board.”
10. Probation or Community Service for a First-Time Minor Offender in lieu of
Imprisonment.
“Section 70. Probation or Community Service for a First-Time Minor
Offender in lieu of lmprisonment - Upon promulgation of the sentence, the court
may, in its discretion, place the accused under probation, even if the sentence
provided under this Act is higher than that provided under existing law on
probation, or impose community service m lieu of imprisonment. In case of
probation, the supervision and rehabilitative surveillance shall be undertaken by
the Board through the DOH in coordination with the Board of Pardons and Parole
and the Probation Administration. Upon compliance with the conditions of the
probation, the Board shall submit a written report to the court recommending
termination of probation and a final discharge of the probationer, whereupon the
court shall issue such an order.
The community service shall be complied with under conditions time and
place as may be determined by the court in its discretion and upon the
recommendation of the Board and shall apply only to violators of Section 15 of
this Act. The completion of the community service shall be under the supervision
and rehabilitative surveillance of the Board during the period required by the
court. Thereafter, the Board shall render a report on the manner of compliance of
said community service. The court in its discretion may require extension of
community service or order a final discharge.
In both cases, the judicial records shall be covered by the provisions of
Section 60 and 64 of this Act.
If the sentence promulgated by the court requires imprisonment, the
period spent in the Center by the accused during the suspended sentence period
shall be deducted from the sentence to be served.”

Implied applicability of the Probation Law

11. Optical Media Act of 2003 (RA 9239) repealed PD 1987 or An Act Creating the
Videogram Regulatory Board.
There is an express provision under PD 1987 that the Probation Law shall
not apply in cases of its violations. However under RA 9239, there is no longer a
provision that clearly excludes the application of the Probation Law in case of its
violations. Hence, since the latter law is more favorable to the convict and
applying the purpose and intention of the Probation Law, persons who are
convicted for violating this law shall be allow to be placed on probation.
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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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CCJE Department

The Purposes of the Philippine Probation Law:

1. Promote the correction and rehabilitation by providing the offender with
individualized treatment;
2. Provide an opportunity for the reformation of an offender which might be less
probable if he were to serve a prison sentence; and
3. Prevent the commission of offenses (Section 2, PD 968)

Other purposes:
1. To establish a more enlightened and humane correctional systems that will

the reformation of offenders and thereby reduce the incidence of recidivism, and
2. To avoid confinement of all offenders in prisons and other institutions for
rehabilitation that surely constitutes an onerous drain on the financial resources
of the government.
Notes:
 As an individualize and community-based treatment - Probation created a
relationship between the probationer and a probation officer, the latter exercising
supervision over the former. This relationship assumes the willingness of the
probationer to be placed on probation.
 Probation supervision implies a systematic guidance and assistance of the
probation officer for personalized treatment for the probationer. This constitutes
the probationary treatment. A community-based treatment underlines the goal of
re-integrating the probationer into the mainstream of society. Hence, community
involvement and support are important for the development, recreation,
education and other treatment and prevention programs aimed at reducing the
alienation of the probationer from the community.
 As an opportunity for reformation Section 2 (b) expresses the concept of
probation as an opportunity for reformation. The basis for such assertion is the
idea that probation is a humane correctional treatment of offenders. Inherently,
the concept recognizes the lesser probability of reformation if a duly convicted
and sentenced offender is incarcerated thereby directly causing disruption of his
normal family and social relationships. The opportunity to reform and assume a
normal life is greatly enhanced when the offender is released, after conviction
and sentence, to the custodial supervision of a probation officer. At this juncture,
it must be noted that only offenders who are likely to respond to individualized
and community-based treatment programs can avail of probation. It is the
ultimate goal of probation that probationers be productive members of the society
thereby assuming family as well as community responsibilities.
 To prevent the commission of offense - Probation is an alternative to
incarceration. It represents an enlightened and humane correction system.
Recognizing the likelihood that crime is an outgrowth of a situation such as family
problem or unemployment or the likelihood that the crime is significantly related
to other condition such as when the offender is suffering from a mental illness or
psychological abnormality. Probation seeks to correct archaic belief that
incarceration deters commission of crimes. The means to achieve such is
through individualized and community-based treatment. Moreover, long term
imprisonment tends to erode the offender's capacity for responsibility and
capability to assume a respectable social life. The objective of probation
therefore, is for the protection and welfare of the society through prevention of
the commission of the crime.

Advantages of Probation
1. It prevents crime by giving freedom and rehabilitation only to those convict who
are not likely to re-commit violation of penal laws.

Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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CCJE Department

2. It protects the society by placing the probationer under supervision of probation

officer.
3. It conforms to the concept of restorative justice.
4. It gives another chance in life and provides opportunity to be rehabilitated to the
penitent convict.
5. It prevents first time convict to become hardened criminal.
6. More economical or less costly on the part of the government.
7. Provides solution of overcrowded jail and prison facilities.
8. It restores successful probationers his civil rights.
9. It makes the probationer a taxpayer instead of tax eater.

Statutory Attributes of Philippine Probation System:

The probation system established in the Philippines has at least three important
characteristics that make it different from other probation systems of other jurisdictions.
1. It is a "once in a lifetime affair, meaning that a convicted person can only avail
the privilege of a probation once in his lifetime. If he is convicted again, such
person can no longer avail himself of another probation. However, in Western
countries, a person can avail of probation as many times as he is convicted of
violating penal laws.
2. Selective application. Probation is made available only to those convicted of
certain crimes. Crimes against national security, like treason and espionage are
excluded. Those who are sentenced to prison terms of more than six years are
also excluded from the probation privilege.
3. Persons under probation retain their civil rights, like the right to vote, or
practice one's profession, or exercise parental or marital authority. In most
Western countries, in order that a person who had undergone probation may be
restored his civil rights, he must initiate separate court proceedings. It is relevant
to notice that Presidential Decree No. 968 is a legal framework which will serve
as basis for the implementation of the probation system in the country.
4. The suspension of the execution of sentence is conditional, violations of any
of the condition may cause revocation of the privilege.
5. Conditions of probation to be imposed by the court to protect public safety
and to foster the rehabilitation and reformation of the probationer.
6. Jurisdiction of the court is continuing in character.
7. Post Sentence Investigation Report is mandatory, which will serve as
informational guide for the court's decision in granting or denying the same.
8. Supervision, guidance and assistance by the Probation Officer over the
probationer.

Basic Guidelines for Probation Application

 Application for probation shall be filed with the trial court, which has jurisdiction
over the case. Such court is the very same court that heard, tried, decided and
imposed penalty against the convicted person.
Note: There is no other court that can exercise jurisdiction regarding the probation
application, except for the trial court which previously exercised jurisdiction over the
criminal offense.
 The filing of an application for probation is jurisdictional. The time of filing shall be
within the period for perfecting an appeal. Under the Revised Rules of Court the
period of perfecting an appeal is fifteen (15) days.
 The application shall be in the form approved by the Secretary of Justice as
recommended by the PPA Administrator.
 The trial court may notify the concerned prosecuting officer of the filing of the
applicant at a reasonable time it deems necessary, before the schedule hearing
thereof.

Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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CCJE Department

 The prosecuting officer may submit his comment, if any, on the application within
reasonable time given to him by the trial court from his receipt of the notice for
him to comment.
 If the trial court finds that the application is due in form and the applicant appears
to be qualified for the grant of probation, it shall order the city or provincial Parole
and Probation office to conduct a post-sentence investigation and submit the
same within 60 days from receipt of the order of said court to conduct the
investigation.
 The court has five (5) days from the time the court received the post-sentence
investigation report to resolve the application.

Consequences of Filing of Application for Probation

 The trial court, upon receipt of the application filed, suspend the execution of the
sentence imposed on the judgment.
 Pending submission of the post-sentence investigation and resolution on the
application, the applicant may be allowed on temporary liberty under his bail filed
in the criminal case.
 Where no bail is filed or applicant is incapable of filing one, the trial court may
allow the release of the applicant on recognizance.
Note: Recognizance is a mode of securing the release of any person in custody or
detention for the commission of an offense who is unable to post bail due to abject
poverty. The court where the case of to the custody of a qualified member of the
barangay, city or municipality where the accused resides (Section 3 of RA 10389)
Post-sentence Investigation (PSI) - No person shall be placed on probation except upon
pnor investigation by the probation officer and a determination by the court that the ends
of justice and the best interest of the public as well as that of the applicant for probation
will be served thereby.
Note:
• Post Sentence Investigation is mandatory it is a pre-requisite in granting probation.
The court has no jurisdiction to render decision whether to grant or deny the application
in the absence of PSI.
Period for Submission of Investigation Report - The probation officer shall submit to the
court the investigation report on a defendant not later than sixty days from receipt of the
order of said court to conduct the investigation. The court shall resolve the petition for
probation not later than five (5) days after receipt of said report.

Pending submission of the investigation report and the resolution of the petition, the
defendant may be allowed on temporary liberty under his bail filed in the criminal case;
Provided, That, in case where no bail was filed or that the defendant is incapable of
filing one, the court may allow the release of the defendant on recognize the custody of
a responsible member of the community who shall guarantee his appearance whenever
required by the court.

Purpose of Post Sentence Investigation Report

To an able the trial court to determine whether or not the ends of jusuce and the best
interest of the public primarily, as well as that of the applicant, would be served by the
grant or denial of the application.
Notes:
 Within 60 days from receipt of the order of the Court - Probation officer shall
conduct Post Sentence Investigation.
 Within 5 days from receipt of the Post Sentence Investigation Report - The court
shall resolve the petition for probation.
 Bail may be allowed during the pendency of the investigation or pending
resolution for probation.
 No need to post additional bail, the same bail posted for criminal case may be
used.
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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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 Recognizance may be allowed when the applicant for probation is incapable to

post bail. Rule on Bail under the Revised Rules on Criminal procedure is
applicable.

Nature and Character of Post-Sentence Investigation Report

It is a recommendatory in nature and persuasive in character addressed to the sound
discretion of the trial court considering that the denial or grant of probation is a judicial
function.

Full Blown Courtesy Investigation (FBCI)

Is a general courtesy investigation from another city or provincial parole and probation
office, which request for a complete PSIR on a petition for probation pending referral
investigation in the Probation Office of origin.

When FBCI shall takes place:

1. Applicant for probation is a transient offender in the place of commission of the
crime and/or a permanent resident of another place.
2. He spent his pre-adolescent and/or adolescent life in the province or city of origin
3. He attended and/or finished his education thereat.
4. His immediate family members, collateral informants or disinterested persons
and officials who can best authenticate the inter-family relationship, upbringing,
behavior of the applicant for probation in the community are residents of the
place of his origin

Grant of Probation (Section 4 of PD 968 as amended by RA 10707)

"Subject to the provisions of this Decree, the trial court may, after it shall have
convicted and sentenced a defendant for a probationable penalty and upon application
by said defendant within the period for perfecting an appeal, suspend the execution of
the sentence and place the defendant on probation for such period and upon such
terms and conditions as it may deem best. No application for probation shall be
entertained or granted if the defendant has perfected the appeal from the judgment of
conviction: Provided, That when a judgment of conviction imposing a non-probationable
penalty is appealed or reviewed, and such judgment is modified through the imposition
of a probationable penalty, the defendant shall be allowed to apply for probation based
on the modified decision before such decision becomes final. The application for
probation based on the modified decision shall be filed in the trial court where the
judgment of conviction imposing a non-probationable penalty was rendered, or in the
trial court where such case has since been re-raffled. In a case involving several
defendants where some have taken further appeal, the other defendants may apply for
probation by submitting a written application and attaching thereto a certified true copy
of the judgment of conviction.
"The trial court shall, upon receipt of the application filed, suspend the execution
of the sentence imposed in the judgment.
"This notwithstanding, the accused shall lose the benefit of probation should he
seek a review of the modified decision which already imposes a probationable penalty.
"Probation may be granted whether the sentence imposes a term of
imprisonment or fine only. The filing of the application shall be deemed a waiver of the
right to appeal.
“An order granting or denying probation shall not be appealable.”
Notes:
 As a general rule, No application for probation shall be entertained or granted if
the defendant has perfected the appeal from the judgment of conviction such
appeal will serve as a disqualification for probation.
 Exception to general rule is that, when a judgment of conviction imposing a
non-probationable penalty is appealed or reviewed, and such judgment is
modified through the imposition of a probationable penalty, the defendant shall
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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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be allowed to apply for probation based on the modified decision before such
decision becomes final. The application for probation based on the modified
decision shall be filed in the trial court where the judgment of conviction imposing
a non-probationable penalty was rendered, or in the trial court where such case
has since been re-raffed (Section I of RA 10707).
 Based on the original provision of Section 4 of PD No. 968, the offender is allow
to appeal his conviction and should be the same be denied then, he can apply
and avail the privilege of probation. This was still the provision under PD 1257
but the provision provided by PD 1990 purposely remove the option of appealing
then applying for probation (People vs. Evangelista, 253 SCRA 714). And instead
made probation and appeal exclusive remedy. (Bernardo vs. Balagot, 215 SCRA
526; Francisco vs. CA, 243 SCRA 384). However, due to the enactment of RA
10707, application for probation is now allowed when a judgment of conviction
imposing a non-probationable penalty is appealed or reviewed, and such
judgment is modified through the imposition of a probationable penalty, the
defendant shall be allowed to apply for probation based on the modified decision.
 In a case involving several defendants where some have taken further appeal,
the other defendants may apply for probation by submitting a written application
and attaching thereto a certified true copy of the judgment of conviction.
Therefore, the one who applied for probation will not be disqualified because of
the appeal filed by his co-defendants.
 Probation may be granted whether the sentence imposes a term of imprisonment
or a fine only.
 The filing of the application shall be deemed a waiver of the right to appeal.
Hence there is no need to accomplish a document stating such waiver of right
considering that the application for probation will already serve the purpose.
 An order granting or denying probation shall not be appealable.

Nature of Probation: Effect of the Grant of Probation

1. Probation is but a mere privilege and as such, its grant or denial rests solely
upon the sound discretion of the trial court. After its grant it becomes a statutory
right and it shall only be cancelled or revoked for cause and after due notice and
hearing.
2. The grant of probation has the effect of suspending the execution of sentence.
The trial court shall order the release of the probationer's cash or property bond
upon which he was allowed temporary liberty.
Notes:
 The trial court may, after it shall have convicted and sentenced a defendant, and
upon application by said defendant within the period for perfecting an appeal,
suspend the execution of the sentence and place the defendant on probation.
 No application for probation shall be entertained or granted if the defendant has
perfected an appeal from the judgment of conviction. (PD 1990) In other words,
the filing of the application for probation is considered as a waiver of the right of
the accused to appeal.
 The filing of the application shall be deemed a waiver of the right to appeal.
 An order granting or denying probation shall not be appealable. However, an
outright denial by the court is a nullity correctible by certiorari. (De Luna v. Hon.
Medina, CA 78 OG 599) An accused must fall within any one of the
disqualification in order to be denied probation. (Balleta v. Leviste, 92 SCRA 719)

CASE ANALYSIS:
Pedro was convicted of a crime and sentenced to a prison term more than six years
(beyond the probationable limit of six years). He appealed his case and the appellate
court modified his sentence below six years.
Question: May Pedro apply for probation?

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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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Answer: Yes, by virtue of specific provision of RA 10707 "when a judgment of

conviction imposing a non-probationable penalty is appealed or reviewed, and such
judgment modified through the imposition of a probationable penalty, the defendant
shall be allowed to apply for probation based on the modified decision before such
decision becomes final. The application for probation based on the modified decision
shall be filed in the trial court where the judgment of conviction imposing a non-
probationable penalty was rendered or in the trial court where such case has since been
re-raffled".
Note:
• Appeal and probation are mutually exclusive remedies. An accused who applied for
probation admits his guilt and the application and cancellation of his bail bond. It
renders the judgment of conviction final and immediately executory (Cal vs• 66 SCAD
796, 251 SCRA 228)

When Probation Order become Effective

It shall take effect upon its issuance at which time the court shall inform the
offender of the consequences thereat and explain that upon his failure to comply with
any of the conditions prescribed in the said order or his commission of another offense
under which he was placed on probation.

Persons Disqualified to be placed on Probation (based on RA 10707)

"SEC 9. Disqualified Offenders. — The benefits of this Decree shall not be extended to
those:
"a. sentenced to serve a maximum term of imprisonment of more than six (6) years;
"b. convicted of any crime against the national security;
"c. who have previously been convicted by final judgment of an offense punished by
imprisonment of more than six (6) months and one (l) day and/or a fine of more than
one thousand pesos (PI, 000.00);
"d who have been once on probation under the provisions of this Decree; and
"e. who are already serving sentence at the time the substantive provisions of this
Decree became applicable pursuant to Section 33 hereof "
Notes:
 Convicts who are sentenced to serve a maximum term of imprisonment of 6
years and one day and above are disqualified to avail the privilege of probation.
 A penalty of six years and one day is not entitled to the benefits of the law. In
Francisco v. CA, 243 SCRA 384, the Supreme Court held that in case of one
decision imposing multiple prison terms, the totality of the prison terms should
not be taken into account for the purposes of determining the eligibility of the
accused for the probation. The law uses the word "maximum term ", and not total
term. It is enough that each of the prison term does not exceed 6 years. The
number of offenses is immaterial for as long as the penalties imposed, when
taken individually and separately, are within the probation period.
 Convicted of any crime against the national security (such as treason, espionage
and piracy.) Prior to RA 10707 crimes against public order was included.
 Who have previously been convicted by final judgment of an offense punished by
imprisonment of more than six (6) months and one (1) day and/or a fine of more
than one thousand pesos (P 1,000.00). Prior to 10707, it was for imprisonment of
not less than one month and one day and/or a fine of not less than P200.
 Except for the reasons specified by the law, a trial court should not deny a
petition for probation, especially when the probation officer has favorably
recommended the grant of probation. Unless in exercise of its sound discretion,
the court determine that granting probation will not able to serve the ends of
justice and the best interest of the public primarily, as well as that of the
applicant.
 Even if at the time of conviction the accused was qualified for probation but time
of his application for probation, he is no longer qualified, he is not entitled the
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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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grant of probation. The qualification for probation must be determined the time
the application is filed in court (Bernardo v. Judge Balagot, 86561, Nov. 10,
1992).
 The law enumerates who are disqualified from being allowed to avail of probation
and the application for probation of one who does not come under any of these
disqualification should be granted (Santos vs Paṅo, 120 SCRA 8)

Period of Probation
The period of probation of a convict sentenced to a term of imprisonment of not
more than one year shall not exceed two years, and in all other cases, said period shall
not exceed six years (Section 14-a, PD 968 as amended).
When the sentence imposes a fine only and the convict is made to serve
imprisonment in case of insolvency, the period of probation shall not be less than nor be
more than twice the total number of days of subsidiary imprisonment as computed at
the rate established in Article 39 of the Revised Penal Code (Section 14-b, PD 968 as
amended)
Notes:
 Subsidiary penalty is to be imposed if the convict has no property with which to
meet the fine. He shall be subject to a subsidiary personal liability at the rate of
one day for each amount equivalent to the highest minimum wage rate prevailing
in the Philippines at the time of the rendition of judgment of conviction by the trial
court (Article 39, Revised Penal Code).
 When the principal penalty imposed be only a fine, the subsidiary imprisonment
shall not exceed six months, if the culprit shall have been prosecuted for a grave
or less grave felony, and shall not exceed fifteen days, if for a light felony (Article
39-2, Revised Penal Code).
 When a convict is sentence to pay a fine only and the he is made to serve
subsidiary imprisonment due to his of insolvency, the period of probation shall
not be less than nor be more than twice the total number of days of subsidiary
imprisonment as computed at the rate of one day for each amount equivalent to
the highest minimum wage rate prevailing at the time of the rendition of the
judgment of conviction by the trial court.
 The period of probation may either be shortened or made longer, but not to
exceed the period set in the law. There is so because the period of probation is
deemed the appropriate period of rehabilitation of the probationer. A major role is
played by the probation officer in the release of the probationer because he is the
one in the best position to report all information relative to the conduct of mental
and physical condition of the probationer in his environment and existing
institutional and community resources that he may avail himself of when
necessary (Bala vs Martinez, 181 SCRA 459).

Arrest of Probationer; Subsequent Dispositions

At any time during probation, the court may issue a warrant for the arrest of a
probationer for any serious violation of the conditions of probation. The probationer,
once arrested and detained, shall be immediately be brought before the court for a
hearing of the violation charged. The defendant may be admitted to bail pending such
hearing. In such case, the provisions regarding release on bail of persons charge with a
crime shall be applicable to probationers arrested under these provisions.
In the hearing, which shall be summary in nature, the probationer shall have the
right to be informed of the violation charged and to adduce evidence in his favor. The
court shall not be bound by the technical rules of evidence but may inform itself of all
the facts which are material and relevant to ascertain the veracity of the charge. The
state shall be represented by a prosecuting officer in any contested hearing. If the
violation is established, the court may revoke or continue his probation and modify the
conditions thereof. If revoked, the court shall order the probationer to serve the
sentence originally imposed. An order revoking the grant of probation or modifying the
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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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terms and conditions thereof shall not be appealable (Section 14 of PD 968 as

amended by PD 1257)

Obligations of a probationer:
1. Present himself to the probation officer within 72 hours from receipt of probation
order.
2. Report himself to the probation officer at least once a month during the period of
probation.
3. Not to violate the conditions of his probation

Terms and Conditions of Probation

Two kinds of conditions in probation: (1) mandatory; (2) discretionary.

Mandatory or General Conditions

1. To present himself to the Probation Office for supervision within 72 hours from
receipt of the probation order
2. To report to the assign probation officer at least once a month during the period
of probation at such time and place as may be specified by the Probation Office.

Discretionary or Special Conditions

1. Cooperate with his program of probation treatment and supervision;
2. Meet his family responsibility;
3. Devote himself to a specific employment and not to change said employment
without prior written approval of the Chief Probation and Parole officer;
4. Undergo medical, or psychological, or clinic, or drug or psychiatric examinations
and treatment and remain in a specified institution, when required for the
purpose;
5. Comply with a program of payment civil liability of the offended party or his heirs
when required by the trial court of as embodied in its decision or resolution.
6. Pursue a prescribed secular study or vocational training;
7. Attend or reside in a facility established for instruction, schedule or residence of.
persons on probation;
8. Refrain from visiting houses of ill-repute;
9. Abstain from drinking intoxicating beverage to excess;
10. Permit the supervising probation officer on case or authorized social worker to
visit his home and place of work;
11. Reside at premises approved by the trail court and not to change his residence
without proper approval of the said court; and
12. Satisfy other conditions related to his rehabilitation into a useful citizen, which is
not unduly restrictive of his liberty or incompatible with his freedom of
conscience.

Supervision of Probationers

The primary purposes are as follows:

1. To ensure the probationer's compliance with the probation conditions and the
prescribed probation treatment and supervision program/plan;
2. To manage the process of the probationer's rehabilitation and reintegration into
the community; and
3. To provide guidance for the probationer's transformation and development into a
useful citizen for his eventual reintegration to the mainstream of society

Principles, Goals and Objectives of Probation

It is the considered opinion of most correctional authorities that probation is one
of the most effective and economical tools which society now has available for the care.
treatment and rehabilitation of certain adult and juvenile offenders against the law.
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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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Presidential Decree No. 968 otherwise known as the Probation Law Of 1976
recognizes such trend. However, the Decree separates adult probation from juvenile
probation for it expressly excludes those entitled to the benefits under the provisions of
Presidential Decree No. 603, known as the Child and Youth Welfare Code, and similar
laws. Statements of the principles, goals and objectives of the Probation Law are found
in its Preamble.

Essential goals of Probation

1. An enlightened and humane correctional system;
2. The reformation of offenders;
3. The reduction of the incidence of recidivism;
4. To extend to offenders individualized and community-based treatment programs
instead of imprisonment;
5. It is limited only to offenders who are likely to respond to probation favorably; and
6. It is economical or less costly than confinement to prisons and other institutions
with rehabilitation programs.

The Basic Legal Concept of Probation (Two-fold Concepts):

1. As a conditional suspension of the execution of sentence; and,
2. As a personal care or treatment and supervision over the probationer.

The former denotes that the court assumes a primary role because a grant of
probation is judicial function and prerogative. The latter indicates the administrative
aspect of probation through the supervision of a probation officer and from the point of
view of social workers, a social casework treatment.

The court dual role in probation:

1. When it acts in accordance with the jurisdiction it acquires over the accused and
proceeds to determine his guilt. Assuming an affirmative finding of the offender's
guilt beyond reasonable doubt, the court would convict and sentence said
offender.
2. When the court determines whether or not to grant probation upon application of
the offender. Sections 3(a) and 4 of the Decree clearly showed this purpose. The
Decree defines probation in Section 3 as "a disposition under which the
defendant, after conviction and sentence, is released subject to the conditions
imposed by the court and to the supervision of a probation officer.
Notes:
 An offender will be released on probation only after conviction and sentence.
Furthermore, Section 4 underlines the necessity of filing an application with the
trial court before the suspension of the execution of the court's judgment. The
petition for probation may be filed by a petitioner directly with the trial court which
exercises jurisdiction over his case.
 If the court finds that the petition is in due form and that the petitioner is not
disqualified from the grant of probation it shall refer the same to the Provincial or
City Probation Officer within its jurisdiction as the case may be. The court shall
order the Provincial or City Probation Office to conduct a post-sentence
investigation of the petitioner.
 Only upon the filing of an application for probation after conviction and sentence
and a determination that the offender does not fall under any of the
disqualifications set for thin the Decree the court may suspend the execution of
sentence.
 The Post-Sentence Investigation is an indispensable requisite to a grant of
probation. The Probation Law provides: "No person shall be placed o probation
except upon prior investigation by the probation officer and determination by the
court that the ends of justice and the best interest of the public as well as that of
the defendant will be served thereby.” The scope of the investigation must be
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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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consistent with the purposes of probation. In general, it is a fact finding inquiry

into all information relative to the Character antecedents, environment, mental
and physical condition of the offender, and available institutional and community
resources.
 Upon the termination of the Post-Sentence Investigation, the probation officer
shall submit to the court the investigation report on a defendant not later than
sixty days from receipt of the order of said court to conduct the investigation. The
purpose of the report is to assist the court in determining whether or not the ends
of justice and the best interest of the public as well as that of the defendant will
be served thereby.
 The recommendation contained in the report is merely persuasive and is in no
way binding upon the court. Considering the foregoing, and compliance
therewith, the court will promulgate a probation order.
 Probation is a privilege and, as such, its grant rests solely upon the discretion of
the court. The grant of probation results in the release of the petitioner subject to
the terms and conditions imposed by the court, and to the supervision of the
Probation Office. As to the conditions to be imposed by the court, they are
enumerated in Section 10 of the Presidential Decree No. 968.
 The jurisdiction and control of the court which arises from an imposed sentence,
remains with the court even after a grant of probation. This is evident in Sections
32 and 40 of the Rules On Probation Methods and Procedures. Section 32
provides: "During the period of probation the court, motuproprio, or on motion of
the probation officer or of the probationer, may revise or modify the conditions or
terms of the probation order.
 In case of violation of the terms and conditions imposed by the court, Section 40
provides "if the violation is established, the court may revoke or continue his
probation and modify the conditions thereof. If revoked, the court shall order the
probationer to serve the sentence originally imposed and shall commit the
probationer. "This power of the court underlines the non-punitive and non-
repressive aspect of probation.
 As an Administrative Process Once the court has granted probation to an
offender and has duly imposed the terms and conditions of the probation' the
probation officer has the bounden duty to see to it that the probationer observes
all terms and conditions imposed by the court. Probation supervision is then a
primarily an administrative process.
Note:
• To carry out these purposes the Probation Law upon its approval carried with it the
establishment of a Probation Administration an agency under the Department of Justice,
which shall exercise general supervision overall probationers.

In case of violation is committed by the probationer:

The court, after considering the nature and seriousness of the violations of
probation, may issue a warrant for the arrest of the probationer. He is then brought to
the court immediately for hearing, which is summary. If violation is established, the
Court may revoke or continue the probation and modify the conditions thereof. If
revoked, the probationer shall be ordered to serve the sentence originally imposed and
shall commit the probationer. The order of the court is not appealable (Re: Section 15 of
PD 968 as amended).

Termination of Probation (Section 3 of RA 10707 amended Section 16 of PD 968)

"SEC 16. Termination of Probation. - After the period of probation and upon
consideration of the report and recommendation of the probation officer, the court may
order the final discharge of the probationer upon finding that he has fulfilled the terms
and conditions of his probation and thereupon the case is deemed terminated.

Final Discharge of probation and its implications: (Section 3 of RA 10707)

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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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"The final discharge of the probationer shall operate to restore to him all civil
rights lost or suspended as a result of his conviction and to totally extinguish his criminal
liability as to the offense for which probation was granted.
"The probationer and the probation officer shall each be furnished with a copy of such
order."

Notes:
 The suspension of the sentence however, has no bearing on the civil liability,
which is separate and distinct from the criminal action. (Budlong v. Apalisok, 22
SCRA 935)
 Probation is revocable before final discharge of the probationer by the court.
Thus the expiration of the probation period alone does not automatically
terminate probation. Probation is not coterminous with the period. There must be
first issued by the court of an order of final discharge based on the report and
recommendation of the probation officer. Only from such issuance can the case
of the probationer be deemed terminated. (Bala vs Martinez, 181 SCRA 459)

Privilege and Confidential Nature of Probation Records

The investigation report and the supervision history of probationer obtained
under the Probation Law shall privileged and shall not be disclosed directly or indirectly
to anyone other than the Probation Administration or the court concerned, except that
the court, in its discretion, may permit the probationer or his attorney to inspect the
aforementioned documents or parts thereof whenever the best interest of the
probationer make such disclosure desirable or helpful: Provided, furrther, That any
government office or agency engaged in the correction or rehabilitation of offenders
may, if necessary, obtain copies of said documents for its official use from the proper
court or the Administration (Section 17 of PD 968 as amended)
The penalty of imprisonment ranging from six (6) months and one (l) day to six
(6) years and a fine ranging from six hundred to six thousand pesos shall be imposed
upon any person who violates the confidential nature of probation records (Section 29 of
PD 968 as amended)

Interpretation/Construction of the Probation Law:

The provisions of the Probation Law should be liberally construed in order that
the objective should be realized and achieved. (Santos v. Hon. Pano, 55130, Jan. 17,
1983) In probation, the imposition of the sentence is suspended and likewise its
accessory penalties are likewise suspended. An order placing the defendant on
probation is not a sentence but is rather in effect a suspension of the imposition of the
sentence. It is not a final judgment but is rather an interlocutory judgment in the nature
of the conditional order placing the convicted defendant under the supervision of the
court for his reformation. (Baclayon v. Hon. Mutia, 129 SCRA 148)

In the application for probation, the judge should, as much as possible, adopt a liberal
attitude in favor of the accused since the evident purpose of probation law is to afford
the accused a chance to reform and rehabilitated himself without the stigma o fprison
record to save the government funds that may otherwise be spent for his incarceration
and to decongest jails. If an accused is not disqualified by law for probation, his
application for probation should be granted (Del Rosario, Jr. vs Rosero 126 SCRA 228).

Advantages of Probation:
The implementation of the Probation Law will confer benefits and advantages not
only to society in general but more so on the part of the offender and the government.
1. For the society - The philosophy of probation is that the community is responsible
for crime and its causation, that individuals can change and deserve a second
chance, and that it is for the greater good of society that offenders not be
summarily eliminated from productive life but brought back to its fold in the
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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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quickest and least traumatic way possible. concretely' society is benefited by the
probation system owing to the continued presence therein of erring individuals
who, notwithstanding a previous error are expected to have turned from their
errors and to continue serving the society. A different situation would result in the
incarceration of valuable human resources.
2. For the victim - Probation provides restitution in favor of the victim hence, justice
is considered served.
3. For the Convicts - In the absence of probation as an alternative to incarceration,
a convicted individual would accumulative suffer the loss not only of family
contacts and job, but also, with the mass treatment in prison, loss of privacy or
any privileges requiring exercise of personal freedom of choice. In addition to
stigmatization, disruption of normal familial and other meaningful relationship,
such removal from productive participation in the labor force results in
deprivations for the loved ones and innocent associates of the convict.
4. For the family of the convicts - It does not deprive the children of their parents
and a spouse for her/his husband or wife hence, it maintains the family united.
5. For the government - The confinement of all offenders in prisons and other
institutions with rehabilitation programs constitutes an onerous drain on the
financial resources of the country. Probation is thus a less costly alternative to
the imprisonment of offenders. Adoption of the system which humanizes criminal
law and penology also demonstrates the government's adherence to the principle
of human rights. One other tangible benefit of probation is that it would help
relieve congestion in our jails and other institutional corrections.

Lesson 3. Parole and Probation Administration (PPA)

Parole and Probation Administration (formerly known as Probation

Administration)
Created by virtue of Presidential Decree No. 968, "The Probation Law of 1976",
to administer the probation system. Under Executive Order No. 292, "The Administrative
Code of 1987" which was promulgated on November 23, 1989, the Probation
Administration was renamed "Parole and Probation Administration" and given the added
function of supervising prisoners who, after serving part of their sentence in jails are
released on parole pardon with parole conditions.

Vision
A model component of the Philippine Correctional System that shall enhance the
quality of life of its clients through multi-disciplinary programs and resources, an efficient
organization, and a highly professional and committed workforce in order to promote
social justice and development.

Mission
To rehabilitate probationers, parolees and pardonees and promote their
development as integral persons by utilizing innovative interventions and techniques
which respect the dignity of man and recognize his divine destiny.

Mandate
The Parole and Probation Administration is mandated to conserve and/or redeem
convicted offenders and prisoners who are under the probation or parole system.

Goals
The Administration's programs sets to achieve the following goals:
 Promote the reformation of criminal offenders and reduce the incidence of
recidivism, and

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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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CCJE Department

 Provide a cheaper alternative to the institutional confinement of first-time

offenders who are likely to respond to individualized, community-based treatment
programs.

Functions
To carry out these goals, the Agency through its network of regional and fiel
parole and probation offices performs the following functions:
 to administer the parole and probation system
 to exercise supervision over parolees, pardonees and probationers
 to promote the correction and rehabilitation of criminal offenders

CORE VALUES
A. Performance
Efficient and effective accomplishment of tasks and targets, beginning with individual
officials and employees and throughout all units in the organizational hierarchy, linked
coherently and progressively toward the Agency Mission, Vision and strategic goals.

Teamwork - Working together to achieve shared goals.

Resourcefulness and Innovativeness - Exploring resources with ingenuity, optimizing

opportunities with creativity.

B. Professionalism
High level of proficiency on the job resulting from mastery and conscientious application
of appropriate knowledge and skills, honed by sound judgment, self-discipline and
unceasing striving for excellence, and founded on a code of conduct that respects the
dignity of clients and fellowman.

Role Modeling
Serving and inspiring by example.

Professional Excellence
Achieving high standards for ethical and quality service.

C. Accountability
Inherent obligation of every official and employee to answer for decisions, actions and
results within his/her authority, including proper and effective utilization Of resources in
support of Agency policies and programs, with timely, complete and accurate disclosure
in required reports.

Responsibility
Achieving expectations, answering for results.

Honesty and Integrity

Being upright and transparent in transactions and relations.

SERVICE OBJECTIVES
1. To provide the courts with relevant information and judicious recommendation for
the selection of offenders to be placed on probation.
2. To provide the Board of Pardons and Parole with necessary and relevant
information which can be used in determining a prisoner’s fitness for parole or
any form of executive clemency
3. To provide the Dangerous Drugs Board with pertinent information and prudent
recommendations for the determination of first-time minor drug offenders to be
placed on suspended sentence.

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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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CCJE Department

4. To effect the rehabilitation and integration of the probationers, parolees,

pardonees and first-time minor drug offenders as productive, law-abiding and
socially responsible members of the community.
5. To prevent recidivism and protect the community through a well-planned
supervision of probationers, parolees, pardonees, and first-time minor drug
offenders.
6. To make use of innovative, and financially and technically feasible projects to
uplift the moral, spiritual, and economic condition of probationers, parolees,
pardonees, and first-time minor drug offenders by utilizing available community
resources as much as possible.
7. To continuously assess and improve professional performance in post-sentence,
pre-parole/executive clemency, and suspended-sentence investigation, case
management, and other related work.
8. To periodically review the Probation Law and its implementing rules so as to
reconcile the same with the evolving realities in the field.
9. To assiduously observe and uphold the professional ethics in the delivery of
services.

ADMINISTRATIVE OBJECTIVES
1. To optimize operations through
a. maximum functioning of existing units according to their respective duties.
b. systematic expansion of services, according to the demands of probation
work and available resources
c. judicious utilization of limited Agency resources so as to obtain desired results
in the best manner possible with the least expenditures of time, efforts and
money.
2. To achieve a united approach to Agency goals through integrated planning and
constant coordination among all units.
3. To develop a more efficient and up-to-date system for the collection, collation
and analysis of data relative to probation, parole and suspended sentence case
loads, and their management.
4. To recruit qualified employees and volunteer aides, and to promote their
continuing.
5. To continuously improve staff and line service through adequate personnel
supervision, relevant research, and periodic evaluation.
6. To generate greater public and inter-agency support for probation through an
integrated and systematic public information program.
7. To actively participate in the government's jail decongestion program, and in this
connection, to give priority to detention prisoners in our public information drives.
8. To cooperate and coordinate with other agencies of the government in the
accomplishment of national program thrusts.

Additional Function under RA 9165

By virtue of a Memorandum of Agreement with the Dangerous Drugs Board,
Effective August 17, 2005, the PPA performs another additional function of investigating
and supervising first-time minor drug offenders who are placed on suspended PUrsuant
to Republic Act No. 9165.

The PPA Administrator

The head of Parole and Probation Administration is known as the PPA
Administrator who shall be appointed by the President. He shall hold office during good
behavior and shall not be removed except for cause. His/her powers and duties are as
follows:
1. Act as the executive officer of the PPA;
2. Exercise supervision and control over all probation officers;

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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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CCJE Department

3. Make annual reports to the Secretary of Justice, in such form as the latter may
prescribe, concerning the operation, administration and improvement of the
probation system;
4. Promulgate, subject to the approval of the Secretary of Justice, the necessary
rules relative to the methods and procedures of the probation process;
5. Recommend to the Secretary of Justice the appointment of subordinate
personnel of his Administration and other offices established under the Probation
Law; and
6. Generally perform such duties and exercise such powers as may be necessary
or incidental to achieve the objective of the Probation Law.

Assistant PPA Administrator

There shall be an Assistant Probation Administrator who shall be appointed by
the President and shall assist the Administrator and perform such duties as may be
assigned to him by the PPA Administrator and as may be provided by law. In the
absence of the Administrator, he shall act as head of the PPA.

Qualifications of the PPA Administrator and Assistant Administrator

1. At least 35 years of age
2. Holder of Master's Degree or its equivalent in:
a. Criminology
b. Social Work
c. Correction
d. Penology
e. Psychology
f. Sociology
g. Public Administration
h. Law
i. Police Science
j. Police Administration
k. Other related fields
3. At least 5 years of supervisory experience, or a member of Philippine Bar with at
least 7 years of supervisory experience.

Other PPA Officers

o Regional Parole and Probation Offices (RPPO) - The RPPO shall be headed
by Regional Probation Officer who shall be appointed by the President upon the
recommendation of the Secretary of Justice.

The Regional Probation Officer shall exercise supervision and control over all
probation officers within his jurisdiction and such duties as may be assigned to him
by the Administrator. Whenever necessary, he shall be assisted by an Assistant
Regional Probation Officer who shall also be appointed by the President, upon
recommendation of the Secretary of Justice.

o Provincial and City Probation Officers — There must be at least one probation
officer in each province and city who shall be appointed by the Secretary of
Justice upon recommendation of the Administrator and in accordance with the
civil service law and rules. The Provincial and City Probation Officers shall
exercise the following duties:
1. Investigate all persons referred to him for investigation by the proper court or
the Administrator;
2. Instruct all probationers under his supervision or that of the probation aide on
the terms and conditions of their probation;

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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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CCJE Department

3. Keep himself informed of the conduct and condition of probationers under his
charge and use all suitable methods to bring about an improvement in their
conduct and conditions;
4. Maintain a detailed record of his work and submit such written reports may be
required by the Administration or court having jurisdiction over the probationer
under his supervision;
5. Prepare a list of qualified residents of the province or city where he is
assigned who are willing to act as probation aides;
6. Supervise the training of probation aides and oversee the latter's supervision
of probationers;
7. Exercise supervision and control over all field assistants, probation aides and
other personnel; and
8. Perform such duties as may be assigned by the court or the Administration.

o Field Assistants, Subordinate Personnel – Regional, Provincial, or City

Probation Officers shall be assisted by such field assistants and subordinate
personnel as may be necessary to enable them to carry out their duties
effectively. (Section 27 of PD 968 as amended by RA No. 10707)

Qualifications of Regional, Assistant Regional, Provincial and City Probation

Officers
No person shall be appointed Regional or Assistant Regional or Provincial or City
Probation Officer unless possesses the following qualifications:
1. At least a bachelor's degree with a major in social work, sociology, psychology,
criminology, penology, corrections, police science, police administration, related
fields;
2. At least three (3) years of experience in work requiring any of the above-
mentioned disciplines, or is a member of Philippine Bar with at least three (3)
years of supervisory experience.
Note:
o Whenever practicable, the Provincial or City Probation Officer shall be appointed
from among qualified residents of the province or city where he will be assigned
to work (Section 25 of PD 968 as amended)

Power to administer oaths, to take depositions and be considered as Person in

Authority (Section 4 of RA 10707)
"SEC. 24. Miscellaneous Powers of Regional, Provincial and City Probation Officers
— Regional, Provincial or City Probation Officers shall have the authority within their
territorial jurisdiction to administer oaths and acknowledgments and to take depositions
in connection with their duties and functions under this Decree. They shall also have'
with respect to probationers under their care, the powers of a police officer. They shall
be considered as persons in authority.”

Volunteer Probation Assistants (VPAs) (Section 6 of RA 10707)

"SEC. 28. Volunteer Probation Assistants (VPAs). To assist the Chief Probation and
parole Officers in the supervised treatment program of the probationers, the Probation
Administrator may appoint citizens of good repute and probity, who have the
willingness, aptitude, and capability to act as VPAs.”

"VPAs shall not receive any regular compensation except for reasonable transportation
and meal allowances, as may be determined by the Probation Administrator, for
services rendered as VPAs.

"They shall hold office for a two (2)-year term which may be renewed or recalled
anytime for a just cause. Their functions, qualifications, continuance in office and

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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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CCJE Department

maximum caseloads shall be further prescribed under the implementing rules and
regulations of this Act.

"There shall be a reasonable number of VPAs in every regional, provincial, and city
probation office. In order to strengthen the functional relationship of VPAs and the
probation Administrator, the latter shall encourage and support the former to organize
themselves in the national, regional, provincial, and city levels for effective utilization,
coordination, and sustainability of the volunteer program.

RESTORATIVE JUSTICE (RJ)

 It is a philosophy and a process whereby stakeholders in a specific offense
resolve collectively how to deal with the aftermath of the offense and its
implications for the future. It is a victim-centered response to crime that provides
opportunity for those directly affected by the crime - the victim, the offender, their
families and the community - to be directly involved in responding to the harm
caused by the crime. Its ultimate objective is to restore the broken relationships
among stakeholders.
 The Restorative Justice process provides a healing opportunity for affected
parties to facilitate the recovery of the concerned parties and allow them to move
on with their lives.
 According to John Braithwaite, restorative justice is a process where all
stakeholders affected by an injustice have an opportunity to discuss how they
have been affected by the injustice and to decide what should be done to repair
the harm. With crime, restorative justice is about the idea that because crime
hurts, justice should heal. It follows that conversations with those who have been
hurt and with those who have inflicted the harm must be central to the process.
 Dr. Carolyn Boyes-Watson (2014) at Suffolk University's Center for Restorative
Justice defines restorative justice as a growing social movement to
institutionalize peaceful approaches to harm, problem-solving and violations of
legal and human rights. These range from international peacemaking tribunals
such as the South Africa truth and Reconciliation Commission to innovations
within the criminal and juvenile justice systems, schools, social services and
communities. Rather than privileging the law, professionals and the state,
restorative resolutions engage those who are harmed, wrongdoers and their
affected communities in search of solutions that promote repair, reconciliation
and the rebuilding of relationships. Restorative justice seeks to build partnerships
to reestablish mutual responsibility for constructive responses to wrongdoing
within our communities. Restorative approaches seek a balanced approach to
the needs of the victim, wrongdoer and community through processes that
preserve the safety and dignity of all."

Comparing Restorative Justice from Traditional Criminal Justice

Restorative Justice Traditional Criminal Justice

 Who has been hurt?  What laws have been broken?

 What are their needs? Whose obligations are  Who did it?
these?
 What are the causes?  What do the offender(s) deserve?

 Who has a stake in the situation?

 What is the appropriate process to involve

stakeholders in an effort to address causes
and put things right?

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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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CCJE Department

THERAPEUTIC COMMUNITY (TC)

Is a self-help social learning treatment model used in the rehabilitation of drug offenders
and other clients with behavioral problems TC adheres to precepts of "right living".

The Therapeutic Community (TC) is an environment that helps people get help
while helping themselves. It operates in a similar fashion to a functional family with a
hierarchical structure of older and younger members. Each member has a defined role
and responsibilities for sustaining the proper functioning of the TC. There are sets of
rules and community norms that members commit to live by and uphold upon entry. The
primary "therapist" and teacher is the community itself, consisting of peers,
staff/probation and parole officers and even Volunteer Probation Aides (VPA), who, as
role models of successful personal change, serve as guides in the recovery process.

Follow-Up Activities

Identification: Identify what or who is being described by each statement.

1. Known as the direct ancestor of probation, this term means ' 'binding over for
good behavior." An ancient practice developed in England in the 14th century,
originated as a measure of preventive justice involving an obligation or promise,
sworn to under court order by a person not yet convicted.
2. The Philippine Probation system started to operate only on this date,
3. On this date the Supreme Court of the Philippines declared the Probation Law or
Act No 4221 unconstitutional because of some defects in the laws procedural
framework.
4. He is the person in history who signed the first probation law that was passed by
the legislature of Massachusettes on April 26, 1878. The law provided for the
appointment and prescribed the duties of a salaried probation officer.
5. He is subsequently credited with founding the investigation process, one of three
main concepts of modern probation, the other two being intake and supervision.
He kept detailed notes on his activities, was also the first to apply the term
"probation" to his method of treating offenders.
6. An ex-chief of Boston Police named as the first probation officer in the history of
Probation.
7. Aside from the British Probation of First Offender Act of 1887, what is another
law which is not considered as probation statute because there is no provision in
the above stated laws that provides for supervision of offenders upon their
release for the said privileges.
8. In 1975, the National Police Commission Interdisciplinary drafted a Probation
Law. After 18 technical hearings over a period of six months, the draft decree
was presented to how many selected groups of jurists, penologists, civic leaders
and social and behavioral scientists and practitioners?
9. The date when Presidential Decree No. 968, also known as Adult Probation Law
of 1976, was signed into Law by the President of the Philippines.
10. The first practical demonstration of probation, the first use of term as a court
service, and enactment of the first probation law occurred in what state of the
United States of America?
11. Promulgated on October 5, 1985 and took effect on January 15, 1986, after 15
days from the date of its publication in the Official Gazette (December 30, 1985).
This law amended Sections 4 and 9 of PD 968.
12. Is a general courtesy investigation from another city or provincial parole and
probation office, which request for a complete PSIR on a petition for probation
pending referral investigation in the Probation Office of origin.

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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
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CCJE Department

13. The purpose of this is to able the trial court to determine whether or not the ends
of justice and the best interest of the public primarily, as well as that of the
applicant, would be served by the grant or denial of the application.
14. When Probation Order become Effective?
15. What offenses defined and punished by RA 9165 disqualified the offender for
probation regardless of the penalty imposed by the Court.
16. It is a victim-centered response to crime that provides opportunity for those
directly affected by the crime - the victim, the offender, their families and the
community to be directly involved in responding to the harm caused by the crime.
Its ultimate objective is to restore the broken relationships among stakeholders.
17. Is a self-help social learning treatment model used in the rehabilitation of drug
offenders and other clients with behavioral problems, it adheres to precepts of
"right living".
18. Is a strategy by which the Parole and Probation Administration may able to
generate maximum citizen participation or community involvement in the
rehabilitation of probationer?
19. Created by virtue of Presidential Decree No. 968, "The Probation Law of 1976",
to administer the probation system. Under Executive Order No. 292, "The
Administrative Code of 1987" which was promulgated on November 23, 1989, it
was renamed and given the added function of supervising prisoners who, after
serving part of their sentence in jails are released on parole or pardon with parole
conditions
20. By virtue of a Memorandum of Agreement with the Dangerous Drugs Board,
Effective August 17, 2005, what is the another additional function of the PPA
pursuant to Republic Act No. 9165.

True or False: Write True if the statement is correct and False if it is not.
1. The filing of the application for probation shall be deemed a waiver of the right to
appeal.
2. Only upon the filing of an application for probation after conviction and sentence
and a determination that the offender does not fall under any of the
disqualifications set forth in the Probation Law, the court may suspend the
execution of sentence.
3. The application for probation shall be entertained even if the defendant has
perfected an appeal from the judgment of conviction.
4. Except for the reasons specified by the law, a trial court should not deny a
petition for probation, especially when the probation officer has favorably
recommended the grant of probation.
5. An order granting or denying probation cannot be appealed

Essay:

1. Briefly discuss the origin of Probation in the Philippines.

2. Give the contributions of John Augustus that made him as the Father of
Probation.
3. Discuss the start-up of the probation system in the Philippines before it started to
operate on January 3, 1978.
4. Give the effect of filing and receipt of the application for probation.
5. What the court should do when there is a violation of the conditions of probation
committed by the probationer.
6. What is the legal implication of the issuance by the court of Final Discharge order
from probation?
7. Give the benefits of probation.
8. Distinguish Restorative Justice from Traditional Justice System.

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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
NICOSAT
CCJE Department

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Name of Instructor: MAY ANGELA L. GRAY RCrim.

Year Level: BS CRIM 3 Subject: CA 2
NICOSAT COLLEGES,
INC.