PROBATION

Brief History of Probation

 PROBATION a term coined or created by John Augustus, from Latin verb “probare” which means to prove or
to test.

 JOHN AUGUSTUS (1785-1859) – a shoe cobbler, is credited as the “Father of Probation”.

 EDWARD N. SAVAGE – former Chief of Police in Boston, recognized as the first government probation
officer appointed in Boston in 1878.

 The first probationer was a “common drunkard” happened in 1841.

 President Calvin Coolidge- US President, signed the Probation Act of 1925, which established probation as a
sentence in the federal court.

 Richard McSweeney- first salaried Federal Probation Officer, appointed in 1927 in the district of
Massachussetts.

 Matthew Davenport Hill- a lawyer and penologist in England, generally believed to have laid the foundation
of probation in England. Regarded as the Father of English Probation System.

Philippines

 Act No. 4221 enacted the first probation system in the Phils., enacted on August 7, 1935. This law created
a Probation Office under the Dept. of Justice.

 On November 16, 1937, after barely two years of existence, the Supreme Court of the Philippines declared
the Probation Law unconstitutional because of the law’s procedural framework.

 In 1972, House Bill No. 393 was filed in Congress, which would establish the Probation System in the Phils.
However it was pending in the Senate when Martial Law was declared and the Congress was abolished.

 In 1975, the NAPOLCOM created an Interdisciplinary Committee tasked to formulate national strategy to
reduce crime and drafted the probation law.

 Teodulo C. Natividad- initiated the drafting of Probation System. Regarded as the Father of Phil. Probation
system. The first Administrator of the Probation Administration.

 Eighteen (18) Technical hearings were done over a period of six (6) months involving international experts in
the field of corrections. After it was presented to a selected group of jurist, penologist, civic leaders, social
and behavioral practitioners, it was overwhelmingly endorsed the establishment of an Adult Probation
System in the Phils.

 Fifteen (15) probation officers were selected from the first batch of trainees for an observation tour to the
Los Angeles Training Academy on April 1, 1977.

 Presidential Decree (PD) 968 – also known as the Probation Law of 1976 (Sec.1) was enacted on July 24,
1976 by then President Ferdinand E. Marcos. This law gave birth to Probation Administration, under the DOJ.

 January 3, 1978- the Probation System in the Phils. started to operate.

 Batas Pambansa (BP) 76, signed June 9, 1980, extending the benefits of probation to convicted offenders
whose prison sentence imposed was six (6) yrs and one (1) day.

 PD 1990, promulgated on October 15, 1985, provided that the application for probation shall no longer be
entertained or granted if the defendant has perfected an appeal from the judgment of conviction. Further, it
also amends BP 76 returning it to six (6) yrs.
 Executive Order 292 of 1987 renamed Probation Administration to Parole and Probation Administration with
additional mandate, to include supervision of parolees and pardonees.

 Parole and Probation Administration (PPA) is an agency under the Department of Justice.
PPA’s motto: Redeeming Lives, Restoring Relationship

PROBATION: Its meaning

Probation - is a disposition under which a defendant, after conviction and sentence, is released to the
supervision of a Probation Officer, subject to the conditions imposed by the court.

- is another form of community-based or non-institutional correction practices that gives a

sentenced person the chance to reform & rehabilitate himself without having to spend time in

jails.
"Petitioner" - a convicted defendant who files an application for probation;

"Probationer" - a person who is placed under probation;

"Probation Officer" - Public Officer like the Chief Probation and Parole Officer (CPPO), Supervising Probation and
Parole Officer (SPPO), Senior Probation and Parole Officer (SrPPO), Probation and Parole Officer II (PPOII), or
Probation and Parole Officer I (PPOI), who investigates for the Trial Court a referral for probation or supervises a
probationer or does both functions and performs other necessary and related duties and functions as directed

“Probation Order" - order of the trial court granting probation.

Parole & Probation Administration (PPA) -is the agency under the Dept. of Justice which is responsible in
supervision and control of all Probation Officers, and promulgates rules and procedures on probation process,
subject to the approval of the Secretary of Justice.

PURPOSE OF PROBATION LAW(Sec.2)

a. To promote correction and rehabilitation of an offender by providing him w/ individualized treatment;

b. Provide opportunity for the reformation of a penitent offender which might be less probable if he were to
serve a prison sentence; and

c. Prevent the commission of offenses.

ADVANTAGES OF PROBATION

1. The person is spared from the degrading, embittering and disabling experience of imprisonment;
2. Offender can continue to work in his place of employment;
3. Family ties remain intact, thus preventing a broken home;
4. Less expensive which cost is only one-tenth of the cost that of imprisonment; and
5. Helps relieve prison congestion.

POLICY /GUIDELINES

 Probation may be granted by the court only after the conviction of a defendant;
 Upon application by the said defendant within the prescribed period for perfecting an appeal. (i.e.15 days,
Rules of Court).
 Shall be filed with the Trial Court which has jurisdiction over the case.
 The trial court shall, upon receipt of the application filed, suspend the execution of the sentence imposed
in the judgment.
 After the conduct of Post-Sentence 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.
 Under Sec. 70 of RA 9165, upon promulgation of the sentence, the court may, in its discretion, place the
accused under Probation for a First-Time Minor Offender in Lieu of Imprisonment, even if the sentence
provided under this Act is higher than that provided under existing law on 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;
  The application for probation shall be resolved by the trial court not later than 15 days from the date of
receipt of the PSIR. (pur to IRR of PD 968, dated 29 Jan 2004);
 Pending submission of investigation & resolution of a 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 is incapable of filing one, the court may allow the release of the defendant on recognizance to the
custody of a responsible member of the community who shall guarantee his appearance whenever
required by the court’’.
 Supervision service shall commence on the day of initial interview or reporting of a probationer.
 Within five (5) working days from receipt of said delegated assignment (or self -assignment), the
investigating Probation Officer on case (or CPPOfficer) shall initially interview the applicant if he appeared
in the Probation Office upon response to the seventy-two (72) hours limitation given to him by the Trial
Court. If not, the Probation Officer on case may write the applicant in his court given address, or personally
visit applicant's place to schedule an initial interview at the Probation Office.
 During such initial interview, the Probation Officer on case or CPPO shall require the applicant to
accomplish and sign a Post-Sentence Investigation Work Sheet. The investigating Probation Officer on
case or CPPO shall conduct further investigation based on the information contained therein. A Waiver-
Cum-Authorization, authorizing the PPA and/or the Probation Office to secure any and all information on
the applicant, shall be duly executed and signed by him.
 Post Sentence Investigation Report (PSIR) will be submitted to the concerned court within 60 days upon
receipt of order from the court directing the Probation Officer to conduct the same. Shall be signed by the
investigating Probation Officer approved by CPPO with their initials on each page.
 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. (amended by Sec. 4, RA 10707- 11/26/2015- AN ACT
AMENDING PRESIDENTIAL DECREE NO. 968, OTHERWISE KNOWN AS THE “PROBATION LAW OF 1976”,
AS AMENDED).
 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.
 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.(amended by Sec. 4, RA 10707).
 The trial court may notify the concerned prosecuting officer of the filing of the applicant, and the latter
may submit his comment, if any, within a reasonable time given to him by the court from receipt of notice
to comment.( pursuant to PD 1257, Dec.1, 1977).
 An application for probation shall be deemed a waiver of the right to appeal.
 An order granting or denying probation shall not be appealable.
 “Probation may be granted whether the sentence imposes a term of imprisonment or a fine only.’’

Full Blown Courtesy Investigation (FBCI) is a General Courtesy Investigation (GCI) from another City or Provincial
Parole and Probation Office which requests for a complete PSIR on a petition for probation pending referral
investigation in the Probation Office of origin.

It shall take place when upon initial investigation it is gathered that,

 Applicant for probation is a transient offender in the place of commission of the crime and/or a
permanent resident of another place;
 He spent his pre-adolescent and/or adolescent life in the province or city of origin;
 He attended and/or finished his education thereat; and
 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.

Partial Courtesy Investigation (PCI) is General Courtesy Investigation (GCI) not falling within the purview of a
FBCI, to be conducted by another Probation Office which should no longer be brought to the attention of the Trial
Court for the transfer of the conduct of the referral investigation.

Transfer of Referral Investigation: When proper and warranted under the circumstances, a FBCI, may be brought
to the attention of the Trial Court to transfer the conduct of the referral investigation to the Probation
Office of the province or city of origin of applicant for probation.

Transfer to Executive Judge: In case of the suitability for probation of the applicant for probation, it shall be
recommended in the PSIR by the Probation Office, that simultaneous w/ the grant of probation, the control over
the applicant & probation rehabilitation program be transferred to the Executive Judge of the RTC of the province
or city of origin subject to the actual visitation & supervision of the Probation Officer of the said province or city.

PERIOD OF PROBATION

 The period of probation of a defendant sentenced to a prison term of not more than one (1) yr shall not
exceed two (2) yrs, and in all other cases, said period shall not exceed six (6)yrs”.

 When the sentence imposes a fine only and the defendant is made to serve subsidiary 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 Art.39 of RPC, as
amended”.(Amended by RA 10159)

EARLY TERMINATION OF PROBATION

The following probationers may be recommended for early termination of their probation period:

1. Those suffering from serious physical and/or mental disability such as deaf-mute, lepers, crippled, bed-
ridden, and the like;
2. Those who do not need further supervision as evidenced by the ff:
a. Consistent & religious compliance w/ all the conditions imposed in the order granting probation;
b. Positive response to the programs of the supervision designed to their rehabilitation;
c. Significant improvement to their social & economic life;
d. Absence of any derogatory record while on probation;
e. Marked improvement in their outlook in life by becoming socially aware and responsible members
of the family and community; and
f. Significant growth in self-esteem, self-discipline and self-fulfillment.

“Provided that the probationer have already served ONE-THIRD (1/3) of the imposed period of probation AND PROVIDED
further that in NO CASE shall the actual supervision period be less than SIX (6) MOS.”

3. Those who have;

a. To travel abroad due to any of the following:
1. Approved overseas job contract;
2. Approved application for scholarship, observation tour or study grant for a period not less than
6 mos.
3. Approved application for immigration.
4. Approved application to take Bar or Board Exams.

b. To render public service having been elected or appointed to any public office.

PROVIDED, however, that the probationer involved have fully paid their civil liabilities, if any. And the probationer
was not convicted for offense involving moral turpitude.

INDEMNIFICATION

The payment of civil liability shall be done either;

a. Directly to the victim and receipt must be filed with the probationer’s record at the probation office.
b. To the Clerk of Court of the Trial Court who will in turn hand over the sum to the victim who shall issue
corresponding receipt, a copy of w/c shall be given by the probationer to the probation office in order to
monitor such payment.
c. Maybe deposited by the probationer to victim’s account.

PERSONS DISQUALIFIED FOR PROBATION

1. Those sentenced to a maximum term of imprisonment of more than six (6) yrs;
2. Those convicted of any crime against the national security(amended by RA10707);
3. Those who have previously been convicted by final judgment of an offense by imprisonment of more than
6mos & 1 day and/or fine of more than 1000.00 pesos. (amended by RA10707, Nov. 26, 2015)
4. Those who have been once on probation under the provisions of this decree.
5. Those already serving sentence.

CONDITIONS OF PROBATION
Every probation order issued by the court shall contain conditions requiring that the probationer shall:
MANDATORY CONDITIONS

a. Present himself to the probation officer designated to undertake his supervision at such place as may be
specified in the order within 72 hrs from receipt of said order;
b. Report to the probation officer at least once a month at such time and place as specified by said order.

OTHER CONDITIONS- The court may also require the probationer to:

a. Cooperate with a program of supervision;

b. Meet his family responsibilities;
c. Devote himself to specific employment & not to change said employment w/o prior written approval of the
probation officer;
d. Undergo medical, psychological or psychiatric examination/treatment and enter & remain in a specified
institution, when req’d for that purpose;
e. Pursue a secular study or vocational training;
f. Attend or reside in a facility established for instruction, recreation or residence of persons on probation;
g. Refrain from visiting houses of ill-repute;
h. Abstain from drinking intoxicating beverages to excess;
i. Permit his probation officer or an authorized social worker to visit his home and place of work;
j. Reside at premises approved by it and not to change his residence without its written approval; or
k. Satisfy any other conditions related to the rehabilitation of the defendant and not unduly restrictive of his
liberty or incompatible with his freedom of conscience.

CHANGE OF RESIDENCE: TRANSFER OF SUPERVISION

 A probationer may file a request for change of residence w/ the city or provincial parole & probation office
citing reasons thereof. This request shall be submitted by the supervising probation office for approval of
the trial court.
 In the event of such approval, the supervision & control over the probationer shall be transferred to the
concerned Executive Judge of the RTC having jurisdiction over said probationer and under the supervision
of the City or PPPO in the place to which he transferred.
 Thereafter, the Executive Judge of the RTC to whom jurisdiction over the probationer is transferred shall
have the jurisdiction and control with respect to him which was previously possessed by the Court which
granted probation.
 The receiving City or Provincial and Parole and Probation Office and the receiving court shall be duly
furnished each with copies of the pertinent Probation Order, PSIR, and other investigation and supervision
records by the sending Probation Office for purposes and in aid of continuing effective probation
supervision treatment over said probationer.

EFFECTIVITY OF PROBATION ORDER

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

NATURE OF PROBATION: EFFECT OF THE GRANT OF PROBATION

 Probation is but a mere privilege & such, its grant or denial rests solely upon the sound discretion of trial
court. After its grant it becomes a statutory right & it shall only be cancelled or revoked for cause after due
notice & hearing.

 Pursuant to Sec. 5(m) of RA 9344, a CICL is granted right to probation as an alternative to imprisonment, if
qualified under the Probation Law.

 The grant of probation has the effect of suspending the execution of sentence. The court shall order the
release of the probationer’s cash or property bond upon w/c he was allowed temporary liberty as well as
release the custodian on ROR from his undertaking.

VIOLATION OF PROBATION CONDITION

A probationer's specific act and/or omission(s) constitutive of a violation of probation condition(s) set forth in the
original, modified or revised Probation Order shall be reported to the Trial Court, taking into account the totality of
the facts and surrounding circumstances and all possible areas of consideration.
EFFECTS OF VIOLATIONS OF CONDITIONS OF PROBATION

 The court may issue warrant of arrest of a probationer for any serious violation of the conditions of
probation;
 The probationer once arrested and detained shall immediately be brought before the court for hearing
which is summary in nature, of violation charged; (however, defendant maybe admitted to bail pending
such hearing)
 In the hearing or proceeding for violation of probation conditions, the probationer shall have the right to
counsel of his own choice.
 If the violation is established, the court may modify the conditions and continue his probation or revoke in
which case the court shall order the probationer to serve the sentence originally imposed.
 An order revoking of probation or modifying the terms and conditions thereof shall not be appealable.

MODIFICATION OF CONDITIONS OF PROBATION

 During the period of probation, the court may motu proprio or, upon application of either the probationer or
probation officer, revise or modify the conditions or period of probation.

 The court shall notify either the probationer or the probation officer of the filing of such an application so
as to give both parties an opportunity to be heard thereon.

 The court shall inform in writing the probation officer and the probationer of any change in the period or
conditions of probation.

TERMINATION OF THE PROBATION SUPERVISION CASE

The probation supervision period may be terminated on any of the following grounds:
a. Successful completion of probation;
b. Probation revocation for cause;
c. Death of the probationer;
d. Early termination of probation; or
e. Other analogous cause(s) or reason(s) on a case-to-case basis as recommended by the probation Office
and approved by the trial court.

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.

TERMINATION REPORT

The City and Provincial Parole & Probation Office shall submit to the trial court a Probation Officer’s Final
Report Thirty (30) days before the expiration of the period of probation embodying, among others, the ff:
a. Brief personal circumstances of the probationer
b. Brief criminal circumstances about his case (i.e. CCNo., Court Branch, period of probation, initial & last
date of probation)
c. Prescribed probation treatment & supervision program
d. Probationer’s response to the treatment plan/program
e. Recommendation to discharge the probationer from probation & the restoration of all his civil rights; and
f. Such other relevant & material information w/c may be required by the trial court

LEGAL EFFECTS OF FINAL DISCHARGE: TERMINATION ORDER

The final discharge of the probationer shall operate to restore to him all his civil rights lost or suspended as a
result of his conviction and to fully discharge his liability for any fine imposed as to the offense for which
probation was granted w/o prejudice to his civil liability. It is hereby understood the probationer’s political rights
are not lost or suspended even during the probation period.

The probationer & probation office shall be promptly furnished w/ copies of such final discharge or
Termination Order.”

CONFIDENTIALITY OF PROBATION RECORDS

The PSIR & probation supervision records of a probationer, shall be privileged and shall not be disclosed
directly or indirectly to anyone other than the PPA, the Trial Court concerned, except the trial court in its sound
discretion permit the probationer or his attorney to inspect the said documents or part thereof whenever the best
interest of the probationer makes such disclosure desirable or helpful: Provided that any govt office/agency
engaged in the correction & rehabilitation of offenders or any researchers (i.e. psychologist, sociologist; graduate
studies, academicians, etc) may, if necessary obtain copies of said documents from the trial court or the PPA for
official and/or research purposes & other similar undertakings for the sake of public policy, justice & public
interest.

CRIMINAL LIABILITY ON VIOLATION IN THE CONFIDENTIALITY OF PROBATION RECORDS

Any person found to have violated the confidentiality of probation records shall serve imprisonment ranging
from 6 months & 1 day to 6 yrs and fine of 600.00 to 6,000.00 pesos.

MANNER OF APPOINTMENT

 Probation Administrator/ Asst. Probation Administrator/ Regional & Assistant Regional Probation Officers
shall be appointed by the President
 Provincial & City Probation Officers (Chief Probation Officer existing) shall be appointed by DOJ Secretary.

QUALIFICATIONS:

Chief Probation Officer (formely Provincial or City Probation Officer): Bachelor’s degree with major in any of the
following areas: Social Work, Sociology, Psychology, Criminology, Penology, Corrections, Police Science, Police
Administration, or other related fields or Bachelor of Laws; with four (4) years of progressively responsible
experience in probation or other related work or three (3) years of supervisory experience; forty (40) hours or
supervisory/management learning and development intervention undertaken within the last five (5) years; Career
Service Professional/ Second Level Eligibility or RA 1080. (CSC Res.# 1700142, promulgated 17 Jan 2017)

ASSESSMENT, CLASSIFICATION and LEVEL OF SUPERVISION OF PROBATIONERS AND PAROLEES:

 Maximum Supervision- this requires personal contact at least once a week with the probationer/ parolee
including at least once a month report in person at the Probation Office to attend to the ladderized
therapeutic community program. The probation officers provide their clients with services such as
employment assistance, vocational training, education, medical assistance and seed money for livelihood
activities and home industries.
 Medium Supervision- This requires once a month personal contact with the probationer/parolee and
attendance to therapeutic community ladderized program and few services from the probation office
and/or community resources.
 Minimum Supervision- this requires once a month personal contact and attendance to the therapeutic
community ladderized program.

PROBATION AIDES: Qualifications, Functions, Appointment, Term of Office

 Must be citizens of good repute and probity, at least 18 years of age on the date of appointment, at least
high school graduates and preferably residence of the same locality or community covering the place of
residence of the probationer and/or the CPPOs, SPPOs, and SrPPOs, PPOsII, and PPOsI.
 Maybe requested to assist the CPPOs, SPPOs, and SrPPOs, PPOsII, and PPOsI in the supervision of
probationers, assigned up to a maximum case load subject to administrative and technical supervision by
the above-mentioned Probation Officers, prepare records of their activities and accomplish related reports
and prompt submission thereof; and undertake other related activities. They maybe designated to identify,
generate, tap local community resources or conduct such activities on skills training and sports and
cultural programs for clients.
 Shall be appointed by the Probation Administrator or through authority delegated to the Regional Directors
within their respective areas of responsibility upon the recommendation of the CPPOs, may hold office
during good behavior for a period of two (2) years, renewable at the end of each period; provided, that, the
appointing authority may at any time terminate the services for unsatisfactory performance for at least
two (2) consecutive semesters as determined by the proper Offices and/or for other lawful and valid
cause(s). Thereafter, his reinstatement shall be determined by his display of good behavior as determined
by collateral informants and the appointing authority.

PROBATION AIDES CASELOAD:

 In assigning probation supervision caseload(s) to the Probation Aides, the Probation Offices shall duly
consider their respective qualifications, length of service, work accomplishments, and other related criteria.
And, as to maximum supervision caseload to be given to them, the Probation Office should, exercise
utmost prudence and caution.
 The maximum supervision caseloads of a Probation Aide at any given time, shall be ten (10) probationers
on minimum case classification or three (3) probationers on maximum case classification in addition to other
duties.
PROBATION REPORTS

MONTHLY – The Probation Offices thru the CPPO shall submit within the first ten (10) days of the ensuing month
to the Administrator, copy furnished the RDs concerned, their MONTHLY CASELOAD SUMMARY REPORTS.

SEMESTRAL- The Probation Offices shall also submit within the first (15) days of the ensuing semester to the
Administrator, copy furnished the PPA w/ their respective Semestral Accomplishment Progress Reports
containing among others, list & brief description of their work accomplishments, their encountered problems &
suggested solutions, & other related matters.

ANNUAL – The Regional Office thru RDs shall submit within 30 days of the ensuing year to the Administrator
copy furnished the PPA their respective annual reports.

On or before the last day of February each year, the Administration (PPA) shall submit a consolidated
accomplishment report to the Secretary of Justice.

TRAVEL OF PROBATIONER OUTSIDE AREA OF OPERATIONAL JURISDICTION OF PROBATION OFFICER

 Probation Officer may authorize a probationer to travel outside his area of operational/territorial
jurisdiction for a period of more than 10 days but not exceeding 30 days.

 If the travel sought is up to 30 days, shall file at least 5 days before intended schedule, w/
recommendation by the Supervising Probation Officer and approved by Chief Probation and Parole Officer
(CPPO).

 If more than 30 days shall be recommended by the CPPO to the trial court for approval.

 Outside travel for a cumulative duration of more than thirty (30) days within a period of six (6) months
shall be considered as a courtesy supervision.