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LESSON’S:
1. Probation

When the sentence imposes a fine only and the offender is made to serve a subsidiary imprisonment in
case of insolvency, the period of probation shall not be less than nor more than twice the total number
Introduction:
Probation as a term was derived from the Latin verb “probare” which means 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 condition imposed by the Court and to the supervision of a
probation officer.

Objective: at the end of the lesson the students are expected to;
 Discuss Probation
 Enumerate and memorized the laws that amends on PD 968
 Enumerate and differentiate the forerunners of probation
 Discuss the Characteristics, Philosophy, and concept of Probation
 Enumerate, and memorized the Pioneers in the Field of Probation
 Discuss the advantages of Probation

Discussion;

PROBATION
Predecessors of Probation
 Money Compensation
 Cities of Refuge
 Benefit of the Clergy
 Judicial Reprieve
 Banishment
 Recognizance

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

PD 968 - THE PROBATION LAW OF 1976

- approved on 24 July 1976; effectivity date is 3 January 1978

AMENDATORY LAWS TO PD 968

 PD 1257 – effectivity date, 01 December 1977; amended the period within which application for
probation must be made
 BP 76 – effectivity date, 13 June 1980; amended the maximum penalty for qualification for
probation
 PD 1990 - effectivity da te, 15 January 1986; amended BP 76 back to original form and made
probation and appeal exclusive remedies
 Republic Act No. 10707 – An Act Amending PD.No 968, as Amended – This Act which is
consolidated of Senate Bill No. 2280 and House Bill No. 4147, passes on the Senate and House
of Representatives. It was sign and approved on November 26,2015 by President Benigno S.
Aquino III
 Republic Act No. 9344 or the Juvenile Justice and Welfare Act of 2006 – amended Section 4 of
PD 968.

PROBATIONER -is a person placed on probation

PROBATION OFFICER (now Probation and Parole Officer) -is one who investigates for the court a
referral for probation or supervises a probationer or both

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FORERUNNERS OF PROBATION

1. BENEFIT OF CLERGY
This originated in a compromise with the Church which had maintained that a member of
the clergy brought to trial in 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 the authority of
the ecclesiastical courts only.

2. JUDICIAL REPRIEVE
This is a temporary withholding of sentence, either before or after judgment; as where the
judge is not satisfied with the verdict, or evidence is suspicious, or indictment is insufficient, or
he is doubtful whether the offense be within the clergy, or sometimes if it be a small felony, or
any favorable circumstances appear in the criminal’s character.
3. RECOGNIZANCE (BINDING OVER FOR GOOD BEHAVIOR)
It originated as a measure of preventive justice, involving the release of the person
accused of committing a crime to the custody of a person of reputable character, who shall have
the responsibility of bringing the accused to court whenever the court requires.

4. TRANSPORTATION
This was chiefly a way of ridding the country of criminals; it later developed as a plan for
supplying new colonies with cheap labor. It was also an attempt to substitute for brutal
punishment at home and an opportunity for rehabilitation in a new country.

IMPORTANT PERSONALITIES IN THE HISTORY OF PROBATION

JOHN AUGUSTUS “Father of Probation” in the US

MATTHEW DAVENPORT HILL he is considered as the “Father of Probation” in England

Governor Alexander H. Rice 30th Governor of Massachusetts

Calvin Coolidge 30th U.S. President

John Marshal U.S. Chief Justice

TEODOLO S. NATIVIDAD Father of Philippine Probation

Ferdinand E. Marcos Pd.No 968

EDWARD H. SAVAGE an ex-chief of Police in Boston named as the first probation officer.

Act No. 4221

– the first Probation Law of the Philippines
– this act became effective on August 7, 1935
– the Supreme Court declared this Act unconstitutional on November 16, 1937

In People vs. Vera (37 O.G. 164), the constitutionality of Act 4221 was challenged because of the
following grounds:

a) The said act encroaches upon the pardoning power of the executive
b) That it constitute an undue delegation of legislative power
c) It denies the equal protection of the laws

SIX SIGNIFICANT IDEAS AND CHARACTERISTICS OF PROBATION

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 1. A more enlightened and humane correctional system;
2. To promote the reformation of offenders;
3. Reduction of the incidence of recidivism;
4. Extending to offenders individualized and community-based treatment programs instead of
imprisoning them;
5. Limited to offenders who are likely to respond thereto favorably;
6. The method is less costly than confinement.

PHILOSOPHY AND CONCEPTS OF THE PROBATION SYSTEM

1. There is no single cause for delinquent behavior. Human beings are extremely complicated.
2. Delinquent and criminal acts are symptoms a more serious underlying condition.
3. That the individual has the ability to change and to modify his anti-social behavior with the right
kind of help.
4. The Central goal of the Probation Administration is to enhance the safety of the community by
reducing the incidence of criminal acts by persons previously convicted.
5. This is of course not to say that probation should be used in all cases, or that it will always
produce better results.
6. By the same token, however, it is to say that probation is a good bit more than the “matter of
grace” or “leniency” which characterizes the philosophy of the general public and of many judges
and legislators on the subject.
7. Imprisonment as a sole cure for prevalence of crime is no longer recognized.
8. It is generally conceded that probation is a matter of privilege to be granted or refused at the
discretion of the State.
9. No violation should result in automatic revocation.
10. A judge should not pass judgment on a man without a post sentence investigation report (PSIR).

BENEFITS OF PROBATION
Probation protects society
 From the excessive costs of detention
 From the high rate of recidivism of detained offenders

Probation protects the victim

 It provides restitution
 It preserves justice

Probation protects the family

 It does not deprive the wife and children of a husband and a father
 It maintains the unity of the home

Probation assists the government

 It reduces the population of prisons and jails
 It lessens the clogging of courts
 It lightens the load of prosecutors
 It sustains law enforcement

Probation helps the offender

 It maintains his earning power
 It provides rehabilitation in the community
 It restores his dignity

Probation justifies the philosophy of men

 That life is sacred
 That all men deserve a second chance
 That an individual can change
 That society has a moral obligation to lift the fallen

ADVANTAGES OF PROBATION

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 1. Probation prevents crime by offering freedom and aid only to those offenders who are not likely
to assault the society again.
2. It protects the society by placing under close supervision non-dangerous offenders while
undergoing treatment and rehabilitation in the community.
3. It conforms to modern humanistic trends in penology.
4. It prevents youthful or first time offenders from turning into hardened criminals.
5. It is a measure of cutting enormous expense in maintaining jails.
6. It reduces recidivism and overcrowding in jails and prisons.
7. It reduces the burden on the police forces and institutions of feeding and guarding detainees.
8. It gives the first and light offenders a second chance in life and provides as opportunity for the
reformation of a penitent offender.
9. It makes the offender productive or taxpayers instead of tax eaters.
10. It restores to successful probationers his civil rights.
11. It has been proven effective in developing countries that have adopted it.

SUSPENSION OF EXECUTION OF SENTENCE

The court convicts and sentences the defendant but the execution of the sentence, whether it
imposes a term of imprisonment or a fine only, is suspended and the defendant is released on probation.

PROBATION IS ONLY A PRIVILEGE, NOT A RIGHT

Probation is not demandable as a matter of right. It is a privilege. Its grant depends upon the
discretion of the court.

NECESSITY OF APPLICATION
Probation may not be granted except upon application of the defendant.

TIME FOR APPLICATION

The law says that the application for probation should be made within the period for perfecting an
appeal, or within fifteen (15) days from promulgation of notice of judgment.

EFFECT ON APPEAL
The filing of application (for probation) shall be deemed a waiver of the right to appeal. In such
case the accused cannot, even by withdrawing his application for probation, reinstate his appeal or right to
appeal.

EFFECT ON MOTION FOR RECONSIDERATION OR NEW TRIAL

There is nothing in the Probation Law which indicates that the defendant’s right to move for a
reconsideration of the judgment of conviction, or his right to ask for new trial, is waived or suspended by
his application for probation, or that such application has the effect of an automatic withdrawal of a
pending motion for reconsideration or new trial, although there is likewise nothing in the law which
suggests that the filing of the application for probation interrupts the running of the period for
reconsideration or new trial.

FORM OF APPLICATION
The law does not prescribe any particular form and therefore it may be in any form, written or
oral. For recording purposes, however, oral applications should be reduced to writing.

POST SENTENCE INVESTIGATION

The Probation Law provides that “no person shall be placed on probation except upon prior
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 defendant will be served thereby".

The probation officer shall submit to the court the investigation report on an applicant not later
than sixty (60) days from receipt of the order of the said court to conduct the investigation.

The court shall resolve the petition for probation not later than fifteen (15) days after receipt of
said order.

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DENIAL OF PROBATION TO DISQUALIFIED OFFENDER WITHOUT PRIOR
INVESTIGATION
However, there is nothing in the law which requires that such an investigation should be
conducted in every case as an essential condition before the court may deny an application for probation.

COURT MAY ORDER INVESTIGATION SO LONG AS APPLICANT IS NOT SERVING

SENTENCE

If there is an application and the defendant does not appear to be disqualified, the court may order
such investigation only after a sentence of conviction by the trial court for the reason that the same would
be premature if made prior to said conviction, considering that the judgment might eventually be an
acquittal or, even if it be conviction, the court might find as a fact in its decision that the defendant is a
disqualified offender, in either of which cases the order for investigation would serve no purpose.

POST SENTENCE INVESTIGATION, NOT PRE-SENTENCE INVESTIGATION

Under our Probation Law, the investigation for probation is a post-sentence, not pre-sentence
investigation; meaning that the investigation is after, not before, the sentence. The sentence referred to is
the sentence of the trial court.

SCOPE OF INVESTIGATION
The inquiry should be a thorough investigation into the character, antecedents, environment,
mental and physical condition of the offender, and available institutional and community resources, as
well as all other matters bearing the following questions:

(a) Whether or not the offender is in need of correctional treatment that can be provided most
effectively by his commitment to an institution;
(b) Whether or not there is undue risk that during the period of probation the offender will commit
another crime;
(c) Whether or not probation will depreciate the seriousness of the offense committed.

NO RIGHT TO COUNSEL
The Probation Law has no provision guaranteeing the right to counsel in the investigation of a
petitioner. The constitutional guarantee of right to counsel will not apply because the investigation by the
probation and parole officer is neither prosecutory nor accusatory in character.

PRIVILEGE AGAINST SELF-INCRIMINATION NOT AVAILABLE

The information contained in the post-sentence investigation report shall be “privileged” and
could not be used as evidence against any person, no matter how incriminating the information may be.

NO SUBPOENA POWERS
Probation and parole officer are not clothed with subpoena powers under the Probation Law.
There is nothing to prevent them, however, from requesting the court to issue subpoenas requiring the
attendance of witnesses in their investigations.

SUBMISSION OF INVESTIGATION REPORT

The investigation report having been completed, the Chief Probation and Parole Officer should
submit his report to the court, “not later than 60 days from receipt of the order of the court to conduct
the investigation”. The same period is merely directory, not mandatory, in the sense that an investigation
report submitted after 60 days would still be a valid report.

NO COPY OF REPORT FOR APPLICANT

The investigation report as well as the supervision history “shall be privilege and shall not be
disclosed directly or indirectly to anyone other than the Parole and Probation Administration or the court
concerned.

NO RIGHT OF APPLICANT TO COMMENT ON REPORT

There is nothing in the Probation Law which entitles the applicant to submit any comment, or
demand that the court should consider the same.

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HEARING NOT REQUIRED
There is nothing in the Probation Law which requires the court to set for hearing the investigation
report or the application for probation, although it may of course, in its discretion do so, preserving at all
times, however, the confidentiality of the report.

The court is mandated to resolve the petition for probation not later than 15 days after receipt of
the investigation report. The period, however, seem to be merely directory, not mandatory.

BAIL OR RECOGNIZANCE PENDING PETITION FOR PROBATION

Pending submission of investigation report and the resolution of the petition for probation, the
defendant may be allowed temporary liberty under his bail filed in the criminal case. In case no bail was
filed or the defendant 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.

GRANT OR DENIAL OF PROBATION

PROBATION DISCRETIONARY
Barring disqualified offenders, the grant or denial of probation is a matter of discretion on the part
of the court.

ISSUANCE OF PROBATION ORDER

A probation order 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 offense, he shall serve the penalty
impose for the offense under which he was placed for probation. In the event that violation of any of the
conditions of probation is established, the court need not revoke the probation; it has the discretion to
revoke or continue the probation and modify the conditions thereof.

APPLICANT MAY REJECT GRANT OF PROBATION

The law does not oblige the defendant to accept the probation granted by the court. He should be
allowed to turn down the same grant, especially since he might feel that the terms and conditions thereof
are too onerous for him.

GRANT OR DENIAL OF PROBATION NOT APPEALABLE BUT CERTIORARI MAY LIE

CIVIL LIABILITY NOT AFFECTED

Probation is a substitute for imprisonment (including subsidiary imprisonment in case of non-

payment of fine) and other criminal penalties, not a mode of discharging the civil liability, which is owed
not to the State but to the offended party.

COVERAGE OR SCOPE OF APPLICATION OF DECREE

Non-offenders not covered

Consistently with the concept and purpose of probation, the Decree applies only to offenders.

Offenders covered
The Decree declares, “it shall apply to all offenders”.

Offenders who are excluded

Not all offenders, however, fall within its coverage:

1. It expressly excludes from its operation “those entitled to the benefits of PD 603, as amended
(otherwise known as the Child and Youth Welfare Code) and similar laws.
2. Even if the offender does not fall under the terms of the Child and Youth Welfare Code and the
“similar laws” just mentioned, he would not be entitled to the Benefits of the Decree if he has not
been convicted and sentenced.
3. An offender who is already serving sentence or is otherwise specifically disqualified under Sec.
9.

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 4. Under Sec. 264, BP 881 as amended by BP 882, 883 and 884, which state, “any person found
guilty of any election offense under this code shall be punished with imprisonment of not less
than 1 year but not more than 6 years and shall not be subject to probation.
5. Sec. 9, Pd 1987 (An Act creating the Videogram Regulatory Board, dated October 5, 1985) states
“The provisions of PD 968, as amended shall not apply in cases of violations of this Decree,
including its implementing rules and regulations.
6. Sec. 12 of the Wage Rationalization Act (RA 6727) provides that the violators of the law shall
not be entitled to the benefits of the Probation Law.

DISQUALIFIED OFFENDERS

Sec. 9. Disqualification 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
years;
(b) convicted of subversion or any crime against the national security or
public order;
(c) 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
Two Hundred Pesos;
(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 Sec. 33 hereof

When the court must deny probation

The court shall deny an application for probation whenever it finds that:

a.the offender is in need of correctional treatment that can be provided most effectively by his
commitment to an institution;
b.there is undue risk that during the period of probation the offender will commit another crime;
c. probation will depreciate the seriousness of the offense committed.

PERIOD OF PROBATION

a. The period of probation of a defendant sentenced to a term of imprisonment of not more than one
(1) year shall not exceed two (2) years, and in all other cases, said period shall not exceed six (6)
years.
b. of days of subsidiary imprisonment as computed in the rate established in Art. 39 of the Revised
Penal Code, as amended.

CONDITIONS OF PROBATION
1. General or Mandatory Conditions

 Present himself to the probation (and parole) officer designated to undertake his
supervision at such place as may be specified in the order within 72 hours from receipt of
said order;

 Report to the probation (and parole) officer at least once a month at such time and place
as specified by the said officer.

2. Special or Discretionary Conditions

The court may also require the probationer to:

(a) cooperate with the program of supervision;

(b) meet his family responsibilities;
(c) devote himself to specific employment and not to change said employment without prior
written approval of the probation (and parole) officer;
(d) undergo medical, psychological or psychiatric examination and treatment and enter and
remain in a specified institution, when required for the purpose;
(e) pursue a prescribed secular study or vocational training;

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 (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 the probation (and parole) officer or an authorized social worker to visit his home
and place of work;
(j) reside at premise approved by it and not to change his residence without its prior written
approval; or
(k) satisfy any other condition related to the rehabilitation of the defendant and not unduly
restrictive of his liberty or incompatible with his freedom of conscience

MODIFICATION OF PERIOD AND CONDITIONS OF PROBATION

Period of probation
 The period of probation may either be shortened or made longer, but not to exceed the period
set in the law.

Conditions of probation
 During the period of probation, the court may, upon application of either the probationer or the
probation officer, revise or modify the conditions of probation.

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

REVOCATION OF PROBATION
Concept of violation of probation
 “A violation of probation shall be understood to mean any act or any commission on the part of
the probationer with respect to the terms and conditions specified in the probation order.

Arrest of the probationer

At any time during probation, the court may issue a warrant for the arrest of the probationer for
violation of any of the conditions of probation.

TERMINATION OF PROBATION
A. After the period of probation and upon consideration of the report and recommendation of the
probation and parole 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.

B. Other ways of terminating probation:

1.Termination before the expiration of the period
2.Termination by pardon of the probation
3.Deportation of the probationer
4.Death of the probationer

C. Effect of final discharge

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 fully discharge his liability for any fine imposed as
to the offense for which probation was granted.

CONFIDENTIALITY OF RECORDS

The probation records may be found, firstly, in the court concerned. Secondly, in the office of the
Chief Probation and Parole Officer assigned in the city or province. Thirdly and fourthly, copies of these
records are being forwarded to the Regional Parole and Probation Office and the Parole and Probation
Administration (Central Office).

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Activity: Essay

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

2. Give the contributions of John Augustus that made him as a Father of Probation.
3. Give the main objective of Probation
4. Probation has a lot of benefits may be given to person who granted it, now, why it is not
impossible to grant probation on every person who committed crime?
Reference:
 Community-Based Correction in the Philippines. Brian Guerrero
 Correctional Administration Second Edition. P/Brigadier General. Mercedes Foronda (Ret.) DPA,
Ph.D

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