Professional Documents
Culture Documents
Civil Liability
Civil Liability
Department of Justice RT
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National Institute of Corrections
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TUTE OF C
CIVIL LIABILITIES
and Other Legal Issues for Probation/Parole Officers and Supervisors
4th Edition
U.S. Department of Justice
National Institute of Corrections
320 First Street, NW
Washington, DC 20534
Morris L. Thigpen
Director
Thomas J. Beauclair
Deputy Director
George Keiser
Chief, Community Corrections Division
Dorothy Faust
Project Manager
Phillip Lyons
Todd Jermstad
March 2013
This document was developed under cooperative agreement number 08C77G7U3 from the National Institute of
Corrections, U.S. Department of Justice. Points of view or opinions in this document are those of the authors and
do not necessarily represent the official opinion or policies of the U.S. Department of Justice.
Contents
Chapter 6. Supervision............................................................................................ 81
iii
CHAPTER 1
INTRODUCTION
A. Civil Liabilities
1. Title 42 of the U.S. Code, § 1983—Civil Action for Deprivation of Rights
2. Title 42 of the U.S. Code, § 1985—Conspiracy to Interfere With Civil Rights
3. Title 42 of the U.S. Code, § 1981—Equal Rights Under the Law
B. Criminal Liabilities
1. Title 18 of the U.S. Code, § 242—Deprivation of Rights Under Color of Law
2. Title 18 of the U.S. Code, § 241—Conspiracy Against Rights
3. Title 18 of the U.S. Code, § 245—Federally Protected Activities
III. MAY AN OFFICER BE HELD LIABLE UNDER ALL OF THE ABOVE LAWS? YES.
SUMMARY
NOTES
1
CHAPTER 1
INTRODUCTION
The array of legal liabilities to which probation/parole officers may be exposed are many and varied.
They include state and federal laws of both civil and criminal varieties. An overview of these liabilities
is depicted in Table 1–1.
Note that in addition to these statutory sources of liability, the officer may be subject to administrative
disciplinary procedures within the agency that can result in transfer, suspension, demotion, dismiss-
al, or other forms of sanction. Disciplinary procedures are defined by state law or agency policy.
The above legal liabilities apply to all public officers and not just to probation/parole officers. Police of-
ficers, jailers, prison officials, juvenile officers, and just about any officer in the criminal justice system
may be held liable for any or all of the above provisions based on a single act. For example, assume
that a parole officer unjustifiably uses excessive force on a parolee. Conceivably, he or she may be
liable under all of the above provisions. He or she may be liable for conspiracy if he or she acted
with another to deprive the parolee of his civil rights, as well as for the act itself, which constitutes
the deprivation. The same parole officer may be prosecuted criminally and civilly under federal law
and then be held criminally and civilly liable under state law for the same act. The double jeopardy
defense cannot exempt him or her from multiple liabilities because double jeopardy applies only in
criminal (not civil) cases, and only when two criminal prosecutions are made for the same offense by
the same jurisdiction. Criminal prosecution under state and then under federal law for the same act is
possible and occurs with some frequency. If this occurs, it often indicates that the second prosecuting
authority believes that justice was not served in the first prosecution.
All of the above types of liability are discussed briefly in this chapter. As indicated, liability can be
classified according to federal or state law.
Table 1–1. Classification of Legal Liabilities Under State and Federal Law
2. State civil rights laws 2. Title 42 of the U.S. Code, § 1985—Conspiracy to Interfere With Civil Rights
3. Title 42 of the U.S. Code, § 1981—Equal Rights Under the Law
1. State penal code provisions aimed specifically at public officers 1. Title 18 of the U.S. Code, § 242—Deprivation of Rights Under Color of Law
Liabilities
Criminal
2. Regular penal code provisions punishing criminal acts 2. Title 18 of the U.S. Code, § 241—Conspiracy Against Rights
3. Title 18 of the U.S. Code, § 245—Federally Protected Activities
A tort is defined as “A civil wrong, other than breach of contract, for which a remedy may be obtained,
usually in the form of damages; a breach of a duty that the law imposes on persons who stand in
a particular relation to one another.”1 Torts may involve a wrongdoing against a person, such as
assault, battery, false arrest, false imprisonment, invasion of privacy, libel, slander, wrongful death,
and malicious prosecution; or against property, such as arson, conversion, or trespass. A tort may be
intentional (acts based on the intent of the actor to cause a certain event or harm) or caused by neg-
ligence. Probation/parole officers may therefore be held liable for a tortious act that causes damage
to the person or property of another. Note that § 1983 actions, federal cases, are sometimes referred
to as “tort cases,” but the reference is to federal rather than state torts.
A questionnaire sent to state attorneys general and probation/parole agency legal counsel asked if
their states had statutes providing for criminal liability for probation, parole, and public officers in gen-
eral. The results show that only a few states have statutes pertaining to liability for probation/parole
officers specifically, 8 percent in both cases, but 84 percent of the states have statutes concerning
the criminal liability of public officers in general.
4 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 1
This section is discussed separately in Chapter 3 because of the overwhelming number of civil liabil-
ity cases filed under this section. Refer to that chapter for an exhaustive discussion of liability under
federal law.
Passed by Congress in 1861, this law provides for civil damages to be awarded to any individual who
can show that two or more persons conspired to deprive her of her civil rights. Note that a probation/
parole officer may therefore be held civilly liable not only for actually depriving a person of her civil
rights (under § 1983), but also for conspiring to deprive that person of his civil rights (under § 1985).
The two acts are separate and distinct and therefore may be punished separately. Under this section,
it must be shown that the officers had a meeting of the minds and actually agreed to commit the act,
although no exact statement of a common goal need be proven. In most cases, the act is felonious
in its severity (as opposed to a misdemeanor) and is aimed at depriving the plaintiff of her civil rights.
The plaintiff must also be able to prove that the defendants purposely intended to deprive her of
equal protection of the law. This section, however, is seldom used against public officers because the
act of conspiracy is often difficult to prove except through the testimony of coconspirators. Moreover,
it is limited to situations in which the objective of the conspiracy is invidious discrimination, which
is difficult to prove in court. It is difficult for a plaintiff to establish in a trial that the probation/parole
officer’s action was discriminatory based on sex, race, or national origin.
***
For purposes of this section, the term “make and enforce contracts” includes the making, perfor-
mance, modification, and termination of contracts, and the enjoyment of all benefits, privileges, terms
and conditions of the contractual relationship.
***
The rights protected by this section are protected against impairment by nongovernmental discrimi-
nation and impairment under color of State law.5
This section was passed in 1870, a year earlier than § 1983. Originally, the plaintiff had to show that
he was discriminated against because of his race, thus limiting the number of potential plaintiffs.
Section 1981 has been widely used in employment and housing discrimination cases (under its con-
tracts and equal benefits provisions). However, the like punishments provision should be of greater
significance for probation and parole authorities because criminal justice system officials have been
held liable for violating its mandate.6
B. Criminal Liabilities
1. Title 18 of the U.S. Code, § 242— Deprivation of Rights Under Color of Law
Whoever, under color of any law, statute, ordinance, regulation, or custom, willfully subjects any
person of any State, Territory, Commonwealth, Possession, or District to the deprivation of any rights,
privileges, or immunities secured or protected by the Constitution or laws of the United States, or to
different punishments, pains, or penalties on account of such person being an alien, or by reason of
his color, or race than are prescribed for the punishment of citizens, shall be fined under this title or
imprisoned not more than one year, or both; and if bodily injury results from the acts committed in
violation of this section or if such acts include the use, attempted use, or threatened use of a danger-
ous weapon, explosives, or fire, shall be fined under this title or imprisoned not more than ten years,
or both; and if death results from the acts committed in violation of this section or if such acts include
kidnapping or an attempt to kidnap, aggravated sexual abuse, or an attempt to commit aggravated
sexual abuse, or an attempt to kill, shall be fined under this title, or imprisoned for any term of years
or for life, or both, or may be sentenced to death.7
This section provides for criminal action against any officer who actually deprives another of his civil
rights. An essential element of this section requires the government to show that the officer, acting
“under color of any law,” did actually commit an act that amounted to the deprivation of one’s civil
rights. Essential elements of § 242 are the following: (a) the defendant must have been acting under
color of law; (b) a deprivation of any right secured by the United States Constitution or federal laws;
and (c) specific intent on the part of the defendant to deprive the victim of rights.
If two or more persons go in disguise on the highway, or on the premises of another, with the intent
to prevent or hinder his free exercise or enjoyment of any right or privilege so secured—They shall
be fined under this title or imprisoned not more than ten years, or both; and if death results from the
acts committed in violation of this section or if such acts include kidnapping or an attempt to kidnap,
aggravated sexual abuse or an attempt to commit aggravated sexual abuse, or an attempt to kill,
they shall be fined under this title or imprisoned for any term of years or for life, or both, or may be
sentenced to death.8
The courts have interpreted this section as requiring the following: (1) the existence of a conspiracy
whose purpose is to injure, oppress, threaten, or intimidate; (2) one or more of the intended victims
must be a United States citizen; and (3) the conspiracy must be directed at the free exercise or
6 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 1
enjoyment by such a citizen of any right or privilege under federal laws or the United States
Constitution.
The main distinction between § 242 and § 241 is that § 242 punishes the act of depriving one of
rights, whereas § 241 punishes the conspiracy to so deprive one of rights. Inasmuch as conspiracy,
by definition, requires at least two participants, § 241 cannot be committed by a person acting alone.
Moreover, although § 242 requires the officer to be acting the “color of any law,” there is no such
requirement under § 241; hence, a private person can commit a § 241 violation.
Violations of § 245 carry a fine or imprisonment of not more than 1 year, or both. Should bodily
injury result from a violation, or if such acts include the use, attempted use, or threatened use of
a dangerous weapon, explosive, or fire, the violator may be fined or imprisoned not more than 10
years, or both. Should death result from the acts committed in violation of this section, or if such acts
include kidnapping, attempt to kidnap, aggravated sexual abuse or an attempt to commit aggravated
sexual abuse, or an attempt to kill, the violator may be fined under this title or imprisoned for any
term of years or for life, or both, or may be sentenced to death.10 This statute, passed in 1968, seeks
to punish all persons who forcibly interfere with federally protected activities. Therefore, it applies to
probation/parole officers who act in their private capacity. The first part of the law penalizes a variety
of acts as noted above. The act goes on to authorize punishment for deprivations of such rights as
attending a public school or college; participating in state or locally sponsored programs; serving
on a state jury; participating in interstate travel; or using accommodations serving the public, such
as eating places, gas stations, and motels. Finally, the act penalizes interference of persons who
encourage or give an opportunity for others to participate in or enjoy the rights enumerated in the
statute. It is distinguished from sections 241 and 242 in that a person acting singly and in a private
capacity can violate it. This law is seldom used at present.
The defense of double jeopardy does not apply in these cases because that defense is available
only if there are successive prosecutions for the same offense by the same jurisdiction.11 Civil and
criminal penalties imposed by the same government may result from a single act because “succes-
sive prosecution” means that both cases are criminal; hence, it does not apply if one case is criminal
and the other civil. Criminal prosecutions may also take place in state court and federal court for the
same act. There is no double jeopardy because of the “same jurisdiction” requirement for the de-
fense. State and federal prosecutions take place in different jurisdictions; therefore, there is no double
jeopardy. There is also no double jeopardy protection if an employee is dismissed from employment
or otherwise disciplined by her agency and then either prosecuted, or held civilly liable, for the same
act. This is so because agency discipline, like a civil action, is not a criminal proceeding.
The series of events involving the defendant police officers in the infamous Rodney King case
provides an example of how double jeopardy protection applies and, importantly, how it does not.
In that case, the officers were first suspended and then dismissed from employment by the agency
(administrative liability). They were then tried for criminal acts in state court, but were acquitted. After
acquittal, they were tried again for criminal acts in federal court. Two of the four defendants were ac-
quitted in federal court, but the other two were convicted and served time in a federal institution. The
officers raised the double jeopardy defense on appeal, but did not prevail because they were tried by
two different jurisdictions. The officers were also held liable for civil damages.
The rule concerning local governments is different. Local governments are subject to liability under
the United States Supreme Court’s decision in Monell v. Department of Social Services.12 In the
1978 Monell decision, the Court stripped local agencies of the sovereign immunity defense.
8 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 1
Therefore, counties, judicial districts, municipalities, or other political subdivisions may be sued and
held liable for what their employees do.
B. Nominal Damages
These are an acknowledgment by the court that the plaintiff proved his cause of action, usually in the
amount of $1. When the plaintiff was wronged but suffered no actual injury, nominal damages would
be appropriate.
In one case, Brooker v. N.Y., for example, a plaintiff who was arrested by state police officers, was
grabbed by the neck and pulled out of a tavern. In a claim alleging assault and battery, the court
awarded $1 in nominal damages, finding that the plaintiff suffered “no injury” from the use of force
and made “embarrassingly phony” moans of pain only when someone started to videotape the
events.13 Courts, have held that a nominal damage award must be entered where a constitutional
violation has been found, even if no actual damages resulted.14
Where nominal damages vindicate the plaintiff as wronged, the door to punitive damages is opened,
with or without a compensatory damage award. Nominal damages also lay the basis for awarding
1983 attorney fees in that they identify the prevailing party. These fees are not automatic in cases
involving nominal damages, however; the Supreme Court has held that courts must take into account
the amount of the award and other relief granted in deciding whether to award attorney’s fees and in
what amounts.15
SUMMARY
Probation/parole officers may be exposed to legal liabilities under federal and state law. Legal liabil-
ities may be classified as civil, criminal and administrative. This chapter discusses the various laws
and consequences to which an officer may be exposed in connection with her work. These liabilities
are not mutually exclusive; in fact, one serious act may expose the officer to a number of civil and
criminal liabilities under both federal and state law. In addition, the officer may be subject to adminis-
trative disciplinary proceedings that can result in transfer, suspension, demotion, dismissal, or other
forms of sanction.
The constitutional protection against double jeopardy does not necessarily preclude liability under
all of these sources of law simultaneously because the cases (a) may not all be criminal, (b) may
not relate to the same criminal act, or (c) may not be prosecuted by the same jurisdiction. Double
jeopardy protection applies only where criminal prosecutions for the same offense are undertaken by
the same jurisdiction.
In addition to the probation/parole officer, a plaintiff using the “deep pockets” approach, may include
as defendants anybody who had anything to do with the case. This could include supervisors as well
as the government agency employing the probation/parole officer. However, a state or federal agency
normally will enjoy sovereign immunity unless waived through law or judicial decision. If sovereign
immunity does exist in a state, it then becomes important to determine whether the particular func-
tion involved was governmental (for which there is official immunity).
Local governments, such as counties, judicial districts, municipalities, or other political subdivisions
may be sued and held liable for the actions of their employees under the U.S. Supreme Court’s deci-
sion in Monell v. Department of Social Services.
In civil liability cases, there are essentially three kinds of damages that may be awarded. These
include actual or compensatory damages in the form of a monetary amount for actual injuries shown
by the plaintiff. A second type of damage award is nominal damages. Here the court acknowledges
that the plaintiff has proved her cause of action, but no actual injury was sustained. In this case,
a nominal amount of, say, $1 might be awarded. A third type of damages awarded in civil cases is
punitive or exemplary damages. These damages are awarded to punish or make an example of the
wrongdoer as well as to deter transgressions by others in the future.
10 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 1
NOTES
1. Black’s Law Dictionary, ninth edition (2009).
6. E.g., Giron v. City of Alexander, 693 F.Supp.2d 904 (E.D. Ark. 2010).
10. Id.
16. TXO Production Corp. v. Alliance Resources Corp., 509 U.S. 443 (1993).
17. City of Newport v. Fact Concerts, Inc., 453 U.S. 247 (1981).
INTRODUCTION
A. Intentional Tort
1. Physical Tort
2. Nonphysical Tort
B. Negligence Tort
1. Definition of Negligence
2. Elements of Negligence Tort
3. Types of Negligence
B. Governmental Immunity
C. The Public Duty Doctrine Defense in Injury Cases Resulting From
Negligent Supervision
SUMMARY
NOTES
13
CHAPTER 2
INTRODUCTION
This chapter discusses two major kinds of state tort cases: intentional tort and negligence tort. In le-
gal terminology, the act itself is called a tortious act, while the person who commits the act is known
as a tortfeasor. There is so much variation in state tort law from one state to another; hence, this
discussion is restricted to general principles. State law must be consulted for specifics.
A civil wrong, other than breach of contract, for which a remedy may be obtained, usually in the
form of damages; a breach of a duty that the law imposes on persons who stand in a particular
relation to one another.1
The same act can simultaneously be a crime against the state and a tort against an individual;
thus, both a criminal prosecution and a civil tort action may arise from the same act. For example, a
person who drives while intoxicated and causes an accident resulting in injury to another driver and
damage to his or her car may be guilty of the criminal offense of driving while intoxicated and civilly
liable both for the injury resulting to the other person and the damage to the car. Tortious acts may
also be the basis for suits charging violation of civil rights under §1983, as discussed in Chapter 3.
Tort actions are usually tried in state court before a jury that makes determination of liability and fixes
the amount of damages to be paid under instructions from the judge as to the applicable law. The
jury determination is subject to modification either by the trial judge or on appeal. A successful tort
action generally results in payment of monetary damages to the wronged party.
A. Intentional Tort
Black’s Law Dictionary defines intentional tort as “A tort committed by someone acting with general or
specific intent.”2 To prevail in an intentional tort case, the plaintiff must prove the following:
■■ The act must be deliberate and purposeful or the defendant knew with substantial certainty that
consequences could result from the act.
Example: A probation officer beats a juvenile probationer causing injury. The officer may be held lia-
ble under the intentional tort of battery because the act was committed by the defendant, the act was
deliberate and purposeful, the injury was caused by the act, and damages or harm resulted from the
act.
Intentional torts may be subdivided into two categories, namely physical torts and nonphysical torts.
1. Physical Tort
An illustrative list of physical torts is presented below.
Some torts, such as assault and battery, involve injury to the person; others, such as trespass, rep-
resent a wrong to a person’s property. As intentional torts, they are based on the intent of the actor to
engage in the act which results in harm. Other intentional torts include false arrest or false imprison-
ment, conversion, invasion of privacy, infliction of mental distress, libel, slander, misrepresentation,
wrongful death, and malicious prosecution. Elements of some of these physical torts include the
following:
■■ Battery is the intentional infliction by an individual of a harmful or offensive touching.3 The defen-
dant in a case of battery is liable not only for contacts that do actual physical harm, but also for
relatively trivial ones that are merely offensive or insulting, such as pushing, spitting in the face,
forcibly removing a person’s hat, or any touching of someone in anger.4 The consent of the plaintiff
to the contact is a defense.
■■ Assault, on the other hand, is an intentional act on the part of an individual that might not involve
any contact, but that places a person in reasonable apprehension of immediate touching. Assault
is thus a mental invasion, rather than the physical invasion involved in battery (although in many
cases both assault and battery are involved). Examples of assault include shaking a fist in some-
one’s face, raising a weapon, or chasing someone in a hostile manner. Threatening words alone
are usually not sufficient, although they may contribute to an assault. Note that the trend among
the states is to combine assault and battery as a single, combined offense.5
■■ Infliction of emotional distress refers to extreme and outrageous acts, whether intentional or reck-
less, that cause emotional distress to the plaintiff.6 The wrongdoer may also be liable for physical
harm resulting from the emotional distress.7 Words alone or gestures or conduct may be sufficient.
Bullying tactics by probation/parole officers or insults shouted in public might be examples if they
can be deemed “extreme” and “outrageous.”
■■ False arrest and false imprisonment are two other tortious actions for which probation/parole
officers may be liable. The essential elements of both involve the unlawful interference with the
physical liberty interests of another.8 False arrest takes place, for example, when a person is
illegally arrested in the absence of a warrant. This occurs usually when the arresting officer lacks
probable cause to believe that a crime was committed and that the person arrested committed the
act. False imprisonment takes place when, after arrest, a person is illegally detained. The deten-
tion does not have to be in a prison or jail. It can take place in such facilities as a halfway house,
juvenile home, mental facility, hospital, or even a private home. Physical force need not be used
under false imprisonment. A probation or parole officer need not actually use force to detain a
16 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 2
probationer or parolee illegally. Although false imprisonment usually follows false arrest, false im-
prisonment may take place even after a valid arrest. An example is if a probation officer makes a
valid arrest but refuses to release the probationer after having been ordered to do so by the judge.
■■ A wrongful death lawsuit is brought by such persons as surviving relatives or the executor of the
deceased’s estate. This tort provides damages to those harmed by the death when it was wrong-
fully caused by the actions of another. No recovery is possible if the deceased could not have won
a suit in his or her own right had that party survived.9
2. Nonphysical Tort
An illustrative list of acts that constitute nonphysical tort is presented below.
c. Misrepresentation of facts. False representation of a past or present fact, on which individuals may
justifiably and actually rely in making decisions.
d. Malicious prosecution. The initiation of criminal proceedings without reasonable cause or for
improper reasons, such as revenge.
Harm to an individual’s nonphysical interests, such as his or her reputation, privacy, and emotional
well-being, is also tortious.
■■ The tort of defamation refers to invasion of a person’s interest in his or her reputation. It involves
(1) a publication that is (2) false, (3) defamatory, and (4) unprivileged, and (5) tends to injure or
that causes special damage.10 In order for defamation to take place, material about an individual
must be communicated, either orally (slander) or in written form (libel), to at least one third person
who understood it.11 The material must tend to lower the reputation of the person to whom it refers,
in the estimation of at least a substantial minority of a community. Proof of the statement’s truth is
an absolute defense under this tort regardless of how damaging it may be.12
■■ Invasion of privacy is an umbrella concept embracing several distinct means of interfering with an
individual’s solitude or personality.13 Each, in its own way, is an unreasonable interference with a
person’s right to be left alone that results in harm.14 The most likely areas of concern include
(1) intrusion of the plaintiff’s private affairs or seclusion, (2) publication of facts placing the plaintiff
in a false light, and (3) public disclosure of private facts about the plaintiff. The act of invasion may
be mere words, such as the unauthorized communication of some incident of a person’s private
life, or it may be an overt act, such as wiretapping, “peeping,” or taking unauthorized photographs.
■■ Misrepresentation of facts requires a false representation of a fact on which individuals may justi-
fiably and do actually rely in making decisions.15 It is technically distinct from the general class of
intentional and negligent wrongs and applies to interferences with commercial interests.16 By the
nature of their work, probation/parole officers are susceptible to this. A related tort is disparage-
ment or injurious falsehoods. These falsehoods are statements harmful to a person, but that do
not necessarily hurt his or her reputation. False statements, such as “A is no longer in business,”
or the filing of a false change of address card with the post office, are examples.
■■ Malicious prosecution involves the initiation of criminal proceedings, as in a report to the police or
other official that results in a warrant for the plaintiff’s arrest. The accusation must be without prob-
able cause and for an improper reason, such as revenge. In order for the defendant to be liable
for malicious prosecution, the plaintiff against whom proceedings were initiated must be found not
guilty.17
B. Negligence Tort
Negligence tort is filed with increasing frequency by plaintiffs who are injured by crimes that proba-
tioners/parolees commit while on probation/parole supervision. It is based on the assumption by the
public, and made official policy in some departments, that one of the purposes of probation/parole
is public protection. Example: X, a member of the public, is raped by a parolee. X brings a lawsuit
against the parole officer and the department alleging negligence in their duty to protect the pub-
lic. Whether the lawsuit succeeds is an entirely different story; the likelihood is it will not. The point,
however, is that a lawsuit for negligent supervision may be brought against the officer, the supervisor,
and the department for crimes committed by probationers/parolees. Not all types of negligence in
supervision lead to liability. An important question for probation/parole officers is: When are they neg-
ligent in their jobs as to be exposed to negligence lawsuits? The answer is: It depends on the legal
definition of negligence and available defenses in their jurisdiction.
1. Definition of Negligence
One court offers this widely accepted definition of negligence:
Negligence is defined as “the lack of ordinary care” or, more specifically, “the failure of a person to
do something that a reasonably careful person would do, or the act of a person in doing some-
thing that a reasonably careful person would not do, measured by all the circumstances then
existing [citation omitted].”18
Some view negligence more simply as “the absence of reasonableness” [citations omitted].19 The
definition of negligence relies heavily on what a reasonably careful or reasonably prudent person
would or would not have done under similar circumstances. For purposes of day-to-day decision
making, probation/parole officers are best advised to do what a reasonably careful person would
have done under the circumstances. Note, however, that the above definitions, although typical, are
exclusive to particular jurisdictions. Negligence in a specific jurisdiction may vary as laid out in state
statute or state case law.20
■■ The defendant’s act must have been the proximate cause of the injury.
3. Types of Negligence
Many jurisdictions draw distinctions among different levels of negligence, depending on the state of
mind of the wrongdoer. As noted in the definition of negligence above, simple negligence involves
a failure to exercise the care that a reasonably careful person would exercise in like circumstances.
Gross negligence requires a higher level of culpability on the part of the wrongdoer; “Gross negli-
gence involves a failure to act under circumstances that indicates a passive and indifferent attitude
toward the welfare of others. Negative in nature, it implies an absence of care.”22 Ordinary and
gross negligence can both be distinguished from willful, wanton, or reckless conduct in that “Willful
misconduct, on the other hand, requires an intentional act or an intentional failure to act, either with
knowledge that serious injury is a probable result, or with a positive and active disregard for the
consequences.”23
18 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 2
The types of defenses discussed here are those that are applicable to government officials or
entities, not to private persons. These include the official immunity defense (applies to government
officials), the governmental immunity defense (applies to governmental agencies), and the public
duty doctrine defense (applies to public officials in injury cases as a result of alleged supervision
negligence).
It has been thought important that officials of government should be free to exercise their du-
ties unembarrassed by the fear of damage suits in respect of acts done in the course of those
duties-suits which would consume time and energies which would otherwise be devoted to
governmental service and the threat of which might appreciably inhibit the fearless, vigorous, and
effective administration of policies of government.24
a. Absolute immunity is premised on the idea that the public interest is best served if government
officials are free to discharge their official duties without the distraction of being haled into court
time and time again. This privilege “defeats a suit at the outset” by protecting the official from even
being subjected to trial.25 The privilege applies to prosecutors, legislators, and judges who are
performing judicial duties within their own jurisdictions.26 The Supreme Court summarized the
elements of this kind of immunity in the classic case on this point as follows, “absolute immunity
from state-law tort actions should be available only when the conduct…is within the scope of their
official duties and the conduct is discretionary in nature.”27 The discretionary criterion is included
because, “[w]hen an official’s conduct is not the product of independent judgment, the threat of
liability cannot detrimentally inhibit that conduct.28 Unlike qualified immunity, discussed below,
good faith is not required in order for an official to avail herself of the absolute immunity
privilege.29
It must be noted that judges do not enjoy absolute immunity in everything they do. They have
absolute immunity only when performing judicial or adjudicatory responsibilities, such as issuing
setting conditions of probation or revoking probation. They do not have absolute immunity when
performing nonjudicial functions, such as when serving as a member of a juvenile probation
board or when hiring or firing probation officers.
b. Quasi-judicial immunity. Absolute immunity is generally applied to officials in the judicial and legis-
lative branches of government who are undertaking their official policymaking functions, whereas
qualified immunity (see below) applies to those in the executive branch. Some officials, however,
have both judicial and executive functions. Such officials include court personnel, parole board
members, and some probation officers. These officials are given some protection, referred to in
some jurisdictions as “quasi-judicial immunity.” “Absolute quasi-judicial immunity is extended to
nonjudicial officers if they perform official duties that are functionally comparable to those of judg-
es, that is, duties that involve the exercise of discretion in resolving disputes.”30 Under this type of
immunity, judicial-type functions that involve discretionary decision making or court functions are
immune from liability, whereas some other functions (such as ministerial duties of the job) are not.
The emphasis is on the function performed rather than on the position the officer holds.31
c. Qualified immunity.32 As noted above, absolute immunity attaches to prosecutors, legislators, and
judges for their policy-making (i.e., discretionary) official acts (i.e., within the scope of their em-
ployment). Absolute and quasi-judicial immunity were creatures of the common law that were not
available to every public official. As the Supreme Court observed in 1967, “The common law has
never granted police officers an absolute and unqualified immunity, and the officers in this case
do not claim that they are entitled to one. Their claim is rather that they should not be liable if they
acted in good faith.”33 This good faith requirement has become the qualifier in qualified immunity.
One state court, for example, lists the requirements that must be present in many states for the
defense to succeed, holding that government employees are entitled to official immunity from law-
suits arising from the performance of their “discretionary duties, in good faith, as long as they are
acting within the scope of their authority.”34 Applied to probation and parole officers, this means
that, in order to prevail on an official immunity claim, the officer will have to prove that: (1) she was
performing a discretionary, not a mandatory, act; (2) she acted within the scope of her authority;
and, perhaps, (3) she acted in good faith (if the state immunity defense requires it). What do these
terms mean?
■■ Discretionary means that the act involves personal deliberation, decision, and judgment.
Actions that require obedience to orders or performance of duty to which the officer has no
choice are not discretionary; they are, instead, ministerial.35 Probation and parole officers
should consider which of their actions are discretionary (e.g., motions to revoke probation?) for
which official immunity might apply, and which actions are ministerial (e.g., supervising those
probationers or parolees to whom the officer is assigned).
■■ The “scope of authority” criterion has been defined as follows: “[A] public official or employee
is acting within the scope of his or her authority if he or she is discharging the duties generally
assigned to him or her even if they are performed wrongly or negligently.”36 Example: A pro-
bation officer making a home contact is acting within the scope of his authority. By contrast, a
probation officer who decides to remove an infant from a probationer’s home in order to protect
the infant is clearly acting outside the scope of his authority.
■■ “An officer acts in good faith and is entitled to official immunity from liability if a reasonably pru-
dent officer, under the same or similar circumstances, could have believed that his acts were
justified.”37 Good faith has been described somewhat more recently in the context of police
pursuits as applying where: a reasonably prudent officer might have believed that the pursuit
should have been continued. The officer need not prove that it would have been unreasonable
to stop the pursuit or that all reasonably prudent officers would have continued the pursuit.
Immunity should be recognized if officers of reasonable competence could disagree on this
issue.”38
It is worth noting that the protection afforded by the privilege is quite substantial. As the U.S.
Supreme Court acknowledged in the case of Malley v. Briggs, “As the qualified immunity defense
has evolved, it provides ample protection to all but the plainly incompetent or those who knowingly
violate the law.”39
20 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 2
Many of the actions of such court-supervised probation officers, however, are considered executive,
and hence are likely to come under qualified immunity. Distinguishing those functions for which ab-
solute immunity attaches from those entitled only to qualified immunity, the Tenth Circuit Court of Ap-
peals held “[t]he more distant a function is from the judicial process, the less likely absolute immunity
will attach.”43 Probation officers without absolute immunity protection, who enjoy qualified immunity
instead, may be held liable unless the act is discretionary, within the scope of their employment, and
undertaken in good faith. Parole officers are usually employees of the executive department of the
state and, as such, they enjoy only qualified immunity. They do not enjoy any type of judicial immunity
that some courts say probation officers have when performing certain court-ordered functions.
Most federal courts of appeals have ruled that higher officials of the executive branch who must
make judgelike decisions are performing a judicial function that deserves absolute immunity. This
particularly refers to parole boards when performing such functions as considering applications for
parole, recommending that a parole date be rescinded, or conducting a parole revocation hearing.44
One federal appellate court, however, has stated that probation and parole board members and
officers enjoy absolute immunity when engaged in adjudicatory duties but only qualified, good faith
immunity for administrative acts. The same court categorized the failure to provide procedural due
process in a revocation hearing as ministerial in nature, for which liability attached.45
B. Governmental Immunity
The doctrine of sovereign immunity from suit was originally based on the monarchical, semireligious
tenet that “the King can do no wrong.” In modern times, it is more often explained as a rule of social
policy, which protects the state from burdensome interference with the performance of its govern-
mental functions and preserves its control over state funds, property, and instrumentalities. The
public service might be hindered and the public safety endangered if the supreme authority could be
subjected to suit at the instance of every citizen, and consequently controlled in the use and disposi-
tion of the means required for the proper administration of the government. [footnotes omitted]46
Neither the federal government nor any state fully retains its sovereign immunity. Legislatures in
every jurisdiction have been under pressure to compensate victims of governmental wrongs, and
all have adopted some form of legislation waiving immunity in at least some areas of governmental
activity. As noted by one scholar:
The urgent fiscal necessities that made the governmental immunity acceptable at the outset are
no longer present. The United States and a growing number of states have found it financially fea-
sible for them to accept liability for and consent to suit upon claims of negligence and omission,
for which they traditionally bore no liability at all; the availability of public liability insurance as well
as self-insurance makes the assumption of this wholly new liability quite tolerable.47
No state, however, has gone so far as to totally relinquish immunity for all injuries caused through the
misadministration of the governmental process.
State immunity, subject to waiver by legislation or judicial decree, operates to protect the states and
their agencies. A distinction must be made, however, between agency liability and individual liability.
Sovereign or governmental immunity only extends to state agencies. It does not extend to individual
state officers who can be sued and held personally liable for civil rights violations or tortious acts.
Therefore, in states where sovereign immunity has not been waived, state officials may still be sued
and held liable because they do not enjoy governmental immunity. For example, a state cannot be
sued (unless sovereign immunity is waived), but the chairman and members of the State Parole
Board can be sued and held liable. Whether the state will provide legal representation and indemnifi-
cation, if held liable, varies from state to state.
Prior to 1978, municipal governments, counties, and villages could not be sued because they were
considered extensions of state power and hence enjoyed sovereign immunity. All that changed in
1978 when the United States Supreme Court held in Monell v. Department of Social Services48 that
local units of government may be held liable, in a § 1983 action if the allegedly unconstitutional
action was part of a policy or custom.
As is evident from the above discussion, the immunity defense is complex, confusing, and far from
settled, particularly in the case of probation and parole officers. Variations exist from state to state
and between the state and federal governments. The foregoing discussion is intended merely to
provide a general guide and a description of the legal framework. Similarly, Table 2–1 summarizes
what courts in most jurisdictions have held. It is not intended to serve as a definitive statement on
the issue of immunity. Interested readers should consult their legal advisors for the law and court
decisions in their states.
Table 2–1. General Guide to Types of Official Immunity in State Tort Lawsuits
* Absolute immunity means that a civil liability suit, if brought, is dismissed by the court without going into the merits of the plaintiff’s claim. No liability.
† Quasi-judicial immunity means that officers are immune if they are performing judicial-type functions, such as when preparing a presentence report under orders of the judge, and liable if they are performing
other functions.
§ Qualified immunity means that the officer’s act is immune from liability if it is discretionary, but not if it is ministerial. Also, an officer may not be liable even if the act is ministerial if it was done in good faith.
22 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 2
Logical as this thinking may be, it generally has no basis in law. The reality is that, were it not for
the protection against civil liability given by the public duty doctrine, nobody would ever want to be a
police, probation, or parole officer. These are high-risk occupations that promote public protection as
a part of their mission, yet they hardly have any control over what the public or their supervisees do
vis-à-vis the public; therefore, they are protected against civil liability.
There is one major, multifaceted, and largely undefined exception to the public duty doctrine, namely,
the special relationship exception. The exception essentially holds that liability may attach despite the
public duty doctrine if a special relationship exists between the government and the individual who
suffers harm.50 The application of the exception in the context of probation and parole means that if a
duty is owed to a particular person rather than to the general public, then a probation or parole officer
or agency that breaches that duty can be held liable for damages. Special relationship has many
meanings depending on state law, court decisions, or agency regulations.
The cases involving exceptions to the public duty doctrine have generally involved law enforcement
officers and have established liability on the basis of special relationships in the following circum-
stances: (a) such a duty arises from a statute, (b) the government creates the danger (as opposed
merely to failing to prevent it), (c) the government voluntarily undertakes special protection of the
individual victim, (d) the government or its officers made a statement or promise to persuade the
victim to rely on the government for protection, or (e) the government officers exacerbated an existing
risk of harm to the victim.51
■■ When the police deprive an individual of liberty by taking him or her into custody.52
■■ When the police assume an obligation that goes beyond police duty to protect the general
public.53
What the above situations have in common is that, in each circumstance, the duty of the police
has shifted from that of protecting the public in general to protecting a particular person or persons;
hence a special relationship is deemed to have been established.
There are instances when the special relationship exception might apply to probation or parole
officers. This is particularly likely when they are vested with law enforcement authority, as they are in
some jurisdictions.
The public duty doctrine and the special relationship exception are discussed more fully in Chapter 8,
Supervision.
SUMMARY
Probation and parole officers may be held liable under state tort law. There are two kinds of state
torts that should be of particular relevance to probation and parole officers, namely, intentional torts
and negligence torts. Intentional tort has two subcategories: physical tort and nonphysical tort. Neg-
ligence tort has assumed greater importance for probation/parole officers because of the increas-
ing number of cases filed by the public. This happens when a member of the public is injured by a
probationer or parolee and the plaintiff believes the injury could have been prevented had the officer
properly supervised the probationer or parolee. Intentional tort is a tort of commission, whereas
negligence tort is generally a tort of omission, meaning the officer failed to do something that ought
to have been done.
Two types of immunity and one defense are discussed in this chapter: the immunities available to
officials; the immunity available to the government; and the public duty doctrine defense. The immu-
nity available to officials may be divided into three categories: absolute, quasi-judicial, and qualified.
Judges and prosecutors enjoy absolute immunity while performing their judicial responsibilities,
whereas probation and parole officers have qualified immunity. Governmental immunity means that
the government cannot be sued because of its status as sovereign, unless such sovereign immuni-
ty is waived by legislation or case law. Local agencies, however, do not enjoy sovereign immunity;
hence, they can be sued and held liable. The public duty doctrine holds that government functions
are owed to the general public but not to specific individuals. Therefore, probation and parole officers
who fail to prevent an injury to a member of the public are not liable unless it falls under the special
relationship exception. Special relationship, however, is an ill-defined concept and tends to be ap-
plied on a case-by-case basis.
NOTES
1. Black’s Law Dictionary, ninth edition (2009).
6. Restatement Second, Torts § 46; Restatement Third, Torts: Liability for Physical and Emotional
Harm § 45.
7. West Virginia Fire and Casualty Co. v. Stanley, 602 S.E.2d 483 (2004).
8. City of St. Petersburg v. Austrino, 898 So. 2d 955 (Fla. Dist. Ct. App. 2d Dist. 2005); Smith v. Knight,
907 So. 2d 831 (La. Ct. App. 2d Cir. 2005); Peterson Novelties, Inc. v. City of Berkley, 259 Mich. App.
1, 672 N.W.2d 351 (2003); Jacobs v. Bonser, 46 S.W.3d 41 (Mo. Ct. App. E.D. 2001); Williams v. City
of Jacksonville Police Dept., 165 N.C. App. 587, 599 S.E.2d 422 (2004).
24 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 2
16. P.G. v. State, Dept. of Health and Human Services, Div. of Family and Youth Services, 4 P.3d 326
(Alaska 2000).
19. Metcalf v. County of San Joaquin, 43 Cal.Rptr.3d 522, 533 (Cal. App. 3 Dist.,2006).
25. 63C Am.Jur.2d Public Officers and Employees § 307 (Westlaw, July 2010).
26. 63C Am.Jur.2d Public Officers and Employees § 307 (Westlaw, July 2010).
29. Minch v. D.C., 952 A.2d 929 (D.C. 2008); Smith v. Stafford, 189 P.3d 1065 (Alaska 2008).
30. 63C Am. Jur. 2d Public Officers and Employees § 309 (Westlaw, July 2010).
31. 63C Am. Jur. 2d Public Officers and Employees § 307 (Westlaw, July 2010).
32. Because this form of immunity has evolved over time and across multiple jurisdictions, it is
now always known by the name “qualified immunity.” For example, “Texas law of official immunity is
substantially the same as federal qualified immunity law.” (Wren v. Towe, 130 F.3d 1154, 1160 (5th Cir.
1997); see also, e.g., Haggerty v. Texas Southern University 391 F.3d 653 (5th Circuit 2004); Murray
v. Earle, 405 F.3d 275 (5th Circuit 2005).
34. City of Lancaster v. Chambers, 883 S.W.2d 650 (Texas 1994); see also, e.g., Murphy v. Bajjani,
647 S.E.2d 54 (Ga. 2007); Ross v. Consumers Power Co., 363 N.W.2d 641 (Mich. 1984).
35. City of Pharr v. Ruiz, 944 S.W.2d 709 (Tex. Cr. App. Corpus Christi, 1997); see also, e.g., Barnard
v. Turner County, 2010 Westlaw 3749087, __ S.E.2d __ (Ga.App. 2010). “A discretionary act calls for
the exercise of personal deliberation and judgment, which in turn entails examining the facts, reach-
ing reasoned conclusions, and acting on them in a way not specifically directed.”
36. Ballantyne v. Champion Builders, Inc., 144 S.W.3d 417 (Tex. 2004).
37. Moore v. Novark, 1995 Westlaw 571854 (Tex. Ct. App.-Houston 1995).
38. City of Pharr v. Ruiz, 944 S.W.2d 709, 715 (Tex. Ct. App.-Corpus Christi 1997); see also, Loftin v.
Morales, 187 S.W.3d 533 (Tex. Ct. App.-Tyler 2005).
41. Burkes v. Callion, 433 F.2d 318 (9th Cir. 1970), cert. denied, 403 U.S. 908 (1970).
45. Thompson v. Burke, 556 F.2d 231 (3d Cir. 1977); see also, Moriarty v. Rendel, 2009 Westlaw
1458201 (M.D. PA 2009).
46. 72 Am. Jur. 2d States, Territories, and Dependencies § 97 (Westlaw, July 2010).
47. D. Engdahl, Immunity and Accountability for Positive Governmental Wrongs, 44 U. Colo. L. Rev. 1,
at 60 (1972).
49. 57 Am. Jur. 2d Municipal, County, School, and State Tort Liability § 88 (Westlaw, July 2010).
50. 57 Am. Jur. 2d Municipal, County, School, and State Tort Liability § 84 (Westlaw, July 2010).
51. 57 Am. Jur. 2d Municipal, County, School, and State Tort Liability § 175 (Westlaw, July 2010).
53. See Schuster v. City of New York, 154 N.E.2d 534 (N.Y. 1958).
54. Restatement Third, Torts: Liability for Physical and Emotional Harm § 38 (2005).
55. Police Misconduct: Law and Litigation § 2:37, Failure to provide police protection--Domestic vio-
lence (2010).
26 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 3
I. § 1983 CASES
A. The Law
B. History of the Law
C. Why § 1983 Lawsuits Are Popular
D. Roadblocks to Criminal Cases Against a Public Officer
SUMMARY
NOTES
27
CHAPTER 3
INTRODUCTION
Title 42 of the United States Code, § 1983 is perhaps the most frequently used provision in the array
of legal liability statutes against public officials, the category of actors that includes probation and
parole officers.1 It is therefore important that this law be properly understood by probation and parole
officers. This chapter discusses § 1983 cases, sometimes also known as civil rights cases. These
cases are usually filed in federal courts and the plaintiff, as in state tort cases, seeks damages and/
or changes in agency policy or practice.
I. § 1983 CASES
A. The Law
Title 42, United States Code, § 1983—Civil action for deprivation of rights, reads as follows:
Every person who, under color of any statute, ordinance, regulation, custom, or usage, of any
State or Territory or the District of Columbia, subjects, or causes to be subjected, any citizen of
the United States or other person within the jurisdiction thereof to the deprivation of any rights,
privileges, or immunities secured by the Constitution and laws, shall be liable to the party injured
in action at law, suit in equity, or other proper proceeding for redress, except that in any action
brought against a judicial officer for an act or omission taken in such officer’s judicial capacity,
injunctive relief shall not be granted unless a declaratory decree was violated or declaratory relief
was unavailable. For the purposes of this section, any Act of Congress applicable exclusively to
the District of Columbia shall be considered to be a statute of the District of Columbia.2
In Monroe v. Pape, the United States Supreme Court ruled that § 1983 applied to all violations of
constitutional rights even where the public officer was acting outside the scope of employment. This
greatly expanded the scope of protection of rights and gave impetus to a virtual avalanche of cases
filed in federal courts based on a variety of alleged constitutional rights violations, whether the officer
was acting within or outside the scope of duty.
suit succeeds, its effect is generic rather than specific. For example, if a civil rights suit succeeds in
declaring unconstitutional the practice of giving parolees only one hearing before revocation instead
of a preliminary and final hearing as indicated in Morrissey v. Brewer,6 the ruling benefits all similarly
situated parolees, not just the plaintiff. Fourth, civil rights cases are usually filed directly in federal
courts where procedures for obtaining materials from the defendant (called “discovery”) are often
more liberal than in state courts. This facilitates access to important state documents and records
needed for trial. A fifth, and perhaps most important reason, is that since 1976, under federal law, a
prevailing plaintiff may recover attorney’s fees. Consequently, lawyers have become more inclined to
file § 1983 cases if they see any merit in the suit.
■■ The defendant violated a constitutional right or a right given by federal (but not by state) law.
30 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 3
As suggested by the preceding example, the term “color of law” does not mean that the act was in fact
authorized by law. It is sufficient if the act appeared to be lawful even if it was not in fact authorized.9
Hence, even if the probation or parole officer exceeded his or her lawful authority, he or she may still
be considered to have acted under color of law. Indeed, sometimes it is either the plaintiff’s or the
defendant’s subjective beliefs about whether the actions were under color of state law that control.10
Can federal officers be sued under § 1983? The answer, for the most part, is no. The plain language
and case law surrounding § 1983 make it clear that it applies to persons acting under color of state
law. Federal officials can be held liable under parallel authority pursuant to the United States Su-
preme Court decision in Bivens v. Six Unknown Named Agents of Fed. Bureau of Narcotics.11 There
the Court held that a cause of action, derived from the Constitution, exists in favor of victims of
federal officials’ misconduct. Bivens provides essentially the same protection against constitutional
violations by federal officials that § 1983 provides as against state and local officers; the only real
difference is that the former is a common law right, whereas the latter is statutory.12 Moreover, a federal
officer can be sued directly under § 1983 if he or she assists state officers who act under color of law.13
Can private contractors be sued under § 1983? Yes. Private contractors cannot be held to be acting
under color of state law simply because they are contracting with state or local governments.14 How-
ever, such contractors may be held to be acting under color of state law if either the conduct at issue
is under control of the government15 or the function provided by the contractor is typically within the
exclusive purview of the government.16
The worrisome aspects of this requirement relate not to the acts of probation or parole officers that
are blatantly violative of a known constitutional right (as when a probation officer conducts an illegal
search). The problem lies in ascertaining whether a specific constitutional right exists in the first
place. This is particularly troublesome in probation and parole where the courts have only recently
started to define the specific rights to which probationers and parolees are constitutionally entitled.
The United States Supreme Court has decided only a handful of cases thus far, although federal
district courts and courts of appeals have decided many. Some of these decisions may be inconsis-
tent with each other. It is important, therefore, for probation and parole officers to be familiar with the
current law as decided by the courts in their own jurisdictions as this is the law that must be followed
regardless of decisions to the contrary in other states.
A probation or parole officer is liable if the above two elements are present. Absence of one means
that there is no liability under § 1983. The officer may, however, be liable under some other legal
authority (e.g., tort or under the penal code). For example, a probation officer whose negligent driving
results in injury to a probationer whom she is transporting may be liable under tort law for negligent
driving, but not under §1983. Of course, the absence of any of the above elements does not prevent
the filing of a § 1983 suit; suits may be filed by anybody at any time. Whether the suit will succeed is
a different matter.
The United State Supreme Court has ruled that defendants in § 1983 lawsuits may raise the qualified
(good faith) immunity defense in both motion to dismiss and motion for summary judgment, and may
be able to appeal denials both times in the same case prior to trial.17
Courts cannot prohibit a given condition or type of treatment unless it reaches a level of consti-
tutional abuse. Courts encounter numerous cases in which the acts or conditions under attack
are clearly undesirable . . . but the courts are powerless to act because the practices are not so
abusive as to violate a constitutional right.18
Relatively few wrongs involving probation or parole officers have been held by the courts to rise to
the level of a constitutional violation remediable through § 1983. Cases where courts have found §
1983 either to be available or likely to be available (e.g., by allowing a § 1983 action to go forward on
the ground that a constitutional right is involved) include:
■■ Compelling a probationer to attend faith-based treatment programs for substance abuse (i.e.,
Alcoholics Anonymous).22
■■ Improper failure to disclose a parolee’s HIV status may also be a constitutional violation.24
32 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 3
governing body of the municipality. Normally random acts or isolated incidents are insufficient to
establish a custom or policy.28
Monell does not affect state immunity because it applies to local governments only. This is not of
much consolation to state officers, however; civil rights cases can be filed against the state officer
himself, and he or she will be personally liable if the suit succeeds. Although Monell involved social
services personnel, there is no reason to believe it does not apply to local probation/parole opera-
tions. Lower courts have already applied it to many local agencies.
Whereas local governments can be sued, states generally cannot be sued because they are insu-
lated from liability by the doctrine of “sovereign immunity,” which means that a sovereign is immune
from lawsuit because it can do no wrong. States cannot be sued in federal court because of the
Eleventh Amendment.29 Federal courts have held that states are similarly immune from being sub-
jected to suits in their own jurisdictions.30 The one big exception to this rule, however, is if sovereign
immunity has been waived by the state (and many states have waived sovereign immunity in varying
degrees, thus allowing themselves to be sued) through legislation or court decisions.
We therefore hold that government officials performing discretionary functions generally are
shielded from liability for civil damages insofar as their conduct does not violate a clearly estab-
lished statutory or constitutional right of which a reasonable person would have known. . . . The
judge appropriately may determine, not only the currently applicable law, but whether that law was
clearly established at the time an action occurred. If the law at that time was not clearly estab-
lished, an official could not reasonably be expected to anticipate subsequent legal developments,
nor could he fairly be said to “know” that the law forbade conduct not previously identified as
unlawful. (citations and notes omitted).31
Thus, the good faith defense articulated in Harlow will be available to defend against liability unless
two requirements are met: (a) an officer violated a clearly established statutory or constitutional right,
and (b) the right is one of which a reasonable person would have known. Both must be established
by the plaintiff; otherwise no liability is imposed.
Although the Harlow case, above, did not involve probation or parole officers (it involved two White
House aides under former President Nixon), the Supreme Court, in Anderson v. Creighton,32 held
that the Harlow standard applies to other public officers, such as the police, who are performing
their responsibilities. In Anderson, officers conducted a warrantless search of a home, believing that
a bank robber was hiding there. The family that occupied the home sued for violation of the Fourth
Amendment right against unreasonable search and seizure. On appeal, the Supreme Court held that
the lower court should have considered not only the general rule about home entries, but also the
facts known to the agents at the time of entry. According to the Court, the proper inquiry was whether
a reasonable law enforcement officer could have concluded that the circumstances surrounding that
case added up to probable cause and exigent circumstances, which would then justify a warrantless
search. If such a conclusion is possible, then the good faith defense applies. This should apply to
probation and parole officers as well. In short, if a reasonable probation or parole officer could have
concluded that the circumstances surrounding the act make the action taken legal and valid, then the
good faith defense should apply.
When is a right considered to be “clearly established?” The Federal Court of Appeals for the Fifth
Circuit sets this standard: “A plaintiff must show that, when the defendant acted, the law established
the contours of a right so clearly that a reasonable official would have understood his or her acts
were unlawful.” The added that: “If reasonable public officials could differ on the lawfulness of the
defendant’s actions, the defendant is entitled to qualified immunity.”33 It is worth noting that, although
this case continues to control the Fifth Circuit,34 it has not been embraced elsewhere.
The good faith defense has two important implications for probation and parole officers and agen-
cies. First, officers must know the basic constitutional and federal rights of offenders. Although offi-
cers may be familiar with these rights from college courses and corrections training, their knowledge
should be updated constantly in light of new court decisions in criminal procedure and constitutional
law. The second implication of the Harlow test is that it places an obligation on criminal justice agen-
cies to inform their officers of new cases that establish constitutional rights. Moreover, agencies must
update their manuals or guidelines to reflect decided cases not only from the United States Supreme
Court but also from federal courts in their jurisdiction.
The innocent individual who is harmed by an abuse of governmental authority is assured that he
will be compensated for his injury. The offending official, so long as he conducts himself in good
faith, may go about his business secure in the knowledge that a qualified immunity will protect him
from personal liability for damages that are more appropriately chargeable to the populace as a
whole.37
The decision should concern probation and parole agencies because it suggests that, where
agencies have violated constitutional rights of probationers or parolees, those agencies may not be
let off the proverbial hook as readily as the government actors themselves. One way of looking at
this holding is that individual officers may be excused for violating constitutional rights if they did not
(and could not have) known better, but agencies will be held liable. The Owen Court, in fact, hoped
that the threat that damages may be levied against the city might encourage those in policymaking
positions to institute internal rules and programs designed to minimize the likelihood of unintention-
al infringements on constitutional rights. In addition, the Court anticipated that the threat of liability
ought to increase the attentiveness with which officials at higher levels of government supervise the
conduct of their subordinates.
34 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 3
In evaluating the availability of the defense to police officers who violated the Fourth Amendment
in the mistaken belief that they had probable cause to search and arrest, The Ninth Circuit Court of
Appeals held “that the officers are entitled to qualified immunity on this claim because a reasonable
officer could have believed that probable cause existed.”38
The Second Circuit Court of Appeals decision in the aforementioned Bivens case held the probable
cause defense operates as follows:
Therefore, to prevail the police officer need not allege and prove probable cause in the consti-
tutional sense. The standard governing police conduct is composed of two elements, the first is
subjective and the second is objective. Thus the officer must allege and prove not only that he
believed, in good faith, that his conduct was lawful, but also that his belief was reasonable. And
so we hold that it is a defense to allege and prove good faith and reasonable belief in the validity
of the arrest and search and in the necessity for carrying out the arrest and search in the way the
arrest was made and the search was conducted.39
This standard is lower than for the Fourth Amendment concept of probable cause, which is defined as
more than bare suspicion…. It exists when the facts and circumstances within the officers’ knowl-
edge and of which they had reasonably trustworthy information are sufficient in themselves to
warrant a man of reasonable caution in the belief that an offense has been or is being committed.40
SUMMARY
Civil liability cases in federal court are generally known as Section 1983 cases. Based on Title 42 of
the United States Code, § 1983, these cases need two requirements if they are to succeed. The first
is that the defendant acted under color of law; the second is that the violation must be of a consti-
tutional right or of a right given by federal (but not by state) law. There are a number of defenses in
Section 1983 cases, two of which are discussed in this chapter. The first is the good faith defense,
meaning that the officer is not liable unless he or she violated a clearly established statutory or
constitutional right of which a reasonable person would have known. This good faith definition in Sec-
tion 1983 cases is different from the good faith definition in state tort cases. The second defense is
probable cause, meaning that the officer is not liable if probable cause was present when the action
was taken. This defense, however, is limited only to Fourth Amendment cases and does not apply to
violations of any other constitutional right.
NOTES
1. Erika A. Swanson, Who Framed Roger Devereaux? Devereaux v. Perex, a Deliberate Indiffer-
ence Standard, and a Right not to be Framed in the Context of Child Sex Abuse Investigations, 77
Chicago-Kent L.Rev. 901 (2002).
3. Act of Apr. 20, 1871, ch. 22; 17 Stat 13, (Also known as the Ku Klux Klan Act).
7. Courts are famously reluctant to quantify “proof beyond a reasonable doubt” in terms of percent-
ages, but one commonly accepted definition is “the kind of doubt which people in the more serious
and important affairs of their own lives might be willing to act upon” (29 Am. Jur. 2d Evidence § 186
(Westlaw, July 2010)).
8. West v. Atkins, 487 U.S. 42, 49 (1988) (quoting United States v. Classic, 313 U.S. 299, 326 (1941).
9. Davis v. Murphy, 559 F.2d 1098, 1101 (7th Cir. 1977) (holding officers acted under color of state law
in provoking a fight because they were carrying guns and badges).
10. Steve Libby, When Off-Duty State Officials Act Under Color of State Law For the Purposes of
Section 1983, 22 Memphis S.U.L.Rev. 725 (1992).
11. Bivens v. Six Unknown Named Agents of Fed. Bureau of Narcotics, 403 U.S. 388, 410 (1971).
13. Cabrera v. Martin, 973 F.2d 735 (9th Cir. 1992); Hurt v. Philadelphia Housing Authority, 806 F.
Supp. 515 (E.D. Pa. 1992).
16. Ancata v. Prison Health Services, Inc. 769 F.2d 700 (11th Cir. 1995).
17. Behrens v. Pelletier, 516 U.S. 299 (1996) 63C Am. Jur. 2d Public Officers and Employees § 398
(Westlaw, July 2010).
36 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 3
18. Note, Decency and Fairness: An Emerging Judicial Role in Prison Reform, 72 Va.L.Rev. 841,
843 (1971).
20. Brooks v. Dunn, 376 F.Supp. 976 (DC Va 1974); Gahagan v. Pennsylvania Board of Probation
and Parole, 444 F.Supp. 1326 (DC Pa 1978).
22. In re Garcia, 24 P.3d 1091 (Wash. Ct. App. 2001); Warner v. Orange County Department of Pro-
bation, 115 F.3d 1068 (2d Cir. 1997).
24. See Greer v. Schoop, 141 F.3d 824 (8th Cir. 1998) (assumed without deciding the failure to warn
the parolee’s girlfriend of his HIV status was a constitutional violation; case decided on the ground
that such right was not clearly established at the time).
27. Monell v. Department of Social Services, 436 U.S. 658, 691 (1978); see also T.Z. v. City of New
York, 635 F.Supp.2d. 152 (E.D. NY 2009).
28. Depew v. City of St. Mary’s, Georgia, 787 F.2d. 1496 (11th Cir. 1986).
30. Doe v. Leach, 988 P.2d 1252 (1999); Nichols v. Danley, 266 F.Supp.2d 1310 (D.NM 2003);
Will v. Michigan Dep’t of State Police, 491 U.S. 58 (1989).
33. Fraire v. City of Arlington, 957 F.2d 1268 (5th Cir. 1992).
34. Bazan v. Hidalgo County, 246 F.3d 481 (5th Cir. 2001); Scallion v. Red River Parish, 2007 WL
496624 (W.D.La. 2007).
38. Crowe v. County of San Diego, 593 F.3d. 841, 869 (9th Cir. 2010). See also 61 A.L.R. Fed. 7, at §
2[a] (Westlaw, October 2010).
39. Bivens v. Six Unknown Named Agents of Fed. Bur. of Narc., 1972, 456 F.2d 1339, 348 (2d. Cir.
1972).
40. Brinegar v. U.S., 338 U.S. 160, 175-176 quoting Carroll v. United States, 267 U.S. 132, 162 (1925).
Legal Representation,
Attorneys’ Fees, and
Indemnification
INTRODUCTION
I. LEGAL REPRESENTATION
A. In Texas
B. In Kansas
SUMMARY
NOTES
39
Chapter 4
INTRODUCTION
A probation/parole officer who faces a liability lawsuit filed under state or federal law has three
primary concerns:
■■ Indemnification (i.e. who will pay for the monetary damages that may be imposed if I am found
liable?).
These three topics are discussed below in the light of historical and recent statutes and case law,
and of findings from an extensive survey which was distributed to the offices of attorneys general na-
tionwide in the early 1980s for the first edition of this monograph. To our knowledge, no other survey
or study has been conducted specifically on these issues with regard to probation/parole officers. The
survey results are more than a quarter century old; hence, the discussion of these topics cites updat-
ed statutes, case law, and other reliable documentary sources in order to provide the most current
available information.
I. LEGAL REPRESENTATION
States differ in their statutes and guidelines that determine what types of acts of probation or parole
officers a particular state will defend. In general, states are more willing to provide legal assistance
to state employees who are sued in civil cases, rather than those who are named as defendants
in criminal cases. All states in the survey covered civil actions, at least some of the time, for both
probation and parole officers. However, a substantial percentage of states indicated that they would
not provide legal representation for a state employee defendant in all types of civil suits. Many states
have limited the types of civil actions for which a state will provide legal representation for defendants
who are sued in their capacity as state employees.
The meaning of “gross negligence” also differs between states and judicial jurisdictions, but in
general “…most courts consider that ‘gross negligence falls short of a reckless disregard of the
consequences, and differs from ordinary negligence only in degree, and not in kind.”1 The lack of a
clear definition of the term as compared to “negligence” presents a difficult hurdle for plaintiffs and for
defendants to overcome.
In many states, if an officer’s behavior is within state guidelines, the attorney general may serve as
the officer’s legal counsel in the lawsuit. Other states have no other provisions for the defense of
state employees. In some states, however, if the particular act comes under an applicable insurance
policy, the insurer’s counsel may undertake the defense; but reliance on such a policy may be risky
if the policy limits of liability payment are unrealistically low. In these instances, insurance compa-
nies will sometimes pay the monetary limit of the liability policy as part of a settlement, in or outside
of court, in lieu of preparing a suit for defense at trial. Settlements between the plaintiff(s) and the
defendant(s) can be less expensive are often made in order to avoid the expensive processes of a
lawsuit and trial.
Once a case is settled, it is possible that probation or parole officers inherit the risks of personal
exposure and responsibility for the balance of a claim against them. This means that the officer will
have to pay personally any remaining balance of monetary awards that were not paid under the set-
tlement. In either case, the reputations of the officer and the agency will be damaged by having been
held liable in a civil liability case, even if the case could have been won at trial. Public and political
support for probation and parole officers, agencies, and the issues that are important to the opera-
tions of these entities can wane in the aftermath of severe cases in which liability was incurred by an
individual’s or agency’s act or omission.
Some states permit outside lawyers to be hired at state expense to defend a state employee. These
states usually allow reimbursement by the state or agency for lawyers’ fees and court costs if the
employee wins the suit after the state’s attorney general’s office has refused to defend the officer. On
the other hand, according to the survey results, at least three states require that if the state does un-
dertake the defense of the officer and the individual is found to have acted in bad faith, and thus held
liable, the officer may have to reimburse the state for associated fees and costs. Thus, there are un-
certainties involved in obtaining legal representation for state officials, and officers should be familiar
with the laws and guidelines set forth by the state and local jurisdiction in which they are employed.
The attorney general’s office has considerable discretion in whether to undertake the defense of an
officer who is named as a defendant in a civil suit. Most states’ statutes (see e.g., New Jersey2 and
North Carolina3) provide that the attorney general is obligated to provide legal assistance to state em-
ployees unless the employee’s act or omission was (a) outside the scope and course of employment;
or (b) involved actual fraud, actual malice, corruption, or willful misconduct; or (c) the defense of the
employee would create a conflict of interest within the state; or (d) the defense of the act would not
be in the best interests of state.
In civil liability cases in which the attorney general’s office refuses to defend a probation or parole
officer, the officer will need to obtain private legal counsel. As of the time of the survey for the first
edition of this book, only two states, California and Vermont, had procedures for appealing the state’s
refusal to defend the officer; and only California required a judicial determination as to whether the
state employee was statutorily entitled to legal assistance by the state.
As stated earlier, it is imperative that probation and parole officers familiarize themselves with their
state’s statutes and case law concerning the topics presented in this book. It has been more than 25
years since the survey upon which this book is based was administered and it is more than likely that
a state’s statutes, case law, and guidelines have changed since that time. For example, New Jersey
now has guidelines on the appeal ability of the state’s refusal to defend an employee in a civil liability
suit. The Supreme Court of New Jersey recently held that judicial review of a refusal by the attorney
general to defend a state employee under the State Tort Claims Act is appropriate, but that the attor-
ney general’s decision should not be reversed by a court unless it finds that the refusal is “…arbitrary,
capricious or unreasonable or it is not supported by substantial credible evidence in the record as a
whole.”4
The fact that a state refuses to defend the officer could serve to prejudice a judge or jury, if this
information is admissible as evidence in a legal proceeding. However, according to the survey, with
42 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
Chapter 4
the exception of Maryland, Oklahoma, and Oregon; the majority of states made no provision for
barring at trial the evidence of the state’s refusal to defend a its employee. Such evidence could be
damaging to the state employee’s defense because of the implication, whether warranted or unwar-
ranted, that the state’s refusal to defend was due to the act or omission being outside the scope and/
or course of the officer’s authority or duty, or some other adverse statutory exception for denial of
representation.
Survey responses from several of the states indicated that state legal representation is at the discre-
tion of the attorney general’s office, barring conflict of interest. Other states responded that the situa-
tion (i.e. a parole or probation officer sued in a criminal case) had never arisen and that their policies
on this matter were unclear. Hence, very few states in the survey unequivocally indicated that the
state would undertake the defense of an officer if the case were a matter involving criminal liability.
It is important to note that the rules of assessing and awarding attorney’s fees may not apply in cases
that are settled outside of the court without a trial or are not pursuant to a consent decree. During the
mediation or arbitration processes of determining a settlement, the parties to the lawsuit are free to
fashion the terms of the settlement and to determine the amount of fees, if any, and who should pay
them.5
In any action or proceeding to enforce a provision of Sections 1981, 1982, 1983, 1985, and 1986
of 42 U.S. Code . . . or Title VI of the Civil Rights Act of 1964, the Court, in its discretion, may
allow the prevailing party, other than the United States, a reasonable attorney’s fee as part of the
costs….6
Prior to the passage of this act, an award of attorneys’ fees was relatively rare due to the “American
Rule”, or “loser pays” rule, which required each party to pay their own attorney’s fees and expenses.7
The passage of the Attorney’s Fees Act made it more likely that a prevailing party in a federal civil
rights suit can collect attorney’s fees, thus making such suits more attractive to lawyers.8
Section 1988(b) authorizes an award of attorney’s fees to the “prevailing party” in a federal action.
There are two points to consider here.9 First, a prevailing pro se plaintiff is never entitled to attorney’s
fees because a pro se litigant is not represented by an attorney. This applies to attorneys who choose
to represent themselves as a party to a lawsuit.10 Second, prevailing defendants should not be per-
mitted to recover attorney’s fees.11
Generally, in a §1983 case, party prevails when the court has awarded some actual relief on the
merits of a claim in which the legal relationship of the parties has been altered.12 It is not enough that
the lawsuit was a catalyst that caused a losing party to alter its conduct toward the plaintiff,13 there
must be a “material alteration of the legal relationship of the parties necessary to permit an award of
attorney’s fees”14 as a result of a court’s judgment on the merits of a case or a court-ordered consent
decree.
For example, in Maher v. Gagne15 an award of fees was been found appropriate even where the
parties avoided a trial and reached a voluntary settlement under a consent decree agreement. Fur-
thermore, the U.S. Supreme Court said that attorney’s fees may be awarded when a party prevails in
a consent decree with no judicial determination that federal rights have been violated.16 This means
that even if the case is settled out of court, the defendant may be made to pay attorney’s fees. Even
if the plaintiff does not succeed on all the issues of the case, he or she can still be the “prevailing
party” for the purposes of § 1988.17 A defendant who does not actually “lose” a case can thus be
required to pay the plaintiff’s attorneys’ fees. Moreover, the governmental agency or unit that em-
ployed the individual sued can be ordered to pay the attorney’s fees, even though it is not a named
defendant.18
Under this act, prevailing probation/parole officers may also be awarded attorneys’ fees but not on the
same basis as prevailing plaintiffs. A plaintiff is usually awarded fees because he or she is found to
have won the suit.19 A defendant such as a public employee, however, must not only “win”; he or she
must show that the plaintiff’s suit was frivolous, unreasonable, or unfounded.20 The law, therefore,
tends to favor the person bringing a lawsuit against the probation/parole officer. Although this may be
harsh to government officers, it is not surprising because the law was designed to deter unconstitu-
tional actions by government agencies and officers.
The application of the Attorneys’ Fees Act was expanded in a 1980 case. Originally, §§ 1983 and
1988 were only applied to violations of constitutional rights. However, in Maine v. Thiboutot,21 the U.S.
Supreme Court determined that individuals could sue for violations of any citizens’ rights created un-
der any federal statute. Furthermore, the Court ruled that prevailing plaintiffs could recover legal fees
from the losing party. This decision has served to provide individuals with further means of bringing
suit under federal law beyond civil rights in areas such as the administration of federal programs. Pro-
bation and parole agencies that participate in federal programs (e.g., programs that provide grants to
the agencies) can potentially be subjected to lawsuits under § 1983, if they violate federal laws appli-
cable to these programs. The probation and parole agencies may also have to pay attorney’s fees for
the other party if the agencies lose the lawsuit. In these cases, attorney’s fees are awarded when the
individual bringing the suit prevails over the agency.
44 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
Chapter 4
Lower federal courts had adopted ambiguous standards for determining the appropriateness of a fee
award. The U.S. Supreme Court clarified the standards in Hensley v. Eckerhart by holding that any of
the following factors can be considered in calculating the “lodestar” or reasonable amount of attor-
ney’s fees that can be awarded by a court:22
■■ The preclusion of other employment by the attorney due to acceptance of the case.
■■ The nature and length of the professional relationship with the client.
Although no research is currently available, it can be surmised that awards of attorney’s fees to the
prevailing party may have encouraged plaintiffs to file cases under § 1983, instead of under state tort
statutes. Attorneys are more likely to accept cases for which they can collect fees. In addition, case
law shows that the attorneys’ fees awards in some cases may grossly exceed damages awarded to
plaintiffs. In one case, the Federal Court of Appeals for the Eleventh Circuit awarded $162,209.50
in attorneys’ fees and court costs in a case involving a police officer even though the damage award
was only $500 in compensatory and $10,000 in punitive damages.23 In another law enforcement
case, the Federal Court of Appeals for the Ninth Circuit upheld an award of $66,535 in attorneys’ fees
to a plaintiff who was awarded only $1 in damages.24 In yet another case, the Federal Court of Ap-
peals for the Fifth Circuit approved the award of $5,000 in attorneys’ fees for a $1 award of nominal
damages.25 The $5,000 attorneys’ fees award, however, was reversed by the United States Supreme
Court on appeal which held that although plaintiff was a “prevailing party,” in cases such as this one,
the “only reasonable fee is usually no fee at all.”26
Although most states provide some form of indemnification for officers who are sued, this does not
mean that the state will automatically indemnify a probation or parole officer in every case. The ma-
jority of states will help pay the judgment only if the act on which the finding of liability is based was
“within the scope of employment.” The definition of this phrase may differ across jurisdictions.
For procedural purposes, an important question is: Who determines if good faith is binding for pur-
pose of eligibility for indemnification? The determination is made by the state attorney general, the
court, or the state agency. In some states, the court decision states whether the employee acted in
bad faith. If, however, the state makes a pretrial investigation to determine if the employee is eligible
for state legal representation, the result of that investigation could potentially bind the state to indem-
nity, even if a subsequent court decision on the case finds that the employee had not acted in good
faith. In some states, the steps for determining good faith are unclear. In the survey, some states
indicated that, with respect to probation/parole officers, such a case had not been decided. In other
states, only the matter of “scope of employment” must be determined without consideration of the
broader issue of the presence or absence of good faith.
The survey also indicated that there are jurisdictions which, by law, exempt officers from liability
in state tort cases. Other jurisdictions specifically provide that plaintiffs must sue the government
employer, not the officer, in tort cases. For example, the Federal Tort Law Claims Act waives immu-
nity for the federal government, but not for its employees, and in effect, states that in tort cases the
government, not the officer, is to be sued.31 The Federal Employees Liability Reform and Tort Com-
pensation Act of 1988, also known as the Westfall Act, grants federal employees, with few excep-
tions, absolute immunity from civil liability for wrongful or negligent acts committed while acting under
the scope of employment.32 By contrast, in § 1983 cases, the officer is to be sued, not the federal
government.33
In summary, a probation/parole officer who is sued in his or her official and/or individual capacity
faces an array of uncertainties. An officer’s request for legal assistance and representation by the
agency or the state may be provided, but is dependent upon his or her state’s statutes, and agency
rules and guidelines. If the state has provisions for indemnification, the officer be subjected to more
than one determination of good faith, in which “good faith” may or may not be a well-defined or
consistently applied term. Despite these inconsistencies, a court may rule against an employee by
negating a claim of good faith, which negates the employee’s claim of indemnification in turn. Even if
the officer is indemnified, not all fees and expenses may be covered, particularly in states that place
a limit on the amount of fees and awards for indemnification. Finally, whether the lawsuit is brought in
state or federal court is a decisive factor in whether indemnification will apply to the officer’s case.
A. In Texas
In Texas, probation and parole officers are state officers for purposes of representation and indemni-
fication, although they are considered local employees for other purposes. Probation officers, known
as Community Supervision Officers, are employed by Community Supervision and Corrections
Departments.34 These are local judicial agencies,35 and the officers are generally paid by the county
46 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
Chapter 4
in which the court has jurisdiction, but funding for adult community supervision is also provided by
the Texas Criminal Justice Assistance Division.36 The Texas Department of Criminal Justice (TDCJ) is
the state agency under which the Parole Division operates, thus, state parole officers are employees
of the state. There are two types of parole officers in Texas: (1) Institutional Parole Officers (IPOs),
and (2) officers who work in Field Operations. IPOs work with inmates in the Correctional Institution
Division of TDCJ, but are overseen by the Texas Board of Pardons and Paroles which is quasi-inde-
pendent state agency.37 The TDCJ Parole Division has oversight of field operations officers in state
regional offices who supervise parolees and individuals on mandatory supervision.38
Chapter 104 of the Texas Civil Practices and Remedies Code contains the statutes that regulate
the state’s liability for the conduct of its public servants. Texas law provides that the state attorney
general’s office is obliged to defend employees in certain instances, and the state indemnifies
employees who are held liable.39 The state is required to pay damages, court costs, and attorney’s
fees adjudicated against employees.40 However, these laws apply only to an officer’s conduct if the
claims and damages are based on official acts or omissions in the course and scope of employment
as determined by the state attorney general’s office.41 The state will not indemnify if the damages are
the result of a “wilful or wrongful act or gross negligence.”42 When a civil lawsuit is filed against an
employee, the law further requires that the attorney general must be served and given an opportunity
to defend the suit, or notification must be given to the attorney general’s office within 10 days of the
date that the officer is served with notice that he or she is being sued.43 Funds for defense of state
employees are appropriated to the attorney general from the General Revenue Fund and are used
for the attorney general to investigate, depose parties to the suit, conduct and respond to discovery
processes, prepare for trial, prepare exhibits and other evidence for trial, and for actual participation
at trial.44
Indemnification under Texas law is limited to specific amounts recoverable damages. State liability
for indemnification is capped at $100,000 to a single indemnified person and at $300,000 to multi-
ple indemnified persons if the liability resulted for a single occurrence made the basis of a lawsuit.45
Payment of damages is limited to cases of personal injury, death, or deprivation of a right or privilege.
The state will also pay damages up to $10,000 for damage to property arising from a single occur-
rence.46 In the absence of statutory provisions to the contrary, it may be presumed that this covers
damages resulting from litigation in state and federal courts. It must be noted that nothing prevents
the state from paying monetary damages beyond the above amounts specified by law (unless pro-
scribed in the court decision), but the state’s obligation is limited to what state law provides. The indi-
vidual officer will have to pay the difference out of his or her own pocket, if there is no other insurance
contract or plan of statutorily authorized self-insurance.47
B. In Kansas
A discussion of the structure of probation and parole in Kansas is somewhat complicated. Parole
officers are considered to be state officers employed by the Kansas Department of Corrections’ Com-
munity and Field Services Division.48 Thus, under state law, parole officers are eligible to be defend-
ed under the Kansas Tort Claims Act.49 Legal defense would generally be provided by the Kansas
Department of Corrections. Another complication in the structural issues in the Kansas probation
and parole systems is the role of Court Services within judicial branch of the state government at
the district court level. Court services officers have wide discretion and broad objectives from the
preparation of presentence investigation reports to supervision of felony and misdemeanant adult
and juvenile probationers.50 It is possible that court services officers could be shielded by absolute
immunity because they are carrying out functions at the behest of the judiciary as judicial agents, yet
Kansas case law gives little guidance in this matter.51
Although statutorily eligible for legal representation, the Kansas statute does not clearly delineate the
conditions, especially in state tort cases, under which a defense for probation, parole, or court ser-
vices officers would be provided by either the Kansas attorney general’s office, the specific county/
district in which the court services officer works, counsel from the private bar, or counsel for an insur-
er.52 If there is an insurance contract, claims against the state or an employee acting within the scope
of employment can be compromised or settled by the attorney general, subject to the approval of the
state finance council as delegated by the legislature, or by the legislature itself, if it is in session.53
The chasm between the probation and parole officers in the executive branch and the court services
officers in the judicial branch presents a challenge in determining which of the Kansas statutes apply
to whom and under what circumstances they may be applicable.
By and large, the Kansas attorney general’s office will provide representation for any state employee
sued in a state tort claims case or in a federal court in a case involving civil rights claims.54 In either
instance, the statute requires that the employee must request legal defense within 15 days of receipt
of service of process or a subpoena by filing the request with the attorney general’s office.55 Refusal
to provide a defense may occur under any one of the following conditions: (1) the act or omission
was not within the scope of employment; (2) the employee acted or failed to act because of actual
fraud or actual malice; (3) the defense of the action by the governmental entity would create a con-
flict of interest between the governmental entity and the employee; or (4) the request was not made
in accordance with Kansas Statute Annotated § 75-6108(e).56
Legal defense for community corrections officers is a bit more complicated. In Kansas, the Com-
munity Corrections Section is under the auspices of the Department of Corrections’ Division of
Community and Field Services.57 Unlike their parole officer counterparts, the community corrections
structure and services are established either by single counties or interlocal agreements between
multiple counties, thus making probation officers employees of a county or consortium of counties.58
While funding for such programs is provided by grants from the Kansas Department of Corrections
and/or the Kansas Juvenile Justice Authority, officers are generally considered to be employees of
the county or counties who established the programs.59 Thus, legal representation would generally
be provided by the county entities involved or through liability insurance carried by the county as
permitted by Kansas law.
The Kansas Tort Claims Act sets cap of $500,000 for any claims related to a single occurrence or ac-
cident.60 The Kansas statute does not permit liability for punitive or exemplary damages, or for inter-
est accrued prior to an order of final judgment as long as the employee was acting within the scope
of employment.61 Payment of damages assessed by compromise, settlement, or final judgment of a
court, and costs to defend an action, is rendered by the attorney general from a the state treasury’s
tort claim fund, whether in a state tort claims action or civil rights action under United States laws.62
Kansas statutorily permits government entities and interlocal cooperative entities to purchase insur-
ance from a company or an association for state tort claims or any civil right actions.63 The insurance
contract is allowed to exceed the $500,000.00 statutory cap on damages.64
Each set of circumstances is different and indemnification arrangements vary from one Kansas ju-
risdiction to another, so it is important that the probation officer ascertain the particular arrangement
that applies to his or her local jurisdiction or interlocal cooperative agreement. Incidentally, Kansas
law prohibits the introduction of evidence at a trial in a civil rights case that an employee may be
indemnified by the government and a mistrial shall be declared if this evidence is admitted.65
Indemnification for state officers is permissible in Kansas for injury or damages proximately caused
by an act or omission of the employee acting within the scope of his or her employment provided
that the employee acted in good faith and without actual fraud or malice.66 The employee will not be
indemnified, however, for any punitive or exemplary damages, or for any costs, judgments, or settle-
ments that are paid through an applicable contract or policy of insurance.67 It is a statutory imperative
48 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
Chapter 4
that the employees cooperate in good faith in the defense of the claims against them, because not
doing so can preclude indemnification.
Insurance for public employees is sometimes rejected for fear it might encourage the filing of lawsuits
by citizens against public servants. It may also be assumed that the amount of damages awarded
could increase if a judge or the jury becomes aware that the costs would be borne by an insurance
company rather than by an individual employee or governmental agency or other entity. In many
jurisdictions, however, insurance ownership or governmental indemnification cannot be mentioned at
a trial or during a hearing. It could be argued that if insurance coverage is available, the public would
be better served, in that public employees would be more inclined to fulfill their duties if their con-
cerns about personal liability were diminished for acts performed in good faith in the scope of their
authority and employment.
Within the scope of the survey results, liability insurance appears to be desirable in jurisdictions
where state legal representation or indemnification is uncertain or nonexistent. Insurance policies,
however, cover only acts performed within the scope of employment and may require a demonstra-
tion of good faith. In jurisdictions that do not permit or provide liability insurance, agencies can at-
tempt to influence legislative initiatives for the modification of statutes and policies so that insurance
for agency employees can be obtained with public funds.
Because § 1983 applies to persons acting “under color” of state law, if a state has contracted with a
private probation company for the provision of services, § 1983 applies to those private parties which
act jointly under contract with the government to perform functions that were traditionally and exclu-
sively in the government’s sphere.73 For the purposes of § 1983, private probation officers are state
actors and are required to uphold the constitutional requirements for handling probationers.74 Case
law is still developing with regard to privatization of probation services and officers are well-advised
to stay abreast of statutory and case law developments within their jurisdictions.75 Probation officers
employed by private entities which have contracted with a state or local jurisdiction to provide ser-
vices will need to consult with their employers for answers to the questions of legal representation,
attorney’s fees, and indemnification.
SUMMARY
Legal representation, attorney’s fees, and indemnification are real concerns of probation and parole
officers in cases involving civil liability. The survey for the first edition of this monograph shows that
modes of representation and indemnification vary greatly among states, ranging from guaranteed
representation or indemnification to no formal policy whatsoever. Most states that provide repre-
sentation do so in civil cases only, whereas others include criminal cases as well. The Civil Rights
Attorney’s Fees Awards Act of 1976 allows courts to award fees to the prevailing plaintiff in a civil
rights lawsuit. There is a paucity of policy as to who pays these fees and there is no standardization
between and, sometimes, within; states as to who is entitled to be represented and/or indemnified by
the state. The problem is compounded where counties, parishes, and municipalities are considered.
Professional liability insurance provides protection to probation and parole officers, but inherent prob-
lems remain, such as: (1) who pays the premium, (2) will it increase the number of lawsuits filed, and
(3) is an insurance company is available and/or willing to underwrite the policy? Each state and local
jurisdiction must take responsibility for educating and training their probation and parole officers so
that they will be prepared to act promptly and properly if they are named as a party in a lawsuit that
may expose them to civil liability.
NOTES
1. Black’s Law Dictionary (9th ed.), citing Prosser and Keeton on the Law of Torts § 34, at 211-12 (W.
Page Keeton ed., 5th ed.).
5. See e.g., Toms v. Taft, 338 F3d 519 (6th Cir. 2003) in which a plaintiff did not qualify as a prevailing
party in a private out-of-court settlement).
6. Civil Rights Attorney’s Fees Awards Act of 1976, 42 U.S.C. § 1988(b) (1976).
8. Id.
9. Id.
50 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
Chapter 4
13. Buckhannon Board & Care Home v. West Virginia Department of Health & Human Resources,
532 U.S. 598 (2001).
14 Id. at 604.
16. Id.
17. Hensley v. Eckerhart, 461 U.S. 424 (1983). See also Guajardo v. Estelle, 432 F. Supp. 1373 (S.D.
Tex. 1977), modified 580 F.2d 748 (5th Cir. 1978).
19. Id.
25. Estate of Farrar v. Cain, 941 F.2d 1311 (5th Cir. 1991).
28. Id.
29. Id.
30. Id.
31. See generally Federal Tort Claims Act (FTCA), 28 U.S.C. §§ 2671-2680 and 28 U.S.C. § 1346(b).
32. See generally Federal Employees Liability Reform and Tort Compensation Act of 1988 (FELRT-
CA), also referred to as the Westfall Act, 28 U.S.C. 2679.
33. Id.
39. Texas Civ. Prac. & Rem. §§ 104.001 and 104.004 (2010).
49. See generally Kansas Tort Claim Act, Kan. Stat. Ann. §§ 75-6101 – 75-6115 (2009).
50. See e.g., Thomas County District Court web page retrieved November 30, 2010 and available at
http://www.thomascounty.us/CourtServices.htm.
51. A recent unpublished opinion from another jurisdiction may be instructive in this matter; See
Christianson v. Nelson, 2010 WL 562883 (D.S.D. 2010) (“Defendant relies upon Hansen v. Kjellsen,
638 N.W.2d 548 (S.D.2002), as support for her position that she is entitled to absolute immunity. In
that case the South Dakota Supreme Court held that a court services officer was entitled to absolute
judicial immunity when conducting a presentence investigation and preparing the report. The South
Dakota Supreme Court reasoned that a sentencing court required complete and accurate information
about an offender being sentenced, and that subjecting a court services officers (sic) to harassing
and vexatious litigation would not promote the free flow of information to the sentencing court. Defen-
dant was not preparing a presentence report in this case but rather, was exercising her discretion in
carrying out the sentencing court’s order regarding the terms of a juvenile’s probation. Defendant’s
function was neither adjudicatory nor prosecutorial in nature so as to warrant absolute immunity. See
Ray v. Pickett, 734 F.2d 370 (8th Cir.1984)(probation officer not entitled to absolute immunity in writ-
ing a report to secure a parole violator’s warrant). The Defendant has not met her burden of showing
that public policy justifies the application of absolute immunity in this case.”; A Kansas Statute defines
court services officers as “law enforcement officers” in its Code of Criminal Procedure, thus muddying
the waters even further when compared to the apparent clear cut role of court services officers in
South Dakota; See McCormick v. Board of County Com’rs of Shawnee, 227 Kan. 627 (2001) K.S.A.
22-2202(13) defines a law enforcement officer as “…any person who by virtue of office or public
employment is vested by law with a duty to maintain public order or to make arrests for violation of
the laws of the state of Kansas ... and includes court services officers, parole officers and directors,
security personnel and keepers of correctional institutions ... while acting within the scope of their
authority” (initial quotations and ellipses added).
57. Kansas Department of Corrections: 2010 Annual Report at 48 (May 2010); available at http://
www.doc.ks.gov/ publications/2010%20KDOC%20Annual%20Report%20(Released%20May%
202010).pdf.
52 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
Chapter 4
64. Id.
67. Id.
68. Christine S. Schloss and Leanne F. Alarid, Standards in the Privatization of Probation Services: A
Statutory Analysis, Criminal Justice Review 32(3) (2007). DOI: 10.1177/0734016807304949.
69. Private Probation Association of Georgia, retrieved November 30, 2010 from http://www.ppa-
gonline.com/about.htm. See also, H.K.O. Sparrow, Private Probation in Georgia: A new direction,
Atlanta, GA: Administrative Office of the Courts (2001).
71. Id. at 233 with citing M. O. Reynolds, Privatizing probation and parole, (NCPA Policy Report No.
233, Dallas, TX: National Center for Policy Analysis, and Sparrow supra note 41.
73. See Lee v. Katz, 276 F3d. 500 (Ninth Circ. 2002); See also Brentwood Acad. v. Tenn. Secondary
Sch. Athletic Assoc., 531 U.S. 288 (2001).
74. Richard Frankel, The Failure of Analogy in Conceptualizing Private Entity Liability Under Section
1983, 78 UMKC L. Rev. 967 (2010).
75. Barbara Kritchevsky, Civil Rights Liabilities of Private Entities, 26 Cardozo L. Rev. 35 (2004).
INTRODUCTION
A. Contents of a PSIR
1. Federal Rules
C. Disclosure
1. Disclosure to the Public in General
2. Disclosure to the Defendant and Defense Counsel
3. Disclosure to Victims
4. Disclosure to Other Government Agencies
5. Disclosure to the Media
6. Disclosure to Other Third Parties
D. Probation Officers Generally Immune from Civil Liability for Preparing Presentence
Investigation Reports
C. Victim Access
D. Other Third Party Access
SUMMARY
NOTES
55
CHAPTER 5
INTRODUCTION
Presentence and preparole investigations and reports are important for several key functions in the
criminal justice system. First, the presentence investigations and reports (PSIRs) assist judges in
determining the type and length of sentence that an offender will serve. Probationers are usually
supervised by the courts through probation offices under the judicial branch of government. PSIRs
are used to determine the terms and conditions of probation or parole. PSIRs may also be used by
judges to assess the monetary amounts for fines and victim restitution. Preparole investigations and
reports (PPIRs) assist parole boards and commissions in deciding whether an offender should re-
main incarcerated, or be placed on supervised release. Parolees are generally supervised by a state
board or commission under the executive branch of government. PPIRs are used by decision makers
to fashion the terms and conditions of an inmate’s parole release (e.g., community supervision, day
reporting center, halfway house, electronic monitoring).
Another essential criminal justice function is that PSIRs contain information about criminal history
and risk assessments that are used by state correctional facilities and the federal Bureau of Prisons
for classification purposes to determine an inmate’s security level, to decide where an inmate should
be housed, and to assess program assignments. Information in the PSIR can assist agencies in
assigning an offender to a minimum, medium, maximum, or super-maximum facility.
A third function of the PSIR and the PPIR is their use in decision-making about victims. Victims
have certain rights conditioned by the information contained in an offender’s report (e.g., the right
to a court-ordered temporary or permanent restraining order against a perpetrator or the right to be
present at a parole hearing). Furthermore, these reports can help victims’ services personnel assess
the crime victims’ entitlement to and needs for services.
Offenders do not lose all of their constitutional rights because of conviction, probation, confinement,
or parole; but they do have diminished rights. In other words, some basic constitutional rights are
retained, whereas other rights are curtailed depending on the severity of the crime, the type of
sentence received, and conditions of release. Presentencing and preparole processes may affect the
scope of an offender’s rights, therefore it is imperative for probation and parole officers to understand
the limits of an offender’s or inmate’s rights. In most states, the procedure, substance, and use of
PSIRs are governed by state law and procedural rules. The operation of PPIRs is often set by state
or federal agency policy. These divergent frameworks present complicated legal issues in any analy-
sis of the laws and rules that govern presentence and preparole investigations and reports.
Focusing on constitutional rights; state and federal statutes and rules; and agency policies, this
chapter discusses some of the central legal issues involved with the PSIR and PPIR. Federal and
state probation and parole officers should consult their agencies’ manuals, publications, memoranda,
and other official documents for more specific information about the laws, rules, and guidelines that
govern their actions with regard to any topic that is discussed in this chapter.
A. Contents of a PSIR
At the federal level, the Federal Rules of Criminal Procedure require PSIRs to include information
about the defendant’s history and characteristics; including any prior criminal record, financial condi-
tion, and any circumstances affecting the defendant’s behavior that may be helpful in imposing sen-
tence or determining correctional programming and treatment.1 The purpose of the PSIR is to help
the sentencing judge impose the most appropriate sentence by providing extensive information about
the defendant and, if customarily or specially requested, an informed recommendation by the proba-
tion officer. The report supports two contemporary concepts in the field of corrections. The first con-
cept is that rehabilitation is promoted by individualized sentences, and the second is that sentencing
disparity for the same or similar offenses should be reduced.2 Because the stage of deciding guilt or
innocence occurs prior to sentencing, the United States Supreme Court has long held it reasonable
to allow a judge to exercise wide discretion as to what sources and types of information he or she will
rely on to determine an appropriate and lawful sentence.3 However, a relatively recent U.S. Supreme
Court ruling in Blakely v. Washington4 holds that a judge must distinguish between sentencing factors
and elements5 of an offense when passing sentence because departures from sentencing statutes or
guidelines are questions of fact for a jury.
Empirical studies that have examined the utility of PSIRs indicate mixed results for the perceived val-
ue and use of the reports.6 Scholars have given more attention to use of PSIRs by parole officers, but
the significance of the reports to defense attorneys has been understudied.7 Given the importance of
the PSIR, the dictates of due process and fundamental fairness require providing defense counsel
access to the report. Attorneys may maintain that there is a distinct liberty interest involved at the
presentencing stage that does not always exist after sentence has been passed. However, a judge
may conduct an inquiry that is broad in scope and largely unlimited as to the types and sources of
information that he or she may consider in passing sentence.8
1. Federal Rules
Most states incorporate the requirements and exclusions used in the preparation of federal PSIRs.
These required and excluded elements will be explained in this section. Rule 32 of the Federal Rule
of Criminal Procedure (Rule 32) sets forth the requirements for sentencing and judgment in federal
cases. Among the provisions of Rule 32 are the required contents of a PSIR. After the U.S. Supreme
Court ruled in United States v. Booker9 that United States Sentencing Guidelines10 were advisory and
not mandatory, the language of Rule 32 was altered to reflect the “Advisory Sentencing Guidelines.”11
Under Rule 32 the federal PSIR must include the following:
■■ Identity of all applicable guidelines and policy statements of the United States Sentencing
Commission.
■■ Identification of any factor relevant to either the appropriate kind of sentence, or the appropriate
sentence within the applicable sentencing range.
■■ Identification of any basis for departing from the applicable sentencing range.12
Rule 32(d)(2) lists the additional information that has traditionally been included in federal and state
PSIRs. For federal PSIRs, these items must include:
■■ A defendant’s history and characteristics, including prior criminal history, circumstances affecting
the defendant’s behavior that may assist the judge in imposing sentence or in correctional treat-
ment programs.
58 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
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■■ Information that assesses financial, social, psychological, and medical impact on any victim.
■■ When appropriate, the nature and extent of nonprison programs and resources available to the
defendant.
■■ Information sufficient to determine appropriate court-ordered restitution, if the law provides for
restitution to the victim or victims.
■■ Results and recommendations of any study ordered by the court under 18 U.S.C. § 3552(b).13
■■ Information relevant to the factors under 18 U.S.C. § 3553(a),14 and any other information that the
court requires.
■■ Specification of whether the government seeks forfeiture under Rule 32.2 and any other provision
of law.
It is also important to be aware of exclusions under Rule 32(d)(3). Federal PSIRs under the rule must
not include
■■ Any other information that, if disclosed, might result in physical or other harm to the defendant or
others.
The presentence interview is not an interrogation—it is a routine interview that is governed by stat-
utes, rules, and case law.18 The Second Circuit Federal Court of Appeals found that there was no
violation of the Fifth Amendment where a defendant voluntarily wrote and then gave a letter to the
U.S. Probation Officer during an interview.19 There is no obligation to provide the Miranda warning to
a defendant prior to an interview for the purposes of preparing a PSIR because the defendant’s Fifth
Amendment right against self-incrimination is not triggered, unless the interview can be shown to be
coercive.20
A defendant may object to the information contained in the PSIR. The probation officer should initially
attempt to resolve any disputes concerning the contents of the report, either with the defendant or
the defense attorney. If the officer is unable to resolve the issues, the defendant may file a motion to
object to the contents or a motion to correct any inaccuracies in the PSIR. If a motion is filed, gener-
ally the sentencing court will conduct a hearing and grant or deny the motion. If the court rules that
the content must be amended or excluded, the probation officer who prepared the PSIR will amend
or remove the objectionable content and present the amended report to the sentencing court, the
government’s attorney, the defendant, and the defense attorney.
In Townsend v. Burke, 334 U.S. 736 (1948), the U.S. Supreme Court found that the sentencing court
relied on information that was “extensively and materially false.” This case illustrates that there is a
constitutional limit on the information that can be considered at sentencing. Rule 32(i)(3)(B) express-
ly directs judges to resolve factual disputes to assure that the disputed information is not considered
when assessing a sentence. Townsend and the Rule are especially relevant to the accuracy of infor-
mation contained in a PSIR. It is the responsibility of the probation officer to assess objectively the
veracity of the information contained in the report. In many jurisdictions, hearsay evidence and/or any
evidence illegally obtained by the police may be included in the PSIR,21 but judges usually stipulate
the kind of information that they want excluded from the report. Some states statutorily specify the
information that may be included in or excluded from the PSIR, whereas other states leave these
decisions solely to the judge.
1. Victim Information
After the passage of the Crime Victims’ Rights Act of 2004,22 all 50 states, the District of Columbia,
and U.S. territories have consented to some form of victim impact statement at sentencing.23 Most
states permit inclusion of a written statement in a PSIR. Federal PSIRs must include the written
statement. According to the National Center for Victims of Crime, victim impact statements may
include: (a) an itemization of any economic loss suffered by the victim; (b) an identification of any
physical injury or emotional damage to the victim, including the seriousness and permanence of inju-
ry or damage; (c) a description of any change in the victim’s personal welfare or familial relationships
as a result of the offense; (d) an identification of any request for medical or psychological services
initiated by the victim as a result of the offense; (e) a need for court-ordered restitution; and (f) any
other information required by the court and related to the effect of the offense on the victim.24 In some
states the victim impact statement may also include a victim’s description of his or her views about
the offense and/or the offender, and the victim’s belief in an appropriate sentence.25
2. Hearsay
“Hearsay” is defined in Black’s Law Dictionary (9th ed., 2009) as:
testimony that is given by a witness who relates not what he or she knows personally, but what
others have said, and that is therefore dependent on the credibility of someone other than the
witness. Such testimony is generally inadmissible under the rules of evidence…. In federal law, a
statement (either a verbal assertion or nonverbal assertive conduct), other than one made by the
declarant while testifying at the trial or hearing, offered in evidence to prove the truth of the matter
asserted.
Hearsay is not normally admissible in trials under the rules of evidence because the truth of the facts
asserted cannot be tested by cross-examination of the witness. Decided cases are clear, however,
that hearsay is not in and of itself constitutionally objectionable in a PSIR.26 Hearsay may be per-
mitted in a PSIR because the Federal Rules of Evidence concerning hearsay do not apply to the
investigation or preparation of the report.
The purpose of the report is to aid the judge in determining an appropriate sentence; hence, it is
important that the judge “not be denied an opportunity to obtain pertinent information by a require-
ment of rigid adherence to the restrictive rules of evidence properly applicable at trial.”27 In addition,
PSIRs are not restricted in their content to established fact.28 As the report is usually not compiled
by persons trained in the law; it is up to the judge to exercise both broad and proper discretion as to
the sources and types of information used to assist the court. This does not give the court unlimited
60 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 5
discretion. The defendant is afforded an opportunity to rebut hearsay information that is claimed to
be false or inaccurate by objecting to the contents of a PSIR either verbally or by filing a motion to
object to the information in the report or a motion to correct inaccuracies.
4. Criminal Record
A PSIR is not considered manifestly unjust simply because it contains a history of a defendant’s
prior arrests and/or charges.31 Information relating to prior criminal activity is usually considered
critical to the sentencing court and, therefore, is subject to mandatory disclosure by law enforcement
agencies for use in the PSIR. In U.S. v. Chaikin,32 a federal circuit court held that a sentencing court
may consider the evidence about a defendant’s criminal history and background beyond offenses
for which he or she has been convicted. This also includes evidence of charges or counts that have
been dismissed by the government. For the purposes of sentencing, 18 U.S.C. § 3661 (2010) states:
“No limitation shall be placed on the information concerning the background, character, and conduct
of a person convicted of an offense which a court of the United States may receive and consider for
the purpose of imposing an appropriate sentence.”
Can juvenile offenses be used in a PSIR? Can these offenses be used to enhance a sentence?
Some state jurisdictions allow juvenile records to be included in PSIRs. It is not clear at the federal
level whether juvenile offenses can be used to enhance a sentence for a current offense, and there
is some conflict in the federal circuit courts which leaves the question unanswered.33 The laws and
rules of each state and federal jurisdiction, and the rules and guidelines of specific agencies, must
be consulted prior to making decisions about including or excluding juvenile records.
5. Suppressed Evidence
The U.S. Supreme Court under former Chief Justice William H. Rehnquist showed some disfavor
toward the exclusionary rule. This court-developed doctrine is derived from the Fourth Amendment.
The exclusionary rule prohibits information obtained in violation of the defendant’s Fourth, Fifth, or
Sixth Amendment rights to be used in a criminal trial as direct evidence of the defendant’s guilt. The
Rehnquist Court and the more recent Roberts Court have resisted efforts to extend the exclusion or
suppression of illegally obtained evidence to proceedings other than the trial itself. It is argued that
the rule suppressing illegally obtained evidence is justified by the need to deter police misconduct. In
cases where lower courts have held that the extension of the suppression remedy is not warranted,
the Supreme Court has said that additional deterrence of official misconduct cannot be obtained
without undue harm to the public interest.
The Federal Courts of Appeals have permitted the use of suppressed information once guilt has
been determined because the exclusionary rule does not routinely prohibit a sentencing court from
considering illegally obtained evidence even though such evidence is inadmissible at trial.34 In sev-
eral federal circuit court cases, illegally obtained evidence of weapons and drugs that were excluded
at trial was permitted to be considered by sentencing judges.35 However, some federal circuit courts
have placed an exception on the use of excluded evidence—if the evidence is being used specifically
to attempt to establish a more severe sentence, then it must be excluded.36
Probation officers should ascertain the current laws and rules in their jurisdictions with regard to
including excluded or suppressed evidence relevant to the current offense. They should also assess
the rules and guidelines for including excluded evidence from prior offenses, if this type of informa-
tion is available to them.
C. Disclosure
1. Disclosure to the Public in General
Rule 32 of the Federal Rules of Criminal Procedure does not permit a U.S. probation officer to submit
a PSIR to the court or to disclose the contents to any other person or entity until the defendant has
entered a plea of guilty or nolo contendere, or guilt has been adjudicated.37 The Rule 32 exclusions
for the PSIR are also prevented from disclosure. These sections of the Rule do not apply if the officer
has obtained the defendant’s written consent to disclose.38 The Rule does require the officer to dis-
close the PSIR to the defendant or the defendant’s counsel and to the government attorney no later
than 35 days prior to sentencing.39 A defendant may, however, waive this required minimum disclo-
sure period.40
Although Rule 32(e) of the Federal Rules of Criminal Procedure sets the federal standard for release
of PSIRs to defendants, their attorneys, and the government’s prosecutors, it remains silent as to dis-
closure to various “third parties.” No statute or rule requires that PSIRs remain confidential after the
sentencing hearing has occurred.41 The general guideline is that a court may disclose information in
the PSIR, with the exception of the Rule’s exclusions, if the information was considered by the court
in determining a sentence.
Third parties are defined as persons or entities other than the courts, the Parole Commission, the
Bureau of Prisons, and probation officers. The general trend both at the state and federal levels has
been that PSIRs are confidential and not subject to third party disclosure. More recently several
Federal Courts of Appeals and a few states’ statutes, have addressed the possibility of disclosure to
persons outside the realm of the sentencing court.
A variation of the application of the Rule is found in a First Circuit Federal Court of Appeals case.42
The court determined that a judge may both identify for the record and disavow any information not
relied upon, or may disclose those portions of the report that were relied upon for sentencing.
In 1995, the Federal Court of Appeals for the Fifth Circuit decided a third-party disclosure case in
United States v. Huckaby.43 Huckaby, a state district court judge in Louisiana, pleaded guilty to one
misdemeanor count of failing to file an income tax return for the year 1987. During the presentence
investigation, the probation office concluded that Huckaby had not filed any federal income tax re-
turns for nearly 12 years. The Internal Revenue Service estimated the total taxes owed by him for the
years 1981 to 1992 were approximately $146,311. The prosecution of this case was highly publicized
in the judge’s hometown of Shreveport, Louisiana. According to the trial court, Huckaby, his friends,
and some Shreveport officials and community leaders contended that Huckaby was being singled
out for prosecution because he was black and had risen to a position of power within the community.
The trial judge, apparently dismayed at these contentions, took the unusual step of filing the PSIR
into the public record. The judge then sentenced Huckaby to a 12-month term of imprisonment, a fine
of $5,000, and a 1-year term of supervised release. On appeal Fifth Circuit upheld the disclosure of
62 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
Chapter 5
the report, but required that the portion of the PSIR titled “Offender Characteristics,” the objections
of the defendant, and the probation officer’s responses to the objection be removed from the record.
The circuit court held that the compelling necessity of relieving racial tension, coupled with the need
for the revelation of facts found in the PSIR that would persuade the public of the defendant’s culpa-
bility, justified the disclosure of the PSIR in the public record.
The United States Supreme Court has not considered the failure or refusal to disclose the contents
of the PSIR as violative of constitutional rights. Most jurisdictions require disclosure of the report to
the government’s attorney, the defendant, and defense counsel under a state statute or court rule.
Caution is suggested here as these jurisdictions have various restrictions to access, such as limiting
the disclosure of the sentencing recommendation; diagnostic opinions; victim statements; information
obtained under the promise of confidentiality; and/or any information that, if disclosed, may harm a
third party. Discretion in these matters is most often left to the sentencing court.
Some state laws may provide that the PSIR, and in some instances the supporting documentary
information, be disclosed to the defendant’s attorney, rather than to the defendant directly. The defen-
dant does not have a right to information developed for use in the PSIR.48 However, the sentencing
court must provide a written summary, or summarize for a review in chambers, any information ex-
cluded under the disclosure exceptions in Rule 32 if the court will rely on those facts to determine the
sentence.49 Counsel may be given access to the PSIR and supporting documents with instructions
not to disclose the contents to the defendant.50 Partial access that excludes information for reasons
other than those listed above is insufficient disclosure.51
The defendant does not have a right under Rule 32 to have access to a codefendant’s PSIR.52 There
is a distinction in disclosure. If a coconspirator witness’ PSIR contains exculpatory material, that part
of the report must be disclosed to defendant’s counsel.53 On the other hand, if the PSIR informa-
tion is to be used only to impeach a coconspirator’s testimony, disclosure to defense counsel is not
required, unless there is a reasonable likelihood of affecting the outcome of a bench or jury trial.54
3. Disclosure to Victims
Crime victims have a number of rights under the federal Crime Victims’ Rights Act (CVRA). The
discussion in this section is based on the federal CVRA.55 Many states have their own crime victims’
right acts which are similar to the provisions of the Federal CVRA. Probation and parole officers must
have working knowledge of their state’s statutes and rules that pertain to crime victims’ rights.
Among the victims’ rights enumerated in the federal CVRA, are the right to be “…reasonably heard at
any public proceeding in the district court involving release, plea, sentencing, or any parole pro-
ceeding.”56 The CVRA’s definition of crime victim “means a person directly and proximately harmed
as a result of the commission of a Federal offense or an offense in the District of Columbia.”57 The
CVRA does not specifically exclude misdemeanors or infractions, therefore it applies to any federal
offense.58 The act also states that the victim has “the right to be treated with fairness and with respect
for the victim’s dignity and privacy.59 The statute directs any United States Department of Justice per-
sonnel, including its officers and employees and other United States departments and agencies “…
engaged in the detection, investigation, or prosecution of crime…”, to “make their best efforts to see
that crime victims are notified of, and accorded, the rights described in subsection (a) of the act.”60
Victims can also assert their rights under the CVRA independently.61 The CVRA directs the district
courts to “…ensure that the crime victim is afforded the rights” given to them under the act.62 Subse-
quent amendments to the CVRA can affect many stages of a federal criminal proceeding; therefore,
it is incumbent upon a probation officer to consult the current version of his or her jurisdiction’s CVRA
whenever a question of victims’ rights is in issue.63
Nothing in this chapter shall be construed to authorize a cause of action for damages or to create,
to enlarge, or to imply any duty or obligation to any victim or other person for the breach of which
the United States or any of its officers or employees could be held liable in damages.
The upshot is that no cause of action for damages is created by the CVRA. United States Probation
and Parole Officers cannot be sued for damages in a civil action for violation of a victim’s rights. This
does not mean that a court could not grant injunctive or declaratory relief in victim’s suit against an
officer. Potential claims against probation and parole officers can be brought under 42 U.S.C. § 10607
which requires government officials to provide certain types of services to crime victims.64 For exam-
ple, if a probation officer fails to notify the victim that he or she has a right to prepare a victim impact
statement for inclusion in the PSIR or if an officer does not treat the victim fairly and with respect for
the victim’s dignity and privacy, this statute permits a cause of action under its requirements.
Under the enforcement provision of the Federal CVRA pursuant to § 3771(d)(3), victims can assert a
violation of their rights under the CVRA by filing a motion for relief or writ of mandamus in the district
court where the defendant is being prosecuted. A writ of mandamus is “a writ issued by a court to
compel performance of a particular act by a lower court or a governmental officer or body, [usually]
to correct a prior action or failure to act.”65 If the district court fails to permit the relief sought by the
victim, he or she can petition a Federal Court of Appeals which has jurisdiction over the district court.
This type of remedy does not include damages against the probation or parole officer for civil liability,
because an award of damages is not permitted by the CVRA.
The Supreme Court has rendered few decisions with regard to the CVRA, and none involving the
CVRA and disclosure of PSIRs (or for Preparole Reports). However, some U.S. Courts of Appeals
and Federal District Courts have ruled on this matter. These cases, either published or unpublished,
are discussed below. Case law is constantly in flux, so probation and parole officers must be aware
of current case decisions that are precedential and binding (published) or instructive (unpublished) in
their jurisdictions.
The Ninth Circuit Federal Court of Appeals affirmed a district court’s decision to deny a victim’s writ
of mandamus and found that neither the CVRA nor its legislative history supported a general right
for a victim to have access to a PSIR.66 The Circuit Court agreed with the district court that the victim
failed to demonstrate that his reasons for requesting the PSIR outweighed its confidentiality under
the “ends of justice” test that is traditionally applied to such requests.
In an earlier case, the Ninth Circuit relied on the “compelling need to meet the ends of justice”
standard when it permitted third party disclosure of a PSIR to the estate of a deceased victim and to
the newspaper in California town.67 United States v. Schlette stemmed from the murder of a former
county district attorney by a man he had successfully prosecuted for arson some 30 years before the
murder occurred. Soon after the killing, the murderer committed suicide to avoid capture by the po-
lice. Although the court stated that it does not suggest that PSIRs should be released to third parties
routinely, it held that the unique nature of the case met the third party disclosure compelling needs
standard. Disclosure of the PSIR to the estate of the murdered man was based upon the estate’s
arguments that this information could not be acquired from any other source, and the estate needed
64 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 5
disclosure in order to determine whether it had a cause of action for negligence based on the failure
of the probation office to warn the deceased of the threat posed to him by the murderer.68 The court
validated the newspaper’s assertion that disclosure would serve the public interest by informing the
public about the sentencing process, and thus met the disclosure standard. The interest in disclosure
asserted by the newspaper was found by the court to be rooted in the common law right to inspect
judicial records and documents.69
In an unpublished opinion in the Fourth Circuit case of In re Brock,70 a district court denied a victim’s
motion requesting partial disclosure of several defendants’ PSIRs. The Circuit Court affirmed the dis-
trict court’s finding that the victim had been given sufficient documentation related to the defendants’
sentencing to prepare and file a victim’s impact statement. The victim had in fact filed the statement,
and the district court’s denial was not violative of the CVRA. The victim did not need the PSIR in
order to describe the impact of the crime.
An unpublished order of a federal district court in Texas noted that the CVRA does not require
disclosure of PSIRs to a victim, or other third party, unless a “compelling, particularized need for
disclosure” has been demonstrated.71 The CVRA does not require the disclosure of a PSIR, despite
its language that the government must use its “best efforts” to notify crime victims. Similarly, in an
unpublished order in a Connecticut federal district court, disclosure of a PSIR was denied to a multi-
ple victims who were members of a group of investment funds who requested additional information
about financial disclosures contained in the PSIR. The court found that the victims’ rights to “full
and timely restitution” under the CVRA may be satisfied by petitioning the government, but not by
obtaining the PSIR from the actual defendant.72 The orders of the Texas and Connecticut courts were
recently cited in U.S. v. Coxton, a published order of a North Carolina federal district court.73 The fam-
ily members of the victim of a fatal shooting were denied access to the defendant’s PSIR based on
the prior holdings of the U.S. Supreme Court, and on published and unpublished opinions and orders
of other federal district and appellate courts. The district court found that victim’s family had already
been afforded sufficient information regarding sentencing without the PSIR.
In In re Siler74 the Sixth Circuit Federal Court of Appeals distinguished between prior cases and the
Siler case which involved a petition for mandamus for disclosure of PSIRs eighteen months after
police officers were convicted of conspiracy to violate Siler’s civil rights. Siler sought the PSIRs in
pursuit of discovery in a civil case against the officers. The federal circuit court ruled that there was
no authority under the CVRA for the district court to release the PSIRs. The Siler decision stated
that PSIRs are not public records within the judicial system, but are instead confidential and handled
accordingly. Rule 32 does not authorize release of PSIRs to parties other than those specified in the
rule. Furthermore, information found in PSIRs is often available from other public sources. Siler failed
to show “special need” for release of the confidential nonpublic PSIR
It is apparent from the case law that disclosure of the PSIR to victims, their family members, or their
estates must clear high legal hurdles in order to be granted access to complete or partial disclosure
of PSIRs. Probation officers have a legal duty to protect the confidentiality of the contents of PSIRs
from breach. The report cannot be released to victims or related parties, unless the probation officer
is ordered by a court to disclose all or part of the report.
The Federal Court of Appeals for the Second Circuit addressed the issue of third party disclosure
to other government agencies in United States v. Charmer Industries and Peerless Industries.76
Charmer involved disclosure of a PSIR prepared by the United States Probation Service to the Arizo-
na State Attorney General. The report contained information about defendant Peerless Importers, a
major wholesale liquor distributor that had entered a plea of nolo contendere in an antitrust case in
New York. The report was requested and sent, without prior judicial approval, to the Arizona Attorney
General who was preparing a liquor license revocation proceeding against a subsidiary of Charmer
and Peerless Industries, in conjunction with the Arizona Department of Liquor Licenses and Control.
The PSIR included financial data collected from Peerless, a description of the government’s conten-
tions against the company, and hearsay information from unidentified law enforcement officers. The
Arizona Attorney General inquired as to whether the PSIR could become part of the public record in
Arizona.
The Second Circuit court issued an injunctive order requiring the Arizona Attorney General to return
the PSIR to the district court along with all copies and extracts made of the report. The court further
prohibited the publication or use of any portion of the report that had not already been made publicly
available. The court reasoned that allowing public disclosure of PSIRs would “likely inhibit the flow
of information to the sentencing judge.”77 The court stated that in order for a PSIR to be disclosed
to a third party, the party must make “a particularized showing of a compelling need.”78 A third party
government agency must demonstrate that disclosure of the report is required “to meet the ends of
justice.”79
The U.S. Supreme Court’s construction and application of common law, the First Amendment, and of
the Freedom of Information Act (FOIA)80 have implications for release of PSIRs to the media.
The common law right of the media to inspect judicial records was the basis of the Seventh Circuit
court’s ruling on an Illinois newspaper’s request for a PSIR disclosure in United States v. Corbitt.81
The case stemmed from the conviction of a former Illinois police chief of three counts of extortion
and racketeering. During the sentencing phase of the trial, the presiding judge imposed a lesser sen-
tence than was recommended in the PSIR, due, in part, to numerous letters written by public officials
seeking leniency for the former chief. Citizens of the town and the Board of Trustees, apparently dis-
concerted by the downward departure, expressed a strong interest in learning which public officials
had written letters. The Board of Trustees sent a letter to the sentencing judge asking for access to
the letters written by the town officials.
A newspaper covering the criminal trial moved to secure the release of the PSIR and the letters
relied upon by the judge in the downward departure from the guidelines at sentencing. The newspa-
per argued that the entire criminal proceeding was affected with a public interest and that the public
had an especially strong interest in learning what factors had persuaded the judge to impose what
was perceived as a lenient sentence. The Seventh Circuit allowed the release of the letters because
the defendant did not challenge the disclosure of the letters on appeal. However, the court denied
disclosure of the PSIR and held that the release of the report would not promote effective functioning
of the probation office. The court added that disclosure would constitute a hindrance to the probation
office’s performance of its obligation to provide the sentencing court with a comprehensive analysis
of the defendant’s character.82 The court stated that the public’s interest in the Ninth Circuit’s Schlette
case is of a “different order” than that of the public interest in this case.83 Furthermore, the Seventh
Circuit court held that news organizations seeking access to a PSIR must make a substantial, and
specific, showing of need for disclosure before a court may allow public inspection of the report.84
66 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
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States differ in the statutes and rules for disclosure to third parties other than those discussed above
in sections 1 through 5. Probation officers and parole officers are advised to seek current information
about their state’s laws and agency’s stance on disclosure of PSIRs.
In summary, it is most probable that all or part of every PSIR will be disclosed to the defendant or his
counsel as a result of statute, court rule, or the exercise of judicial discretion. It is not clear, however,
what, if any, portions of the PSIR will be made available to interested third parties other than victims,
other government agencies, and the media. Probation officers should exercise care in selecting
lawful material for inclusion in a report and ensure that the information is accurate. When in doubt, it
is preferable to leave the issue of disclosure to the court.
The officer should proactively avoid exposure to possible civil and criminal liability, and to prevent
harm to the interests of justice that he or she is sworn to advance. Probation or parole officers should
know that intentionally and knowingly including false or inaccurate information in a PSIR, or acting
with maliciousness or reckless disregard for its truth, could be the basis for state tort litigation or
litigation under § 1983. In addition to defamation-based torts, other intentional torts are possible, and
negligence claims can be brought when a defendant claims that inadequate care was exercised in
preparation of the report.
A federal Second Circuit Court of Appeals case, Peay v. Ajello,90 relied on prior case law within the
circuit,91 as well as that of three other circuits, including Louisiana (5th Circuit),92 California (9th Cir-
cuit),93 and Alabama (11th Circuit)94 and held that Connecticut state probation officers are entitled to
absolute immunity from suits for damages when a claim relies on the preparation and submitting of
PSIRs. Peay, a pro se litigant and Connecticut state prisoner, appealed a final judgment of a federal
district court for dismissal of his complaint in a § 1983 action for damages against Assistant Proba-
tion Officer Colon who had prepared a Peay’s presentence report after conviction on two counts of
burglary. Peay claimed that Colon deprived Peay of his constitutional rights by willfully including false
information in the PSIR. The Second Circuit court affirmed the lower court’s dismissal and explained
why Connecticut state probation officers are entitled to absolute immunity.
The circuit court stated that it had previously ruled that federal probation officers and New York
state probation officers were entitled to absolute immunity for similar damages claims. The court
reasoned that defendants have procedural mechanisms to challenge alleged falsification of infor-
mation in PSIRs, an opportunity to be heard in the sentencing court, and to present evidence at the
court’s discretion relevant to inaccurate or false information in a report. Peay had even challenged
his sentence on direct appeal on the basis of false information contained in the report. The Second
Circuit’s opinion states, “…as under federal and New York law, ‘the presentence report prepared by
the probation officers is subject to adversary scrutiny and at least two layers of judicial review’” (p. 69
citing Dorman v. Higgins, 821 F.2d 133 (2d Cir.1987)). Provisions of Connecticut law consider that
the role of PSIRs is to assist a judicial function. The law provides protection of a defendant’s right to
be sentenced based on accurate information contained in the report. Peay’s allegation that Colon de-
liberately included false information in the PSIR is irrelevant given that Connecticut probation officers
enjoy absolute immunity for preparation of PSIRs.
In a similar vein, the Fifth Circuit Federal Court of Appeals found liability in Maynard v. Havenstrite,
727 F.2d 439 (5th Cir. 1984) where an inaccurate PSIR was not disclosed to plaintiff prior to sen-
tencing. The defendants, a Chief U.S. Probation Officer and a federal probation officer, were granted
absolute immunity from monetary damages. However, the appellate court held that, where admin-
istrative remedies were exhausted, the officers were not necessarily immune from an action for
declaratory and injunctive relief.
Although absolute immunity from claims for damages is granted to probation officers in preparing
PSIRs, the harm to the public interest can be substantial. It has long been the rule that a sentence
cannot be based on false information.95 Where a defendant is sentenced on the basis of a report that
is materially false, inaccurate, or unreliable; his or her right to due process is violated.96 The remedy
usually invoked in such cases is vacating the imposed sentence and remanding the case back to
the lower court for resentencing. Civil liability is usually not imposed unless the officer acted with
malicious intent or deliberate ill will.
The Parole Commission and Reorganization Act,100 which took effect in May 1976, renamed the
federal Board of Parole the United States Parole Commission (USPC). The United States Parole
Commission Extension Act of 2008 authorized the USPC as an independent agency within the U.S.
Department of Justice (U.S. DOJ) until November 2011.101 Federal parole was abolished by Congress
in the Comprehensive Crime Control Act of 1984.102 As discussed earlier, the USPC still retains ju-
risdiction and responsibility for federal offenders who committed offenses prior to November 1, 1987
who are eligible for parole; certain District of Columbia Code offenders; Uniform Code of Military
68 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 5
Justice offenders; certain offenders in transfer-treaty cases; and state probationers and parolees who
are placed in the Federal Witness Protection Program.103
Presentence reports are forwarded from the U.S. Probation Office to the Bureau of Prisons and then
to the U.S. Parole Commission where the report is used to determine whether an inmate should be
released on parole. The major issue that arises out of preparole investigation reports (PPIRs) con-
cerns the extent to which inmates are given access to files containing information that will be used to
determine whether to detain or release them. Where this issue has been litigated, courts have had to
resolve three questions:
■■ Does any applicable statute or administrative rule provide access to PSIRs and/or PPIRs?
■■ Does the prisoner have a right to due process in parole release proceedings?
■■ If there is such a due process right, does it encompass access to PSIRs and/or PPIRs?
The tradition under which courts operate requires them to settle cases on a constitutional basis
whenever possible. However, in cases involving qualified immunity, the prior controlling U.S. Su-
preme Court two-part inquiry in Saucier v. Katz104 was recently overturned in Pearson v. Callahan.105
Although qualified immunity is rarely at issue for probation or parole officers in granting or denying
access to PSIRs or PPIRs, the ruling in the recent case holds that the lower courts should use
discretion in determining whether to decide the constitutionality of an alleged violation of civil rights
in § 1983 cases prior to ruling on qualified immunity for government officials—that is, whether the
right was clearly established at the time of the alleged misconduct. If the facts underlying constitu-
tional claims are of little value to the outcome of a case, the issue of “clearly established law” may be
decided prior to any consideration of constitutionality. The Pearson ruling serves to conserve judicial
resources by permitting the lower courts to bypass the question of constitutionality if there is a viola-
tion of clearly established law in a § 1983 case involving civil liability of a state government official or
employee.
Recent litigation has granted file access to federal prisoners, although suits concerning the contours
of the statutory right are still possible. Litigation involving state prisoners is fact-bound and jurisdic-
tionally specific. Therefore, probation and state parole officers must be knowledgeable about the
statutes, administrative rules, and case law in their respective jurisdictions.
The U.S. Supreme Court’s decision in United States DOJ v. Julian108 is clear—inmates have a right
to review their presentence reports which are used in determining parole release. In Julian, a federal
inmate in Arizona sued the United States Department of Justice under the Freedom of Information
Act after his request for a copy of his PSIR was denied. In a similar case, a California federal prisoner
sued the United States Parole Commission pursuant to the FOIA for access to his PSIR. The two
cases were consolidated and decided by the Supreme Court on the same day under Julian. The
Court held that the criminal defendants who have been adjudicated guilty can access their presen-
tence reports under the FOIA and the PSIRs must be disclosed, except for matters related to the
Rule 32 exclusions (i.e. confidential sources, diagnostic opinions, and potentially harmful informa-
tion). The Parole Commission must disclose an inmate’s presentence reports, except for Rule 32
exclusions, to the inmate or the inmate’s designated representative prior to a parole hearing.
In instances of federal parole, the Julian case is the standard for giving federal inmates access to
their presentence reports prior to a parole hearing. Federal parole officers should consult the U.S.
Parole Commission’s Rules and Procedures Manual for further guidance.
In Greenholtz, inmates argued that they were entitled to constitutional or state statute-created
due process rights in parole release determinations. The Supreme Court held that unless a state
law creates a reasonable expectation that a prisoner will be paroled, the prisoner’s constitutional
“liberty” is not affected by the parole release process and no federal due process right applies. The
Court opined:
That the state holds out the possibility of parole provides no more than a mere hope that the
benefit will be obtained . . . to that extent the general interest asserted here is no more than the
inmate’s hope that he will not be transferred to another prison, hope which is not protected by
due process . . . .112
Because Nebraska state law provided that the parole board “shall” release a parole-eligible prison-
er “unless” certain anti-release factors were found to exist,113 the Court held that the statute created
the necessary reasonable expectation and that due process applied under a state-created liberty
interest. By grounding its conclusion in the specific wording of the Nebraska statute, and finding
that the statute complied with due process requirements, the Court assured that similar decisions
about other states would necessarily be made on a case-by-case basis by taking into account a
state’s particular wording in its statute.
Greenholtz holds that no constitutionally protected liberty interest in receiving parole exists for
state prisoners unless a state statute contains mandatory language that requires a parole board or
commission to grant parole in certain instances. If state statutes and rules provide that the parole
board or commission “may” grant release to an inmate, a protected liberty interest has not been
70 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
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established. Conversely, if the statute states that an inmate “shall” be released by parole authorities
when certain conditions are satisfied, the mandatory language creates a liberty interest protected
by under the Due Process Clauses of the Fifth and Fourteenth Amendments that cannot be denied
without due process of law. Where an inmate has a liberty interest in parole, an inmate’s due process
rights are fulfilled, at a minimum, by notice and an informal hearing at which the inmate has an op-
portunity to be heard and make statements or present evidence on his or her behalf.
The standard defining the liberty interests leading to due process protection was set in the Green-
holtz decision—a protected liberty interest may be created by the wording of state law, rules, or
regulations. Nevertheless, this standard was rejected in Conner which indicated a return to the prior
balancing standard set forth in Wolff. Because access to parole files involves prisoners, Conner
would likely apply in cases in which prisoners sought access to files in instances where the wording
of state law appeared to create a liberty interest that was to be protected by due process. The ques-
tion remains: does due process include access to PSIRs and/or PPIRs?
An elementary and fundamental requirement of due process in any proceeding which is to be ac-
corded finality is notice reasonably calculated, under all the circumstances, to apprise interested
parties of the pendency of the action and afford them an opportunity to present their objections....
The notice must be of such nature as reasonably to convey the required information.116
In contemporary jurisprudence, due process has been treated as a flexible concept that derives its
meaning from the nature and weight of the competing rights and interests at stake in a particular
proceeding—in other words, it is a balancing test. In the first parole case fully considered by the U.S.
Supreme Court, Morrissey v. Brewer (1972),117 the Court applied a balancing analysis to determine
parolees’ rights in revocation cases. In Morrissey, the Court expanded the procedural safeguards
for due process in revocation hearings. Lower courts took the Court’s analysis as a signal that due
process should apply to other parole proceedings and began weighing due process to give content to
the concept in a variety of contexts. Although commentators concluded that due process embraced
file access,118 the courts were not as willing to agree with this point of view. Thus, in Williams v. Ward
(1977),119 the Federal Court of Appeals for the Second Circuit held in the year before Greenholtz that,
while the interest of a state parole applicant in the parole release decision was subject to some due
process protections, the disclosure of the parole file was not constitutionally required.
Likewise in Franklin v. Shields,120 also prior to Greenholtz, the Federal Fourth Circuit Court of Ap-
peals stated “we discern no constitutional requirement that each (state) prisoner receive a personal
hearing, have access to his files, or be entitled to call witnesses in his behalf to appear before the
Board. These are all matters which are better left to the discretion of the parole authorities.”121 In Walk-
er v. Prisoner Review Board (1984),122 a federal district court reached a somewhat different conclu-
sion by finding that where the State Board of Parole acted in violation of the state’s Rules Governing
Parole, failure to allow an inmate access to his file was ruled an infringement of due process.
After the Supreme Court’s decision in Sandin v. Conner, either through legislation and procedural or
administrative rules, states began authorizing prisoners’ access to information that would be used to
determine their release in parole proceedings. Inmates can bring a cause of action to pursue their
right to due process when that right has been breached and they have a legitimate liberty interest.
In the federal system, due process includes access to files. The USPC Rules and Procedures Manual
(2010) that governs federal parole outlined the information that can be taken into consideration in the
release determination procedure:
(1) Reports and recommendations which the staff of the facility in which such prisoner is
confined may make;
(2) Official reports of the prisoner’s prior criminal record, including a report or record of earlier
probation and parole experiences;
(4) Recommendations regarding the prisoner’s parole made at the time of sentencing by the
sentencing judge and prosecuting attorney;
(6) A statement, which may be presented orally or otherwise, by any victim of the offense for
which the prisoner is imprisoned about the financial, social, psychological, and emotional
harm done to, or loss suffered by such victim.
(b)
(1) There shall also be taken into consideration such additional relevant information concerning
the prisoner (including information submitted by the prisoner) as may be reasonably
available (18 U.S.C. 4207). The Commission encourages the submission of relevant
information concerning an eligible prisoner by interested persons.123
At least 60 days prior to a release hearing, a federal inmate who is eligible for parole must be given
notice of his or her right to request disclosure of reports and documents that the USPC will consider
in making its release determination.124 The documents requested are required to be disclosed to the
inmate 30 days prior to the hearing.125 Documents that are exempt from disclosure under 18 U.S.C.
4208(c) must be summarized in a manner that does not reveal information that is not subject to
72 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 5
disclosure so that the inmate is aware of the basic content of the exempted material.126 Under federal
parole procedures, inmates have a right to access their files, including the PSIR for each convic-
tion that was used to compute their sentence, as well as any updated PSIR from a U.S. Probation
Officer.127 If an inmate’s disclosure request is denied, he or she may appeal to the Chairman of the
USPC.128
For information on a particular state’s processes for access to files or documents to be used in a
parole hearing, one must consult that state’s statutes, rules, and agency regulations. For example,
in states which have mandatory language in statutes or rules that create a liberty interest in parole,
due process applies and files will most likely be available to inmates through a process similar to
the above-described federal process. For those states in which non-mandatory language is used,
there may or may not be a provision for disclosure of files to inmates for parole hearings. Each state’s
statutes, rules, and regulations must be examined in the contexts of substantive and procedural due
process to determine if due process includes inmates’ access to files for parole hearings.
C. Victim Access
Under the CVRA, Crime victims have a right to be reasonably heard at any release or parole pro-
ceeding. They also have “the right to reasonable, accurate, and timely notice of any public court pro-
ceeding, or any parole proceeding, involving the crime or of any release or escape of the accused.129
This does not mean that victims have a right to view the content of PSIR or of a PPIR (see discus-
sion, supra, on PSIR disclosure to victims). Victims and other interested parties may attend release
hearings in the federal parole system130 and in many state parole systems. Probation and parole
officers should consult the rules and procedures in their specific jurisdictions to determine if, when,
and how a victim or victim’s family members can participate in release or revocation processes.
the board or commission in making the release decision.133 Notice and the opportunity to be heard is
functional input into the decision-making process that would likely satisfy a court’s requirement of an
inmate’s due process rights to notice and meaningful participation in a parole hearing.
The federal rules are clear—a federal inmate has fundamental due process rights related to a parole
hearing. For state inmates, the clarity of what process is due is sometimes uncertain given the di-
verse natures of parole systems from state to state. However, in those states where a liberty interest
in parole is created by state statute or rule, notice of a parole hearing is the first of an inmate’s mini-
mal essential due process rights.
SUMMARY
This chapter examined key reasons that presentence investigation reports and preparole investiga-
tion reports are important. PSIRs and PPIRs are regulated by federal law and rules, and by the laws
and rules of each state. Case law is also an essential component of the ways in which these reports
are prepared and used in the criminal justice system. The emergence of victims’ rights legislation
has altered some aspects of disclosure and many of the issues surrounding victims’ access to PSIR
and PPIR information have been determined by the courts. The return to the rehabilitation model in
corrections has also been a factor in changing the course of presentence and preparole investigating
and reporting.
Any discussion of the complexity of the preparation and use of PSIRs and PPIRs is confounded by
the differences between the federal and state systems. It is relatively uncomplicated to sort out the le-
gal issues, especially those of civil liability, in the federal system where probation and parole officers
are generally afforded absolute immunity in the absence of wrongdoing. However, fully explaining
state issues is more problematic due to the sheer volume and diversity of statutes, rules, regulations,
case law, and guidelines that pertain to each state, the District of Columbia, and U.S. territories.
Resources for guidance have been provided in the chapter text and endnotes for federal probation
and parole officers. Conversely, state probation and parole officers, and their counterparts in the Dis-
trict of Columbia and U.S. territories, must look to their respective agencies for assistance adequately
to understand and use the PSIRs and PPIRs accurately, fairly, and lawfully in order to avoid civil,
criminal, or administrative liability.
NOTES
1. The Federal Rules of Criminal Procedure are cited in the following endnotes as Fed. R. Crim. P.
(2010). In the text, Rule 32 of the Federal Rules of Criminal Procedure is referred to as the “Rule” or
“Rule 32”.
2. For a discussion of the history of the PSIR and the contemporary re-emergence of the rehabilita-
tion model, see Jeanne B. Stinchcomb & Daryl Hippensteel, Presentence Investigation Reports: A
Relevant Justice Model Tool or a Medical Model Relic?, 12 Crim. Just. Pol’y. Rev. 164 (2001).
5. See Apprendi v. New Jersey, 530 U.S 466 (2000) for the U.S. Supreme Court’s finding and expla-
nation of the distinction between sentencing factors and elements of a crime.
6. Compare e.g., R. Carter and L.T. Wilkins, Some Factors in Sentencing Policy, 58 J. Crim. L.
Criminology, and Police Science 503 (1976); Rodney Kingsnorth, Debra Cummings, John Lopez, &
Jennifer Wentworth, Criminal Sentencing and the Court Probation Office: The Myth of Individualized
74 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
Chapter 5
Justice Revisited, 20 Jus. Sys. J. 255 (1999); Christina Rush & Jeremy Robertson, PSIRs: The Utility
of Information in the Sentencing Decision, 11 Law & Hum. Behav. 147 (1987).
7. Leanne Fiftal Alarid & Carlos D. Montemayor, Attorney Perspectives and Decisions on the Presen-
tence Investigation Report: A Research Note, 21 Crim. Just, Pol’y Rev. 119 (2010) (some portions of
the PSIR have more import for prosecutors than for defense counsel).
8. United States v. Tucker, 404 U.S. 443; see also Williams, supra note 3.
9. 543 U.S. 200 (2005). The Supreme Court held that federal judges must continue to refer to the
United States Sentencing Guidelines, but judges are not bound to follow them—the guidelines are
advisory, not mandatory.
10. The United States Sentencing Guidelines [hereinafter U.S.S.G.] (see U.S. Sentencing Commis-
sion, Federal Sentencing Guidelines Manual (2010) available at http://www.ussc.gov/Guidelines/
2010_guidelines/index.cfm) were created under the Sentencing Reform Act of 1984 (18 U.S.C.
§§ 3351-3673, 28 U.S.C. §§ 991-998) which abolished the federal parole system and established
a determinate-based sentencing scheme.
13. 18 U.S.C. § 3552(b) (2010) permits the court, before or after the PSIR is prepared and submitted,
to order the Bureau of Prisons to conduct an additional presentence study and report of a felony
or misdemeanor defendant, if the court finds that there are “no adequate professional resources
available in the local community to perform the study.” This section of the code states, “The study
shall inquire into such matters as are specified by the court and any other matters that the Bureau of
Prisons or the professional consultants believe are pertinent to the factors set forth in section 3553
(a).” See infra note 14.
14. 18 U.S.C. § 3553(a) (2010) provides for, among other things, the consideration of
(A) to reflect the seriousness of the offense, to promote respect for the law, and to provide just
punishment for the offense;
(C) to protect the public from further crimes of the defendant; and
(D) to provide the defendant with needed educational or vocational training, medical care, or
other correctional treatment in the most effective manner.
16. Office of Probation and Pretrial Services, Administrative Office of the United States Courts, The
Presentence Investigation Report (Publication 107) (Rev. March 2006) citing commentary to U.S.S.G.
§ 6A1.3.
18. See e.g., U.S. v. Tyler, 281 F.3d 84 (3d Cir. 2002); U.S. v. Cortes, 922 F.2d 123 (2d. Cir. 1990)
(Presentence interview is routine and not court-ordered).
21. See e.g., U.S. v Nichols, 438 F.3d 437, 442 (4th Cir. 2006) (defendant’s statements obtained in
violation of Miranda may be considered, if the statements were otherwise voluntary).
23. The National Center for Victims of Crime, Victim Impact Statements (1999), available at http://
www.ncvc.org/ncvc/main.aspx?dbName=DocumentViewer&DocumentID=32515 (last accessed
December 2010).
24. The National Center for Victims of Crime, Get Help: Victim Impact Statements (2008), available
at http://www.ncvc.org/ncvc/AGP.Net/Components/documentViewer/Download.aspxnz?Document
ID=45721 (last accessed December 2010). See also supra note 23.
26. Gregg v. United States, 394 U.S. 489, 492 (1969) (PSIR may include hearsay evidence and in-
formation that is not related to the current offense); Hili v. Sciarrotta, 140 F. 3d 210, 216 (2d Cir 1998)
(sentencing court is permitted to consider hearsay information in the PSIR); U.S. v. Beasley 442, F.3d
386, 593 (6th Cir. 2006) (hearsay testimony of probation officer who prepare report permitted to clar-
ify information in PSIR); U.S. v. Berry, 258 F.3d 971, 975-977 (9th Cir. 2001) (corroborative hearsay
from codefendants may be considered by sentencing court to establish minimum indicia of reliability).
28. Farrow v. United States, 580 F.2d 1339 (9th Cir. 1978).
29. United States v. Johnson, United States v. Smith, 935 F.2d 47 (4th Cir. 1991); United States v.
Jackson, 886 F.2d 838, 844 (7th Cir. 1989).
30. United States v. Govan, 152 F.3d 1088 (9th Cir. 1998).
31. The presentence report in Williams v. New York contained such information; see also United
States v. Graves, 785 F.2d 870 (10th Cir. 1986).
32. 960 F.2d 171, 174 (D.C. Cir. 1992); see also United States v. Furman, 112 F.3d 435, 439 (10th Cir.
1997) (references to unresolved counts against the defendant that government agreed to dismiss
may be considered by a sentencing court if it does not violate a sentencing agreement).
33. See Article: IV. Sentencing, 38 Geo. L.J. Ann. Rev. Crim. Proc. 681 (2009) text accompanying note
2200.
34. See e.g., United States v. Torres, 926 F.2d 321 (3d cir. 1991); United States v. McCrory, 930 F.2d
63 (D.C. Cir. 1991; United States v. Haynes, 216 F.3d 789 (9th Cir. 2000); see also infra notes 34 &
35.
35. United States v. Brimah, 214 F.3d 854 (7th Cir. 2000); United States v. Tauil-Hernandez, 88 F.3d
576 (8th Cir. 1996); United States v. Lynch, 934 F.2d 1226 (11th Cir. 1991).
36. United States v. Acosta, 303 F.3d 78 at 86 (1st Cir. 2002); See also United States v. Van Dam,
493 F.3d 1194 (10th Cir. 2007); United States v. Montoya-Ortiz, 7 F.3d 1171 (5th Cir. 1993); United
States v. Jenkins, 4 F.3d 1338 (6th Cir. 1993).
38. Id.
40. Id.
76 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 5
42. United States v. Piccard, 464 F.2d 215 (1st Cir. 1972).
45. United States v. Hodges, 259 F.3d 655 (7th Cir. 2001).
46. United States v. Tyler, 281 F.3d 84 (3d Cir. 2002); United States v. Washington, 11 F.3d 1510 (10th
Cir. 1993).
47. United States v. Archambault, 344 F.3d 732 (8th Cir. 2003); United States v. Benlian, 63 F.3d 824
(9th Cir. 1995); United States v. Washington, 11 F.3d 1510 (10th Cir. 1993).
48. See e.g., United States v. Gianetta, 909 F.2d 571 (1st Cir. 1990) and United States v. Moore, 225
F.3d 637 (6th Cir. 2000).
49. See e.g., United States v. Nappi, 243 F.3d 758, (3d Cir. 2001); United States v. Scalzo, 716 F.2d
463 (7th Cir. 1983); United States v. Alvarado, 909 F.2d 1443 (10th Cir. 1990).
50. United States v. Long, 411 F. Supp. 1203 (E.D. Mich. 1976).
51. United States v. Hodges, 547 F.2d 951 (5th Cir. 1977).
52. See e.g., United States v. Martinello, 556 F.2d 1215 (5th Cir. 1977); United States v. Molina, 356
F.3d 269 (2d Cir. 2004); United States v. Simmonds, 235 F.3d 826 (3d Cir. 2000).
54. Id.
55. For practical guidance on the CVRA, see generally, Russell P. Butler, What Practitioners and
Judges Need to Know Regarding Crime Victims’ Rights in Federal Sentencing Proceedings, 19
Fed. Sent’g Rep. 21 (October 2006).
57. CVRA § 3771(e) (2010). It appears that the CVRA does not exclude juvenile offenders and delin-
quency proceedings, but such proceedings are rarely open to the public. In addition, organizations
are not excluded from the CVRA. See Wood, infra note 63 pp. 5 & 10 for a brief discussion of these
issues.
63. Jefri Wood, The Crime Victims’ Rights Act and the Federal Courts, Federal Judicial Center (June
2, 2008). ((According to Wood (p. 1) updates of legislative changes and case law are available on the
Center’s intranet website at cwn.fjc.dcn.))
67. United States v. Schlette, 842 F.2d 1574 (9th Cir. 1988).
71. United States v. Citgo Petroleum Corp, 2007 WL 2274393 (S.D. Tex. 2007).
75. See generally United States Department of Justice, United States Parole Commission’s website
at http://www.justice.gov/uspc/.
79. Id.
84. Id.
86. See Demoran v. Witt, 777 F.2d 1402 (9th Cir. 1985); Turner v. Barry, 856 F.2d 1539 (D.C. Cir.
1988).
91. Hili v. Sciarrotta, 140 F.3d 210 (2d Cir. 1990) (absolute immunity from claims for damages for fed-
eral probation officers for preparation and furnishing of PSIR to court); Dorman v. Higgins, 821 F.2d
133 (1987) (comparing New York probation officers to federal probation officers in granting absolute
immunity for same).
92. Freeze v. Griffith, 849 F.2d 172 (5th Cir.1988) (granting absolute immunity from damages claims
granted to Louisiana probation officers for preparation and submission of PSIRs).
93. Demoran v. Witt, 781 F.2d 155 (9th Cir. 1986) (California probation officers absolutely immune
from damages claims for same as supra note 106).
94. Hughes v. Chesser, 731 F.2d 1489 (11th Cir. 1984) (absolute immunity for Alabama probation
officers from damages claims for same as supra notes 92 & 93).
78 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 5
96. United States v. Lasky, 592 F. 2d 560 (9th Cir. 1979); Moore v. United States, 571 F.2d 179 (3d
Cir. 1978).
97. See generally the current versions of Office of Probation and Pretrial Services, Administrative Of-
fice of the United States Courts, Publication 107, The Presentence Investigation Report, March 2006
revision available at http://www.fd.org/pdf_lib/publication%20107.pdf [note that newer revision may
be available elsewhere]; and the United States Parole Commission’s Rules and Procedures Manual
available at http://www.justice.gov/uspc/rules_procedures/uspc-manual111507.pdf; last updated June
30, 2010 (from the USPC website at http://www.justice.gov/uspc/rules_procedures/rulesmanual.htm).
98. Greenholtz v. Inmates of Neb. Penal & Corr. Complex, 442 U.S. 1 (1979).
99. Article: IV. Sentencing, 38 Geo. L.J. Ann. Rev. Crim. Proc. 681 at 817 (2009).
102. (Pub. L. No. 98-473 § 218(a)(5), 98 Stat. 1837, 2027 (1984) [repealing 18 U.S.C.A. §§ 4201-
4218]) See supra note 107 for explanation.
103. See generally United States Department of Justice, United States Parole Commission’s [herein-
after USPC] website at http://www.justice.gov/uspc/.
106. See generally supra USPC’s Rules and Procedures Manual, note 99.
107. 18 U.S.C. 4201-4218 (1976) repealed by the Comprehensive Crime Control Act of 1984 Pub.L.
98-473, Title II, § 218(a)(5), Oct. 12, 1984, 98 Stat. 2027; however, the Parole Commission and Reor-
ganization Act of 1976 is still applicable to offenses committed prior to Nov. 1, 1987.
109. See Mosley v. Ashby, 459 F.2d 477 (3d Cir. 1972); Madden v. New Jersey State Parole Bd., 438
F.2d 1189 (3d Cir. 1971); Cruz v. Skelton, 543 F.2d 86 (5th Cir. 1976); Brown v. Lundgren, 528 F.2d
1050 (5th Cir.), cert. denied, 429 U.S. 917 (1976); Scarpa v. United States Bd. of Parole, 477 F.2d
278 (5th Cir.) (en banc), vacated as moot, 414 U.S. 809 (1973); Scott v. Kentucky Parole Bd., No.
741899 (6th Cir. Jan. 15, 1975), remanded for consideration of mootness, 429 U.S. 60 (1976), reaf-
firmed sub nom. Bell v. Kentucky Parole Bd., 556 F.2d 805 (6th Cir. 1977), cert. denied, 434 U.S. 960
(1978); Dorado v. Kerr, 454 F.2d 892 (9th Cir. 1972); Schawartzberg v. United States Bd. of Parole,
399 F.2d 297 (10th Cir. 1968).
110. See United States ex rel. Johnson v. Chairman, New York State Bd. of Parole, 500 F.2d 925 (2d
Cir. 1974), vacated as moot, 419 U.S. 1015 (1975); Coralluzzo v. New York State Parole Bd., 566
F.2d 375 (2d Cir. 1977), cert. dismissed as improvidently granted, 435 U.S. 912 (1978); Bradford v.
Weinstein, 519 F.2d 728 (4th Cir. 1974), vacated as moot, 423 U.S. 147 (1975); Franklin v. Shields,
569 F.2d 784 (4th Cir. 1977) (en banc), cert. denied, 435 U.S. 1003 (1978); United States ex rel.
Richerson v. Wolff, 525 F.2d 797 (7th Cir. 1975); Childs v. United States Bd. of Parole, 511 F.2d 1270
(D.C. Cir. 1974).
116. Mullane v. Central Hanover Bank & Trust Co., 339 U.S. 306, 70 S.Ct. 652, 657 (1950).
118. Note, Prisoners Access to Parole Files: A Due Process Analysis, 47 Fordham L.R. 260 (1978).
119. 556 F.2d 1143 (2nd. Cir. 1977), cert. dismissed, 434 U.S. 844 (1978).
120. 569 F.2d 784 at 800 (4th Cir. 1977), cert. denied 435 U.S. 944 (1978).
122. 594 F.Supp. 556 (S.D. Ill. 1984) superseded by statute, 20 Ill. Admin.Code § 1610.30(b) (1986
Supp.), as recognized in Blackwell v. Klincar 1990 WL 92767 (N.D. Ill 1990). See also Braxton v.
Josey, 567 F.Supp. 1479 (D. Md. 1983) contra, and Stanley v. Dale, 298 S.E.2d 225 (W.Va. 1982)
(prisoner entitled to see file unless security considerations dictate otherwise).
123. See supra USPC Rules and Procedures Manual (2010) at note 97, pp. 30-31.
130. See supra USPC Rules and Procedures Manual (2010) at note 97, p. 23.
132. Id.
133. See Ybarra v. Dermitt, 104 Idaho 150, 657, P.2d 14 (1983) (no right to confront authors of letters
contained in parolee’s presentence report).
80 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 6
SUPERVISION
INTRODUCTION
SUMMARY
NOTES
81
Chapter 6
INTRODUCTION
Over the years the potential liability for a field officer for improper supervision of offenders has risen.
Besides the more common concerns of improper disclosure of information regarding the offender,
the validity of searches and seizures, and fiduciary responsibilities arising from the collection of
monetary payments from offenders, there has been an increasing concern regarding liability issues
arising from the improper or negligent supervision of offenders. Under certain circumstances, not
only may offenders file civil suits against an officer but even victims of crimes may potentially assert a
civil claim against an officer. This chapter examines these issues.
The right of the people to be secure in their persons, houses, papers, and effects, against un-
reasonable searches and seizures, shall not be violated, and no Warrants shall issue, but upon
probable cause, supported by Oath or affirmation, and particularly describing the place to be
searched, and the persons or things to be seized.
For years various courts had grappled with the issue concerning whether warrantless searches and
seizures could be performed on probationers and parolees and whether searches could be conduct-
ed on a standard of less than probable cause. However it was not until 1987 that the United States
Supreme Court examined this area involving fourth amendment rights.
In Griffin v. Wisconsin,1 a defendant, who had a prior felony conviction, was convicted of resisting
arrest, disorderly conduct, and obstructing an officer and placed on probation. While the defendant
was on probation, a probation officer received information from a detective that the defendant had
a gun in his apartment. A warrantless search did in fact reveal a handgun at the apartment. Conse-
quently, the defendant was convicted of the offense of possession of a firearm by a convicted felon
and sentenced to two years in prison.
Under Wisconsin law probationers were placed in the custody of the State Department of Health and
Social Services and made subject to conditions set by the court and rules and regulations estab-
lished by the department. One of the department’s regulations permitted any probation officer to
search a probationer’s home without a warrant as long as his supervisor approved and as long as
there were “reasonable grounds” to believe that contraband, including any item that the probationer
could not possess under the probation conditions, would be found at the premises. Finally, the reg-
ulations set forth what factors an officer should consider in determining what constituted reasonable
grounds. During the suppression hearing the trial court ruled that a search warrant was not neces-
sary in order to conduct the search, that the search itself was reasonable, and that the fruits of the
search could be admitted as evidence in the trial.
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The issues before the United States Supreme Court were whether a warrant was necessary in
order for the officials to conduct a search of the probationer’s apartment and whether the search
itself was “reasonable” for purposes of the fourth amendment to the United States Constitution. The
Court noted that a probationer’s home, like anyone else’s, was protected by the fourth amendment’s
requirement that searches must be “reasonable.” However, the Court held that a search under these
circumstances did not need to be made pursuant to a warrant. The Court found that the state’s
operation of a probation system presented “special needs” beyond normal law enforcement that
could justify departures from the usual warrant requirement and that the supervision of probationers
constituted a “special need” of the state that dispensed with the need to obtain a warrant in order to
conduct a search of the probationer’s home.
The Court further found that these special needs of the state justified a departure from the require-
ment that a search be based on probable cause. The Court stated that the special need to supervise
a probationer permitted a degree of infringement upon the privacy of the probationer. Because of the
nature of the probation system, it was proper for the state to replace the probable cause standard
with a “reasonable grounds” standard as the test for justifying the search. Moreover, the Supreme
Court stated that a determination of “reasonableness” was not based on a federal “reasonable
grounds” standard. Instead reasonableness was determined by a state court’s finding that the search
conformed to the regulations issued by the state. Since the Wisconsin state court found that the
search was made pursuant to a valid regulation governing probationers, the Supreme Court held
that the search of the defendant’s residence was reasonable within the meaning of the fourth
amendment.
Although the Griffin decision resolved several questions regarding the legality of conducting war-
rantless searches of probationers and parolees, the Supreme Court left uncertain other matters that
remained open for further consideration. First, although the Supreme Court recognized a reason-
ableness standard for conducting warrantless searches, the Court did not define what constituted
‘reasonable.’ Instead, the Court held that reasonableness must be determined by the courts in
individual states. Thus courts have since struggled with determining what level of suspicion gave rise
to a reasonable standard for justifying a warrantless search of a probationer or parolee.
Second, although the Court in Griffin found that Wisconsin’s regulations in question permitting
searches were “reasonable,” the Court did not address whether a court-imposed condition, in lieu of
an express regulation, permitting searches of probationers or parolees would be reasonable. Finally
the Court did not address the issue whether law enforcement officers could rely on a statute, regula-
tion, or condition for conducting an independent search of a probationer or parolee or whether only
a supervision officer, either alone or accompanied by a law enforcement officer, could conduct the
search.
84 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 6
The police began conducting a surveillance of the defendant’s apartment. A police officer, aware that
a search condition had been imposed on the defendant, also conducted a search of the defendant’s
residence without first obtaining a warrant. The police officer found explosive devices on the premis-
es and the defendant was indicted in federal court for conspiracy to commit arson, for possession of
an unregistered destructive device, and for being a felon in possession of ammunition.
The defendant moved to suppress the evidence seized as a result of the search of his apartment.
The district judge, finding that reasonable suspicion existed for conducting the search, nevertheless
granted the defendant’s motion on the grounds that the search was conducted for “investigatory”
purposes rather than for “probation” purposes. The United States Ninth Circuit Court of Appeals
upheld the ruling of the district judge. Thus the Supreme Court was confronted with two issues,
to-wit: whether a search conducted pursuant to a probation condition and supported by reasonable
suspicion satisfied the Fourth Amendment to the United States Constitution and whether the Fourth
Amendment limited searches conducted pursuant to a probation condition to those with a probation-
ary purpose only.
In analyzing these issues, the Supreme Court first noted that the touchstone of the Fourth Amend-
ment was reasonableness, and the reasonableness of a search was determined “by assessing, on
the one hand, the degree to which it intrudes upon an individual’s privacy, and, on the other hand,
the degree to which it is needed for the promotion of legitimate governmental interests.” The Court
recognized that this particular condition significantly diminished the defendant’s reasonable expecta-
tion of privacy. Nevertheless the Court also noted that this condition furthered two primary goals of
probation – rehabilitation and protecting society from future criminal violations.
In balancing the interests of the individual and that of the government, the Supreme Court observed
that the status of a person on probation already deprived the individual of certain freedoms enjoyed
by law-abiding citizens. Moreover, the Court stated that the State’s interest in apprehending violators
of the criminal law and thereby protecting potential victims of criminal enterprises could justifiably fo-
cus on probationers in a way that it did not on ordinary citizens. Thus the Court stated that the factors
favoring the legitimate interests of the State greatly outweighed the diminished privacy interests of
the probationer.
Therefore, the Court concluded that when balancing these various considerations the Fourth
Amendment required no more than reasonable suspicion to conduct a search of the probationer’s
house. Moreover, the Court further held that the same balancing factors that allowed searches of a
probationer on a basis of less than probable cause also dispensed with the need to obtain a warrant
in order to conduct the search. Finally, the Court stated that as long as a search condition had been
imposed on a probationer, it did not matter whether the search in question was conducted for proba-
tion purposes or solely for law enforcement purposes.
This opinion resolved several matters that had been left unaddressed in the Supreme Court’s holding
of Griffin. Knights affirmed that a search could be based on a condition imposed by the court as well
as pursuant to an agency regulation. In addition, Knights held that peace officers, along with proba-
tion officers, were authorized to search the premises (and presumably the person) of a probationer.
Finally, the Court dispensed with the notion enunciated by certain state courts and federal appellate
courts that the search conducted pursuant to a condition of supervision had to be for “probationary”
purposes only and not for independent “investigatory” or law enforcement purposes.
Nevertheless the Knights decision still had not finally resolved all of the questions surrounding the
propriety of conducting searches of probationers and parolees. For example, although the Supreme
Court had clearly stated that the standard for conducting a search of a probationer need not be
based on probable cause and that state courts must define what constituted “reasonable suspi-
cion,” the Court had yet to determine how the standard of “reasonableness” had to be applied. Thus
Supervision 85
CHAPTER 6
although the Court in Knights assumed that there had been reasonable suspicion for conducting
the search of the defendant’s apartment, the Court was not clear whether the standard had been
established by independent facts brought to the attention of the police officer, whether “reasonable-
ness” was inferred simply by the fact that the judge had imposed a search condition, or whether the
Court premised its decision on the fact that the search was “reasonable” because both parties did not
question the reasonableness of the search and thus did not contest this matter on appeal.
The Court, in resolving this matter, noted that the State of California had a statute which required
every prisoner eligible for release on state parole to “agree in writing to be subject to search or sei-
zure by a parole officer or other peace officer . . . with or without a search warrant and with or without
cause.” The Court further noted that a California penal statute provided that “it is not the intent of
the Legislature to authorize law enforcement officers to conduct searches for the sole purpose of
harassment” and that California case law had prohibited “arbitrary, capricious or harassing” searches
of probationers and parolees.
In deciding this matter the Supreme Court made a very important distinction between probationers
and parolees. The Court observed that on a continuum of state-imposed punishments, “parolees
have fewer expectations of privacy than probationers, because parole is more akin to imprisonment
than probation is to imprisonment.” Hence the Court reasoned that on the continuum of possible
punishments, parole was the stronger “medicine” and thus parolees enjoyed even less of the average
citizen’s absolute liberty than did probationers. As such the Court concluded that parolees had se-
verely diminished expectations of privacy by virtue of their status alone and they could be subject to
searches without the need of individualized suspicion.
By holding in Samson that a search could be conducted on a parolee without the need of individu-
alized suspicion, the Court may have also answered the question left unresolved in Knights, to-wit:
whether a search of a probationer conducted pursuant to a search condition must be based on
individualized suspicion. Under Samson one can arguably conclude that the Court has created two
different standards for conducting searches of probationers and parolees. Even if the wording of
the search condition might be identical in both situations and even be based on identical statutory
language, nevertheless it appears that the Court has implied that searches of probationers must be
based on reasonable suspicion and hence individualized suspicion while searches of parolees do
not need to be so.4 Moreover if one follows the Court’s reasoning in Samson it would appear that this
individualized suspicion must be based on the totality of the independent facts brought to the atten-
tion of an officer and not simply inferred by the fact that the judge has imposed a search condition
86 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 6
whereas the imposition of a search condition in and of itself will be sufficient to conduct a search of a
parolee.
Nevertheless, this case may be something of an anomaly because the Court observed that most
jurisdictions in the country require a search conducted pursuant to a condition of release to be based
on some level of suspicion whereas the California statute does not. Consequently State law and
especially a State court’s interpretation of its own State’s constitution guaranteeing the right against
improper searches and seizures of its residents may still control this matter.5 As such it is necessary
to examine certain court decisions that rely on state law in deciding this issue.
Some courts have held that a search condition must be tailored to the offense for which the offend-
er was granted probation.7 In People v. Hale,8 the defendant was convicted of criminally negligent
homicide after having killed a woman in a boating accident when the defendant was intoxicated. The
defendant entered into a plea bargain agreement and was placed on probation. One of the condi-
tions to which the defendant agreed was that:
“you permit search of your vehicle and place of abode where such place of abode is legally under
your control, and seizure of any narcotic implements and/or illegal drugs found, such search to be
conducted by a Probation Officer or a Probation Officer and his agent.”
Ten months into the probationary period, the defendant’s probation officer received information that
the defendant was dealing drugs at his home. The probation officer, accompanied by the defendant
and by police officers, entered the defendant’s house. In the ensuing search the authorities discov-
ered rifles, shotguns, illicit drugs, and a scale. The defendant was subsequently indicted on drug and
weapons charges. Although the defendant argued on appeal that absent a search warrant, exigent
circumstances, or a voluntary consent, his home could not be searched by a Probation Officer, the
appellate court nevertheless stated that the court-imposed condition carried as great, if not greater
constitutional weight as a regulation. As such the appellate court upheld the conviction.
Even though a court may approve a search conducted pursuant to a court-imposed condition, some
jurisdictions have nevertheless limited a search to certain items such as illicit substances and drug
paraphernalia or pornography or sexually oriented devices. The Hale decision is a good example of
a case in which the court limited a search condition to a specific item, namely, drugs. In addition, the
Hale decision shows that if, in the course of conducting a search for a specific item, another type of
contraband is discovered, the other type of contraband may be seized and used in a subsequent
criminal proceeding.
Moreover, some appellate courts have examined the propriety of imposing certain search conditions
on the grounds of being overbroad or vague. In Phillips v. State,9 the defendant was convicted of mul-
tiple counts of property offenses. The defendant was granted probation and the court ordered him,
as a condition to probation, to comply with certain special instructions dealing with substance abuse.
The defendant argued on appeal that the condition was overbroad. The appellate court on appeal
noted that the record included substantial evidence of the defendant’s history of substance abuse.
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CHAPTER 6
The court further observed that conditions of probation that authorized warrantless searches for
drugs and alcohol had been allowed where there was a case-specific basis for the condition. As such
the appellate court approved the sentencing court’s imposition of such a condition where substance
abuse in the defendant’s background suggested that searches for drugs and alcohol could further the
defendant’s rehabilitation.10
Nevertheless courts across this country are almost unanimous in holding that a warrantless search
of a probationer or parolee must be based on some express legal authorization. Thus the general
rule is that warrantless searches cannot be conducted absent an express condition, regulation, or
statute that gives the supervision officer or peace officer the authority to conduct such searches.23
This general rule remains true after the Supreme Court’s holding in Samson v. California. Without
some legal authorization to conduct a search of a probationer or parolee, the search will be per se
unreasonable.
Moreover courts in almost every jurisdiction have held that a mere hunch that a probationer has vio-
lated the conditions of his release is insufficient to justify a search of that individual.24 Even the Cal-
ifornia state courts, which have allowed investigative searches of probationers and parolees by law
enforcement officers, have held that a search cannot be arbitrary, capricious, or harassing.25 More-
over appellate courts have generally held that reasonable suspicion cannot be based on anonymous
tips that are either not verified or corroborated by independent evidence.26 Finally, because probation
searches must be based on reasonable suspicion that a probationer is in violation of a condition of
probation, almost all courts that have examined the issue has disallowed random searches.27 The
only exceptions to this rule are that random drug testing and suspicionless searches of computers for
sexually oriented graphics or pictures have been upheld on appeal.28
88 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 6
Although almost all court decisions recognizing the plain view doctrine have applied to law enforce-
ment agents, there is no constitutional reason why this doctrine cannot also apply to probation or
parole officers.31 Provided that the officer is legitimately at the residence of the probationer or parolee
and sees contraband or other incriminating evidence in plain view, such as drugs on a sofa or child
pornography on a coffee table, then this evidence can be seized without the need of a warrant or
other legal justification. (Whether it is wise to attempt to seize this contraband or instead report its
finding to law enforcement for the issuance of a warrant must be controlled by an individual probation
or parole authorities’ policies and procedures).
One recent court decision that discussed the difference between a home visit and a search is State
v. Moody.32 In this case the defendant was placed on probation for two years in Montana for a driving
while intoxicated offense and an offense of assaulting a peace officer. The defendant appealed the
imposition of a condition requiring her to “make the home open and available for the Probation and
Parole Officer to visit as required by policy.” The defendant argued on appeal that this condition violat-
ed the reasonable cause standard to searches of probationers’ residences.
The Supreme Court of Montana recognized that home visits were a commonly imposed condition of
probation. Moreover the court determined that a probationer did not have a reasonable expectation
of privacy when a probation officer conducted a home visit. Because a reasonable expectation of
privacy did not exist, the Court therefore concluded that a home visit could not constitute a search as
understood under the Fourth Amendment.33
The court further observed that because a home visit was not a search, a probation officer could
not open drawers, cabinets, closets, or the like; nor could the officer rummage through the proba-
tioner’s belongings. Furthermore the court noted that while a home visit had the potential to turn into
a search pursuant to an officer’s plain view observations, it had to remain within the parameters of a
home visit unless or until there was reasonable cause to engage in a search. As such the court held
that home visits, as a routine and reasonable element of supervising a convicted person serving a
term of supervised release, were not searches and were thus not subject to the reasonable cause
standard.
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CHAPTER 6
Thus some states may limit the conducting of a search of a probationer to supervision officers. This
limitation may be based on state court decisions or by a specific state statute.34 Nevertheless other
states have recognized that a probation officer may enlist the aid of law enforcement personnel to
expedite a search,35 subject to the limitation that the primary purpose is probation-related and not a
subterfuge for a more general law enforcement goal. Under this situation, a police officer is allowed
to assist in the search of a probationer/parolee if the purpose of the police officer accompanying the
supervision officer is to provide protection to the supervision officer. Moreover, other states have held
that if the police seek to induce a probation officer to exercise his or her power to search, the proba-
tion officer may accommodate the request if he or she believes the search is necessary to the proper
functioning of the probation system.36
One recent court decision that discussed the proper boundaries in probation/police officer collab-
oration is State v. Jones.37 In this case during the period that the defendant was being supervised
on parole a police detective informed the defendant’s parole officer that he had information that the
defendant was sexually involved with a fourteen year old girl. The police officer told the parole officer
that he had knowledge that the probationer had given the girl nude photographs of himself and love
notes.
Accompanied by police officers the parole officer went to the defendant’s residence. The defendant
came out of the room in the house in which he was living and closed and locked the door behind
him. A locksmith was called to open the door. After the police officers entered the room and surveyed
it, the parole officer entered the room by herself and conducted the search without police involve-
ment. During her search the parole officer discovered, among other items, nude photos, allegedly of
the fourteen year old victim, female clothing, and love letters. As a result of the introduction of this
evidence in a subsequent trial the defendant was convicted of second-degree sexual assault of a
child and sexual exploitation of a child and punished as a repeat offender.38
The defendant argued on appeal that the evidence seized in the search should have been sup-
pressed because the search of his room was not a probation search, but was instead a police
search and therefore required a warrant. The appellate court, reviewing this matter, concluded that
the search of the defendant’s room was a probationary search and not a police search. The court
noted that cooperation between a probation officer and law enforcement did not transform a pro-
bation search into a police search. Moreover the court stated that a probation search was also not
transformed into a police search because the information leading to the search was provided by law
enforcement. In addition the court observed that a probationary search was not transformed into a
police search due to the existence of a concurrent investigation. Finally the court stated that the facts
demonstrated that the officers were present at the defendant’s residence for protective purposes and
that this was a recognized example of cooperation between law enforcement and probation agents.
As such the appellate court concluded that the police participation in this case did not exceed their
role of providing protection for the officer conducting the search.
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The California Supreme Court held that this condition was sufficient to authorize the search of the
juvenile by police. Even though no probation officer was present when the search was conducted
and even though the police were unaware that the juvenile was on probation, much less aware of the
search condition, the Court held that the search was reasonable. The Court stated that “as a general
rule, probationers have a reduced expectation of privacy, thereby rendering certain intrusions by
governmental authorities ‘reasonable’ which otherwise would be invalid under traditional constitution-
al concepts, at least to the extent that such intrusions are necessitated by legitimate governmental
demands.”40 Whether the minority holding in In re Tyrell becomes a majority holding for most jurisdic-
tions in the future is hard to predict. What is reasonably certain is that in light of the recent holding in
Knights, many state jurisdictions will reexamine past holdings that provided greater restrictions to the
search of probationers than has been provided by the United States Supreme Court in its interpreta-
tion of the Fourth Amendment right against unreasonable searches and seizures of probationers.
Prior to the holdings in Knights and Samson, there was some uncertainty concerning whether a
court or a probation/parole officer could delegate supervisory authority to a police officer and hence
change the status of a law enforcement officer into that of a probation/parole officer. While certain
court decisions had approved search conditions that extended the authority to law enforcement
officers to conduct warrantless searches of probationers or parolees,41 most courts had deemed
that law enforcement officers, when conducting these searches, were “assisting” supervision officers
and hence were not assuming the role of a supervision officer. In differentiating between the notion
of assisting a supervision officer as opposed to assuming the supervision officer’s role, courts had
focused on whether the supervision officer authorized or initiated the search,42 whether the search
was conducted pursuant to a legitimate goal of probation or parole,43 and whether the search was a
pretext for conducting a criminal investigation of the probationer or parolee.44 Moreover, most courts
have held that if a peace officer requests that a probation officer conduct a search of a probationer,
that officer must have a basis and reason in accordance with the officer’s duties supervising the
offender in order to conduct a search.45 While the holdings in Knights and Samson have now blurred
these distinctions, as a general rule, there is less liability for supervision officers if the police officer is
assisting the supervision officer than if the supervision officer is assisting the law enforcement officer.
Finally, certain appellate courts have held that when a probation officer acts on information furnished
by a law enforcement agent, that officer has a duty to conduct an independent analysis of the infor-
mation in order to determine whether reasonable suspicion exists to conduct a search of a proba-
tioner. In Culver v. Delaware,46 probation officers searched a probationer’s home after police “tipped
off” probation officers that they suspected that he was involved in drug activity. The police contacted
the probation department after receiving a call from an anonymous person whose “tip” made it clear
that the caller had no personal information about the probationer consistent with illicit drug activity.
While conducting a search of the probationer home, the probation officers did not find any drugs but
did find a revolver and a detoxification kit.
The defendant argued on appeal that the anonymous caller’s tip was entirely speculative, lacked any
corroboration, and therefore the relayed tip to the probation officer by the police could not form the
basis of reasonable suspicion to conduct a search of the probationer’s home. The Delaware Supreme
Court stated that probation officers could not rely on police officers vouching for anonymous callers
with no proven track record for supplying credible, reliable information. Instead, the court stated that
police officers must provide probation officers sufficient facts so that the probation officers can inde-
pendently and objectively assess the reasonableness of the inferences to be drawn from the caller’s
tip. Finally the court stated that to hold otherwise would make probation officers essentially surro-
gates for the police, conveniently used when the police had no lawful authority to act on their own.
Because there was no independent basis for having reasonable suspicion that the probationer might
be in violation of the conditions of his probation, the court reversed the conviction of the defendant.
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The arming of probation/parole officers results from several circumstances. First, with overcrowding
problems in the nation’s prisons during the last decade and the pressure to divert more and more
offenders who had traditionally been sentenced to prison or had previously served longer periods
of confinement, probation and parole case loads now contain more “hardened” or serious offenders
than before. Second, the mission of probation and parole departments in many jurisdictions has
changed from rehabilitation to public protection. Finally, greater collaborative efforts between law en-
forcement agents and probation/parole officers have underscored the need for armed self-protection.
Whether or not a probation/parole officer is armed depends on several factors. First, in order for a
state probation or parole officer to be armed, there must be state legal or statutory authority allowing
that officer to carry a weapon. But even if state law authorizes the arming of officers, the local court,
board of parole, or supervision department may elect not to arm its officers. Arming officers or allow-
ing officers to carry firearms is discretionary with the supervisory authorities in most jurisdictions.
Finally, even if a jurisdiction allows its officers to carry a weapon, state regulations or departmental
policies may still preclude a particular officer from being armed due to a number of reasons, such
as psychological reasons, because of information found in a background check of the officer, or for
failure of the officer to pass a weapons certification course.
Departments that have chosen to arm their officers have done so for one of two reasons: protecting
their officers and general law enforcement. State laws differ on the justification for an officer being
armed. For example, Texas allows its adult probation and parole officers to be armed for self-defense
purposes only.48 The law in Pennsylvania and New York, on the other hand, states that probation and
parole officers are law enforcement officers during the period that they are on duty and gives them
broad powers to arrest probationers and parolees observed violating the conditions of their release.49
Whether an officer is liable for an incident arising from the discharge of a weapon may depend on the
extent of the authority given to the officer by state law to carry a weapon and on whether the officer
exceeded that authority.
There are hardly any court decisions examining liability issues arising from the discharge of a weap-
on by a probation/parole officer; but there are numerous court cases on the use of a weapon by a law
enforcement officer. Because of the similarity in legal issues that arise in use of weapons lawsuits in-
volving law enforcement officers and that would arise in cases involving probation/parole officers, one
can draw analogous conclusions for probation/parole cases by examining law enforcement cases.
92 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
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lawsuit.50 There must be a showing that the deprivation indicated deliberate indifference or gross
negligence on the part of the government official.51
Supervisors and political subdivisions of a state can be sued if the action of the supervisor or polit-
ical subdivision was a contributing cause of the person’s deprivation of a constitutionally protected
right. This accounts for the reluctance by many departments and agencies to allow their officers to
carry firearms. For example, the lack of sufficient training of probation/parole officers in the use of
weapons may be grounds for a suit under § 1983.52 This failure to train properly extends to the failure
to provide continuous training,53 failure to ensure that the officers adequately understood the course
material,54 and even failure to provide instruction on first aid in case a person is injured as a result of
the discharge of the officer’s weapon.55
Probation and parole officers may be liable if they use excessive force in attempting to arrest or
apprehend an offender. In Tennessee v. Garner,56 the Supreme Court held that the use of excessive
force (in this case a shooting) to arrest a suspect of a crime constituted an unlawful seizure under
the Fourth Amendment to the United States Constitution. The Court stated that a police officer could
not use a deadly weapon to stop an unarmed nondangerous suspect from fleeing unless said deadly
force were necessary to prevent the escape and the officer had probable cause to believe that
the suspect posed a significant threat of death or serious physical injury to the officer or others. In
addition, the officer must give a warning, where feasible. The same rule applies to probation/parole
officers.
In a subsequent decision, the United States Supreme Court examined what constitutional standard
governed a person’s claim that law enforcement officials used excessive force in the course of mak-
ing an arrest, investigatory stop, or other “seizure” of the individual’s person. In Graham v. Connor57
the plaintiff filed a § 1983 lawsuit seeking to recover damages for injuries allegedly sustained when
law enforcement officers used physical force against him during the course of an investigatory stop.
The plaintiff, a diabetic, had felt the onset of an insulin reaction and had asked a friend to take him
to a nearby convenience store to purchase some orange juice. When the plaintiff arrived at the store,
he saw a long line of customers at the checkout counter and concerned about the delay decided
to go to a friend’s house instead. A police officer observed plaintiff going in and out of the store and
became suspicious. He stopped the car to investigate the matter and the plaintiff told him he needed
to get to a friend’s house because he was having an insulin reaction. As a result of his encounter with
the police, the plaintiff sustained a broken foot, cuts on his wrists, a bruised forehead and an injured
shoulder.
The Supreme Court, in examining what standard determined an excessive use of force, observed
that in a claim arising in the context of an arrest or investigatory stop, the standard should be most
properly characterized as one invoking the protections of the Fourth Amendment. As such the
Court stated that all claims that law enforcement officers had used excessive force–deadly or not–in
the course of an arrest, investigatory stop, or other “seizure” had to be analyzed under the Fourth
Amendment and its “reasonableness” standard, rather than under a “substantive due process”
approach. Moreover the Court stated that as in other Fourth Amendment contexts, the “reasonable-
ness” inquiry in an excessive force case was an objective one: the question was whether the officers’
actions were “objectively reasonable” in light of the facts and circumstances confronting them,
without regard to their underlying intent or motivation. Finally the Court stated that because the test
of reasonableness under the Fourth Amendment was not capable of precise definition or mechanical
application, its proper application required careful attention to the facts and circumstances of each
particular case, including the severity of the crime at issue, whether the suspect posed an immediate
threat to the safety of the officers or others, and whether he was actively resisting arrest or attempt-
ing to evade arrest by flight.
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In departments where officers are allowed to carry firearms, the following rules should be considered
if civil liability is to be obviated or minimized:
■■ Proper training on the use of firearms is a must. Ideally, that training should be similar to that
given to police or other law enforcement officers in the state.
■■ Ideally, officers should be properly certified to carry a weapon. This includes participating in regu-
lar continuing education programs to those similarly required of law enforcement officers.
■■ The department must set a clear policy on the use by officers of deadly force. Such use should be
limited to cases when there is probable cause to believe that there is an imminent threat of death
or serious bodily injury and deadly force is needed for self-defense or for the defense of other
persons.
There is fear in some departments that the agency itself might be sued if officers are not allowed to
carry firearms and are later injured in the course of their work. This is understandable, but as best
we know there has been no case filed in court so far on this issue. Even if filed, however, chances
of success may be remote because the officer will have difficulty establishing that carrying a firearm
would have prevented the injury. There will have to be a showing of deliberate indifference on the part
of the department before liability can likely be imposed. Although this showing will have to be decided
on a case-by-case basis, merely not allowing an officer to carry a firearm in itself should not consti-
tute deliberate indifference. It also helps if the agency has a policy aimed at minimizing the possibility
of placing an officer in a situation of undue risk. For example, the department can require that in risky
situations, the officer should ask the assistance or presence of police officers and not undertake the
job alone, or that it be done only in the company of another probation or parole officer.
What makes disclosure of information about a probationer/parolee less of a liability issue is that in
many states the fact that a person is on probation or parole is a matter of public record and therefore
there is no liability for disclosure. Moreover, such disclosure might be justified by the fact that it is pro-
tective of society. The only possible exception to this is juvenile cases if disclosure of a juvenile being
on probation or parole is prohibited by state statutory or case law.
Although being on adult probation or parole is a matter of public record in most states, what may be
disclosed beyond that is much less certain and depends upon state law or agency policy. This refers
to such information as: 1) what is the person’s status on probation, 2) has the person been referred
to certain treatment programs, such as substance abuse treatment or sex offender counseling,
3) whether the person is successfully complying with the conditions of release, and so forth. In
many if not most states, these are not matters of public record and therefore may not be disclosed.
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One writer, however, gives this opinion on the issue of disclosure and liability under state tort law:
It is doubtful that such acts as the disclosure of information to employers proscribing certain
employment would be deemed tortious. Federal officers can reveal items of information from public
records, such as records of prior arrests or convictions, free of liability from the tort of defamation.
Regardless of the source of the information, if it is accurate, no liability could arise for defama-
tion, since truth is a complete defense. As to the tort of invasion of privacy, disclosure of items of
public record creates no liability. Also, the release of information to a large number of persons is an
essential element of the tort of invasion of privacy; that element would be lacking in the release of
information to an individual employer. Finally, the tort of interference with a contract or a prospec-
tive contract can be justified if the ultimate purpose of the disclosure outweighs the harm to the
plaintiff. The impersonal disclosure of information to an employer to protect the public or a third
party would appear to be within the rule of justification.58
In Anderson v. Boyd,59 the plaintiff parolee brought suit against parole officers, claiming the defen-
dants had knowingly repeated false statements regarding the plaintiff’s criminal record to Idaho
State Officials and local police authorities. The court ruled that dissemination of information about a
parolee to persons outside the parole board does not relate to the parole officers’ duties in deciding to
grant, deny, or revoke parole. Therefore, absolute immunity does not extend to such conduct; at most,
parole officers would be entitled to executive, good faith immunity for their alleged conduct.
In addition to information gleaned from public records and correctional files about the offender,
probation/parole officers frequently receive information directly from the offender and the offend-
er’s associates. If the offender has a right to prevent the dissemination of information from such
sources, might he or she be able to recover damages from the officer in a proper suit in the event
of disclosure? As a matter of general law, apparently the answer is no. Again, case law support for
this conclusion is thin, but that in itself is somewhat indicative of the weakness of the argument that
must be made to support liability. The question hinges on the nature of the relationship between the
probation/parole officer and the offender.
One of the closest examinations of this relationship was made in a 1976 Washington criminal case.60
In that case, a parolee contended that the trial court should not hear testimony from his parole officer
concerning statements he made voluntarily during a telephone conversation. (Because there was no
custodial interrogation, the parolee could not argue successfully that Miranda required suppression.)
The defendant contended that the relationship between parole officer and parolee is a confidential
one, that all communications between the two were thereby privileged, and that to hold otherwise
would undermine the rehabilitation process envisioned by the parole system. The court disagreed:
A parole officer’s primary responsibility is to the court, secondly to the individual being supervised.
To hold that each communication between the parolee and his parole officer is privileged would
close the lips of the supervising personnel and allow the parolee to confess serious crimes with
impunity.61
It must be noted that, in criminal prosecutions, courts have a significant need for relevant testimony.
They are reluctant, therefore, to expand the concept of privilege beyond its traditional bounds—
lawyer-client, doctor-patient, clerical-penitent, husband-wife. Although the civil law context is different,
there is no reason to expect the officer-probationer/parolee relationship to be treated as confidential.
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voluntarily given by the juvenile, even after he expressed a desire to see his probation officer instead
of a lawyer, was held admissible in a subsequent criminal trial. The Court also addressed the issue
of confidentiality of information between a probation officer and a juvenile probationer, saying:
A probation officer is not in the same posture with regard to either the accused or the system of
justice as is [a lawyer]. Often he is not trained in the law, and so is not in a position to advise the
accused as to his legal rights. Neither is he a trained advocate, skilled in the representation of
the interests of his client before both police and courts. He does not assume the power to act on
behalf of his client by virtue of this status as advisor, nor are the communications of the accused
to the probation officer shielded by the lawyer-client privilege . . . In most cases, the probation
officer is duty bound to report wrongdoing by the juvenile when it comes to his attention, even if
by communication from the juvenile himself. (emphasis added)63
Although the above case involved a juvenile probationer, there are strong reasons to believe that the
principles enunciated apply to adult cases as well. Constitutionally, therefore, probationers/parolees
do not have a right against disclosure of information given to probation/parole officers; however, dis-
closure may be prohibited by state law or agency regulation. This is especially true if the nature of the
disclosure involves the physical or mental health status of the individual.
Some supervisory agencies have administrative policies concerning public record access and
disclosure. These rules may establish a policy forbidding an officer from releasing certain information
regarding a probationer or parolee even though no statute or other law prohibits an officer from doing
so. An agency policy restricting the disclosure of certain information would supersede the general
principles discussed here. Hence, the reader should determine whether there is an applicable agen-
cy policy that would prohibit an officer from releasing information maintain by the agency. In addition,
certain states have now established laws or administrative policies restricting the disclosure of infor-
mation pertaining to the victim of a crime. A probation or parole officer should thoroughly familiarize
him or herself with laws or policies in his or her jurisdiction that preclude the release of information
pertaining to a victim.
B. Invasion of Privacy
An area of liability concern that is similar to the disclosure of confidential information involves the
potential tortious invasion of privacy. Many, if not most states, recognize a cause of action for an in-
vasion of privacy.64 Generally, the elements for an invasion of privacy are: 1) the disclosure of private
facts must be a public disclosure; 2) the facts disclosed to the public must be private, secluded or
secret; and 3) the matter made public must be offensive and objectionable to a reasonable person of
ordinary sensibilities under the circumstances.65 Although disclosure of information that is a public
record or factual information regarding an individual’s criminal conviction is not actionable as an inva-
sion of privacy, the disclosure of certain highly personal information about an offender may be.
Thus, the improper disclosure of information obtained while questioning the offender being super-
vised may give rise to a suit for the invasion of privacy. For example, even though a probationer
or parolee may be being supervised for a sex offense, it still may be an invasion of the individual’s
privacy if a probation or parole officer were to disclose highly sensitive information about the offend-
er’s sex life. If this information about the individual’s sex life were not criminal in and of itself, but such
that an ordinary person would find highly embarrassing if it were disclosed about that individual,
then such disclosure may constitute an invasion of privacy. Moreover, if the agency responsible for
supervising the offender has a policy against disclosing such information, it may be presumed that
such information is highly sensitive and therefore be presumed that the publication of such would
constitute a breach of privacy.
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Finally, the improper questioning of a probationer or parolee during supervision may give rise to
a suit for the unreasonable intrusion upon the privacy of the individual. Although officers have a
great deal of discretion and are given considerable leeway in questioning an offender who is under
supervision, the questioning must have a reasonable bearing on the rehabilitation of the offender or
the enforcement of the conditions of release. For example, if an officer were to question extensively a
probationer or parolee convicted of theft about the offender’s sexual life or practices, said questioning
could be deemed improper, especially if there were no indication that the offender’s sexual behavior
was interfering with the efforts to rehabilitate the individual or had contributed to the commission
of the offense for which he or she was placed on probation or granted parole. Thus even though a
probationer or parolee has been convicted of a crime, the individual still has an interest in preventing
the unreasonable intrusion into his or her private life.
Even though probationers and parolees have been convicted of a criminal offense and even if their
reputation is not held in high esteem in the community, libel and slander laws still protect them. Thus
if an officer were to make a false factual statement about an probationer or parolee, such as a false
accusation that an offender convicted of embezzlement is a drug dealer or a person convicted of
driving while intoxicated is a child molester, the offender could bring an action against the officer for
libel or slander. Moreover, because making false accusations regarding a probationer or parolee is
clearly not within the course and scope of an officer’s job responsibilities, it is doubtful whether an
officer could assert the defense of official immunity in response to a suit for libel or slander. Hence
any statement that an officer makes about an offender must be factually based and verifiable and the
publication of which must be consistent with department policies and state law.
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Nevertheless, an officer should only inform an employer about one of his or her employees who is
being supervised in strict accordance with guidelines established by or under the direction of the
court, board of parole, or supervisory agency. Moreover, an officer should under no circumstances
recommend to the employer that the employee be terminated. The officer should only provide factual
information to the employer for the purpose of making the employer aware that he or she may need
to take certain precautions regarding the employee. The precautions that are taken should be left to
the discretion of the employer.
42 United States Code § 290dd-2 provides that if a treatment provider falls within the ambit of federal
regulations, then the confidentiality of the identity of any patient seeking drug and alcohol treatment
must be protected.70 In addition this law provides that any person who receives information regarding
the identity of a patient being treated for drug or alcohol abuse in a federally regulated facility cannot
pass it on without proper authorization. “Patients” include probationers or parolees being treated for
substance abuse problems by a treatment provider subject to federal regulations. Thus a probation
or parole officer may be precluded from acknowledging that an offender is being treated for alcohol
or substance abuse or indicating the location of an offender who is residing in a substance abuse
treatment facility, even to a court or law enforcement agency.
This federal law only allows the disclosure of information identifying a person as being treated for a
substance abuse problem under certain narrow exceptions. One is if the person being treated signs
an informed consent allowing the disclosure of treatment information to certain parties. Another is if
the offender is being investigated for the commission of another crime and the disclosure is required
pursuant to a court order. However, in order to procure a court order authorizing the release of this
type of information, there must first be a court hearing. A subpoena signed by a judge compelling the
disclosure of this information is not sufficient.
At the court hearing the court must find that “good cause” exists for disclosing this information. In or-
der to find “good cause” the court must consider the seriousness of the alleged offense and balance
the necessity and public interest in disclosing the information with the right of the patient to keep this
information confidential. If a court deems the information disclosable, then an order will be issued
compelling the individual having information regarding the identity of the person being treated for a
substance abuse problem to reveal the information to proper authorities.
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Not all substance abuse treatment providers come under this federal confidentiality law; only those
treatment providers subject to federal regulations do. Generally, treatment providers who receive
federal funding either directly or indirectly, such as through Medicare payments, are subject to federal
regulations. However, because of the seriousness of a breach of this federal law, a probation or
parole officer who refers an offender to substance abuse treatment should inquire of that treatment
provider whether it is subject to federal regulations.
The Privacy Rule only applies to a “covered entity” which is a health care plan, health care clearing-
house, and a health care provider. Although this may appear to limit the application of HIPAA, cov-
ered entities are broadly construed and under certain circumstances can include treatment services
provided through a probation or parole department. The Privacy Rule encompasses “individually
identifiable health information.” “Individually identifiable health information” is “information that is a
subset of health information, including demographic information collected from an individual,” and:
(1) Is created or received by a health care provider, health plan, employer, or health care clearing-
house; and
(2) Relates to the past, present, or future physical or mental health or condition of an individual; the
provision of health care to an individual; or the past, present, or future payment for the provision of
health care to an individual; and
(ii) With respect to which there is a reasonable basis to believe the information can be used to
identify the individual.74
Generally, a covered entity using, disclosing, or requesting protected health information “must make
reasonable efforts to limit protected health information to the minimum necessary to accomplish the
intended purpose of the use, disclosure, or request.”75 The Privacy Rule permits a covered entity to
“use or disclose protected health information for its own treatment, payment, or health care opera-
tions.”76 Also, an individual may authorize or agree to certain uses or disclosures of protected health
information.77 In addition under HIPAA a covered entity can disclose protected health information for
the following purposes:
a) To provide, coordinate, and manage the individual’s health care and any related services.
f) If the entity believes that a patient is the victim of abuse, neglect or domestic violence.
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g) To cooperate with a health care oversight agency in conducting such functions as audits; civil,
administrative, or criminal investigations, inspections, licensure, etc.
j) For research when research protocols have been approved to address the privacy of the patient’s
protected health information.
k) When necessary to prevent or lessen a serious and imminent threat to the patient’s health or
safety or to the health and safety of the public.
At first glance it may appear that a criminal justice agency such as a probation or parole office would
not constitute a covered entity. Thus, if the probation or parole agency were outsourcing the provision
of such rehabilitative services as counseling for emotional problems, substance abuse or mental
health treatment or only making referrals to outside entities for these services then it would appear
that the department would not fall under HIPAA’s definition of a “covered entity.” However if the proba-
tion or parole were providing in-house counseling or treatment services, including services provided
in a residential setting that is administered by a parole agency or a probation department, then these
services might well fall within the definition of “individually identifiable health information” and the
parole agency or probation department would be a covered entity for purposes of complying with the
requirements established under HIPAA. If such were the case then not only would the parole agency
or probation department be required to follow the Privacy Rule’s regulations but the entity would also
have to develop policies and procedures to comply with HIPAA’s requirements.
In another case, the United States Fifth Circuit Court of Appeals81 examined a civil rights suit against
a probation officer who mistakenly caused the arrest of a plaintiff probationer due to the erroneous
assumption that a person with the same name as the plaintiff was, in fact, the plaintiff. The court
found the officer could be subjected to suit only where his conduct clearly violated an established
statutory or constitutional right or which a reasonable person would have known. The rationale of-
fered for this standard was a clear need to vindicate constitutional guarantees without dampening the
ardor of public officials and the discharge of their duties. Specifically, the court ruled that the officer
was not performing an adjudicatory function and was not entitled to judicially-derived immunity.
However, in the same year,82 the United States Ninth Circuit Court of Appeals heard a suit brought
by a plaintiff claiming repeated arrests and consequent nonbail parole holds pending investigation of
baseless charges of parole violations. This court found the decision to arrest directly related to the
decision to revoke parole and, therefore, was protected by absolute immunity.
Jones v. Eagleville Hospital and Rehabilitation Center83 suggests other bases for liability. Here suit
was brought after a parole revocation for refusal to remove a skull cap with religious significance to
the plaintiff. Although the court found no liability, that decision appears to be the result of a provision
in 42 U. S. C. § 1983 that limits a proper defendant to a “person.” The defendant in this case was the
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Parole Board and not a “person.” Thus the question of liability under the facts in this case have yet to
be unequivocally resolved by a court.
Semler needs full discussion in view of its convoluted facts. The case was a negligence action under
Virginia law. It was brought by Helen Semler to recover damages for the death of her daughter, who
was killed by John Gilreath, a Virginia probationer. Gilreath had been prosecuted for abducting a
young girl in 1971. Pending his trial, Gilreath entered the Psychiatric Institute of Washington, D.C.,
for treatment. The doctor said that he thought Gilreath could benefit from continued treatment and
that he did not consider him to be a danger to himself or others as long as he was in a supervised,
structured environment such as was furnished at the Psychiatric Institute. In August 1972, Gilreath
pleaded guilty. His 20-year sentence was suspended, conditioned on Gilreath’s continued treatment
and confinement at the Institute.
A few months later, on the doctor’s recommendation and the probation officer’s request, the state
judge allowed Gilreath to visit his family for Thanksgiving and Christmas. Subsequently, again on the
recommendation of the doctor, the judge allowed additional passes, and early in 1973 he authorized
the probation officer to grant weekend passes at his discretion. In May 1973, the doctor recom-
mended that Gilreath become a day care patient so that he could go to the hospital each morning
and leave each evening. The probation officer transmitted this recommendation to the judge, who
approved it.
In July 1973, the probation officer gave Gilreath a 3-day pass to investigate the possibility of moving
to Ohio. The probation officer later gave Gilreath a 14-day pass so he could return to Ohio to prepare
for a transfer of probation to that state. The officer approved each of these trips after discussing them
with the doctor. Neither pass was submitted to the state judge for approval. On August 29, 1973, the
doctor, assuming Gilreath would be accepted for probation in Ohio, wrote the probation officer that
Gilreath had been discharged from the Institute.
The Ohio probation authorities, however, rejected Gilreath’s application for transfer. Gilreath tele-
phoned this news to his probation officer, who instructed him to return to Virginia. On September 19,
1973, Gilreath visited his doctor, who told him he should have additional therapy. The doctor did not
restore Gilreath to day care status, enrolling him instead in a therapy group that met two nights a
week. As an out-patient, Gilreath first lived at home and later alone, working as a bricklayer’s helper.
Gilreath told the probation officer about this arrangement, but the officer did not report it to the judge.
In late September, the officer was promoted and a new probation officer was assigned to Gilreath on
October 1. Gilreath killed the plaintiff’s daughter on October 29, 1973.
In allowing the plaintiff’s claim, the appeals court stressed that the requirement of confinement until
released by the criminal court was to protect the public, particularly young girls, from a foreseeable
risk of attack. The special relationship created by the probation order imposed a duty on the govern-
ment and the probation officer to protect the public from the reasonably foreseeable risk of harm at
Gilreath’s hands that the state judge had already recognized. The plaintiff was awarded $25,000 in
damages, with the probation officer liable for one-half.
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The facts in the Semler case are rather unique and, because of that, its applicability to other proba-
tion cases is doubtful. An old adage states that “hard facts make bad law.” Nonetheless, it appears
crucial in Semler that the probation officer in effect changed the status of the probationer from that
of a day care patient to an outpatient without authorization from the judge. The probation officer gave
Gilreath more liberty than the judicial order allowed. The result in the case would most probably have
been different had the actions of the probation officer and the doctor been in accord with a judicial
order, even if the young girl died. The judge himself could not possibly be liable because of the abso-
lute immunity defense. Carrying out the orders of the court is a valid defense in liability cases, unless
those orders are patently illegal or unconstitutional.
Special note should be taken of the way in which Semler differs from the cases in the preceding
section. Unlike the other liability cases discussed in this chapter and more akin to the case of Faile
v. South Carolina Department of Juvenile Justice, the plaintiff in Semler did not allege that a risk of
harm to her daughter was foreseeable. The decedent was simply a member of the general public.
Although the Semler court used the term “special relationship,” it used it in an entirely different way
from those in the other cases. The potential consequences of the Semler precedent are significantly
more worrisome as a result.
It should also be noted that the kind of conduct that might have defeated liability in Semler was quite
different from the companion cases. The state court in Semler knew all of the facts concerning Gil-
reath’s background. What was not communicated was his present treatment status, information the
court might have used to keep the probationer in check. Finally, in Semler there was a unique breach
of orders factor. When the physician and probation officer ceased to involve the judge in making deci-
sions about Gilreath, they arrogated to themselves power that was not theirs to exercise. They could
not do this without also accepting the consequences of their actions.
There are very few reported cases that have examined this issue. However, in People v. Beckler86 an
appellate court focused on the plight of a defendant who was rejected by the treatment program to
which the trial court assigned him. The appellate court ruled that the defendant had a statutorily cre-
ated interest in remaining under supervision. Consequent due process required notice, hearing, right
to confront and cross-examine adverse witnesses, and disclosure of evidence against the defendant
used by the agency in refusing him further treatment.
In Beckler the appellate court held that procedures should be utilized to ensure that the agency
ruling had not arbitrarily disregarded the defendant’s interest in supervision. However, Beckler merely
suggests supervision may not be denied without due process where statutes so provide. Although
the case presently stands alone, its inherent logic constitutes a forceful argument for compliance by
officers working under provisions of similar statutes. Nevertheless, Beckler stands for a right to due
process, not a right to supervision.
102 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
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Once restitution has been ordered, it becomes the responsibility of the probation/parole officer or the
department, depending upon organizational structure, to handle and disburse funds received from
the offender in a proper manner. The order of the court (or parole board) will include the party to
whom restitution is due, as well as the amount. Although in some cases the order may state some-
thing less than a specific name, such as a company, it is the duty of the officer to pay out the funds to
the proper party.
No personal responsibility accrues unless the officer is given the duty of disbursing the funds. In
most cases, a separate office is maintained to handle payments by the offender and disbursements,
in which case the department, not the individual officer, is responsible. However if the officer is
responsible, he may be held liable for improper disbursement. No funds may be disbursed to anyone
other than the party named in the order of the court (or parole board). Thus, an officer was held liable
for having paid restitution money to a relative of a court-ordered recipient.92 In this situation, restitu-
tion was to be paid through the probation office, but the supervising officer ordered the office to pay
funds to the recipient’s sister with whom the recipient was living. The officer was found by the court to
be exercising action outside the duties of his office.
If restitution is being paid directly by the offender, the officer may be responsible for assuring pay-
ment, but only insofar as his supervision duties allow him or her to know the facts. Therefore, if the
officer is not aware of the failure of the offender to make payments after exercising proper diligence,
he or she will not be liable. If he or she is aware, there is a duty to report the matter to the court (or
parole board) as a violation of conditions, at which point there will be no liability on the part of the
officer.93
Although the imposition of a fine or restitution by the court as a condition of release is obviously
constitutional, the U. S. Supreme Court has held in Bearden v. Georgia94 that a judge cannot prop-
erly revoke a defendant’s probation for failure to pay a fine and make restitution -- in the absence of
evidence and finding that the probationer was somehow responsible for the failure, or that alternative
forms of punishment were inadequate to meet the state’s interest in punishment and deterrence.
*For a discussion of violations as an aspect of revocation, see Chapter 9.
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Simply stated, if a probationer/parolee cannot pay a fine or restitution because he is indigent, his
probation/parole cannot be revoked unless alternative forms of punishment are inadequate. On the
other hand, if the probationer/parolee has the financial capacity to pay, but refuses to pay, revocation
is valid.
Revocation Trial
Not in custody No No (unless probationer asserts rights)
In custody Depends upon state law Yes
The crucial question then is: When is a probationer in the custody of a probation officer? This was
not answered satisfactorily in Murphy. All the Court said was: “It is clear that respondent was not
‘in custody’ for purposes of receiving Miranda protection because there was no formal arrest or
restraint on freedom of movement of the degree associated with formal arrest.” It is therefore clear
that a probationer who is under arrest is in custody, but what about other instances? From a study of
court cases, the rule appears to be: If, after the interrogation, the officer intends to let the probationer
leave, then the probationer is not in custody. Conversely, if the officer during the interrogation had no
intentions of allowing the probationer to leave after the interrogation (either because of prior informa-
tion of the probationer’s activities or because of answers during the interrogation that convince the
officer that the probationer should be placed under custody), then the probationer is in custody and
therefore the rules as summarized above apply.
What about cases where initially an officer did not intend to place the probationer in custody, but as
the interview develops the officer feels that the probationer, because of an incriminating response,
should now be placed in custody? In these cases, the probationer is considered to be in custody at
that point in time when the officer decided that the probationer should not be allowed to leave. At that
stage, the Miranda warnings must be given if answers obtained are to be used during a subsequent
criminal trial. Obviously, that determination is subjective.
There is a distinction, therefore, between supervisory interrogation (where the Miranda warnings
need not be given) and custodial interrogation (where the Miranda warnings must be given if the
evidence is to be used in a criminal trial, or in a revocation proceeding, if state law so provides). The
Murphy case involved a probationer, but there are reasons to believe that the principles should apply
to parole cases as well.
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Overseeing the operations of the compact is the Interstate Commission for Adult Offender Supervi-
sion. Each member state and territory of the compact can designate one individual to serve on the
commission. The purpose of the Commission is to promulgate uniform rules and procedures for the
acceptance, supervision and sometimes the return of a parolee or probationer from one state or
territory to another. The Commission also monitors compliance with the rules governing interstate
movement of offenders and initiates interventions to address and correct noncompliance. Finally,
the Commission coordinates training and education regarding regulations of interstate movement of
offenders for officials involved in such activity.95
The compact operates on a state to state level and not at a local level. Thus a local jurisdiction wish-
ing to transfer the supervision of an offender must initiate the proceedings through its respective state
compact administrator handling interstate transfer matters and cannot directly contact a local office in
another state or territory to begin the transfer process. The receiving jurisdiction has the opportunity
to review the requested transfer and even investigate the background of the probationer or parolee.
If the probationer or parolee does not meet the eligibility criteria under the compact for transfer, the
receiving state can reject the requested transfer. If a receiving jurisdiction rejects transfer, then the
probationer or parolee must remain in the sending state or territory and be supervised there.
It is important to note that the compact incorporates the legal holdings enunciated by the United
States Supreme Court in Morrissey v. Brewer96 and Gagnon v. Scarpelli.97 In addition, it is critical for
the courts, parole authorities, and probation and parole departments to understand that a violation of
the rules of the compact may entail serious legal liabilities. Under the express terms of the compact,
judicial enforcement is authorized by a majority vote of the Commission members to enforce the
provisions of the compact. Moreover the Commission can seek both injunctive relief and monetary
damages against a state or territory in violation of the compact and the prevailing party can even be
entitled to an award of costs, including reasonable attorney’s fee.98 As such it is extremely import-
ant that persons involved in the supervision of probationers or parolees understand the rules of the
compact.99
SUMMARY
This chapter deals with liability exposure in supervising offenders. In the area of searches, the United
States Supreme Court has declared that warrantless searches of probationers and parolees may be
conducted under certain circumstances. Nevertheless, the Supreme Court has created two different
standards for the search of probationers and parolees. This chapter also deals with the complex
issue of possible liability for disclosure or nondisclosure of information. In addition, this chapter
discusses the various theories under which an officer could be deemed liable for the acts of a person
under his/her supervision. In general, officers are protected from liability in supervision but there
might be liability if a “special relationship” exists or the officer “takes charge” of an offender. However,
Supervision 105
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officers may be negligent if they could have reasonably foreseen that their actions in supervising an
offender could result in harm to an identifiable victim. In the area of violations, the law is clear: the
officer has a responsibility to inform the court or board of parole whenever the offender has breached
the conditions of release. Nevertheless, once the officer has brought the matter to the attention of the
proper authority, then he or she has discharged his or her responsibility. In addition, monetary collec-
tions should be carefully handled by the field officer. Furthermore, as a general rule, an officer must
give the Miranda warnings if the probationer is in custody and if the evidence obtained is to be used
in a criminal trial. Finally, this chapter stresses that an officer should familiarize him or herself with the
rules and regulations of the Interstate Compact for Adult Offender Supervision.
NOTES
1. Griffin v. Wisconsin, 483 U.S. 868 (1987).
4. Although in certain cases a parolee has tried to narrow the scope of the holding in Samson v. Cali-
fornia by arguing that the search of the residence of a parolee still needs to be based on some basis
of reasonable suspicion, this argument has been generally rejected by appellate courts. See United
States v. Lopez, 474 F. 3d 1208 (9th Cir. – 2007).
5. In People v. Wilson, 228 Ill. 2d 35, (Ill. – 2008), the Illinois Supreme Court followed the holding of
Samson v. California and held that the suspicionless search of the residence of a parolee was proper.
6. See Tamez v. State, 534 S. W. 2d 686 (Tex. Cr. App. - 1976) decided prior to the United States
Supreme Court holding in Griffin v. Wisconsin, 483 U.S. 868 (1987).
8. People v. Hale, 692 N.Y.S. 2d 649, 93 N.Y. 2d 454, 714 N.E. 2d 861 (1999); see also, People v.
Woods, 981 P. 2d 1019, 88 Cal. Rptr. 2d 88 (1999) and State v. Moses, 618 A. 2d 478 (Vt. 1992).
10. In Lambert v. State, 172 P. 3d 838 (Alaska App. – 2007), an Alaska appellate court disallowed
the imposition of a condition requiring a defendant convicted of assault “to submit, at the request of
his probation officer, to a search of his “person, personal property, residence or any vehicle in which
[he] may be found for the presence of contraband” as overbroad. Even though the defendant had a
history of substance abuse, the court noted that the term “contraband” included more than a search
for drugs or alcohol; the term “contraband” also included “stolen property, weapons, burglary tools,
counterfeit money, photographs, videotapes, etc.,” the search for which none of these items had any
relationship for the offense for which he was convicted; to-wit: assault. If the search condition had
been limited to items related to the abuse of alcohol or an illegal substance, then, in all likelihood, the
appellate court would have affirmed the imposition of a search condition.
12. Brooks v. State, 677 S. E. 2d 68 (Ga. 2009); see also, People v. Thornburg, 895 N.E. 2d 13 (Ill.
App. 2d Dist. – 2008).
106 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
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15. Even though the Supreme Court’s holding in Samson v. California dispensed with the need to ar-
ticulate an individualized suspicion in conducting searches of parolees, this section will still reference
state holdings, discussing the level of reasonableness for conducting searches of parolees. This is
for two reasons. One, even if a state court no longer recognizes the need for individualized suspicion
where conducting a search of a parolee, these case cited are still useful for articulating the level of
reasonableness in conducting a search of a probationer. Second, even though the United States
Supreme Court has now held that the Fourth Amendment to the United States Constitution does to
require individualized suspicion when conducting searches of parolees, some states may still find un-
der either state statute, case law or their state constitution that searches of parolees must be based
on individualized suspicion in order to meet the state standard of reasonableness.
16. See Toney v. State, 572 So. 2d 1308 (Ala. Cr. App. - 1990).
17. See Sierra v. State, 958 A. 2d 825 (Del. – 2008); see also, Hill, Rights of the Convicted Felon on
Parole, 13 U. Rich. L. Rev. 370, 371 (1979) and State v. Perbix, 331 N. W. 2d 14 (ND 1983).
19. People v. Santos, 82 Misc. 2d 184, 368 N.Y.S. 2d 130, (N.Y. County Sup. Ct. 1975).
20. State v. Williams, 486 S. W. 2d 468 (Mo. 1972). See also, People v. Anderson, 189 Colo. 34, 536
P. 2d 302 (1975); State v. Pinson, 104 Idaho 227, 657 P. 2d 1095 (1983).
22. See State v. Campa, 2009 MT 251 (Mont. – 2009), in which the Montana Supreme Court stated
that determining the existence of reasonable cause to conduct a probationary search involves a
factual inquiry based on the totality of the circumstances.
23. See Jones v. State, 653 S. E. 2d 456 (Ga. – 2007), in which the Georgia Supreme Court stat-
ed that a defendant’s status as a probationer, standing alone, could not serve as a substitute for a
search warrant and allow a probation officer and police officers to conduct a warrantless search of
the defendant’s residence where the state failed to show the existence of any law, legally authorized
regulation, or sentencing order imposing any limitation on the defendant’s Fourth Amendment right
against warrantless searches of his residence at the time of the search.
24. See People v. Borger, 848 N.Y.S. 2d 841 (N. Y. Co. – 2007); see also, State v. Epperson, 576 So.
2d 96 (La. App. - 1991).
26. See Gordon v. State, 1 So. 3d 1117 (Fla. App.--1 Dist. 2009), in which a Florida appellate court
held that an unverified, anonymous phone tip alleging a probation violation by a probationer, namely
the presence of illegal drugs inside the probationer’s residence, was not sufficient to provide reason-
able suspicion supporting a search of the residence; see however, Spencer v. State, 667 S. E. 2d
223 (Ga. 2008), in which the Georgia Supreme Court upheld a search conducted by narcotics agents
pursuant to a special condition of probation because the anonymous tip was supported by other
evidence.
27. See State v. Bennett, 200 P. 3d 455 (Kansas 2009), in which the Kansas Supreme Court stated
that a condition of probation requiring that a probationer submit to random, suspicionless searches
violated the probationer’s constitutional rights under the Fourth Amendment to the United States
Constitution and the Kansas Constitution’s Bill of Rights.
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31. In United States v. Reyes, 283 F. 3d 446 (2nd Cir. 2002), the Second Circuit Court of Appeals
upheld a plain view discovery of contraband in the context of a home visit of a probationer pursuant
to a probation condition permitting home visits at any time.
33. The Court in State v. Moody noted that other courts addressing this issue of whether a home visit
constituted a search had concluded that, although such visits could evolve into a search, the initial
visit was not a search, citing United States v. Workman, 585 F. 2d 1205 (4th Cir. – 1978) and Latta v.
Fitzharris, 521 F. 2d 246 (9th Cir. – 1975).
34. In McArthur v. State, 1 S. W. 3d 323 (Tex. App. – Fort Worth, 1999), the Fort Worth Court of
Appeals approved the imposition of a search condition on a sex offender granted community super-
vision that required him “to permit your supervision officer to search your residence, vehicle and pos-
sessions for the presence of sexually explicit material;” see also, 11 Del. C. § 4321 which provides:
Probation and parole officers shall exercise the same powers as constables under the laws of
this State and may conduct searches of individuals under probation and parole supervision in
accordance with Department procedures while in the performance of the lawful duties of their em-
ployment and shall execute lawful orders, warrants and other process as directed to the officers by
any court, judge or Board of Parole in this State.
35. Ryan v. State, 580 F. 2d. 988 (9th Cir.), cert. denied, 440 U. S. 977 (1978); United States v. Dally,
606 F. 2d 861 (9th Cir. 1979).
36. Ryan v. State, 580 F. 2d 988 (9th Cir.), cert. denied, 440 U. S. 977 (1978).
38. One of the contentious issues in the appeal was whether the defendant was on parole or proba-
tion. The defendant argued that he was not on parole but rather extended supervision and therefore
his status was more closely analogous to a probationer rather than to a parolee. Nevertheless both
parties agreed to analyze this search as if it were a probation search and therefore the standard for-
mulated for the search of parolees in Samson v. California, 547 U. S. 843 (2006) was not considered.
40. The California Supreme Court extended the holding in Tyrell to parolees in People v. Reyes, 968
P. 2d 445 (1998).
41. See People v. Mason, 488 P. 2d 630 (Cal. 1971); State v. Montgomery, 566 P. 2d 1329 (Ariz.
1977); State v. Josephson, 867 P. 2d 993 (Idaho 1993); Allen v. State, 369 S.E. 2d 909 (Ga. 1988);
and Himmage v. State, 469 P. 2d 763 (Nev. 1972).
42. See U. S. v. Jarral, 754 F. 2d 1457 (9th Cir. 1985); see also, U. S. v. Richardson, 849 F. 2d 439
(9th Cir. 1988).
45. In State v. Bolden, 13 So.3d 1168 (La. App. 2009), a Louisiana appellate court stated that a pa-
role or probation officer may not use his authority as a subterfuge to help another police agency that
desires to conduct a search, but lacks probable cause; the parole or probation officer must believe
that the search is necessary in the performance of his duties and reasonable in light of the total
circumstances.
108 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
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47. In 2009 the Texas Legislature enacted S. B. 1237, which gave county juvenile probation depart-
ments the discretion to allow juvenile probation officers to be armed while performing official duties.
See Texas Human Resource Code, § 141.066. It is worth noting that very few jurisdictions in this
country still allow their juvenile probation officers to be armed.
49. See 61 Pennsylvania Statutes, § 309.1 and New York State Criminal Procedural Law, Article 2.10,
§ 23.
51. See Estelle v. Gamble, 429 U. S. 97 (1976); see also, County of Sacramento v. Lewis, 523 U. S.
833 (1998) and Schaefer v. Goch and Marathon County, No. 97 C 394 (7th Cir. 1998).
52. See City of Canton v. Harris, 489 U.S. 378 (1989); see also, Paiva v. City of Reno, 939 F. Supp.
1474 (D. Nev. 1996).
58. J. Kutcher, The Legal Responsibility of Probation Officers in Supervision, 41 Fed. Prob. 35, 37-38
(1977).
64. See Vargas v. Shepherd, 903 N. E. 2d 1026 (Ind. App. 2009) and Brungardt v. Summitt, 7 So. 3rd
879 (La. App 2009). Note: A claim of breach of privacy has also been asserted through a claim under
the fourth amendment to the United States Constitution; see Hudson v. Palmer, 468 U.S. 517 (1984).
65. See Gettner v. Fitzgerald, 677 S. E. 2d 149 ( Ga. App 2009); see also, Moreno v. Hanford Senti-
nel, Inc., 91 Cal. Rptr. 3rd 858 (Cal. App. 5 Dist, 2009).
66. See Abromats v. Wood, 213 P. 3rd 966 (Wyo. 2009); see also, Joseph v. Scranton Time L. P., 959
A. 2d 322 (Pa. Super. – 2008).
67. See Mayweather v. Isle of Capri Casino, Inc., 996 So. 2d 136 (Miss. App. 2008); see also, Parrish
v. Allison, 656 S. E. 2d 382 (S. C. App. 2007).
68. See Morgan v. Bubar, 975 A. 2d 59 (Conn. App. 2009); see also, Alston v. PW – Philadelphia
Weekly, 980 A. 2d 215 (Pa. Cmwlth, App. 2009); finally, see Clark County School Dist. v. Virtual Educ.
Software, Inc., 213 P. 3d 496 (Nev. 2009), in which the Nevada Supreme Court held that an action
for defamation required the plaintiff to prove four elements: a false and defamatory statement; 2) an
unprivileged publication to a third person; 3) fault, amounting to at least negligence; and 4) actual or
presumed damages.
Supervision 109
CHAPTER 6
69. See Hatfield v. Health Management Associates of West Virginia, 672 S. E. 2d 395 (W. Vir. – 2008)
and Smith v. Morris, Manning and Martin, LLP, 666 S. E. 2d 683 (Ga. App. – 2008); see also, Victoria
Bank and Trust v. Brady, 811 S. W. 2d 931 (Tex. 1991).
70. The federal regulations implementing 42 U. S. C. § 290dd-2 are found in 42 CFR Part 35.
71. 45 C. F. R. § 164.502(a).
72. 45 C.F.R. § 160.203 (2003). Note: A state statute is contrary if it would be impossible to comply
with both the state statute and with HIPAA, or if state law would be an obstacle to “accomplishing the
full purposes and objectives of the Administrative Simplification portions of HIPAA.” OCR Summary,
supra note 8, at 16; 45 C.F.R. § 160.202 (2003). Moreover, the Privacy Rule does not exempt state
statutes that are “more stringent.” 45 C.F.R. §§ 160.202-.203 (2003). Generally, a state statute is
more stringent than the Privacy Rule if it “provides greater privacy protection for the individual who is
the subject of the individually identifiable health information.” Id. § 160.202(6).
76. Id.
78. Under this circumstance, the covered entity may disclose the protected health information in
response to a subpoena to the extent authorized by state law if the entity is satisfied that the patient
has been notified of the request or that an effort was made to secure a protective order.
79. To understand better the privacy protections under HIPAA, information is available at the United
States Department of Health and Human Services website at the following address: http://www.hhs.
gov/ocr/privacy/hipaa/understanding/.
83. Jones v. Eagleville Hospital and Rehabilitation Center, 588 F. Supp. 53 (U.S.D. Pa. 1984).
85. Flores v. State, 904 S. W. 2d 129 (Tex. Cr. App. - 1995), cert. denied, 516 U.S.1050 (1996)
86. People v. Beckler, 459 N.E. 2d 672 (Ill. App. Ct. 1984).
87. United States v. Glasgow, 389 F. Supp. 217 (D.D.C. 1975); Jones v. State, 360 So. 2d 1158 (Fla.
Dist. Ct. App. 1978); State v. McCain, 150 N.J. Super. 497, 376 A. 2d 185 (Super. Ct. App. Div. 1977);
State v. Marshall, 247 N. W. 2d 484 (S. D. 1976).
89. Cothron v. State, 377 So. 2d 255 (Fla. Dist. Ct. App. 1979).
110 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
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95. http://www.interstatecompact.org/About/History/tabid/58/Default.aspx.
98.http://www.interstatecompact.org/About/History/InterstateCompactFAQs/tabid/57/Default.aspx.
99. A probation or parole officer can access the rules of the compact at the website of the Interstate
Commission on Adult Offender Supervision at: http://www.interstatecompact.org/Portals/0/library/
legal/ICAOS_Rules.pdf.
Supervision 111
CHAPTER 7
CONDITIONS, MODIFICATIONS,
AND CHANGES IN STATUS
INTRODUCTION
I. CONDITIONS IN GENERAL
A. Vagueness
B. Reasonableness
C. Overbreadth
V. MODIFICATIONS OF CONDITIONS
VI. EXTENSION
VII. TERMINATION
SUMMARY
NOTES
113
Chapter 7
INTRODUCTION
The enforcement of the conditions of parole or probation is essential to the proper supervision of
offenders. Conditions reflect the will of the court or parole board and the expectation that the court or
parole board has established in order for a parolee or probationer to complete the term of supervi-
sion successfully. As officers of the court (probation officers) or officers of the executive branch (pa-
role officers), probation and parole officers have the legal responsibility for ensuring that the offender
abides with the conditions imposed by the court or parole board.
In addition, the conditions of parole or probation form an essential part of any supervision or treat-
ment plan established for the offender. The determination of the risks and needs of an offender, the
results of any assessments administered to the individual, and specific recommendations made by
the officer to the court or parole board that is considering the release of the defendant often reappear
as conditions of parole or probation. These conditions, in turn, must be incorporated in the supervi-
sion plan of the offender and any treatment plan developed for the individual.
Conditions of probation or parole can basically be categorized into three classifications: regular,
special, and modified conditions. In addition to the conditions that an offender must follow, under
certain circumstances, an offender may be obligated to report any changes in his status to his officer.
This obligation to report a change in status may be required as a condition of probation or parole, as
an administrative requirement of the probation or parole department, or as a statutory mandate. This
chapter will examine the various types of conditions and change of status requirements that may be
imposed on or required of an offender, the responsibility of an officer to ensure that conditions are
enforced or a change in status is reported, and the potential liability issues that may arise in the inad-
equate or improper enforcement of conditions or reporting requirements.
A regular condition of probation or parole is generally one that is statutorily authorized or approved
and is imposed on almost every offender granted probation or parole. In addition, a regular condi-
tion may be one that, even though not specifically statutorily defined or compelled, is imposed by a
particular court or parole board on almost every offender requesting a grant of probation or parole
who appears before that sentencing or parole authority. Because of its universal application, this type
of condition is referred to as a ‘regular’ condition. The imposition of a regular condition of probation
or parole is less likely to be challenged successfully on appeal than a special condition.1 A regular
condition is almost invariably presumed to be reasonable.
A special condition is one that is not imposed as a matter of course on all probationers or parolees. It
is usually designed to promote the rehabilitation of a specific offender by requiring him or her to avoid
an environment deemed not to be conducive to his or her well-being or to participate in a particu-
lar program or service in order to address a speciety, the condition is likely to be held permissible;
however, a condition that bears no relationship to the offense committed by the offender or to future
criminal acts, does not protect the public, or impermissibly infringes on a probationer or parolee’s
basic constitutional rights is invalid.2
Conditions are set only by the court or parole board; therefore, the field officer need not fear liability
for their imposition; however, he or she should be concerned with the enforcement of conditions,
both as matters of rehabilitation and practicality. The best time to deal with such issues is before they
are imposed. A pre-sentence or pre-parole report should not include a condition that is either overly
difficult to supervise or open to serious question as to its function or legality. For example, a condition
requiring church attendance would fall into this category because of a potential conflict with the First
Amendment’s guarantee of the free exercise of religion.
A condition that is phrased in such a way as to require compliance by the offender with “any other
order” of the supervising officer can lead to serious problems for the officer. Such a condition may
be an improper delegation of authority because it leaves the decision to impose or enforce a certain
requirement on the offender to the probation or parole officer and not with the court or parole board.
Thus, absent express statutory authority to the contrary, such a condition is generally void. Moreover,
a court or parole board cannot bestow blanket authority on a probation or parole officer to require an
offender to perform an act or refrain from doing so. Not only is such a “blank check” illegal, but it is
also not conducive to rehabilitation to put the offender in a position that would cause specific problem
or need of his or her. In addition, a special condition may be imposed in order to reduce the potential
of an offender committing a specific harm to the community or a victim. So long as a condition can
reasonably be said to contribute both to rehabilitation aims and the protection of severe peer or fami-
ly conflict, such as ordering him to become an informant.
General rules can be stated that should give the field officer ample guidance. First, a formal condition
set by the court or the board is generally acceptable. (Note the limitations discussed in this chap-
ter.) Second, a reasonable condition, such as meeting with the officer at a certain time and place, is
acceptable so long as it is imposed in good faith. Third, in emergency situations, radical orders will
be acceptable provided they are imposed in good faith, are temporary and necessary under a true
emergency, and are not illegal. When faced with such a situation, the officer can best protect himself
or herself by obtaining from the offender a written consent, or if that is refused, a written admission
that the offender is aware of the order and wishes to challenge it. Fourth, substantial changes in set
conditions should not be made except under emergency conditions. Fifth, any changes of an endur-
ing nature must be made by the court or the board.3 In all events, the officer is obligated to notify the
offender of the change and, as with conditions in general, explain the condition to the offender.
Unequal or arbitrary enforcement of conditions can be the basis for a lawsuit under the due process
and equal protection clauses of the United States Constitution and possibly under individual state
constitutions. Unreasonable distinctions between individuals or classes of individuals will potentially
expose the officer to personal liability. Moreover, the arbitrary or capricious enforcement of conditions
or the requirement that a probationer or parolee perform an unreasonable act may also incur liability.
The question of reasonableness will be decided on a case-by-case basis. Class distinctions and the
unequal or selective enforcement based on race, creed, gender, religion, or ethnicity are extremely
difficult to justify and should always be avoided.
Several specific areas have been the target of judicial examination recently. In particular, conditions
involving reproductive rights; rights of free speech and expression; “scarlet letters”, that is, public
shaming; the requirement to undergo periodic polygraph examinations and access to computers and
the use of the Internet have been subject to judicial scrutiny. After a brief statement of the current
law on conditions in general, the remainder of the discussion about conditions in this chapter will
consider the more difficult ones: (1) conditions that infringe upon fundamental constitutional rights,
(2) conditions that infringe upon other rights, and (3) explanation of conditions to the offender.
I. CONDITIONS IN GENERAL
Probationers and parolees enjoy conditional freedom from confinement. All jurisdictions impose some
explicit conditions, or standards of conduct, that the probationer or parolee is expected to observe in
return for his or her release. Data about the number and variety of parole conditions are less abun-
dant than probation condition data because the number of authorities imposing parole conditions is
limited.4
Some of the more common conditions imposed on probationers and parolees are:
■■ Commit no offense against the state in which the offender was convicted, another state, or the
United States of America.
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Chapter 7
■■ Refrain from congregating around or associating with disreputable persons or persons with crimi-
nal convictions.
Most of these above listed conditions are statutorily authorized by the legislatures of the States. This
indicates the desire of legislators that the courts or parole board impose certain standard conditions
on probationers and parolees. Nevertheless the number of legislatively enumerated conditions of
probation or parole vary widely from state to state. Some state laws have only a minimum number of
prescribed conditions while other states’ statutes list an extensive array of conditions.
In addition, legislators may authorize the courts or parole board to impose special conditions on
certain offenders but not all. For example, sex offenders may be required to participate in sex offend-
er therapy, register as sex offenders, and not enter child safety zones. Substance abusers may be
required to submit to urinalysis and participate in substance abuse treatment. Persons convicted for
driving under the influence may be required to refrain from operating a motor vehicle and participate
in counseling for alcohol abuse.
Moreover, courts or the parole board may impose a special condition on an offender that may not
be statutorily mentioned but address a specific risk or need of the individual offender. Thus a person
convicted of embezzlement may be required, as a condition or probation or parole, to not seek em-
ployment as a bookkeeper. A person convicted of domestic assault may be required, as a condition
of probation or parole, from not contacting his or her spouse or other injured family member. Gener-
ally, a special condition of probation or parole is only invalid if it has all three of the following charac-
teristics: (1) has no relationship to the crime, (2) relates to conduct that is not in itself criminal, and
(3) forbids or requires conduct that is not reasonably related to the future criminality of the offender or
does not serve the statutory ends of probation or parole.5
Considering that more than 5 million adult men and women were on probation or parole at the end of
2006,6 the frequency of litigation concerning the constitutionality and legality of conditions is surpris-
ingly small. This is because a probationer/parolee realizes that he or she has agreed to the condi-
tions and is also aware of the possible consequences of challenging them. The mere act of agree-
ing to the terms of probation/parole, however, does not mean that a legal challenge is foreclosed
because of waiver. Courts have said that some constitutional rights may not be waived, particularly
if the alternative to a refusal to waive is incarceration or non-release. This might amount to undue
influence or coercion.
Generally speaking, the authority granting probation or parole has broad discretion to set terms and
conditions within the statutory framework creating the disposition. Most authorizing statutes suggest
minimum conditions. The supplemental discretion also conferred on the courts or parole board is not
unlimited, however, and a challenged condition will not be upheld if it cannot be shown to bear some
reasonable relationship to the rehabilitative purpose underlying the probation and parole systems
or has some rational basis for deterring future criminal acts by the offender. As the core conditions
almost always are so related, challenges to them are seldom successful. Nevertheless even if a
condition has a rational basis in law, the specific language found in the condition must inform the
offender in clear, definite, and unambiguous terms of what he or she must or must not do or said
condition will be invalid.7
As a general rule, courts will consider conditions valid as long as they are: (1) reasonably related to
the rehabilitation of the offender or the protection of society; (2) clear; (3) reasonable, and (4) con-
stitutional. How these requirements are interpreted, however, varies considerably from one court to
another, even within one state.
What follows in this Chapter deals with conditions that are less often imposed. The material present-
ed will illustrate that the power to set conditions is limited and will discuss the approach the courts
take to determine whether a condition is permissible. Even though these conditions are less often im-
posed, the imposition of certain conditions may show a trend indicating that they are being increas-
ingly utilized by the courts. This is especially the case in regards to persons granted probation or pa-
role for sex offenses and assaultive domestic offenses. In these situations although still rare, certain
conditions are gaining popularity in the country and are being used in more and more jurisdictions.
In the federal system, generally federal appellate courts will not strike down conditions of release,
even if they implicated fundamental rights, if such conditions are reasonably related to the ends of
rehabilitation and protection of the public from recidivism.10 Nevertheless, federal appellate courts
do require that the federal district judge imposing the condition specify on the record the reason for
doing so.11 Moreover, whenever fundamental rights are involved, the condition imposed must not de-
prive the offender of greater liberty than is reasonably necessary to achieve the goals of deterrence,
protection of the public, and/or the rehabilitation of the defendant.12 How courts have addressed the
issue of what constitutional rights probationers and parolees retain or lose is discussed below.
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In Sobell v. Reed,15 a federal parolee asserted that his First Amendment rights had been violated by
an action of the Board of Parole. Sobell was restricted by the board from going outside the limits of
the Southern District of New York “ . . . without permission from the parole officer.” On a number of oc-
casions after his release, Sobell sought and obtained permission to travel to, and to speak at, various
places. However, on other occasions, such requests were denied. Sobell charged that such denials
invaded his First Amendment rights.
The federal district court stated that while there are differences between prisoners and parolees,
there are none that diminish the protections enjoyed by the latter under the First Amendment.16 After
testing the restriction by the same principles, such as: “where the (parole) authorities strongly show
some substantial and controlling interest which requires the subordination or limitation of these im-
portant constitutional rights, and which justifies their infringement . . . ,”17 the court held that the board
violated Sobell’s exercise of his rights of speech, expression, or assembly, except when it could show
that withholding permission was necessary to safeguard against specifically described and highly
likely dangers of misconduct by the parolee.18
The second case, Hyland v. Procunier,19 involved a California parolee. As a condition of his parole,
he was required to obtain permission from his parole officer before giving any public speeches. The
parolee’s requests to give speeches about prison conditions at a college campus were denied on
two occasions on grounds that the speeches might lead to student demonstrations at the prison. The
court stated that “California (and) federal law has imposed the due process rule of reasonableness
upon the State’s discretion in granting or withholding privileges from prisoners, parolees, and pro-
bationers.”20 The court found that California made no showing that the condition imposed on Hyland
was in any way related to the valid ends of California’s rehabilitative system. Thus, the court perma-
nently prohibited the state from:
2. Prohibiting any California state parolee from addressing public assemblies held at the Universi-
ty of California at Santa Cruz, when such prohibition is because of the expected content of the
speech.21
These two cases exemplify the basic notion that even though an individual may have been convicted
of a crime, he still retains certain fundamental rights, especially the right of freedom of speech and
freedom of assembly. These rights can only be infringed if the state shows a rational relationship
between the restriction on the rights of the individual and a legitimate penological interest on the part
of the state (or federal) authorities. For persons with a conditional liberty interest; such as parolees,
the state usually must demonstrate a heightened or compelling interest, instead of a more gener-
al interest, for curtailing the parolee’s liberty. Moreover, the restriction imposed on a fundamental
constitutional right must be narrowly tailored to serve the compelling interest of the state in the least
restrictive means possible. These court holdings logically extend to the probation area.
In Porth v. Templar,22 the Federal Tenth Circuit Court of Appeals stated that probation conditions must
bear a relationship to the treatment of the offender and the protection of the public. “The case stands
for the proposition that absent a showing of a reasonable relationship between a release condition
and the purpose of release, the abridgement of a fundamental right will not be tolerated.”23 Thus,
the implication in viewing this case with the other two cases is that release conditions abridging
fundamental rights can be sustained only if they serve a legitimate and demonstrated rehabilitative
objective or objectively serve to protect the public.24
Nevertheless, these cases do not suggest that the mere assertion by a probationer or parolee that
some right is embraced within the First Amendment will put that right beyond the reach of a properly
tailored condition. For example, in Porth v. Templar, the probation condition prohibited a long-term tax
protestor from circulating or distributing materials concerning the “illegality” of the Federal Reserve
System and the income tax and from speaking or writing on those subjects. The court of appeals
held these restrictions were too broad, but it approved a narrower condition prohibiting the proba-
tioner from encouraging others to violate the tax laws.25 Another appeals court upheld a challenge to
a condition of probation that a convicted gambler associate only with law-abiding citizens, a potential
restriction on his associational rights.26 Even political rights, which have traditionally been accorded
preferred status, may be circumscribed under certain situations. Thus, the Federal Fifth Circuit Court
of Appeals once upheld the imposition of a condition of probation on a former congressman convict-
ed of election law violations from engaging in political activity.27
Several recent court decisions have examined conditions restricting the First Amendment rights of
probationers. In Commonwealth of Massachusetts v. Power,28 the defendant was convicted in a high-
ly publicized case of armed robbery. Having granted probation to the defendant the trial court then
proceeded to order her, as a condition of probation, to not engage in any profit generating activity
connected to publishing anything about her crime or how she was a fugitive for so many years. The
defendant appealed this condition, arguing that this restriction was an impermissible infringement on
her First Amendment right of free speech. The appellate court rejected this contention. The court not-
ed that the trial court did not order her not to discuss the incidents surrounding her offense. Instead
the trial court simply said that she could not profit monetarily from any discussion of her crime. The
appellate court found that this condition was narrowly tailored to prevent her from receiving a finan-
cial reward for her crime without unduly infringing on her right to talk about the matter.
With the advent of new forms of electronic communication, courts are having to closely examine the
propriety and even constitutionality of conditions that limit or even preclude access to certain forms
of communication. For example, in State v. Zimmer,29 an appellate court in the state of Washington
held that the trial court could not impose a condition that the defendant, who was convicted of the
offense of possession of methamphetamine, not possess a cell phone or a handheld electronic data
device. The court reasoned that the ban on possessing a cell phone or a data storage device was
not a “crime related prohibition.”* Finally, courts have approval conditions of probation restricting
anti-abortion protestors convicted of trespassing on the private property of abortion clinics from being
within a specific distance from the clinics. The courts have held that this condition does not unduly
infringe upon their right of assembly or free speech because the condition has a reasonable relation-
ship to deterring future criminality, that is, trespassing once again on private property.30
B. Association
Freedom of association is also protected by the first amendment. While a condition restricting asso-
ciation is permissible provided there is a correlation between the offense for which the probationer
or parolee was convicted and a person or place the association with or presence at which may lead
the probationer or parolee to commit the same or similar crime, this condition may still be invalidated
by courts for vagueness or overbreadth. The condition must be clear to the probationer or parolee31
and also to the officer responsible for enforcing the conditions.32 An unclear or vague condition needs
to be clarified further by the officer so that the probationer/parolee generally knows which conduct is
prohibited. For example, does a condition forbidding a probationer/parolee from frequenting places
where alcohol is served include restaurants or other places where alcoholic beverages may be sold?
The purpose or intent of such conditions is usually a matter of judicial or agency determination and
therefore varies from place to place. In the absence of clear boundaries, those conditions may be
overly vague and broad as to be fundamentally unfair.
Some courts have upheld a condition restricting association if it is not vague under certain circum-
stances even though it might be construed differently in another situation. For example, in United
*For a discussion of conditions restricting access to the Internet, see § II.H.6 of this Chapter.
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States v. Schave,33 the defendant, a white supremacist, was convicted of unlawful possession of an
unregistered destructive device. As a condition of release after serving a term in prison, the defen-
dant was ordered not to associate “with organizations that, or their members who, espouse violence
or the supremacy of the white race.” The defendant argued that this condition was impermissibly
vague and unconstitutional because the wording of the condition could include not just a prohibition
against participating with white supremacist organizations but also could preclude the defendant
from associating with any group, even a legitimate group such as the United States military that
espoused violence.
The appellate court affirmed that a condition of supervised release is unconstitutionally vague if it
would not afford a person of reasonable intelligence sufficient notice as to the conduct prohibited.
The court noted that the contested condition in Schave could be construed so the defendant would
be in violation of it if he associated with an individual who, unbeknownst to him, belonged to a white
supremacist organization or if the defendant associated with an organization that, even though it
advocated violence, was not a white supremacist organization. Despite these ambiguities stemming
from the wording of this particular condition, the appellate court held that this condition could be
reasonably construed as limiting the defendant’s associational rights to groups that both espoused
violence and were white supremacist organizations. As such the appellate court upheld this
condition.
Another recent court decision examining the propriety of imposing a condition limiting the associa-
tion of the defendant with gang members is United States v. Soltero.34 In this case the defendant was
convicted of the offense of being a felon in possession of a firearm. He was sentenced to 72 months
in prison followed by three years of supervised release. Among the condition of release imposed by
the trial court were the following:
■■ “not be present in any area known as a criminal street gang gathering of the Delhi, as directed by
the Probation Officer.”
■■ “not wear, display, use or possess any insignia, emblem, button, badge, cap, hat, scarf, bandana,
jewelry, paraphernalia, or any article of clothing which may connote affiliation with, or member-
ship in the Delhi gang.”
The defendant appealed the imposition of these two conditions of release. Clearly these conditions
adversely impacted his First Amendment rights of free expression and association. Moreover the
appellate court noted that restrictions infringing upon fundamental rights must be reviewed carefully.
Nevertheless the appellate court upheld that imposition of these conditions, noting that since they
specifically referenced the “Delhi gang” and the defendant had admitted that he was a member of
this gang, that the district court was entitled to presume that the defendant was familiar with the
Delhi gang’s members, its places of gathering and its paraphernalia and therefore these conditions
were not impermissibly vague.
C. Religion
The “free exercise” clause of the First Amendment generally puts beyond the reach of government all
questions of how an individual chooses to regulate his or her religious life. In the context of cor-
rectional institutions, penal officials are generally afforded certain latitude in restricting an inmate’s
free exercise of religion, provided that the restriction rationally furthers a legitimate interest of the
penal institution.35 However, in the context of probation or parole matters, the courts have examined
much more closely the constitutionality of restrictions on a probationer’s or parolee’s free exercise of
religion. Thus a probation or parole condition that purports to require that a convicted person attend
Sunday school or church services has invariably been held to be improper.36
One area of recent litigation and of particular concern for probation and parole officers regards the
propriety of ordering an offender to participate in a religious based treatment program as a condition
of supervised release. In Warner v. Orange County Department of Probation,37 the Orange County,
New York Probation Department recommended to the court that a defendant, convicted for the third
time for driving while intoxicated, attend Alcoholics Anonymous meetings. The trial court followed the
recommendation of the probation department and ordered the defendant to attend said AA meet-
ings as a condition of probation. The defendant subsequently filed a federal lawsuit, arguing that the
probation department violated his First Amendment rights by recommending that he attend the AA
meetings. The defendant contended that AA meetings had a pronounced religious component and
that he, being an atheist, should not have been required to participate in a religious based program.
The Second Court of Appeals agreed with the defendant’s contention. The court stated that a person
who had no objection to a religious based program could be required, as a condition of probation, to
participate in a program such as Alcoholics Anonymous. However, if a person objected to participat-
ing in a religious based program because of his religious beliefs, or lack thereof, then the probation
department must afford him the opportunity to participate in a secular alcohol treatment program.
This opinion seems to hinge on the fact that the probation department, in making its recommen-
dation to the trial court, did not first ask the defendant whether he had any religious objections to
participating in a religious based program. If the department had and the defendant had acquiesced,
then it does not appear that the defendant could later say the department’s recommendation violated
his First Amendment rights.38
In a more recent opinion, another federal court of appeals held that a parole officer could be sued for
requiring a parolee, despite his religious objects, to attend a substance abuse treatment program that
had participating in AA/NA as one of its components. In Inouye v. Kemna39 the offender, a Buddhist
who had a methamphetamine addiction, had been sentenced to prison in Hawai’i and subsequently
paroled. As one of his conditions of parole, the parole authority authorized his parole officer to order
him into a drug treatment program. Through his attorney, the parolee had informed the Hawai’i Parole
Authority of his opposition to being placed in a religious-based narcotics treatment program as a
condition of his parole.
Initially, the parole officer did not require the parolee to attend a drug treatment program. However
the parolee was subsequently arrested for trespassing and tested positive for drug use. The parole
officer then ordered him to attend the Salvation Army’s Addiction Treatment Services, which entailed
requiring him to participate in AA/NA meetings. The parolee eventually refused to participate in the
program and was terminated from it. This in turn led to the parole officer issuing a warrant for his
arrest and formed the basis of the reason for the revocation of his parole.
The parolee filed a civil suit under 42 U. S. C. § 1983, contending that his placement in the AA/NA
program and his termination from parole for refusing to participate in the program violated his First
Amendment rights. There was no dispute by either party in this lawsuit that the AA/NA program was
not a religious based program since the basis of AA/NA was rooted in a regard for a “higher power”
and therefore it was uncontested that requiring a parolee to attend religion-based treatment pro-
grams violated the First Amendment. The court further noted that there was no evidence in this case
that the parolee had ever been told that he had a choice of programs. Nevertheless the parole officer
still argued that he was entitled to qualified immunity and that he could not be sued for his actions.
Although the Federal District Judge ruled in the parole officer’s favor, when this case was appealed,
the Ninth Circuit Court of Appeals noted that qualified immunity from civil suit is available to govern-
ment officials performing discretionary duties only “insofar as their conduct does not violated clearly
established statutory or constitutional rights of which a reasonable person would have known.”40 The
Ninth Circuit examined various court decisions in other federal courts of appeals and by state appel-
late courts regarding this matter. The court determined that there was almost total unanimity by the
122 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
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courts that had examined this issue that requiring a offender to attend AA/NA meetings regardless of
the person’s religious objections violated the First Amendment to the Constitution. As such the Ninth
Circuit Court of Appeals held that official immunity was not available to the parole officer in this case.
These decisions pose a vexing dilemma for probation and parole officers. It is evident that if a su-
pervision officer on his or her own requires a probationer or parolee, despite the religions concerns
expressed by that individual, to attend a religion-based treatment program, that supervision officer
can be found liable for violating the constitutional rights of the offender. However assuming that a trial
judge or parole board expressly requires, as a condition of release, that a probationer or parolee to
attend a religious-based treatment program, what is the liability for the officer in enforcing that condi-
tion? The trial judge or parole board can probably escape liability by claiming judicial or quasi-judicial
immunity.41
However, can the supervision officer enforcing that condition claim derivative judicial immunity?
While it is possible that a claim of derivative judicial immunity could be recognized in a civil action
alleging a deprivation of a constitutional right by the enforcement of an invalid or improper condition
of supervision, it cannot with any certain be stated that this would be the case.42 Instead it is recom-
mended that if a court or parole board imposes a condition of supervision requiring a probationer or
parolee to participate in a religious-based treatment program, that the officer inform the offender that
the particular program in which he or she has been order to participate has a religious component
to it. Then if the offender voices no objection to participating in the program, the officer can impose
a sanction for failure to attend and the offender cannot at that point argue that the officer cannot
impose a sanction for past violations because he or she now has a religious objection to attending
the program. However, if the offender is informed of the religious nature of the program and voices an
objection to participating, then the officer should offer the offender an alternative secular program. Fi-
nally if the offender voices an objection to attending a religious-based treatment program, the officer
should inform the court or parole board and request that the conditions be amended to require the
probationer or parolee to participate in a secular-based treatment program.”
D. Privacy
The right of privacy has been the basis of arguments challenging conditions that restrict relationships
with a family member,43 prohibit child-bearing,44 and limit sexual intercourse.45 A condition is not inval-
idated merely because it invades the fundamental right to privacy. However the state generally must
demonstrate a compelling, as opposed the rational interest, for infringing on probationer/parolee’s
right to privacy. The degree of demonstrating this compelling state interest varies from state to state.
For example, a condition that prohibits a probationer or parolee from residing with his or her spouse
or other family members would doubtless be unconstitutional if imposed for driving while intoxicated,
but might be justifiable if the crime were domestic abuse or an injury to a child.
Interestingly, several court decisions have approved conditions requiring a defendant to inform a
person of his criminal status if he intends to engage in intimate relations with that other person. In
State ex rel Kaminski v. Schwarz,46 the appellate court affirmed the decision of the trial court revoking
the defendant’s probation for refusing to comply with a condition requiring him to inform his probation
officer before beginning an intimate relationship with another person so that the probation officer
could ensure that the other person knew that the defendant was a convicted sex offender. Moreover
in State v. Autrey47 a defendant convicted of rape of a child was ordered, as a condition of community
custody to 1) not have sexual contact with anyone without his or her explicit consent and 2) not have
sexual contact with anyone without prior approval of his therapist and his community corrections
officer. The appellate court, in upholding the imposition of these two conditions, determined that they
were valid crime-related prohibitions because even choosing an adult sexual partner was reasonably
related to his crime due to the fact that “potential romantic partners may be responsible for the safety
of live-in or visiting minors.
E. Procreation
The litigation concerning abortion and contraception tells us that the Constitution protects — as
an aspect of a judicially understood constitutional right of privacy — the procreative function from
government regulation unless extremely well justified. However in the area of probation and parole
law, research has revealed no appellate case that has approved the restriction of child-bearing as a
condition of supervised release for a female offender. Moreover, research has found very few instanc-
es in which an appellate court has affirmed an order of a trial court restricting procreative activity as
a condition of supervised release for a male offender. Nevertheless, although court decisions across
the country have been consistent in generally disallowing this particular condition, the reasons for
doing so have varied from jurisdiction to jurisdiction.
In a California case that preceded the development of this right to its present status, a probation
condition prohibiting a woman from becoming pregnant without being married was struck down.48
It was central to the court’s reasoning that the probationer had been convicted of robbery, and that
there was no relationship between robbery and pregnancy. In a subsequent California case, People
v. Pointer,49 a California appellate court once again barred the imposition of a condition precluding
a female probationer from bearing children, even though the condition in that instance was directly
related to the offense for which she was placed on probation.
In Pointer, the defendant had developed strange but deeply rooted beliefs regarding the proper nutri-
tion for her children. The defendant believed in a very strict low calorie vegetarian diet and rejected
all forms of protein. She insisted that her children follow this dietary regiment. The children suffered
severe malnutrition and physical defects as a result of this diet. The defendant was convicted of child
abuse. Because of the defendant’s insistence in following this diet and the potential that another of
her children would suffer malnutrition, the trial court ordered her not to conceive during the term of
her probation.
The defendant appealed this condition of the trial court. The defendant argued that this condition was
an unconstitutional restriction of her fundamental rights to privacy and to procreate. The appellate
court acknowledged that this condition was reasonable, in that it related to the offense for which the
defendant was convicted, that is, child endangerment. Nevertheless, the court further noted that
whenever a condition of probation impinges upon the exercise of a fundamental right and is chal-
lenged on constitutional grounds, the court must also determine whether the condition is impermissi-
bly overbroad in addition to determining its reasonableness. In this instance, the court found that the
purpose for imposing this particular condition, to-wit: protecting the life and health of a future child,
could be achieved by alternative restrictions less subversive to the defendant’s fundamental right to
procreate. Thus the appellate court invalidated this condition of probation.
Since this decision was rendered, several other appellate courts have invalidated conditions of
probation restricting a defendant’s right to procreate. In Thomas v. State50 a Florida appellate court
struck a condition of probation ordering a probationer not to become pregnant during the term of
her probation unless she was married on the grounds that it bore no relationship to the offense for
which she was convicted and was not reasonably related to future criminality. In People v. Ferrell51 an
Illinois appellate court invalidated a condition prohibiting a probationer from engaging in any activity
with the reasonable potential of causing pregnancy on the grounds that a state statute forbad a court
from ordering a probationer to use a form of birth control as a condition of probation. In United States
v. Smith,52 United States Eighth Circuit Court of Appeals struck a condition that prohibited a proba-
tioner from conceiving another child other than to his wife. Finally, in Trammell v. State,53 the appellate
court held that the trial court could not impose a condition that the defendant not become pregnant.
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Only a couple of appellate courts, however, have affirmed a trial court’s decision to order a proba-
tioner not to conceive a child as a condition of probation and in each of these cases the defendant
had been male. In State v. Kline,54 the defendant, who had a history of abusing his children, was
convicted of first degree criminal mistreatment of a child. The trial court ordered that he not father
any children before he completed a drug counseling and anger management treatment program.
On appeal the Oregon appellate court affirmed the imposition of this condition. It was clear that this
condition was reasonably related to the offense for which he was convicted. Moreover, because the
condition did not a permanently ban him from ever having children again but made conceiving anoth-
er child contingent upon completing certain treatment programs, the court found that this condition
did not impermissibly infringe on his fundamental right to procreate.
One other appellate court has upheld a condition restricting the right of a father to procreate. In State
v. Oakley,55 the defendant was convicted of criminal nonsupport and placed on probation for five
years. The trial court noted that the defendant had had nine children, none of which he had sup-
ported, that his refusal to pay child support was long running and intentional and that he had had a
history of criminal incidents. Therefore as a condition of probation the trial judge ordered “while on
probation, the defendant cannot have any more children unless he demonstrates that he had the
ability to support them and that he is supporting the children he already had.”
The defendant appealed the imposition of this condition. Nevertheless the Wisconsin Supreme Court
concluded that in light of the defendant’s ongoing victimization of his nine children and the extraor-
dinary troubling record manifesting his disregard for the law, this anomalous condition imposed on
a convicted felon facing the far more restrictive and punitive sanction of prison was not overly broad
and was reasonably related to the defendant’s rehabilitation. Moreover the court stated that because
the defendant could satisfy this condition by not intentionally refusing to support his current nine
children and any future children as required by law, this condition was narrowly tailored to serve the
State’s compelling interests of having parents support their children and on rehabilitating the de-
fendant through probation rather than prison. Nevertheless in its re-hearing of this matter the court
stressed that this holding was based on extraordinary circumstances and was reasonably related to
the offense for which the defendant was convicted.
The United States Supreme Court has yet to rule on the propriety of restricting one’s right to procre-
ate as a condition of probation or parole. Thus it has yet to be finally resolved whether this right can
be infringed under certain circumstances. Nevertheless although various courts have invalidated this
condition for various reasons, including the impracticality of enforcing such a condition, underlining
each court’s decision is the assumption that the right to procreate is a fundamental constitutional
right and that the court will apply a strict scrutiny test for determining whether the state has demon-
strated a compelling interest for validating this condition.
Also, orders to deport a non-U. S. citizen as a condition of probation or parole have invariably been
held to be invalid, principally on the grounds that said action by the court impermissibly infringes
on the authority of the United States Immigration and Custom Enforcement (formerly the United
States Immigration and Naturalization Service) to make that determination.59 One example of a court
decision disallowing a deportation condition is State of Utah v. Arviso.60 In this case, a Utah appellate
court held that the trial judge’s order that a defendant not return to the United States after he had
been deported contravened the Supremacy Clause of the United States Constitution since it was
exclusively within the authority of the United States Congress as delegated to the [then] Immigration
and Naturalization Service to determine whether a person could or could not enter into the United
States.
However, requests to travel at the instigation of a parolee may well be denied without violating a
constitutional right of the offender. In Berrigan v. Sigler,61 war protestors challenged the federal parole
board’s denial of permission to make a trip to North Vietnam. This prohibition was upheld because it
was consistent with the foreign policy interests of the United States and because it was necessary
in order for the board to fulfill its duty to supervise those for whom it was responsible. Nevertheless if
the action of the parole board to deny the offender a travel permit had solely been predicated on the
content the offender’s speech, then the court would have more closely scrutinized the action of the
parole board.
The limitation on travel within a city or region may survive where firmly linked to rehabilitative goals,
if it bears a reasonable relationship to the offense for which the defendant was convicted or relates
to the future criminality of the probationer or parolee.62 Thus in United States v. Sicher63 an appellate
court upheld the order of a federal district court that as a condition of supervised release, the offend-
er could not enter Lehigh and Northampton counties, in Pennsylvania, without permission from her
probation officer. The appellate court found that there was ample evidence that if the defendant were
to return to the location and associates that shaped her youth, she would be extremely likely to return
to a life of crime. Since this territorial limitation was clearly intended to promote her rehabilitation by
keeping her away from the influences that would most likely cause her to engage in further criminal
activity, the court held that the imposition of this condition was proper.
In this case, the court noted that the effect of this condition was to preclude the defendant from
engaging in certain activities in Minneapolis, such as attending church services, that the defendant
had been accustomed to doing. In addition, the court noted that this condition was much broader
than it needed to be to achieve the purpose of preventing the defendant from visiting the apartment
complex. Given the condition’s potential infringement on the defendant’s fundamental rights and the
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paucity of justification for that infringement, the court concluded that an insufficient nexus existed
between the exclusion from Minneapolis and the defendant’s rehabilitation or the preservation of
public safety.
G. Self-Incrimination
Conviction does not void or lessen a person’s constitutional right not to testify against him or her-
self. Thus, a condition of supervision that required a probationer or parolee to waive his or her Fifth
Amendment right against self-incrimination would be invalid.67 Under some circumstances appellate
courts have upheld a condition that required a probationer or parolee to report certain informa-
tion to the government. Whether such self-reporting constitutes an infringement of the individual’s
constitutional right against self-incrimination depends on three factors: 1) whether the information is
compelled, 2) whether the information is incriminating and 3) whether the individual invokes the right
against self-incrimination.
Two courts of appeals, examining probation conditions regarding self-disclosure on tax returns, clar-
ified under what circumstances a probationer could be required to furnish incriminating information
about him or herself. In United States v. Conforte, a probationer was ordered to file tax returns with-
out claiming her Fifth Amendment privilege.68 The district court had reasoned that since the defen-
dant had now been convicted of tax evasion and the only incriminating evidence found in a tax return
would relate to tax matters, filing a completed and accurate tax form would not entail the defendant
furnishing incriminating evidence to the government. The appellate court, in rejecting the reasoning
of the district court and striking down this condition, observed that a tax return potentially contained
evidence that would incriminate a defendant not just for tax matters but also for other criminal offens-
es, such as illegal gambling, prostitution, and so forth.
In United States v. McDonough, a probationer was ordered to file amended tax returns.69 However,
the court did not specify that the defendant furnish complete and accurate information on the return,
nor that he waive his Fifth Amendment right against self-incrimination. In this case, the appellate
court upheld the imposition of the condition. The appellate court noted that this condition did not
compel the defendant to report incriminating evidence to the government, nor to waive his right
against self-incrimination. Instead the probationer could still invoke his Fifth Amendment right and
refuse to answer certain questions on the tax return that he might consider incriminatory. As such the
mere filing of a tax return could not be considered compelled testimony.
In Minnesota v. Murphy,70 the Supreme Court recognized that although a person on probation could
not be compelled to waive his or her Fifth Amendment right against self-incrimination, the State, that
is, a probation officer, could ask an incriminating question to a probationer and the probationer, if he
or she voluntarily answered the question, would waive any complaint that his or her Fifth Amendment
right against self-incrimination was violated. In Murphy the defendant had been granted probation for
the offense of false imprisonment. Prior to the commission of this offense, the defendant had been
suspected of raping and murdering a teenage girl. One of the conditions that the trial court imposed
in his probation case was that the defendant attend sex offender counseling. While in counseling,
the probationer admitted to his therapist that he had, indeed, murdered the girl. The therapist then
contacted his probation officer regarding this admission and the officer requested that the defendant
report to her office. While visiting with his probation officer the defendant admitted that the statement
he had made in therapy was true. This statement was used to convict him of the murder of the teen-
age girl.
The defendant argued before the United States Supreme Court that he should have been Miran-
dized prior to being interviewed by his probation officer about the statement he made to his therapist.
Moreover, the defendant argued that his incriminating statement should not have been introduced in
his murder trial because the questioning by his probation officer was violative of his Fifth Amendment
right against self-incrimination. The Supreme Court noted that at the time the defendant was in his
probation officer’s office, he was not under any form of custody. This was so even though if the pro-
bationer had failed to report to the office, his probation could have been revoked. Since he was not in
custody, the Court therefore held that he need not have been administered a Miranda warning.
The Supreme Court next turned to the issue concerning whether the introduction of his incriminating
statement at his murder trial violated his Fifth Amendment rights. The Court noted that, in most cir-
cumstances, a state agent is free to ask a question that may elicit an incriminating response. More-
over, the Court stated that ordinarily, the right against self-incrimination is not self-executing. In other
words, a person must expressly invoke this right or it is waived. Thus the Court concluded that when
the probationer in Murphy openly admitted his guilt without asserting his Fifth Amendment right, he
waived any compliant that any response to the question would violate his right against self-incrimina-
tion. Hence the Court held that this statement could be introduced in his trial for murder.
The issue that the Court never reached in Murphy concerned the legal implications if a probationer
explicitly refused to answer a question propounded by his probation officer on the grounds that it
might incriminate him. The Court touched upon this matter in a footnote in Murphy by stating:
[A] state may validly insist on answers to even incriminating questions and hence sensibly admin-
ister its probation system, as long as it recognizes that the required answers may not be used in a
criminal proceeding and thus eliminates the threat of incrimination. Under such circumstances, a
probationer’s right to immunity as a result of his compelled testimony would not be at stake, “and
nothing in the Federal Constitution would prevent a state from revoking probation for a refusal to
answer that violated an express condition of probation or from using the probationer’s silence as
one of a number of factors to be considered by a finder of fact in determining whether other condi-
tions of probation have been violated . . . .”71
A defendant does not lose this [fifth amendment] protection by reason of his conviction of a crime;
notwithstanding that a defendant is imprisoned or on probation at the time he makes incriminating
statements, if those statements are compelled they are inadmissible in a subsequent trial for a
crime other than for which he has been convicted.”72
Nevertheless, the Court in Minnesota v. Murphy did not completely resolve this final issue and the
above cited footnote has more often perplexed other appellate courts when confronted with this
issue than it has aided them.73 Thus courts have struggled with the issue whether if a probationer
(or parolee) invokes his or her Fifth Amendment right, a statement can still be compelled and
introduced in a revocation proceeding but not another criminal prosecution? Must a probationer (or
parolee) be granted immunity from prosecution in another case in order to be compelled to answer
any incriminating question to his or her probation (or parole) officer? Can the refusal to answer an
incriminating question that may link the probationer to another crime still be grounds to revoke his or
her probation?
Despite these unresolved questions, Minnesota v. Murphy does establish several legal principles.
One, a probationer or parolee is not entitled to a Miranda warning prior to being interviewed by his or
her supervision officer concerning the conditions of his or her release. Moreover, a probationer or pa-
rolee cannot be compelled to incriminate him or herself in another criminal action; nor can he or she
be required to waive his or her Fifth Amendment right against self-incrimination. Finally, if a proba-
tioner or parolee voluntarily responds to a question from his or her supervision officer, that statement
can be used for any purpose.
Since the decision in Murphy, several courts have examined the unresolved question concerning
whether a refusal to answer an incriminating question that would link the probationer to another
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Chapter 7
crime could be grounds to revoke his or her probation or parole. This dilemma in which the defendant
is compelled to answer a question which, if he or she complies with the demand, may lead to a pros-
ecution for a new criminal offense and the refusal to do so may lead to a revocation of the person’s
probation or parole is referred to as a “classic penalty situation” or “penalty case.” Two recent court
decisions that have examined whether the imposition of a certain condition may create an unaccept-
able penalty situation are Chapman v. State74 and United States v. Antelope.75
In Chapman v. State, the defendant had been granted probation for a term of ten years after having
been charged with two offenses of indecency with a child. As a condition of the defendant’s proba-
tion, he was required to attend a Sex Offender Treatment Program (SOTP), to “participate in and
comply with all treatments, guidelines, and direction given by the sex offender therapist,” and also to
attend a group therapy program for offenders administered by Child Protective Services (CPS).
During therapy the defendant told his group therapist and therapy group that he had sexually mo-
lested two other young girls prior to the two offenses for which he was placed on community su-
pervision. The therapist relayed this admission to the defendant’s supervision officer and at his next
regular report when asked about this admission by his officer he confirmed that he had made this
admission. The probationer even gave the girls’ names and contact information to his supervision
officer. The officer conveyed all this information to the police and they were able to contact the victims
and get verification that the defendant had sexually abused these other girls.
Based on the subsequent investigation the defendant was charged with two other acts of indecen-
cy with a child. The defendant sought through a motion to have his statements suppressed at the
second trial on the grounds that he had not been given his Miranda warnings prior to making his
admissions in group therapy. The trial court denied his motion and the defendant thus entered a plea
of guilty to the two new charges. This time the trial court sentenced him to twenty years in prison.
The defendant appealed his conviction, arguing that under the terms of the conditions of community
supervision imposed by the trial court he was forced to choose between waiving his right against
self-incrimination and admitting to other criminal offenses or suffering revocation because he had re-
fused to cooperate with the sex offender treatment program. The Texas Court of Criminal Appeals, in
reviewing this matter stated that the critical question was whether the defendant affirmatively invoked
his right against self-incrimination, and if not, whether the facts in this case fell within “the classic
penalty situation” exception, that is, where a person is threatened with punishment for relying upon
his Fifth Amendment privilege, which would relieve him of the responsibility to affirmatively assert his
Fifth Amendment privilege.
The Texas Court of Criminal Appeals noted that all parties agreed that the defendant had not affirma-
tively invoked his right against self-incrimination when he made the criminal admissions. The Court
then proceeded to conduct a thorough analysis regarding whether undue forced had been applied
to the probationer to make incriminating statements against his will. The Court initially determined
that state authorities did not expressly or implicitly convey that the defendant’s probation would be
revoked if he chose to invoke his Fifth Amendment privilege. Moreover the Court stated that there
was no evidence that the therapist had indicated that he would automatically drop the defendant from
the treatment program (and thus, jeopardize his conditional liberty) if he refused to answer a direct
question about uncharged criminal conduct.
However, more importantly, the Court observed that the therapist never asked the defendant directly
about his sexual history. Instead, the Court noted that the defendant testified that he approached the
therapist with this information. Moreover, the Court stated that the record showed that the defendant
testified that he was motivated to reveal this incriminating information in the hopes that the young
victims could be identified and helped to overcome the trauma they had suffered by his acts. Since
there was ample evidence in the record to support the trial court’s implicit finding that the defendant
was compelled to speak by his own conscience, and not by any explicit or implicit external threat of
punishment, the Texas Court of Criminal Appeals held that since the defendant did not affirmatively
invoke his Fifth Amendment right against self-incrimination, the trial court did not err in denying his
motion to suppress his voluntary statements to his therapist, his probation officer, and the police.
Nevertheless another appellate decision in the federal court system found that the enforcement of
a treatment condition could result in a defendant being compelled to incriminate himself. In United
States v. Antelope, the defendant pleaded guilty to possession of child pornography and was sen-
tenced to five years probation. One of the conditions that the district court imposed on the defendant
was a requirement that he participate in a Sexual Abuse Behavior Evaluation and Recovery (SABER)
program.
One of the requirements for successfully completing the SABER program was for the probationer to
detail his sexual history. The probationer refused to comply with this requirement, contending that to
do so without any assurance of immunity created the risk that he would reveal past crimes and his
admissions could then be used to prosecute him. The district court did not agree with his contention
and on two occasions revoked his probation for failure to give a detailed sexual history as part of his
treatment. Finally the Ninth Circuit Court of Appeals examined his contention that the government
violated his Fifth Amendment right when it conditioned his probation and supervised release on the
submission of a sexual autobiography.
The appellate court stated that to establish a Fifth Amendment claim, the defendant must prove
two things: 1) that the testimony desired by the government carried the risk of incrimination and 2)
that the penalty he suffered amounted to compulsion.76 Moreover the Court observed that the Fifth
Amendment privilege was only properly invoked in the face of “a real and appreciable danger of
self-incrimination.” It could only be invoked when the threat of future criminal prosecution was rea-
sonably particular and apparent and if the threat were remote, unlikely, or speculative, the privilege
did not apply.77 In this case the Court concluded that the probationer’s risk of incrimination was “real
and appreciable” and that his successful participation in the SABER program would trigger a real
danger of self-incrimination.
The appellate court next examined the second prong of the self-incrimination inquiry, to-wit: wheth-
er the government had sought to “impose substantial penalties because he elected to exercise his
Fifth Amendment right not to give incriminating testimony against himself.” The Court, noting that
the defendant’s probation had already been revoked twice for refusing to detail his sexual history as
part of his treatment, held that his privilege against self-incrimination was violated because he was
sentenced to a longer prison term for refusing to comply with SABER’s disclosure requirements.78
Several appellate courts have addressed the another outstanding issue left undecided in Minnesota
v. Murphy, to-wit: whether, if a probationer (or parolee) invokes his or her Fifth Amendment right, a
statement can still be compelled and introduced in a revocation proceeding but not another criminal
prosecution? It appears that most courts that have examined this issue have concluded that, unless
the question posed to the probationer concerning a violation of a condition of release would elicit an
admission to a new criminal offense, the probationer cannot invoke his Fifth Amendment privilege
and refuse to answer a question concerning whether he or she violated a condition of probation or
parole.
Thus in United States v. Locke,79 a defendant convicted of possession of child pornography was re-
quired as conditions of probation to “answer truthfully all inquiries by the probation officer and follow
the instructions of the probationer officer” and to “participate in a sex offender treatment program
which may include the application of physiological testing instruments to determine appropriate treat-
ment.” Prior to undergoing a polygraph examination, the defendant had admitted that he had used his
130 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
Chapter 7
wife’s computer to access the Internet to view erotic stories in violation of one of the conditions pro-
hibiting him from “viewing, possessing, or obtaining pornography in any form.”* This admission in turn
lead to the probation officer obtaining the district court’s approval to conduct a forensic search of the
defendant’s wife’s computer, the analysis of which revealed downloaded erotic stories and images of
adult pornography. Based on these facts the defendant’s probation was revoked and he was sent to
prison.
The defendant argued that the probation condition requiring his participation in a treatment pro-
gram that included polygraph testing violated his Fifth Amendment right against self-incrimination.
The Court concluded that the probationer’s Fifth Amendment right had not been infringed, since the
questions posed to him as part of the polygraph examination attempted to ascertain whether he had
violated conditions of his probation and the probationer’s answers could not serve as a basis for a fu-
ture criminal prosecution. The Fifth Circuit Court of Appeals held that a probationer could only invoke
his Fifth Amendment privilege if a truthful answer would incriminate the probationer by exposing him
to prosecution for a different crime.
Other courts have reached the same conclusion as the Fifth Circuit Court of Appeals in Locke. In
State v. Uhlig,80 a Kansas appellate court held that a probationer may be required to answer ques-
tions concerning matters relevant to probation that pose no realistic threat of incrimination in a sepa-
rate criminal proceeding. In Perry v. State,81 a Florida appellate court held that the State could call a
probationer in a revocation proceeding as a witness and the probationer could not refuse to answer
a question just because the answer would disclose a probation violation that did not elicit information
regarding conduct or circumstances that constituted a separate criminal offense. Finally, in Packer v.
State,82 an Indiana appellate court held that while the Fifth Amendment protects a probationer from
answering questions that may incriminate her in a subsequent criminal prosecution, she may not
invoke the Fifth Amendment in a revocation proceeding to avoid answering question regarding “basic
identifying information and any disclosures which are necessary to effectively monitor her probation.”
A more controversial condition of probation or parole is one that requires an offender to personally
proclaim his or her guilt to the public. Appellate courts in the country are sharply divided regarding
the validity of such a condition. Several jurisdictions have approved the imposition of scarlet letter
conditions. In Goldschmitt v. State,83 a trial court ordered a probationer, convicted of drunk driving, to
place a bumper sticker on his car reading “Convicted D.U.I. - Restricted Licensee,” as a condition of
*For a more in depth discussion of legal issues involving the administration of polygraph examinations as a
condition of supervision, see § II.H.2. of this Chapter.
probation. The appellate court upheld the imposition of this condition, stating that it served a suffi-
cient rehabilitative purpose and that it did not constitute cruel and unusual punishment. In Ballenger
v. State,84 a Georgia appellate court upheld the imposition of a condition requiring a probationer to
wear a fluorescent pink plastic bracelet imprinted with the words “D.U.I. CONVICT.”
Nevertheless a number of jurisdictions have disallowed the imposition of scarlet letter conditions. In
People v. Heckler,85 the trial court imposed a condition on a probationer, convicted of shoplifting, that
he wear a T-shirt bearing a bold, printed statement of his status as a felony theft probationer when-
ever he was outside his actual living quarters. The appellate court, relying on state constitutional
grounds, found that this condition impinged upon his inalienable right to privacy. The Court further
noted that this condition, which required him to wear this T-shirt whenever he was outside his home,
would undermine certain other aims of his probation, such as procuring gainful employment and
staying employed.
In another case, People v. Meyer,86 a trial court ordered a defendant to erect at his home a four
foot by eight foot sign with eight inch high lettering that read “Warning! A Violent Felon Lives Here.
Enter at Your Own Risk!” The Illinois Supreme Court found that the purpose of this sign was to inflict
humiliation on the probationer. The Court further noted that the statutory provisions for probation
in the State of Illinois did not include humiliation as a punishment. Thus, the Court disallowed this
condition. Finally, in People v. Letterlough,87 the New York Court of Appeals rejected the imposition
of a condition that the defendant affix to the license plate of any vehicle he drove a fluorescent sign
stating “convicted dwi” on the grounds that this condition was not reasonably related to the defen-
dant’s rehabilitation and only the Legislature had the authority to create a new form of punishment,
to-wit: humiliation.
These cases indicate a split in the jurisdictions of the country. Those courts that have disallowed the
imposition of scarlet letter or shame conditions have usually done so on the grounds that the trial
court exceeded its statutory authority in doing so; thus leaving open the question whether a state
legislature could amend its probationary statutes and authorize a trial court to impose a scarlet letter
condition. However one Court in the State of California has disallowed the imposition of a scarlet let-
ter condition on constitutional grounds and in that instance the Court found the condition to be invalid
on state constitutional grounds and not on federal constitutional grounds.
Those jurisdictions that have upheld this condition have done so on the grounds that this condition
furthers the rehabilitation aims of probation by deterring the offender from committing future crimes
of the same nature as the one for which he or she was convicted. These courts have also held that
shame or scarlet letter conditions do not violate the Eighth Amendment’s proscription against cruel
and unusual punishment. Nevertheless the United States Supreme Court has yet to rule on this mat-
ter so the issue concerning whether a scarlet letter condition violates the Eighth Amendment to the
United States Constitution has yet to be conclusively resolved.
2. Polygraphs
Over the last decade the imposition of certain conditions of release requiring a probationer or pa-
rolee to submit to a polygraph examination has become quite widespread in both federal and state
courts. This condition is especially utilized for sex offenders. Courts have generally considered the
use of polygraphs for three purposes: 1) as an aid to treatment or counseling; 2) as a means to en-
force other conditions of supervision imposed by the court or parole board; and 3) as an investigative
tool to detect the commission of further crimes. Even though courts in a number of jurisdictions have
approved the use of polygraphs as a condition of release, courts have not necessarily approved the
use for all of the above stated purposes. Some courts have limited the use of polygraphs only as an
aid to further the rehabilitative treatment of an offender while other courts have condoned the use of
polygraphs for much more expansive purposes.
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Chapter 7
One state court case that has approved its use for all of the above stated purposes is Ex parte Ren-
fro.88 In this case the defendant was on probation for the offense of indecency with a child. Midway
through the term of his probation, the trial court modified his conditions by requiring him to submit to
a polygraph examination every six months. The defendant appealed the imposition of this condition,
arguing that the only purpose that the court could impose this condition was to further his treatment
as a sex offender and that he had already completed his court ordered counseling.
The appellate court considered the various purposes for which a trial court could impose this con-
dition. The Court noted that the polygraph condition helped to monitor compliance with certain other
conditions imposed by the trial court, to-wit: restricting the defendant’s contact with young children.
The Court also noted that because this condition was aimed at deterring and discovering criminal
conduct most likely to occur during unsupervised contact with minors, the condition was reasonably
related to future criminality. Thus the appellate court approved the imposition of this condition for
reasons other than to further the treatment of the probationer and rejected his contention that this
modified condition was invalid.
Even though numerous jurisdictions now allow the imposition of a polygraph examination as a
condition of supervision, courts have been hesitant in allowing the use of its results in a revocation
proceeding. In Carswell v. State,89 the appellate court stated that although a defendant could be
required to submit to a polygraph examination as a condition of probation, he could not be forced
to agree to stipulate that the results be admissible in a subsequent court proceeding. Moreover in
Wright v. State,90 a Texas appellate court held that while admissions made to a polygrapher’s pretest
interview were admissible, evidence that these admissions were obtained in the course of polygraph
examination were inadmissible. Thus, while certain admissions against penal interests such as oral
confessions that the defendant had committed a new crime made during a pretest interview, during
the polygraph examination itself, or during an interview after the examination may be admissible in a
further court proceeding, it cannot be explained that these admissions were obtained pursuant to a
polygraph examination.
A probationer or parolee who has been ordered to submit to a polygraph examination is not entitled
to be administered a Miranda warning prior to being questioned. In Arizona v. Levens,91 the defen-
dant had been convicted of two counts of sexual conduct with a minor and placed on probation for
ten years. As a condition of probation the Court required the defendant to “submit to any program of
psychological or physiological assessment . . . including but not limited to . . . the polygraph, to assist
in treatment, planning and case monitoring.”
During the pre-test interview of the polygraph examination, the defendant admitted having firearms
in his home. The polygrapher told the probationer’s supervision officer about this statement and
the officer subsequently conducted a search of the defendant’s home and found four firearms and
ammunition. The officer then proceeded to initiate a motion to revoke probation. The defendant filed a
motion to suppress, arguing that the statements he made as part of the pre-test examination should
not have been used to form the basis of the search of his home because he had not received his
Miranda warnings prior to being questioned by the polygrapher.
The appellate court that considered this issue noted that requiring a probationer to provide cer-
tain information and to answer certain questions as part of a polygraph examination did not differ
from a probationer reporting to his or her supervision officer and providing this same information or
responding to questions elicited by his or her officer. Moreover the Court noted that there was no
requirement to administer Miranda warnings prior to being questioned by the person’s supervision
officer about compliance with the conditions of probation. Finally the Court noted that the probationer
did not argue that the interview took place while he was in police custody. Accordingly the Court
held that the failure to administer the probationer’s Miranda warnings was not determinative to the
admissibility of the statements he gave to the polygrapher and that formed the basis of the search of
his home.
Courts have also held that the requirement that a probationer or parolee submit to a polygraph exam-
ination as a condition of release does not constitute a requirement that the individual waive his or her
Fifth Amendment rights against self-incrimination. In United States v. Lee92 the defendant pleaded
guilty to knowingly transporting child pornography by a computer and possessing child pornography.
The defendant was sentenced to 57 months incarceration followed by supervised release for three
years. Among the conditions of release imposed by the district court was that the defendant “submit
to random polygraph examination, examination to be administered by a certified examiner at the
direction and discretion of the United States Probation Officer.”
The defendant appealed the imposition of this condition, arguing that the condition violated his Fifth
Amendment right due to the potential for self-incrimination. The appellate court observed that the
Fifth Amendment is not infringed upon when a person on supervised release is asked during a poly-
graph examination about his compliance with a release condition, and the violation of that condition
could not serve as the basis for a future criminal prosecution. Moreover, the appellate court noted
that this condition did not require him to answer incriminating questions. Instead the Court stated that
if a question were asked during a polygraph examination that called for an answer that would incrim-
inate the defendant in a future criminal proceeding, the defendant still retained the right to invoke his
Fifth Amendment privilege and remain silent. As such the Third Circuit Court of Appeals upheld that
district court’s imposition of this particular condition.93
However, in the case of a volunteer work assignment, who would be liable? Volunteers may not be
covered by community agency liability or medical insurance. Worker’s compensation protection may
not apply to volunteers. Ohio94 requires offenders to pay a fee for liability insurance. Minnesota statu-
torily covers probationers under a state compensation plan for injured workers.95 Texas, on the other
hand, specifically excludes probationers performing community service from workers compensation
coverage.96
While there is as yet no precedent for guidance, it is likely that a community service volunteer could
do grievous harm to a party who could then find no defendant capable of redressing the injury. Would
a probation or parole officer be liable for arranging a placement without also arranging for insur-
ance protection? Would failure to insure or to make placements in an agency insuring volunteers be
considered ministerial and, thereby, unprotected by traditional legal principles of immunity? To avoid
potential liability, probation agencies might purchase insurance to cover volunteer work by offenders.
Where the court requires work as a condition, judges are usually protected from liability by an ab-
solute immunity. Parole boards enjoy a qualified immunity. Probation and parole officers share those
immunities insofar as they are exercising professional discretion. Nevertheless individual liability may
be incurred for incidents arising in the supervision of community service or if the probation or parole
officer exercises his or her discretion in the selection of a community service program or work site.
Generally whether an officer would be liable or not would largely be determined by state law. Under
most state laws officers in performing their discretionary acts would have either absolute or qualified
immunity or the discretionary act would have to be performed with conscious indifference or have
134 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
Chapter 7
constituted gross negligence.97 It would be less likely for an officer to be found liable for an act of
simple negligence.
4. Waiver of Extradition
Even though a jurisdiction may be permitted to allow a probationer or parolee to move to anoth-
er state, the defendant may have to relinquish another constitutional right – that of contesting an
extradition proceeding. In Goode v. Nobles98 the defendant was placed on probation in the state of
Colorado but granted permission to live in the state of Georgia. Nevertheless, as a condition of being
allowed to move out of the state, the defendant was required to waive extradition if the state of Colo-
rado ever wanted the defendant to return. The defendant agreed to the waiver, moved to Georgia and
then violated the conditions of probation.
The state of Colorado issued a warrant for his arrest. The defendant argued in Georgia that his
waiver of extradition was invalid because he did not voluntarily sign it. The Georgia Supreme Court
approved the state of Colorado’s action requiring the defendant to sign a waiver of extradition. Since
the state of Colorado did not have to allow him to move to Georgia but did so as an act of grace, the
Court concluded that the defendant could be required to waive extradition if he were ever summoned
back to the state of Colorado.
In another court decision, a court in New York found that a requirement that a parolee waive extra-
dition as a condition of release did not contravene the provisions of the Uniform Criminal Extradition
Act (UCEA), which governed extradition proceedings between the various states. In People v. Gor-
don,99 the offender, who had been an inmate in a New York State Correctional facility, was required to
sign a Certificate of Release to Parole Supervision which included a condition that expressly waived
his right to resist extradition. After the offender had been paroled, he was suspected of several ho-
micides in New York. A year after the occurrence of these crimes, he was arrested by the Memphis,
Tennessee police authorities and based on the waiver of extradition, returned to the State of New
York.
Both the states of Tennessee and New York had adopted the UCEA. The parolee argued in a court
in New York that the required waiver of extradition as a condition of parole violated the terms of the
UCEA. The Court that reviewed this matter determined that the statutory procedures of the UCEA
were not exclusive and waivers of extradition need not conform strictly to the procedures set forth in
the UCEA.100 The Court further noted that prior to his release the parolee signed the waiver of ex-
tradition after each and every aspect of it had been explained to him by his parole officer. The Court
stated that when the inmate chose to sign the waiver, the benefit derived was that his status would
become that of a parolee and not an inmate, for had he chosen not to sign the waiver, he would not
have been released. Since the choice was his to make, the Court determined that the waiver was
voluntarily and knowingly made and therefore valid.101
In State of Connecticut v. Misiorski,103 the defendant was placed on probation for the offense of
sexual assault in the fourth degree and public indecency. A conviction of sexual assault in the fourth
degree did not require registration as a sex offender under Connecticut law. Nevertheless the judge
authorized the adult probation department to notify the defendant’s neighbors and fellow bowling
league participants of the defendant’s conviction. The defendant contested the authority of the trial
judge to permit notification under these circumstances. Although the Connecticut Supreme Court
noted that Connecticut law did not require a fourth degree sex offender to register, the court read the
state’s Megan’s Law expansively. The court held that the purpose of Megan’s Law supported its view
that the sex offender notification statute did not limit the authority of the office of adult probation to
notify the community in cases such as this one.
While appellate courts can find greater justification in interpreting their applicable sex offender reg-
istration laws to include sex offenses that are not enumerated as registered offenses, it is more prob-
lematic when examining an order of a trial judge requiring a person convicted of a non-sex offense to
still register as a sex offender. Whether an appellate court would uphold such a condition depends,
in part, on whether there is statutory authority allowing a trial court or parole board to impose a
registration requirement on an offender who was not convicted of a sex offender or whether the trial
court or parole board is simply relying on its general authority to impose conditions of release when
requiring a probationer or parolee not convicted of a sex offense to register as a sex offender.
For example, the courts in the state of Washington have held that a special condition of supervision
cannot be imposed unless said condition is directly related to the criminal behavior at issue.104 In
Speth v. State, a Texas appellate court disallowed the imposition of certain sex offender conditions
on a defendant who had been placed on probation for aggravated assault and subsequently acquit-
ted of a sex charge in a different trial. The court reasoned that the imposition of sex offender condi-
tions for a person who had been acquitted of the charges would constitute punishment for a crime for
which the defendant had been exonerated.105
Other jurisdictions may allow a more liberal application of conditions that are not directly related to
the criminal offense for which the defendant was placed on probation. For example, appellate courts
in the state of Florida have held that general conditions may be imposed as long as they “are ratio-
nally related to the state’s need to supervise the defendant, regardless of whether they are reason-
ably related to the defendant’s offense or restrict conduct which is not itself criminal.”106 Nevertheless,
whether certain courts in the country would extend the reasoning of Florida courts regarding general
conditions to a very special condition, such as registering as a sex offender, is unsettled. Moreover,
as noted later in this chapter, even if an appellate court so permitted, there would still be due process
issues involving proper notice, an opportunity to present contravening evidence, proportionality be-
tween the culpable state of the offender and the severity of the imposed condition, and so forth.
*For a fuller discussion of determining an offender’s status in order to require the individual to register as a sex
offender, see § VII of this Chapter.
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Chapter 7
In order to better understanding this topic, this section will examine holdings by federal appellate
courts followed by an examination of holdings by various state appellate courts. One of the first
federal appellate courts to review the propriety of imposing a restriction on the use of computers and
access to the Internet was the Second Circuit Court of Appeals. In United States v. Peterson,107 the
defendant entered a plea of guilty to the federal offense of bank larceny and was sentenced to five
years on probation. The defendant had also had an unrelated New York state conviction for a sex
offense. One of the conditions of probation imposed by the district court was banning his ability to
possess or use personal computers or the Internet and only allowing him to use a commercial com-
puter if approved by his probation officer. The defendant appealed the imposition of this condition.
The Second Circuit Court of Appeals stated that the district court could not impose a ban on com-
puters or the Internet because the defendant had had a previous state conviction for a sex offense.
The Court noted that there was no indication that the defendant’s past crime of incest had had any
connection to computers or to the Internet. Moreover the Court noted that computers and Internet
access had become virtually indispensable in the modern world of communications and information
gathering. By way of analogy, the Court emphasized that a person convicted of fraudulent trans-
actions via a telephone could not have a condition imposed banning that individual from using the
telephone and a person convicted of possession of pornography could not have a condition imposed
banning him from access to all books, magazines, and newspapers. As such the Court conclud-
ed that this restriction was overbroad and therefore was not reasonably related to the defendant’s
offense or his history and characteristics.
Two years after rendering the decision in United States v. Peterson, the Ninth Circuit Court of Ap-
peals examined this same issue. In United States v. Rearden,108 the defendant was convicted of ship-
ping child pornography in interstate commerce. He was sentenced to 51 months in prison followed by
a term of supervised release. One of the conditions of release that the district court imposed on the
defendant was that the defendant be prohibited from possessing or using a computer with access
to any online service at any location without prior approval of the probation officer. The defendant
appealed this condition, arguing that it was unreasonable, impermissibly vague, and overbroad.
The Ninth Circuit Court of Appeals recognized the importance of the Internet for information and
communication, but nevertheless disagreed that the condition was plainly impermissible in the defen-
dant’s case. The Court reasoned that because the condition provided that the defendant could have
access to the Internet with the approval of his probation officer, this condition left open the possibility
of appropriate access. The Court further stated that because the defendant’s offense involved e-mail
transmissions of quite graphic child pornography and one of the important goals of supervised re-
lease was to deter the defendant from reverting to similar conduct, it found that this condition did not
plainly involve a greater deprivation of liberty than was reasonably necessary. Thus the Ninth Circuit
Court of Appeals upheld the condition prohibiting access to the Internet because it did not constitute
a complete ban.
In the same year that United States v. Rearden was decided, the Eighth Circuit Court of Appeals also
examined this issue in two holding. In United States v. Ristine,109 the defendant pleaded guilty to one
count of receiving child pornography. He was sentenced to 27 months in prison followed by three
years of supervised release. One of the conditions of release allowed the defendant’s probation offi-
cer to permit him to possess a computer, but the defendant had to consent to periodic unannounced
examinations and inspections of his computer as well as to the installation of hardware or software
that monitored his computer use. Moreover this condition stated that even if the defendant were per-
mitted to have a computer, he could still not have Internet service at his residence.
The Eighth Circuit Court of Appeals based its holding in Ristine on a decision it had rendered earlier
in the year. In United States v. Fields,110 the defendant had been convicted of selling child pornogra-
phy. As with Ristine, a nearly identical condition of release had been imposed restricting his access
to the Internet. In both Ristine and Fields, the Court noted that the defendants had used the Internet
more than merely to download or access child pornography. In Fields the defendant had exchanged
child pornography through the Internet and in Ristine the defendant had attempted to use the Inter-
net to arrange sexual relations with underage girls. Moreover, perhaps the saving factor in upholding
the condition in both Ristine and Fields was that the Court noted that the conditions in question did
not wholly bar the defendants from using a computer.111
Finally, in the same year that Rearden, Ristine and Fields were decided another federal court of
appeals decision explained its rationale for holding that a condition totally banning access to the
Internet was unreasonable. In United States v. Holm,112 the defendant, an information system technol-
ogist, was convicted of possession of child pornography. The defendant was sentenced to 59 months
in prison followed by a period of supervised release. One of the conditions of release imposed by the
district court was the following:
“You shall not possess or use a computer that is equipped with a modem, that allows access to
any part of the Internet, e-mail service, or other ‘online’ services. You shall not possess software
expressly used for connecting to online service, including e-mail, or installation disks for online
services or e-mail.”
The defendant challenged this condition of supervised release. The Seventh Circuit Court of Appeals
gave several reasons for holding that to the extent the condition was intended to be a total ban on
Internet use, it swept more broadly and imposed a greater deprivation on the defendant’s liberty than
was necessary. First, the Court noted that such a ban rendered modern life exceptionally difficult.
Second, since the defendant had been employed in the field of computers and was most likely to find
gainful employment in the computer field upon his release from prison, the Court determined that
the condition as currently written could affect his future productivity and jeopardize his rehabilitation.
Finally, the Court noted that with the advent of new technology providing filters for computers, various
forms of monitored Internet use could provide a middle ground between the need to ensure that the
defendant never again use the Internet for illegal purposes and the need to allow him to function in
the modern world.113
It appears that the federal appellate courts have taken the lead in examining the validity of conditions
restricting access to new forms of computer technology and research has indicated that there are
fewer state court decisions than federal appellate courts decisions that have addressed this issue.
Moreover the federal courts have more closely scrutinized a district court’s rationale for imposing
138 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
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restrictions on the use of computers and access to the Internet, e-mails, and chat rooms and have
tended to apply a more thorough analysis of the public policy implications or considered alternatives
to the complete banning of the use of computers and the Internet than state appellate courts have
done. Where federal and state court decisions seem to converge is in disallowing a complete ban on
the use of computers.114 Where certain federal courts and state courts differ is that several federal
circuit courts of appeals have been more sympathetic to an offender’s argument that a complete ban
on access to the Internet would provide an undue hardship.
Thus in Louisiana v. Cloward,115 an intermediate appellate court upheld the trial court’s ban on a
defendant, convicted of an offense of computer-aided solicitation for sexual purposes of a minor, from
having any access to the Internet. Moreover, while one appellate court in the state of Washington
disallowed a condition forbidding a defendant, convicted of second degree rape, from access to the
Internet without the prior approval of his community corrections officer because the Court determined
that the condition was not crime-related, a different appellate court in the state of Washington upheld
a condition for a defendant, convicted of second degree child molestation, from having “access to the
Internet unless approved by your sex offender therapist” because the defendant had been ordered
to participate in a sex offender treatment program and the appellate court deemed this condition as
necessary to monitor compliance with the order of the court.116
One reason that certain federal courts have generally disallowed bans on access to the Internet
is that statutorily, while district courts have broad discretion in tailoring conditions of supervised
release, the conditions imposed must not involve a greater deprivation of liberty than is reasonably
necessary.117 However federal courts have also considered the personal and economic costs to a de-
fendant that a total ban on access to the Internet would entail. With people relying more and more on
the Internet for news instead of reading newspapers or watching the nightly news on television, with
e-mails becoming a more common form of communication than telephones, and with government,
businesses and educational institutions encouraging transactions over the Internet, federal courts
are open to the assertion that a ban on access to the Internet would be too impractical in today’s
modern society. In addition, with new and improved technology that allows supervision officers to
search computers for improper use and to even to conduct “remote” monitoring of computer use,
federal courts have recognized that requiring a defendant to install a filter device on his/her computer
instead of a complete ban does not create an onerous burden on the part of a supervision officer to
monitor conditions prohibiting access to improper materials, visual images, or communications on
the Internet. It is likely that in the future more federal appellate courts will join their sister courts in
the federal system in disapproving a total ban on access to the Internet and state courts will begin
to follow the reasoning of federal courts in regards to allowing probationers and parolees access to
online communications.118
The degree to which an appellate court reviewing the imposition of a particular condition of probation
or parole would deem that condition too vague for enforcement purposes varies from jurisdiction to
jurisdiction. Nevertheless if a parole or probation officer is unable to make an objective and reason-
able interpretation of a condition, then that officer should petition the court or parole board imposing
that condition to clarify its meaning and possibly to modify the condition in order to remove any
vagueness or ambiguity about it. However, no matter how clearly an officer understands the tenor
of the condition, if the officer does not convey that understanding of the condition to the person the
officer is supervising and ascertain that the offender understands what is expected of him or her,
then it is doubtful that an appellate court would uphold any sanction imposed by the sentencing court
or parole board for a violation of that condition.*
One recent court decision that has explained how appellate courts determine whether or not a
particular condition will be struck for vagueness is United States v. Guagliardo.119 In this case the de-
fendant was convicted of possession of child pornography and sentenced to fifteen months in prison
followed by three years of supervised release. One of the conditions that the district court imposed
on the defendant was that he not possess “any pornography” including legal adult pornography. The
defendant appealed the imposition of this condition, arguing that it was too vague in order to inform
him what material this condition proscribed him from possessing.
The Ninth Circuit Court of Appeals noted that while a probationer does not have an unqualified First
Amendment right to “sexually stimulating or sexually oriented materials” the probationer does have
a separate due process right to conditions of supervised release that are sufficiently clear to inform
him of what conduct will result in his being returned to prison. The Court further stated that since
the term “pornography” is entirely subjective, a probationer cannot reasonably understand what is
encompassed by a blanket prohibition on “pornography.” Moreover the Court observed that rea-
sonable minds can differ greatly about what is encompassed by “pornography.” As such given this
inherent vagueness, the Court held that a defendant cannot determine how broadly his condition will
extend and thus the Court remanded this case for the district court to impose a condition with greater
specificity.
B. Reasonableness
In addition to the requirements that a condition be related to rehabilitation of the offender and that
it not unduly interfere with constitutional rights, the courts seem to insist that a challenged condi-
tion meet a general test of reasonableness before it can be enforced. Reasonable may vary from
jurisdiction to jurisdiction. For example some jurisdictions hold that if the condition does not directly
relate to the offense for which the offender was convicted, the condition cannot be imposed.120 Other
jurisdictions allow more leeway for the imposition of conditions, especially if those conditions directly
or indirectly contribute to the rehabilitation of the offender.121
The following conditions have fallen, apparently because there is such a test.
1. A probationer was ordered to abstain from alcohol for five years. Evidence that he was an alcohol-
ic led the court to deny probation revocation when the condition was violated.122
2. A former serviceman convicted of accepting kickbacks was placed on probation on condition that
he forfeit all personal assets and work without compensation for three years, or 6200 hours. The
condition was struck down as unduly harsh in its cumulative effect.123
3. A probationer was ordered to reimburse the government for the cost of court-appointed counsel
and a translator. The condition was held unconstitutional because it was not made excusable if
the probationer lacked the ability to pay.124
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4. A probationer was ordered as a condition of probation to maintain a clean house and to keep her
children clean. This condition was struck down because it did not relate to the defendant’s behav-
ior which gave rise to her conviction for larceny and drug crimes.125
C. Overbreadth
In order to be valid conditions of release, not only must the conditions be reasonably related to the
offense or goals of supervision and unambiguous, but the conditions must also not be overbroad.
In the federal system, as has been previously noted, overbroad conditions are those that impose a
greater deprivation on a defendant’s liberty than is necessary to achieve the goals of supervision.126
In state courts, the general standard has been that a condition needs to be narrowly tailored to serve
the state’s compelling interest in rehabilitating the defendant and protecting the public or else it will
be invalidated as being overbroad.127
A condition may be considered overbroad if, even though related to the offense, it is overly burden-
some on the defendant.128 Moreover a condition may be deemed overbroad if by its terms it is too
categorical in regards to activities for which conduct is prohibited and does not give the supervision
officer any leeway in allowing for reasonable accommodation in its enforcement.129 Finally a condition
may be deemed overbroad if the need for its enforcement or monitoring by a supervision officer is
more intrusive than is reasonably necessary.130
One case speaks to the issue of explanation of conditions, distinguishing that duty from that of
merely informing. In Panko v. McCauley,133 a condition was held to be unconstitutionally vague as ap-
plied to the petitioner. The condition forbade the petitioner from “frequenting” establishments selling
alcoholic beverages. The condition was struck down since there was no evidence that the petitioner
understood that the term “frequent” meant “visit.” This case implies that there may be a duty to ex-
plain conditions.
Even if there is a duty to explain conditions sufficiently to assist the offender in avoiding unintentional
violations, the scope of the duty is apt to be limited by a reasonableness concept. It is not likely, for
example, that the officer will be required to anticipate and warn against every possible type of vio-
lation. In a Ninth Circuit case in which revocation of probation was being appealed, the probationer
defended his actions in part by asserting that he had no specific notice that training foreign military
personnel would be charged as a violation of conditions. (It was admitted that no law was violated,
technically.) The court of appeals was satisfied that the comments of the judge condemning the
probationer’s former life as a mercenary, together with the probation officer’s warning to get rid of his
guns, and other comments were sufficient to notify the probationer of what behavior was expected of
him while on probation.134
V. MODIFICATIONS OF CONDITIONS
Modifications of the conditions of probation or parole usually occur whenever there is a change in
circumstances involving the person under supervision. The court or parole board may impose a mod-
ified condition of probation for rehabilitative purposes, that is, to address a previously unidentified
or new need of the probationer or parolee, or for punitive purposes, that is, to apply a sanction for a
violation of the initial conditions of probation or parole. Another reason the modifications may occur
is in order to resolve any ambiguity in a previously imposed condition. Finally, certain conditions may
have to be modified to conform to a newly enacted legislative enactment, such as a new sex offender
registration requirement.
Modification may be requested by the person under supervision or by the field officer assigned the
case by the sentencing court or parole board. In lesser instances, the modification may be initiated
by the sentencing court or the parole board on its own. Modification may be toward easing condi-
tions, or toward adding, clarifying, or extending them. Typically, field officers seek additional restric-
tions or increased supervision to enhance the likelihood of rehabilitation or public protection.
Because parole and probation officers may regularly initiate revocation hearings, it is normally
assumed such officers have the right to suggest the need for modification or changes of conditions
to the court or the parole board. In a few jurisdictions, parole and probation officers themselves have
the power to modify conditions.
For example, Illinois provides statutory authority for a probation officer, in lieu of filing a violation of
probation or conditional discharge, to serve on a minor or adult offender a notice of intermediate
sanctions for a technical violation. This statutory authority further provides that if the minor or adult
accepts the intermediate sanctions they shall be imposed immediately and if the minor or adult
rejects the intermediate sanctions, then the officer must immediately file with the court a violation
of probation or of conditional discharge.135 In Texas if a judge places a defendant on probation, the
judge may also authorize the supervision officer to modify the conditions of probation for the limit-
ed purpose of transferring the probationer to different programs within the community supervision
continuum of programs and sanctions. If the probationer agrees to the modification in writing, the
supervision officer must file a copy of the modified conditions with the district clerk and the conditions
shall be enforced as modified. If the probationer does not agree to the modification in writing, then
the supervision officer must refer the case to the judge of the court for modification.136
In these jurisdictions, the officer may go ahead and modify the conditions, but only if it is clear that
authority to modify conditions is given to the officer. In the past the National Advisory Commission on
Criminal Justice Standards and Goals has recommended that parole officers be authorized to carry
out their requested modifications pending parole board approval.137
Most jurisdictions, either by legislation or court decisions, do not authorize officers to modify condi-
tions on their own. Since this act is generally considered a judicial or board function, most jurisdic-
tions in the country hold that, absent an express statutory authorization to the contrary, any modifi-
cation by an officer would be an improper delegation of authority.138 In reality, however, many judges
do in fact delegate to the officer the power to modify or change conditions, or to specify the details of
an imposed condition (such as the need for psychological treatment). It is also a common practice
for judges to provide that the probationer may be subject “to such other conditions as the probation
officer may deem to impose.”139
Modifying or changing probation conditions by the officer alone, without specific authorization, must
be avoided if at all possible. It is proper for the officer to suggest that conditions be modified or
changed, but unless otherwise clearly authorized, only the judge or board should make that change.
If change or modification by the officer is unavoidable (either because that judge insists on such del-
egation despite invalidity or because of an emergency situation), the officer is best protected against
liability by putting the modification or change in writing and making sure that the condition is accept-
ed by the offender in writing. Once this is done, a copy should be sent to the judge or board to inform
this authority of the change.
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Chapter 7
In sum, officers should not modify or change conditions unless clearly authorized by law or court de-
cisions. As much as possible, modifications or changes must be done by the judge or court because
they enjoy absolute immunity whereas the officer does not.
There appears to be no clear due process standards for modification. Case law suggests notice is
probably necessary; however, it is ambiguous as to the right to a hearing.140 In those instances in
which a hearing may be required, state statute usually imposes this mandate.141 Moreover, whether
there must be a showing that the offender violated one or more of the conditions imposed in order
to modify the conditions of supervision or whether the sentencing court or parole board may do so
upon a determination that such a modification would be in the best interests of the offender or soci-
ety is largely controlled by state law.142
As parole and probation officers raise their professional standards, the possibility of an implied duty
to seek modification may arise. If, for example, a probationer or parolee is obviously in need of a
different supervision from that originally deemed appropriate, a resulting victim—injured by the inad-
equately supervised offender—may allege that failure to seek modification is an act of negligence,
implying liability. For this reason, it is crucial for officers to be aware of the supervisory authority
granted them by their particular jurisdiction and adhere to it.
VI. EXTENSION
Conviction of an offense allows the state to intervene in the offender’s life in specific ways autho-
rized by statute. These limits are in general rigidly observed because of the severe nature of the
infringements they impose on the rights of individuals. A corollary of this rule is that once service of
sentence has begun, it is not subject to detrimental modification (absent special circumstances not
relevant here).143 It also follows that once a sentence has been served, jurisdiction is lost over the
offender.
To what extent do grants of probation and parole provide authority to prolong a period of actual con-
finement beyond the duration originally set? One possibility, which the courts have not adopted, is
to consider probation and parole time as the equivalent of confinement, thus freeing the offender at
the end of the original period. While the states vary on the extent to which they give credit for street
time against the period of actual confinement, there is agreement that entry into probation or parole
status extends the time during which consideration may be given to imprisoning or reimprisoning the
offender.
The question concerning what authority the court or parole board has to take action against an
offender after the period of supervision has expired arises in several situations. In one, proceedings
are begun to revoke probation or parole within the probation or parole term. In this case, even when
the proceedings are not completed within the usual period, the new decision is given effect so long
as the delay was not due to a lack of diligent prosecution on the state’s part. Thus, a parolee who
absconds from supervision,144 or a probationer who seeks continuances that delay the hearing,145 is
not permitted to object that the proceedings and decision are untimely. Similarly, a New Jersey court
held that the time for revoking New Jersey parole was extended during the period the offender was
serving a New York sentence imposed while the offender was on parole, even though the New York
court made the sentence concurrent with the original New Jersey sentence.146
An issue also arises where a new sentencing law comes into effect after an offender’s conviction.
Here, a different result is apt to occur. For example, California courts have held147 that new penal
laws extending the period of parole supervision may not be given retroactive effect, at least for those
paroled under the more favorable terms of prior law. To do otherwise would run afoul of the ex post
facto clause of the Constitution, the Courts said.
VII. TERMINATION
The federal parole law provides that parole does not end automatically at the conclusion of the term
ordered, but continues until affirmatively granted after a termination hearing. The statute provided the
hearing had to be held within five years when Robbins v. Thomas148 arose. In that case, the hearing
was held five-and-one-half years after parole was granted. On the day after the hearing, but before
the parole commission made a decision on termination, Robbins was arrested on a new charge. The
parole commission reopened its file to give consideration to this fact, and decided to extend parole.
Robbins argued that the commission was without power to consider anything occurring after five
years, or in any event, after the termination hearing. The Ninth Circuit Court of Appeals disagreed,
finding that until actual termination the commission could—indeed, was expected to—consider rele-
vant evidence.
The Court went on to rule that the procedures to be followed in such cases were equivalent to those
provided for revocation hearings. While the decision not to terminate parole does not deprive a
parolee of his conditional liberty, which would activate Morrissey rights, the statute appears to make
termination automatic in the absence of an affirmative finding that the parolee is unlikely to respect
the law. Thus, there is more than a “mere expectation” of the termination benefit, and some process
is clearly due. Other courts could well choose a less-than-Morrisey standard, however.
Ordinarily, conditions requiring a probationer or parolee to report changes of status have been up-
held on appeal. This is especially true if the condition requires the offender to report changes in sta-
tus that may have a bearing on the enforcement of the other conditions of supervision or may affect
the likelihood of successfully rehabilitating the offender. In addition, Courts have generally approved
an administrative policy established by the officer or agency supervising the offender that requires
the offender to report to the officer or agency any changes in the offender’s status. Courts have
deemed that such an administrative policy does not constitute an improper usurpation of judicial or
board authority but instead have held that such a policy is reasonably and necessarily related to the
authority of the supervising agency to enforce the conditions imposed by the court or board.
Finally, a state statute may mandate that a probationer or parolee (or his supervision officer) provide
notification of any change in his status. State legislatures have increasingly been enacting notification
statutes requiring sex offenders to provide information on any change in their status. For example,
the state of Texas has passed a statute providing that if a juvenile or adult probation officer or a
parole officer supervising a person required under state law to register as a sex offender receives
information to the effect that the person’s status has changed in any manner that affects proper su-
pervision of his person, including a change in the person’s physical health, job status, incarceration,
or terms of release, the supervising officer shall promptly notify an appropriate local law enforcement
authority of that change.151 Because of the inherent sensitivity of information bearing on the status of
an offender, it is strongly recommended that probation and parole officers strictly follow the mandates
144 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
Chapter 7
establishes by a statute, court order, or administrative policy regarding the release of any information
concerning a change in status and to not deviate from the statutory, judicial, or office procedures
controlling the disclosure of such information.
Sometimes it will be the responsibility of a governmental entity to inform the court or parole authority
of the status of an offender. For example, since October 1, 2007 it has been the responsibility of the
Florida Department of Corrections to develop a system for identifying the offenders in the depart-
ment’s database and post in the Florida Department of Law Enforcement’s Criminal Justice Intranet
a list of all “violent felony offenders of special concern” who are under community supervision. This
information is made available to the Courts in Florida at first appearance hearings and all subse-
quent hearings of offenders whose status has been determined to be a “violent felony offender of
special concern.”152
B. Determination of Status
Despite the numerous holdings that have generally upheld the decision to modify the conditions of
release based on the status of an offender, due process does mandate that under certain circum-
stances, the sentencing or releasing authority must conduct a hearing initially in order to ascertain
the status of an offender. This is particularly true when the court or parole authority wants to impose
a condition on an offender that does not appear to relate to offense for which he or she was con-
victed. For example, in Coleman v. Dretke,153 a defendant was convicted of burglary of a habitation
and sentenced to prison in Texas. The defendant was later paroled. While on parole the defendant
was indicted for aggravated sexual assault of a child and indecency with a child. Despite these new
charges, the defendant was only convicted of misdemeanor assault. Nevertheless, his parole was
revoked following the assault conviction and he was subsequently reincarcerated.
The defendant was later released on mandatory supervision on the condition that he reside in a
halfway house until employed. A month later the parole board imposed two additional conditions on
his release, to-wit: he register as a sex offender and attend sex offender therapy. The parolee was
not given advance notice or a hearing to contest the imposition of these conditions. Although he
registered as a sex offender, he failed to enroll or participate in therapy. As a result, his parole was
revoked once again.
The parolee filed a writ in federal district court which was denied. The parolee then appealed the
decision denying his writ to the Fifth Circuit Court of Appeals. In analyzing this issue, the Court of
Appeals stated that a complaint dealing with a claim of a right to procedural due process involved
a two-step inquiry. First, the court had to determine whether the parolee had a liberty interest in not
having sex offender conditions placed on his parole. The court further stated that if this were to be
the case then the second inquiry was whether the state provided constitutionally sufficient proce-
dures before imposing them. Finally, the court noted that because the state of Texas did not dispute
that it had provided no process in imposing the conditions and that the parolee had never been given
the opportunity to contest his sex offender status, then if federal law clearly established that the pa-
rolee had a liberty interest in being free from sex offender conditions, the Court must grant him relief.
The parolee, citing the United States Supreme Court holding in Vitek v. Jones,154 argued that the sex
offender conditions placed on his parole presented such a dramatic departure from the basic con-
ditions of parole that the Due Process Clause of the Fourteenth Amendment mandated procedural
protections. The Court of Appeals, in examining this matter, noted that as in Vitek, the state imposed
stigmatizing classification and treatment on the parolee without providing him any process. More-
over, the Court found that the state’s sex offender therapy, involving intrusive and behavior-modifying
techniques, was also analogous to the treatment provided in Vitek. As such the Fifth Circuit Court of
Appeals determined that the Due Process Clause provided the defendant with a liberty interest in
freedom from the stigma and compelled treatment on which his parole was conditioned and therefore
held that the state was required to provide procedural protections before imposing such conditions.
SUMMARY
This chapter has examined several issues concerning the setting of conditions of probation and
parole. While there is rarely any dispute concerning regular conditions, problems can arise when a
special condition either infringes upon a fundamental constitutional right or is not clearly associated
with a rehabilitative purpose. The so-called fundamental rights, such as “free speech” and “free exer-
cise of religion” are given special treatment by the courts.
In the view of the United States Supreme Court, any right so essential to our concept of liberty that
to do away with it would fundamentally alter our political and social system is a fundamental right.
Restrictions in these areas will always be considered “suspect;” that is, such conditions will be given
a stricter review than other restrictions. Often validation of a condition is dependent upon supplying
the reviewing court with sufficient information to link the government’s interest in rehabilitation with
the challenged condition.
Work conditions may give rise to tort liabilities, particularly in the case of volunteer placements. This
risk may be covered by agency insurance.
A few jurisdictions authorize officers to modify or change conditions, but most jurisdictions do not.
Unless clearly authorized by law or court decisions, an officer should not modify or change condi-
tions because possible liability attaches should such conditions turn out to be unconstitutional or
injurious to the offender or a third party.
No clear due process standards have been set for modification, but case law suggests that notice is
probably necessary. Moreover, extensions of probation or parole are generally frowned upon be-
cause they constitute further deprivations of freedom. Also, when probation/parole actually termi-
nates is governed by state law, not by a constitutional standard.
Finally, reporting requirements necessitating a probationer or parolee to inform either his supervi-
sion officer or the court or parole board of a change of status have generally been deemed a valid
exercise of the authority of the court/parole board or supervisory agency. Nevertheless, probation
and parole officers need to be aware of any statutory mandates requiring probationers or parolees to
provide information concerning any change in their status. Under some circumstances a probationer
146 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
Chapter 7
or parolee may have a due process right to determine the person’s status before a court or parole
board can impose certain conditions of release. Finally, supervision officers must exercise extreme
caution in disclosing information regarding the change in status of a probationer or parolee.
NOTES
1. See United States v. Consuelo-Gonzales, 521 F. 2d 259 (9th Cir. 1975); see also, Poth v. Templar,
453 F. 2d. 330 (10 Cir. 1971).
2. In the federal system special conditions of supervised release are evaluated to determine if they
are reasonably related to four different factors: 1) “the nature and circumstance of the offense and the
history and characteristics of the defendant,” 2) the need “to afford adequate deterrence to criminal
conduct,” 3) the need “to protect the public from further crimes of the defendant,” and 4) the need
“to provide the defendant with needed [training], medical care, or other correctional treatment in the
most effective manner.” See 18 U. S. C. § 3553 (a)(1)-(2) (1994); see also United States v. Paul, 274
F. 3d 115 (5th Cir. 2001), No. 00-41299, delivered November 19, 2001.
3. See State v. Maas, 41 Or. App. 133, 597 P. 2d 838 (1979) where the Oregon Court ruled that a
probation condition added by a probation officer could not serve as the basis for revocation because
the officer had no authority to add conditions.
6. On December 31, 2006, approximately 4,237,000 adults were under Federal, State, or local juris-
diction on probation and nearly 798,200 were on parole. See Probation and Parole Statistics, Bureau
of Justice Statistics, U. S. Department of Justice at www.ojp.usdoj.gov/bjs/pandp.html.
7. See Knight v. State, 593 So. 2d 1202 (Fla. App. 1992), in which a Florida appellate court ruled
that a probation condition requiring the probationer “to show respect to officers connected with the
criminal justice system” was too vague to inform the probationer of what conduct was acceptable or
unacceptable.
10. See United States v. Schave, 186 F. 3d 839 (7th Cir. 1999).
11. See United States v. Warren, 186 F. 3d 358 (3rd Cir. 1999).
12. See United States v. Sales, 476 F. 3d 732 (9th Cir. 2007); for the application of this general princi-
ple at the state level, see People v. Forsythe, 43 P. 3d 652 (Colo. App. 2001).
14. The United States Supreme Court has recognized that even in a prison setting, inmates still
retain certain fundamental rights. In Wolff v. McDonnell, 94 S. Ct. 2963 (1974) the Supreme Court
stated that “though his rights may be diminished by the needs and exigencies of the institutional
environment, a prisoner is not wholly stripped of constitutional protections when he is imprisoned for
a crime.”
15. See Sobel v. Reed, 327 F. Supp. 1294 (S. D.N.Y. 1971).
19. See Hyland v. Procunier, 311 F. Supp. 749 (N. D. Cal. 1970). See also, United States v. Lowe, 654
F. 2d. 562 (9th Cir. 1981); Barlip v. Commonwealth Board of Probation and Parole, 45 Pa Common.
458, 405 A. 2d. 1338 (1979); State v. Camp, 59 NC App. 38, 295 SE 2d 766 (1982).
23. Note, Fourth Amendment Limitations on Probation and Parole Supervision, 1976 Duke L. J. 71,
75 (1976).
25. See Porth v. Templar, 453 F. 2d 330, 334 (10th Cir. 1971). Accord, United States v. Patterson, 627
F. 2d 760 (5th Cir. 1980), cert. denied, 101 S. Ct. 1378 (1981).
26. See United States v. Furukawa, 596 F. 2d 921 (9th Cir. 1979).
27. See United States v. Tonry, 605 F. 2d 144 (5th Cir. 1979).
28. See Commonwealth of Massachusetts v. Power, 420 Mass. 410, 650 N. E. 2d 87 (1995).
29. See State v. Zimmer, 2008 WL 3850490 (Wash. App. Div. 2 2008).
30. See United States v. Bird, 124 F. 3d 667 (5th Cir. 1997); see also, Crabb v. State, 754 S. W. 2d
742 (Tex. App. - Houston [1st Dist.], 1988).
31. See Rich v. State, 640 P. 2d 159 (Alaska Ct. App. 1982); Whitehead v. State, 645 S. W. 2d 482
(Tex. Cr. App. 1982); People v. Warren, 89 App. Div. 501, 452 N.Y.S. 2d 50 (1982).
32. See Watson v. State, 17 Md. App. 263, 301 A. 2d 26 (1973); Glenn v. State, 168 Tex. Crim. 112,
327 S. W. 2d 763 (1959); Dulin v. State, 169 Ind. App. 211, 346 NE 2d 746 (1976).
33. See United States v. Schave, 186 F. 3d 839 (7th Cir. 1999).
34. See United States v. Soltero, 510 F. 3d 858 (9th Cir. 2007).
35. See O’Lone v. Estate of Shabazz, 107 S. Ct. 2400 (1987). Nevertheless, as with probationers and
parolees, the courts have uniformly held that a prisoner cannot be compelled to participate in a faith-
based prison treatment program. See Kerr v. Farrey, 95 F. 3d 472 (7th Cir. 1996).
36. See Jones v. Commonwealth, 185 Va. 335, 38 S. E. 2d 444 (1946); see also, L. M. v. State, 587
So. 2d 1202, (Fla. App. - 1992).
37. See Warner v. Orange County Department of Probation, 115 F. 3d 1068 (2nd Cir. 1997); affirmed
173 F. 3d 120 (2nd Cir. 1999).
38. See Griffin v. Coughlin, WL 317180 (N.Y. June 11, 1996) in which the New York Court of Appeals
made a similar ruling to that of the 2nd Court of Appeals in Warner v. Orange County.
39. See Inouye v. Kemna, 504 F. 3d 705 (9th Cir. 2007), No. 06-15474, filed September 7, 2007,
amended October 3, 2007.
41. See Mireles v. Waco, 502 U. S. 9 (1991); see also Montero v. Travis, 171 F. 3d 757 (2nd Cir. 1999).
148 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
Chapter 7
43. See West v. State, 160 Ga. App. 855, 287 S. E. 2d 694 (1982); See also State v. Martin, 282 Or.
583, 580 P. 2d 536 (1978); In re Peeler, 266 Cal. App. 2d 483, 72 Cal. Rptr. 254 (1968) and State v.
Thomas, 428 So. 2d 950 (La. Ct. App. 1983).
44. See State v. Livingston, 53 Ohio App. 2d 195, 372 NE 2d 1335 (1976); Skinner v. Oklahoma, 316
U.S. 535 (1942); People v. Dominguez, 256 Cal. App. 2d 623, 64 Cal. Rptr. 290 (1967).
45. See Wiggins v. State, 386 So. 2d 46 (Fla. Dist. Ct. App. 1980); Michalow v. State, 362 S.2d 456
(Fla. Dist. Ct. App. 1978).
46. See State ex rel. Kaminski v. Schwarz, 630 N. W. 2d 164 (Wis. 2001).
47. See State v. Autrey, 150 P. 3d 580 (Wash. App. Div. 3 – 2006); see also, Krebs v. Schwartz, 568 N.
W. 2d 26, 212 Wis. 2d 127 (Wis. App. 1997) where the appellate court approved a condition requiring
a defendant convicted of sexually assaulting his daughter to discuss and obtain permission from his
probation officer prior to engaging in a sexual relationship.
48. See People v. Dominguez, 256 Cal. App. 2d 627. 64 Cal. Rptr. 290 (1967); See also L. M. v. State,
587 So. 2d 1202, (Fla. App. - 1992).
49. See People v. Pointer, 199 Cal. Rptr. 357 (Cal. App. 1st Dist. 1984).
50. See Thomas v. State, 519 So. 2d 1113, (Fla. App. 1st Dist., 1988).
51. See People v. Ferrell, 659 N. E. 2d 992 (Ill. App. 4th Dist. 1995).
52. See United States v. Smith, 972 F. 2d 960 (8th Cir. 1992).
55. See State v. Oakley, 629 N. W. 2d 760 (Wis. 2001), re-hearing affirmed at 635 N. W. 2d 760 (Wis.
2001).
56. See People v. Baum, 251 Mich. 187, 231 N.W. 95 (1930) (banishment from state for five years);
People v. Smith, 252 Mich. 4, 232 N. W. 397 (1930) (move to another neighborhood). See also, State
ex rel Halverson v. Young, 278 Minn. 381, 154 N. W. 2d 699 (1967); Flick v. State 159 Ga. App. 678,
285 S. E. 2d 58 (1981), State v. Gilliam, 274 SC 324, 262 S. E. 2d 923 (1980); Carchedi v. Rhodes,
560 F. Supp. 1010 (S. D. Ohio 1982).
57. See United States v. Abushaar, 761 F. 2d 954 (3rd Cir. 1985); see also, McCreary v. State, 582 So.
2d 425 (Miss. 1991) and State v. Young, 154 N. W. 2d 699 (Minn. 1967). See also, Terry v. Hamrick,
663 S. E. 2d 256 (Ga. 2008), in which the appellate court upheld a condition that the defendant be
banished from all counties in the state of Georgia except one. However, this condition was upheld
because the defendant had been convicted of stalking and had been following the victim throughout
the state.
59. See Hernandez v. State, 613 S. W. 2d 287 (Tex. Cr. App. - 1981); see also, Martinez v. State, 627
So. 2d 542 (Fla. App. 1993).
60. See State of Utah v. Arviso, 993 P. 2d 894 (Utah App. – 1999).
61. See Berrigan v. Sigler, 358 F. Supp. 130 (D. D. C. 1973), aff’d 499 F. 2d 514 (D. C. Cir. 1974). See
also, Dukes v. State, 423 So. 2d 329 (Ala. Crim. App. 1982) (person convicted of theft from certain
store ordered to stay out of that store during probation term); State v. Churchill, 62 NC App. 81, 302
S. E. 2d 290 (1983) (cab driver guilty of trespassing at bus station ordered to stay away from bus sta-
tion and adjoining restaurant unless traveling by bus with permission of probation officer). But see, In
re White, 97 Cal. App. 3d. 141, 158 Cal. Rptr. 562 (1979) (affirming, under the California Constitution,
the “basic human right” of intrastate travel).
63. See United States v. Sicher, 239 F. 3d 289 (3rd Cir. 2000).
65. For information on the rules allowing for the transfer and supervision of out of state probationers
and parolees, the reader is directed to review the rules of the Interstate Commission for Adult Offend-
er Supervision at www.interestatecompact.org.
67. See Minnesota v. Murphy, 465 U.S. 420 (1984); see also, United States v. Davis, 242 F. 3d 49 (1st
Cir. 2000) and State v. Gary, 144 P. 3d 634 (Kan. 2006).
68. See United States v. Conforte, 624 F. 2d 869 (9th. Cir.), cert. denied, 449 U. S. 1012 (1980).
69. See United States v. McDonough, 603 F. 2d 19 (7th Cir. 1979. See also, State ex rel Halverson v.
Young, 278 Minn. 381, 154 N. W. 2d 699 (1967); Flick v. State, 285 S. E. 58, Ga. App. – 1981); State
v. Gilliam, 262 S. E. 2d 923, (So. Car. – 1980); Carchedi v. Rhodes, 560 F. Supp. 1010 (S. D. Ohio,
1982).
73. For examples of the problems courts have had in resolving this matter, see Asherman v. Mea-
chum, 957 F. 2d 978 (2nd. Cir. 1992); United States v. Ross, 9 F. 3d 118 (7th. Cir. 1993), judgment
vacated on other grounds, 511 U.S. 1124 (1994); and Idaho v. Crowe, 952 P. 2d 1245 (Idaho 1998).
75. See United States v. Antelope, 65 Fed.Appx 112 (9th Cir. 2005).
78. See United States v. Davis, 242 F. 3d 49 (1st Cir. 2001), in which the First Circuit Court of Ap-
peals upheld the imposition of a condition requiring a probationer to “cooperate with the Probation
Officer in all investigations and interviews during his period of supervised release,” reasoning that the
general obligation to appear and answer questions truthfully did not amount to compulsion and that
the probationer was still free to challenge any question posed to him that might incriminate him at the
time it occurred.
79. See United States v. Locke, 482 F. 3d 764 (5th Cir. 2007).
81. See Perry v. State, 778 S0. 2d 1072 (Fla. App. 5th Dist. 2001.
83. See Goldschmitt v. State, 490 So. 2d 123 (Fla. Dist. Ct. App. 1986); see also, Lindsay v. State,
606 So. 2d 652 (Fla. App. 4th Dist. 1992).
150 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
Chapter 7
85. See People v. Heckler, 16 Cal. Rptr. 2d 681, 13 C. A. 4th 1049 (1993).
86. See People v. Meyer, 176 Ill. 2d 372, 680 N. E. 315 (1997).
88. See Ex parte Renfro, 999 S. W. 2d 557 (Tex. App. Houston [14th Dist.], 1999. Other jurisdictions
that have upheld the validity of polygraph examinations as a condition of probation where the proba-
tioner is convicted of a sex crime are as follows: State v. Lumley, 267 Kan. 4, 977 P. 2d 914 (1999);
Cassamassima v. State, 657 So. 2d 906 (Fla. Dist. Ct. App. 1995); State v. Tenbusch, 131 Or. App.
634, 886 P. 2d 1077, cert. denied, 116 S. Ct. 133 (1995); and People v. Miller, 208 Cal. App. 3d 1311,
256 Cal. Rptr. 587 (Cal.Ct.App. 1989).
90. See Wright v. State, 154 S. W. 3d 235 (Tex. App. – Texarkana, 2005).
91. See Arizona v. Levens, 152 P. 3d 1222 (Ariz. App. Div. 1 2007).
92. See United States v. Lee, 315 F. 3d 206 (3rd Cir. 2003).
93. See United States v. Stoterau, 524 F. 3d 988 (9th Cir. 2008), which held that a mandatory poly-
graph testing condition did not violate the defendant’s Fifth Amendment constitutional right to be
“compelled in any criminal case to be a witness against himself;” see also, Arizona v. Levens, 152 P.
3d 1222 (Ariz. App. Div. 1 2007) and United States v. Locke, 482 F. 3d 764 (5th Cir. 2007).
96. Vernon’s Tex. Ann. Code of Cr. Proc. Article 42.12, § 16 (c).
97. See Tarrant County et al. v. Morales, 207 S. W. 3d 870 (Tex. App. – Fort Worth, 2006); see also,
Vernon’s Tex. Ann. Code of Cr. Proc. Article 42.20.
100. In the area of extradition, federal law is controlling and state regulations on the subject are sup-
plemental to, and facilitate, federal law. See State v. Van Buskirk, 527 N. W. 2d 922 (S. D. 1995).
101. Other court decisions that have upheld the validity of a waiver of extradition as a condition of
release are Ex parte Johnson, 610 S. W. 2d 757 (Tex. Cr. App. – 1981), Cook v. Kern, 330 F. 2d 103
(5th Cir. 1964), and Forester v. California Adult Authority, 510 F. 2d 58 (8th Cir. 1975).
102. Since the enactment of the first Megan’s Law, Congress has enacted several other sex offender
registration acts, collectively known as the “Jacob Wetterling, Megan Kanka, and Pam Lychner Sex
Offender Registration and Notification Programs. These various enactments are now found in the Sex
Offender Registration and Notification Provisions of the Adam Walsh Child Protection and Safety Act
of 2006 (P. L. 109-248).
105. See Speth v. State, 965 S. W. 2d 13 (Tex. App. – Houston [14th Dist.], 1998), reversed or another
reason in Speth v. State, 6 S. W. 3d 530 (Tex. Cr. App. – 1999).
106. See Greenwood v. State, 754 So. 2d 158 (Fla. App. – 2000).
108. See United States v. Rearden, 349 F. 3d 608 (9th Cir. 2003).
109. See United States v. Ristine, 335 F. 3d 692 (8th Cir. 2003).
111. Note however that in United States v. Sofsky, 287 F. 3d 122 (2nd Cir. 2002), the Second Circuit
Court of Appeals found that a condition prohibiting the defendant from using a computer or the In-
ternet without the approval of his probation officer was still too restrictive and the condition inflicted a
greater deprivation on the defendant’s liberty than was reasonably necessary.
112. See United States v. Holm, 326 F. 3d 872 (7th Cir. 2003).
113. To date almost all federal courts of appeals that have examined this issue has disallowed condi-
tion of release totally banning a defendant from use of a computer. See United States v. Silvious, 512
F. 3d 364 (7th Cir. 2008). Only one federal court of appeals has upheld such a condition. In United
States v. Paul, 274 F. 3d 115 (5th Cir. 2001) the Fifth Circuit Court of Appeals held that even though
the condition in question did not have a proviso permitting the defendant to use computers and
the Internet with the approval of his probation officer, the Court could not say that the district court
abused its discretion in determining that an absolute ban on computers and Internet use was reason-
ably necessary to protect the public and to prevent recidivism. Nevertheless in Silvious the Seventh
Circuit Court, even though it disallowed a condition providing for a total ban on Internet use, stated
that “we have not ruled out the possibility that such a condition might be justified in some cases.”
114. See however State v. Wardle, 53 P. 3d 1227 (Idaho. App. – 2002) in which the appellate court
upheld the trial court’s order that the defendant, charged with sexual abuse of a child but convicted
of the lesser included misdemeanor offense of battery, remove all his computers from his household.
The court reasoned that since the facts showed that the defendant had the minor sit on his lap and
view pornography on his computer, this justified the requirement that he possess no computers in his
home.
115. See Louisiana v. Cloward, 960 So. 2d 356 (App. 2nd Cir. 2007).
116. See State v. O’Cain, 184 P. 3d 1262 (Wash. App. Div. 1 2008); see further, State v. Castro, 170 P.
3d 78 (Wash. App. Div. 3 2007).
117. See United States v. Vinson, 147 Fed.Appx 763 (10th Cir. 2005); see also 18 U. S. C. § 3563 (b).
118. See United States v. Vinson, 147 Fed.Appx 763 (10th Cir. 2005), in which the Tenth Circuit Court
of Appeals, in examining a condition restricting access to the Internet, noted that most other circuit
courts that had addressed this issue had 1) either rejected total Internet bans as conditions of super-
vised release or 2) had allowed Internet bans only where the ban could be lifted at the discretion of
the probation officer.
119. See United States v. Guagliardo, 278 F. 3d 868 (9th Cir. 2002).
120. See Turner v. State, 666 So. 2d 212 (Fla. App. 2 Dist. 1995) in which the appellate court held that
the trial court could not order the defendant to submit to drug evaluation and treatment for an offense
which was not alcohol or drug related.
121. See Vernon’s Annotated Texas Code of Criminal Procedure, Article 42.12, § 1 (a), which au-
thorizes the trial court to impose any reasonable condition that is designed to protect or restore the
community, protect or restore the victim or punish, rehabilitate, or reform the defendant.
152 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
Chapter 7
122. See Sweeny v. United States, 353 F. 2d 10 (7th Cir. 1967). See also, Turner v. State, 666 So. 2d
212 (Fla. App. 2d Dist. 1995).
123. See Higdon v. United States, 627 F. 2d 893 (9th Cir. 1980). Compare, United States v. Arthur,
602 F. 2d 660 (4th Cir.), cert. denied, 444 U. S. 992 (1979); (former bank president who misapplied
bank funds properly required to accept employment without salary for two years).
124. See United States v. Jiminez, 600 F. 2d 1172 (5th Cir.), cert. denied, 444 U. S. 903 (1980). See
also, State v. Asher, 40 Or. App. 455, 595 P. 2d 839 (1979); State v. Langford, 12 Wash. App. 228, 529
P. 2d 839 (1974).
125. See State v. Graham, 636 A. 2d 852, 33 Conn. App. 432 (1994).
126. See United States v. Holm, 326 F. 3d 872 (7th Cir. 2003).
128. See United States v. McKissic, 428 F. 3d 719 (7th Cir. 2005).
129. See United States v. Peterson, 248 F. 3d 79 (2nd Cir. 2001), in which the Second Circuit Court
of Appeals invalidated a condition that categorically prohibited a defendant from possessing any
computer, including a computer at work as excessive and overbroad.
130. See United States v. Lofshitz, 369 F. 3d 173 (2nd Cir. 2004), in which the Second Circuit Court
of Appeals remanded a case in which the district court had imposed a condition that required the
defendant to “consent to unannounced examinations of any computer equipment owned or controlled
by the defendant” and that required him to permit “the removal of such equipment for the purpose of
conducting a more thorough investigation” in order for the district court to evaluate the privacy impli-
cations of the proposed computer monitoring techniques as well as their efficacy as compared with
computer filtering, and then to impose a condition consistent with this condition.
131. See Bennett v. State, 164 Ga. App. 239, 296 S. E. 2d 787 (1982); Acosta v. State, 640 S. W. 2d
381 (Tex. Crim. App. 1982); Meredith v. Raines, 131 Ariz 244, 640 P. 2d 175 (1982) (oral notice of
parole conditions permissible, but must be written notice for probation conditions).
132. See Joynes v. State, 437 N. E. 137 (1982); Shaw v. State, 164 Ga. App. 208, 296 S. E. 2d 765
(1982) (past experiences on parole or probation source of knowledge of condition requiring obedi-
ence to law). But, see also, Neely v. State, 7 Ark. App. 238, 647 S. W. 2d 473 (1983), contra (proba-
tioner not given list of conditions barring illegal act).
133. See Panko v. McCauley, 473 F. Supp. 325 (C. D. Wisc. 1979). Information as well as explanation
are statutorily required in some jurisdictions; see, e. g. , Mo. Ann. Stat. § 549.237 (Vernon); NY Exec.
Law § 257 (4) (McKinney).
134. See United States v. Dane, 570 F. 2d 840 (9th Cir. 1977). See also, United States v. Dane, 587 F.
2d 436 (9th Cir. 1978).
135. See 705 ILCS 405, § 5-720 (7); see also, 730 ILCS 5, § 5-6-4 (i).
136. See Vernon’s Annotated Texas Code of Criminal Procedure, Article 42.12, § 10 (d) and (e).
137. National Advisory Commission on Criminal Justice Standards and Goals, Corrections, Standard
12.7 (1973).
138. See In the interest of T. L. D, 586 So. 2d 1294 (Fla. App. 1991).
139. See State of Connecticut v. Misiorski, 738 A. 2d 595 (Conn. – 1999), in which the appellate
court upheld a condition imposed by the trial judge that the defendant obey “any other conditions
imposed by the office of adult probation.”
140. See United States v. Warden, 705 F. 2d 189 (7th Cir. 1983), Forgues v. United States, 636 F.
2d 1125 (6th Cir. 1980); Tyra v. State, 644 S. W. 2d 865 (Tex. Crim. App. 1982); In re Appeal in Rinal
County, Juvenile Action, 131 Ariz. 187, 639 P. 2d 377 (Ct. App. 1981); State v. Simpson, 2 Ohio App
3rd 40, 440 N. E. 2d 617 (1981); State v. Coltrane, 307 N.C. 511, 299 S. E. 2d 199 (1983); Kelly v.
State, 627 S. W. 2d 826 (Tex. Crim. App. 1982).
142. See Malone v. State, 632 So. 2d 1140 (Fla. App. 1994).
143. See 541 F. Supp. 1253 (1st Cir. 1982); 560 F. Supp. 745 (2nd Cir. 1983); 670 F. 2d. 507 (5th Cir.
1982); 699 F. 2d. 822 (6th Cir. 1983); 681 F. 2d 1091 (7th Cir. 1982); 699 F. 2d 387 (7th Cir. 1983);
555 F. Supp. 1344 (7th cir. 1983); 706 F. 2d 1435 (7th Cir. 1983); 718 F. 2d 921 (9th Cir. 1983); 534 F.
Supp. 1015 (9th Cir. 1982); 678 F. 2d 940 (11th Cir. 1982); 682 F. 2d 1366 (11th Cir. 1982).
144. See People ex rel Flores v. Dalsheim, 66 A. 2d 381, 413 N.Y.S. 2d 188 (1979).
146. See Board of Trustees v. Smalls, 172 N. J. Super. 1, 410 A. 2d 691 (1979).
147. See In re Bray, 97 Cal. App. 3d 506, 158 Cal. Rptr. 745 (1979); Matter of Harper, 96 Cal. App. 3d
138. 157 Cal. Rptr. 759 (1979).
149. See State ex rel. Kaminski v. Schwarz, 630 N. W. 2d 164 (Wis. 2001), in which the Wisconsin
Supreme Court approved an administrative rule of the Wisconsin Department of Corrections requir-
ing an probationer under the department’s supervision to notify his immediate neighbors of his sex
offender status, reasoning that the rule furthered the goals of probation by protecting the public from
criminal conduct and helping the probationer become a useful member of society.
150. For example, in People v. Gould, 662 N.Y. S. 2d 520 (N.Y.A.D. 2 Dept. 1997), the appellate court
approved the imposition of a condition on a probationer convicted of sodomy that he notify future
employers of his conviction if he changes employment.
151. See Vernon’s Annotated Texas Code of Criminal Procedure, Chapter 62.05 (a).
152. See Title XLVII, Chapter 948, § 948.064, 2008 Florida Statutes.
153. See Coleman v. Dretke, 395 F. 3d 216 (5th Cir. 2004), rehearing denied 409 F. 3d 665 (5th Cir.
2005).
156. If a court orders a defendant, as a condition of release, to not seek work in specified fields of
employment, then in order for that condition to be valid, not only must these two determinations be
made but in addition the occupational restriction can only be in place for “the minimum time and to
the minimum extent necessary to protect the public.” See United States v. Rearden, 349 F. 3d 608
(9th Cr. 2003).
154 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 8
REVOCATION
INTRODUCTION
I. PAROLE REVOCATION: MORRISSEY V. BREWER IS THE LEADING CASE
A. The Factual Setting
B. The Reasoning of the Court
C. The Holding of the Court
1. Preliminary Hearing
2. Revocation Hearing
INTRODUCTION
The release of an offender on probation or parole implies that, in the best judgment of the releasing
authority, the releasee will thereafter respect and abide by the law and observe the conditions of
release. Unfortunately, all too often this expectation does not materialize. As of the end of 2007, more
than 5.1 million adult offenders were being supervised in the community, either on probation or pa-
role. This translates to about one in 45 adults in the United States. Moreover, of the parole population
alone, a total of 1,180,469 offenders were at-risk of being re-incarcerated. Of these parolees, about
16% were returned to incarceration in 2007.1 Clearly, situations arise that warrant consideration of
revocation of probation or parole. All field officers must be aware of the basic legal principles that gov-
ern revocation, as well as their agencies’ detailed procedures.
The controlling judicial decisions on revocation are Morrissey v. Brewer,2 a 1972 Supreme Court
case and Gagnon v. Scarpelli3 a case the Supreme Court decided the year following the Morrissey v.
Brewer decision. In Morrissey, the Supreme Court held, for the first time, that parolees faced with the
revocation of their parole were entitled to certain due process considerations. In Gagnon v. Scarpel-
li, the Supreme Court extended its legal holding in Morrissey to the realm of probation revocation
hearings.
Morrissey allegedly had violated the conditions of his parole by buying a car under an assumed
name and operating it without permission of his parole officer. He was also accused of giving a false
address to the police and an insurance company after a minor traffic accident. Additionally, Morrissey
was alleged to have obtained credit under an assumed name and failed to report his residence to
his parole officer. According to the parole officer’s report, Morrissey admitted some of these technical
violations of his parole conditions.
After his parole was revoked, Morrissey exhausted his state remedies and filed a habeas corpus pe-
tition in federal district court. He charged it was a denial of due process to revoke his parole without
a hearing. The federal district court and the Eighth Circuit Court of Appeals both denied the petition
but the United States Supreme Court granted his application for writ of certiorari. The Supreme Court
reversed the decisions of the two lower courts.
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that is, whether to revoke the parole of the individual and send him back to prison or to continue his
parole with or without additional conditions of parole.
The Court observed that revocation is not part of a criminal prosecution and “thus the full panoply
of rights due a defendant in such a proceeding does not apply to parole revocation.”4 The Court
acknowledged that revocation is the deprivation of conditional liberty, not the absolute liberty of
the ordinary citizen. The Court then examined the nature of this limited liberty in order to determine
whether it is within the ambit of the due process guarantees found in the fourteenth amendment. The
Court held that it is.
We see, therefore, that the liberty of the parolee, although indeterminate, includes many of the
core values of unqualified liberty and its termination inflicts a ‘grievous loss’ on the parolee and of-
ten on others. It is hardly useful any longer to try to deal with this problem in terms of whether the
parolee’s liberty is a ‘right’ or a ‘privilege.’ By whatever name, the liberty is valuable and must be
seen as within the protection of the fourteenth amendment. Its termination calls for some orderly
process, however informal.5
Finally, the Court assessed the governmental interest and found that it, too, would be served by an
informal hearing process designed to develop the facts concerning the alleged violation and the
equities involved in the sanction of revocation.
1. Preliminary Hearing
A preliminary hearing is necessary, the Court said, because there will often be a substantial delay
between the arrest of a parolee and the date of the revocation hearing; there may also be a substan-
tial distance between the place of arrest and the final hearing.
Some minimal inquiry should be conducted at or reasonably near the place of the alleged parole
violation or arrest and as promptly as convenient after arrest while information is fresh and sourc-
es are available . . . Such an inquiry should be seen as in the nature of a ‘preliminary hearing’
to determine whether there is probable cause or reasonable ground to believe that the arrested
parolee has committed acts that would constitute a violation of parole conditions.6
The Court specified that the hearing officer at this inquiry should be someone who is not involved in
the case (not necessarily a judicial officer), and that the parolee should be given notice of the hear-
ing and of its purpose. On the request of the parolee, persons who have given adverse information
on which the parole violation is based are to be made available for questioning in the parolee’s pres-
ence. However, confrontation and cross-examination can be denied if the hearing officer decides that
the informant would be placed at risk if identified. Based upon the information presented (which s/
he must summarize for the record), the hearing officer should determine if there is reason to warrant
the parolee’s continued detention. The hearing officer must state the reasons for the officer’s decision
and the evidence relied on. The Court stated that the process could be informal.
2. Revocation Hearing
At the request of the parolee, the Court said, there must be a second hearing to lead to a final deter-
mination of any contested relevant facts and consideration of whether the facts warrant revocation.
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The parolee must have an opportunity to be heard and to show, if he can, that he did not violate
the conditions, or, if he did, that circumstances in mitigation suggest the violation does not warrant
revocation. The revocation hearing must be tendered within a reasonable time after the parolee is
taken into custody. A lapse of two months, as the State suggests occurs in some cases, would not
appear to be unreasonable.7
The Court went on to specify procedures to be observed in the revocation hearing. They include:
d) The right to confront and cross-examine adverse witnesses (unless the hearing officer specifically
finds good cause for not allowing confrontation).
e) A “neutral and detached” hearing body such as a traditional parole board, members of which need
not be judicial officers or lawyers.
f) A written statement by the fact finders as to the evidence relied on and reasons for revoking parole.8
The Court did not decide the question whether the parolee could have the assistance of retained
counsel, or appointed counsel if he were indigent. When this issue was addressed in Gagnon v.
Scarpelli,9 the Court held that decisions would have to be made on a case-by-case basis, with con-
sideration given to the presence or absence of contested facts, any possibly mitigating circumstanc-
es to be considered in opposition to revocation, and the apparent ability of the probationer or parolee
to present his case effectively. Gagnon v. Scarpelli also held that the above rights given to parolees
must also be given to probationers in probation revocation proceedings. (See Gagnon v. Scarpeilli,
below).
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2. Promptness
The jurisdictions vary considerably on this point. At one end, New York typifies a point of view that the
determination of what constitutes a “reasonably prompt inquiry” must be made on a case-by-case ba-
sis.11 California case law suggests the outside limit of promptness is four months, after which charges
will be struck.12 This seems reasonable, perhaps generous, because the period does not begin when
cause to consider revocation is discovered; it only starts when the probationer or parolee is sum-
moned or arrested. Another perspective is typified by Arizona law, where the limits of promptness are
not less than 7 nor more than 20 days after service of summons or warrant, unless the probationer
requests otherwise.13
Some courts have held that it is possible to dispense with the preliminary hearing and retain the
necessary due process. The Supreme Court held this to be the case in a 1976 decision14 concern-
ing a parolee who had been convicted of a new offense. The conviction conclusively establishes the
necessary probable cause in such situations. Also, if the formal revocation hearing is held within a
reasonable time after the alleged violation, a single revocation hearing may be sufficient. The view
is typified by Michigan and appears to be the preferred method among states.15 The constitutionality
of this procedure was challenged in a Texas case, which went to the United States Supreme Court.16
The Court, however, dismissed the appeal without authoritatively settling this issue.
3. Form of Notice
A parolee who is arrested for an alleged violation of the conditions of parole must be given notice at
the preliminary hearing of the charges filed against the individual.17 Nevertheless the general rule
as typified by an Eighth Circuit ruling only requires written notice with respect to the final hearing
and not with respect to a preliminary hearing.18 However, in those situations in which an acceptably
combined preliminary and revocation hearing is utilized, such as in probation revocation proceed-
ings, then the notice must allege the violation with greater specificity than would be required for only
a preliminary hearing.19
Nevertheless, as a general rule, a probationer or parolee cannot be found to have violated his parole
or probation for a violation that was not charged.24 Moreover this violation must be based on a condi-
tion imposed by the court or parole authority. Probation or community control may not be revoked for
a violation of a condition or requirement unilaterally imposed by the probation or parole officer but not
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by the sentencing order.25 Thus, any written order of revocation can only include those violations of
probation (or parole) conditions that have been alleged, proved at a hearing, and relied upon by the
trial judge (or parole board).26
Finally, most appellate courts have held that any notice alleging a violation of the conditions of
release must be provided to the probationer or parolee prior to the revocation hearing in order for the
person to prepare a legal response or defense to the allegations. In In re Commitment of VanBronk-
horst27 the respondent, who had a history of multiple sex offenses involving children and who had
been diagnosed with pedophilia, had been adjudicated as a sexually violent person and was placed
on supervised release. The State of Wisconsin subsequently filed a petition to revoke his supervised
release. The State alleged that he had violated the conditions of his supervised release by having
verbal contact with a seven year old male while outside the respondent’s residence. During the hear-
ing evidence was also introduced that the respondent had attempted to initiate a relationship with
a neighbor who was a child. At the conclusion of the hearing the trial court revoked the supervised
release of the respondent; however, the decision to revoke the supervised release was not based on
the alleged violation in the notice but was based on testimony at the hearing of the other incident.
The respondent appealed the decision to revoke his supervised release, contending that he was
denied due process when his supervised release was revoked based on a rule violation not charged.
Even though this was an appeal involving a civil commitment of a sex offender, the appellate court
stated that it saw no difference between the conditional liberty interest of a person on probation or
parole and the interests of a person on supervised release as a sexually violent person. The appel-
late court further stated that in probation or parole revocation proceedings, notice to comply with due
process requirements must be given sufficiently in advance of a scheduled court proceeding so that
a defendant would have a reasonable opportunity to prepare for a defense. Thus, in this particular
case, the Wisconsin appellate court held that a decision to revoke supervised release without giving
proper notice was a violation of the person’s due process.
2. Disclosure of Evidence
The Morrissey requirement of disclosure of the evidence against the parolee at the revocation
hearing may be met by a number of methods. Most jurisdictions require some form of written notice
be provided to the probationer or parolee prior to the revocation hearing. Moreover most jurisdictions
allow the parolee access to pertinent official records and materials.28 However, as long as the parolee
is advised in some manner of the evidence against him or her, the parole officer need not reveal his
or her report or notes to the parolee. A federal district court in New York upheld denial of a parolee’s
access to his parole officer’s chronological entries of conversations with the parolee.29
The United States Supreme Court eventually accepted this case on appeal to determine the issue
that the defendant raised at his trial, to-wit: whether the State could introduce testimonial evidence
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without affording him the right to confront and cross-examine the witness. The Supreme Court noted
that the Sixth Amendment’s Confrontation Clause provides that, “[i]n all criminal prosecutions, the ac-
cused shall enjoy the right . . . to be confronted with the witnesses against him.” After having reviewed
the history of this right to confrontation and having examined the original intent of the framers of this
constitutional amendment, the Court concluded that where testimonial evidence was at issue and the
witness was unavailable for cross-examination, the Sixth Amendment demanded that such evidence
could be introduced only if the defendant had had a prior opportunity to cross-examine the witness.
Thus the rules of hearsay could only apply to evidence that was non-testimonial in nature. As such
the Supreme Court reversed the judgment of the Washington Supreme Court.
One issue that the United States Supreme Court did not reach in its holding in Crawford v. Washing-
ton was what constituted testimonial evidence for purposes of invoking the Sixth Amendment right to
confrontation. This matter was addressed in a subsequent Supreme Court decision. In Davis v. Wash-
ington,31 another Washington state case, the defendant was tried for the felony offense of violation of
a domestic no-contact order. The only witnesses to testify were two police officers who had respond-
ed to the 911 call. Even though the victim did not testify at trial the judge allowed the introduction of
the recording of her exchange with the 911 operator. The defendant objected to the introduction of
the tape recording but was overruled by the trial judge. The jury found the defendant guilty.
Once again this matter eventually made its way to the United States Supreme Court. The Court
observed that while it had held in Crawford that the Sixth Amendment barred “admission of testimo-
nial statements of a witness who did not appear at trial unless he was unavailable to testify, and the
defendant had had a prior opportunity for cross-examination,” the Court had not needed to define
“testimonial statements” in order to resolve this case. Nevertheless the Court further acknowledged
that in deciding the case in Davis, the Court would have to explain what it meant by “testimonial
statements.” The Court held that statements were non-testimonial when made in the course of a
police interrogation under circumstances objectively indicating that the primary purpose of the inter-
rogation was to enable police assistance to meet an ongoing emergency. Moreover the Court stated
that statements were testimonial when the circumstances objectively indicated that there was no
such ongoing emergency, and that the primary purpose of the interrogation was to establish or prove
past events potentially relevant to later criminal prosecution. In Davis the Court concluded that the
911 recording concerned events as they were actually happening, rather than describing past events.
The Court further determined that the purpose of the 911 call was to enable police assistance to
meet an ongoing emergency. As such the Supreme Court concluded that these 911 statements were
non-testimonial and upheld the defendant’s conviction.
Despite the holdings of the Supreme Court in Crawford v. Washington and Davis v. Washington,
most appellate courts that have considered this matter have concluded that the Sixth Amendment
right to confrontation does not apply in a revocation hearing. Most appellate courts have reasoned
that because a revocation proceeding is administrative in nature and does not comprise a stage of
a criminal prosecution, the holdings in Crawford and Davis are inapplicable. Thus in United States v.
Aspinall,32 the Second Court of Appeals stated that nothing in Crawford, which reviewed a criminal
trial, purported to alter the standards set by Morrissey/Scarpelli or otherwise suggested that the Con-
frontation Clause principle enunciated in Crawford was applicable to probation revocation hearings.
Other appellate courts, in both the federal system and at the state level, have almost unanimously
made the same ruling.33
Nevertheless at least one federal district court has concluded that the holding in Crawford v. Wash-
ington is equally applicable in parole revocation hearings as in criminal proceedings. In Ash v.
Reilly,34 a parolee’s parole was revoked solely on hearsay statements made by four or five witnesses
to the police officer investigating the incident. The Court observed that the decision in Morrissey was
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explicit that “the right to confront and cross-examine adverse witnesses (unless the hearing officer
specifically finds good cause for not allowing confrontation)” is a “minimum requirement of due pro-
cess” to be afforded criminal defendants in parole revocation hearings. The district court’s reasoning
for concluding that Crawford, to the extent its language might contradict the language in Morrissey,
superseded the Morrissey holding was that to use language differentiating the two types of criminal
proceedings “as an invitation to disregard Morrissey’s previous exposition of the ‘minimum require-
ments of due process’ would be incongruous.”
Despite the continuing questions whether the holding in Crawford v. Davis applies or does not apply
to a revocation hearing, appellate courts are fairly consistent that if a witness is amenable to being
compelled to appear at a revocation proceeding and can offer relevant testimony for the probationer
or parolee, the right to confrontation and cross-examination is violated if the court or parole authority
fails to issue a subpoena requiring the witness to appear and give testimony for the defendant.35
Nevertheless, the exception to this right to compel witnesses is that a probationer or parolee is not
entitled to the right to confrontation and cross-examination of adverse witnesses if the trial court
or parole board finds good cause for not producing the witness. In State v. Rose,36 an Idaho ap-
pellate court noted that when determining whether the admission of hearsay evidence violates a
defendant’s due process right to confront witnesses in probation revocation proceedings, the court
must weigh the defendant’s interest in confrontation against the state’s good cause for denying it.
Moreover, the Court observed that, in evaluating the defendant’s interest, the court should weigh the
defendant’s right to confrontation under the specific circumstances presented in the case.
Thus the Court in State v. Rose stated that the weight to be given the right to confrontation in a
particular probation revocation case depended on the importance of the hearsay evidence to the trial
court’s ultimate finding and the nature of the facts to be proven by hearsay evidence. In addition, the
court stated that the more significant the particular evidence was to a finding, the more important it
was that the defendant be given an opportunity to demonstrate that the proffered evidence did not
reflect a verified fact, and similarly, the defendant’s interest in testing hearsay evidence by exercising
the right to confrontation increased in relation to the uncertainty of the evidence’s reliability. Finally
the court stated that, in evaluating good cause for denying the defendant’s due process right to con-
frontation in probation revocation proceedings, the court must look to both the difficulty of procuring
witnesses and the reliability of the evidence; hence, whether a particular reason was sufficient cause
to outweigh the right to confrontation depended on the strength of the reason in relation to the signif-
icance of the defendant’s right.
b. Hearsay Admissibility
Even if Crawford v. Washington does not apply, there is still a due process claim that any hearsay
testimony must be reliable. Not following the holding of Crawford simply means that instead of an-
alyzing the validity of hearsay testimony under the Sixth Amendment, one must analyze this matter
under the due process clause to the Fourteenth Amendment. Moreover this approach is not only
consistent with the holding of Morrissey but mandated by this holding as well. In addition the Court
also emphasized in Morrissey that the revocation hearing was not the same as a criminal trial and,
as a result, the process should be flexible enough to permit consideration of material, such as letters,
affidavits, and so forth that would not be allowable in a trial.
Most appellate courts that have examined this issue have stated that hearsay evidence in a revo-
cation proceeding is admissible provided the evidence bears some “indicia of reliability.” The United
States Supreme Court has applied this “indicia of reliability” requirement principally by concluding
that certain hearsay exceptions rest upon such solid foundations that admission of virtually any
evidence within them comports with the “substance of the constitutional protection.” Nevertheless
unless reliability can be inferred where the evidence falls within a firmly rooted hearsay exception,
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then the evidence must be excluded, at least absent a showing of particularized guarantees of trust-
worthiness.37
For those jurisdictions which have recognized that certain hearsay evidence may be introduced in a
revocation proceeding, the Courts have used one of two tests for determining whether the particular
hearsay statement can be properly admitted – one is a balancing test and the other is the substan-
tial trustworthiness test. As mentioned above, in State v. Rose, under the balancing test, the trial
court weighs the probationer’s interest in confronting a witness against the interest of the State in
not producing the witness. Under the substantial trustworthiness test, the due process confrontation
requirement applicable in revocation matters will generally be satisfied where a trial court determines
that proffered hearsay bears substantial sufficient indicia of reliability.38
Despite the widespread recognition that hearsay evidence can be considered in a revocation pro-
ceeding, depending on the jurisdiction, the weight of the hearsay evidence that the court or parole
authority may give in finding a violation of a condition of release varies considerably. For example,
despite other jurisdictions affirming the introduction of hearsay evidence in a revocation proceeding,
the courts in Georgia still maintain that hearsay evidence has no probative value and is inadmissible
in a probation revocation proceeding.39 This holding is opposite of that of the Kansas Supreme Court,
which has ruled that where hearsay evidence is reliable, it can be the sole basis for a probation revo-
cation.40 Finally, several appellate courts have taken a middle course and have held that, although a
trial court can rely upon an out-of-court statement that bears substantial guarantees of trustworthi-
ness, the decision to revoke probation cannot be based entirely upon hearsay evidence.41
After having been imprisoned in Green Bay, Wisconsin to serve his sentence for armed robbery,
the defendant filed an application for writ of habeas corpus. The defendant raised two issues in his
application; one, that he was denied a hearing on his revocation of probation, and two, that he was
not afforded counsel. He contended that both of these matters involved his due process rights. The
United States Supreme Court granted his application for writ of certiorari and accepted the case for
decision.
The Supreme Court, noting its earlier holding in Morrissey, observed that there was little if any
difference between the revocation of parole and probation and that logic would dictate that the legal
principles enunciated in Morrissey should be held applicable to probation revocations. Thus the
Court held that a probationer, like a parolee, is entitled to a preliminary and a final revocation hearing
under the conditions specified in Morrissey v. Brewer.
The Court next turned to the second matter raised by the defendant in his application, namely, his
not being afforded counsel at the revocation proceeding. This was an issue that had not been ad-
dressed by the Court in Morrissey. Although the Supreme Court had previously held that an indigent
defendant has the right to court-appointed counsel whenever he was charge with an offense that
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carried the possibility of imprisonment or confinement in jail,43 the Court in Gagnon v. Scarpelli re-
fused to hold that a probationer or parolee had an absolute constitutional right to the appointment of
counsel in a revocation proceeding. The Court noted that a revocation proceeding, unlike a criminal
trial, was not a true adversarial proceeding. Moreover, the Court further observed that certain inher-
ent objectives in probation and parole, such as the speedy disposition of revocation matters and the
overall goal of successfully reintegrating an offender back into society, would be thwarted if counsel
were appointed to a probationer or parolee in all cases.
Nevertheless the Court recognized that in certain circumstances, fundamental fairness would require
that counsel be appointed for an indigent offender in a revocation proceeding. The Court stated:
Presumptively, it may be said that counsel should be provided in cases where, probationer or pa-
rolee makes such a request, based on a timely and colorable claim (1) that he has not committed
the alleged violation of the conditions upon which he is at liberty; or (2) that, even if the violation
is a matter of public record or is uncontested, there are substantial reasons which justified or
mitigated the violation and make revocation inappropriate, and that the reasons are complex or
otherwise difficult to develop or present.44
Thus the Court held that the decision to appoint counsel for an indigent probationer or parolee must
be made on a case-by-case basis.
Appellate courts have scrupulously attempted to apply the Supreme Court’s holdings in Morrissey
and Gagnon. As recently as 2006 the Texas Court of Criminal Appeals reiterated that the United
States Supreme Court had held in Morrissey v. Brewer that due process applies to parole revoca-
tions and that the Supreme Court had held in Gagnon v. Scarpelli that the procedures outlined in
Morrissey also apply to probation proceedings.45 Also, within the last decade, the Fifth Circuit United
States Court of Appeals in Williams v. Johnson, held that the due process guarantees enunciated
by the Supreme Court in Morrissey are equally applicable to revocation hearings as to preliminary
hearings.46
Appellate courts have had difficulty; however, in interpreting the holding of the Supreme Court in
Morrissey when the Court stated:
We have no thought to create an inflexible structure for parole revocation procedures. The few
basic requirements set out above, which are applicable to future revocations of parole, should not
impose a great burden on any state’s parole system.
This statement has raised the question whether the due process guarantees in Morrissey are abso-
lute or whether the flexibility mentioned permits exceptions to be made under justifiable circumstanc-
es. Thus, appellate courts have struggled over the years to determine whether the six basic require-
ments established in Morrissey are iron-clad due process guarantees or whether some deviations
are permissible.
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Despite the Court’s holding in Morrissey mandating a preliminary hearing, appellate courts under
certain circumstances have dispensed with a preliminary hearing. The United States Supreme Court
in Moody v. Daggett52 held that if a parole violation warrant alleges that the parolee violated the
conditions of his parole by being convicted of (as opposed to charged with) another criminal offense,
then a preliminary hearing is not required. The Court reasoned that, because the purpose of the pre-
liminary hearing is to establish probable cause to believe that the alleged violation occurred, a crim-
inal conviction obtained in a court of law suffices to establish that probable cause exists to believe
that the parolee committed the criminal offense. Nevertheless, if a parolee (or probationer) is charged
with (as opposed to convicted) of a crime, then the person may be entitled to a preliminary hearing.
Hence in Ex parte Cordova, the Texas Court of Criminal Appeals held that new pending charges did
not deprive a parolee of his right to a preliminary hearing, within a reasonable time, to determine
whether probable cause or reasonable grounds existed to show that he violated the conditions of his
parole.53
In addition, a parolee can validly waive a preliminary hearing.54 Moreover, if a parolee stipulates to
the allegations against him in a revocation hearing, then the failure to hold a preliminary hearing
in connection with proceedings to revoke supervised release does not violate a supervisee’s due
process rights.55 In addition, a state appellate court, in following the holding of the Supreme Court in
Moody v. Daggett has held that if a parolee has been convicted of a new crime based upon his plea
of guilty, then that individual is not entitled to a preliminary hearing prior to a determination revoking
the person’s parole.56 Finally, if the revocation hearing will be conducted at or near the time of the pa-
rolee’s or probationer’s apprehension on the revocation warrant, then some courts have held that the
preliminary hearing can be dispensed with. Thus in Ellis v. District of Columbia57 the United States
Court of Appeals for the District of Columbia held that the policy in the District of Columbia mandat-
ing that revocation hearings be conducted within thirty days of the arrest of a parolee satisfied the
requirement that a preliminary hearing be conducted and thus the preliminary and revocation hearing
could be combined.
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1. Burden of Proof
Every appellate court that has addressed this matter has recognized that a probationer or parolee
has a due process right in the prosecuting attorney carrying the burden to prove that the person vio-
lated a condition of released as alleged in a written notice to the defendant.58 For example, in Smith
v. State59 an Indiana appellate court reversed the decision of the trial court to revoke the probation of
the defendant, holding that by failing to consider any probative evidence presented by the State, the
trial court in fact had shifted the burden to the defendant to prove that the crime he had been alleged
to have committed in violations of the conditions of his probation was not committed. Nevertheless,
although the courts have consistently affirmed that the State carries the burden of establishing a
violation of a condition of release, some courts have also stated if the State presents a prima facie
case indicating that the probationer violated a condition of probation, the burden may then shift to
the probationer to show that the violation was not committed willfully. Thus, in State v. Terry,60 a North
Carolina appellate court stated that at a probation revocation hearing, once the State has presented
competent evidence establishing the defendant’s failure to comply with the terms of probation, the
burden is then on the defendant to demonstrate, through competent evidence, an inability to comply
with the terms.
2. Standard of Proof
The standard of proof required to support revocation will have an effect upon an officer’s decision to
submit the case to the authority entrusted with making the revocation decision. Where an officer is
conducting the revocation hearing, a knowledge of the standard of proof required for revocation in the
jurisdiction is essential. Although research has turned up no revocation proceeding in which a finding
of an alleged violation had to be proven beyond the reasonable doubt standard,61 there is neverthe-
less a wide latitude among the states in determining the proper standard.
The standard that many states and the federal system require in order to prove that a probationer
or parolee violated a condition of release is by a preponderance of the evidence.62 This standard is
satisfied in a revocation proceeding if the greater weight of credible evidence creates a reasonable
belief that the defendant violated a condition of probation as alleged by the State.63 Nevertheless,
many states follow a variant of this standard. Thus an appellate court in Alabama has stated that the
standard of proof in probation revocation hearings is to be the reasonable satisfaction, rather than
beyond a reasonable doubt or by a preponderance of the evidence.64 In New Mexico the proof to
support probation revocation must be that which inclines a reasonable and impartial mind to believe
that the defendant had violated the terms of probation.65
3. Willfulness of Violation
Even if there is sufficient evidence presented at a revocation hearing to substantiate a finding that the
probationer or parolee violated a condition of release, the court or parole authority still cannot revoke
the supervised release of the person if the violation was unintentional or unavoidable. As a general
rule in revoking probation, a district court must find that any violation was intentional or inexcusable.66
This is also true in parole revocation proceedings. In Florida Parole Commission v. Ferguson,67
the appellate court held that the revocation of parole was not warranted where neither the hearing
officer’s record nor the parole commission’s order of revocation indicated that the parolee’s actions
constituted a willful and substantial violation of his conditional release supervision. Finally, whereas
some jurisdictions place the burden of indicating a willful violation on the State, others place this
burden on the defendant. Thus in State v. Skolaut,68 the Kansas Supreme Court held that where there
is discretion to continue or revoke probation, the probationer is entitled to an opportunity to show not
only that he did not violate the conditions of probation, but also that there was a justifiable excuse for
any violation or that revocation is not the appropriate disposition.
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Courts probably will insist on detail in appropriate cases, rather than accept an officer’s conclusions
about an event. In an Oregon case,76 a probation officer was required at a revocation hearing to
testify to the precise relationship of the probationer with the four-year-old daughter of the woman with
whom the probationer was living. A probation condition prohibited the probationer from associating
with young girls. The court was unwilling to equate living in the same household with the proscribed
“association;” the court wanted to draw its own conclusion from the facts observed by or known to
the officer.
As the above cases demonstrate, there is no clear rule on whether a parole (or probation) officer’s
testimony unsupported by other evidence will be sufficient to revoke parole (or probation). But it must
be noted that uncorroborated testimony concerning an observed event is admissible. Thus, if the
parole or probation officer has personal knowledge of the event that forms the basis of the alleged vi-
olation, for example, the officer saw the offender consuming alcohol or present at a place or location
prohibited by the court or parole board or the offender made an admission against his penal interest
to the officer, such as admitting that he had been taking drugs when ordered not to by the court or
parole board, then this evidence is generally sufficient to justify a court or parole board revoking the
offender’s conditional release.
Probation/parole officers should also recognize that, although testimony might be objectionable for
one purpose, it may, nevertheless, be received for another legal purpose. For example, the Supreme
Court has held that, even though evidence obtained in violation of Miranda may not be introduced in
the case in chief to prove that a defendant actually committed the criminal offense alleged, such evi-
dence may still be introduced for impeachment purposes if the defendant takes the stand and denies
that he committed the act alleged by the State.77 Thus probation and parole officers need to be aware
that even if certain evidence is ordinarily excludible in a revocation hearing, it may still be admissible
as rebuttal evidence, for impeachment purposes, or to show the state of mind of the offender.
In addition, if a probation or parole officer does not have personal knowledge of the incident that
forms the basis of the revocation proceeding, then ordinarily any testimony on the part of the officer
would not be probative, meaning it could not support a finding that the probationer or parolee ac-
tually committed the violation alleged. Thus, on the issue of whether a probationer or parolee had
a particular history of arrests, or had written certain bad checks, the officer might not be a qualified
168 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
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witness. A certified copy of a police record or the testimony of a bank officer might be deemed neces-
sary to prove such matters.
Moreover, what type of evidence is probative is also dependent on what violation of the conditions of
release is alleged. For example, proof that a parolee or probationer was arrested for a new offense
would not be sufficient to prove an allegation that the offender committed a new offense. However,
proof of an arrest might be sufficient if the allegation were that a condition of the offender’s release
was to report all new arrests to his probation or parolee officer and he had failed to do so. Thus in
determining whether to seek revocation of an offender’s conditional release, a probation or parole of-
ficer must not only consider the probative value of any evidence he may have concerning a particular
violation of the conditions of release, but also evaluate the probative value of this evidence in light of
other conditions imposed by the court or parole board.
A West Virginia case illustrates the points made regarding the admissibility of evidence for limited
purposes.78 In that case the defendant had been charged as an accessory to murder. He took the
stand in his own defense and, in the course of seeking to establish his good character, acknowl-
edged that he had been previously convicted in Ohio, but claimed that he had observed the condi-
tions of his parole. The defendant had in fact violated a non-association parole condition. Ordinarily
observance of parole conditions was clearly collateral to the murder prosecution; as such, the rules
of evidence normally would bar the testimony because impeachment is not permitted on a collateral
matter. Nevertheless the court held, in this particular case, that the testimony could be received for
the limited purpose of suggesting that the defendant did not always tell the truth; hence, his version
of the facts in the murder case might not be credible.
D. Limitation on Testimony
The cases do not tell the precise limits on the relevance of the testimony or other evidence that may
be offered to support revocation. One New York case,79 however, shows that there are limits. In that
case, after the revocation hearing but before any decision was announced, an officer discovered that
the parolee had written more bad checks than were considered at the hearing; he brought this infor-
mation to the attention of the hearing officer. In a summary opinion, which did not explain the court’s
reasoning, this was held to be improper and a new hearing before a different examiner was ordered.
A number of Morrissey rights arguably were interfered with. There was no written notice about these
additional “charges,” and the parolee had no opportunity to refute or explain them. Moreover, the
additional information might have been viewed as tending to bias the hearing examiner.
F. Due Diligence
Despite court holdings that a probationer or parolee facing a revocation hearing does not have a
sixth amendment right to a speedy hearing, court have entertained the notion that an unacceptable
delay procuring the arrest and even conducting the hearing may implicate certain due process rights.
Moreover courts have found that this right of due diligence, which is sometimes characterized as a
defense to the State’s motion to revoke, arises not out of the sixth amendment to the United States
Constitution but instead under the due process clause to the fourteenth amendment.83 Due diligence
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differs from the right to a speedy trial in that due diligence becomes an issue if the state moves for
a revocation after the term of probation has expired while the right to a speedy trial only applies to a
criminal proceeding if a defendant claims that the person’s defense to new criminal allegations was
unjustly prejudiced by the delay in the State trying the individual.
Generally, probation may be lawfully revoked beyond the probationary period if a revocation petition
is filed prior to the end of the probationary period and the state acts on the petition within a rea-
sonable time.84 However, an unreasonable delay by the State in the issuance of and execution for
the arrest of a probationer whose whereabouts are either known or ascertainable with reasonable
diligence may result in the State’s waiver of the violation and entitle the defendant to discharge.
Moreover, once the probationer raises the matter of due diligence, the burden is on the State to show
the exercise of due diligence in apprehending the person. Thus, where the record on appeal shows
“an absence of evidence as to efforts actually made by the State to attempt service on a probationer
or investigate his whereabouts,” then appellate courts will hold that the State failed to make a timely
and reasonable effort to serve the warrant on the defendant.85
Nevertheless, as with the right to a preliminary hearing, the time frame for the need to conduct a
revocation hearing does not begin until a warrant for the arrest of the individual has been issued.86
Thus, in State v. Inscore,87 a defendant who was placed on probation in West Virginia was subse-
quently arrested for a different offense and sentenced to serve a term in prison in Virginia. Although
the probation officer in West Virginia had prepared a petition to revoke, the state prosecutor filed a
detainer on the defendant and took no further action on the individual until after he had completed
his term of confinement in Virginia. The defendant, at his revocation hearing in West Virginia asserted
that the delay in conducting the probation revocation hearing violated his state constitutional “right to
a speedy trial.”
The appellate court disagreed with his contention on appeal. Instead the appellate court held that
where a defendant is incarcerated in another state and the prosecuting authorities in West Virginia
wished to proceed with probation revocation proceedings, it was a sufficient exercise of due diligence
for the prosecuting attorney to invoke the detainer process and to cause one or more bench warrants
to issue for the defendant’s arrest as a means of notifying the defendant of the pendency of the peti-
tion to revoke probation. The appellate court further held that where a defendant was incarcerated in
another state and the prosecuting authorities in West Virginia wished to proceed with probation revo-
cation proceedings, it was a sufficient exercise of due diligence for the prosecuting attorney to bring
the defendant before the West Virginia court for a probation revocation hearing within a reasonable
time following the conclusion of his sentence in the asylum state.
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These two components or stages to the revocation hearing actually entail a much more complex
process for finally determining the outcome of a revocation proceeding. At a revocation hearing there
are several potential issues to be resolved:
1. Whether the allegations of the revocation motion are true, which the State carries the burden of
proving.90
2. Whether the defendant committed the violation willfully or without legal justification.91
Thus, even if a probationer admits a violation of the conditions of release, that individual must
still be given an opportunity to offer mitigating evidence suggesting the violation does not warrant
revocation.94
Although some appellate decisions have affirmed that a violation of a single condition of probation is
sufficient to revoke probation,95 the courts have also reiterated that the goal of a revocation hearing
is to not to decide guilt or innocence, but to determine whether the defendant remains a good risk
for probation.96 As one federal appellate court stated: “the violation of probation conditions must be
substantial; probation revocation is appropriate only if the probationer’s behavior demonstrates that
he cannot be counted on to avoid anti-social activity, and is not warranted by mere accumulation of
technical violations.”97
H. Written Findings
Ever since the Supreme Court’s holdings in Morrissey v. Brewer and Gagnon v. Scarpelli, appellate
courts have consistently held that revocation disposition orders must be in writing. Thus the failure to
make findings regarding the evidence upon which the trial judge relied and to provide the probationer
with a statement of the judge’s reason for revoking the person’s probation is a denial of the proba-
tioner’s right to due process.98 Nevertheless, this requirement that the disposition order be in writing
may be satisfied by the placement of the transcript of the evidentiary hearing in the record provided it
contains a clear statement of the trial court’s reasons for revoking probation.99
1. Right to Counsel
Surprisingly, one of the rights the Supreme Court in Gagnon v. Scarpelli held a probationer was not
automatically entitled to under the United States Constitution in a revocation proceeding was the right
to counsel. Instead, the Court in Scarpelli held that whether a probationer (and parolee) was entitled
to counsel in a revocation proceeding must be decided on a case-by-case basis and largely depend-
ed on the complexity of the issues being decided at the revocation hearing. Certain appellate courts
have followed this holding of the Supreme Court. Thus one appellate court has held that a proba-
tioner does not have an absolute right to counsel at a violation of probation hearing or on appeal fol-
lowing a probation adjudication hearing.100 Nevertheless other appellate courts have held that either
under its state constitution101 or through a state statute,102 the individual at a probation revocation
hearing must be informed that s/he has the right to retain counsel and, if indigent, shall be entitled
to the services of the public defender.103 However, other appellate courts have held that although a
probationer may be entitled to counsel at a revocation hearing, a probationer is not entitled to coun-
sel in any proceeding that falls short of a revocation hearing. Hence, one appellate court has held
that a person is not entitled to counsel at a hearing to modify the conditions of his probation because
a modification of probation does not result in the same loss of liberty as a probation revocation.104
Finally, a probationer is not entitled to counsel if the nature of the proceeding is non-adversarial.105
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Five months into the defendant’s period of parole, he was arrested for several alleged violations of
the conditions of his release. In addition, parole agents conducted a search of the parolee’s resi-
dence, which was also the home of his mother. The agents found five firearms, a compound bow,
and three arrows as a result of the search of his residence. Although the parolee objected to the in-
troduction of the seized weapons at his revocation hearing, the evidence was nevertheless admitted
at the hearing and his parole was revoked.
The defendant appealed the admission of this evidence to the Pennsylvania Supreme Court. The
defendant argued that the evidence was seized in violation of his United States constitutional rights
under the fourth and fourteenth amendments. The Pennsylvania Court agreed and held that the
exclusionary rule applied to this case. The State appealed this ruling to the United States Supreme
Court.
The United States Supreme Court noted that it had only applied the exclusionary rule where its
deterrence benefits outweighed its “substantial social costs.” Thus using this analytical premise, the
Court examined the deterrence benefits versus the social costs in applying the exclusionary rule to a
revocation proceeding. A majority of the Court stated:
the application of the exclusionary rule would both hinder the functioning of state parole systems
and alter the traditionally flexible, administrative nature of parole revocation proceedings. The rule
would provide only minimal deterrence benefits in this context, because application of the rule in
the criminal trial context already provides significant deterrence of unconstitutional searches.
Therefore, the Court held that the exclusionary rule did not ban the introduction at a parole revo-
cation hearing of evidence seized in violation of a parolee’s fourth amendment rights. In short, the
Court held that the Constitution does not require the states to exclude illegally obtained evidence in
revocation hearings. This means that a state can, at its discretion, admit or exclude illegally obtained
evidence in revocation proceedings.
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Although the Supreme Court deemed the deterrent effect of the admissibility of illegally obtained ev-
idence minimal in a revocation proceeding, there are certain situations under which this assumption
could be questioned. For example, state prosecutors may decline to try a parolee in a criminal action
if they believe that certain critical evidence may not be admissible and instead seek to have the
evidence used in a revocation proceeding. Moreover, the Court in Scott did not address the question
concerning a violation of a parolee’s Fifth Amendment rights, that is, whether a confession obtained
by force or coercion could still be admissible in a revocation proceeding. Finally, despite this holding,
certain states may create their own state exclusionary rules and restrict the admissibility of illegally
obtained evidence in a parole or probation revocation proceeding.
On appeal, the United States Supreme Court held that a sentencing court cannot properly revoke a
defendant’s probation for failure to pay a fine and make restitution, absent evidence and findings that
he was somehow responsible for the failure or that alternative forms of punishment were inadequate
to meet the State’s interest in punishment and deterrence. Said the Court:
Over a quarter-century ago, Justice Black declared that “there can be no equal justice where the
kind of trial a man gets depends on the amount of money he has…. There is no doubt that the
State has treated the petitioner differently from a person who did not fail to pay the imposed fine
and therefore did not violate probation.
Nevertheless, to determine whether this differential treatment violates the Equal Protection clause,
one must determine whether and under what circumstances, a defendant’s indigent status may be
considered in the decision whether to revoke probation.112
In many jurisdictions, however, indigence (or inability to pay) is an affirmative defense to a revocation
petition for failure to pay monetary obligations — hence avoiding a constitutional challenge similar to
Bearden. The burden of proving indigence is usually with the probationer (or parolee). Nevertheless
in order to revoke the supervised release of an individual for failure to make payments, it must be
shown that the failure was willful on the part of the parolee or probationer.113
In jurisdictions that do not provide for indigence as a bar to revocation, the Bearden case becomes
important as a defense to incarceration. It is evident from Bearden, however, that a distinction must
be made between failure to pay because of indigence, thus foreclosing revocation, and refusal to
pay, where revocation or a possible contempt proceeding is a valid option for the court to take. Thus
if a court finds that a probationer made sufficient efforts to satisfy probation conditions requiring pay-
ments, the court can order imprisonment only if it finds alternative punishments are not adequate to
satisfy the state’s interests in punishment and deterrence.114 These alternatives to imprisonment that
a court should consider include reduction of fine imposed, extension of time to pay, and performance
of public service tasks in lieu thereof.115
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Before a court considers alternatives to incarceration the probationer (or parolee) must show a good
faith effort to comply with a payment condition. Thus in Ransdale v. State, the Wyoming Supreme
Court held that a probationer’s due process rights were not violated where a trial court revoked the
person’s probation for failure to pay restitution without first considering alternatives to imprisonment
where it was shown at the hearing that the probationer admitted that he had made no effort to look
for other employment when his family’s business started to fold, and there was no evidence that the
probationer made any effort to borrow money, seek a modification of the terms of the probation order,
or notify the court of a change in circumstances.116
■■ The suspect has a right to the presence of an attorney before and during any questioning.
■■ If the suspect cannot afford to hire an attorney, one will be provided by the state.
The Miranda decision affects only the admissibility of evidence at trial. It does not directly apply to
probation or parole revocation, but circumstances frequently arise where the investigation indicates
the occurrence of a new offense. Where this occurs, the officer must be careful not to cross the line
between supervision — his or her proper role — and serving as agent for law enforcement author-
ities to ferret out information of a crime. If the line is crossed, and perhaps even if it is approached
closely, Miranda warnings should be given.
In cases of doubt, the probation/parole officer might well ask him or herself whether the circumstanc-
es amount to custodial interrogation. An affirmative answer will indicate that the officer is involved in
an investigation of some act or circumstance that might be construed as being of an independent na-
ture — that is, separate from the supervision function. Moreover, if the officer formulates the intent to
refuse to allow a probationer or parolee to leave until he or she completes any investigative inquiries,
then this may constitute custodial interrogation.
The courts consider whether the suspect was “deprived of freedom of action in any significant way”
in determining if questioning is custodial in nature. The defendant need not have been in actual cus-
tody. The suspect need only have held a reasonable belief that he or she was deprived of freedom in
any significant way.
It could be argued that a parolee is always in custody; however, the Supreme Court ruled against
this view. In an Oregon case, a parolee was asked by his parole officer to meet to discuss a burglary.
They met at a police station as a convenient place and the suspect confessed. The Court held this
was not a custodial interrogation, as he was in fact free to leave.118
If the parolee is in custody on a new charge, the officer is required to give the Miranda warnings.119
What actually constitutes custodial interrogation is determined on a case-by-case basis, and juris-
dictions vary considerably as to what is construed as custodial. A Kansas case held that when a
parole officer went with the police to the parolee’s home, took the parolee to the parole office, and
questioned him there, the interrogation was custodial.120 The court suggested that any questioning
174 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
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by the parole officer related to a new offense requires Miranda warnings. However, the Oregon case
referred to above holds otherwise.
Courts have held the following not to be custodial interrogations, obviating the need for Miranda
warnings.
1. Where questioning by a parole officer occurred during a ride to the parole office and at the office,
but the investigation had not yet become accusatorial. Once the parole officer has probable cause
to make an arrest, Miranda must be given effect.121
2. Where a parolee was confined at a state hospital and confessed to a crime on his own initiative.
The court mentioned as significant the facts that the parolee was not handcuffed, was free to
leave the interviewing area, and third parties were present in the interviewing area.122
3. In a New York case, although the probationer was not free to leave the interviewing room, Miran-
da was not applied, as the coerciveness involved did not exceed that inherent in the probation
or parole relationship. (Often the client has agreed to answer questions as part of the release
agreement.)123
After being indicted for first-degree murder, Murphy sought to suppress the confession made to the
probation officer on the ground that it was obtained in violation of the fifth and fourteenth amend-
ments. The case went to the United States Supreme Court. The Court held that the fifth and four-
teenth amendments did not prohibit the introduction into evidence of the probationer’s admissions
to the probation officer in the subsequent murder prosecution. In general, the obligation to appear be-
fore his probation officer and answer questions truthfully did not in itself convert an otherwise volun-
tary statement into a compelled one. A witness confronted with questions that the government should
reasonably expect to elicit incriminating evidence ordinarily must assert the fifth amendment privilege
rather than answer if he desires not to incriminate himself. If he chooses to answer rather than assert
the privilege, his choice is considered to be voluntary since he was free to claim the privilege.
A number of questions arise as a result of Murphy. For example, had the probationer objected to
answering the questions asked by the probation officer, but was forced to do so, would the evidence
have been admissible? The answer appears to be in the negative. When is a probationer considered
to be in custody such that the Miranda warnings must be given if the evidence is to be used in a
criminal trial? The Court does not answer that in Murphy, other than saying that “it is clear that re-
spondent was not ‘in custody’ for purposes of receiving Miranda protection since there was no formal
arrest or restraint on freedom of movement of the degree associated with formal arrest.” Does the
holding in Murphy extend to parole cases? This was not decided by the Court, but there are reasons
to believe that it should.*
*For a further discussion of Minnesota v. Murphy, see the section on self-incrimination in Chapter 7, Conditions,
Modifications, and Changes in Status.
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Addressing specific facts in the case, the Court went on to say that the procedures required by the
due process clause were afforded in this case, even though the state judge did not explain on the
record his consideration and rejection of alternatives to incarceration. The revocation of probation did
not violate due process simply because the offense of leaving the scene of an accident was unrelat-
ed to the offense for which the defendant was previously convicted or because, after the revocation
proceeding, the charges arising from the automobile accident were reduced to the misdemeanor of
reckless and careless driving. The Romano case, therefore, reiterates that Morrissey is still the yard-
stick by which revocation due process challenges are measured. However the Court has shown an
unwillingness to expand the meaning of due process beyond that laid out in Morrissey.
A person charged in any state with treason, felony, or other crime, who shall flee from justice, and
be found in another state, shall on demand of the executive authority of the state from which he
fled, be delivered up, to be removed to the state having jurisdiction of the crime.
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Questions have arisen over the years concerning this process. These include the circumstances
under which extradition may be refused, the behavior that makes one a fugitive from justice, and the
authority of federal courts to require extradition. The only issue addressed here, probably the only
one in which probation/parole officers are involved, is the adequacy of the papers and documentation
on which the extradition demand is based.
Exactly what documentary evidence must be assembled to support a governor’s request to extradite
a suspected violator varies considerably from state to state. Colorado does not require a certificate of
judgment, conviction, and the sentence imposed; a certified record of the defendant’s plea, suspend-
ed sentence, and probation is sufficient.126 The same logic might be applied to parole, but it seems
likely that at least a judgment of conviction would be required. In another Colorado case, it was held
that a judgment of conviction and a statement from the governor that the person violated the terms
of his probation were sufficient.127 New Hampshire allowed the court to infer a probable probation
violation even though it was omitted from the extradition papers, because the conditions of probation
included that the defendant not leave the state without permission.128 Thus, probation/parole offi-
cers should consult with departmental legal counsel whenever a question involving the necessary
documentation required for successful extradition arises. Finally if a probationer or parolee being
supervised in a state gets permission to move to another state, then that individual’s supervision will
be governed by the rules of the Interstate Compact for Adult Offender Supervision.
SUMMARY
This chapter examines legal issues related to revocation, focusing primarily on the due process
guarantees that the Supreme Court has established for revocation proceedings. The procedural due
process rights set forth in Morrissey and clarified a year later, in Gagnon v. Scarpelli, remain the law
of the land. Morrissey mandates a two-stage process comprised of a preliminary hearing and a final
hearing. The preliminary hearing can be dispensed with under certain circumstances. Gagnon states
that the due process guarantees established in Morrissey for parole revocation proceedings are
equally applicable to probation revocation proceedings. However, Gagnon also states that the right to
appointed counsel in revocation proceedings must be made on a case-by-case basis.
Morrissey gave rise to a host of legal issues that were left unaddressed in that case. Among these
are: preliminary hearing issues (including location, promptness, form of notice, and impartial hearing
officer); revocation hearing issues (including notice of hearing, disclosure of evidence, and confron-
tation and cross-examination); and hearsay admissibility. Other issues related to revocation proceed-
ings which are discussed in this Chapter are: standard and burden of proof, nature of proof required,
limitations on testimony, due diligence, disposition of revocation proceedings, and the exclusionary
rule as applied to probation/parole cases. Despite the continuing viability of Morrissey and Gagnon
the Supreme Court has refused to extend greater due process guarantees in revocation proceedings
than enunciated in these two cases.
The application of the Miranda decision is addressed in accordance with the 1984 Supreme Court
decision of Minnesota v. Murphy. Whether the Miranda warnings must be given depends on the
nature of the questioning. If it is a custodial interrogation, Miranda does apply if the evidence is to
be used in a subsequent criminal trial. Moreover its admissibility for use in a subsequent probation
or parole revocation proceeding is determined by state law or judicial decisions. Some states require
that the Miranda warnings must be given for the evidence to be admissible; others do not.
In Black v. Romano, the Court refused to expand the due process guarantees in Morrissey, saying
that the due process clause does not generally require a sentencing court to indicate that it has con-
sidered alternatives to incarceration before revoking probation. In Bearden v. Georgia, the Supreme
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Court stated that probation cannot be revoked for failure to pay a fine or fees solely on the ground
that the probationer was indigent and did not have the financial ability to pay the fine or fee. If a
probationer or parolee was indigent, did not have the financial means to pay the fines, fees, or court
costs, and had made a good faith effort to pay them, then an alternative means than imprisonment
must be made available to the probationer or parolee to discharge any financial obligations. Finally, in
Scott v. Pennsylvania Board of Probation and Parole, the Supreme Court held that the exclusionary
rule does not apply in revocation proceedings.
While the United States Constitution mandates that an asylum state honor the request of any other
state to extradite a person accused of a crime, the rules on extradition vary considerably from state to
state; hence probation/parole officers are advised to consult their legal counsel whenever questions
concerning extradition documentation arise. Nevertheless, probationers and parolees who have left
a state in which they were being supervised without permission and are found in another state are
subject to extradition. If a probationer or parolee has permission to leave a state, then that person will
be subject to the rules of the Interstate Compact for Adult Offender Supervision.
NOTES
1. See www.ojp.usdoj.gov/bjs/pandp.htm.
5. Id. at 482.
6. Id. at 485.
7. Id. at 488.
8. Id. at 488-489.
10. Kartman v. Parratt, 535 F. 2d 450 (8th Cir. 1976). Read closely, Gagnon requires counsel at the
preliminary hearing as well as the final hearing in most instances. See, e.g., Van Ermen v. Percy,
489 F. Supp. 791 (E.D. Wis. 1980); Cresci v. Schmidt, 419 F. Supp.1279 (E.D. Wis. 1976); Kemp v.
Spradlin, 250 Ga. 829, 301 S.E. 2d 874 (1983).
16. Vincent v. State, 586 S. W. 2d 880 (Tex. Crim. App. 1979), appeal dismissed, 449 U. S. 119
(1980).
178 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
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19. See United States v. Havier, 155 F. 3d 1090 (9th Cir. 1997), in which Ninth Circuit Court of Ap-
peals, in interpreting federal rules of criminal procedure that incorporated the Supreme Court’s hold-
ing in Morrissey, held that where a revocation petition alleges the commission of a new crime and the
offense being charged is not evident from the condition of probation being violated, then a defendant
is entitled to receive notice of the specific statute he is charged with violating.
21. In re Ricks, 31 Cal. App. 3d 1006, 107 Cal. Rptr. 786 (1973); People ex rel Warren v. Mancusi,
40 A. 2d 279, 339 N.Y.S. 2d 882 (1973); Parker v. Coldwell, 320 Ohio App. 2d 193, 289 N. E. 2d 382
(1972); Ex parte Ates, 487 S. W. 2d 353 (Tex. Crim. App. 1972).
24. Nelson v. State, 802 So. 2d 470 (Fla. App 2 Dist. 2001).
26. McMahill v. State, 826 So. 2d 526 (Fla. App. 5 Dist. 2002); In Abel v. Wyrick, 574 S. W. 2d 411
(Mo. 1978), the Missouri Supreme Court held that the mere affidavit of a hearing officer that he had
directed that a violation report be sent to the individual was not enough to support a revocation or
parole.
28. V. O’Leary and K. Hanrahan, Parole Systems in the United States, 57 (3rd. ed. 1976).
29. Augello v. Warden, Met. Corr. Ctr., 470 F. Supp. 1230 (E.D.N.Y. 1979).
33. United States v. Martin, 382 F. 3d 840 (8th Cir. 2004); State v. Palmer, 158 P. 3d 363 (Kan. App.
2007); Reyes v. State, 868 N. E. 2d 438 (Ind. 2007); and People v. Stanphill, 87 Cal. Rptr. 3D 643
(Cal. App. 3D Dist. 2009).
35. O’Hara v. Board of Parole and Post-Prison Supervision, 203 P. 3rd 213 (Or. 2009); see also,
Williams v. Quarterman, 2009 WL 73154 (5th Cir. 2009).
38. Hampton v. State, 203 P. 3d 179 (Okla. Crim. App. 2009; see also, Reyes v. State, 868 N. E. 2d
438 (Ind. 2007), in which the Indiana Supreme Court found “the substantial trustworthiness test” the
more effective means for determining the hearsay evidence that should be admitted at a revocation
hearing than the balancing test.
41. Hampton v. State, 203 P. 3d 179 (Okla. Crim. App. 2009); see also, Thompson v. State, 994 So. 2d
468 (Fla. App. 3 Dist. 2008).
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43. See Gideon v. Wainwright, 372 U. S. 335 (1963) and Argersinger v. Hamlin, 407 U. S. 25 (1972).
46. Williams v. Johnson, 171 3 rd. 300 (5th. Cir. 1999); see also, State v. Sanchez, 28 P. 3d 1143 and
State v. Hemmes, 740 N. W. 2d 81 (N. D. 2007), in which the North Dakota Supreme Court enunciat-
ed that the minimum rights afforded to a probationer include: written notice of the claimed violations
of his probation, disclosure of the evidence against him, an opportunity to be heard in person and to
present witnesses and documentary evidence; a neutral hearing body, and a written statement by the
fact finder as to the evidence relied on and the reasons for revoking probation. See also John v. Unit-
ed States Parole Commission, 122 F. 3d 1278 (9th Cir. 1997), in which the Ninth Circuit United States
Court of Appeals stated that, in circumstances in which the law leaves within the discretion of the
parole board the decision whether to revoke an individual’s parole, not only is the individual entitled
to a revocation hearing but also the parole authority must abide by the six requirements of accurate
fact-finding set out in Morrissey as necessary to satisfy the “minimum requirements of due process.”
47. McCants v. Travis, 737 N. Y. S. 2d 416 (N. Y. A. D. 3 Dept. – 2002); see also, State v. Giddings, 29
P. 3d 475 (Mont. 2001).
48. Jones v. Penn. Bd of Probation and Parole, 952 A. 2d 710 (Pa. Comwlth App. 2008).
49. Cotten v. Davis, 215 Fed. Appx. 464 (6th Cir. 2007).
50. State v. Hall, 195 P. 3d 220 (Kan. 2008), in which the Kansas Supreme Court held that if an
alleged probation violator is incarcerated as the result of a new felony conviction arising in another
county, the state does not waive a probation violation if it lodges a detainer but does not execute a
probation violation warrant while the alleged violator is imprisoned on a consecutive sentence, see
also, State v. Hernandez, 730 N. W. 2d 96 (Neb. 2007). This legal principle is equally applicable to
the federal system. In Malave v. Kedrick, 271 F. 3d 1139 (8th Cir. – 2001), the Eighth Circuit Court of
Appeals held that a federal parole had no liberty interest in a prompt revocation hearing where he
was never taken into custody on a parole violator warrant.
51. Noble v. New York State Div. of Parole, 826 N. Y. S. 2d 475 (N. Y. App. Div. 3 Dept. 2006).
52. Moody v. Daggett, 429 U. S. 78 (1976); see also, Roberts v. Champion, 18 Fed.Appx. 674, (10th
Cir.- 1997).
53. Ex parte Cordova, 235 S. W. 3d 735 (Tex. Cr. App. 2007); see also, Ex parte Williams, 2007 WL
1264126 (Tex. Cr. App. 2007).
54. McKenzie v. Pennsylvania Board of Probation and Parole, 963 A. 2d 616 (Pa. Cmwlth. App.
2009); see also, Prebella v. Pennsylvania Board of Probation and Parole, 942 A. 2d 257 (Pa. Cmwlth.
App – 2008). Note further, in Suce v. Taylor, 572 F. Supp. 2D 325 (S. D. N. Y. 2008) a federal district
court held that a parolee can waive the right to be present at a final parole revocation hearing as long
as the waiver is made knowingly and intelligently.
55. United States v. Garner, 309 Fed.Appx 911 (5th Cir. 2009).
56. Peek v. Dennison, 835 N. Y. S. 2d 783 (N. Y. App. Div. 4 Dept. 2007).
58. Hampton v. State, 786 A. 2d 375 (R. I. 2001), in which the Rhode Island Supreme Court stated
that the State’s burden of proof during a probation revocation proceeding is to adduce reasonably
satisfactory evidence of the defendant’s violation of one of the terms of his probation.
180 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
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61. In State v. Tennant, 540 S. E. 2d 807 (N. C. App. 2000), the appellate court acknowledged that
general rule that an alleged violation by a probationer of a condition upon which a sentence is sus-
pended need not be proven beyond a reasonable doubt.
62. Pettigrew v. State, 51 S. W. 3d 297 (Tex. App. Tyler, 2001) and State v. Shannon, 764 A. 2d 1281
(Conn. App. 2001); United States v. Crain, 11 Fed. Appx 645 (8th Cir. 2001) and United States v.
Thomas, 239 F. 3d 163 (2nd Cir. 2001), in which the United States Court of Appeals for the 2nd
Circuit stated that preponderance of the evidence standard applied in determining whether the
defendant violated terms of his supervised release. See, however, Government of the Virgin Islands
v. Martinez, 239 F. 3d 293 (3rd Cir. 2001), in which the United States Third Circuit Court of Appeals
stated that in order to revoke probation a district court need to be only reasonably satisfied that the
defendant had violated its terms and conditions.
64. Chenault v. State, 777 So. 2d 314 (Ala. Crim. App. – 2000).
67. Florida Parole Commission v. Ferguson, 987 So. 2d 186 (Fla. App. [1st Dist.], 2008).
70. State v. Varnado, 384 So. 2d 440 (La. 1980). See also, State v. McGlothin, 427 So. 2d 280 (Fla.
Dist. Ct. App. 1983).
71. Kish v. Florida Parole and Prob. Comm., 369 So. 2d 87 (Dist. Ct. App. 1979). But see, e.g., Strick-
land v. State, 649 S. W. 2d 817 (Tex. Crim. App. 1983).
78. State v. Grimmer, 251 S. E. 2d 780 (W. Va. 1979), overruled on other grounds; State v. Petry, 273
S. E. 2d 346 (W. Va. 1980).
79. People ex rel Thiel v. Dillon, 70 A. D. 2d 778, 417 N.Y.S. 2d 534 (1979).
80. State v. Triplett, 195 P. 3d 819 (Mont. 2008); nevertheless please note that even in those circum-
stances in which an appellate court holds that the Sixth Amendment right to a speedy trial is inap-
plicable in a revocation proceeding, the appellate court may still analyze the issue by applying the
criteria established by the United States Supreme Court in Barker v. Wingo, 407 U.S. 514 (1972), for
determining whether there was a violation of a defendant’s right to a speedy trial. See, for example,
Wilburn v. State, 671 N. E. 2d 143 (Ind. App. 1996).
Revocation 181
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81. United States v. Santana, 526 F. 3d 1257 (9th Cir. 2008); see also United States v. Taylor, 931 F.
2d 842 (11th Cir. 1991).
82. Nevertheless, at least one appellate court has held that a probationer, in a revocation hearing,
has a right to a speedy trial, apparently as a right under its state constitution. See Reese v. State,
866 P. 2d 82 (Wyo. 1993).
83. Sometimes this due process right of due diligence is codified in state statute. See State v. Jack-
son, 660 S. E. 2d 165 (N. C. App. 2008).
86. In United States v. Romero, 511 F. 3d 1281 (10th Cir. 2008), the Tenth Circuit Court of Appeals
held that parolees being incarcerated for another criminal offense did not have a legal right to receive
an immediate hearing on their supervised release revocation; instead, the court, citing Moody v.
Daggett, 429 U.S. 78 (1976), held that there was no constitutional duty to provide prisoners an adver-
sary parole hearing until they were taken into custody as parole violators.
88. Commonwealth of Pennsylvania v. Kalichak, 943 A. 2d 285 (Pa. Super. 2008); see also,
McKenzie v. Pennsylvania Board of Probation and Parole, 963 A. 2d 616 (Pa. App. 2009), and
Vernon v. State, 903 N.E.2d 533 (Ind. App. 2009) in which appellate courts continue to affirm that a
parole or probation revocation process has two distinct components.
90. Harris v. State, 35 S. W. 3d 819 (Ark. App. 2000); see also, People v. Renner, 748 N. E. 2d 1272
(Ill. App. 5th Dist., 2001).
91. Mathis v. Florida Parole Commission, 944 So. 2d 1182 (Fla. App. 1st Dist. 2006) (Only a willful
violation of a substantial condition of parole or probation will justify revocation of parole or probation).
92. State v. Mynhier, 765 N. E. 2d 917 (Ohio App. 1st Dist., 2001); see also, Hendley v. State, 783 S.
W. 2d 750 (Tex. App. - Houston, 1990).
93. State v. Leach, 20 P. 3d 709 (Idaho App. 2001); see also, Hampton v. State, 786 A. 2d 375 (R. I.
2000).
95. Pitman v. State, 749 N. E. 2d 557 (Ind. App. 2001); see also, Morgan v. State 42 S. W. 3d 569 (Ark.
App. 2001).
97. United States v. Leigh, 276 F. 3d 1011 (8th Cir. 2002) and United States v. Tschebaum, 306 F. 3d
540 (8th Cir. 2002); see also, State v. Jones, 787 A. 2d 43 (Conn. App. 2002), in which a Connecticut
appellate court described the process of determining whether to revoke probation as one in which
the trial court must consider the beneficial purposes of probation, namely rehabilitation of the offend-
er and the protection of society by balancing the important interests in the probationer’s liberty and
rehabilitation against the need to protect the public.
98. Commonwealth of Massachusetts v. MacDonald, 757 N. E. 2d 744 (Mass. App. Ct. 2001); see
also, Peoples v. State, 807 So. 2d 608 (Ala. Crim. App. 2001); State v. Leiderman, 86 S. W. 2d 584
(Tenn. Crim. App. 2002), in which a Tennessee appellate court stated that oral findings in the tran-
script of a probation revocation hearing were sufficient to satisfied the written statement requirement.
182 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
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100. Weaver v. State, 779 A. 2d 254 (Del. Supr. 2001); see also, Evans v. State, 794 So. 2d 1234 (Ala.
Crim. App. – 2000); see further, State ex rel. Boyle v. Sutherland, 77 S. W. 3d 736 (Mo. App. E. D.
2002).
102. Worthington v. Board of Probation and Parole, 784 A. 2d 275 (Pa. Comwlth. 2001), in which
a Pennsylvania appellate court stated that the right to counsel at a parole violation hearing is not
based on either the state or federal constitutions but, rather, on statutory law, case law and regulato-
ry law; see also, Tex. Code of Crim. Proc., Article 42.12, Section 21 (c).
104. Gould v. Patterson, 560 S. E. 2d 37 (Ga. App. 2002); see also, Prevato v. State, 77 S. W. 3d 317
(Tex. App. Houston, 2002).
105. Dunson v. Commonwealth of Kentucky, 57 S. W. 3d 847 (Ky. App. 2001), in which a Kentucky
appellate court stated that a probationer’s due process rights were not violated by not having counsel
represent the probationer at a “Drug Court” proceeding.
106. Pennsylvania Board of Probation and Parole v. Scott, 524 U. S. 357 (1998).
110. Pennsylvania Board of Probation and Parole v. Scott, 524 U. S. 357 (1998).
112. The Bearden decision is consistent with Williams v. Illinois, 399 U. S. 235 (1970), where the
Court said that a State cannot subject a certain class of convicted defendants to a period of impris-
onment beyond the statutory maximum solely because they are too poor to pay the fine.
113. In Dangerfield v. State, 656 S. E. 2d 352 (S. C. 2008), the South Carolina Supreme Court held
that a magistrate’s imposition of sentence for passing fraudulent checks after the defendant had
failed to make restitution payments as a condition of suspended sentence, without conducting a
hearing to determine the willfulness of the defendant’s failure to pay, violated the defendant’s right to
due process; see also, Brian v. McNeil, 591 F. Supp. 1245 (M. D. Fla. 2009).
116. Ransdale v. State, 149 P. 3d 459 (Wyo. 2006); see also, State v. Monaghan 2008 WL 2875715
(Ariz. App. Div. 1, 2008), in which an Arizona appellate court stated that a probationer’s due process
rights were not violated where his probation was revoked for failure to pay the probation fine and fee
where it was shown that the probationer had made no effort to pay even the minimal amount towards
the fines and fees order and had made no effort to obtain employment; see further, State v. Jacob-
sen, 746 N. W. 2d 405 (N. D. 2008).
Revocation 183
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121. In re Richard T., 79 Cal. App. 3d 382, 144 Cal. Rptr. 856 (1978).
122. People v. Lipsky, 102 Misc. 2d 19, 423 N.Y.S. 599 (Monroe Co. Ct. 1979).
123. People v. Ronald W., 24 N. Y. 2d 732, 249 N. E. 2d 882, 302 N.Y.S. 2d 260 (1969).
184 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
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V. Immunity Defenses
A. Qualified Immunity
B. Official Immunity
C. Quasi-judicial Immunity
SUMMARY
NOTES
185
Chapter 9
INTRODUCTION
Over the last several decades numerous court decisions have examined personal liability claims
involving probation/parole officers. These court decisions have generally focused on two areas of:
1) whether a supervision office has “taken charge” of an offender and by the officer’s deliberate
indifference the offender has injured a third party and 2) assertions of defense of immunity to suits
against individual officers. Moreover, in regards to claims of deliberate indifference, the complaining
party has generally asserted one of three causes of actions: improper supervision, improper place-
ment, and failure to warn. In regards to claims of immunity, the issue litigated is whether the officer
acted in good faith. This chapter examines these issues.
Almost every jurisdiction in the country recognizes as legal authority the Restatement of Torts (Sec-
ond). This is a highly influential legal treatise issued by the American Law Institute. Section 315 of
this Restatement states:
“There is no duty so to control the conduct of a third person as to prevent him from causing
physical harm to another unless:
(a) A special relationship exists between the actor and the third person which imposes a duty
upon the actor to control the third person’s conduct, or
(b) A special relationship exists between the actor and the other which gives to the other a
right to protection.”
“One who takes charge of a third person whom he knows or should know to be likely to cause
bodily harm to others if not controlled is under a duty to exercise reasonable care to control the
third person to prevent him from doing such harm.”
Thus the general rule under tort law is that an individual has no duty to prevent a third person from
causing physical injury to another. However the exception to this rule is that when a “special rela-
tionship” exists between the individual and the third party then a duty is imposed upon the individual
to control the third person’s conduct. Such a duty arises if the individual “takes charge” of the third
person.1
Nevertheless certain appellate courts have interpreted the language in these two sections of the
Restatement of Torts (Second) fairly restrictively and have held that unless the officer has custodial
control of the defendant, that is, the defendant is being held in a restrictive facility, the officer has
not taken charge of the defendant. Hence certain state appellate courts have held that a parole or
probation officer does not take charge of a defendant simply because the officer is supervising the
individual.2 Nevertheless, other jurisdictions have recognized that under certain circumstances, a
parole or probation officer supervising a defendant has taken charge of the person and can be liable
Emerging Trends Concerning Liability of Probation and Parole Officers for Supervision 187
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for injuries caused to third persons resulting in the negligent supervision of the defendant.3 However
even those jurisdictions that have held that a parole or probation officer can take charge of a parolee
or probationer have said that the relationship between the officer and defendant must be definite,
established, and continuous.4
Perhaps the most exemplary judicial decisions examining the issue of negligent supervision are
Taggart v. State and Sandau v. State.7 In both of these cases, the parole board for the State of Wash-
ington and several parole officers were sued by victims of crimes committed by two persons who
were being supervised on parole. In the Taggart case the parolee had had a history of violent sexual
behavior and substance abuse. He had been incarcerated numerous times in both juvenile and adult
facilities. Despite his criminal history and behavioral problems, a parole agent recommended that he
be released from prison and once again placed on parole. The parole board accepted the recom-
mendation of the parole agent and approved parole for the individual with special conditions that he
complete a substance abuse program and submit to urinalysis testing. While on parole the individual
failed to follow the conditions imposed by the parole board and subsequently assaulted another
victim, causing her severe injuries.
In the Sandau case this parolee too had a history of committing violent crimes and also a history
of substance abuse. While on parole the individual violated the conditions of release and his parole
officer decided to suspend his parole. Nevertheless, despite violating the conditions of his parole, no
parole warrant was issued for his arrest. Instead the parolee left the State of Washington and moved
to Montana. Although the parole agency was aware of the absconder status of the parolee, there was
a delay in issuing an arrest warrant. While in Montana, the parolee raped a nine year old girl.
The victims in these two cases filed suit against both the Board of Parole in the State of Washing-
ton and individual parole officers. The plaintiffs alleged that certain parole officers acted improperly
in recommending to the parole board that the parolees be placed on parole, that the parole board
acted improperly in granting parole, and that certain other parole officers improperly supervised the
parolees while they were on parole.
In regards to the parole board’s action granting parole, the court stated that such decisions are
quasi-judicial and therefore the parole board is entitled to absolute immunity from liability. The court
also extended absolute immunity to the recommendations of parole officers made to the parole
board concerning the suitability of an individual for parole, finding that these recommendations were
quasi-judicial in nature. On the issue of the supervision of parolees, the court disagreed that offi-
cers were entitled to absolute immunity for all of their actions. Nevertheless the court did give them
qualified immunity, saying that parole officers are immune from liability for allegedly improper parole
supervision if their action is in furtherance of a statutory duty and in substantial compliance with the
directives of superiors and relevant regulatory guidelines. In addition, the court said that parole
188 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
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officers did not have to show that their actions were reasonable once it had been shown that the
officers performed a statutory duty in compliance with the directives of superiors and relevant guide-
lines. Moreover, the Court stated that individual liability would attach only if a parole officer’s conduct
was not in substantial compliance with the directives of superiors and regulatory procedures.
The Court proceeded to determine whether the alleged actions by the parole officers in Taggart and
Sandau created a question of fact whether their conduct was not in substantial compliance with the
rules and regulations of the parole agency. The Court noted that the policy and procedures estab-
lished by the parole agency in the State of Washington required parole officers to take certain steps
in supervising parolees; namely, perform regular drug testing, conduct field visits, and apply certain
sanctions upon learning of violations of the conditions of parole. Moreover, the court observed that
in both Taggart and Sandau, parole officers had failed to perform certain responsibilities as required
by agency policies and directives. Hence the court held that there existed a fact issue concerning
whether the parole officers had been deliberately indifferent in supervising their parolees and re-
manded both cases to the lower court for resolution of the fact issues.
Other jurisdictions have also held that it could have been reasonably foreseen that the actions of a
probation or parole officer would result in an offender injuring a third party. In Starkenburg v. State8
a defendant had been granted parole after having served a prison term for murder. His parole officer
allowed him to leave the State of Montana and go to the State of Washington for a vacation and to
look for work. The parole officer did not inform the officials in Washington that the parolee would be
visiting their state. Moreover the parolee decided to remain in Washington and his parole officer took
no steps to secure his return to Montana. In addition, the parole officer had received reports concern-
ing the abusive behavior by parolee to his new girlfriend but took no actions to address the parolee’s
conduct. Finally following another incident involving the parolee and his now ex-girlfriend, the parolee
ambushed her and several of her friends, killing one of the friends and wounding two others.
The family of the victim filed a lawsuit claiming negligent supervision. The State of Montana argued
that the parolee’s criminal acts were unforeseeable as a matter of law. The appellate court disagreed
with this contention. The court concluded that the facts in the case supported a finding that the
parole officer could reasonably have foreseen criminal acts of violence by the parolee against his
ex-girlfriend and her friends and justified submitting a causation issue to the jury.
In a more recent case the State of Alaska was asking to re-examine its previous holding in Division
of Corrections v. Neakok,9 that recognized a cause of action for inadequate supervision. In State,
Department of Corrections v. Cowles,10 a parolee murdered his former girlfriend and then shot
himself. The family of the victim filed a lawsuit, alleging that the parole officer impermissibly failed to
enforce and report parole violations, to comply with the statutes, regulations, and guidelines govern-
ing the supervision of parolees, to act in response to the parolee’s dangerous behavior, and to seek
to revoke his parole. Although the State asked the Alaska Supreme Court to reconsider its holding
in Division of Corrections v. Neakok regarding parole officer liability, the court declined to do so and
re-affirmed that the State owed a duty of care to a parolee’s foreseeable victims and that the State
was not immune from suit for inadequate supervision of parolees.
Nevertheless appellate courts, in examining the issue of foreseeability, have taken into consideration
the risk level of the person being supervised on probation or parole. Thus the acts of violence of a
parole convicted of a low level crime may be “so highly extraordinary or improbable as to be whol-
ly beyond the range of expectations.”11 On the other hand if a parolee is deemed to be a high risk
offender, then courts will generally give much closer scrutiny to the supervision of the offender and
deem that the officer owes a much higher duty of care to prevent the offender from harming another.12
Finally even if the improper supervision of an offender results in a breach of duty to another, there
still must be shown a causal connect between the breach of duty to the third party and the injury
Emerging Trends Concerning Liability of Probation and Parole Officers for Supervision 189
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suffered. Thus a plaintiff in a case claiming inadequate parole supervision action must show not only
inadequate supervision, but must also carry the burden to demonstrate that the damages sustained
by the plaintiff would have been avoided but for the inadequate supervision.13 For example, in Kelley
v. State,14 the court stated that an inmate’s community corrections officer was not [grossly] negligent
for failing a arrest the inmate following his encounter with the police outside a junior high school,
which occurred more than two months before the inmate assaulted a woman.
The child was placed in a foster home but was later expelled for stealing a knife and gun from a
school police officer. The child’s probation officer then decided to place the child with his biological
mother while initiating a hearing before the judge to show cause why the child’s probation should not
be revoked. Then, during the time the child was with his mother, the child violently assaulted a nine
year old boy.
The question on appeal was whether the juvenile probation officer was entitled to quasi-judicial im-
munity for his actions in placing the child with his biological mother. The court noted that under South
Carolina law, neither a judge nor other officials were entitled to judicial immunity if the act did not
serve a judicial purpose. Moreover the court observed that in determining what constituted a judicial
act, the court looked to the nature and function of the act. Thus the court had to determine whether
the juvenile probation officer’s placement of the child had the nature and function of a judicial act,
thereby entitling him to quasi-judicial immunity.
The court acknowledged that if the individual was acting pursuant to a direct court order, appellate
courts were more likely to grant quasi-judicial immunity for that action. Nevertheless whereas an offi-
cer might be entitled to judicial immunity when executing a court order, this case involved a situation
in which an officer deviated from the explicit terms of the order. Moreover the court stated that the
probation officer placed the child into a home where juvenile workers had noted there was no proper
supervision. Furthermore, the court stated that the probation officer knew of the child’s violent ten-
dencies. As such the court concluded that because the Department of Juvenile Justice had custody
of a known dangerous individual, it therefore had an independent duty to control and supervise the
child to prevent him from harming others as long as it retained custody of him by court order.
190 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
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the offender, the offender could work for the person, the person could accept the offender in a foster
home setting or even just be a neighbor of the parolee or probationer. Moreover liability is usually
premised that the probation or parole officer knew or should have known that the offender posed a
threat to the person and therefore the officer should have notified the third person of the status of the
parolee or probationer or that the offender might pose a danger to the person.
Nevertheless all probationers or parolees pose a potential threat to someone. This threat may be
likely or highly unlikely depending on the individual characteristics of the probationer and parolee.
Moreover, the whole purpose of probation and parole is that offenders engage with other people in
the free world. Thus how does the probation or parole officer know what circumstances might require
him or her to warn someone else and what circumstances do not?
Nevertheless although this doctrine generally insulates officers from liability, there are exceptions to
this general rule. The doctrine is inapplicable where 1) officials by their actions affirmatively under-
take to protect the plaintiff and the plaintiff relies on the undertaking, 2) a statute specifically provides
for a cause of action against an officer or official for injuries resulting to a particular class of individ-
uals, of which the plaintiff is a member, from failure to enforce certain laws; or 3) plaintiff alleges a
cause of action involving intent, malice, or reckless misconduct.18 Thus an exception to the public
duty doctrine exists where the officer has a “special relationship” with the victim.19 The leading cases
from the probation and parole settings are discussed separately below.
Emerging Trends Concerning Liability of Probation and Parole Officers for Supervision 191
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Nevertheless, disclosure is a problem in juvenile cases where state law or department policy may
prohibit disclosure of records. In these cases, an officer who wants to disclose a juvenile record to
a prospective employer (to protect against a possible lawsuit by the employer for non-disclosure)
should obtain a waiver in writing, if such is allowed by law or agency policy, to disclose such record to
the employer.
Another instance where liability might ensue in probation/parole supervision is if there is a threat
made to an identifiable victim, for example, if a parolee tells a parole officer during an interview that
she is losing control of herself and will likely kill her husband whom she blames for all her problems.
If that threat is credible (foreseeability), then the officer is obliged to do something to prevent it from
happening. In fact, this contingency should be covered by agency policy. Some agencies provide
that, in instances where there is a threat made to an identifiable victim, the police must be informed
immediately or the offender be placed under temporary custody or surveillance. Courts will likely
conclude that the presence of foreseeability (a threat) and an identifiable victim creates a “special
relationship” between the officer and the public that can lead to liability if no action is taken.
Finally, a duty may be created if the legislature enacts a statute requiring a officer or official to notify
a person belonging to an identifiable group regarding a change of status of a probationer or parol-
ee. Under such circumstances, the duty is legislatively mandated and foreseeability is no longer an
issue. Over the recent years, as part of the victims’ rights movement, more and more statutes have
been enacted requiring victim notification. This in turn adds liability concerns for probation and parole
officers. For example, in Texas a statute provides that a probation department must immediately noti-
fy a victim of the defendant ’s crime of:
(1) The fact that the defendant has been placed on community supervision.
(2) The conditions of community supervision imposed on the defendant by the court.
(3) The date, time, and location of any hearing or proceeding at which the conditions of the defen-
dant’s community supervision may be modified or the defendant’s placement on community
supervision may be revoked or terminated.22
Thus under this statute although it would still be necessary to demonstrate a causal connection
between the failure to notify a victim and any injury caused to the victim, foreseeability would not be
an issue if it were shown that an officer violated this notification requirement.
2. Reliance
Another manner in which a special relationship can be demonstrated is where a probation or parole
officer takes some affirmative steps that place a third party in danger or gives some assurance to a
third party that the officer will warn the person if the parolee or probationer being supervised ever
poses a danger to the third party. Liability is created because of reliance, that is, the probation/
parole officer undertook specific actions that contributed to the harm suffered by the victim. Of all the
different legal theories involving a failure to warn claim, a successful assertion of detrimental reliance
by a third party is the most likely failure to warn claim that will prevail in a jury trial and be upheld on
appeal. This is because both juries and appellate courts are far less sympathetic when a probation or
parole officer initiated a measure that actually imperiled the safety of an innocent third person.
This principle of reliance was central to the case of Myers v. Los Angeles County Probation Depart-
ment.23 In Meyers, the California Court of Appeals decided that the county probation department
and its employees were not liable for failing to warn an employer that a probationer was a convicted
embezzler and who subsequently embezzled funds from the employer. In this case, the probation
department did not place the probationer with the employer or direct him in his employment activities
and had no other special relationship with the employer. It was irrelevant that the probationer was to
devote some of his earnings to court-ordered restitution.
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There are departments that require disclosure by the officer to the employer of the employee’s
record, even if the employee obtained employment on his or her own. This policy carries added risks
for the officer because failure to disclose would then amount to a breach of duty or a violation of poli-
cy. The better policy is to make disclosure or non-disclosure optional, as recommended above.
The other circumstance in which reliance can form the basis to support a finding of liability is where a
probation or parole officer tells a third party whom the officer otherwise had no duty to warn that the
officer would inform the third party of any change in status of the probationer or parolee the officer is
supervising and then fails to do so. Then if the probationer or parolee subsequently injures the third
party, the person can assert a negligence claim and need not demonstrate reasonable foreseeability.
This is because by affirmatively assuming the duty to notify the third party and failing to do so, the
third party can rely on this assurance and a duty is owed the third party without the need to establish
foreseeability.
Despite the legal precepts discussed in this section for establishing and avoiding a negligence claim
for failure to warn, determining liability must be done on a case-by-case basis. Probably the best way
to avoid liability is to follow closely agency policies and procedures for notifying victims and other
third parties regarding probationers and parolees under supervision and to comply strictly with any
statutory requirements regarding victim notification. In addition, the officer should not assume any ob-
ligations that are not otherwise required. Finally, if the officer is aware of an identifiable victim and is
aware of a credible threat of harm or injury to that victim by a probationer or parolee, then, if there is
appropriate time the matter should be raised with the officer’s supervisor and, if threat is immediate,
and there is no time to staff the matter; then the officer should warn the victim of the potential threat.
The South Carolina Supreme Court, in examining this matter, noted that an essential element in a
cause of action for negligence was the existence of a legal duty of care owed by the defendant (pa-
role officials) to the plaintiff (victim). The court further observed that generally one had no duty to con-
trol the dangerous conduct of another or to warn a potential victim of such conduct. Nevertheless, the
court stated that where a defendant had the ability to monitor, supervise, and control an individual’s
conduct, a special relationship existed between the defendant and the individual and the defendant
might have a common law duty to warn potential victims of the individual’s dangerous conduct.
The South Carolina Supreme Court stated that such a duty to warn would arise when a person being
released from custody had made a specific threat of harm directed at a specific individual. Neverthe-
less, the court found that in this case there was no evidence presented that the parolee ever made a
specific threat to harm the victim. As such the defendant had no common law duty to warn the victim
of the parolee’s release.
Several comments can be made about this decision. Absent any evidence to the contrary, it could not
be anticipated that a parolee would again break into the same home for which he was sent to prison.
Moreover, the defendant was sent to prison for burglary, a serious offense, but not one of violence
such as assault or murder. Thus it could not be said that the parole officials could reasonably foresee
that the victim of the first offense would be the same victim of the later offense, nor that the parol-
ees conduct would escalate to violence. Thus, absent an express threat against this victim that was
Emerging Trends Concerning Liability of Probation and Parole Officers for Supervision 193
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known by the parole officials, it is difficult to conceive, based on these facts, how the appellate court
could have upheld a finding of negligence for a failure to warn.25
The second comment is that this decision makes no mention of any statutory provisions requiring
victim notification and one can assume that at the time this decision was rendered there were no
statutory mandates. Nevertheless even if there were, the plaintiff would still have had to demonstrate
a causal connection between the failure to warn and the criminal act committed by the parolee. This
causal connection would have to depend on several variables, including the likelihood the parolee
would commit a crime of violence, the time delay or proximity between the release of the parole
and the injury to the victim, the distance between the residence of the victim and the place where
the parolee was ordered released, and so forth. This does not mean that the victim could not have
prevailed but these, along with other existing factors, would have to have been established in order to
show a causal connection between the omission of the parole authorities and the injury suffered by
the victim. Several other courts examined negligent claims involving a failure to warn.
In Johnson v. State,26 a case decided by the California Supreme Court, a parolee was placed with a
foster parent, the plaintiff. Shortly thereafter, the parolee assaulted the plaintiff, who then brought suit
alleging that the parole officer had negligently failed to warn her of the youth’s homicidal tendencies
and a background of violence and cruelty. The state argued that this was a discretionary act by the
parole officer and the officer was entitled to immunity. The state also argued that it owed no duty of
care to the plaintiff.
The court rejected this and held the state liable, stating:27
As the party placing the youth with Mrs. Johnson, the state’s relationship to the plaintiff was such
that its duty extended to warning of latent, dangerous qualities suggested by the parolee’s history
or character …. Accordingly, the state owed a duty to inform Mrs. Johnson of any matter that its
agents knew or should have known that might endanger the Johnson family. At a minimum, these
facts certainly would have included homicidal tendencies and a background of violence and cruel-
ty, as well as the youth’s criminal record.
The court concluded that if a state parole officer failed to consider consciously the risk to the plaintiff
in accepting a 16-year-old parolee in her home and consequently failed to warn the plaintiff of a fore-
seeable, latent danger in accepting him, and that failure led to the plaintiff’s injury, the state would be
liable for such injuries.
In the similar case of Georgen v. State,28 a state court found liability against the New York Division of
Parole for failure to disclose the violent background of a parolee who was recommended for employ-
ment to the plaintiff whom he later assaulted. The court concluded that the plaintiff’s reliance on the
recommendation and her complete ignorance of the danger posed by the parolee were sufficient
grounds to find a duty to disclose. Another case, Rieser v. District of Columbia,29 is perhaps the best
known case involving a parole officer where liability was imposed. The facts of the case and the deci-
sion are complex, but are briefly summarized here.
In Rieser, the plaintiff’s daughter, Rebecca Rieser, was raped and murdered by a parolee, Thomas
W. Whalen. He had been assisted by the District of Columbia Department of Corrections in finding
employment at the apartment complex where the victim lived. The parolee was a suspect in two
rape-murder cases at the time of parole and, during his employment in the apartment complex,
became a suspect in a third murder of a young girl. Parole was not revoked, but the parole board did
advise the parole officer to supervise the parolee closely. No warning was given to the employer by
the parole officer of the potential risk posed by the parolee’s presence.
The employer was later warned by the police of the parolee’s record and his status as a suspect in
the three murders, but the employer did not do anything. Shortly thereafter, the parolee entered the
194 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
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victim’s room and raped and strangled her. The United States District Court for the District of Colum-
bia entered judgment on the jury’s verdict awarding damages in the amount of $201,633 against the
District of Columbia. The decision was appealed. The United States Court of Appeals for the District
of Columbia affirmed the award, stating that the parole officer had a duty to reveal the parolee’s prior
history of violent sex-related crimes against women to the management of the apartment complex,
as the employer of the parolee, in order to prevent a specific and unreasonable risk of harm to the
women tenants.
The court stated that an actionable duty is generally owed to reasonably foreseeable plaintiffs
subjected to an unreasonable risk of harm by the actor’s (in this case the parole officer’s) negligent
conduct:
Abron’s position as a parole officer vested in him a general duty to reveal to a potential employ-
er Whalen’s full prior history of violent sex-related crimes against women, and to ensure that
adequate controls were placed on his work. Placement of Whalen at McLean Gardens put him
in close proximity to the women tenants, with the opportunity to observe their habits, and gave
him potential access to the keys to their apartments and dormitory rooms…. The jury could
conclude that a breach of Abron’s general duty would present a specific and unreasonable
risk of harm to the women tenants of McLean Gardens therefore giving rise to a special duty
toward them.30
V. IMMUNITY DEFENSES
Generally speaking, in both state and federal courts, the acts of government employees are insu-
lated from law suits, even if the acts in question were clearly negligent.31 In the federal system this
protection is known as “qualified immunity.” In most state systems this protection is known as “official
immunity.” Although both types of immunity are similar federal courts analyze this defense differently
from state courts.32 A successful assertion of an immunity defense not only protects an officer from
a liability claim but also prevents the plaintiff from going forth with a lawsuit.33 Finally, these two
defenses apply when a governmental employee is sued in his or her individual (personal) capacity.
If the employee is sued in his or her official capacity as an agent of a governmental body, then some
variant form of the defense of sovereign immunity must be asserted.
A. Qualified Immunity
Qualified immunity is a defense that is asserted in a suit alleging a claim under federal law. It is the
most common defense made in response allegations of a civil rights violation filed pursuant to 42
U. S. C. § 1983 (known as 1983 claims). It shields government officials from liability when they are
acting within their discretionary authority and their conduct does not violate a clearly established
statutory or constitutional law of which a reasonable person would have known.34 Qualified immunity
balances two important interests: the need to hold public officials accountable when they exercise
power irresponsibly and the need to shield officials from harassment, distraction, and liability when
they perform their duties reasonably.35
Traditionally, to determine whether a government agent or employee could assert the defense of
qualified immunity, the federal courts have applied a two-step analysis. A court first asks the question
whether, taken in the light most favorable to the plaintiff, the facts alleged showed that the officer’s
conduct violated a constitutional right. If no constitutional right would have been violated were the
allegations established, the inquiry ends. If, however, the plaintiff alleged the violation of a consti-
tutional right, the court then has to determine whether the right was clearly established at the time
of the incident at issue. A right is clearly established when its contours are “sufficiently clear that a
reasonable official would understand that what he is doing violates the law.” Finally, if the law is clearly
Emerging Trends Concerning Liability of Probation and Parole Officers for Supervision 195
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established, the court has to decide whether the defendant’s conduct was objectively reasonable. The
court would consider an official’s conduct to be objectively reasonable unless all reasonable officials
in the defendant’s circumstances would have then known that the conduct violated the Constitution.36
Nevertheless, a relatively recent United States Supreme Court opinion has modified the rules estab-
lishing the analytical framework for determining whether a government officer is entitled to qualified
immunity as outlined in Saucier v. Katz.37 After the decision in Katz, most appellate courts had
assumed that the framework for determining the issue of qualified immunity was rigid. The Supreme
Court re-examined its holding in Katz in Pearson et al. v. Callahan.38 In this case the plaintiff had
been charged with the criminal offense of unlawful possession and distribution of methamphetamine.
The State later dropped charges and the plaintiff then brought a 42 U. S. C. § 1983 suit against sev-
eral police officers who arrested him, alleging that they had violated his Fourth Amendment right by
entering his home without a warrant.
At the time that the arrest occurred, there existed a legal theory, recognized by several appellate
courts in the country, referred to as the “consent-once removed” doctrine. This theory held that a
warrantless entry by police officers into a home was permissible when consent to enter had already
been granted to an undercover officer or informant who had observed contraband in plain view.
Moreover at the time of the arrest no court opinion, much less an opinion by the United States Su-
preme Court had disavowed this theory.
The United States Supreme Court re-affirmed that the doctrine of qualified immunity protects
government officials “from liability for civil damages insofar as their conduct does not violate clearly
established statutory or constitutional rights of which a reasonable person would have known.” The
Court further recognized that the protection of qualified immunity applies regardless of whether the
government official’s error is “a mistake of law, a mistake of fact, or a mistake based on mixed ques-
tions of law and fact.” Because the Court acknowledged that qualified immunity is applicable unless
the official’s conduct violated a clearly established constitutional right and because at the time of the
arrest in question, no clearly established constitutional right had rejected the consent-once removed
doctrine, the Court held that the police officers being sued were entitled to qualified immunity. More
important for this holding was that the Court also held that the two-step analytical approach outlined
in Katz was too rigid. Although appellate courts were still able to follow this two-step approach in
sequence if they wanted to, the United States Supreme Court also said that if it were clear that the
defendant in the lawsuit, that is, the government officer, had not violated any clearly established con-
stitutional right, then the appellate courts were not compelled to go through this sequential process
in order to rule on this matter.
B. Official Immunity
To enjoy official immunity, a government employee being sued under state law must raise govern-
mental immunity as an affirmative defense and establish that 1) the employee’s challenged acts
were undertaken during the course of employment and that the employee was acting, or reasonably
believed he or she was acting, within the scope of his or her authority, 2) the acts were undertaken
in good faith, and 3) the acts were discretionary, rather than ministerial, in nature.39 Most jurisdictions
usually state that good faith is a test of objective legal reasonableness. As such the test is whether
a reasonable government employee, under the same or similar circumstances, could have thought
his actions were justified. Under this test there is no need to determine if there was subjective good
faith.40
Nevertheless, certain jurisdictions characterize good faith as the absence of malice. For example,
in Minnesota a public official is entitled to official immunity from state law claims when the official’s
duties require the exercise of discretion or judgment, unless the official is guilty of willful or malicious
wrong. Thus a determination of whether official immunity is available in a given context requires a
196 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
Chapter 9
two-step inquiry: 1) whether the alleged acts are discretionary or ministerial; and 2) whether the
alleged acts, even though of the type covered by official immunity, were malicious or willful and
therefore stripped of the immunity’s protection. Minnesota courts define malice for purposes of deter-
mining whether official immunity will protect government action as the intentional doing of a wrongful
act without legal justification or excuse, or, otherwise stated, the willful violation of a known right.41
Nevertheless even under this standard for the purposes of determining whether official immunity is
available in a given context, the question of malice is an objective inquiry into the legal reasonable-
ness of an official’s actions.42
Ordinarily there are two circumstances where an officer will not be entitled to a claim of official
immunity. The first is where the officer performs an act that is not within the course and scope of his
or her authority. In such a situation, the aggrieving party need only assert a claim of negligence and
the officer is without the defense of official immunity.43 The second circumstance is where the officer
performs a ministerial act as opposed to a discretionary act. The defense of official immunity is only
available in response to the performance of discretionary acts. If an officer performs a ministerial act
negligently then he or she cannot assert a defense of official immunity.44
A “discretionary act” for which a public employee is entitled to official immunity calls for the exercise
of personal deliberation and judgment, which in turn entails examining the facts, reaching reasoned
conclusions, and acting on them in a way not specifically directed. Thus discretionary acts are those
that involve some type of decision making process. A “ministerial act” for which a public employee
may be subject to individual liability is commonly one that is simple, absolute, and definite, arising
under conditions admitted or proved to exist, and requiring merely the execution of a specific duty.
Ministerial acts are those that the law requires to be performed and that the law defines with such
precision and certainty that no decision is left to the official’s discretion or judgment. If the action
involves the performance of a duty to which the official has no choice, it is ministerial. Consequently
where an official, in the performance of a ministerial duty, commits a tort, he or she is personally
responsible for the tort to the same extent as a person who holds no governmental position.45
The case of Rhodes v. Torres46 is a good example of how appellate courts approach an assertion of
official immunity to a claim of negligence. In this case the plaintiff had been placed on probation for
the misdemeanor offense of cruelty to animals. As a condition of her probation, the trial court had
ordered her to perform 50 hours of community service for a local branch of the Society for the Pre-
vention of Cruelty to Animals. Having confirmed several times with the local branch that the plaintiff
had failed to complete her community service, the probation officer supervising her filed a motion to
revoke her probation. After the motion had been filed, the local SPCA notified the probation officer
that there was a mistake with the Society’s records and the plaintiff had in fact performed the requi-
site number of hours of community service.
The plaintiff filed a lawsuit against the probation officer; the probation officer claimed official immu-
nity. The trial court agreed with the probation officer’s claim and dismissed the lawsuit. The plaintiff
appealed this decision to an intermediate appellate court. The appellate court stated that government
employees, including probation officers, are entitled to official immunity from suits arising from the
performance of their 1) discretionary duties in 2) good faith as long as they are 3) acting within the
scope of their authority. In this case, in examining whether the officer acted in good faith, the court
adopted an objective, as opposed to subjective, test for determining good faith. The court stated that
a probation officer acts in good faith in causing the arrest of a probationer if a reasonably prudent
officer, under the same or similar circumstances, could have believed that causing the arrest of the
probationer was lawful in light of clearly established law and the information possessed by the officer
at the time he filed the motion to revoke.
In the Rhodes case, the appellate court noted that the probation officer had every reason to believe
that the plaintiff had not completed her community service hours as mandated by the trial court. The
Emerging Trends Concerning Liability of Probation and Parole Officers for Supervision 197
Chapter 9
court observed that the officer not only verified and re-verified the information on which he relied in
filing the motion but that he also consulted with his supervisor and the judge who had indicated their
concurrence with his decision to request that a motion to revoke be filed. Thus the court held that the
evidence raised in the trial court conclusively established all of the elements of the defense of official
immunity.
C. Quasi-judicial Immunity
Quasi-judicial immunity is a variant of official immunity but it stems from the officer’s performance of
acts that are judicial in nature (hence the term “quasi-judicial) as opposed to nonjudicial acts.47 This
defense is premised on the legal principle that judges enjoy absolute judicial immunity from liability
for judicial acts, no matter how erroneous the act or evil the motive, unless the act is performed in the
clear absence of all jurisdiction.48 Appellate courts have thus reasoned that where judges delegate
their authority or appoint others to perform services for the court, the judge’s judicial immunity may
follow the delegation or appointment.49 This immunity is particularly important because if an officer
can successfully raise this defense it is an absolute, as opposed to a qualified, bar to liability.
Appellate courts have recognized that in performing certain functions, parole or probation officers
are performing judicial or quasi-judicial acts and thus can assert this defense. Thus federal probation
officers who prepare and submit presentence reports have absolute immunity from suit because they
act as an arm of the court and the function they perform is an integral part of one of the most critical
phases of the judicial process.50 This same legal reasoning also applies to parole officials. Parole
officers are entitled to absolute immunity from liability for their conduct in parole decisions and in the
exercise of their decision-making powers.51 Thus the courts have reasoned that if a probation officer
giving sentencing information to a judge is absolutely immune from liability, then a parole board
employee giving parole information to a parole board enjoys absolute immunity because its quasi-
judicial function should also be absolutely immune.52
Nevertheless, not all acts performed by a parole or probation officer will be deemed judicial acts. In
Gilmore v. Bostic,53 a federal district court held that absolute immunity generally did not protect pro-
bation officers in initiating probation or supervised release revocation proceedings and seeking arrest
warrants.54 The court concluded that these acts were more akin to that of a police officer than a su-
pervision officer. Another federal district court held that, although parole and probation officers were
entitled to quasi-judicial immunity when engaged in adjudicatory activities, they were only entitled to
qualified immunity for their other actions.55
As one can discern from reviewing the various court decisions examined in this section, it is not
always readily apparent which functions performed by a parole or probation officer would be consid-
ered judicial and which would not. Many states follow the approach of the federal courts in determin-
ing what actions of a government employee should be afforded quasi-judicial immunity and what acts
should not. This is known as the functional approach.56
Under the functional approach, the court must determine whether the activities of the party invoking
immunity are intimately associated with the judicial process, or whether the party is functioning as
an integral part of the judicial system or as an “arm of the court.”57 Under this approach an act is
judicial in nature by its character and not by the character of the agent performing it.58 Finally if the
acts of the party are like that of the delegating or appointing judge, then the person will be entitled
to quasi-judicial immunity. If not, then the party will not be able to assert quasi-judicial immunity as a
defense.59
198 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
Chapter 9
SUMMARY
This chapter deals with emerging trends in liability in connection with supervising offenders. Tort
liability often requires that the probation or parole officer “take charge” of the offender in order for
liability to attach and, unfortunately, there is considerable disagreement among the courts as to the
circumstances under which this has occurred. Once this legal hurdle has been met, liability often is
predicated on improper supervision of offenders, improper placement of those offenders, or failure to
warn persons with whom supervision officers have a special relationship who might foreseeably be at
risk. As with other types of liability, a number of defenses are available to officers providing supervi-
sion who are alleged to have behaved in ways that caused harm to others.
NOTES
1. Couch v. Washington Department of Corrections, 54 P. 3d 197 (Wash. App. Div. 2 2002).
2. See Sorge v. State, 762 A. 2d. 816 (Vt. 2000) and Schmidt v. HTG, Inc., 961 P. 2d 677 (Kan. –
1998); see also, Lamb v. Hopkins, 492 A. 2d 1297 (Md. 1985), Small v. McKennan Hospital, 403 N.
W. 2d (S. D. 1987) and Fox v. Custis, 372 S. E. 2d 373 (Vir. 1988).
3. See State Department of Corrections v. Cowles, 151 P. 3d 353 (Alaska – 2006), Starkenburg v.
State, 934 P. 2d 1018 (Mont. – 1997), and Hertog v. City of Seattle, 979 P. 2d 400 (Wash. – 1999);
see also, A. L. v. Commonwealth of Massachusetts, 521 N. E. 2d 1017 (Mass. – 1988).
4. See Couch v. Washington Department of Corrections, 54 P. 3d 197 (Wash. App. Div. 2 – 2002), in
which the court noted that a community corrections officer must have a court order before he or she
can “take charge” of an offender; and even when he or she has such an order, he or she can only
enforce it according to its terms and applicable statutes.
5. Hickingbotham v. Burke, 662 A. 2d 297 (N. H. – 1995); sometimes the elements of negligence as
broken down into four parts: 1) duty, 2) breach of that duty, 3) proximate cause, and 4) actual damag-
es; see Champion Builders v. City of Terrell Hills, 70 S. W. 3d 221 (Tex. App. – San Antonio, 2001).
6. Kellner v. Lowney, 761 A. 2d 421 (N. H. – 2001); see also, Manchenton v. Auto Leasing Corp., 605
A. 2d 208 (N. H. 1992).
7. See Taggart v. State and Sandau v. State, 822 P. 2nd 243 (Wash. Sup. 1992).
9. In Division of Corrections v. Neakok, 721 P. 2d 1121 (Alaska Sup. Ct. 1986) the Alaska Supreme
Court held that the Alaska Department of Health and Social Services, Division of Corrections, was
negligent in placing a parolee who had a history of alcohol abuse and violence and who subsequent-
ly killed his stepdaughter and her boyfriend and raped, strangled and beat to death another woman
while in a highly intoxicated state in a small village that did not have police protection or the presence
of a parole officer.
11. Quoting Estate of Jones v. State, 15 P. 3d 180 (Wash. App. Div. 1 – 2000).
13. Id.
Emerging Trends Concerning Liability of Probation and Parole Officers for Supervision 199
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15. Although causes of action for improper placement are not asserted as often as those claiming
improper supervision, many of the suits filed as improper supervision could be better characterized
as claims of improper placement; see, for example, Estate of Jones v. State, 15 P. 3d 180 (Wash. App.
Div. 1 2000).
16. Faile v. South Carolina Department of Juvenile Justice, 566 S. E. 2d 536 (S.C. 2002).
17. Bouguille v. Chambers, 685 So. 2d 582 (La. App. 4 Cir. – 1996); see also, Eklund v. Trost, 151 P.
3d 870 (Mont. 2006).
18. Miller v. Niblack, 942 S. W. 2d 533 (Tenn. Ct. App. – 1996); see also, DePalma v. Metropolitan
Government of Nashville, 40 Fed. Appx. 187 (6th Cir. – 2002).
19. See Arthurs v. Aiken County, 525 S. E. 2d 542 (S. C. – 1999), in which the South Carolina Su-
preme Court stated that an exception to the public duty rule, under which public officials are not liable
to individuals for their negligence in discharging public duties, is recognized where the plaintiff can
establish the public official owed a special duty of care to the plaintiff.
20. Based on unpublished remarks of Judd D. Ketcher to the American Probation and Parole Associ-
ation (October 29, 1980).
21. For purposes of minimizing possible liability based on foreseeability, a policy probation and parole
departments might want to consider is that used by the federal government in determining whether
to notify an employer. Its Guide to Judiciary Policies and Procedures: Probation Manual, Chapter 4,
1983 provides:
(1) If the probation officer determines that no reasonably foreseeable risk exists, then no warning
should be given.
(2) If the probation officer determines that a reasonably foreseeable risk exists, he or she shall
decide, based upon the seriousness of the risk created and the possible jeopardy to the proba-
tioner’s employment or other aspects of his rehabilitation, whether to: (a) give no warning, but
increase the probationer’s supervision sufficiently to minimize the risk; (b) give no warning, but
preclude the probationer from the employment; or (c) give a confidential warning to party on no-
tice of the risk posed. When appropriate, the probationer may be permitted to make the disclosure
with the understanding that the probation officer will verify the disclosure.
23. Meyers v. Los Angeles County Probation Department, 78 Cal. App. 3d 309, 144 Cal. Rptr. 186
(1978).
24. Rogers v. Department of Parole and Community Corrections, 464 S. E. 2d 330 (S. C. – 1995).
25. The decision of Rogers v. Department of Parole and Community Corrections was premised on
several other previously decided court decisions. In Sheerin v. State, 434 N. W. 2d 633 (Iowa – 1989)
the Iowa Supreme Court held that the duty to warn depended upon and arose from the existence
of a prior threat to a specific identifiable victim. In Cairl v. State, 323 N. W. 2d 20 (Minn. – 1982), the
Minnesota Supreme Court stated that a duty to warn existed only where specific threats were made
against specific victims. Finally in Thompson v. Alameda, 614 P. 2d 728 (Calif. – 1980), the California
Supreme Court held that a defendant had no affirmative duty to warn of the release of an inmate
who had made nonspecific threats of harm directed at nonspecific victims.
26. Johnson v. State, 69 Cal. 2d 782, 447 P. 2d 352, 73 Cal. Rptr. 240 (1968).
200 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
Chapter 9
28. Georgen v. State, 196 N.Y.S. 2d 455, 18 Misc. 2d 1085 (Ct. Cl. 1959).
31. See Murillo v. Vasquez, 949 S. W. 2d 13 (Tex. App. – San Antonio, 1997), in which an intermediate
appellate court observed that a government official could act negligently and still meet the test for
good faith, for purposes of an official immunity defense.
32. See Ballantyne v. Champion Builders, Inc., 114 S. W. 3d 417 (Tex. – 2004), in which the Texas
Supreme Court noted that official immunity is analogous but not identical to qualified immunity under
federal law.
33. See Pearson et al. v. Callahan, 555 U.S. 223 ( 2009), in which the United States Supreme Court
noted that qualified immunity is immunity from suit rather than mere defense to liability; see also, M.
S. ex rel. Soltys v. Seminole County School Board, 636 F. Supp. 2d 1317 (M. D. Fla. – 2009), in which
a federal district court noted that qualified immunity is not just a defense to liability, but it is also a
defense from suit, Poolaw v. Marcantel, 565 F. 3d 721 (10th Cir. – 2009) and Bletz ex rel. Estate of
Bletz v. Gribble, 2009 WL 2132729 (W. D. Mich., S. Div. – 2009).
34. Gates v. Texas Department of Protection and Regulatory Services, 537 F. 3d 404 (5th Cir. –
2008); see also, Harlow v. Fitzgerald, 457 U. S. 800 (1982).
36. Saucier v. Katz, 533 U. S. 194 (2001); see also, Gates v. Texas Department of Protective and
Regulatory Services, 537 F. 3d 404 (5th Cir. – 2008).
37. Id.
39. Oden v. Wayne County, 760 N. W. 2d 217 (Mich. – 2008); see also, Yanero v. Davis, 65 S.W.3d
510 (Ky. 2000), in which the Kentucky Supreme Court stated that official immunity applies to negli-
gent performance by a public officer or employee of: (1) discretionary acts or functions; (2) in good
faith; and (3) within the scope of the employee’s authority.
40. Cobb v. Texas Department of Criminal Justice, 965 S. W. 2d 59 (Tex. App. – Houston, 1998).
41. Under Maryland law, “malice” for purposes of defeating public official immunity, is “actual malice;”
actual malice required to defeat official immunity requires an act without legal justification or excuse,
but with an evil or rancorous motive influenced by hate, the purpose being to injure the plaintiff de-
liberately and willfully, see Khan v. Worcester County, 24 Fed. Appx. 183 (4th Cir. 2001); under Ohio
law “malice” is the willful and intentional design to injure or harm another, usually seriously, through
conduct that is unlawful or unjustified, see D’Agastino v. City of Warren, 175 F. Supp. 2d 967 (N. D.
Ohio – 2001).
42. Dokman v. County of Hennepin, 637 N. W. 2d 286 (Minn. App. – 2001); Ohio employees of a
political subdivision are immune from tort liability unless they act with malicious purpose, in bad faith,
or in a wanton or reckless manner, D’Agastino v. City of Warren, 175 F. Supp. 2d 967 (N. D. Ohio –
2001).
43. See Guerrero v. Tarrant County Mortician Services, 977 S. W. 2d, 829 (Tex. App. – Fort Worth –
1998), in which an intermediate appellate court stated that if the acts of an official are not lawfully
authorized, then a suit against that official is not a suit against the State, and the individual official is
not immune. This is because unlawful or unauthorized acts are not considered acts of the State, and
state officials can be sued in their individual capacities for wrongful unofficial acts.
Emerging Trends Concerning Liability of Probation and Parole Officers for Supervision 201
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45. Moore v. Collins, 897 S. W. 2d 496 (Tex. App. – Houston [1st Dist.], 1995).
46. Rhodes v. Torres, 901 S. W. 2d 794 (Tex. App. - Houston [14th Dist.], 1995)
47. This defense is also sometimes referred to as “derived judicial immunity;” see Dallas County v.
Halsey, 87 S. W. 3d 552 (Tex. – 2002).
48. City of Houston v. Swindall, 960 S. W. 2d 413 (Tex. App. – Houston [1st Dist.], 1998).
49. Id.
50. Poe v. Massey, 3 F. Supp. 2d 176 (D. Conn. – 1998); see also, State v. Sanchez, 46 P. 3d 774
(Wash. – 2002), in which the Washington Supreme Court stated that a community corrections officer
acts on behalf of the court when it provides information though a presentence report.
51. Littles v. Board of Pardons and Paroles Division, 68 F. 3d 122 (5th Cir. – 1995).
53. Gilmore v. Bostic, 636 F. Supp. 2d 496 (S. D. W. Va. – 2009); see also, Gelatt v. County of Broome,
811 F. Supp. 61 (S. D. N. Y. – 1993); see however, Schiff v. Dorsey, 877 F. Supp. 73 (D. Conn. – 1994),
in which the court stated that a federal probation officer was absolutely immune from private suits for
money damages predicated on a claim that he filed a groundless petition for probation revocation.
54. See Duffy v. County of Bucks, 7 F. Supp. 569 (E. D. Pa. – 1998), in which a federal district court
stated that absolute immunity which protects probation officers for actions integrally related to the
judicial process did not apply to a probation officer’s investigative acts which were more akin to law
enforcement, such as seeking an arrest warrant or preparing for a violation of probation hearing.
55. Patterson v. Board of Probation and Parole Commission of Pennsylvania, 851 F. Supp. 194 (E. D.
Pa. – 1994).
58. City of Houston v. Swindalll, 960 S. W. 2d 413 (Tex. App. – Houston [1st Dist.], 1998).
59. Alpert v. Gerstner, 232 S.W.3d 117 (Tex. App. – Houston [1st Dist.], 2006) No. 01-05-00418-CV.
202 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 10
VICARIOUS LIABILITY
INTRODUCTION
I. FAILURE TO TRAIN
V. FAILURE TO DIRECT
SUMMARY
NOTES
203
CHAPTER 10
INTRODUCTION
In simplest terms, a supervisor is a person who has somebody working for or with him or her in a
subordinate capacity. At the apex of the supervisory hierarchy are the administrators who have ulti-
mate responsibility for the operation and management of an agency. The term “supervisor” is used in
this discussion generally to include probation/ parole administrators, chiefs, heads, or directors.
Although lawsuits against officers are directed mainly at field personnel, including probation or parole
officers, plaintiffs are inclined to include supervisory officials and the agency as parties-defendants,
based on the theory that the officer acts for the agency and, therefore, what the officer does reflects
agency policy and practice. As a matter of legal strategy, it benefits plaintiffs to include supervisors
and agencies in a liability lawsuit. Lower level officers may not have the financial resources to satisfy
a judgment, nor are they in a position to prevent similar future violations by other officers or the agen-
cy. Moreover, chances of financial recovery are enhanced if supervisory personnel, by virtue of their
position, are included in the lawsuit. The higher the position of the employee, the closer the plaintiff
gets to the deep pockets of the county or state agency. Inclusion of the supervisor and agency may
also create disagreement in the legal strategy of the defense, based on a conflict of interest, hence
strengthening the plaintiff ’s claim against one or some of the defendants.
In Brandon v. Holt,1 a 1985 decision, the United States Supreme Court ruled that a money judgment
against a public officer “in his or her official capacity” imposes liability upon the public entity that
employs him or her, regardless of whether or not the agency was named as a defendant in the suit.
In this case, the plaintiff alleged that although the director of the police department had no actual
notice of the police officer’s violent behavior, because of administrative policies, the director should
have known. The Court said that, although the director could be shielded with qualified immunity, the
city could be held liable. Speaking in dissent, Justice Rehnquist opined that the Court’s opinion sup-
ports the preposition that in suing a public official under § 1983 of Title 42 of the U.S. Code, a money
judgment against the public official “in his or her official capacity” is collectible against the public that
employs the official. In Retenauer v. Flaherty,2 a 1994 decision, Pennsylvania Judge James R. Kelley
quotes from the Brandon case to clarify the issue:
[T]he issue before the court was whether the judgment was payable by the City of Memphis or
whether the Police Director was individually liable. The court held that the City of Memphis was
responsible for the judgment, but cautioned:
In at least three recent cases arising under § 1983, we have plainly implied that a judg-
ment against a public servant “in his or her official “capacity” imposes liability on the entity
that he represents provided, of course, the public entity received notice and an opportuni-
ty to respond. We now make that point explicit.
In Retenauer, the city of Pittsburgh was not named as a party, notified of involvement, nor given the
opportunity to participate in settlement negotiations with the plaintiff. Therefore, it was exonerated
from all liability in the case.
Lawsuits may be categorized in various ways, each with varying implications. First, they may be
brought under state or federal laws, or under both. Most cases in fact are brought under tort law
(state courts) and § 1983 of 42 U.S. Code (Federal courts).3 Both are civil cases and enjoy advantag-
es in terms of a lower quantum of proof needed to win (compared with criminal cases) and probable
financial benefit in the form of damages awarded. Section 1983 cases have the added advantage
of the plaintiff being able to recover attorney’s fees from the defendant, by judicial order, if he or she
prevails in any of the allegations, or even if the case results in a consent decree.
Second, liability lawsuits may be classified as coming from two possible sources (i.e., from clients,
such as probationers, parolees, or the general public, and from subordinates or employees). In
either case, the usual allegation is that the supervisor is liable for injury caused by action or inaction.
Although most cases filed thus far stem from clients’ liability claims, an increasing number of cases
have arisen from subordinates for acts done or injuries suffered in the course of employment that
could have been obviated had the supervisor performed his or her job properly.
Third, supervisory liability cases may be classified into direct liability and vicarious liability. Direct lia-
bility means that a supervisor is held liable for what he or she does, whereas vicarious liability holds
a supervisor liable for what his or her subordinates do. This is based on the theory that the officer
acts for the agency and, therefore, what he or she does is reflective of agency policy and practice.4
This chapter focuses on vicarious liability, whereas the next chapter explores direct liability.
Fourth, liability lawsuits may be filed against the supervisor as a private individual or in his or her
capacity as a public officer. Liability as a private individual arises when the supervisor acts on his
or her own and outside the scope of duty. In these cases, the agency will not undertake his or her
defense or pay for damages if held liable. The initial determination whether that officer acted within
the scope of duty is made by the agency. Unless provided otherwise by statute or agency regulation,
such determination is not appealable to any court or higher administrative agency. Most lawsuits,
however, are brought against a supervisor in his or her official capacity, regardless of the nature of
the act. Plaintiffs prefer to hold both the officer and the agency liable so as to broaden the financial
base for recovery.
Vicarious or indirect liability stemming from negligence of a supervisor is one of the most frequently
litigated areas of liability and, therefore, merits extended discussion. Most decided cases in the area
of supervisor liability are police or prison cases, but their principles should be applied to probation
and parole supervisors as well. It must be noted that most decided cases require “deliberate indif-
ference” (a higher level of blame) for a supervisor to be liable. Simple negligence will not establish
liability.
I. FAILURE TO TRAIN
This has generated a spate of lawsuits in the law enforcement and corrections areas of criminal
justice. As early as 1955, a state court entertained tort actions for monetary damages resulting from
improper training.5 The usual allegation in these cases is that the employee has not been instruct-
ed or trained by the supervisor or agency to a point at which he or she possesses sufficient skills,
knowledge, or activities required of him in the job. The rule is that administrative agencies and
supervisors have a duty to train employees and that failure to discharge this obligation subjects the
supervisor and the agency to liability if it can be proven that such violation was the result of failure to
train or improper training.6
Although no cases decided thus far involve probation and parole, some cases have mandated jail
and prison administrators to train their staffs or improve their training programs. In Owens v. Haas,7
the plaintiff argued that lack of training for personnel in the local jail resulted in the violation of his or
her constitutional rights stemming from the use of force against him. The Second Circuit held that,
although a county may not be liable for mere failure to train employees, it could be liable if its failure
was so severe as to reach the level of gross negligence or deliberate indifference. The court added
that a municipality is fairly considered to have actual or imputed knowledge of the foreseeable conse-
quences that could arise from nonexistent or grossly inadequate training.
In McClelland v. Facteau,8 the Tenth Circuit held that a police chief might be held liable for civil rights
violations for failure to train or supervise employees who commit an unconstitutional act. The plaintiff
was booked by the New Mexico State Police at a local jail facility, and, while there, was beaten by
206 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 10
the officers as well as denied use of the telephone and access to an attorney. In holding the officers
liable, the court said that in order for liability to attach, there must be a breach of an affirmative duty
owed to the plaintiff, and the action must be the proximate cause of the injury. In this case, it was well
known that instances of constitutional violations were occurring in the department because they had
been thoroughly aired by the press. Additionally, the jail itself was under lawsuit in two instances of
wrongful death. Similarly, in Rock v. McCoy,9 a 1985 decision, when Mr. Rock approached a police
officer to inquire whether the officer wanted to speak with him, a brawl quickly turned into a severe
beating by law enforcement. Although the city had no policy or custom of beating citizens or sus-
pects, the city was held liable because adequate training would have eliminated the officers’ grossly
negligent actions.
The question arises: Will a single act by a subordinate suffice to establish liability under failure to
train? Most cases hold that a pattern must be proven and established. The Owens case indicates
a single brutal incident may be sufficient to constitute a link between failure to train and violation.
Owens considered solely the degree of violation to determine liability instead of waiting for a pattern
to develop based on a series of violations. The United States Supreme Court has answered this
question in the negative. In 1985, the Court ruled that an isolated act of police misconduct could not
ordinarily make a city subject to a damage suit for violating an individual’s civil rights.10 This decision
was reiterated in 1997 when the Court, in Board of County Commissioners of Bryan County, Oklaho-
ma v. Brown, held that a single hiring decision made by a county official was not enough to hold the
county liable.11 In another case, Oklahoma City v. Tuttle, the Court overturned a $1.5 million damage
award against Oklahoma City, won by the widow of a man whom an Oklahoma City officer had shot
to death in the process of investigating a reported robbery. The plaintiff in this case argued that the
city’s inadequate training of its police force constituted an official “policy” for which the city should be
held liable. The Court of Appeals for the Tenth Circuit accepted the plaintiff’s theory and ruled that
the officer’s action was so plainly and grossly negligent as to provide the necessary link between
the policy and the injury. The United States Supreme Court reversed that decision. Writing for four of
the seven justices in the majority, Justice Rehnquist said that the notion of inadequate training as a
policy was too nebulous and remote from the charge of unconstitutional deprivation of life as to form
a basis for municipal liability. He added that a single incident could give rise to municipal liability only
if the incident was actually caused by an existing, unconstitutional municipal policy, which can be at-
tributed to a policymaker. But where the policy relied upon is not itself unconstitutional, considerably
more proof than a single incident will be necessary in every case to establish both the requisite fault
on the part of the municipality and the causal connection between the policy and the constitutional
deprivation.
In City of Canton v. Harris,12 decided in 1989, the Court held “deliberate indifference” was the stan-
dard to be used on the issue of municipal liability for inadequate training. In 1998,13 the United States
Court of Appeals for the Sixth Circuit held that to be held liable for supervisor liability, the administra-
tor must display deliberate indifference in his or her inaction toward the situation.
Lawsuits against supervisors and agencies for failure to train come from two sources (e.g., a client
whose rights have been violated by an officer who has not been properly trained, and a subordinate
who suffers injury in the course of duty because he or she was not trained adequately). The obvious
defense in these cases is proper training, but training may in fact be deficient due to circumstances
beyond a supervisor’s control, such as lack of funds and a dearth of expertise.
Will the supervisor be liable if no resources have been allocated to provide the desired level of train-
ing? Budgetary constraints generally have not been considered a valid defense14 by the courts and,
therefore, place the supervisor in a difficult position. With proper documentation, however, the super-
visor should be able to establish good faith if he or she repeatedly calls the attention of those who hold
the purse strings to the need for training. Even if financial resources are available, unstructured training
alone may not be sufficient. The nature, scope, and quality of the training program must be properly
documented and its relevance to job performance identified. There is a need to document training
sessions with detailed outlines to substantiate course content. Attendance sheets are necessary for
defense purposes in lawsuits brought by one’s own subordinates.
In a 1997 case, Board of County Commissioners of Bryan County, Oklahoma v. Brown,18 the United
States Supreme Court held that a county cannot be held liable under § 1983 for a single hiring deci-
sion made by a county official. In Brown, the plaintiff and her husband approached a police check-
point and then turned around to avoid it. Two deputies pursued the vehicle for more than 4 miles
at speeds in excess of 100 miles an hour. When the vehicle stopped, one of the deputies pointed
his gun at the truck and ordered the occupants to raise their hands. The other deputy went to the
passenger side of the truck and ordered Brown out of the vehicle. When Brown did not respond after
the second request, the deputy pulled her from the truck by the arm and swung her to the ground.
The fall caused severe injuries to Brown’s knees, possibly requiring knee replacement. Brown sued
the deputy, the county sheriff, and the county for injuries under § 1983, claiming that the sheriff failed
to review the deputy’s background adequately. The deputy did, in fact, have a history of misdemeanor
offenses, including assault and battery, resisting arrest, driving while intoxicated, and public drunk-
enness prior to his hiring. The sheriff knew this and yet hired him. After some legal maneuvering,
the sole issue presented to the Court was: Can a county be held liable in a § 1983 case involving
excessive use of force for a single hiring decision made by a county official?
The Court said no, saying that county liability for a sheriff s decision to hire does not “depend on the
mere probability that any officer inadequately screened will inflict any constitutional injury. Rather, it
must depend on a finding that this officer was highly likely to inflict the particular injury suffered by
the plaintiff.” This is a higher standard for liability for improper hiring than even the “deliberate indiffer-
ence” standard set in failure to train cases.
This is the only case decided by the United States Supreme Court thus far on negligent hiring.
Although the case involves law enforcement, there are good reasons to assume it applies to proba-
tion and parole as well. Moreover, although the case involves county liability rather than liability of
a supervisor for negligent hiring, there is no reason to believe it will not apply to supervisors if that
issue ever comes up before the Court. In sum, in the absence of statute it may be assumed that the
high standard set by the Court in Brown for county liability is the same standard that will be set for
liabilities of supervisor improper hiring. It is important to note, however, that the Brown case is a §
1983 (federal) case. State courts may set a lower standard for liability in state tort cases for negligent
hiring.
208 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 10
Supervisors must pay careful attention to complaints and adverse reports against subordinates.
These must be investigated, and the investigation must be properly documented. This also implies
that the supervisor must generally be aware of the weaknesses and competencies of subordinates
and not assign them to perform tasks in which they are wanting in skill or competence.
In Thomas v. Johnson,23 the police chief allegedly failed to supervise an officer against whom
numerous complaints had been filed, resulting in an assault, battery, negligence, and violation of
the plaintiff’s civil rights. In both cases, the courts noted possible liability for failure to supervise. In
London v. Ryan,24 Lt. Weaver was the senior officer at the scene of a crime that resulted in two young
officers firing their weapons and injuring an innocent person. Although he arrived in his patrol car at
the same time as the two responding officers, Lt. Weaver failed to exit his vehicle and take com-
mand. The Louisiana court said that Lt. Weaver’s failure to provide proper supervision in a situation
involving firearms created a grave risk of serious bodily injury to innocent parties at the scene of
the crime. In failing to provide supervision, Weaver breached a duty he owed the plaintiff and other
parties present; hence, he was obliged to repair it. The current law on liability for negligent failure to
supervise is best summarized in an article as follows:25
To be liable for a pattern of constitutional violations, the supervisor must have known of the pat-
tern and failed to correct or end it. . . . Courts hold that a supervisor must be “causally linked” to
the pattern by showing that he had knowledge of it and that his or her failure to act amounted to
approval and hence tacit encouragement that the pattern continue.
A writer gives this succinct advice: “The importance of this principle is that supervisors cannot shut
their eyes and avoid responsibility for the acts of their associates if they are in a position to take
remedial action and do nothing.”26
V. FAILURE TO DIRECT
Failure to direct means not sufficiently telling the employee of the specific requirements and proper
limits of the job to be performed. Examples are failure on the part of the supervisor to inform an
employee in a prison mailroom of the proper limits of mail censorship or to advise prison guards as
to the extent of preserved, rights of access to court and counsel. In one case,27 the court refused
to dismiss an action for illegal entry, stating that it could be the duty of a police chief to issue writ-
ten directives specifying the conditions under which field officers can make warrantless entries into
residential places. The court held that the supervisor’s failure to establish policies and guidelines
concerning the procurement of search warrants and the execution of various departmental opera-
tions made him vicariously liable for the accidental shooting death of a young girl by a police officer.
In another case,28 the failure to direct involved the chief’s negligence in establishing procedures
for the jail concerning diabetic diagnosis and treatment. The case involved incarceration for public
drunkenness. The arrestee experienced a diabetic reaction that resulted in a diabetic coma, stroke,
and brain damage. The jailer did not recognize this condition and, therefore, failed to provide for the
proper medical care, resulting in death. Liability was assessed.
The best defense against a claim of failure to direct is a written manual of policies and procedures
for departmental operations. The manual must be accurate and legally updated, and it must form
the basis for agency operations in theory and practice. It must cover all the necessary and important
aspects of the job an employee is to undertake. It is also necessary that employees be required to
read and to be familiar with the manual as part of their orientation to the agency. A signed statement
by the employee to the effect that he or she has read and understood the manual will go a long way
toward exculpating a supervisor from liability based on failure to direct.
210 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
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The rule is that a supervisor has an affirmative duty to take all necessary and proper steps to disci-
pline and/or terminate a subordinate who is obviously unfit for service. This can be determined either
from acts of prior gross misconduct or from a series of prior acts of lesser misconduct indicating a
pattern of unfitness. Such knowledge may be actual or presumed. In Brancon v. Chapman,32 the
court held a police director liable in damages to a couple who had been assaulted by a police officer.
The judge said that the officer’s reputation for using excessive force and for having mental problems
was well known among the police officers in his precinct; hence, the director ought to have known
of the officer’s dangerous propensities and to have fired him before he assaulted the plaintiffs. This
unjustified inaction was held to be the cause of the injuries to the couple for which they could be
compensable. In McCrink v. City of New York,33 a police commissioner who personally interviewed an
errant officer, and yet retained him after a third offense of intoxication while on duty, was deemed to
have actual knowledge. Presumed knowledge arises where the supervisor should have known or, by
exercising reasonable diligence, could have known the unfitness of the officer. No supervisory liability
arises where the prior acts of misconduct were minor or unforeseeable, based on the prior conduct
of the officer.
The defense against improper retention is for the supervisor to prove that proper action was taken
against the employee and that the supervisor did all he or she could to prevent the damage or injury.
This suggests that a supervisor must know what is going on in the department and must be careful
to investigate complaints and document those investigations. In summary, supervisory liability under
state law arises under a variety of circumstances, all based on some degree of negligence. Although
most courts impose supervisory liability only when the negligence amounts to deliberate indiffer-
ence, other courts go with a lower standard. Regardless of the standard used, the determination of
negligence is made by the trier of fact, be it a judge or jury, and so the distinction may not be all that
significant. The seven possible sources of liability discussed above are not mutually exclusive and
overlap. For example, negligent failure to direct or assign may also mean failure to supervise, and
vice versa. The plaintiff’s complaint may, therefore, cover more than one area of potential liability
even if allegations are anchored on a single act.
SUMMARY
Supervisory liability is a fertile source of civil litigation against probation and parole personnel and
departments. The developing case law in this field strongly suggests the need for supervisors to
know the legal limits of their job and to be more aware of what goes on among, and the compe-
tencies of, subordinates in their department. An area that deserves immediate attention, because
of increasing court litigation, is failure to train. Indications are that training is a neglected area in
corrections. This is deplorable because corrections in general is a field that, because of low pay
and unattractive job status, needs training even more than the other subsystems in criminal justice
if the quality of personnel is to be upgraded. Problems arise for supervisors because of financial
constraints occasioned by the reluctance of political decision makers to commit financial resources
to training, despite perceived need. Such neglect carries serious legal implications for the supervisor
and decision makers, and hence must be given proper and immediate attention.
The days of unfettered discretion among supervisors in probation and parole are gone. Judicial
scrutiny can be irritating and sometimes frustrating for a probation or parole supervisor, yet it can
also lead to more effective and equitable administration, something the public desires and deserves.
Judicial intervention and supervisory liability may be a mixed blessing, but they are realities with
which probation and parole supervisors must learn to live and cope.
NOTES
1. Brandon v. Holt, 469 U.S. 464 (1985).
3. State courts have jurisdiction to hear civil rights suits based on 42 U. S. C. § 1983. However a state
court can decline to assume jurisdiction of a “1983 suit.” See Thomas v. Allen, 822 S. W. 2d 816 (Tex.
App. Houston [14th Dist.]. 1992.
4. Del Carmen, Rolando. 1984. “Legal Liabilities and Responsibilities of Corrections Agency Supervi-
sors.” Federal Probation, September 1984.
6. Owens v. Haas, 601 F.2d 1242 (2d Cir. 1979), cert. denied.
7. 601 F.2d 1242 (2d Cir. 1979), cert. denied, 444 U.S. 980 (1979).
11. Board of the County Commissioners of Bryan County, Oklahoma v. Brown, 520 U.S. 397 (1997).
13. Macigewski v. Backus and Kandrevas, Nos. 97-1516; 97-1591; 156 F.3d 130 (1998).
14. Alberti v. Sheriff of Harris County, 460 F. Supp. 649 (S.D. Tex. 1975).
15. See AELE Special Report, The AELE Workshop on Police and Liability and the Defense of
Misconduct Complaints (Americans for Effective Law Enforcement, 1982), p. 12-1.
25. Hardy & Weeks, Personal Liability of Public Officials under Federal Law 7 (1980).
212 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 10
SUMMARY
NOTES
215
CHAPTER 11
INTRODUCTION
In contrast to vicarious liability (liability of supervisors for what their subordinates do, where cases
are filed by probationers or parolees), the subject of the preceding chapter, direct liability claims are
filed by employees against supervisors allegedly because employees’ rights have been violated by
the supervisor.
Direct liability of supervisors under state law for acts affecting subordinates arises from varied sourc-
es and in a number of ways. Responsibilities attach in the hiring, termination, demotion, suspension,
or reassignment phases of a supervisor’s work. There are usually two issues involved in supervisor/
subordinate cases. The first has to do with the causes for which an employee may be terminated,
demoted, suspended, or reassigned. The second looks at the procedure that must be followed, if
any, before an employee may be terminated, demoted, suspended, or reassigned. Both cause and
procedure for supervisory action are primarily governed by laws on:
These sources of rights are not mutually exclusive and, in fact, interface in many cases. For example,
prevailing state laws may supplement an employee contract; moreover, basic constitutional rights
overlay individual contracts or agency regulations. Unconstitutional provisions in contracts or agency
guidelines may be challenged in court. The waiver of a basic constitutional right as a condition for
employment has found increasing disapproval in public employment litigation.1
■■ First Amendment Freedom of Religion, Speech, the Press, Assembly, and Petition the
Government
Example: An employee is terminated or disciplined for exercising constitutional rights, such as suing
his or her superior or department, criticizing the department, exercising freedom of religion, or
choosing an unconventional lifestyle. As a general rule, an employee may be disciplined if the super-
visor is able to prove that what the employee did impairs his or her efficiency in the department,2 or
demonstrably affects job performance.3 For example, criticisms, which ordinarily fall under the exer-
cise of free speech, must have an adverse effect, or affect the efficiency of the department, before
adverse action against the employee can be taken. In Pickering v. Board of Education,4 the United
States Supreme Court said that the right to speak cannot be curtailed absent proof of false state-
ments knowingly and recklessly made, or a statement that disrupts the harmony of the department.
Example: An employee’s desk is searched without permission. The general rule is that supervisors
may validly conduct a search without a warrant or probable cause if the officer has no reasonable
expectation of privacy.5
This warning stems from a United States Supreme Court decision in Garrity v. New Jersey.7 In this
case, several police officers were questioned in the course of a state investigation of alleged traf-
fic ticket “fixing.” The officers were warned that anything they said might be used in a court of law
against them, that they could refuse to answer the questions, but if they did refuse they would be
terminated from their job. The police officers answered the questions posed to them and the answers
were later used against them in a criminal prosecution.
The United States Supreme Court was asked whether these coerced statements could be used in
a subsequent criminal prosecution. The Supreme Court held that, although a public employee could
be required to answer any question related to the person’s employment and refusal to answer could
legitimately result in a termination of employment, any answer provided by the employee could not
subsequently be introduced in criminal prosecution. Nevertheless, incriminating statements could be
considered in a termination decision. Hence the Garrity rule informs an employee of the consequenc-
es of answering or refusing to answer a question related to the person’s employment.8
■■ 14th Amendment Right to Equal Protection, Due Process, Property Interests, and
Liberty Interests
The general rule is that an employee acquires property rights to his or her job upon passing the
probationary status, the length of which is governed by state law. When the termination takes away
an employee’s liberty (such as when it seriously damages an employee’s standing and association
in the community or when the action imposes a stigma or other disability), that limits an employee’s
chances for other employment. The employee is entitled to rights under the 14th amendment. The
general rule concerning sexual orientation appears to be that sufficient nexus must exist between
sexual orientation and job performance to justify dismissal.9 In one case, the court held that a gay
junior high school teacher could not be dismissed or transferred simply because he was homosex-
ual. Some showing must be made of his or her homosexual behavior with students or teachers, or
that his or her homosexuality, in general, was notorious.10 In another case,11 the court held that civil
servants could not be discharged for homosexuality unless their homosexuality was rationally related
to job performance. In light of substantial increases in tolerance for diverse sexual orientations in
the decades since these early cases, we have every reason to believe that courts will be even less
willing to permit adverse actions on the basis of sexual orientation.
In other sexual activity cases, the general rule is that an employee’s private sexual conduct is within
the zone of privacy and is, therefore, shielded from government intrusion. Most disciplinary actions
by supervisors have not been sustained because these are areas of an employee’s life over which
the government has no legitimate interest. An exception is where the sexual activities of an employee
are open and notorious, or if such activities take place in a small town where impact on the depart-
ment may be easily demonstrable. In these cases, the supervisor might very well have an interest in
investigating such activities and terminating the employee.12
Mere membership in a political party cannot be prohibited or used as a basis for disciplinary action,
but participation in partisan politics can be prohibited because of possible conflict of interest and po-
tential abuse of the prerogatives of one’s office.13 In Giglio v. Court of Pennsylvania,14 the court found
218 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 11
such a prohibition to have important state interests. The employee retains the options of resigning his
or her employment or requesting an exemption from the Pennsylvania court. Similarly in Georgia,15
holding a political office and being a state employee were held to be a conflict of interest for which
the state had a compelling interest in imposing restrictions about holding both at the same time. The
general rule stated above can be superseded, however, by federal or state law, agency policy, civil
service rules, or collective bargaining agreements. Because of this, specific employee rights vary
from one jurisdiction to another.
To establish a prima facie case under the EPA a plaintiff must show:
2) For equal work requiring substantially similar skills, effort, and responsibilities.
In addition, the establishment of a prima facie case does not require a showing of intent to discrim-
inate.19 Finally if an employee prevails in an EPA lawsuit the individual is entitled to back pay as a
result of the initial wage differential and an amount equal to the back pay as liquidated damages.20
To establish a prima facie case under the ADEA, the plaintiff must prove:
3) At the time of the person’s discharge or demotion, s/he was performing the job at a level that met
the employer’s legitimate expectations.24
In a failure to hire case, to establish a prima facie case, the plaintiff must show that:
Once the applicant has established a prima facie case of discrimination, direct evidence of the
employer’s bias is not necessary for the case to go to the jury. In other words, indirect evidence will
suffice to take the plaintiff’s claims to jury deliberation.
Before filing a claim under the ADEA in federal court, a plaintiff must:
2) File a charge with an appropriate state agency “if the alleged unlawful practice occurred in a State
which had a law prohibiting discrimination in employment because of age and establishing or
authorizing a State authority to grant or seek relief from such discriminatory practice.”
If a plaintiff prevails in a suit under the ADEA, the person is entitled to back pay and liquidated dam-
ages in an amount equal to the back pay award.26 In addition a successful plaintiff is entitled to some
form of reimbursement for fringe benefits.27 Although some district courts have allowed a plaintiff to
be compensated for pain and suffering and loss of future earnings and fewer have even allowed for
punitive damages, no appellate court that has confronted the issue has allowed compensatory dam-
ages for pain and suffering under the ADEA.28
No otherwise qualified individual with a disability in the United States shall, solely by reason of her
or his disability, be excluded from the participation in, be denied the benefits of, or be subjected to
discrimination under any program or activity receiving Federal financial assistance or under any
program or activity conducted by any Executive agency or by the United States Postal Service.29
Thus this provision of the law is restricted to direct recipients of federal assistance and federal em-
ployees. In order to assert a cause of action under this measure a plaintiff must prove:
1) That the individual is a person with a disability within the meaning of the Rehabilitation Act.
3) That s/he was discriminated against in employment by an employer that received federal funds.
Since the passage of the Americans with Disabilities Act, the Rehabilitation Act has largely fallen into
disuse. However because plaintiffs still on occasion file a claim under this Act, supervisors need to be
aware of its existence.31
No covered entity shall discriminate against a qualified individual with a disability because of the
disability of such individual in regard to job application procedures, the hiring, advancement, or
220 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 11
discharge of employees, employee compensation, job training, and other terms, conditions, and
privileges of employment.32
(A) A physical or mental impairment that substantially limits one or more major life activities33 of such
individual.
The Act further defines a “qualified individual with a disability” to mean an individual with a disabil-
ity who, with or without reasonable accommodation,35 can perform the essential functions of the
employment position that such individual holds or desires.36 In addition the Act states that the term
“reasonable accommodation” may include:
(A) Making existing facilities used by employees readily accessible to and usable by individuals with
disabilities.
(B) Job restructuring, part-time or modified work schedule, reassignment to a vacant position,
acquisition or modification of equipment or devices, appropriate adjustment or modifications of
examinations, training materials or policies, the provision of qualified readers or interpreters, and
other similar accommodations for individuals with disabilities.37
Nevertheless that Act makes it clear that an employer is not required to make accommodations that
would cause undue hardship.38
The ADA applies equally to job applicants as well as employees. Hence employers may not make
medical inquiries or conduct physical examinations of job applicants until a conditional offer of
employment is made and may make medical inquiries or conduct examinations of employees only if
they are job-related and consistent with business necessity. Nevertheless employers may include in
job notices what physical functions are essential to perform the job function of the position posted.39
Moreover a job applicant (as well as an employee) must be able to perform the essential functions of
the job, with or without accommodation, in order to invoke the ADA.
Despite the broad regulations issued by the E.E.O.C. in implementing the ADA and the under-
standing of some lawmakers and lower courts, the United States Supreme Court in a couple of
holdings limited the scope of the ADA. In Sutton v. United Air Lines, Inc.,40 two sisters who suffered
from severe myopia sued an airline company because the airline had a policy that in order to be a
pilot, the person had to have at least 20/100 uncorrected vision. The sisters, who did not meet this
requirement, nevertheless had perfect vision when corrected by eyewear. The sisters contended that
they had a disability and the airline failed to make reasonable accommodation for their disability.
The Supreme Court was asked to consider whether disability was to be determined with or without
reference to corrective measures.
The Court stated that for a person to be disabled under the ADA, he or she must be presently and
not potentially or hypothetically substantially limited. Moreover the Court said that the use or non-
use of a corrective device did not determine whether an individual was disabled; that determination
depended on whether the limitations an individual with an impairment actually faced were in fact
substantially limiting. As such the Court stated that one had a disability if, notwithstanding the use of
a corrective device, that individual was substantially limited in a major life activity. The Court held in
this case that since corrective lens allowed the plaintiffs to see perfectly, they did not have a disability
under the ADA and as such, the airline did not discriminate against them by reason of a disability
when its policy provided that in order to be employed as a pilot, the applicant had to have at least
20/100 uncorrected vision.
In another case the United States Supreme Court was asked to consider the proper standard for
assessing whether an individual was substantially limited in performing manual labor. In Toyota
Motor Mfg., Ky., Inc., v. Williams,41 a worker in an auto plant developed carpal tunnel syndrome.
The employee was terminated because she had been off work too much for medical reasons and
she filed suit under the ADA, claiming that her employer had failed to provide her with a reasonable
accommodation.
The Supreme Court stated that in order to qualify as disabled under the ADA, a claimant 1) had to
initially prove that he or she had a physical or mental impairment; 2) needed to demonstrate that the
impairment limited a major life activity; and 3) further show that the limitation on the major life activity
was substantial. In this case the Supreme Court noted that although the plaintiff had limited physical
mobility, she could still take care of her personnel needs, such as hygiene, do housework, and even
work in her garden. The Court held that to be substantially limited in performing manual tasks, an
individual must have an impairment that prevented or severely restricted that individual from doing
activities that were of central importance to most people’s daily lives. Moreover, the Court held that
the impairment’s impact also had to be permanent or long-term. Finally, the Court held that when
addressing a major life activity of performing manual tasks, the central inquiry had to be whether
the claimant was unable to perform the variety of tasks central to most people’s daily lives and not
whether the claimant was unable to perform the tasks associated with her specific job.
Nevertheless these Supreme Court holdings are not the final say as to what constitutes a disability
for asserting a claim under the ADA. In 2008 Congress enacted the Americans with Disabilities Act
Amendment Act (ADAAA).42 The explicit purpose of this Act was to overturn the Supreme Court’s
decisions in Sutton v. United Air Lines, Inc., supra, and Toyota Motor Mfg., Ky., Inc., v. William, supra.
This Act broadened the definition of a major life activity.43 The Act further expanded the statutory
language that the Court more restrictively interpreted regarding the term “regarded as having such
an impairment.”44 Finally this Act altered the Court’s standard in determining whether an impairment
substantially limits a major life activity.45 The measures enacted in the ADAAA became effective with
respect to charges of discrimination filed with the E.E.O.C. on or after January 2, 2009. Thus for
those charges filed previous to this date, the standards and interpretations of the ADA establishes in
the above-cited Supreme Court opinions still apply.
222 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 11
Nevertheless in order to be eligible for unpaid leave under this Act, the employee must have been
working for at least 12 months for the employer and must have provided at least 1,250 hours of ser-
vice during the 12 months period.49
Although the employer only has to afford the employee 12 weeks of unpaid leave, the employer may
require the employee to first use his/her paid vacation, personal or sick leave for any part of the 12
week period.50 Moreover an employee may take leave on an intermittent or reduced basis for the birth
or placement of a child if the employer agrees to this arrangement.51 Furthermore, although the Act
applies equally to males and females, if both spouses are employed by the same employer, their ag-
gregate leave is limited to 12 weeks.52 Also, in the case of leave for birth or placement of a child, an
employee must provide 30 days advance notice to the employer, or “such notice as is practicable.”53
An employee who completes a period of leave must be returned either to the same position occu-
pied before the leave or to a position equivalent in pay, benefits, and other terms and conditions of
employment.54 Moreover employees on leave are entitled to the continuation of heath care benefits.55
An employer who violates the FMLA is liable to the employee for money damages and equitable
relief as well as liquidated damages for a willful violation.56 Finally, most courts which have examined
the issue have held that supervisors,57 including public employer supervisors and managers,58 can be
sued individually under the FMLA.59
The terms “because of sex” or “on the basis of sex,” include, but are not limited to, because of or
on the basis of pregnancy, childbirth, or related medical conditions; and women affected by preg-
nancy, childbirth, or related medical conditions shall be treated the same for all employment-relat-
ed purposes, including receipt of benefits under fringe benefit programs, as other persons not so
affected but similar in their ability or inability to work.61
Under the Pregnancy Discrimination Act, employers are required to treat both hiring and leave
decisions dealing with pregnancy, childbirth, and all related matters as though it were a temporary
disability. The only exception is the allowance of refusal to hire because the woman cannot complete
the probationary employment period because of a pregnancy related issue. Paid maternity leave is
not required; however, if the agency has a temporary disability pay policy, it must be followed in this
situation. Promotion, forced leave, and firing are also dealt with, as none may occur based solely on
status as pregnant or dealing with pregnancy-related issues.62 A violation of this provision of the law
may result in punitive damages if it is shown that the employer acted with malice or reckless indiffer-
ence to the civil rights of pregnant employees.63
one who has performed service in a uniformed service may not be denied initial employment,
re-employment, retention in employment, promotion, or any benefit of employment by an employer
on the basis of that performance of services.64
This law further states that except under certain circumstances, a person who is absent from a
position of employment by reason of service in the uniformed services will be entitled to the re-
employment rights and benefits and other employment benefits.65 Nevertheless, in order for military
personnel to be protected under this law, the cumulative length of the absence and all previous
absences from a position of employment with the employer by reason of service in the uniformed
services must not exceed five years.
Families of military personnel have additional protection in taking time off from work in order to care
for a family member in the military. The National Defense Authorization Act of 2008 amended the
Family Medical Leave Act to permit a spouse, son, daughter, parent, or next of kin to take up to 26
weeks of leave to care for a member of the Armed Forces, including a member of the National Guard
or Reserves, who is undergoing medical treatment, recuperation, or therapy, is otherwise in outpa-
tient status, or is otherwise on the temporary disability retired list, for a serious injury or illness.66
Finally the Veterans Era Readjustment Act deals with the allocation of government contracts. This Act
states that any contract in the amount of $100,00 or more entered into by any department or agency
of the United States for the procurement of personal and nonpersonal property must contain a provi-
sion requiring that the party contracting with the United States take affirmative action to employ and
advance in employment qualified covered veterans.67
One of the most significant civil rights legislation ever passed by the Congress of the United States
was the Civil Rights Act of 1964. Title VII of the Civil Rights Act of 1964, 42 U. S. C. § 2000e-2(a)
states that “it shall be an unlawful employment practice for an employer . . . to fail or refuse to hire
or to discharge any individual, or otherwise to discriminate against any individual with respect to his
compensation, terms, conditions, or privileges of employment, because of such individual’s race,69
color,70 religion,71 sex, or national origin.72 Title VII is not limited to illegal firings, it applies to all
aspects of employment relationship, including hiring, assignments, promotions, compensation and
work environment.
The courts have recognized two basic theories of discrimination under Title VII: individual disparate
treatment (involving intentional discrimination) and adverse impact (involving unintentional discrimi-
nation). Individual disparate treatment applies to cases where it is alleged that an employer treated
an employee differently on purpose because he or she is a member of a protected category.73 In
these types of cases intent must often be proven indirectly or circumstantial evidence. Such proof
typically involves evidence of a “comparator,” an employee who is similarly situated to the plaintiff but
outside the protected category at issue who can be “compared” with the plaintiff.
A plaintiff bringing a claim for disparate treatment must initially establish a prima facie case. A prima
facie case is established by a showing of the following elements:
2) Was qualified for the job sought or performed the requirements of the job.
4) The job or benefits remained open after the harm occurred or was filled by a person from outside
the protected category.74
Once a plaintiff establishes a prima facie case, it creates a rebuttable presumption of discrimination.
At that point the burden of production shifts to the employer to state a legitimate, non-discriminatory
reason for the job action.75 However if the employer produces this evidence, the burden of production
shifts back to the plaintiff to produce some evidence that the reason given by the employer is false, a
mere “pretext” for illegal discrimination.76
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Chapter 11
Nevertheless, in a disparate treatment case, although the burden of production shifts, the plaintiff
ultimately has the burden of persuasion, that is, the burden of proving to the fact finder that the
protected category was the real reason for the challenged action. However, now when the burden of
production shifts back to the plaintiff to produce some evidence that the reason given by the employ-
er is false, the plaintiff may satisfy this last step by proving either:
1) That the employer’s explanation is not true but is a pretext for discrimination or
2) That even if the employer’s explanation is true, unlawful discrimination was another motivating
factor in the job decision77 (the mixed-motive alternative).78
In Reaves v. Sanderson Plumbing Products, Inc.,79 the Supreme Court held that a plaintiff in an indi-
vidual disparate treatment case need only show that the employer’s explanation was pretextual
to defeat a motion for summary judgment. The Court stated that:
A plaintiff’s prima facie case, combined with sufficient evidence to find that the employer’s as-
serted justification is false, may permit the trier of fact to conclude that the employer unlawfully
discriminated.
The second basic theory of discrimination under Title VII, the adverse impact theory of discrimina-
tion, also known as “disparate impact” discrimination, can be used by employees when an employer
adopts an employment practice that is neutral on its face but disproportionately affects those in a
protected category.80 This theory is most often used to prove discrimination where there is no evi-
dence that the employer intended to discriminate based on the protected categories.
The burden of proof in the adverse impact theory case shifts in a manner similar to that with inten-
tional discrimination cases. First, the employee must offer evidence of a prima facie case. This can
be done by showing a statistical imbalance resulting from the policy or practice at issue.81 Once the
plaintiff has articulated a prima facie case, the burden shifts to the employer to prove one of two
things: either that the practice does not in fact result in an adverse impact, or that the practice has a
“manifest relationship to the employment in question.”
The “manifest relationship” between the criteria and the employment in question is often called a
“business necessity,” hence the “business necessity defense.” This defense can generally be shown
in three ways:
1) By evidence that the criteria at issue related to the actual work being performed on the specific job
in question.
2) By evidence that the criteria measures skills or knowledge required on the job in question or
3) By evidence that the criteria identifies a psychological trait essential to the job in question.82
When the employer claims a “business necessity,” the burden shifts back to the employee. She or he
can still prove illegal discrimination upon proof that an “alternative employment practice” exists that
would fulfill the business necessity to the same degree with a smaller discriminatory effect.
Before an employee can file a suit under Title VII in federal court, the employee must first exhaust
all administrative remedies by filing a complaint with the E.E.O.C.83 For employees who live in states
that have no appropriate state or local agency authorized “to grant or seek relief from such practices
or to institute criminal proceedings with respect to,” a discrimination charge must be filed with the
E.E.O.C. within 180 days of the act complained of.84 For those employees who do live in states with
an appropriate state or local agency, (known as deferred states) the charge must be filed with the
E.E.O.C. within 300 days.85 If the administrative charge is not resolved, either by the filing of a civil
suit by the E.E.O.C. or through conciliation within the 180 or 300 day time period, then the employee
can file suit in federal court. Also, if the E.E.O.C. makes a finding that there has been no substantiation
that a discriminatory act has occurred, the agency will issue the complainant a “right to sue letter.”86
Once this letter has been sent the employee then has 90 days to file a lawsuit in federal court.87
There are several remedies available to a plaintiff who successfully proves a discrimination case
under Title VII. A winning employee is entitled to back pay, which gives the plaintiff the money he or
she has lost as a result of adverse job action up to the time of trial. Back pay includes lost wages
as well as the value of other employment benefits.88 An employee is also entitled to front pay, which
refers to lost wages from the date of trial into the future. Front pay serves as a substitute remedy for
reinstatement when that option is unavailable.89 In addition either party, although usually the plaintiff
may be entitled to attorney’s fees and court costs. Moreover, a successful plaintiff may be entitled to
compensatory damages, which are for pecuniary and non-pecuniary harms other than back pay and
front pay caused by the illegal employment decision, including mental anguish.90 Nevertheless, al-
though a plaintiff can recover punitive or exemplary damages from a private employer upon a finding
that the employer engaged in the discriminatory conduct “with malice or with reckless indifference
to the state-protected rights” of the plaintiff,91 punitive damages cannot be recovered against any
government defendant.
I. Sexual Harassment
Even though suits alleging sexual harassment are based on Title VII of the Civil Rights Act of 1964,
because of the frequency of suits filed for sexual harassment and because of the seriousness of
the liability that would attach to a determination of sexual harassment, this subject deserves it own
section. 42 U. S. C. § 2000e-2(a) (1), makes it an unlawful employment practice for an employer . . .
to discriminate against any individual with respect to his compensation, terms, conditions, or privi-
leges of employment, because of such individual’s sex….” The Courts recognize two types of sexual
harassment.
One form is referred to as quid pro quo. This consists of an employer, supervisor or someone with
authority or control over a subordinate staff person who demands sexual favors in exchange for
an employment benefit or taking adverse employment action for refusing to provide a sexual favor.
Sometimes this is referred to as a tangible employment action. A tangible employment action consti-
tutes a significant change in employment status, such as hiring, firing, failing to promote, reassign-
ment with significantly different responsibilities, or a decision causing a significant change in benefits.
The second form of sexual harassment is referred to as a hostile work environment. This occurs
when a co-worker or supervisor subjects an employee to sexual innuendoes, remarks, and physical
acts so offensive as to alter the conditions of the employee’s employment and creates an abusive
work environment.92
a. Touching.
e. Holding up to ridicule.
f. Leaving sexually explicit books, magazines, and so forth in places where female employees can
find them.
g. Notes, either signed or anonymous, placed on bulletin boards, in lockers, in desks, and so forth.
h. Transfer, demotion, dismissal, or other adverse action after refusing or resisting sexual advances.
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j. Unwanted, unwarranted, and unsolicited “off duty” telephone calls, contacts, and so on.
The foregoing are illustrative, not exhaustive, examples of harassing activities. Not all sexually
oriented acts constitute sexual harassment. In order to be unlawful, the sexual harassment must
“be sufficiently severe or pervasive to alter the conditions of the victim’s employment and create an
abusive working environment.”94 Thus there are levels of sexual harassment that vary in severity and
consequence. For example, telling an “off color” joke is not as serious as sexual assault. The general
rule is that less serious types of sexual harassment do not automatically lead to liability, whereas
more serious acts do.
In order to assert an actionable claim the work environment must be one that “a reasonable person”
would have found to be hostile, looking at all the circumstances,95 and that, additionally, the plain-
tiff must have subjectively perceived the environment as hostile. Moreover the Supreme Court has
held that if the work environment becomes so hostile that the employee is forced to quit, this will be
considered as a “constructive” discharge and the employment can sue for damages as if the individ-
ual had actually been discharged.96 Finally, even if a plaintiff is not the direct target of the conduct,
an employee may still claim that observing others being sexually harassed created a hostile work
environment for the plaintiff.97
Liability exposure for the employer differs depending on whether the sexual harassment is quid pro
quo in nature or constitutes a hostile work environment. There is no affirmative defense available if a
tangible job detriment has occurred, that is, the sexual harassment was quid pro quo. The employer
is strictly liable for the actions of a supervisor against a subordinate. Nevertheless the employer can
still minimize the liability incurred for a quid pro quo form of sexual harassment. In order to do so, an
employer, upon receiving notice or otherwise becoming aware of alleged sexual harassment must
take “prompt remedial action reasonably calculated to end the sexual harassment.98 “Prompt remedi-
al action” entails conducting a thorough investigation of sexual harassment complaints to determine
their validity and fashioning appropriate remedies designed to end any sexual harassment.
However for suits alleging a hostile work environment, the employer does have an affirmative de-
fense. The defense comprises two necessary elements:
(a) that the employer exercised reasonable care to prevent and correct promptly any sexually harass-
ing behavior, generally by proving the existence of an anti-harassment policy with an adequate
complaint procedure, and:
(b) that the plaintiff employee unreasonably failed to take advantage of any preventive or corrective
opportunities provided by the employer or to avoid harm otherwise.99
Thus in order to avoid liability for having a hostile work environment the employer needs to:
■■ Ensure that an aggrieved party can by-pass the alleged harassing supervisors when making a
complaint.
Hence an employer is negligent with respect to the creation of a hostile work environment if it knew
or should have known about the conduct and failed to stop it.101
■■ Broadened protections against private race discrimination in making and enforcing contracts.
■■ Added compensatory and punitive damages for religious, sex and disability discrimination.
■■ Provided jury trials where compensatory and punitive damages were sought.
■■ Codified the disparate impact theory103 of proving discrimination under Title VII and specified how
it was to be applied where multiple factors affected the racial composition of work forces.
■■ Permitted liability to be established under Title VII on a disparate treatment theory104 when a
prohibited factor played any role in employment decisions.
■■ Required the Equal Employment Opportunity Commission to issue “right to sue letters” under the
Age Discrimination in Employment Act.105
K. Polygraph Examinations
Although the Employee Polygraph Protection Act of 1988106 prohibits private employers engaged in
commerce or in the production of goods for commerce from requiring any employee or prospective
employee to take a lie detector test, this Act does not apply to employees of the United States, any
state or local government, or any political subdivision. Nevertheless, States may have legal provi-
sions that would prevent or restrict the use of polygraph examinations on government employees.
For example, in Texas State Employees Union v. Texas Department of Mental Health and Mental
Retardation,107 the Texas Supreme Court struck down the policy that the Texas Department of Mental
Health and Mental Retardation had issued requiring all staff of a residential facility to undergo a poly-
graph examination whenever a patient was injured at a facility on privacy grounds because it was too
overbroad and overreaching.
L. Drug Testing
In the late 1980s the United States Supreme Court was called upon to examine the propriety of
conducting drug tests on public employees. In Skinner v. Railway Labor Executives’ Association,108
the Federal Railroad Administration (FRA) promulgated regulations requiring railroads to conduct
blood and urine tests on employees following certain major accidents or incidents. These regulations
were predicated upon the belief that alcohol and drug abuse by railroad employees had caused or
contributed to a number of significant train accidents. A railroad labor union brought suit to enjoin
these regulations.
In this case the Supreme Court recognized that breath and urine tests required by private railroads in
reliance on a government regulation implicated the Fourth Amendment to the United States Con-
stitution. Moreover, the Supreme Court noted that the collection and testing of urine intruded upon
expectations of privacy that society had long recognized as reasonable. Nevertheless, the Supreme
Court further observed that even though the Fourth Amendment was applicable to the drug and
alcohol testing prescribed by governmental regulations, this was only the beginning of the inquiry into
the standards governing such intrusions.109
The Supreme Court stated that the Fourth Amendment did not proscribe all searches and seizures,
but only those that were unreasonable.110 Moreover what was reasonable, of course, “depends on
228 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 11
all of the circumstances surrounding the search or seizure and the nature of the search of seizure
itself.”111 Thus, the permissibility of a particular practice “is judged by balancing its intrusion on the
individual’s Fourth Amendment interests against its promotion of legitimate governmental interests.”112
In addition, the Court stated that the Government’s interest in regulating the conduct of railroad em-
ployees to ensure safety, like its supervision of probationers or regulated industries, or its operation
of a government office, school, or prison, “presents ‘special needs’ beyond normal law enforcement
that may justify departures from the usual warrant and probable cause requirements.”
In this case the Supreme Court upheld the regulations promulgated by the FRA. The Court stated
that, in limited circumstances, where the privacy interests implicated by the search were minimal and
where an important governmental interest furthered by the intrusion would be placed in jeopardy by
a requirement of individualized suspicion, a search could be reasonable despite the absence of such
suspicion.
During this same term the Supreme Court examined another case dealing with the testing of public
employees for drug consumption. In National Treasury Employees Union v. Von Raab,113 the United
States Customs Service, which had as its primary enforcement mission the interdiction and seizure
of illegal drugs smuggled into the country, implemented a drug-screening program requiring urinaly-
sis tests of Service employees seeking transfer or promotion to positions having a direct involvement
in drug interdiction or requiring the incumbent to carry firearms or to handle “classified’ material. An
employees’ union filed suit in federal court, alleging that this drug testing program violated the Fourth
Amendment.
The Court noted that where a Fourth Amendment intrusion served special governmental needs,
beyond the normal need for law enforcement, it was necessary to balance the individual’s privacy
expectations against the Government’s interests to determine whether it was impractical to require
a warrant or some level of individualized suspicion in the particular context. The Court further stated
that it was plain that certain forms of public employment might diminish privacy expectations even
with respect to such personal searches. Hence, in light of the extraordinary safety and national
security hazards that would attend the promotion of drug users to positions that require the carrying
of firearms or the interdiction of controlled substances, the Court held that the Service’s policy of
deterring drug users from seeking such promotions could not be deemed unreasonable. Neverthe-
less, the Court further held that the application of this program to certain categories of employees
might be unjustified and remanded the case for a determination as to whether the Government had
a compelling interest to require these other categories of employees to be tested as a condition of
promotion.114
In examining the propriety of drug testing public employees, generally there are three types of testing
that must be considered: 1) testing as a condition of being initially hired or promoted; 2) testing based
upon a suspicion of drug use; and 3) random drug testing. It should be noted that this is a very vol-
atile area of law and issues involving these types of testing are still in litigation in many jurisdictions.
Moreover, there are numerous state laws prescribing drug testing under certain circumstances and
some state laws proscribing drug testing under other circumstances.115 Thus, while this chapter can
offer some general directions regarding the propriety of conducting drug testing in the workplace,
one must consult local counsel for a precise answer regarding this topic.
What can be said definitively regarding drug testing is that since 1988 a federal statute has allowed
drug testing of federal employees and has required federal contractors entering into contracts with
a federal agencies in an amount of $100,000 or more and all federal grantees to agree that they will
provide drug-free workplaces as a condition of receiving the contract or grant.116 This, in turn, has led
many private and state employers to implement their own drug-free workplace polices. Thus, it is a
common practice for a person, upon being initially hired, to be required to submit to a drug test.
The case law in both Skinner v. Railway Labor Executives’ Association and National Treasury Em-
ployees Union v. Von Raab indicate that random drug testing of public employees is permissible, pro-
vided the governmental entity can show a compelling interest in so doing. Obviously, employees in
positions requiring a security clearance can be required to undergo random drug tests. Also, employ-
ees in positions that could compromise the integrity of the governmental agency or entity can most
likely be required to submit to random drug testing. Thus, probation or parole officers who supervise
persons convicted for dealing in drugs can probably be administered random drug tests. However, in
all likelihood, this would not be the case with clerical staff or people who do not see probationers or
parolees. Finally, in order to have any drug testing policy upheld as valid, there needs to be written
and well-thought out policy that is included in the employee’s personnel manual.
230 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
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SUMMARY
In addition to civil liability for what their subordinates do, supervisors are liable for what they do to
their subordinates. Supervisors must be familiar with the rights of their subordinates that are given by
the Constitution, federal and state laws, agency policy, and collective bargaining agreements. These
rights vary a lot from state to state and have become a rich source of litigation.
NOTES
1. Garrity v. New Jersey, 365 U.S. 493 (1967).
3. See New York v. Onofre, 48 U.S.L.W. 2520 (N.Y. App. Div. January 24, 1980).
6. Although the United States Supreme Court has never addressed the issue concerning whether an
employer has an affirmative duty to administer a Garrity warning to an employee prior to questioning
the individual about an employment related matter or prior to questioning the individual pursuant to a
disciplinary matter and although the circuit courts are split regarding this matter, the better practice is
to provide the employee with the Garrity warning in situations in which there is a reasonable chance
the information elicited from the questioning could be used in a subsequent criminal action. See
Atwell v. Lisle Park Dist., 286 F. 3d 987 (7th Cir. 2002) and Weston v. Department of Housing and
Urban Development, 724 Fed. 2nd 943 (Fed. Cir. 1983) (holding that a government employer has an
affirmative duty to apprise an employee of both the application and consequences of Garrity immuni-
ty) and Hester v. City of Milledgeville, 777 F. 2nd 1492 (11th Cir. 1985) and Gulden v. McCorkle, 680
F. 2nd 1070 (5th Cir. 1982) (holding that there is no duty of the employer to advise the employee of
the application and consequences of a Garrity warning); see also, Sher v. United States Department
of Veterans Affairs, 488 F. 3rd 489 (1st Cir. 2007).
8. The Garrity warning is usually followed by the Garrity rule, in which the questioned employee
makes it known that the person objects to answering the question, that s/he is only answering the
question because it is a condition of the person retaining his/her job, and that any statement given
can only be considered for employment purposes and cannot be used in a later criminal proceeding.
10. Acanfora v. Board of Education, 359 F. Supp. 843 (D. Md., 1973).
12. Shuman v. City of Philadelphia, 470 F. Supp. 449 (E.D. Pa. 1979).
13. There are federal and state laws restricting the political activities of certain public officers. See,
in general, BRANCATO, supra note 31, at 78.
16. This section relies on an article by P. Rubin, Civil Rights and Criminal Justice: Employment Dis-
crimination Overview (Research in Action, U.S. Department of Justice, National Institute of Justice,
June 1995, NCJ 154278).
18. See Cullen v. Indiana University Board of Trustees, 338 F. 3d 693 (7th Cir. 2003); see also,
Warren v. Solo Cup Co., 516 F. 3d 627 (7th Cir. 2008).
19. Ottman v. City of Independence, Mo., 341 F. 3d 751 (8th Cir. 2003).
20. The Equal Employment Opportunity Commission is now responsible for the enforcement and
administration of the Equal Pay Act.
21. The Age Discrimination in Employment Act does not apply to employers with fewer than 20
employees. See E.E.O.C. v. Monclova Tp, 920 F. 2d 360 (6th Cir. 1990).
25. Wingate v. Gage County School District, 528 F. 3d 1074 (8th Cir. 2008).
27. Greene v. Safeway Stores, Inc., 210 F 3d 1237 (10th Cir. 2000).
28. See Manual on Employment Discrimination and Civil Rights Actions, 2nd ed. Vol. 1. Section 3.124.
By the Honorable Charles R. Richey. Eagan, MN. Thomson Reuters/West (2010).
31. There is no significant difference in the analysis of rights and obligations created by the Amer-
icans with Disabilities Act and the Rehabilitation Act. See Jarvis v. Potter, 500 F. 3d 1113 (10th Cir.
2007).
33. Major life activities include, but are not limited to, caring for oneself, performing manual tasks,
seeing, hearing, eating, sleeping, walking, standing, lifting, bending, speaking, breathing, learning,
reading, concentrating, thinking, communicating, and working. 42 U. S. Code §12102 (2) (A).
34. 42 U. S. Code, § 12102 (1) states that even if a employee does not have an impairment that
substantially limits one or more major life activities, the individual can still be “regarded as” having a
disability if the person:
1) has an impairment that is not substantially limiting but which the employer perceives as sub-
stantially limiting;
232 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 11
2) has an impairment that is substantially limiting only because of the attitudes of others, or
35. 29 C. F. R. § 1630.2 (o) states that an accommodation is “any change in the work environment
or in the way things are customarily done that enables an individual with a disability to enjoy equal
employment opportunities.” Reasonable accommodations generally fall into one of three categories:
1) accommodations that are required to ensure equal opportunity in the application process;
2) accommodations that enable the employer’s employees with disabilities to perform the essen-
tial job functions of the position held or desired; or
3) accommodations that enable the employer’s employees with disabilities to enjoy benefits and
privileges of employment as are enjoyed by employees without disabilities.
38. 42 U. S. Code § 12111 (10) states that employers are not required to place an employee in a
position where he or she would pose a direct threat to safety or health of other employees. The de-
termination that an employee would pose a threat should be made advisedly on the basis of current
medical information.
39. The ADA allows employers to establish physical criteria; an employer runs afoul of the ADA when
it makes an employment decision based on a physical or mental impairment, real or imaged, that it
regarded as substantially limiting a major life activity. See Sutton v. United Air Lines, Inc., 527 U. S.
471 (1999).
41. 534 U. S. 184 (2002); see also, Murphy v. United Parcel Services, Inc., 527 U. S. 516 (1999); see
further, Albertson’s Inc., v. Kirkingburg, 527 U. S. 555 (1999).
43. The ADAAA amended the definition of major life activity to provide that for purposes [of a physical
or mental impairment that substantially limits one or more major life activities] major life activities
include, but are not limited to, caring for oneself, performing manual tasks, seeing, hearing, eating,
sleeping, walking, standing, lifting, bending, speaking, breathing, learning, reading, concentrating,
thinking, communicating, and working. The Act added a further amendment to the definition of major
life activity to provide that for purposes [of a physical or mental impairment that substantially limits
one or more major life activities] a major life activity also includes the operation of a major bodily
function, including but not limited to, functions of the immune system, normal cell growth, digestive,
bowel, bladder, neurological, brain, respiratory, circulatory, endocrine and reproductive functions.
44. Under the ADAAA an individual meets the requirement of ‘being regarded as having such an
impairment’ if the individual establishes that he or she has been subjected to an action prohibited
under the ADA because of an actual or perceived physical or mental impairment whether or not the
impairment limits or is perceived to limit a major life activity. Nevertheless the ADAAA specifies that
the ‘regarded as’ prong of the definition of disability shall not apply to impairments that are transitory
and minor. The Act states that a transitory impairment is an impairment with an actual or expected
duration of six months or less. Finally the Act states that an impairment that is episodic or in remis-
sion is a disability if it would substantially limit a major life activity when active.
45. Under the standard established by the ADAAA, a determination of whether an impairment
substantially limits a major life activity shall be made without regard to the ameliorative effects of
mitigating measures such as:
(I) medication, medical supplies, equipment, or appliances, low-vision devices (which do not
include ordinary eyeglasses or contact lenses), prosthetics including limbs and devices, mobility
devices, or oxygen therapy equipment and supplies;
Note: Under the ADAAA, the ameliorative effects of mitigating measures of ordinary eyeglasses or
contact lenses shall be considered in determining whether an impairment substantially limits a major
life activity.
46. For employers in the public sector, the Act does not apply if there are fewer than 50 employees
within a 75 mile radius of the employment site.
47. A serious health condition is defined as an illness, injury, impairment, or physical or mental con-
dition that involves either (1) inpatient care in a hospital, hospice, or residential medical facility or (2)
continuing treatment by a health care provider. See 29 U. S. Code § 2611 (11).
55. http://fmlaonline.com/.
57. See Stubl v. T. S. Systems, Inc., 984 F. Supp. 1075 (E. D. Mich. 1997); see also, Knussman v.
State of Maryland, 935 F. Supp. 659 (D. Md. 1996).
58. See Cantley v. Simmons, 179 F. Supp. 654 (S. D. W. Va. 2002); see also, Darby v. Bratch, 287 F.
3d 673 (8th Cir. 2002); see further, Manual on Employment Discrimination and Civil Rights Actions,
2nd ed. Vol. 1. Section 9.36. By the Honorable Charles R. Richey. Eagan, MN. Thomson Reuters/
West (2010).
59. See, however, Michell v. Chapman, 343 F. 3d 811 (6th Cir. 2003), in which the Sixth Circuit Court
of Appeals held that an “independent examination of the FMLA’s text and structure reveals that the
statute does not impose individual liability on public agency employees.”
60. Geduldig v. Aiello, 417 U. S. 484 (1974) and General Electric Co. v. Gilbert, 429 U. S. 125 (1976).
234 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 11
68. The circuit courts have held that Title VII cannot be used to sue supervisors or other individual
employees because they are not “employers.” See Grant v. Lone Star Co., 21 F. 3d 649 (5th Cir.
1994); see also, Lissau v. Southern Food Service, 159 F. 3d 177 (4th Cir. 1998), United States EEOC
v. AIC Sec. Investigations, 55 F. 3d 1276 (7th Cir. 1995), Lenhardt v. Basic Inst. of Technology, 55
F. 3d 377 (8th Cir. 1995), and Butler v. City of Prairie Village, 172 F. 3d 736 (10th Cir. 1999). Never-
theless most states, if not all, have state anti-discrimination laws in employment which are similar, if
not mirror, the federal Civil Rights Act of 1964. Since individual liability might be premised on state
statutes and because there might be employment repercussion if a supervisor violated federal anti-
discrimination laws, it would be wise for a supervisor to understand theories of liability arising under
Title VII.
69. The E.E.O.C.’s Compliance Manual § 15-II, includes ancestry, physical characteristics, race-
linked illnesses, culture, perception, association, subgroup or “race-plus,” and “reverse” race discrimi-
nation as factors in defining race.
70. The Courts and the E.E.O.C. have read “color” to have its commonly understood meaning –
pigmentation, complexion, or skin shade or tone. Thus, color discrimination occurs when a person is
discriminated against based on the lightness, darkness, or other color characteristic of the person.
Even though race and color clearly overlap, they are not synonymous. Moreover, color discrimination
can occur between persons of different races or ethnicities, or between persons of the same race or
ethnicity.
71. The term “religion” includes all aspects of religious observance and practice, as well as belief,
unless an employer demonstrates that he is unable to reasonably accommodate to an employee’s or
prospective employee’s religious observance or practice without undue hardship on the conduct of
the employer’s business; see 42 U. S. Code, § 2000e (j).
72. The E.E.O.C. defines national origin discrimination broadly as including, but not limited to, the
denial of equal employment opportunity because of an individual’s, or his or her ancestor’s, place
of origin; or because an individual has the physical, cultural or linguistic characteristics of a national
origin group; see, Title 29 C. F. R. § 1606.1.
77. A mixed motive case is one where there is a mixture of legal and illegal motives. Generally a job
decision resulting from mixed motives is an illegal decision.
81. Courts often apply a “four-fifths or 80 %” test in this regard: a disparate impact occurs if the
excluded group (those within the protected category) is selected at a rate of less than 80 % of the
selection rate for those outside the protected category. See Bernard v. Gulf Oil Corp., 841 F. 2d.547
(5th Cir. 1988).
83. Taylor v. Books A Million, Inc., 296 F. 3d 376 (5th Cir. 2002).
85. 29 C. F. R. § 1601.13.
88. Back pay awards against private employers and against state and local governments cannot
extend back more than two years before the date the initial charge was filed with the E.E.O.C.; see,
42 U. S. Code, § 2000e-5(g).
89. Fitzgerald v. Sirloin Stockade, Inc., 624 F. 2d 945 (10th Cir. 1080).
90. A plaintiff’s damages (excluding back pay and front pay) are capped based on the number of
people employed by the defendant-employer, as follows:
Kramer v. Logan County School District, 157 F. 3d 620 (8th Cir. 1998); see also, 42 U. S. Code, §
1981a (b) (3).
92. The guidelines issued by the Equal Employment Opportunity Commission states that:
Unwelcome sexual advances, requests for sexual favors, and other verbal or physical conduct of a
sexual nature constitute sexual harassment when (1) submission to such conduct is made either
explicitly or implicitly a term or condition of an individual’s employment, (2) submission to or rejec-
tion of such conduct by an individual is used as the basis for employment decisions affecting such
individual, or (3) such conduct has the purpose or effect of unreasonably interfering with an indi-
vidual’s work performance or creating an intimidating, hostile, or offensive working environment.
Both federal and state courts look to the guidelines of the United States Equal Opportunity Employ-
ment Commission (EEOC) as a source of guidance, even though they do not constitute binding
precedent. See Meritor Savings Bank, FSB v. Vinson, 477 U. S. 57 (1986).
93. See Americans for Effective Law Enforcement, Legal Defense Manual, 1982, p. 49.
94. Meritor Savings Bank, FSB v. Vinson, 477 U. S. 57 (1986). In this case the United States Su-
preme Court recognized that “hostile environment” sexual harassment was sex discrimination,
actionable under Title VII, even if it did not cause a direct financial injury. In Cuesta v. Texas Dept. of
Criminal Justice, 805 F. Supp. 451 (1991) a federal district court held that harassment that affects the
psychological wellbeing of the employee is enough, although the defendant could not prove that a
term or condition of her work was affected.
236 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 11
95. In Oncale v. Sundowner Offshore Service, 523 U. S. 75 (1989) the United States Supreme Court
held that same-sex harassment, including the creation of a hostile work environment, is actionable
under Title VII if it occurs “because of sex.”
97. Ch. 19II.B.5.c. Employment Discrimination Law. 4th Ed. (2007) C. Geoffrey Weirich, Editor-
in-Chief. BNA Books, Washington, D. C.
102. In Patterson v. McLean Credit Union, 491 U. S. 164 (1989), the United States Supreme Court
held that 42 U. S. Code, § 1981 only protected the right to make contracts and the right to enforce
them; it did not cover racial harassment; in Wards Cove Packing Co. v. Atonio, 490 U. S. 642 (1989),
the Supreme Court held that in a disparate impact case, a plaintiff could not make out a prima facie
case by showing statistical disparity in employment practices; in Price Waterhouse v. Hopkins, 490
U. S. 228 (1989) the Supreme Court held that an employer could escape Title VII liability by proving
that motives not prohibited by Title VII would have caused the adverse employment action even in
the absence of a Title VII prohibited motive; and in Crawford Fitting Co. v. J. T. Gibbons, Inc., 482
U. S. 437 (1987) and West Virginia University Hospital, Inc., v. Casey, 499 U.S. 83 (1991) the Su-
preme Court held that expert witness fees were not recoverable as a part of costs or as a part of
attorney’s fees under the Civil Rights Act of 1964.
103. The disparate impact theory permits a plaintiff to recover under Title VII even without showing
that the employer intended to discriminate.
104. The disparate treatment theory imposes liability under Title VII for intentional discrimination.
105. See Civil Rights Act of 1991 – Special Report by Henry H. Perritt, Jr. Wiley Law Publications,
John Wiley & Sons, Inc. New York, N. Y. 1992 Section 1.1.
114. The constitutionality of drug testing has moved from the area of employment to the testing of
students in public schools. While the Skinner v. Railway Labor Executives’ Association and Nation-
al Treasury Employees Union v. Von Raab decisions have been cited as supporting authority, the
Supreme Court has generally upheld the testing of students on the basis of the “special needs” of the
students. In Vernonia School District 47J v. Acton, 515 U. S. 646, (1995) a small rural school district in
Oregon that had been experiencing serious drug problems implemented a random drug testing policy
for all student athletes. The United States Supreme Court noted that a search unsupported by proba-
ble cause could be constitutional “when special needs, beyond the normal need for law enforcement,
make the warrant and probable cause requirement impracticable.” Moreover the Court found that
such “special needs” existed in the public school context. Nevertheless although the Supreme Court
found a compelling governmental need to conduct random drug tests of student athletes and upheld
the school district’s policy, the Court cautioned against the assumption that suspicionless drug
testing would readily pass constitutional muster in other contexts. The Court stated that the most sig-
nificant element in this case was that the policy was undertaken in furtherance of the government’s
responsibilities, under a public school system, as guardian and tutor of children entrusted to its care.
In Board of Education of Independent School District No. 92 of Pottawatomie County v. Earls, 536
U. S. 822 (2002) a school district implemented a policy requiring all students who participated
in competitive extracurricular activities to submit to drug testing. A student affected by this policy
brought suit to declare it illegal. The Supreme Court, in examining the propriety of this policy once
again noted that in the context of safety and administrative regulations, a search unsupported by
probable cause could be reasonable “when ‘special needs, beyond the normal need for law en-
forcement, made the warrant and probable cause requirement impracticable.’” Moreover the Court
rejected the need for individualized suspicion in order to require the submission of a drug test. Finally
the Court, in upholding the policy of the school district, found that the need of the school district for
implementing such a policy was sufficiently compelling and the invasion of privacy on the part of the
students affected sufficiently minimally intrusive. Nevertheless as with the holding in Vernonia School
District 47J v. Acton, this case offers limited guidance in determining the propriety of conducting drug
testing of employees in the public sector.
115. For an overview of the different states laws dealing with drug testing the United States Depart-
ment of Labor has a link on its website at: http://www.dol.gov/asp/programs/drugs/said/StateLaws.
asp.
117. See the United States Department of Labor link to drug testing and the ADA and Rehabilitation
Act at: http://www.dol.gov/asp/programs/drugs/workingpartners/regs/ada.asp.
118. The Equal Employment Opportunity Commission is charged by law with administering GINA
and issuing rules to implement this law.
238 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 12
SUMMARY
NOTES
239
CHAPTER 12
INTRODUCTION
As a general rule, a supervisor is personally liable if he or she acts outside the scope of employment.
State officials sued in their individual capacity are liable for civil rights violations,1 although neither
the state nor state officials may be sued in state court under § 1983, when they were acting in their
official capacity.2 An employee’s act is within the scope of employment if the following are present:
a) the act is of the kind he or she is employed to perform; b) it occurs within the authorized time and
space limits; and c) it is performed, at least in part, with the intent of serving the employer.3 In short,
there is no governmental liability unless the act performed is at least incidental to employment and a
part of the employee’s duties. As to who is the employer, the Court held in 1997 that whether a sheriff
is an agent of the county or state is determined by the state’s constitution, laws, and other regulations.4
In an earlier case, Monroe v. Pape,5 the United States Supreme Court decided that the plaintiff
could not recover from the municipality in § 1983 cases, saying that “the response of the Congress
to make municipalities liable for certain actions . . . was so antagonistic that we cannot believe that
the word ‘person’ was used in this particular context to include them.” All that changed in 1978,
when, in Monell v. Department of Social Services,6 the Court reversed itself, holding that munici-
palities and other local government units are “persons” that can be sued directly under § 1983 for
monetary, declaratory, or injunctive relief. Although the Court found the municipality could be liable
for damages, it declined to find liability for respondeat superior, or simply because of employment.
Further, quoting from Popow v. City of Margate, a 1979 decision, “[T]o establish municipal liability, a
plaintiff must prove either (a) an official policy or custom which results in constitutional violations, or
(b) conduct by officials in authority evincing implicit authorization or approval or acquiescence in the
unconstitutional conduct.”7
In Quern v. Jordan,8 the Court reiterated that 11th amendment immunity barred suits against states
for damages, thus reaffirming the doctrine of sovereign immunity. As a result, only natural persons,
municipalities, cities, and other local units of government can be sued for damages without con-
sent. State immunity is alive and well, unless waived by legislation, which many states have done to
varying degrees, or in court decisions. In an action for overtime pay, the Court held probation officers
could not sue their state due to sovereign immunity.9 The federal legislature does not have the
authority to override a state’s sovereign immunity with a federal law. Even in states where sovereign
immunity still applies in totality, nothing bars the state from indemnifying its own supervisors for
liability incurred while acting in the course of duty. The Court found that municipalities cannot claim a
good faith defense under § 1983.10
If a supervisor acts outside the scope of employment and is sued in his or her individual capacity,
chances are that the agency will refuse to provide legal defense. Neither will the agency indemnify if
the officer is held liable. The matter of legal representation should be a justifiable cause of concern
among supervisors because of its undefined status. Although some states provide representation as
a matter of right, surveys have shown that legal representation in many states is largely unstructured.11
In some states and agencies, an informal and unwritten understanding allows the state attorney gen-
eral to defend the supervisor if, in his or her judgment, the case is meritorious. In municipal agencies,
the practice often is even more uncertain, with no designated legal counsel to undertake the defense
and no official legal representation policy.
To compound the uncertainty, most jurisdictions will represent only if the employee acted within the
scope of duty. That may sound reasonable and consistent with public policy, except that the term
“scope of duty” is subjective and eludes precise definition. An agreed and viable working definition
goes a long way toward protecting the rights of officers and alleviating anxiety. Additionally, it is
necessary that there be an understanding that a trial court’s finding that the officer acted outside the
scope of duty, and, hence, is liable, not be made binding on the state or local agency for purposes of
Supervisory lawsuits can lead to a possible conflict of interest in a number of ways. If the supervisor
is sued in both an official and individual capacity, the agency might assert that the supervisor acted
outside his or her scope of duty and hence should be personally liable. In the absence of mandated
representation, the supervisor will most likely have to provide his or her own defense. This creates a
financial burden and places the supervisor at a disadvantage because of the inevitable implication
that in the judgment of the agency the act was unauthorized. A second source of conflict of interest
comes from the supervisor’s relationship with his or her subordinate. A supervisor, when sued for
what his or her subordinate has done, may want to dissociate himself from the act, claiming either
that the subordinate acted on his or her own or in defiance of agency policy, particularly where the
violation is gross or blatant. In these instances, the supervisor’s defense will be inconsistent with that
of the subordinate. Determination will have to be made by the agency as to the party it will defend
and whom to indemnify if held liable. Chances are that the agency will decide for the supervisor, but
that is a decision to be made by policymakers on a case-by-case basis.
In Alden v. Maine,14 a group of probation officers filed suit against their employer, the State of Maine,
alleging that the State had violated the overtime provisions of the Fair Labor Standards Act. The
State claimed sovereign immunity pursuant to the Eleventh Amendment and asked the court to dis-
miss the lawsuit. The issue concerning when the State could be sued over an alleged violation of the
Fair Labor Standards Act was eventually raised before the United States Supreme Court.
The opinion in Alden contained a lengthy discussion of original constitutional design and examined
the text and history of the Eleventh Amendment. The Court understood that the authority to enact
the Fair Labor Standards Act came from Article 1 of the Constitution, which enunciates the powers
of the legislative branch of the Federal Government, to-wit: Congress. By a five member majority, the
Supreme Court concluded that the powers delegated to Congress under Article 1 did not include the
power to subject nonconsenting States to private suits for damages in state courts.15
Although the Supreme Court in Alden sided with the State of Maine’s contention that it could assert
sovereign immunity in this matter, the Court further noted that in adopting the Fourteenth Amend-
ment, the States were required to surrender a portion of the sovereignty that had been preserved
to them by the original Constitution. As such Congress could under certain circumstances authorize
private suits against nonconsenting States pursuant to its Section 5 enforcement powers as found
242 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 12
in the Fourteenth Amendment. Because federal laws dealing with discrimination in employment may
be authorized under Section 5 of the Fourteenth Amendment, the Supreme Court in subsequent
decisions would examine what causes of actions filed by a public employee against a state employer
would defeat a claim of sovereign immunity.
Following its decision in Alden v. Maine the Supreme Court had the opportunity to examine an
Eleventh Amendment immunity claim under Section 5 of the Fourteenth Amendment in Kimel v.
Florida Board of Regents.16 In this case the plaintiffs filed suit against the Florida University Board
of Regents, a state agency, under the Age Discrimination in Employment Act (ADEA). The defendant
moved to dismiss the suit on the basis of Eleventh Amendment immunity. When this case was even-
tually brought before the United States Supreme Court, the Court was asked to consider whether
Congress, in amending the ADEA in 1974, intended to abrogate the States’ Eleventh Amendment
immunity, and if so, whether the ADEA was a proper exercise of Congress’ constitutional authority.
The Court noted that Section 5 to the Fourteenth Amendment gave Congress the authority to enforce
its provisions that “no State shall make or enforce any law which shall abridge the privileges or
immunities of citizens of the United States; nor shall any State deprive any person of life, liberty, or
property, without due process of law; nor deny to any person within its jurisdiction the equal protec-
tion of the laws.” Nevertheless the Court further noted that, in order to enact a law under Section 5
of the Fourteenth Amendment that abrogated a State’s immunity from suit, there had to be a clear
showing by Congress that it intended to do so and for the remedial legislation enacted pursuant to
Section 5 of the Fourteenth Amendment to be appropriate, there had to be a congruence and propor-
tionality between the injury to be prevented or remedied and the means adopted to that end. The
Court in this case found that the ADEA’s legislative record as a whole revealed that Congress had
virtually no reason to believe that state governments were unconstitutionally discriminating against
their employees on the basis of age. As such in light of the indiscriminate scope of the Act’s substan-
tive requirements and the lack of evidence of widespread and unconstitutional age discrimination by
the States, the Supreme Court held that the ADEA was not a valid exercise of Congress’ power under
Section 5 of the Fourteenth Amendment and therefore the ADEA’s purported abrogation of the State’s
sovereign immunity was accordingly held to be invalid.
Immediately following the Kimel decision the Court decided Board of Trustees of the University of
Alabama v. Garrett.17 In this suit an Alabama state employee filed a lawsuit seeking money damages
against the State of Alabama under the Americans with Disabilities Act (ADA). As in other lawsuits
discussed here the State claimed immunity under the Eleventh Amendment. Eventually this case
reached the United States Supreme Court, where the Court examined whether the ADA could be
enforced against the States through Section 5 of the Fourteenth Amendment.
The Court applied the same two standards for determining whether enactment of the ADA abrogated
the States’ immunity as it did in Kimel. The Court first recognized that there was no dispute that Con-
gress unequivocally intended to abrogate the States’ Eleventh Amendment immunity. Nevertheless,
the question remained as to whether Congress acted within its constitutional authority by subjecting
the States to suits in federal court for money damages under the ADA.
In order to answer this question the Supreme Court stated that it had to examine whether Congress
identified a history and pattern of unconstitutional employment discrimination by the States against
people with disabilities. In examining this matter the Court found that the legislative record on the
ADA simply failed to show that Congress did in fact identify a pattern of irrational state discrimination
in employment against people with disabilities. Moreover, the Court found that the remedy imposed
against the States under the ADA was incongruent and disproportional to the targeted violation. As
such the Court held that passage of the ADA did not abrogate the States’ immunity under the Elev-
enth Amendment.18
At this point one might assume that any claim of discrimination based on Federal statute could not
be asserted against a State. However that is an incorrect assumption. In Nevada Department of
Human Resources v. Hibbs,19 the Supreme Court held that Congress could abrogate the States’
Eleventh Amendment immunity from suit in federal court for an action filed pursuant to the Family
and Medical Leave Act. Moreover the Court has long held that passage of the Civil Rights Act of
1964 abrogated the States’ Eleventh Amendment immunity.20
The reason it is important for supervisors of public employees to be aware of the application of Elev-
enth Amendment immunity in employment suits arising under Federal law is because, if a plaintiff is
barred from going against a state entity, then that increases the likelihood that the plaintiff will file suit
against an individual supervisor. Sovereign immunity bars suits against States but not against state
officers for money damages where sued in their individual capacities.21 Moreover, Eleventh Amend-
ment immunity only applies to the state and not political subdivisions such as cities or counties. Thus,
whether a supervisor works for a state level entity or a political subdivision may determine whether
the governmental entity itself will be sued or whether the supervisor in his/her individual capacity will
be sued. Finally, even though private lawsuits against a state may be barred by the Eleventh Amend-
ment, anti-discrimination laws such as the ADEA may still be enforced by the Federal Government in
actions for monetary damages.22
SUMMARY
Supervisory liability is a fertile source of civil litigation against probation and parole personnel and
departments. The developing case law in this field strongly suggests the need for supervisors to
know the legal limits of their job and to be more aware of what goes on among, and the compe-
tencies of, subordinates in their department. An area that deserves immediate attention, because
of increasing court litigation, is failure to train. Indications are that training is a neglected area in
corrections. This is deplorable because corrections in general is a field that, because of low pay
and unattractive job status, needs training even more than the other subsystems in criminal justice
if the quality of personnel is to be upgraded. Problems arise for supervisors because of financial
constraints occasioned by the reluctance of political decision makers to commit financial resources
to training, despite perceived need. Such neglect carries serious legal implications for the supervisor
and decision makers, and hence must be given proper and immediate attention.
In addition to civil liability for what their subordinates do, supervisors are liable for what they do to
their subordinates. Supervisors must be familiar with the rights of their subordinates that are given by
the Constitution, federal and state laws, agency policy, and collective bargaining agreements. These
rights vary a lot from state to state and have become a rich source of litigation.
Sexual harassment should be an area of particular concern for supervisors. Agencies must have
policies on sexual harassment, and complaints should be promptly investigated. Liability is absolute if
the sexual harassment was quid pro quo. Liability will also be incurred for a hostile work environment
if there is no strong internal policy banning behaviors that create a hostile work environment and
allegations are not properly investigated or addressed.
The days of unfettered discretion among supervisors in probation and parole are gone. Judicial
scrutiny can be irritating and sometimes frustrating for a probation or parole supervisor, yet it can
also lead to more effective and equitable administration, something the public desires and deserves.
Judicial intervention and supervisory liability may be a mixed blessing, but they are realities with
which probation and parole supervisors must learn to live and cope.
244 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 12
NOTES
1. Hafer v. Melo, 502 U.S. 21 (1991).
11. See, in general, R. del Carmen, “Legal Responsibilities of Probation and Parole Officers; Trends,
General Advice, and Questions,” Federal Probation 45 (3) (Sept. 1981).
12. The Eleventh Amendment only bars suits filed by private individuals for monetary damages. A
state cannot assert Eleventh Amendment immunity where the private plaintiff is only requesting
injunctive relief or a declaratory judgment. See Board of Trustees of the University of Alabama v.
Garrett, 531 U. S. 356 (2001).
18. In Tennessee v. Lane, 541 U. S. 509 (2004) the Supreme Court held that Title II to the Americans
with Disabilities Act, which provides that “no qualified individual with a disability shall, by reason of
such disability, be excluded from participation in or be denied the benefits of the services, programs
or activities of a public entity, or be subjected to discrimination by any such entity, constituted a valid
exercise of Congress’ Section 5 authority to enforce the guarantees of the Fourteenth Amendment
and therefore the enactment of the ADA abrogated the States’ Eleventh Amendment immunity.
22. Board of Trustees of the University of Alabama v. Garrett, 531 U. S. 356 (2001); see also, E. E. O. C.
v. Board of Regents of the University of Wisconsin System, 288 F. 3d 296 (7th Cir. 2002).
I. SUBSTANTIVE RIGHTS
SUMMARY
NOTES
247
CHAPTER 13
INTRODUCTION
At the end of 2008, there were an estimated 828,169 federal and state parolees in the United States
under conditional supervised release.1 That number is higher than the approximate 723,000 individu-
als on parole in 2000 and about 7000 more than at yearend 2007.2 In 2008, there were approximately
581,000 persons entering parole supervision and about 574,000 exiting.3 The parole population has
grown each year since 2000 as the number of parole entries has exceeded the number of parole
exits.4 Federal and state parole officials are familiar with the successes and failures of parolees. Of
574,000 individuals discharged from parole in 2008, 49 percent had met their conditions of supervi-
sion and served a full-term sentence or were discharged early.5 About 36 percent had been reincar-
cerated.6 The majority of those who returned to prison were the result of parole revocation, and more
parolees had absconded than had been reincarcerated with new sentences.7 These numbers are
more than mere statistics. They represent the volume of work of that federal and state parole agen-
cies have been flooded with for almost a decade. Moreover, they indicate the potential for hundreds
of thousands of lawsuits to be filed against parole officials each year.
In a 2006 census conducted by the Bureau of Justice Statistics, there were 52 state adult parole
supervising agencies in the United States in different types of administrative structures.8 There is no
standardization of parole procedures among the state agencies and no “uniform system of parole” in
the United States.9
Parole officials make decisions that affect a number of individuals and groups within and outside of
the criminal justice system. Although the individual inmate is the immediate focus of a parole board
decision, the effect of the decision also includes the inmate’s family, members of the community-
at-large, victims and their families, law enforcement officials, prosecutors, judges, parole officers,
and any number of other agencies, entities, and individuals in governmental and non-governmental
roles.10 Parole board executives and members need specific knowledge, skills and abilities (KSAs) in
order to craft lawful, fair, and effective release decisions. Among these KSAs is the capability to com-
prehend and utilize several concepts and techniques, including (1) assessment tools and guidelines;
(2) effective interviewing techniques, (3) appropriate general and special conditions of release, and
(4) effective responses to violations.11 Along with keeping KSAs current, proactive risk management
is an excellent approach to reducing exposure to legal liability.
A state parole board may use one of three strategies for decision making: (1) an individual, clinical
approach; (2) an individual, evidence-based approach, or (3) a policy-driven, evidence-based ap-
proach.12 In the individual, clinical approach, a parole board member makes a decision independent-
ly from the other board members on the basis of his or her individual values and beliefs about the
goals and purposes of the criminal justice system.13 In the second approach, the member still makes
an independent decision, but may consider the research-based information (e.g., risk assessment
instruments) rather than his or her philosophy about punishment, retribution, or the objectives of the
criminal justice system.14 The third approach is a consensus approach in which the members attempt
to agree on the goals of the release decisions which may include “normative” goals (e.g., fundamen-
tal fairness, equity, and proportionality) and “system” goals (e.g., reducing overcrowding, efficient use
of correctional resources, and agency accountability and credibility).15
The use of risk assessment instruments is a relatively contemporary development in the criminal
justice sciences. Their importance for evidence-based decisionmaking in corrections has been
recently emphasized in parole decision processes. A 2001 National Institute of Corrections Commu-
nity Corrections Division survey indicated that some form of risk assessment tools were being used
for parole release consideration in 24 states, and 8 other states were planning to use them.16 Parole
boards have adopted evidence-based release decisions that may enhance supervision for higher-risk
offenders who pose a greater danger to the public.17 Focusing supervision on high-risk offenders,
rather than on relatively low risk offenders, is a form of risk management that is increasingly
employed by parole authorities.
For more than 20 years, there was a gap in empirical research on parole release decision making
prior to the re-emergence of discretionary release. The most recent research was conducted in the
late 1990s and early 2000s.18 However, a review of empirical articles found that the factors that pri-
marily affected parole release decisions were “institutional behavior, crime severity, criminal history,
incarceration length, mental illness, and victim input.”19 Of these factors, victim input was “highly
significant in explaining the denial of parole for parole-eligible inmates when controlling for other sig-
nificantly influential factors.”20 A team of researchers who studied the parole decision-making process
from the perspective of inmates in Colorado found that “the factors inmates believe affect release
decisions are different from the factors the parole board considers. This may explain why inmates fail
to understand why their parole is deferred despite compliance with the prerequisites imposed upon
them.21
Scholarly empirical research on parole release decisionmaking is difficult in that, much like grand
jury proceedings, the release hearings are somewhat “secret” and confidential in nature. Data from
release decision outcomes allow little more than descriptive statistical analysis. A few legal scholars
have argued that parole release and revocation processes are within the purview of a line of U.S.
Supreme Court case law that applies to sentencing.22 Within this group of cases, the Court has
determined that sentencing guidelines are advisory and that any fact that enhances a penalty must
be submitted to a jury.23 These scholars suggest that juries, and not parole boards which perform dis-
cretionary quasi-judicial functions, should assess “the current state of the criminal”24 to determine if
they are ready to return to the free-world or if their parole should be revoked. These authors surmise
that parole determinations are well within the constitutional scope and power of a jury. The effects of
giving a jury the power to parole are questionable at best. More empirical research or program and
process evaluations are needed in order to draw inferences about the effectiveness, efficiency, and
fairness of parole boards and the parole release hearing’s processes, procedures, and outcomes.
Parole officials have access to legal advice from a range of sources: agency counsel, their Attorneys
General, or retained private attorneys.25 Officials should consult legal counsel when they have ques-
tions about statutes, rules, regulations, and policies that govern parole. Moreover, anytime a parole
official receives a document or correspondence that appears to be related to a lawsuit or other legal
proceeding (e.g., summons, complaint, subpoena, discovery request, or other suspected legal doc-
ument), he or she should immediately contact designated counsel and deliver the document without
delay.26
Inmates are the source of most legal action against parole officials, and this is certainly true in parole
release decisions. However, victims and their families have also filed suits against parole officials
in the aftermath of release decisions, especially when a victim was harmed or killed by a parolee.
Depending on the bases of their claims and the laws under which the suit is filed, plaintiffs may seek
monetary damages; and/or equitable, injunctive, or declaratory relief; costs, and attorneys fees. If a
parole board or commission officials are sued, there are several defenses available: absolute immuni-
ty, quasi-judicial immunity, qualified immunity, or sovereign immunity. The available defense depends
on whether the parole officials are sued in their official or individual capacities and on whether the act
or omission occurred while they were performing a discretionary quasi-judicial function. If a parole
board member, commissioner, or examiner is held liable in an official capacity and damages are
awarded, indemnity may apply if the board’s jurisdiction has a statute or rule of indemnification or an
insurance contract.
A civil cause of action can be brought in either a state or federal court, depending on the plaintiff’s
claim(s). Suits involving federal laws or constitutional rights in parole hearing decisions are filed in
federal district courts. Otherwise, a suit will be filed in state court, unless it is a § 1983 action in which
250 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 13
case the plaintiff may file in either a federal or state district court, although such suits are usually filed
in a federal court.
The U.S. Supreme Court has held that prison inmates are not necessarily entitled to the full range
of due process rights under the Constitution in parole release decisions.27 At the very least they may
be entitled to diminished or minimal due process protections in some jurisdictions. Greenholtz v.
Inmates of Nebraska Penal and Correctional Complex (1979) stemmed from a class action law-
suit filed against the Nebraska Parole Board alleging denial of procedural due process. Nebraska’s
discretionary parole procedures prescribed a two-stage parole hearing, including allowing inmates
to present evidence; call witnesses on their behalf; be represented by retained or appointed counsel;
and be notified in writing of the reasons for denial of parole. Given these administrative procedures,
the Court held that although the mere possibility of discretionary parole release does not carry with it
due process rights under the Constitution, the state statute was worded in such a way that it created
a liberty interest entitling inmates to due process. The Court in this case laid down three important
constitutional principles for granting parole:
■■ There is a crucial distinction between being deprived of a liberty interest one has, as when one is
already on parole and it is being revoked, and being denied a conditional liberty one desires, as
when an inmate in prison seeks to be paroled.
In Board of Pardons v. Allen (1987),28 the U.S. Supreme Court reiterated that the Constitution does
not require states to have a parole system. The Court found that a Montana statute using mandatory
language, similar to the Nebraska statute in Greenholtz, created a liberty interest in parole release
and required some protection under the Due Process Clause of the Fourteenth Amendment. The
Montana statute states that the parole board “shall” release an inmate when it determines that the
release will not be harmful, unless specified conditions preclude the release. In Allen, as in Green-
holtz, the Court recognized that parole boards have broad discretion in making release decisions.
The Court upheld their prior decision in Greenholtz and cited the case in opining that “parole release
is an equity-type judgment involving ‘a synthesis of record facts and personal observation filtered
through the experience of the decisionmaker and leading to a predictive judgment as to what is best
both for the individual inmate and for the community.”29
The Court stated in a footnote in Allen that there were four categories of Federal Courts of Appeals’
decisions. First, courts may find a liberty interest where statutes or regulations contain mandato-
ry language or explicitly create a presumption of release. Next, courts have held that statutes or
regulations that contain “may” release language does not create a liberty interest in release. Third,
courts have divided on the issue of liberty interest in parole for statutes that provide that a person
“shall not be released unless,” or shall be released “only when certain conditions are met;” however,
most courts have determined that these statutes have criteria that “must be met before release, but
…they do not require release if those findings are made. Finally, courts hold that a liberty interest
exists where a statute or regulatory parole release scheme “uses elaborate and explicit guidelines to
structure the exercise of discretion.”30
By 1995, in Sandin v. Conner, the Court seemed to have taken a different stance on the issue of the
wording of statutes or regulations, but Conner involved a prison disciplinary hearing, not a parole
release hearing. Because parole boards have broad discretionary authority, it appears that Conner
does not apply to parole release decsionmaking. Greenholtz and Allen seem to remain the Supreme
Court precedents for parole release hearings. However, given the diversity of state statutes and rules
regarding parole release and of decisions among the Federal Courts of Appeals, parole officials
should be certain that they are operating under the proper state release hearing schemes and bind-
ing court decisions in their jurisdictions.
This chapter discusses some of the more frequent types of lawsuits brought against state parole
board executives and members, and federal commissioners and examiners. The discussion gener-
ally focuses on case law developed in the U.S. Supreme Court and Federal Circuit Courts of Appeal.
State court cases will be discussed and noted where applicable. The U.S. Supreme Court precedents
are the most important precedents, followed by federal circuit court cases that affect states within
their jurisdictions. State cases may be exemplary in some instances for use in this chapter, but they
are only binding in the state jurisdiction where they were decided. In other words, a state court parole
case decided in Austin, Texas has no bearing on a parole official in St. Louis, Missouri.
Legal issues pertaining to parole release procedures and release decisions, liability of parole
board members to the general public for crimes committed by parolees, and liability for violations of
inmates’ rights will be analyzed in this chapter. The topics of parole decisionmaking processes and
procedures are of significant interest to prospective parolees and to a host of other individuals and
entities. They are also areas of prolific litigation.
In order to simplify the language used in this chapter, the term “parole officials” will be used when
discussing state parole board members and executives and federal commissioners and examiners in
general. For the purposes of this chapter, this term does not include parole officers. Where statutes,
rules, regulations, or cases refer to a specific type of parole official, that particular term will be used
in the discussion.
I. SUBSTANTIVE RIGHTS
A substantive right is “[a] right that can be protected or enforced by law; a right of substance rather
than form.”31 Two cases involving § 1983 claims against parole boards alleged that inmates were de-
prived of fundamental civil liberties that are protected by law. The first case involves a claim of racial
discrimination and the second revolves around religious freedom and discrimination.
In United States v. Irving,32 a Federal Seventh Circuit decision, the inmate claimed systematic racial
discrimination against black inmates with respect to parole releases. In Jones v. Eagleville Hospital
and Rehabilitation Center,33 a 1984 Pennsylvania District Court case, the plaintiff brought suit against
the parole board alleging that his parole was revoked because of his refusal to remove a skullcap
that had religious significance to him while he participating in a drug treatment program.
The Irving court found absolute immunity for parole board members. However, the court noted that
the plaintiff’s claim for declaratory relief could still be addressed because the evidence tended to
demonstrate impermissible discrimination on the part of the parole board. The Jones court found the
parole board was not “a person” within the meaning of § 1983. With regard to the hospital that termi-
nated treatment upon the plaintiff’s refusal to remove his skullcap, the court found that the parolee
could possibly make a claim against the entity should he establish that the action taken was “state
action.”
252 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 13
Where a liberty interest has been created, an inmate cannot suffer deprivation without due process
of law. The interests at stake in a parole release hearing are not the same as those at stake in a re-
vocation hearing which requires greater due process protections. In Greenholtz, the Supreme Court
found that procedural due process was satisfied where an inmate was afforded the opportunity to
present letters and statements that had been written on his behalf.
Some case law demonstrates relatively uncomplicated compliance within the contexts of procedural
due process and immunity. Partee v. Lane35 held that a summary of the evidence relied on for denial
of parole was not required by due process. Parole decisions are based on broad discretion that
is statutorily granted to the parole authority. Furthermore, the Partee court determined that parole
boards are absolutely immune from § 1983 suits for actions taken when processing parole applications.
Adams v. Keller36 was a § 1983 action against a federal parole commissioner for misapplication of
youth parole guidelines. The court examined the factual basis for the plaintiff’s claim of abuse of dis-
cretion by the parole commission’s setting of the plaintiff’s parole date. The court found no evidence
of bad faith or of action outside the scope of authority by the parole commissioner. However, the
plaintiff’s claim of the right to a new parole hearing was affirmed based on the parole commission’s
failure to consider the plaintiff’s response to rehabilitation when setting a parole date. The court found
that although Congress intended to apply concepts of punishment, retribution, and deterrence in
passing the Youth Corrections Act, there was no indication that Congress intended to abandon totally
any consideration of potential for an inmate’s rehabilitation.
In Corby v. Warden,37 the plaintiff charged that the state parole hearing officer violated his constitu-
tional rights by intercepting the inmate’s mail that contained explanations of mitigating circumstances
for the alleged violation of parole. The court found that the claim was based on the hearing officer’s
acts as a judicial officer and that the officer was, therefore, entitled to quasi-judicial immunity.
In three other § 1983 suits against parole boards,38 courts easily found immunity for decisions relat-
ing to granting, denying, or revoking parole. Walker v. Prisoner Review Board39 held that although the
failure of the parole board to allow the inmate access to his file was a violation of due process rights
provided under statutory law, the court nevertheless affirmed absolute immunity for these official
actions. The court held that the parole board’s consideration of various newspaper articles would
not be a violation of due process unless the inmate had not been given an opportunity to refute the
information in them. The court also determined that the board is entitled to consider a wide array
of information, and such information need not bear any relation to the crime with which the inmate
plaintiff is charged. Finally, the court noted the Federal Seventh Circuit’s holding that all tasks of the
Illinois Prisoner Review Board were adjudicatory in nature, meaning that no distinction between min-
isterial and adjudicatory functions was recognized. Therefore, Illinois parole officials enjoy absolute
immunity for virtually all official actions.
Each of the above categories of parole board liability cases exhibits a similar pattern of legal analysis
and similar results for issues that involve inmates’ substantive and procedural rights. Parole board
members and counsel may find that careful analysis of the statutes under which they operate will be
a useful guide to satisfying substantive and procedural due process requirements.
SUMMARY
This chapter discusses issues related to the liability of parole boards to inmates for violation of
substantive and procedural rights. Parole officials must exercise caution and observe the procedural
guidelines prescribed by law or agency policy in their jurisdiction because deviation from these laws
and policies can raise issues of violations of a number of rights that are due an inmate, even if these
rights are minimal.
NOTES
1. Lauren E. Glaze & Thomas P. Bonczar, Probation and Parole in the United States, 2008, Bureau of
Justice Statistics: Washington, DC (NCJ 228230) (December 2009) available at http://bjs.ojp.usdoj.
gov/content/pub/pdf/ppus08.pdf.
2. Id.
3. Id.
4. Id.
5. Id.
6. Id.
7. Id.
8. Thomas P. Bonczar, Characteristics of State Parole Supervising Agencies, 2006, Bureau of Justice
Statistics: Washington: DC (NCJ 222180) (Aug. 2008; rev. Mar. 2009) available at http://bjs.ojp.usdoj.
gov/content/pub/pdf/cspsa06.pdf (The census report states that there were 52 adult parole agen-
cies at mid-year 2006. Thirty-eight of these agencies were within a Department of Corrections and
11 were independent parole agencies. Three others were under different forms of administration:
the Arkansas Department of Community Corrections, the Nevada Department of Public Safety, and
Oregon’s county-based parole system, p. 1.).
9. Margaret C. Johns, A Black Robe is Not a Big Tent: The Improper Expansion of Absolute Judicial
Immunity to Non-Judges in Civil Rights Cases, 59 SMU L. Rev. 265, (2006) citing Julio A. Thompson,
A Board Does Not a Bench Make: Denying Quasi-Judicial Immunity to Parole Board Members in
Section 1983 Damages Actions, 87 Mich. L. Rev. 241, 249 (1988).
10. Richard P. Stroker, “Legal and Ethical Issues,” The Association of Paroling Authorities Internation-
al & the National Institute of Corrections, A Handbook for New Parole Board Members, ch. 6, (Peggy
B. Burke, ed., April 2003) available at http://www.apaintl.org/documents/CEPPParole Handbook.pdf.
11. Richard P. Stroker, Presentation at the Association of Paroling Authorities International, 2009 An-
nual Training Conference, Constructing a Framework for Success: Enhancing Core Competencies
for Parole Board Members and Parole Board Executives, (April 20, 2009); available at http:/www.
apaintl.org/documents/training/2009/stroker.ppt.
12. See supra note 9, A Handbook for New Parole Board Members, ch. 4, pp. 37-38.
17. See e.g., The Pew Center on the States, Maximum Impact: Targeting Supervision on Higher-Risk
People, Places and Times, Public Safety Policy Brief No. 9 (July 2009) available at http://www.
pewcenteronthestates.org/uploadedFiles/Maximum_Impact_web.pdf; See also The Association of
Paroling Authorities International & the National Institute of Corrections, A Handbook for New Parole
Board Members, ch. 4, (Peggy B. Burke, ed., April 2003) available at http://www.apaintl.org/
documents/CEPPParole Handbook.pdf.
18. Joel M. Caplan, What Factors Affect Parole: A Review of Empirical Research, 71 Fed. Sent’g Rep.
1 (2007).
254 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 13
21. Mary West-Smith, Mark R. Pogrebin, and Eric D. Poole, Denial of Parole: An Inmate Perspective,
64 Fed. Probation 2, 9 (2000).
22. Apprendi v. New Jersey, 530 U.S. 466 (2000); Blakely v. Washington, 542 U.S. 296 (2004); United
States v. Booker, 543 U.S. 220 (2005).
23. See e.g., Laura J. Appleman, Retributive Justice and Hidden Sentencing, 68 Ohio St. L.J. 1307
(2007); W. David Ball, Heinous, Atrocious, and Cruel: Apprendi Indeterminate Sentencing, and the
Meaning of Punishment, 109 Colum. L.Rev. 893 (2009); Note, Elizabeth C. McBride, Policing Parole:
The Constitutional Limits of Back-end Sentencing, 20 Stan. L. & Pol’y Rev. 597 (2009).
25. See supra note 10, Richard P. Stroker, “Legal and Ethical Issues,” ch. 6.
27. Greenholtz v. Inmates of Nebraska Penal and Correctional Complex, 442 U.S. 1 (1979).
33. Jones v. Eagleville Hospital and Rehabilitation Center, 588 F. Supp. 53 (S.D. Pa. 1984).
38. Walker v. Missouri Department of Probation and Parole, 586 F. Supp. 411 (U.S.D. Mo. 1984); Ross
v. United States, 574 F. Supp. 536 (S.D.N.Y. 1984); Walker v. Prisoner Review Board, 594 F. Supp.
556 (S.D. Ill. 1984).
I. RIGHT TO COUNSEL
A. Federal
B. State
A. Federal
B. State
A. Federal
B. State
SUMMARY
NOTES
257
CHAPTER 14
INTRODUCTION
I. RIGHT TO COUNSEL
As a matter of constitutional law, the general rule on representation at parole release hearings is that
there is no Sixth Amendment right to either retained or to appointed counsel.1 Any state or federal
jurisdiction may allow representation by statute, rule, or agency policy; but most jurisdictions do not
permit attorneys to represent inmates as adversary legal counsel in parole application or release
hearings. Several states have experimented with retained counsel at the release hearing, and most
states historically allow inmates access to an attorney in preparation for the hearings.2
Where a claim of right to counsel in parole release hearings is made, the three-pronged balancing
test in Mathews v. Eldridge (1976)3 may be applied. The test usually applies where courts attempt
to determine what process is due where an individual’s life, liberty, or property is at stake. The three
factors to be weighed are: (1) the private interest at stake, (2) the governmental interests of providing
a procedural safeguard in a decisionmaking process, and (3) the risk of erroneous deprivation of a
private interest if the safeguard is not provided. The lack of right to counsel in parole release hearings
may be contestable where a case is extremely complex and the inmate is illiterate or has some other
disability that would prevent him or her from having a basic understanding of the process.
The right to counsel at parole release hearings is rarely litigated because inmates generally have the
right to have at least one non-attorney representative appear with them or on their behalf in parole
release hearings. It is certain that a § 1983 case cannot be brought in connection with the issue of
right to counsel at a state parole release hearing, because there is no violation of a federal law or
the Constitution under color of state law where statutes are silent on the issue. Despite the availabil-
ity of the Mathews balancing test, many cases of inmates’ right to counsel are decided on the U.S.
Supreme Court’s analysis in Turner v. Safley which is discussed below.
A. Federal
The right of a federal prisoner to retain counsel to accompany him or her to a the parole release
hearing was at issue prior to the enactment of the Parole Commission and Reorganization Act
of 1976 (PCRA) before the Board of Parole was renamed the United States Parole Commission
(USPC).4 The PCRA provided that a prisoner, before a parole determination commences, may
consult with a representative who qualifies under the rules and regulations of the Commission, and
that attorneys were not to be excluded as a class of representatives.5 The Sentencing Reform Act of
1984,6 part of the Comprehensive Crime Control Act of 1984,7 abolished parole for federal offenders
who committed offenses on or after November 1, 1987.8 However, until 2011, pursuant to the United
States Parole Commission Extension Act of 2008,9 the USPC is authorized to remain an independent
agency within the U.S. Department of Justice with oversight of parole-eligible inmates who committed
their offenses prior to November 1, 1987.
The USPC does not maintain a parole board. Instead, unless a Regional Commissioner orders an
initial hearing to be conducted by two hearing examiners, the hearing is conducted by a single ex-
aminer at the facility in which the inmate is confined.10 The examiner’s recommendation is forwarded
to a commissioner and the Commission establishes a release date if the parole-eligible prisoner is
granted release.11 An inmate may request an interview with the Commission, or any of its represen-
tatives, but such interview shall not be granted unless the inmate’s name is docketed for a non-public
hearing pursuant to the Commissions procedures.12
Under the current USPC rules (as of June 30, 2010), an inmate may choose an individual to function
as a representative at an initial or statutory interim release hearing.13 Although representation is nor-
mally limited to one person, the hearing examiner has discretion to permit the appearance of addi-
tional representatives.14 The USPC Rules and Procedures Manual (§ 2.13) is silent as to whether an
attorney can be a representative at an initial or interim release hearing, but the rule permits attorneys
to be representatives at local or institutional revocation hearings. In view of the fact that case law has
established that inmates have no constitutional right to parole, there is no presumption that he or
she has a right to an attorney at a federal parole release hearing. This does not mean that an inmate
cannot seek the advice of and correspond with an attorney before or after a parole release hearing.
It simply means that the inmate has no right for an attorney to appear at a parole release hearing to
act as adversarial legal counsel. However, this does not necessarily apply to all classes of inmates
overseen by the USPC.15
In Settles v. United States Parole Commission (2005),16 the Federal Court of Appeals for the District
of Columbia considered an appeal by inmate Settles who had brought a cause of action against the
USPC and the warden. The USPC has retained oversight of parole-eligible felons who were con-
victed and sentenced under the District of Columbia Code. Settles was convicted and sentenced
under the code and was a parole-eligible prisoner under the USPC’s regulation that permitted him to
be accompanied by counsel at parole hearings in certain specified facilities. He was not allowed to
have a representative present at his first parole release hearing because he was housed at a private
correctional facility in Ohio. He requested declaratory and injunctive relief that would invalidate a rule
that (1) disallowed inmates from having representatives at their parole release hearings if they were
D.C. Code offenders housed in facilities under contract with the D.C. Department of Corrections, and
(2) not permit him the opportunity to have a representative present at a new parole hearing. A lower
federal court dismissed Settles’ case for lack of standing and entered summary judgment for the
defendants The Circuit Court stated that [a]lthough the Commission has revised its regulations to
permit all D.C. Code offenders to have representation at parole hearings (citation omitted), this case
is not moot because Settles has not yet been released and seeks injunctive relief in the form of a
new parole hearing.”17
The court determined that Settles had standing and they turned to his § 1983 and Administrative
Procedures Act claims. The court held that Settles’ § 1983 claim was barred because the Commis-
sion, whom Settles had named as the defendant, had sovereign immunity. Although Settles was not
a pro se litigant, he requested that the court liberally construe his complaint as a complaint against
the Commission’s individual members, but the court noted that case law did not extend the liberality
approach to renaming defendants.
As to Settles’ claim that he was entitled to a representative at his release hearing, the appellate court
upheld the summary judgment against Settles. The court said that the Commission had chosen to
adopt an interim rule that took into account a review of security concerns and structural constraints
of the non-federal contract facilities prior to permitting representatives to be present at parole hear-
ings; therefore the Commission’s General Counsel had opted to apply the rule to certain facilities
on a case-by-case basis. The court applied a “rational relationship” test that is usually reserved
for prison litigation and reasoned that “[b]ecause the Commission was concerned about resource
constraints at the relevant facilities and received comments on the restriction of representatives, the
record reveals the required ‘rational connection between the facts found and the choice made.’”18
The “rational relationship” test has been applied to a number of correctional litigation holdings after
it was first enunciated in Turner v. Safley (1987)19 where the U.S. Supreme Court held that a prison
regulation which restricts an inmate’s constitutional rights is valid if it is reasonably related to legiti-
mate penological interests. The key issue in Safley is that the rule or regulation must bear a rational
260 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 14
relationship to a legitimate penological interest, The Court determined that four factors should be
affirmed when determining “reasonableness”:
■■ Is there a valid, rational connection between the regulation and a legitimate governmental interest
put forth to justify it?
■■ Are there alternative means of exercising the constitutional right available to inmates?
■■ Was the allocation of resources considered to determine the impact that accommodating the
inmate’s asserted right will have on the facility and its users?
B. State
The question of whether a state inmate should be afforded the right to counsel at a parole release
hearing remains basically a state question. The role of counsel in most states has traditionally been
restricted to advising the prisoner before the hearing, or making oral or written arguments to the
parole board after the hearing.20 In the past, courts that have considered the issue on constitution-
al grounds have determined there is no constitutional right to assistance of counsel at the release
hearing.21 Several Federal Circuit Courts of Appeals have held that the Constitution does not require
the appointment of counsel in a civil appeal from a parole board hearing decision,22 does not require
that counsel be permitted to attend parole hearings,23 and does not require the assistance of counsel
at a parole application proceeding.24
State parole release hearings are governed by each state’s statutes and rules. However, if a state’s
laws permit an inmate to have a representative at a parole release hearing, and the statute does
not expressly exclude attorneys as a class of representatives, then an inmate may have an attorney
present, but counsel cannot act as the inmate’s legal representative.25 The attorney would simply act
as any other representative would be allowed to act on the inmate’s behalf.
In Cruz v. Skelton,26 the Fifth Circuit Federal Court of Appeals found that a Texas state inmate’s
argument that he was entitled to appointed counsel at a parole application hearing was defeated by
the prior holdings in two cases27 in which the court had ruled that due process did not require the ap-
pearance of counsel at parole application proceedings. The court attempted to answer the question
of whether the Equal Protection Clause of the Fourteenth Amendment28 would apply to an indigent
inmate who had requested that counsel be appointed by the state in a non-revocation hearing. After
considering the Texas parole statutes and rules, nowhere could the court find that the board’s policy
of allowing inmates to have representatives at an application hearing be interpreted to require the
state to appoint counsel to an indigent inmate. The court also looked to the Seventh Circuit’s ruling in
Ganz v. Bensinger29 in which an indigent inmate also had requested that he have counsel to repre-
sent him before a parole board in Illinois. The Ganz court considered this question under the Equal
Protection Clause and held that at parole release hearings, a lawyer’s presence would not bear on
the effective demeanor of the hearing for any inmate. In these two cases, indigent inmates without
lawyers were not subject to differential treatment at the parole application or release hearings, thus
their equal protection claims were baseless.
from the sentencing judge or prosecutor.30 Criteria for release decisions vary between federal and
state jurisdictions, and between states. Parole officials must have current working knowledge of the
release criteria developed for their jurisdictions. These criteria are published in statutes and/or rules
and inmates are entitled to know what types of criteria will be used in a parole release hearing. Most
jurisdictions have inmate handbooks or other printed access available to inmates to advise them of
the factors that will be relied on in whether to grant or deny parole.
Where a statute has created a cognizable liberty interest in parole: (1) the parole authority must
make its release criteria easily available to inmates,31 and (2) inmates must be advised of any in-
formation in their institutional files which may lead to a denial of parole at a hearing.32 Due process
requires that they be given an opportunity to rebut any inaccuracies in the file that may bear on the
parole decision in order to lessen the risk that the parole board or commission’s decision will be
based on erroneous information.33 By contrast, in jurisdictions where there is no statutorily estab-
lished liberty interest in parole, there is no constitutional provision for an inmate’s access to the file.34
A. Federal
Federal statute sets out the criteria that the U.S. Parole Commission uses in determining whether to
release a prospective parolee.35 Publication of the criteria provides a guide to the USPC’s commis-
sioners and examiners, and offers some assurance that decisions are not arbitrary and capricious.36
Correctly using the criteria and following the USPC guidelines steps toward narrowing the discretion
of the USPC without stripping it of its discretionary authority.37
The USPC criteria for release are set out by statute and are covered with extensive annotations in
the USPC Rule and Procedures Manual (2010) (manual) intended for use by federal parole offi-
cials.38 The criteria are also codified under the statute that is set to expire on November 1, 2011.39
However, the manual includes explanations about additional information that can be considered in
release decisions under the statute’s codified provision that “[t]here shall also be taken into consider-
ation such additional relevant information concerning the prisoner (including information submitted by
the prisoner) as may be reasonably available.”40
The criteria for parole determination in 18 U.S.C. § 4206 (1976) that pertain to certain federal inmates
whose offenses were committed before November 1, 1987 are as follows:
(a) If an eligible prisoner has substantially observed the rules of the institution or institutions to which
he has been confined, and if the Commission, upon consideration of the nature and circumstanc-
es of the offense and the history and characteristics of the prisoner, determines:
(1) that release would not depreciate the seriousness of his offense or promote disrespect for the
law; and
subject to the provisions of subsections (b) and (c) of this section, and pursuant to guidelines promul-
gated by the Commission pursuant to section 4203(a)(1), such prisoner shall be released.
(b) The Commission shall furnish the eligible prisoner with a written notice of its determination not
later than twenty-one days, excluding holidays, after the date of the parole determination proceed-
ing. If parole is denied such notice shall state with particularity the reasons for such denial.
(c) The Commission may grant or deny release on parole notwithstanding the guidelines referred to
in subsection (a) of this section if it determines there is good cause for so doing: Provided, That
the prisoner is furnished written notice stating with particularity the reasons for its determination,
including a summary of the information relied upon.
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(d) Any prisoner, serving a sentence of five years or longer, who is not earlier released under this
section or any other applicable provision of law, shall be released on parole after having served
two-thirds of each consecutive term or terms, or after serving thirty years of each consecutive
term or terms of more than forty-five years including any life term, whichever is earlier: Provided,
however, That the Commission shall not release such prisoner if it determines that he has seri-
ously or frequently violated institution rules and regulations or that there is a reasonable probabili-
ty that he will commit any Federal, State, or local crime.
The granting of parole to an eligible prisoner rests in the discretion of the U.S. Parole Commis-
sion. As prerequisites to a grant of parole, the Commission must determine that the prisoner has
substantially observed the rules of the institution or institutions in which he has been confined;
and upon consideration of the nature and circumstances of the offense and the history and
characteristics of the prisoner, must determine that release would not depreciate the seriousness
of his offense or promote disrespect for the law, and that release would not jeopardize the public
welfare (i.e., that there is a reasonable probability that, if released, the prisoner would live and
remain at liberty without violating the law or the conditions of his parole).41
This rule is effective for certain inmates whose offenses occurred on or after November 1, 1987. Oth-
er release criteria exist for the special categories of offenders who are under the jurisdiction of the
USPC (e.g., DC Code offenders) and these criteria are set forth in the manual.
Liability in the areas of release criteria and the information used to determine release in the federal
system focuses on the discretionary powers of the USPC. The USPC cannot be held liable under
the Federal Tort Claims Act (FTCA)42 for a decision made in the exercise of its discretionary function.
However, FTCA liability may exist when required steps of the decision making process are ignored.43
Recall that federal parole officials cannot be sued under § 1983 because the USPC is protected by
such claims under sovereign immunity.44 This leaves only a few avenues of redress for inmates who
file a cause of action against a federal parole official. For instance, in Settles, the inmate filed his
complaint pursuant to violation of the Sixth Amendment and the Federal Administrative Procedure
Act (APA).45 His § 1983 claims were dismissed, along with the APA claim, even though he had stand-
ing to sue under § 1983.
Payton v. United States,46 a case involving the former United States Board of Parole, suggests at
least two bases for liability: negligent release and negligence in fashioning the conditions of release.
In Payton, federal probation officers were found to have a duty to furnish the federal parole board
with information concerning prisoners, as well as, wherever not incompatible with public interest,
their views and recommendations with respect to parole disposition.
This ruling in Payton indicates that federal commissioners and examiners and state parole board
officials may have a duty to acquire and read pertinent reports that would inform them of inmates’
violent propensities. The liability in a case such as this would turn on whether the parole board was
performing a discretionary or a nondiscretionary function. The Payton court found that the U.S. Board
of Parole had no liability because the facts of the case against the board were construed by the court
to involve discretionary acts for which the board was not liable under law.
Liability for abuse of discretion may require a showing of bad faith or an action outside the scope
of the USPC’s authority.47 For example, in the context of the Federal Youth Corrections Act48 the
Commission’s failure to consider the inmate’s response to rehabilitative programs might reasonably
constitute abuse of discretion.49
B. State
The question as to whether a state prisoner is entitled to know what criteria parole officials use in
making release determinations is an issue of state law because states differ in the criteria used for
determining when an inmate “may” or “shall” be released. The release criteria in the parole official’s
jurisdiction will likely dictate the types of lawsuit that will be filed by inmates concerned with this
issue. Most federal and state inmate lawsuits involving release criteria are brought within a cause of
action concerning release decisions and/or explanations of denial of parole. Additionally, a violation
of the Ex Post Facto Clause of the U.S. Constitution, as in cases against the USPC, can be the basis
for a lawsuit if state statutes, rules, or regulations governing release criteria have changed since the
date of an inmate’s offense or sentence. (Ex post facto claims are discussed infra.)
Where the issues regarding state parole release criteria were brought to the courts in the past, the
prospective parolee was usually under the jurisdiction of a state that did not require publication of
the release criteria. Allegations involving release criteria in inmates’ lawsuits were usually based
in due process of law. Inmates are usually unsuccessful in claiming that due process mandates
that the criteria used by an authority in making its release decision be published. For example, the
Federal Court of Appeals for the Fifth Circuit held the parole board’s standards for deciding parole
applications are of judicial concern only where arbitrary action results in the denial of a constitution-
ally protected liberty interest, and the expectation of release on parole is not such an interest.50 The
Federal Court of Appeals for the Second Circuit held “unless and until” the statement of specific facts
and reasons for denial of parole given to prisoners prove inadequate to protect inmates in the parole
decision- making process, the court would not compel the parole board to reveal its release criteria.51
Although Federal Courts of Appeals have determined that a federal constitutional right does not
require state parole release criteria to be published, this does not prevent a court from finding other-
wise under a state constitution. The basic principle is that a state is not restricted to rights granted by
the U.S. Constitution in extending rights to its under its own constitution. States which publish release
criteria are providing what the federal courts have declined to require.
The general guidelines for denial of parole by state parole boards are (1) if a liberty interest in parole
exists, a parole board is required to satisfy due process by providing a written statement of the rea-
sons for denial, or (2) if no liberty interest in parole is created, there is no due process requirement
that a board provide an inmate with written documentation at all. The USPC must give written notice
of denial to the inmate which states the specific and particular reasons why parole was denied.54
In Greenholtz, the U.S. Supreme Court rejected the argument that inmates are entitled to know
the evidence that a parole board used in denying release, although the Court did not comment on
Nebraska’s practice of parsimoniously advising inmates of the reasons that the paroled board had
denied release. In fact, the Court expressed that this advisement was a procedural due process
safeguard in the absence of a formal hearing.
Following Greenholtz, in an appeal involving denial of parole the Federal Second Circuit Court of
Appeals determined that
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This view of due process with regard to denial of parole was later adopted by the Seventh Circuit in
at least two appeals in its jurisdiction.56 The Seventh Circuit Court stated:
Greenholtz makes clear that, even when the Due Process Clause applies to a parole release
determination, there is ‘nothing in the due process concepts as they have thus far evolved that re-
quires the Parole Board to specify the particular evidence’ in the inmate’s file or at his interview on
which it rests the discretionary determination that an inmate is not ready for conditional release.57
It is enough to provide the inmate with a statement of reasons or a summary statement as to why
parole was denied.
Inmates have brought causes of action concerning denial of parole and its accompanying admin-
istrative procedures based in administrative law. Administrative law is the body of law that governs
the powers, procedures, and judicial reviewability of administrative agencies and their actions. An
administrative procedures act is a codification by a legislative body of a set of generally applicable
rules in these areas. Congress originally enacted the federal Administrative Procedures Act58 in 1946.
Most states have some form of the federal APA and have modeled it after the federal APA.
Usually, causes of action are filed where there is no provision for an explanation of denial or when a
denial or explanation for denial is contested after other remedies are exhausted.59 Generally, an APA
provides for judicial review of administrative agency decisions where an agency’s statutes, rules,
or regulations fail to address certain procedural issues. Most cases against parole officials are not
brought under an APA. Instead, the cases rely on constitutional and/or § 1983 claims.
A. Federal
The USPC promulgates rules and regulations regarding its parole powers, its ability to carry out
the federal parole policy, and the purposes of federal parole statutes.60 The USPC parole system
includes reconsideration and appeal of its parole release decisions in its Rules and Procedures
Manual. Some specific actions of the USPC are subject to provisions of the Federal APA. In 1974,
the Seventh Circuit found the APA applicable to the United States Board of Parole and required the
Board to give the appellant a statement of reasons for refusing his application for parole.61 The tradi-
tional view had been that the APA was not applicable to the Board of Parole.
The relevance of the APA at the federal level was of heightened interest with the creation of the
USPC in 1984. Under the prior statutes governing the U.S. Board of Parole, which continue to govern
the USPC until 2011, 18 U.S.C. §§ 4206 and 4208(g) provide that if parole is denied, a personal
conference shall be held at the conclusion of the proceedings to explain the reasons for denial, if fea-
sible. Furthermore, 18 U.S.C. § 4206(b) provides that if parole is denied, notice of that determination
shall state with particularity the reasons for such denial within 21 days of the parole hearing.
At the conclusion of the hearing, the examiner shall discuss the decision to be recommended by
the examiner and the reasons therefor, except in the extraordinary circumstance of a complex is-
sue that requires further deliberation before a recommendation can be made. Written notice of the
decision shall be mailed or transmitted to the prisoner within 21 days of the date of the hearing,
except in emergencies. Whenever the Commission initially establishes a release date (or modifies
the release date thereafter), the prisoner shall also receive in writing the reasons therefor.
The guidelines for provisions of reasons for denial are stated as follows in the Rules and Procedures
Manual at 2.13.-04, p. 21:
Reasons following the appropriate guideline format will be typed on all Notices of Action denying a
parole date or granting a presumptive or effective parole date. However, repetition of the reasons
already given is not required (a) when an effective date is granted as a result of a pre-release
review of a previous presumptive date order and the date of release has not been changed; and
(b) on any other Notice of Action where no change in the previous decision is made.
B. State
Where due process is required by the finding of a liberty interest in state parole, a federal district
court in Illinois ruled that due process required the Prisoner Review Board to furnish a statement of
reasons for parole denial.62 The statement would have to be sufficient enough to enable a reviewing
body to determine whether the parole had been denied for an impermissible reason.63 The Illinois
court followed a Federal Seventh Circuit Court of Appeals ruling that “…a statement of reasons for
the denial of parole is included among the minimum procedural protections required by due pro-
cess in the context of parole release determinations.”64 In Sellars v. Procunier,65 a Ninth Circuit case
involving California’s parole laws, the court found that a prisoner has a right to apply for parole and
receive consideration of the request from the parole board. The inmate has the right to a statement
of why parole was denied and to reconsideration of the denial. A West Virginia state court specified
that a person denied parole was entitled to more than “mechanistic” written reasons.66 But use of a
checklist to inform an Illinois state inmate of the reasons for parole denial, instead of elaboration on
the reasons for denial, was deemed proper by a federal district court.67
If there is a liberty interest in parole, state inmates are entitled to some explanation of denial of parole,
but this can range from a contemporaneous summary explanation68 to a written statement69 of the
reasons for denial. In Vann v. Angelone,70 a letter to a state inmate from the Virginia parole board stat-
ing that his criminal history was the main reason for denial sufficed for due process. A parole board’s
basis of a statement that an inmate has been denied parole due to the seriousness of the nature and
the circumstance of the crime may be sufficient evidence for denial in some jurisdictions.71
With regard to a state’s APA, where the interpretation of state statutes is in issue, federal rulings on
related federal statutes have some influence, but no binding precedential value. Moreover, unlike the
Federal APA, some state laws have a specific exemption for parole decisions. It is best to be familiar
with the state’s APA and with case law precedent for guidance that is pertinent to a parole official’s
state or local jurisdiction.
Under a state APA, whether a statement of reasons for denial is required is not a totally independent
issue but is dependent on one of three factors:
■■ State court interpretation of, or legislative inclusion or exclusion within, a state administrative
procedure act.
In states without a state Administrative Procedure Act, the presumption is that there is no right to an
explanation of a parole decision. However, as mentioned above, the majority of states do provide oral
or written explanations to inmates for denial of parole.
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Federal circuit courts have held that in cases involving federal inmates, a liberty interest in parole
has been established once parole has been granted, but due process does not require rescission
hearings to be held to the same standard as revocation hearings.73 In cases involving state inmates,
some states have required that rescission hearings be conducted in accordance with due process
afforded in revocation hearings. However, there is little consensus among states as to the resolution
of this matter.74 The Supreme Court has ruled that no rescission hearing is required in states where
there is no liberty interest in parole.75
B. Conditions of Parole
Just as courts have allowed parole officials broad discretion in release decisions, courts permit
parole officials fairly wide latitude in fashioning conditions of parole.76 A number of parole jurisdictions
have standardized conditions that are applicable to all inmates. Some states permit statutory or reg-
ulatory special conditions for particular classes of offenders (e.g., electronic monitoring, substance
abuse treatment, sex offender registration and treatment, and/or travel and residential restrictions for
certain offenders).
Cases involving contested parole conditions may turn on several issues: (1) whether the condition
has an appropriate nexus to the inmate, (2) whether the condition is too broad or so vague that the
parolee cannot comprehend it or understand how to abide by it, and/or (3) whether the requirement
of the condition cannot reasonably or possibly be met.77 A nexus means that the purpose of the con-
dition, and its relationship to the offender and the goals and purposes of parole itself must be clear,
not overly broad, and legitimately connected.78
Some rights that are available to ordinary citizens may be prohibited by parole conditions because
parolees remain under the custody of the U.S. or a state’s Attorney General while they are on super-
vision. Travel restrictions on parolees are one such example.79 Conditions that violate a fundamental
constitutional right are generally not permitted. For instance, a Kansas state court found a constitu-
tional violation where a Kansas parolee was prohibited from attending certain religious events and
was prohibited from establishing a religious affiliation.80 In Arciniega v. Freeman, the U.S. Supreme
Court reversed the Ninth Circuit’s decision to uphold a parole condition that forbade a parolee to as-
sociate with ex-convicts. The Supreme Court found that although the federal parole board had wide
discretion and authority to set conditions of parole, the parolee could not be restricted from incidental
on-the-job contacts with ex-convicts during legitimate employment.81
One of the most recently litigious areas of release conditions is that of conditions for sex offenders.
State and lower federal courts are divided on many of the issues surrounding special conditions
placed by parole officials on those who have a sex offense in their criminal histories. Courts are
exploring the constitutional contours of sex offender release criteria and conditions including, but
not limited to sex offender treatment, registration, and electronic monitoring. Parole officials must
be cognizant of the current laws and regulations with regard to the release of sex offenders. Parole
officials must be vigilant because case law in this area may affect the release conditions for inmates
who have committed a sex offense at any time during their lives, even if they were not charged with
or convicted of the offense.
For example, in Meza v. Livingston, (2010)82 the Fifth Circuit Court of Appeals applied the Mathews83
balancing test in reviewing regulations of the Texas Board of Pardons and Paroles that permitted
parole officials to add sex offender registration and treatment conditions of parole for offenders who
had not been convicted of a sex offense, but whose offenses in their criminal histories contained
an element of a sexual nature. The Fifth Circuit Court held that when weighing the State’s interest
in controlling resources and costs with the high risk of error that may occur when using the State’s
current due process protections, Meza’s liberty interest in being free from sex offender registration
and treatment prevailed. The court held that the State of Texas must afford Meza the following due
process procedural protections: “(1) written notice that sex offender conditions may be imposed as a
condition of his mandatory supervision; (2) disclosure of the evidence being presented against Meza
to enable him to marshal the facts asserted against him and prepare a defense; (3) a hearing at
which Meza is permitted to be heard in person, present documentary evidence, and call witnesses;
(4) the right to confront and cross-examine witnesses, unless good cause is shown; (5) an impartial
decision maker; and (6) a written statement by the factfinder as to the evidence relied on and the
reasons it attached sex offender conditions to his mandatory supervision.”84
In U.S. v. Comstock (2010)85 the United States Supreme Court upheld 18 U.S.C. § 4248, the federal
statute that permits the U.S. Department of Justice to seek civil commitment by a federal district
court for certain mentally ill, sexually dangerous federal inmates beyond the date they would other-
wise be released from the custody of the Federal Bureau of Prisons. The Court decided this case on
the grounds of the Necessary and Proper Clause of the Tenth Amendment. The Court did not decide
any claim that the statute or its application denies equal protection, procedural or substantive due
process, or any other constitutional rights; therefore plaintiffs contesting the federal law can continue
to make claims on these bases. The Court had previously considered cases86 regarding similar state
statutes under the Due Process Clause and held that the Kansas statute governing civil commitment
of certain sex offenders met the requirements of substantive due process. In Kansas v. Crane, the
Court disagreed with the state over definitions of whether offenders should be committed for voli-
tional behaviors or non-volitional mental disorders. Although parole officials were not made part of
these court decisions, the officials may have an important role in making recommendations for civil
commitment after an inmate’s release.
268 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
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also apply to certain parole laws and procedures, but only if such changes increase the punishment
for the inmate’s current parole-eligible offense. Parole officials have been sued under ex post facto
claims, but absolute immunity is granted in most of these cases.
The U.S. Supreme Court, in Garner v. Jones (2000),87 considered the question of whether a retroac-
tive application of a Georgia parole rule was violative of the U.S. Constitution’s Ex Post Facto Clause.
Jones was serving a parole-eligible life sentence for murder, but had escaped from a Georgia state
prison and committed another murder for which he received another life sentence. During his second
life term, the State’s Board of Pardons and Paroles was statutorily required to consider Jones for
parole initially after seven years, and then every three years thereafter. Jones had been denied parole
several times before the Board amended its rule to allow parole reconsideration once every eight
years. The Eleventh Circuit Court of Appeals determined that the rule’s retroactive application was
an ex post facto violation. The Supreme Court held that such retroactive application of the rule did
not necessarily violate the Ex Post Facto Clause. The Court found that the key element is whether
the extension of intervals between parole reconsiderations created a sufficient risk of increasing the
punishment for the crimes that Jones committed. The Court recognized that “[s]tates must have due
flexibility in formulating parole procedure and addressing problems associated with confinement and
release.”88
In similar Tenth Circuit case, a state prisoner brought a § 1983 claim contending that the parole
board’s requirement that he complete a sexual abuse treatment program (SATP) was a violation of
the Due Process and Ex Post Facto Clauses.89 The inmate complained that the parole board had de-
nied his release because he refused to participate in the program. The parole board was not named
as a defendant because Kansas law stated that only the Secretary of Corrections could affect a grant
of parole by stating in writing to the parole board that the inmate has satisfactorily completed the
program(s) pursuant to a written agreement between the Secretary and the inmate that the inmate
complete the required programs in order to obtain release. In order to show a violation of the Ex Post
Facto Clause, an inmate has to show that he or she has been subjected to retroactive penal or crim-
inal law that imposes90 greater punishment than the original crime. Thus, the definition of the crime
must be changed, or the new law must result in an increase of punishment.91 The law that required
that the inmate satisfy the terms of the written agreement had been passed after he was convicted.
The Kansas state Court of Appeals had determined that the provisions of the new law could not be
applied retroactively in violation of the Ex Post Facto Clause. The parole board had noted in three
separate release hearings that the inmate had not participated in the SATP, but denied his release
on other grounds. The court concluded that the inmate had not provided sufficient evidence that his
parole denial had been based solely on the fact that he did not participate in the SATP.
In Nolan v. Thompson,92 the Eighth Circuit Court of Appeals considered the § 1983 claim of an
inmate against the Missouri Board of Probation and Parole. The inmate was serving a parole-eligible
life term for kidnapping and murder. The Missouri law in effect at the time of his offense provided
that if parole was denied, the parole board could deny further parole consideration, consider a set-
back or continuance of up to five years, or request additional information or planning. A new law,
passed after his conviction, eliminated the board’s discretion to schedule reconsideration hearings at
intervals of less than three years. At release hearings over a period of 20 years, the board repeatedly
denied parole and stated the reason for denial was that it would “depreciate the seriousness” of the
crime and its circumstances. The inmate argued that the new law created a risk of increasing the
length of his incarceration. The court reasoned that the question of whether retroactive application
of this law created a sufficient risk of increasing the inmate’s punishment was “‘a matter of degree’
and must be considered within the context of the entire parole system.”93 The circuit court affirmed
the lower court’s dismissal of the inmates ex post facto claim because the board’s scheduling of the
inmate’s reconsideration hearings at three-year intervals, as required by the new law, did not create a
sufficient risk of increasing the length of his incarceration.
SUMMARY
Case law holds that inmates have diminished and minimal constitutional rights in parole release
hearings. In parole release hearings, they do not have a constitutional right to counsel, although
the right may be conferred by state law or agency policy. Inmates have no constitutional right to be
informed of the release criteria; however, that right may also be recognized by state law or agency
policy. There is no constitutional right requiring parole officials provide inmates an explanation for
denial of parole, but most jurisdictions in fact routinely give inmates contemporaneous feedback or
a written explanation.
NOTES
1. Gagnon v. Scarpelli, 411 U.S. 778; 93 S. Ct. 1756 (1973).
2. It is doubtful whether any correctional system could prevent prisoners from securing prehearing
legal assistance. See Bounds v. Smith, 430 U.S. 817, 828 (1977).
6. Pub. L. No. 98-473, 98 Stat. 1987 [1984] [codified in 18 U.S.C. §§ 3551–3556 and at various sec-
tions throughout the U.S. Code.
7. (Pub. L. No. 98-473 § 218(a)(5), 98 Stat. 1837, 2027 (1984) [repealing 18 U.S.C.A. §§ 4201-4218]).
8. See generally United States Department of Justice, United States Parole Commission’s [hereinaf-
ter USPC] website at http://www.justice.gov/uspc/ (the USPC still retains jurisdiction and responsibili-
ty for federal offenders who committed offenses prior to November 1, 1987 who are eligible for parole;
certain District of Columbia Code offenders; Uniform Code of Military Justice offenders; certain
offenders in transfer-treaty cases; and state probationers and parolees who are placed in the Federal
Witness Protection Program).
10. See infra note 84, USPC Rules and Procedures Manual § 2.13 (2010).
11. Id.
12. Id.
13. Id.
14. Id.
15. See supra note 54 for the varied classes of offenders under the USPC’s jurisdiction.
18. Id. at 1109, citing Bowman Transp., Inc. v. Ark.-Best Freight Sys., 419 U.S. 281 (1974) and quoting
Burlington Truck Lines, Inc. v. United States, 371 U.S. 156, 168 (1962).
20. Comment, Due Process: The Right to Counsel in Parole Release Hearings, 54 Iowa L.R. 497, 499
(1968).
270 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 14
22. Ganz v. Bensinger, 480 F.2d 88 (7th Cir. 1973). See also Bergee v. South Dakota Bd. of Pardons
and Paroles, 608 N.W.2d 636 (S.D. 2000).
23. Holup v. Gates, 544 F.2d 82 (2d Cir. 1976), cert. denied, 430 U.S. 941 (1977).
24. Buchanan v. Clark, 446 F.2d 1379 (5th Cir. 1971), cert. denied, 404 U.S. 979 (1971).
25. See e.g., Francosi v. Michigan Parole Board, 604 N.W. 2d 675 (2000).
27. See Cook v. Whiteside, 505 F.2d 32 (5th Cir. 1974); Buchanan supra note 70.
28. U.S. Const. amend XIV § 1. Black’s Law Dictionary, 9th ed. (2009) defines the “equal protection
clause” as a “14th Amendment provision requiring the states to give similarly situated persons or
classes similar treatment under the law.” In these cases the indigent inmates would be the class of
persons who were alleging that the clause was violated because an attorney was not appointed for
them at a parole application or release hearing.).
32. Williams v. Missouri Bd. of Probation and Parole, 661 F.2d 697 (8th Cir. 1981).
33. Walker v. Prisoner Review Bd., 694 F.2d 499 (7th Cir. 1982).
34. Schuemann v. Colorado State Bd. of Adult Parole, 624 F.2d 172 (10th Cir. 1980)
36. F. Merritt, Due Process in Parole Granting: A Current Assessment, 10 John Marshall J. 93, 111
(1976).
38. See USPC Rules and Procedures Manual pp. 30-34 available at http://www.justice.gov/uspc/
rules_procedures/uspc-manual111507.pdf; last updated June 30, 2010 (from the USPC website at
http://www.justice.gov/uspc/rules_procedures/rulesmanual.htm).
43. Payton v. United States, 679 F.2d 475 (5th Cir. 1982).
44. Settles, supra note 62 at 1103, 1104 (“Section 1983 permits suit against a ‘person’ acting under
color of State or District of Columbia law…,” but Section 1983 does not apply to federal officials act-
ing under color of federal law”).
45. 5 U.S.C. §§ 500-596 (2010) (originally enacted by Congress in 1946); ((Black’s Law Dictionary,
9th ed. (2009) defines the Administrative Procedure Act as follows: “Administrative Procedure Act. 1. A
federal statute establishing practices and procedures to be followed in rulemaking and adjudication.
The Act was designed to give citizens basic due-process protections such as the right to present
evidence and to be heard by an independent hearing officer. 2. A similar state statute.”))
48. The Federal Youth Corrections Act was enacted to provide a system for the treatment and re-
habilitation of youthful offenders and to improve the administration of criminal justice. The Act was
repealed in 1984. [18 USCS § 5005].
51. Haymes v. Regan, 525 F.2d 540, 544 (2d Cir. 1975).
52. V. O’Leary and K. Hanrahan, Parole Systems in the United States: A Detailed Description of Their
Structure and Procedures, p. 44 (3d ed. 1976).
54. 18 U.S.C. § 4206 (b) and (c). See also supra note 84, p. 80-90 §2.20-01 (b) & (c) – 2.20.06.
55. United States ex rel. Johnson v. Chairman of New York State Board of Parole, 500 F.2d 925, 934
(2d Cir 1974), vacated as moot 419 U.S. 1015 (1974).
56. See United States ex rel. Richerson v. Wolff, supra, 525 F.2d at 797 (7th Cir. 1975) cert. denied,
425 U.S. 914 (1976); Walker supra note 79.
59. See e.g., Ladd v. Missouri Board of Probation and Parole, 292 S.W.3d 33 (2009); Ditter v.
Nebraska Board of Parole, 655 N.W. 2d 43 (2002).
60. 59 A. Jur. 2d Pardon and Parole § 76; 18 U.S.C. § 4203(a)(1) (referring to 18 U.S.C. §§ 4201 et seq.).
61. King v. United States, 492 F.2d 1337 (7th Cir. 1974). See also, Fronczals v. Warden, El Reno
Reformatory, 553 F.2d 1219 (10th Cir. 1977).
63. Id.
64. United States ex rel. Scott v. Illinois Parole & Pardon Board, 669 F.2d 1185, 1192 (7th Cir. 1982).
69. Greenholtz supra note 27 ; Zural v. Regan, 550 F.2d 86 (2d Cir. 1977); Poore v. Underwood, 4
Fed. Appx. 155 (4th Cir. 2001); U.S. ex rel. Richerson supra note 99.
70. 73 F. 3d 519 (4th Cir. 1996); See also generally Parker v. Corrothers, 750 F.2d 653 (8th Cir. 1984).
71. Powell v. Johnson, 2010 U.S. Dist. LEXIS 115875 (E.D. Va. 2010)
73. Drayton v. McCall, 584 F.2d 1208 (2d Cir. 1978); Christopher v. U.S. Bd. of Parole, 589 F.2d 924
(7th Cir. 1978).
272 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 14
74. In re Prewitt, 503 P.2d 1326 (1972) (California); Demar v. Wainwright, 354 So. 2d 366 (1977) (Flor-
ida); Florida Institutional Legal Services, Inc. v. Florida Parole and Probation Commission, 391 So.
2d 247 (Fla. Dist. Ct. App. 1st Dist. 1980); Monohan v. Burdman, 530 P.2d 334 (1975) (Washington).
78. See e.g., Christopher v. United States Board of Parole, 509 F.2d 924 (7th Cir. 1978).
79. See e.g., Bagley v. Harvey, 718 F.2d 921 (9th Cir. 1983).
86. Kansas v. Hendricks, 521 U.S. 346, 356-358, (1997); Kansas v. Crane, 534 U.S. 407 (2002).
93. Id. quoting Garner v. Jones, 529 U.S. 244, 250 & 252.
SUMMARY
NOTES
275
CHAPTER 15
INTRODUCTION
Parole officials’ liability for the release of an offender who subsequently commits an offense is an
important legal issue that has drawn the attention of the courts and will continue to be litigated in
the future. As the U.S. Supreme Court stated in the Greenholtz opinion, “[no] ideal, error-free way to
make parole release decisions has been developed; the whole question has been and will continue
to be the subject of experimentation involving analysis of psychological factors combined with fact
evaluation guided by the practical experience of the actual parole decisionmakers in predicting future
behavior.”1 The legal issues in this realm are centered on possible liability of parole officials as to
victims or their families for crimes, particularly of a violent and predatory nature, committed by parol-
ees.2 The public deduces that, because public protection is one consideration of granting parole, the
parole officials should be held liable if a parolee injures a member of the public because, if the parol-
ee had not been released, the injury would not have occurred. This means that most cases against
parole board officials for crimes committed by parolees are based on claims of negligent release.
■■ The plaintiff must have suffered recognizable harm or injury as a result of the breach.
■■ The defendant’s act must have been the proximate cause of the injury.
The duty owed to the plaintiff by the defendant will be construed under a “reasonable person” stan-
dard that courts use to determine “whether someone acted with negligence; [specifically], a person
who exercises the degree of attention, knowledge, intelligence, and judgment that society requires
of its members for the protection of their own and of others’ interests.”3 Proximate cause means more
than that the injury would not have occurred “but for” the defendant’s action or failure to act. Proxi-
mate cause is “cause” that is legally sufficient to result in liability; an act or omission that is consid-
ered in law to result in a consequence, so that liability can be imposed on the actor.”4
Generally parole officials are entitled to absolute immunity for actions or omissions within the proper
scope of their official duties and authority. Courts have held that because parole officials perform
functions comparable to those of a judge, officials are entitled to absolute immunity.
Case law in the area of negligent release suggests that most courts will honor the immunity princi-
ples for parole officials, but they may find some limited liability or rely on an argument for potential
limited liability. Judicial analyses focuses on a parole official’s discretion in decisionmaking. Where a
parole board or commission is seen by a court to omit a required step in its discretionary decision-
making process or to abuse discretion, parole officials may be exposed to liability and jeopardize
their claims of immunity.
not be justifiable solely because subsequent events might prove a release decision to be harmful. In
Santangelo, the record reflected that the release decision did not entail a thorough examination into
the releasee’s background or character. The inmate was never interviewed personally by the TRC
and had appeared before the committee only to have the conditions of release explained to him. His
parole officer was not consulted, even though it was the officer’s recommendation that the inmate
serve additional time. Moreover, no psychiatric or psychological reports were considered.
Despite these indications of lack of due care, the Santangelo court dismissed the plaintiff’s claim
because there was not sufficient evidence before it to determine if the committee’s decision would
have been any different had a more thorough examination of the releasee’s character and medical
or mental conditions been undertaken. Before negligence liability is assessed, it is usually required
that the negligence be proven to be the cause in fact of the injury. Here, it could not be said even that
“but for” the failure to take these diagnostic steps, the harm could have been prevented. Thus, the
plaintiff failed to establish that the committee knew or should have known of the dangers posed by its
decision to release. No liability was assessed.
Another case from a New York court is similarly illustrative of the considerations of state courts in
negligent release claims. In Welch v. State,6 action was brought against the State of New York claim-
ing damages caused by the state parole board’s negligence in paroling an inmate who had a history
of violent antisocial and deviant behavior and who had been incarcerated for viciously attacking and
sexually assaulting young women. It was further alleged that the state was negligent in supervising
him as a parolee, thus causing the plaintiff permanent injuries when the parolee struck her with a
piece of lumber and threw her in a river. The trial court dismissed the case and the plaintiff appealed.
The state appellate court affirmed the dismissal, stating that the nature and extent of the state’s duty
of supervision, as well as the question of whether the released prisoner’s actions were foreseeable,
can be put at issue only if the claim sets forth adequate factual allegations supportive of the charge
of negligence on the part of the state. In this case, the terms and conditions of the parolee’s release
were not set forth, nor were there any factual allegations as to the manner in which the state was
negligent. The negligence of the state was not presumed from the fact of the assault. No liability was
imposed.
Note that in these two cases, the courts did not say that the state release authorities could never be
held liable for their actions. On the contrary, the liability claim in Santangelo was the result of failure
by the plaintiff to prove that without negligence the resulting decision by the agency would have been
different. In Welch, it was the failure of the plaintiff to bring forth evidence sufficient to prove negli-
gence on the part of the parole board and parole officers.
The cases of Thompson and Larson discussed below also serve to demonstrate the issues con-
sidered by state courts in cases of negligent release. Both of these cases involved the release of
juveniles—one by a probation department, and the other by a parole board, both of whom were not
held liable for release.
In Thompson v. County of Alameda (1980),7 the California Supreme Court considered the case a
5-year-old boy who was sexually assaulted and killed by a delinquent within 24 hours after the de-
linquent’s release by the county probation department. The victim’s parents filed action against Ala-
meda County for reckless, wanton, and grossly negligent conduct by department in: (1) releasing the
juvenile delinquent to the community; (2) failing to give notice of the delinquent’s propensities to the
delinquent’s mother, the police, and the parents of the young children in the neighborhood, and no-
tice of the fact and place of release to the police and parents; (3) failing to exercise reasonable care
through its agent, the delinquent’s mother, after his release; and (4) failing to use reasonable care in
the selection of its agent to undertake the delinquent’s custody. Basing its decision primarily on the
California law that provides immunity from liability for discretionary acts by government employees
and immunity in determining parole or parole conditions, the trial court dismissed the case and the
278 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 15
parents appealed. The appellate court found no liability because (1) the plaintiffs alleged no special
or continuing relationship between themselves and the defendant county and (2) the decedent had
not been a foreseeable or readily identifiable target of the juvenile offender’s threats.
Whenever a potentially dangerous offender is released and thereafter commits a crime, the possi-
bility of the commission of that crime is statistically foreseeable. Yet the Legislature has concluded
that the benefits to society from rehabilitative release programs mandate their continuance. Within
this context and for policy reasons the duty to warn depends upon and arises from the existence
of a prior threat to a specific identifiable victim or group of victims . . . [citations omitted]. In those
instances in which the released offender poses a predictable threat of harm to a named or readily
identifiable victim or group of victims who can be effectively warned of the danger, a releasing
agent may well be liable for failure to warn such persons.
In Larson v. Darnell,9 a juvenile parolee sexually assaulted and murdered a 12-year-old girl. The court
found immunity for the board even if its decisions over who to parole, when to parole, and where to
place the parolee were performed negligently, willfully, and wantonly. Although the court noted that
evidence of corrupt or malicious motives or abuse of power might have brought about a different
result, the decision reflects a strong public policy interest in protecting discretionary decisions by the
parole officials. Larson draws the boundaries of responsibility between parole officials’ supervisory
decisions and the parole officers who administer those decisions.
By contrast, in the next two cases, Grimm and Payton, the potential liability for negligent release
was proved; hence, liability attached to parole officials. These two cases indicate that parole offi-
cials cannot always expect to be immune from liability in cases of negligent release. All of the cases
discussed above and below in this section are examples of the types of claims that may be made by
plaintiffs, the manner in which state and federal courts consider the elements of negligence, and the
application of immunity to state officials.
In Grimm v. Arizona Board of Pardons and Paroles,10 the parole board and its members were sued
for negligent release of Mitchell Blazak, a diagnosed dangerous social psychopath who had served
one-third of a sentence for armed robbery and assault with intent to kill. The parole board invoked the
absolute immunity defense, but this was rejected by the Arizona Supreme Court. The court held that
parole board members enjoy only qualified immunity in the exercise of their discretionary functions.
Relying on state law, the court said that the Board had narrowed its duty in the case from one owed
to the general public (for which there is no liability) to one owed to individuals (for which there may
be liability) by assuming parole supervision over, or taking charge of, a person having dangerous
tendencies. Liability was also based on the finding that the release decision was reckless or grossly
or clearly negligent.
In jurisdictions like Arizona that reject the absolute immunity rule and therefore allow liability, the
central issue becomes when are parole board members reckless, or grossly or clearly negligent in
granting a parole release?11 There is no definitive answer. Courts tend to use the standards of duty
and foreseeability—meaning whether there was a legal duty of care imposed on the parole officials
and whether, given the facts of a case, the danger could be foreseeable. One writer points out that
a decision to release would be grossly negligent if the entire record of the prisoner indicated vio-
lent tendencies (as in Grimm), and there is no reasonable basis to believe that the prisoner has
changed.12
The Fifth Circuit Federal Court of Appeals held in Payton v. United States (1981),13 that the USPC
could be sued for negligence because of the release of a federal prisoner who then kidnapped,
sexually assaulted, and murdered three women. The suit, brought under the Federal Tort Claims
Act, charged that the Commission was negligent when it released a federal prisoner who had been
repeatedly diagnosed as a dangerous, homicidal psychotic while in prison, and who had been sen-
tenced to a 20 years term of imprisonment for severely beating a woman. Despite these warning sig-
nals, the prisoner’s sentence was reduced to 10 years, and he was later granted parole and released
into the custody of a priest. He subsequently killed the three women. The court said that the release
of a prisoner with total disregard of his known propensities for repetitive brutal behavior was not an
exercise of discretion, but, instead, was an act completely outside clear statutory limitations.
The Fifth Circuit court distinguished between the Commission’s role as the promulgator of parole
guidelines and its responsibilities in applying the guidelines to individual cases. The court of said that
the government would have been immune if the damage suit had attacked the government guide-
lines themselves, because the dispute would then have concerned the selection of the appropriate
release policy, which by law has been committed to agency discretion. In this case, however, the
suit charged that the guidelines for parole were not properly applied to this particular parolee. This
implies that the government enjoys immunity for drafting parole guidelines, but not for their negligent
application. The court concluded:
As government grows and the potential for harm by its negligence increases, the need to com-
pensate individuals bearing the full burden of that negligence also increases…. Suits under the
Federal Tort Claims Act provide a fair and efficient means to distribute the losses as well as the
benefits of a parole system.14
However, on the circuit court’s subsequent rehearing, the decision to release without supervision
was held to be discretionary and, therefore, not actionable under the FTCA. The court noted that
had plaintiffs alleged that the Commission ignored a required step of the decisionmaking process,
such a claim would be actionable. Alternatively, the court suggested that a claim could be also
actionable where the Board could be shown to have breached a duty sufficiently separable from the
decisionmaking function to be considered as a nondiscretionary function and, therefore, fall outside
the judicial immunity exception to the FTCA. The court, speculated as to arguments not made by the
plaintiffs and noted that the Board could have provided for continued supervision of the parolee and
that failure to do so may have been an abuse of discretion.
The Sixth Circuit Federal Court of Appeals held in Janan v. Trammell,15 that members of the Tennes-
see State Parole Board enjoyed absolute immunity from a § 1983 and § 198516 suit alleging gross
negligence in the release of an inmate on parole. The parolee, previously convicted of armed robbery
and grand larceny, had been on his second term of parole for less than two months when he accom-
panied a prison escapee to Florida and committed murder. The family of the murdered victim filed a §
1983 action claiming that the parole board’s action deprived the victim of his life without due process
of law. The court held that the family of the victim did not claim that the parole board or the defen-
dants had any specific responsibility to the parolee, nor did they claim that the defendants should
have known that the parolee’s release or subsequent possible parole violations would endanger the
victim. For these reasons, the court found the defendant’s actions were causally remote from the
murder and the defendant’s were not held liable.
The Federal Court of Appeals for the Eighth Circuit held that parole officials enjoyed immunity
from § 1983 suits involving a parolee’s crime. In Nelson v. Balazic,17 a Missouri parolee kidnapped
and sexually assaulted three women after learning that he was going to be sent back to prison for
violating his parole. The women were employees of a drug and alcohol treatment program to which
he was referred upon parole. The defendants were two members of the Missouri Board of Probation
and Parole and the supervising parole officer. The court held the two parole board members to be
absolutely immune from suit in performing the quasi-judicial function of deciding to grant parole. The
parole officer was found to have qualified immunity because her duties were not “intimately associat-
ed with the judicial process.” Although the probation officer was granted qualified immunity, the court
280 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 15
held that her conduct did not violate clearly established statutory or constitutional rights, thus she
could not be sued under § 1983.
In summary, decided cases strongly indicate that, although suits by victims of crime challenging re-
lease decisions do not usually succeed, liability may in fact be found in cases of negligent release by
parole officials, parole officers or other government agents, but such negligence must rise to the level
of gross negligence or recklessness. Mere negligence is not sufficient for liability to attach in negli-
gent release cases. Gross negligence or recklessness, however, cannot be precisely defined and
must be decided on a case-by-case basis. The preceding cases merely suggest general boundaries
of negligence in cases where released inmates caused injury to or death of the victims.
■■ The 14th amendment protects a person from deprivation by the state of life without due process of
law, and, although the decision to release the parolee from prison was state action, the parolee’s
action 5 months later cannot be considered a state action.
■■ Regardless of whether the parole board either had a duty to avoid harm to the parolee’s victim or
proximately caused her death, parole officials did not “deprive” the victim of life within the meaning
of the 14th amendment.
■■ Under the particular circumstances where the parolee was in no sense an agent of the parole
board and the board was not aware that a particular person, as distinguished from the public at
large, faced any special danger, that person’s death was too remote a consequence of the parole
board’s action to hold the officials thereof responsible under § 1983.19
Note that Martinez involved, among other issues, the constitutionality of a California statute specifi-
cally granting absolute immunity to a public entity or a public employee from liability under state tort
law for any injury resulting from parole release determinations. The crux of Martinez was simply that
a state immunity statute is constitutional when applied to defeat a tort claim against state officials
arising under state law. The Supreme Court said that whether one agrees or disagrees with Califor-
nia’s decision to provide absolute immunity for these cases, one cannot deny that the law rationally
furthers a policy that reasonable lawmakers may favor. The case did not resolve the issue of whether
a parole board member, when deciding whether to release an inmate, is entitled to absolute immuni-
ty as a matter of constitutional law. That issue is still unresolved by the Court. Other states may pass
a similar statute if they want to fully protect their parole officials from possible liability for official acts
under state law.
The plaintiffs in Martinez contended that liability ensued under the Due Process Clause of the Four-
teenth Amendment. The U.S. Supreme Court responded that the amendment only protects persons
from deprivation of life by the state without due process of law. State involvement must be pres-
ent for liability to ensue. Although the decision to release the parolee from prison in this case was
originally considered an act of the state, what the parolee did five months after release could not be
fairly characterized as state action. The death in this case was too remote in time to be considered a
consequence of the parole officials’ action and to hold them responsible under § 1983. This implies
that, in federal litigation, a negligent initial decision to release is attenuated by the passage of time
from release until harm by a releasee occurs. In other words, the harm or injury in this case was too
remote in time for negligence to attach.
It should be noted that the Supreme Court decided Martinez prior to its decision in Daniels v.
Williams (1986) where the Court made clear that official negligence does not trigger a due process
violation.20 It could be argued that official negligence was at issue in any of the negligent release
cases discussed in this chapter. In a § 1983 suit against a prison official, a state prisoner alleged a
Fourteenth Amendment deprivation by bodily injury caused by the official’s negligent conduct. The
Court concluded that “the Due Process Clause is simply not implicated by a negligent act of an offi-
cial causing unintended loss of or injury to life, liberty, or property.”21 Although this case is not directly
on point with Martinez, it does suggest that cases could be decided on the grounds of acts of official
negligence that have unintended consequences. A plaintiff would have to prove that parole board
officials had intent to cause harm or other deprivation by releasing an inmate.
SUMMARY
This chapter discusses issues related to the liability of parole boards for release or nonrelease. It
addresses the following concerns: (1) the rights, if any, to which inmates are entitled in parole release
hearings; (2) the civil liability of parole boards for crimes committed by inmates who are released and
who commit crimes while on parole; and (3) the liability of parole boards to inmates for violation of
substantive and procedural rights.
Case law holds that inmates have diminished and minimal constitutional rights in parole release
hearings. In parole release hearings, they do not have a constitutional right to counsel, although
the right may be conferred by state law or agency policy. Inmates have no constitutional right to be
informed of the release criteria; however, that right may also be recognized by state law or agency
policy. There is no constitutional right requiring parole officials provide inmates an explanation for
denial of parole, but most jurisdictions in fact routinely give inmates contemporaneous feedback or a
written explanation.
Parole officials’ liability for the release of an inmate on parole who subsequently commits an offense
is an important issue that has repeatedly drawn the attention of the courts and the public in the form
of negligent release lawsuits. The public infers that public protection is one purpose of parole, thus
the board should be held liable if a parolee injures a member of the public because the injury would
not have occurred but for the gross negligence of parole officials. Generally negligent release claims
have failed because courts hold that parole officials are entitled to absolute immunity when engaged
in actions similar to those performed by a judge—quasi-judicial discretionary acts. Some courts have
found liability in cases where gross or reckless negligence is proved by plaintiffs.
In lawsuits involving alleged violations of inmates’ constitutional rights related to parole, courts have
usually held that parole officials are not liable and have afforded them immunity in the performance
of their official discretionary duties and responsibilities. Parole officials must exercise caution and
observe the procedural guidelines prescribed by law or agency policy in their jurisdiction because
deviation from these laws and policies can raise issues of violations of a number of rights that are
due an inmate, even if these rights are minimal.
282 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 15
NOTES
1. Greenholtz v. Inmates of Nebraska Penal Complex, 442 U.S. 1, 13 (1979).
2. See generally, Johnson v. Wells, 566 F.2d 1016 (5th Cir. 1978); Franklin v. Shields, 569 F.2d 784
(4th Cir. 1972); Thompson v. Burke, 566 F.2d 231 (DC Cir. 1977).
4. Id.
8. Id. at 732.
10. Grimm v. Arizona, 564 P.2d 1227 (1977). Subsequently Ryan v. State, 656 P.2d 597 (Ariz. 1982)
abolished the discretionary v. ministerial distinction in Arizona, hence severely curtailing the
immunity defense.
11. Note, Torts—Parole Board Members Have Only Qualified Immunity for Decision to Release
Prisoner, 46 Ford. L. Rev. 1301, 1313 (1979).
13. Payton v. United States, 636 F.2d 132 (5th Cir. 1981), reh’g granted, 649 F.2d 385 (5th Cir. 1981);
679 F.2d 475 (5th Cir. 1982).
14. Id.
19. Id.
A. Federal
B. State
SUMMARY
NOTES
285
CHAPTER 16
INTRODUCTION
Absolute immunity stems from the quasi-judicial functions of parole board officials with regard to
discretionary release decisions. The immunity does not attach to judicial or quasi-judicial actions
performed in clear absence of all jurisdiction, but does apply even if parole officials act with malice,
in bad faith, or corruptly.2 The Supreme Court has taken what is known as a “functional view” in
extending absolute immunity to parole officials who perform quasi-judicial functions.3 In this chapter,
the term “absolute immunity” will be used, unless otherwise indicated in the language of legislation,
administrative rules and regulations, or case law.
In Sellars v. Procunier,4 the functional view was taken by the Ninth Circuit Federal Court of Appeals
by using the “functional comparability” test set forth by the U.S. Supreme Court in Butz v. Econo-
mou.5 The circuit court held that this test, under the functional view, requires a court to “look not just
to the title of a state or federal official, or to his or her location within the bureaucratic superstructure,
but to the official’s function as well in determining the question of immunity.6 The court opined:
We believe that parole board officials perform functionally comparable tasks to judges when they
decide to grant, deny, or revoke parole. The daily task of both judges and parole board officials is
the adjudication of specific cases or controversies. Their duty is often the same: to render impar-
tial decisions…. [Parole board officials] face the same risk of constant unfounded suits by those
disappointed by the parole board’s decisions.7
A. Federal
Recall that Federal officials cannot be sued under § 1983. However, inmates have other avenues for
asserting claims against the parole commissioners and examiners of United States Parole Commis-
sion (USPC) (see discussion in part II(a)(1) for clarification of USPC structure and procedures.)
In a Massachusetts Federal District Court Case,8 the “functional view” was the basis for dismissing
an inmate’s claim against the Chairman of the USPC, and several of its parole commissioners and
hearing examiners. Although this case was in response to a parole revocation, it illustrates how
the functional view is applied to federal parole commissioners and examiners. The parolee filed a
Bivens action9 against the USPC officials in their individual capacities and sought compensatory and
punitive damages from each defendant. The case turned on whether the defendants were entitled to
absolute immunity and if their actions were “closely associated with the judicial process.”10 The Court
found that all of the defendants performed quasi-judicial functions and that there was a consensus
among Federal Circuit Courts of Appeals that parole board members are absolutely immune from
civil liability when performing functions of a judicial nature.11
In United States ex rel. Powell v. Irving12 the Federal Seventh Circuit Court of Appeals found federal
parole officials absolutely immune from liability claims under § 1983. However, the court noted that
the plaintiff’s claims of systematic racial discrimination against black inmates with regard to parole
releases were sufficient for declaratory relief. Impermissible discrimination on the part of the board is
actionable, despite immunity principles.
B. State
A state official who is sued in his or her individual capacity for injunctive relief in a § 1983 cause of
action is considered to be a “person” under § 1983, which may serve as the basis for liability.13 On the
other hand, if a state is sued or a state officer is sued in an official capacity, actions for prospective
relief or monetary damages are not cognizable under § 1983.14 Service on a parole board is gener-
ally considered a quasi-judicial function; hence, under the functional approach to absolute immunity,
state parole board members are entitled to absolute immunity when sued in their official capacities.
However, such protection may not be afforded when a member is sued in an individual capacity.
The Federal Ninth Circuit Court of Appeals’ opinion in Sellars affords an apt explanation of absolute
immunity for state parole officials in their official capacities. In California, an inmate has a right to
apply for parole release and is afforded due process considerations in a release hearing. The court
determined that state parole board officials enjoyed absolute immunity in § 1983 lawsuits stemming
from the processing of an inmate’s parole release application.
Similarly, in Malek v. Haun,15 an inmate filed a § 1983 action against the Chairman and members
of the Utah Board of Pardons and Parole in their official and individual capacities. Malek sought
compensatory damages and injunctive and declaratory relief in his claim that parole board officials
failed to grant him parole by not crediting his sentence, using an improper criterion and determination
scheme, and retroactively applying the release criteria. Utah’s statutes do not create a liberty interest
in parole. Thus, Utah state prisoners are not legitimately entitled to parole release, but the state’s
constitution grants due process protection for an initial parole release hearing in which the parole
board determines the conditions under which an inmate may be released on parole. The state had
made changes to the parole system that existed when Malek was sentenced and he complained that
he was denied protection under the Eighth Amendment (cruel and unusual punishment), the Fifth
Amendment (double jeopardy), and the Ex Post Facto Clause16 of the Constitution for denial of parole
based on the system that was put in place after he was sentenced. Following the Greenholtz holding
that states are not obligated to establish a parole system, the Tenth Circuit Federal Court of Appeals
found that Utah could alter its parole system and not necessarily invoke the need for Constitutional
protections. Although Malek’s case was dismissed as frivolous, the court stated that the defendants
were immune from liability for damages and entitled to absolute immunity in their official capacities
and qualified immunity in their individual capacities.
SUMMARY
The public infers that public protection is one purpose of parole, thus the board should be held liable
if a parolee injures a member of the public because the injury would not have occurred but for the
gross negligence of parole officials. Generally negligent release claims have failed because courts
hold that parole officials are entitled to absolute immunity when engaged in actions similar to those
performed by a judge—quasi-judicial discretionary acts. Some courts have found liability in cases
where gross or reckless negligence is proved by plaintiffs.
288 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 16
NOTES
1. For a comprehensive list and explanation of cases from the 11 Federal Circuit Courts of Appeal
and the District of Columbia Circuit regarding their consensus view of absolute immunity for parole
board officials, see Johns, supra note 9 at 302-304, n. 285-298.
3. See Cleavinger v. Saxner 474 U.S. 193, 200 (1985) (absolute immunity extended to officials “close-
ly associated with the judicial process”); Buckley v. Fitzsimmons, 509 U.S. 259 (1993) (the function
performed, not the rank or status of an official is examined); Butz v. Economou, 438 U.S. 478 (1978)
(federal hearing examiners are immune from suit).
5. 438 U.S. 478 (1978); See also Greenholtz supra note 27.
7. Id.
9. “A lawsuit brought to redress a federal official’s violation of a constitutional right…. A Bivens action
allows federal officials to be sued in a manner similar to that set forth at 42 USCA § 1983 for state
officials who violate a person’s constitutional rights under color of state law.” Black’s Law Dictionary
(9th ed. 2009). See e.g., Bivens v. Six Unknown Named Agents of the Federal Bureau of Narcotics,
403 U.S. 388 (1971).
11. Supra note 38 citing Johnson v. Rhode Island Parole Board Members, 815 F.2d 5 (1st Cir. 1987);
Walrath v. United States, 35 F.3d 277 (7th Cir. 1994); Russ v Uppah, 972 F.2d 300 (19th Cir. 1992)
(suggesting that the scope of immunity encompassed any action taken under official duties by parole
board members whether adjudicatory or administrative).
16. See U.S. Const. art. I, § 9, cl. 3 and Art. I § 10, cl. 1 (granting that no ex post facto law shall be
passed). ((Black’s Law Dictionary (9th ed. 2009) defines the tern “ex post facto” as “[d]one or made
after the fact; having retroactive force or effect.” The dictionary explains that an ex post facto law is
“A law that impermissibly applies retroactively, [especially] in a way that negatively affects a person’s
rights, as by criminalizing an action that was legal when it was committed. Ex post facto criminal laws
are prohibited by the U.S. Constitution. But retrospective civil laws may be allowed.”)).
I. QUESTIONS
A. Legal Representation
B. Indemnification
C. Professional Liability Insurance
D. Immunity Statutes
E. Source of Authoritative Information
A FINAL WORD
NOTES
291
CHAPTER 17
INTRODUCTION
This final chapter features questions, specific concerns, and general advice that should be of help
to readers. Taken from the first edition of the book, the questions that start the chapter are a com-
posite of the concerns expressed by the Board of Consultants for the first edition. The questions are
featured in this final chapter to heighten awareness of the legal issues that need further study and
exploration in specific jurisdictions.
The chapter also addresses five concerns: legal representation, indemnification, professional liability
insurance, immunity statutes, and sources of authoritative information. Not much has changed in
these concerns since the first edition was published; therefore, these concerns are reiterated.
Finally, general advice is given to probation and parole officers on how legal liability might be min-
imized or avoided. The generic advice given here represents the composite result of an extensive
national survey of offices of attorneys general that was conducted in the early eighties for the first
edition of this book. There is every reason to think that their advice would be the same today; hence,
that part of the survey is replicated in this edition. It is not meant, however, to preempt the advice of a
legal counsel who is more familiar with the law in specific jurisdictions.
I. QUESTIONS
For better legal protection and deeper awareness, listed below are important questions probation and
parole officers should ask and for which they should obtain answers from their employers and legal
advisors. These questions highlight several vital issues addressed in this monograph and help apply
these legal concerns to individual states or jurisdictions. It would be in the interest of probation/parole
officers to arrange a seminar or workshop with their employers, legal advisors, or other knowledge-
able persons who can give authoritative answers to the following:
1. If I am sued in a criminal, tort, or civil liability action in state or federal court, will my agency or
employer provide a lawyer to represent me?
2. If a parolee, probationer, or anyone else is contemplating suit against the agency, agency per-
sonnel, or me, and I am contacted by their lawyer, what should I do?
3. What specifically should I do if and when I am served with legal papers and/or court documents
indicating that a lawsuit has been filed against me?
4. If there is a conflict of interests between me and a codefendant, or me and my agency, will the
government appoint a different attorney for me?
5. Are there any special defenses available to me as a state probation/parole officer in a tort suit in
which I am the defendant?
6. Are there any specific criminal laws in my jurisdiction of which I must be aware that apply specifi-
cally to probation and/or parole officers or public officials/employees?
7. Are there any decided cases in my state where a probation or parole officer has been held liable
under state tort law either to the client or to a third party? If yes, how will those cases affect me?
8. What type of immunity, if any, do I enjoy as a probation/parole officer under my state’s law?
9. Does our state have laws that would indemnify me if I am found liable in a state tort or a federal
civil rights action? If so, how do these laws apply to me? Is the coverage mandatory or optional?
11. What is the best way, consistent with the laws of my state, to protect my personal assets from
seizure and execution for satisfaction of a judgment against me?
12. Is there any kind of liability insurance available to me individually or as a member of a group
through the government or privately?
13. Does our state have a state civil rights law that might affect me in my work? If so, what and how?
14. Does our state have a law covering the issue of disclosure of information about the offender to
others (e.g., privacy laws, laws on confidentiality of criminal offender record information, and laws
on the confidentiality of mental health, education, and vocational information)? If so, how does it
apply to me and what are the penalties and procedures for violations?
15. Does our state have a state law that gives the offender, his or her lawyer, his or her designate, or
others access to information in my file or in my reports? If so, what are the specific requirements
and what are the penalties and procedures for noncompliance?
16. Does our state have an Administrative Procedures Act that applies to me? If so, how?
17. As a parole officer, what should I do if, at a revocation hearing, I feel that the hearing officer is
denying the parolee his or her rights to due process under Morrissey?
18. Is there a compilation of regulations, policies, and directives that govern my conduct as an
employee and relate specifically as to my work with offenders?
19. Who is my legal advisor? Is there any public official to whom I can turn who is obligated to advise
me in legal matters and upon whose advice I am entitled to rely?
20. Am I a peace officer? What are my law enforcement powers vis-à-vis arrest, search, seizure,
and ability to assist and be assisted by law enforcement officers? Am I empowered to carry a
weapon?
21. Does my court or agency have any guidelines on arrest and search or frisk of offenders and their
homes and property?
22. Are there specific laws in our state that relate to my responsibilities and duties as a public
employee and as a probation or parole officer in particular? What are they?
23. Are there specific laws in our jurisdiction that set out the rights and duties of my offenders?
24. Do we have a written policy on assessment of restitution that will give the probationer access to a
judicial determination if he disagrees with the amount claimed by the victim or assessed prelimi-
narily by me?
25. According to state law or court decisions in this state, can a judge or parole board delegate the
imposition of conditions or the setting of the restitution amount to me? If these cannot be delegat-
ed, but judges or boards do it anyway, what is my best defense under state law against liability?
26. Do we have a written policy on my imposing or modifying conditions of probation or parole that
will give the offender immediate access to the judge or board if he contests my action?
27. What should I do about transporting offenders (prisoners) in my private vehicle? What responsi-
bility will my employer assume in the event of an auto accident?
28. Should I warn third persons if I believe the offender presents a possible danger to them? If so,
under what circumstances? If it is a close call, whom should I contact for advice?
29. Do you want me to advise offenders on procedures and on how to put their “best foot forward”
when appearing before the court or board?
294 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 17
30. Do you want every violation reported to the court or parole board?
31. What do the terms “good faith” and “negligence” mean in our state?
32. How can I be sure that I am informed on an up-to-date basis regarding administrative rules,
regulations, and decided cases affecting me?
Legal representation at the local government level is much less reassuring than representation for
state officers. This is significant because although parole agencies in a great majority of states are
administered and funded by the states, probation offices are typically under much more local control,
either by local judicial districts, judges, or political agencies. Each agency determines the type of
legal representation it gives to local public officers. Arrangements vary from allowing local officials to
get their own lawyer at county’s expense to having the county or district attorney represent the officer.
Whatever the arrangement, it is important that the policy on representation and indemnification be
clarified and formalized. An informal policy (“Don’t worry, we will take care of you if a lawsuit is filed”)
should be avoided because it can be implemented selectively and is far from reassuring.
B. Indemnification
Closely related to representation is the issue of indemnification, if and when the officer is held liable.
A majority of the states provide indemnification for the civil liabilities of their public employees, albeit
in varying amounts. The conditions under which the state will pay also vary and are sometimes
unclear. Moreover, although most states provide for some form of indemnification, states often do
not automatically indemnify. In most states and local agencies, employees can expect the state to
help pay the judgment only if the act on which the finding of liability is based was within the scope
of employment and done in good faith. The definitions of the terms “within the scope of employment”
and “good faith” vary from state to state, and a decision not to represent an employee is usually final
and not appealable.
Probation and parole officers are advised to look into their specific state statutes covering legal
representation and indemnification. Part of the lack of protection comes from a definitional problem.
Although it is difficult, if not impossible, to spell out very specific guidelines that further refine the
phrases “acting within the scope of duty” and “good faith,” working definitions of these terms go a
long way toward alleviating anxiety and minimizing arbitrariness. Such definitions are not laid out in a
number of current statutes.
For purposes of maximum protection, it is important that there be an understanding that a trial court’s
finding that the officer acted outside the scope of his or her duty and in the absence of good faith not
be dispositive of representation or, especially, indemnification. An independent assessment should
be undertaken by the state authority that represents and indemnifies (usually the attorney gener-
al’s office for state officers and the district attorney or county attorney for local officers), based on
circumstances as determined by that agency. Only cases that are egregious and obviously outside
the scope of employment should be denied legal representation and indemnification. Without this
understanding, a state’s legal representation and indemnification law can be ineffective because, as
current case law stands, acts that are performed by probation and parole officers in good faith and
within the scope of their employment are exempt from liability anyway. So, because of the prerequi-
site of the “good faith” and “acting within the scope of employment” provisions of most state laws, an
officer who acts in good faith has no liability (and therefore needs no indemnification), whereas one
who is adjudged liable (and therefore needs indemnification) cannot be indemnified under most state
laws because he acted in bad faith and/or outside the scope of employment.
The problems associated with professional liability insurance, however, are myriad. First, although
law enforcement officers can easily obtain insurance, only a few insurance companies carry liability
insurance for corrections personnel. Second, who pays the premium? Ideally, it should be paid by
the agency, but some states and local government units do not allow public money to be used for
employee liability insurance. Third, policymakers, whether at the state or local level, may not be dis-
posed to obtain liability insurance for their employees because of high premiums, preferring instead
to be self-insured, meaning that they will pay out of their own funds if liability ensues. The employee
paying the premium is always an option, but that can be prohibitive for the employee.
D. Immunity Statutes
Another possible source of protection that should be explored by probation and parole officers re-
quires action by state legislatures. The United States Supreme Court, in Martinez v. California,1 held
that California’s immunity statute was constitutional when applied to defeat a tort claim arising under
state law. That section of the California law (§ 845.8(a) of the California Government Code) provides
as follows:
Neither a public entity nor a public employee is liable for: (a) Any injury resulting from determin-
ing whether to parole or release a prisoner or from determining the terms and conditions of his
parole or release or from determining whether to revoke his parole or release.2
A similar statute may be enacted by other states at the initiative of probation or parole officers.
It is worth remembering, however, that a state-enacted exception from civil liability does not apply to
§ 1983 cases because the latter are based on federal law. Despite this limitation, a state immunity
statute does extend considerable protection to public officers. Although the California statute spe-
cifically limits its coverage to parole cases, there appears to be no legal impediment to extending
that coverage to include probation officers, particularly on such matters as the setting of conditions,
supervision, and probation revocation.
296 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
CHAPTER 17
What three most important bits of legal advice would you give probation and parole officers to help
them avoid or lessen possible legal liability in connection with their work?
There is no more recent survey than that conducted for the first edition, which was done in the early
1980s, but the answers are not likely to have changed over the years. The results of that survey are
therefore reproduced here. Ranked in the order of response frequency, the top five answers were as
follows:
■■ Know and follow departmental rules and regulations and your state statutes. (35 percent)
■■ Arrange for legal counsel and seek legal advice whenever questions arise. (27 percent)
■■ Act within the scope of your duties, and in good faith. (20 percent)
■■ Get approval from your supervisor if you have questions about what you are doing. (18 percent)
■■ Keep up with developments in your field (e.g., relevant legal developments, statutes, new depart-
mental regulations). Ignorance of the law or regulations excuses no one.
■■ Notify your supervisor immediately if you suspect that legal action is being seriously
contemplated.
On one hand, it behooves probation and parole officers to take to heart these words of advice
from legal professionals in the field. On the other hand, a word of caution is in order; knowledge of
legal responsibilities and awareness of possible liabilities could lead an officer to excessive caution
amounting to inaction. This should be avoided because reluctance or failure to perform one’s duties
can be more damaging than acting incorrectly. In case of doubt, the general rule is to be guided by
the principle of fundamental fairness in decision- making, whether that decision is made by a proba-
tion or parole officer or a supervisor. Fundamental fairness is the essence of due process and should
go a long way toward minimizing liability if a lawsuit arises.
A Final Word
Lawsuits are a burden. They cause anxiety, drain time, cost money, and exact a heavy toll on all
of the parties involved. A countersuit by the probation or parole officer in retaliation is, at times,
an attractive possibility. The prudent officer should be aware that this may actually exacerbate the
problem, generating more anxiety, cost, time, and so forth. Avoidance of lawsuits through proper job
performance and fundamental fairness is the wiser option as probation and parole officers continue
to discharge their duties and responsibilities in a time of legal challenge and constant change. It
appears as though most lawsuits against probation and parole officers and agencies do not succeed.
Moreover, a thoughtful and careful review of the cases where officers and agencies do lose reveals
that a little common sense and a lot of good faith go a long way toward protecting against liability.
NOTES
1. 444 U.S. 275 (1980).
298 Civil Liabilities and Other Legal Issues for Probation/Parole Officers and Supervisors, 4th Edition
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