Chapter IV – PROBATION

At the end of the lesson, students should be able to:

 Discuss the nature, concept, purpose and procedures of Probation program

 Discuss the role of Parole and Probation Administration in Probation
 Explain the purpose, objectives, advantages, and benefits of Probation Law
 Explain the function and qualifications of Volunteer Probation Aide

PROBATION as a term and as procedure is derived from the Latin word “PROBARE” means to
PROVE. Therefore as the term Latin etymology states, probation involves the testing of an offender as he
proves that he worthy of he’s freedom. Probation can be defined as a sentence imposed by the courts on
offender who have either pleaded guilty or have been found guilty.

Generally follows a trial at which a person has been found guilty, or a plea of guilty is entered in lieu
of an actual trial. It permits the offender to remain within the community subject to good behavior, no
involvement of further illegal behavior. And other conditions imposed by the court, such as restitution to
victim or to attend the alcoholic anonymous group sharing session.

In U.S. another variation in concept of probation has become known as “shock probation or shock
imprisonment” in a strict sense it’s not part of probation system as it does not involve incarceration. In
SHOCK PROBATION, it allows sentencing judge to imposed order incarceration of the offender.

Something similar to shock probation is found on federal courts; known as “SPLIT SENTENCING”
here the offender is actually sentence to a term of imprisonment but is notified in advance that after given
brief period of satisfactory behavior he can serve the remaining sentence in probation.

As practice in the Philippine, the probation implies contract between court and the offender in which
the former promises to hold a prison term in abeyance while the latter promises to adhere to a set of rules or
condition of probation has not been met, even if the offender has not committed another crime.

Historical context of Probation

PROBATION developed out of various practice used under ENGLISH COMMON LAW. One such
practice known as “benefit of clergy” seems to be earliest device of softening brutal severity of punishment. It
allowed certain accused individual to appeal to the court leniency in sentencing by reading from the bible.
Another practice was judicial reprieve, whereby a convicted offender could as the judge to suspend the
sentence of the condition that the offender displays future good behavior.

Two names are closely associated with the founding of probation; Matthew Davenport Hill, an 18th
century an English barrister and judge. And John Augustus, 19th century Boston boot-maker.

The more immediate origins of modern probation lay in the efforts of John Augustus (1785-1859) a
Boston shoe maker, who is considered as the “father of probation” and recognized as the first true probation
officer. Augustus was born in Woburn Massachusetts in 1785. Starting in the early 1840’s Augustus stand bail
and assumed custody for select, less serious offenders in exchange for judge differing the sentence

Brief Historical Background of Probation in the Philippines

Since World War II, English and American pattern of probation have influence penal policy and
legislation in civil law countries, including the Philippines. The enactment of the juvenile probation law under
1932 RPC started the probation system in the country. Inspired by the probation movement that swept the
western penal system during the first half of this century, the Philippine legislature under American
sovereignty enacted Commonwealth Act 4221 popularly known as “Philippine probation act” which was
approved on August 7, 1935.
 To carry out its provisions, the act created a probation office in the department of justice. The office
was headed by the chief probation officer who was appointed by the governor general with the consent of the
senate.

This probation act was short live. A little more than two years from its approval the supreme court, on
November 16, 1937, in the celebrated case of “the people of the Philippines and Hong Kong and shanghai
banking corporation vs. Jose o. Vera and mariano cu unjieng, 65 Philippine 56”struck down the acts
unconstitutional on the ground that:

1. Said act encroaches upon the pardoning power of the chief executive/president
2. It made undue delegations of legislature power to the provincial boards
3. It contravened the equal protection of the law clauses. Thus “the people vs. Vera” case sealed the fate
of fledging act no. 4221 it doomed the act to be the first and last probation law in the Philippines.

Teodulo C. Natividad considered as the “Father of Probation in the Philippines” initiated the drafting of
probation system. In 1975, National Police Commission Interdisciplinary drafted the probation law.

Finally, on July 24, 1976 presidential decree no. 968 also known as Adult probation law of 1976 was
signed into law by President Ferdinand Marcos of the Philippines. The probation system started to operate on
January 3, 1978 it was later amended by P.D. no. 1257 on December 1 1977and latter on by P/D/ no. 1990 on
October 5, 1985.

P.D. 968 as amended provides for the rules and regulations on probation, which are currently enforced. The
PPA, which was replaced the old probation administration, is mandated to administer the provisions of the
probation law.

As amended by P.D. NO. 1257 section 4 provides for the period which an application for probation may be
granted. And that is after the trial court shall have convicted and sentence a defendant but before he begins to
serve his sentence. October 5, 1985 however, sect 4 of probation law of 1976 was once again amended this
time by P.D. 1990in its present form, section 4 establishes a much narrower period during which an
application for probation may be filed with the trial court “after the trial court shall have convicted and
sentence a defendant and within the period of an perfecting on appeal” the amendment took effect on January
15, 1986hence once who filed a application for probation after his conviction was affirmed by both RTC and
court of appeals when P.D. no. 1990 was already in effect is not entitled to probation.

On November 1989 the New Administrative Code transferred the function of supervising parole and
pardoned offenders from the trial court to the probation administration. The code also changed the name of the
agency to PPA in order to reflect the change made by the said law.

Section 42 of R.A. NO. 4322 “juvenile welfare act of 2006” further modified section 4 of P.D. no.
968 providing that;

“Sect 42. The probation as an alternative 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 his/her sentence taking into account the best interest of the child. For this purpose sect, 4 of
P.D. no. 968 is here by amended accordingly

The Parole and Probation Administration

The Parole and Probation Administration is an agency of the Philippine government under the
department of justice responsible for providing a less costly alternative to imprisonment of offenders who are
likely to respond individualize community-based treatment program.

The probation administration was created by virtue of P.D. no. 968 “the probation law of 2976” to
administer the probation system. Under E.O. no. 292 “the administrative code of 1987” which was
promulgated on November 23, 1989 the probation administration was renamed “PPA” and given added
function of supervising prisoners who, after serving part of their sentence in jails are released on parole and
probation with parole condition.

The PPA administers the parole and probation system under P.D. NO. 968 as amended and exercise
general supervision overall offender who were released through probation, parole and pardon.

The PPA is headed by the Administrator. As the agency executive officer he exercise overall
supervision and control over the PPA, including those with the fields.

The PPA organization structure consist of seven (7) divisions fifteen (15) regional parole and
probation offices, 202 provincial/city parole and probation offices 13 sub provincial/city parole and probation
offices, and 73 extension offices. A planning staff and technical staff in the immediate office of the
administrator assist in planning and regional coordination function, respectively. The PPA has its main office
located in DOJ agencies building, NIA Road East Avenue Diliman, Quezon City

The seven (7) divisions of PPA

 Financial and management

 Administrative
 Case management and records
 Training
 Community service
 Clinical services and divisions

Functions

1. To administer the parole and probation system

2. To exercise supervisions over parolees pardoners and probationers.
3. To promote the correctional and rehabilitation of a criminal offenders.

Administration of parole and probation system

The programs and activities of PPA fall under either investigation or supervision

A. Investigation

The PPA undertakes the following functions under its investigations mandate;

1. Conduct character investigations of petitioner or applicant for probation referred for evaluation by
the courts.
2. Conduct studies on the petitioners antecedents, mental and physical conditions, character,
socioeconomic status, criminal records, family and educational background and other aspects of
his life
3. Submit to the court a PSIR which will be the basis of granting or denying probation.
4. Conduct pre0parole and executive clemency investigations and submission of recommendations
to the BPP.
B. Supervision
1. Provides guidelines, rules and regulation on the implementation of probation law, and on the
proper compliance/observance by client of their conditions for parole, probation and pardon.
2. Monitor compliance by client with said conditions and report the same proper authorities.
3. Undertake reformation programs for probationers, parolees and pardoners. Through community
based rehabilitation/treatment activities like job placement referrals, vocational skill training,
literacy program, livelihood projects and other moral, spiritual, social and economic activities to
uplift their lives.

Nature and Concept of Probation

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

Probation is a mere privileged and its grants rest solely upon the discretion of the country, probation is not
the right of the accused, but rather it’s an act of grace and clemency or immunity conferred by the state which
may be granted by the court to seemingly deserving defendant who there by extreme rigors of the penalty
imposed by the law for the offense.

Privilege is peculiar benefit or immunity conferred by law on a group of persons, not enjoyed by others or by
all. Special enjoyment of good or exemption by the evil. It is a special prerogative granted by law to some
person.

Objective of Probation Law

1. To promote the correction or rehabilitation of an offender by providing him with individualized

treatment.
2. To provide an opportunity for the reformation of penitent offender with might be less probable if he
were to serve prison sentence.
3. To prevent the commission of an offense.
4. To decongest our jail or prison
5. To save the government much needed finance for maintaining convicts in jails.

Penalty which makes the convict qualified for probation

The penalty must not be exceeding six (6) years (equivalent to pricion correctional)

Imprisonment. In case of multiple convictions, the basis for determining whether or not the penalty qualifies
the conviction from probation is the term of individual imprisonment and not the sum total of all prison term
imposed in the decision.

Criteria for placing an offender on probation, the court may consider all information relative to
(section 8, as amended)

1) Character
2) Antecedent
3) Environmental
4) Mental condition of the offender
5) Physical condition of the offender
6) Available institutional and community resources.

The forms of Investigation Report

 Form 1 – a work sheet that serve as the basis for further investigation of the petitioner
 Form 2 – waiver authorizing the PA to secure any or all any pertinent documents and information.
 Form 3 - The PSIR
 Form 4 – statement under oath signed by the petitioner that he understands the conditions of his
probation and his that he undertakes to comply with said conditions.
 Form 5 – the monthly written report within this 10 days of its month on the status and progress all of
prisoners under his charge to the regional officer concerned
 Form – 6 the period report to be submitted by the regional probation officer of the officer of
 Form 7 – request form of outside travel of probationer
 Form 8 – the violation report of the probationer
 Form 9 – final report or closing and termination of case
 Form 10 – as may prescribed by the probation administration.
What is the role of the probation officer

The probation officer plays a big role in the release of the probationer because he is in the best
position to report all information related to the conduct and mental conditions of the probationer. The
probation officer primarily under takes the supervision and reform of the probationer through
personalize, individualize, and community base program for specific period of time.

The probation officer neglect to submit his report and recommendation of reprehensible. Without the
report the trial court should not issue of the final discharge of the probationer.

The revocation of probation officer

The probation is revocable before the final discharge of the probationer by the court. At any time
during probation, the court may issue a warrant of arrest of a probationer for violation of any of the condition
of the probation. The probationer, once arrested and detained, shall immediately be brought before the court of
hearing, which may be informal and summary, of the violation charge. The defendant may be admitted to bail
pending such hearing. In such case, the provision regarding release on bail of person charge with the crime
shall be applicable to probationers arrested under this provision.

In hearing, which shall be summary in nature, the probationer shall have the right to informed of the
violation charge and to adduce evidence in his favor. The forms shall not be bound by technical rules of
evidence but may inform him in all facts which are material and relevant to certain the veracity of the charge.
The state shall be represented by the prosecuting officer in any contested hearing. If the violation established,
the court may revoke or continue his probation and modify 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 terms and condition thereof, shall not be appealable.

Rules where there is violation of probation

Violation of probation shall be understood to mean any act or omission on the part of a probationer.
Which is contrary of the terms and condition thereof shall not be appealable.

Contents of violation of report

1) A complete statement of facts of the alleged violation including the date, place, and circumstances
thereof the statement of the witnesses and arresting officer, if any,
2) The explanation, if any, of the probationer to the charge; and
3) The recommendation of the probation officer

The arrest of the probationer and hearing on violation of probation

The court after considering the nature and seriousness of the alleged violation on the basis of the
report mentioned in section 37 above, may issue a warrant of arrest of the probationer for the hearing of
violation of probation.

How probation is terminated and effects of termination

Upon recommendation of probations officer report, the court may order final discharge of probationer
and there upon the case is deemed terminated. It was held in bala vs. Martinez, et, al., 181 scra 459 that, the
probationer was not conterminous with his period hence mere lapse on the probation period does not terminate
the probation. There must be an order by the court terminating the probation.
 The final discharge of probationer hall operate to restore to him all his civil rights lost or
suspend as a result of his conviction and to fully discharge for any liability of fine imposed to him as to the
offense for which a probation was granted.

Causes for probation cases to be terminated are close

1) Expiration of period of probation

2) By revocation for cause under probation law
3) By death of probationer
4) By the successful completion of a program of probation

Final report for closing or terminating the probation case

The rules on probation provides at least 30 days before the expiration of the period of probation.

PRESIDENTIAL DECREE NO. 968

(As amended by P.D. no. 1257, Bp, Blg. 76, and P.D, 1990)

Establishing a probation system, appropriating funds therefore and for other purposes

Section 1. Title and scope of the decree. This decree shall be known as Probation Law of 1976. It shall apply
to all offenders except those entitled to benefit under provision of P.D. 603 and similar laws.

Section 2. Purpose. This decree shall be interpreted so as to.

 To promote the correction and rehabilitation of the offender by providing him with individual
treatment.
 Provide an opportunity for reformation of a pertinent offender which might be less probable if he
were to serve the prison sentence
 Prevent the commission of the offense

Section 3. Meaning of term. As used in the decree the following shall unless the context otherwise required,
be constructed thus;

 PROBATION is a disposition under which a defendant, after conviction and sentence is released
subject to conditions imposed by the court and the supervision of a probation officer.
 PROBATIONER means a person placed in probation
 PROBATION OFFICER means once that investigate for the court referral for probation or supervise
probation or both.

Section 4. Grant of Probation. Subject to the provision of the decree, the trial court may, after it shall have
convicted and sentence a defendant after an application by said defendant within the period of a perfecting on
appeal, suspend the execution of sentence and placed a defendant on probation for such period and upon such
term and condition as it may deem best.

Probation may be granted even the sentence imposed a term Fine only. An application for probation
shall be filed with the trial court, with notice to the appellate court if an appeal has been taken from the
sentence of conviction.

***AN ORDER GRANTING OR DENYING PROBATION SHALL BE NOT APPEALABLE.

Section 5. PSIR. No person shall be placed on probation except upon prior to investigation by the probation
officer and determination by the court that the end of justice and the best interest of public as well as that of
defendants will be served thereby.
Section 6. Form of Investigation Report. The investigation report to be submitted by probation officer under
section 5 thereof shall be in the form prescribed by the probation administrator and approved by secretary of
justice.

Section 7. Period for submission of Investigation Report. The probation officer shall subject 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 15 days after receipt of said
report.

Pending submission of investigation report and the resolution of the petition, the defendant may be
allowed on temporary liberty under his bail filed in his criminal case provided that; in case where no bail was
filed or that the defendant on recognizance on the custody of responsible member of the community resources.

Section 8. Criteria of placing an offender on probation. In determining whether an offender may be placed on
probation, the court shall consider all information relative to the character, antecedents, environment, mental
and physical condition of the offender.

Section 9. Disqualified offenders. The benefits of this decree shall not be extended to those:

 Sentence to serve a maximum term of imprisonment of more than 6 years

 Convicted of subversion or any crime against national security or the public order.
 Who have previously been convicted by final judgment of an offense punished by imprisonment of
not less than one month and one day and/or a fine of not less than 200 pesos.
 Who have been once on probation under the provision of this decree? And;
 Who are already serve a sentence at the time the substantive provisions of this decree become
applicable pursuant at section 33.

Section 10. Conditions of probation. Every probation order issued by the court shall contain conditions
requiring that the probationer shall;

 Present himself to the probation officer designated to undertake his provision as such place as may be
specified in order within 72 hours from receipt of said order.
 Report to the probation officer at least one month at such time and place specified at said order.
 Cooperate with the program of supervision.
 Meet his family responsibilities.
 Devote himself to a specific employment and not to change said employment without the prior written
approval of probation officer.
 Undergo medical, psychological and psychiatric examinations and treatment and enter the remain in a
specified institution.
 Pursue a prescribed secular study on vocational training.
 Attend or reside in a facility established for instruction, recreation or residence of person on
probation.
 Refrain from visiting houses of ill-repute
 Abstain from drinking intoxicating beverage to excess.
 Permit the probation officer or an authorized social worker to visit his home or place or work.
 Reside a premises approved by it and not to change his residence without prior to approval.
 Satisfy any other conditions related to the rehabilitation of the defendant and not unduly restrictive of
his liberty or incompatible with his freedom of consequences.

Section 11. Affectivity of probation order. A probation officer shall take effect upon its issuance, at which
time the court shall inform the offender of the consequences thereof and explain that upon his failure to
comply with any of the conditions prescribed in the said order or his commission of another crime, he shall
serve the penalty imposed for the offense in which he has placed in probation.
Section 12. Modification of condition of probation. During the period of probation, the court may, upon an
application of either the probationer or the probation officer, revise or modify the conditions or period of
probation. The court shall notify whether the probationer or the probation officer of filing such application so
as to give both parties an opportunity to be heard thereon.

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

Section 13. Control a supervision of probation. The probationer and his probation program shall be under the
control of the court. Who placed him in probation subject to actual supervision an visitation by the probation
officer.

Section 14. Period of probation.

 The period of a defendant sentence to a term of imprisonment not more than one year shall not exceed
two years, and in all other cases, said period shall not exceed 6 years.
 When the sentence imposed a fine only and the offender is made to serve subsidiary imprisonment in
case of insolvency, the period of probation shall not be less than nor to be more than twice the total
no. of days of subsidiary imprisonment as computed at the rate established in article 39 of RPC as
amended.

Section 15. Arrest of probationer subsequent disposition. At any time during probation, the court may issue a
warrant of arrest of a probationer of any serious violation of the conditions of probation. The probationer,
once arrested and detained, shall immediately be brought before the court for a hearing of a violation charge.
The defendant may be admitted to bail pending such hearing. In such case, the provision regarding the
released-on bail of a person charge with the crime shall be applicable to probationers arrested under this
provision.

Section 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 there upon, the case is deemed
terminated.

Section 17. Confidentially of Records. The investigation report and supervision history of a probationer
obtained under his decree shall be privileged and shall not be disclosed directly and indirectly to anyone other
than the probation administration or the court concerned, except that the court, in its discretion, may permit
the probationer of his attorney to inspect the aforementioned documents or part thereof whenever the best
interest of probationer makes such disclosure desirable or helpful.

Section 18. The probation administration. There is hereby created under department of justice an agency to be
known as the probation administration. Here in referred to as the administration, which shall exercise the
general supervision aver all probationers.

Section 19. Probation administration. The administration shall be headed by probation administrator,
hereinafter referred to us the administrator, who shall be appointed by the president of the Philippines.

Section 20. Assistant administrator. There shall be assistant probation administrators who shall assist the
administrator perform such duties as maybe assigned to him by the latter as he maybe provides by law. In the
absence of the administrator, he shall act as head of the administration.

He shall be appointed by the president and shall receive an annual salary of 36.000 pesos.

Section 21. Qualification of the administrator and assistant probation administrator. To be eligible for the
appointment as administrator or assistant probation administrator, a person must be 35 years of age, holder of
master’s degree or its equivalent of either criminology, social work, correction, psychology, penology,
sociology public administration, law, police science, police administration, or related fields, or should have at
least five years of supervisory experience, or a member of the Philippine bar with at least seven years of
supervisory experience.

Section 22. Regional office; regional probation administrator. The administration shall have regional offices
organized in accordance with the fields service area patterns established under the integrated reorganization
plan. Such regional offices shall be headed by the regional probation officer who shall be appointed by the
president in accordance with the integrated reorganization plan and upon recommendation of secretary of
justice.

Section 23. Provincial and city probation officer. There shall 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 civil service law.

Section 24. Miscellaneous power of provincial and city probation officer. Provincial or city probation officer
shall have their authority within their jurisdictional territory to administer oath and acknowledgement and to
take depositions in connection with their duties and functions with his decree.

Section 25. Qualifications of regional, assistant regional, provincial, and city probation officer. No person
shall be appointed regional, assistant regional, provincial, and city probation officer unless he possesses at
least a bachelor’s degree with a major in social work criminology, social work, correction, psychology,
penology, sociology public administration, law, police science, police administration, or related fields and has
at least three years of experience in work required in abovementioned disciplines, or is a member of the
Philippine Bar with at least three years of supervisory experience.

Section 26. Organization. Within twelve months from approval of this decree. The secretary of justice shall
organize the administrative structure of administration and the other agencies created herein. During said
period, he shall also determine the staffing patterns of the regional, provincial and city probation offices with
the end in view in achieving maximum efficiency and economy in the operation of probation system.

Section 27. Fields assistants, subordinate personnel. Provincial or city probation officer shall be assisted by
such field assistants and subordinate personnel as maybe necessary enable them to carry out their duties
effectively.

Section 28. Probation Aides. To assist the provincial and city probation officer in the supervision of the
probationers the probation administrator shall appoint citizens of good repute and probity to act probation
aides.

*** Who are eligible to be a volunteer probation aide

He must be a Filipino citizen of good repute and probity. At least 18 years of age resident as good
standing of the province or city where the probationer resides.

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 maximum case loads 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.”
Section 29. Violation of confidential and nature of probation records. The penalty of imprisonment ranging
from six months and one day to six years and a fine ranging from six hundred to six thousand shall be
imposed upon any person who violated section 17 hereof.

Done in the city of manila, this 24 th day of July in the year of our lord nineteen hundred and seventy-
six.

Read also : [Link]