ISABELA STATE UNIVERSITY ECHAGU

Non-Institutional
Correction
(Probation, Parole ad Executive
Clemency)

An Instructional Material

Reynaldo M. Esmeralda, M.S. Crim.

Instructor
OBJECTIVES OF THE PROGRAM

General Objective

The program provides the community with professionally competent and orally upright graduates
who can deliver efficient and effective services in crime prevention, crime detection and investigation, law
enforcement, and custody and rehabilitation of offenders, among others.

The program is also envisioned as significant educational institutions actively and continually
involved in producing graduates who have the knowledge and skills in addressing the problem of
criminality in the country and the competence to meet the challenge of globalization in the field of
criminology.

Specific Objectives

The BS Criminology program aims to:

1. Foster the values of leadership, integrity, accountability and responsibility while serving their
fellowmen, community and country.
2. Prepare the students for careers in crime prevention, law enforcement, scientific crime
detection and correctional administration;
3. Encouraged research and inquiry on the nature, causes, treatment or punishment of criminal
justice agencies respond to crime, criminals and victims.

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Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
 Parole and Probation
Administration (PPA) JOHN AUGUSTUS – “The father
Official Logo of probation in USA.”
Subject Code: Correctional Administration (CA) 2

Course Description: The course focuses on Presidential Decree 968, otherwise known as the
“Probation Law of 1976 as Amended, “establishing a probation system in the Philippines, its
historical background, philosophy, concepts and operation as a new correctional system,
investigation, selection and condition of probation, distinction between incarceration, parole,
probation and other forms of executive clemency, total involvement of probation in the
administration of the Criminal Justice System.

This course also treats the study of act 4103, as amended, otherwise known as the
“Indeterminate Sentence Law” that created the Board of Pardons and Parole, system of
releasing and recognizance, execution, clemency and pardon.

General Objectives: Upon completion of the course the students are expected to:
1. interpret the provisions of laws related to probation, parole and executive clemency;
2. explain fully the basic concepts, principles and philosophy of the Probation System as
well as parole and executive clemency;
3. describe the relationships of the probation administration with the other pillars of
criminal justice system;
4. recommend or provide solutions or problems involving probation investigation and
supervision;
5. discuss the operations of probation in the country;
6. apply learned concepts in their everyday life.

Student Name: __________________________________________________________________________

Address: _______________________________________________________________________________

3 Non-Institutional Correction Instructional Material

Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
 CHAPTER I
INTRODUCTION TO COMMUNITY BASED
CORRECTION PROGRAM
I. THE PRESENT PHILIPPINE
CHAPTER CONTENTS CORRECTIONAL SET-UP
1. The Present Philippine Correctional Set-
Up A. WHAT IS CORRECTION?
2. Community-Based Correction Programs Correction is the branch of the administration
in the Philippines of CJS charged with the responsibility for the
3. Advantage of Community Based custody, supervision and rehabilitation of
Correction Programs convicted offenders. It is also defined as the
4. The role of Community Corrections in STUDY OF JAIL OR PRISON MANAGEMENT
the Criminal Justice System AND ADMINISTRATION as well as the
5. Basic Principles Underlying the rehabilitation and reformation of criminals.
Philosophy of Community-Based Further, it is defined as a GENERIC TERM
Treatment Programs that includes all government agencies, facilities,
6. Subject coverage programs, procedures, personnel, and techniques
concerned with the investigation, intake, custody,
SPECIFIC OBJECTIVES confinement, supervision, or treatment of alleged
At the end of the chapter, students should be offenders.
able to:
1. define correction and identify its role as B. DUAL PURPOSE OF CORRECTIONS
component of criminal justice system. 1. To punish and
2. illustrate and understand the present 2. To rehabilitate the offender.
Philippine correctional set-up.
3. define community-based correction. C. THE CORRECTIONS AS A COMPONENT OF
4. differentiate and compare institutional CRIMINAL JUSTICE SYSTEM
correction to community-based Correction is the fourth pillar of the PCJS,
correction program. and identified as the weakest pillar. As a field of
5. identify the advantages of community- criminal justice administration, it utilizes the body
based correction program and explain of knowledge and practices of the government
its role in the criminal justice system. and the society in general involving the process
6. identify and justify the basic principles of handling individuals who have been convicted
underlying the philosophy of of offenses for purposes of crime prevention and
community based-treatment programs. control.
7. enumerates and differentiates the Among the five pillars of the criminal justice
forms of community-based correction system, corrections is the least heard, known or
program. understood society seems to have some
reluctance to look at it although its role in the
reformation and rehabilitation of offenders cannot
be overemphasized. Furthermore, jail
administration and control in our country is
distributed to at least, four agencies:
1. The BUREAU OF CONNECTIONS
(BUCOR), under the DOJ; which has
supervision over the national penitentiary
and its penal farms;
2. The BUREAU OF JAIL MANAGEMENT
AND PENOLOGY (BJMP), under the DILG;
which has the exclusive control over all

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Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
 city, municipal and district Jails overcrowded. To cushion the effect of congestion,
nationwide; two floating dormitories were constructed
3. The PROVINCIAL GOVERNMENTS, under to confine offenders therein; in 1995 or four
DILG; which supervise and control their years ago. Director General Keith Hamburger of
respective provincial and sub-provincial the Queensland services commission of Australia
Jails; and reported that congestion is also a problem in his
4. the DEPARTMENT OF SOCIAL country.
WELFARE AND DEVELOPMENT In January of 1994, in Manila, Ronald W.
(DSWD), which takes care of, among Nikkel, president of prison fellowship
others, youthful offenders entered in international who had toured some of the jails in
detention centers for juveniles, aside from the National Capital Region (NCR) and the New
these, Biliid Prisons of the Bureau of corrections in
Other agencies under this pillar are the: Municipal City observed and commented that in
(Community Based Correction) the 41 countries of the world he had traveled,
1. The Parole and Probation most have a problem on congestion. He added
Administration (PPA) under the that this problem is PREVALENT IN THIRD
Department of Justice (DOJ); and WORLD COUNTRIES.
2. The Board of Pardons and Parole also In our country, jail congestion, particularly in
under the Department of Justice. big cities and municipalities, has been a
PERENNIAL PROBLEM ever since. This problem,
NOTA BENE: There are also LOCK-UP JAILS to borrow a parallelism, is a sleeping giant.
under the Philippine National Police (PNP); this Unfortunately, for jail administrators and
fragmented administration of jails often creates personnel, the giant has taken up and is
confusion since many are not aware of this set- stretching its enormous arms and legs. OPLAN
up. DECONGESTION must be put in place to lay this
giant back to sleep.
Generally, corrections, as a component of the OPLAN DECONGESTION was formalized
system are responsible for: through the execution of a memorandum of
1. The MAINTENANCE of institution such as agreement on February 12, 1993. Among the
prisons, jails, halfway houses, and others. public attorney’s office, the parole and
2. The PROTECTION of law-abiding members probation administration, the Board of
of society by keeping convicted offenders Pardons and Parole which are all under the
from preying on society. Department of Justice, and the Bureau of Jail
3. The REFORMATION and rehabilitation of Management and Penology which is under the
offenders in preparation for their eventual Department of the Interior and local government.
reintegration to the mainstream of society The avowed PURPOSE of said agreement
and helping them lead a normal life after (MOA) was jail decongestion through
release. collective and cooperative efforts. Realizing
4. The DETERRENCE of crimes, experience in that all helps available must be harnessed to
prison and the fear of isolation and denial of effectively combat overcrowding or congestion in
liberty will influence inmates and potential jails, the said memorandum of agreement was
offenders to lead a life not in conflict or EXPANDED on August 17, 1993 with the
afoul with the law. inclusion of the National Prosecution
service or (NAPROS) as the fifth party
D. DECONGESTION OF JAILS thereto.
There are several laws, decrees and circulars True to its form, the MOA spreads up its intent
which we implement to decongest our jails. But through seminars. These offered opportunities to
before we discuss these, allow me to show you officials and personnel of the tasked agencies to
how congested our jails are as far as the national familiarize themselves with the mechanics of the
capital region is concerned. agreement, as well as to offer avenue to discuss
Jail congestion is not a recent phenomenon, various aspects of how jails are to be
nor is it confined in the Philippines alone. Jail decongested.
congestion is WORLDWIDE. Some industrialized
countries like the United States, experience it, let E. LAW AND DECREES USUALLY AVAILED OF
me cite a few examples: Rikkers Island in New TO DECONGEST JAILS
York is actually an island prison facility. It is

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Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
1. Presidential Decree No. 603, known as the moral record of prisoners to determine who
child and young welfare code, suspends shall be eligible for parole or conditional
sentence of minor offenders whose ages pardon.
range from nine (9) years to under eighteen
(18) years and place them in rehabilitation 10. Presidential Decree No. 968 July 24,
centers under the supervision of the 1976 is the Philippine Probation Law of 1976.
Department of Social Welfare and Probation is, of course, a very important
Development before they are released to the legal instrument that contributes to the
custody of their parents or to any responsible decongestion of Philippine jails.
person.
F. APPROACHES OF PHILIPPINE
2. Batas Pambansa Bilang 85, authorizes the CORRECTIONAL SYSTEM
release of a detainee who has undergone The Philippine Correctional System has
preventive imprisonment equivalent to the two approaches, and these are, the Community
maximum imposable sentence for the offense based and institution-based systems.
he is charged with’
1. The Institution-Based Approach-The
3. Article 96 of the Revised Penal Code, rehabilitation of offenders in jail or prison
provides that in meritorious cases, the The institution-based approaches has
commutation of the prisoner’s sentence three levels and are manned by three
through presidential action shall be upon the different government agencies responsible for
recommendation of the court which imposed the supervision and control of the numerous
the same; and ARTICLE 97, which provides institutional facilities nationwide which
that a prisoner shall be entitled to a deduction provide safekeeping and rehabilitation of
from his prison term for good conduct; and inmates, namely:
1. The national prisons and penal farms
4. DOJ Memorandum Circular no. 6 which under the Department of justice;
directs all wardens or anyone in-charge of 2. The provincial and sub-provincial jails
local jails to effect the immediate transfer of under the provincial government; and
national prisoners to the Bureau of 3. The City, Municipal and District Jails under
corrections. the Department of Interior and Local
Government.
5. Republic Act No. 9165- Comprehensive The Bureau of corrections, headed by a
Dangerous Drug Act of 2002 (July 4, non-uniformed director, under the department
2002) -1st time minor offender (probation) for of Justice, supervises and controls the national
use and possessions only. prisons and penal farms.

6. Republic Act No. 9344 – Juvenile & 2. Non-Institutional Correction or

Justice welfare Act of 2006 (May) Community-Based Approach- It refers to
correctional activities that may take place
7. Republic Act No. 6036, known as the within the community or the method of
release on recognizance law, provides for the correcting sentenced offenders without
release of offenders charged with an offense having to go to prison.
whose penalty is not more than six (6) months Not all convicted offenders have to serve
and/or a fine of Two Thousand pesos (2,000) their sentence behind bars. Some of them are
or both, to the custody of a responsible allowed to stay in the community, subject to
person in the community, instead of a bail the conditions imposed by the court.
bond; They are either granted probation, parole,
conditional pardon or recognizance. The
8. Republic Act No. 6127, fully deducts the parole and probation Administration under the
period of the offenders’ preventive detention Department of Justice is the government
from the sentence imposed by the courts; agency that supervises the activities of the
probationer, parolee and pardonee and
9. Republic Act No. 4103, as amended, monitors his compliance with conditions
creating the Board of Pardons and Parole imposed.
tasked to look into the physical, mental and

6 Non-Institutional Correction Instructional Material

Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
 What is a Community correction? rehabilitation services such as counseling,
It is a sanction in which offenders serve instruction in basic living skills, how to apply for
some or all their sentence in the community. It jobs, and work training and placement.
is sometimes referred to as non-institutional
corrections. The subfield of corrections in which
offenders are supervised and provided services
III. ADVANTAGES OF
outside jail or prison. COMMUNITY-BASED
DISTINCTION BETWEEN INSTITUTIONAL AND
CORRECTION
NON-INSTITUTIONAL CORRECTION 1. Family members need not be victims also
for the imprisonment of a member
Institutional Non-Institutional because the convict can still continue to
support his family.
That aspect of the That aspect of the
2. Rehabilitation will be more effective as the
correctional correctional
convict will not be exposed to hardened
enterprise that enterprise that
criminals in prisons who will only influence
involves the includes pardon,
him to a life of crime.
incarceration and probation, and
3. Rehabilitation can be monitored by the
rehabilitation of parole activities,
community thus corrections can be made
adults and juveniles correctional
and be more effective.
convicted of administration not
offenses against the directly connectable 4. It is less costly on the part of the
law, and the to institutions, and government. Cost of incarcerations will be
confinement of miscellaneous eliminated which is extremely beneficial
persons suspected (activity) not on the part of the government.
of a crime awaiting directly related to
trial and institutional care. IV. THE ROLE OF
adjudication.
COMMUNITY
II. COMMUNITY-BASED CORRECTIONS IN THE
CORRECTION PROGRAMS CRIMINAL JUSTICE
IN THE PHILIPPINES SYSTEM
The Community-Based Treatment Programs Community sentence seeks to repair the
are those programs that are intended to treat harm the offender has caused the victim or
criminal offenders within the free community as the Community, provide for public safety and
alternatives to confinement. It includes all rehabilitate and promote effective
correctional activities directly addressed to the reintegration.
offender and aimed at helping him to become a
law-abiding citizen. A community correction has traditionally
Community-based correction programs began emphasized REHABILITATION as its goal.
in the 1970s, 1980s, and 1990s. The programs The staff of community correctional programs
offer an alternative to incarceration within the has two potentially competing roles that
prison system. Many criminologists believed a reflect different goals:
significant number of offenders did not need a. Seeing that offenders comply with the
incarceration in high security prison cells. Some orders of community sentences.
inmates, who might otherwise have been ready b. Helping offenders identify and address
to turn away from a life of crime, instead became their problems and needs.
like the hardened criminals they associated with
in prison. V. BASIC PRINCIPLES
In response, states, counties, and cities
established local correctional facilities and UNDERLYING THE
programs that became known as community-
based corrections. These facilities, located in
PHILOSOPHY OF
neighborhoods, allowed offenders normal family COMMUNITY-BASED
relationships and friendships as well as
TREATMENT PROGRAMS
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Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
 The following are the basic principles 3. Restitution - In recent years it has
underlying the philosophy of community-based become increasingly common for
treatment programs: jurisdictions to include restitution orders
as part of probation.
1. Humanitarian Aspect - Imprisonment is Money paid or services provided to
not always advisable. Placing a person to victims, their survivors, or to the
custodial coercion is to place him in community by a convicted offender to
physical jeopardy, thus drastically make up for the injury inflicted.
narrowing his access to sources of
personal satisfaction and reducing his self- 4. Halfway houses - Community-based
esteem. residential facilities that are less secure
and restrictive than prison or jail but
2. Restorative Aspect - There are provide a more controlled environment
measures expected to be achieved by the than other community correctional
offender, such as an establishment of a programs.
position in the community in which he
does not violate the laws. These measures Goal of Halfway House: The goal of
may be directed at changing and halfway houses is to provide offenders
controlling the offender. The failure of the with a temporary period of highly
offender to achieve these can result to structured and supportive living so that
recidivism. they will be better prepared to function
independently in the community upon
3. Managerial Aspect - Managerial skills discharge.
are special importance because of the
sharp contrast between the per capital What is home Confinement? It is a
cost of custody and any kind of program that requires offenders to remain
community program. It is easier to in their homes except for approved
manage those undergoing community- periods of absence; commonly used in
based treatment programs than that of combination with electronic monitoring.
custodial control. Home confinement is also known as
home incarceration, home detention, and
house arrest.
VI. SUBJECT COVERAGE
1. Probation - One of the most common OTHER ASPECTS OF CORRECTIONS
forms of community correction is
probation. Probation can be thought of as 1. Parole - It is the process of suspending
a type of post-trial diversion from the sentence of a convict after having
incarceration. A term coined by John serve the minimum of his sentence
Augustus, from the Latin verb “probare”- without granting him pardon, and the
to prove, to test. prescribing term upon which the sentence
It is a disposition under which a shall be suspended.
defendant after conviction of an offense,
the penalty of which does not exceed 6
years of imprisonment, is released subject
to the conditions imposed by the releasing 2. Executive Clemency
court and under the supervision of a It shall refer to Absolute Pardon,
probation officer. Conditional Pardon with or without Parole
Furthermore, it is defined as a conditions and Commutation of Sentence
sentence in which the offender, rather as may be granted by the President of the
than being incarcerated, is retained in the Philippines upon the recommendation of
community under the supervision of a the Board of Pardon and Parole.
probation agency and required to abide by
certain rules and conditions to avoid a. Pardon It is a form of executive
incarceration. clemency granted by the President of
the Philippines as a privilege to a
2. Diversion – For juvenile offender or CICL convict as a discretionary act of grace.
It is an act of grace is extended to
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Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
 prisoners as a matter of right, vested within certain limits or conditions;
to the Chief Executive (The President) from the punishment that the law
as a matter of power. Neither the inflicts for the offense he has
legislative nor the judiciary branch of committed resulting in the partial
the government has the power to set extinction of his criminal liability.
conditions or establish procedures for
the exercise of this Presidential It is also granted by the
prerogative. The following are the two President of the Philippines to
types of pardon: release an inmate who has been
reformed but is not eligible to be
1. Absolute Pardon-It refers to the released on parole.
total extinction of the criminal
liability of the individual to whom it b. Amnesty - A general pardon extended to
is granted without any condition a group of persons, such a political
whatsoever and restores to the offender purposely to bring about the
individual his civil rights and remits return of dissidents to their home and to
the penalty imposed for the restore peace and order in the community.
particular offense of which he was
convicted. c. Commutation of Sentence - An act of
the president changing/ reducing a
Purpose: heavier sentence to a lighter one or a
a. To right a wrong longer term into a shorter term. It may
b. To normalize a alter death sentence to life sentence or
tumultuous political life sentence to a term of years. It does
situation. not forgive the offender but merely to
reduce the penalty pronounce by the
Absolute Pardon is also granted court.
by a President to an imprisoned
president the incumbent has d. Reprieve - A temporary stay of the
deposed. Absolute Pardon is execution of sentence especially the
granted in order to restore full execution of the death sentence.
political and civil rights to Generally, Reprieve is extended to
convicted persons who have prisoners sentenced to death.
already served their sentenced and
have reached the prescribed period The date of execution of sentenced is set
for the grant of Absolute Pardon. back several days to enable the Chief to
study the petition of the condemned man
2. Conditional Pardon-It refers to for commutation of sentenced or pardon.
the exemption of an individual,

CHAPTER II
THE NATURE OF PROBATION
IN THE PHILIPPINES
6. Problem Areas of the Probation Law
CHAPTER CONTENTS 7. Probation under PD No. 603 as
1. Introduction amended by RA 9344
2. Concept and Philosophy of Probation
3. Elements and Characteristics of SPECIFIC OBJECTIVES
Probation At the end of the lesson, students should be
4. Objectives, Purpose and Characteristics able to:
of Probation 1. define probation and other related
5. Advantages, Benefits and Savings of terms.
Probation 2. justify the importance of probation.

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Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
 3. understand the concept and philosophy 6. It is economical or less costly than
of probation system. confinement to prisons and other
4. identify the elements and characteristic institutions with rehabilitation programs.
of probation. To provide a less costly alternative to the
5. identify the objectives and purpose of imprisonment of first-time offenders, then
probation. President Ferdinand E. Marcos issued on July 24,
6. list the advantages, benefits and 1976 Presidential Decree No. 968 known as
savings of probation system. the Probation Law of 1976. Under PD 968, the
7. identify the problem areas of the court may, after it shall have convicted and
probation law. sentenced an accused and upon application of
said accused, suspend the execution of said
8. differentiates probation under PD No.
sentence and place the accused on probation for
968 and PD No. 603 as amended by RA
such period and upon such terms and conditions
9344.
as it may deem best. First-time offenders were
given a second chance to maintain their place in
society through a process of reformation, which is
I. INTRODUCTION better achieved when he is not mixed with
hardened criminals within prison walls.
Most correctional authorities believed that
probation is one of the most effective and PROBATION DEFINE
economical tools which society now has available The word probation is from the Latin word
for the care, treatment and rehabilitation of “probatio” which means testing. the word
certain adult and juvenile offenders against the probation is also said to be originated from the
law. Probation is a procedure wherein a sentence Latin verb “probare” which means to prove.
of offender is temporarily suspended and he is In criminal law it is a period of supervision
permitted to remain in the community, subject to over an offender, ordered by a court instead of
the control of the court and under the supervision serving time in prison.
and guidance of a probation officer. It is a In the case of Frad v. Kelly, "Probation is a
privilege granted by the court to a person system of tutelage under the supervision and
convicted of a crime or criminal offense to remain control of the court which has jurisdiction over
with the community instead of actually going to the convicted defendant, has the record of his
prison. conviction and sentence, the records and reports
Presidential Decree No. 968 otherwise known as to his compliance with the conditions of his
as the Probation Law of 1976 recognizes such probation, and the aid of the local probation
trend. However, the Decree separates adult officer, under whose supervision the defendant is
probation from juvenile probation for it expressly placed." It consists of the conditional suspension
excludes those entitled to the benefits under the of punishment while the offender is placed under
provisions of Presidential Decree No. 603, known personal supervision and is given individual
as the Child and Youth Welfare Code, and similar guidance or treatment.
laws. The Philippine Probation Law of 1976, as
Statements of the principles, goals and enacted by Presidential Decree No. 968, defines
objectives of the Probation Law are found in its probation as, "a disposition under which a
Preamble. The Preamble indicates six essential defendant, after conviction and sentence, is
goals, to wit: released subject to conditions imposed by
1. An enlightened and humane correctional the court and to the supervision of a
system; probation officer." This decree will take effect
2. The reformation of offenders; on January 2, 1978.
3. The reduction of the incidence of
recidivism; TERMS TO PONDER
4. To extend to offenders individualized and As used in Section 3 of PD 968 and
community-based treatment programs Section 4 of Parole and probation
instead of in1prisonment; administration omnibus rules on probation
5. It is limited only to offenders who are methods and procedure. The following shall,
likely to respond to probation favorably; unless the context otherwise requires, be
and construed thus:
1. Amicus Curiae – Means friend of the
court
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Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
 2. Absconding Petitioner- a convicted 16. Volunteerism - is a strategy by which the
accused whose application for probation parole and probation administration may
has been given due course by the court be able to generate maximum citizen
but fails to report to the parole and participation or community involvement in
probation office or cannot be the overall process of client rehabilitation.
located within a reasonable period of time.
3. Absconding Probationer- an accused
whose probation was granted but failed to
II. CONCEPT AND
report for supervision within the period PHILOSOPHY OF
ordered by the court or a probationer who
fails to continue reporting for supervision PROBATION
and/or whose whereabouts are unknown
for a reasonable period of time. A. CONCEPT OF PROBATION
4. Defense Counsel/Counsel- lawyer of the P.D 968 as amended, otherwise known as the
petitioner probation law of 1976 defines probation. The
5. Petition- application for probation. court convicts and sentences the defendant but
6. Petitioner - a convicted defendant who the execution of the sentence, whether it
files an application for probation. imposes a fine only or a term of imprisonment is
7. Probationer - means a person placed on suspended and the defendant is released on
probation. probation. Probation implies that during the
8. Probation- is a disposition under which a period of time fixed by the court, the defendant is
defendant, after conviction and sentence, provided with individualized community-based
is released subject to conditions imposed treatment including conditions he is required by
by the court and to the supervision of a the court to fulfill his correction and rehabilitation
probation officer. which might be less probable if he were to serve
9. Probation Investigation - The process a prison sentence, and for this purpose, he is
of selection, diagnoses and planning with placed under the actual supervision and visitation
the client. of a probation officer.
10. Probation Supervision- The continuous If the defendant violates any of the conditions
process of helping the client to follow of his probation, the court may revoke his
through with the plans, reevaluation and probation and order him to serve the sentence
working with the client in the process of originally imposed. On the other hand, if he fulfills
planning his life to meet dynamic with the terms and conditions of his probation, he
situation. shall be discharge by the court after the period of
11. Probation Officer - public officer like the probation, where upon the case against him shall
Chief Probation and Parole Officer (CPPO), be deemed terminated. His final discharged shall
Supervising Probation and Parole Officer operate to restore to him all civil rights lost or
(SPPO), Senior Probation and Parole suspended as result of his conviction and to fully
Officer (SrPPO), Parole and Probation discharge his liability for any fine imposed as to
Officer II (PPOII), or Parole and Probation the offense for which probation was granted.
Officer I (PPOI), who investigates for the However, he shall continue to be obliged to
Trial Court a referral for probation or satisfy liability resulting from the crime
supervises a probationer or does both committed by him.
functions and performs other necessary The basic legal conceptions of probation in
and related duties and functions as the Decree are twofold: First, it as a
directed. conditional suspension of the execution of
12. Probation Office - refers either to the sentence - It denotes that the court assumes a
Provincial or City Probation Office directed primary role because a grant of probation is
to conduct investigation or supervision judicially dispensed and controlled. Second it is a
referrals as the case may be; personal care or treatment and supervision
13. Probation Order - order of the trial court over the probationer - It indicates the
granting probation administrative aspect of probation through the
14. Prosecutor- lawyer of the victim. supervision of a probation officer and from the
15. Trial Court - refers to the Regional Trial point of view of social workers, a social casework
Court (RTC) of the Province or treatment.
City/Municipal Court which has jurisdiction
over the case. PROBATION IS A COURT FUNCTION

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Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
 In the Probation Law, the court assumes a purpose of the report is to assist the court in
dual role. First, when it acts in accordance with determining whether or not the ends of justice
the jurisdiction it acquires over the accused and and the best interest of the public as well as that
proceeds to determine his guilt. Assuming an of the defendant will be served thereby.
affirmative finding of the offender's guilt beyond The recommendation contained in the report
reasonable doubt, the court would convict and is merely persuasive and is in no way binding
sentence said offender. Second, when the court upon the court. Considering the foregoing and
determines whether or not to grant probation compliance therewith, the court will promulgate a
upon application of the offender. Sections 3(a) probation order. Probation is a privilege and, as
and 4 of the Decree clearly shows this dichotomy. such, its grant rests solely upon the discretion of
The Decree defines probation in Section 3 as the court. The grant of probation results in the
"a disposition under which the defendant, after release of the petitioner subject to the terms and
conviction and sentence, is released subject to conditions imposed by the court, and to the
the conditions imposed by the court and to the supervision of the Probation Office.33 As to the
supervision of a probation officer. It is evident conditions to be imposed by the court, they are
from this provision that an offender will be enumerated in Section 10 of the Presidential
released on probation only after conviction and Decree No. 968.
sentence. Furthermore, Section 4 underlines the The jurisdiction and control of the court which
necessity of filing an application with the trial arises from an imposed sentence, remains with
court before the suspension of the execution of the court even after a grant of probation. This is
the court's judgment. The petition for probation evident in Sections 32 and 40 of the Rules on
may be filed by a petitioner directly with the trial Probation Methods and Procedures. Section 32
court which exercises jurisdiction over his case. If provides: "During the period of probation the
the court finds that the petition is in due form and court, motu proprio, or on motion of the
that the petitioner is not disqualified from the probation officer or of the probationer, may revise
grant of probation it shall refer the same to the or modify the conditions or terms of the probation
Provincial or City Probation Officer within its order." In case of violation of the terms and
jurisdiction as the case may be. The court shall conditions imposed by the court, Section 40
order the Provincial or City Probation Office to provides "if the violation is established, the court
conduct a post-sentence investigation of the may revoke or continue his probation and modify
petitioner. Only upon the filing of an application the conditions thereof. If revoked, the court shall
for probation after conviction and sentence and a order the probationer to serve the sentence
determination that the offender does not fall originally imposed and shall commit the
under any of the disqualifications set forth in the probationer." This power of the court underlines
Decree may the court suspend the execution of the non-punitive and non-repressive aspect of
sentence. probation. Such constitutes a sufficient threat to
The Post-Sentence Investigation is an the probationer to fulfill all terms and conditions
indispensable requisite to a grant of probation. imposed by the court.
The Probation Law provides: "No person shall
be placed on probation except upon prior PROBATION IS A ADMINISTRATIVE PROCESS
investigation by the probation officer and a Once the court has granted probation to an
determination by the court that the ends of offender and has duly imposed the terms and
justice and the best interest of the public as conditions of the probation, the probation officer
well as that of the defendant will be served has the bounden duty to see to it that the
thereby." probationer observes all terms and conditions
The scope of the investigation must be imposed by the court. Probation supervision is
consistent with the purposes of probation. In then a primarily an administrative process.
general, it is a fact-finding inquiry into all The primary purposes of probation
information relative to the character, supervision are:
antecedents, environment, mental and physical (a) To carry out the conditions set forth in the
condition of the offender, and available probation order;
institutional and community resources. (b) To ascertain whether the probationer is
Upon the termination of the Post-Sentence following said conditions; and
Investigation, the probation officer shall submit to (c) To bring about the rehabilitation of the
the court the investigation report on a defendant probationer and his reintegration into the
not later than sixty days from receipt of the order community.
of said court to conduct the investigation. The
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 To carry out these purposes the Probation 5. The basic idea underlying a sentence to
Law upon its approval carried with it the probation is very simple. Sentencing is in
establishment of a Probation Administration an large part concerned with avoiding future
agency under the Department of Justice, which crimes by helping the defendant learn to
shall exercise general supervision over all live productively in the community which
probationers. The Administration shall have he has offended;
regional offices organized in accordance with the 6. This is of course not to say that probation
field service area pattern established under the should be used in all cases, or it will
Integrated Reorganization Plan. There shall be at always produce better results. There are
least one probation officer in each province and many goals of sentencing some of which
city who shall be appointed by the Secretary of in given case may require the imposition
Justice upon recommendation of the of a sentence to imprisonment even in the
Administrator and in accordance with civil service face of a conclusion that the probation is
law and rules. more likely to assure that the public that
At this juncture, it is to be emphasized that in the particular defendant will not offend
spite of the fact that the Probation Administration again.
is an executive agency, control of the courts over 7. By the same token however, it can be said
the probationer is not lost. The basis for such is that probation is a good bit more than the
the first paragraph of Section 13 of the Decree “matter of grace” or “leniency” which
which provides that "the probationer and his characterizes the philosophy of the
probation program shall be under the control of general public and of many Judges and
the court who placed him on probation subject to legislators on the subjects. Probation is an
actual supervision and visitation by a probation affirmative correction too, a tool which is
officer." used not because is maximum benefits to
the defendant, but society which is sought
A. PHILOSOPHY OF PROBATION to be served by the sentencing criminals;
The Probation adheres to the following 8. An adequate correctional system will place
philosophy: great reliance on appropriately funded and
1. There is no single cause for delinquent manned probation services. Within such
behavior. Human beings are extremely context probation services. Within such
complicated. It is not possible to trace context probation can lead to significant
complex pattern of Human behavior to improvement in the preventive effects of
any single cause; the criminal law, at much less of a
2. Delinquent and criminal acts are financial burden than the more typical
symptoms. The offender against our law is prison sentence;
exhibiting a symptom of social or 9. Imprisonment as a sole cure for
psychological disturbance, just as a prevalence of Crime is no Longer
headache is a symptom of a physical recognized. Prisons are in themselves
disturbance. This means that the juvenile often productive of crime and Destructive
delinquent or adult offender is in need of of the keepers as well as kept
treatment. The job of Probation 10. It is generally concealed that probation a
Administration is to find out what the matter of privilege to be granted refused
problems are beneath the symptom and to at discretion of the State. The applicant
recommend appropriate treatment plans; has already been convicted and sentenced
3. That the individual has the ability to by the court and it is only the mercy of
change and modify his anti-social behavior that he may be given probation;
with the right kind of help; 11. No violation of probation conditions should
4. The central goal of probation result in automatic revocation;
Administration is to enhance the safety of 12. No physical would undertake to prescribe
the community by reducing the incidence treatment for sick man unless he has
of Criminal acts by person previously report of his ailment and condition
convicted. The goal is to achieve through (diagnosis), a judge should not pass
counseling, guidance, assistance, judgment on a man without post-sentence
surveillance and restraint of the offender investigation report.
to enable their reintegration into society
as law abiding and productive members;

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III. ELEMENTS AND The following are the fundamental objectives
of a Probation Agency
CHARACTERISTICS OF 1. Assist the court in matters pertaining to
sentencing
PROBATION 2. Promote community protection by
supervising and monitoring the activities
A. ELEMENTS OF PROBATION of persons on probation
3. Promote the betterment of offenders by
a. FOUR (4) ESSENTIAL ELEMENTS OF ensuring that they receive appropriate
PROBATION rehabilitation services
1. A post sentence investigation report
which will serve as the informational B. THE PURPOSE OF THE PROBATION LAW
for the court’s decision to grant or The purpose of the Probation Law as stated in
deny probation. Section 2 thereof reiterates the above-mentioned
2. The conditional suspension of characteristics and vests in them the mandate of
execution of sentence by the court. law. It provides that the purpose of the Decree is
3. Condition of probation imposed by the to:
court to protect public safety and to 1. Promote the correction and rehabilitation
faster the rehabilitation and of an offender by providing him with
reformation of the probationer. individualized treatment;
4. Supervision, guidance and assistance 2. provide an opportunity for the reformation
of the offender by a probation officer. of a penitent offender which might be less
probable if he were to serve a prison
b. ESSENTIAL ELEMENTS OF THE sentence; and
PROBATION SYSTEM UNDER 3. Prevent the commission of offenses.
PRESIDENTIAL DECREE NO. 968
The following are the essential
elements of the probation system under V. ADVANTAGES,
Presidential Decree No. 968: BENEFITS AND SAVINGS
1. Probation is a single or one-time"
affair. OF PROBATION
2. Probation system is highly selective.
3. Persons under probation retain their A. ADVANTAGES OF PROBATION
civil rights, like the right to vote, or The implementation of the Probation Law will
practice one's profession, or exercise confer benefits and advantages not only to
parental or marital authority. society in general but more soon the part of the
offender and the government. Specifically, the
B. CHARACTERISTICS OF PROBATION following are the advantage of probation:
1. More enlightened and humane 1. Probation prevents crime by offering
correctional treatment. freedom and aid only to those who are not
2. It aims to promote the reformation of the likely to assault society again.
offenders. 2. It protects the society by placing under
3. It reduces the incidence of recidivism. close supervision non-dangerous offenders
4. It extends to offenders individualized and while undergoing treatment and
community-based treatment programs rehabilitation in the community.
instead of imprisoning them. 3. It conforms the modern humanistic trends
5. It is limited to offenders who are likely to in Penology.
respond favorably there to. 4. It prevents youthful of first-time offenders
6. It is less costly than the confinement of all from turning into hardened criminals.
offenders in prisons. 5. It is a measure of cutting enormous
expends in maintaining jails.
IV. OBJECTIVES AND 6. It reduces recidivism and overcrowding of
jails and prisons.
PURPOSE OF PROBATION 7. It reduces the burden of police forces and
institution in feeding and guarding
A. OBJECTIVES OF PROBATION detainees.

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 8. It gives the first and light offenders a 2. This means savings of Php 30,000.00
second chance in life. when 10,000 of 40,000 offenders are on
9. It makes the offender productive or probation annually. It is expected that at
taxpayers instead of tax eaters. least one third of the prisons and jail
10. It restores to successful probationers his population in the country would benefit
civil rights which was previously lost or from probation.
suspended as a result of conviction. 3. The average per capita income of a
11. It has been proven effective in developing Filipino in 2003 according to the National
countries that have adopted it. Statistics and Coordination Board (NSCB)
12. It is advocated by the United Nations in its was Php 30,703.00. It means that when
various congresses in crime prevention 10,000 probationers are making a living,
and treatment of offenders they will produce Php 307,030,000.00 in
goods and service annually. A part of this
B. BENEFITS OF PROBATION goes to the government in forms of taxes.
Probation has the following benefits: Indeed, detention makes tax eaters while
1. It protects society probation makes TAX PAYERS.
a. from the excessive cost of detention 4. The cost of constructing and preparing
b. from the high rate of recidivism of prisons and jails is enormous which would
detained offender run to at least Php10,000,000 annually in
order to accommodate 40,000 offenders.
2. It protects the victim 5. The probation system saves the
a. it provides restitution government a total of Php 4.678 billion in
b. it preserves justice terms of prisoners’ maintenance in jails
and prisons all over the country.
3. It protects the family 6. Philippine Probation System adheres to
a. it does not deprive the wife and the concept of Restorative Justice. Thus, a
children of husband and father total of Php 137.923 million has been paid
b. it maintains the unity of a home to clients’ victims and/or their heirs
7. The biggest savings of probation aside
4. It assists the government from money are, however, in the forms of
a. it reduces the population of prisons human resources, dignity, time and
and jail opportunity for development, which are
b. it lessens the clogging of courts most needed by our society.
c. it lightens the load of prosecutors

5. It helps the offender

a. it maintains his earning power
VI. PROBLEM AREAS OF
b. it provides rehabilitation in the THE PROBATION LAW
community
c. it restores his dignity 1. Presidential Decree No. 968 will cover
civilians tried and convicted by military
6. It justifies the philosophy of men tribunals. Section 1 provides: "it shall
a. that life is sacred apply to all offenders except those
b. that all men deserve a second chance entitled to the benefits under the
c. that and individual can change provisions of Presidential Decree No.
d. that society has the moral obligation to 603 and similar laws." Section 9 on
lift the fallen disqualified offenders does not include those
convicted by military tribunals.
C. SAVINGS OF PROBATION
The following are the savings of probation: What are the "similar laws" referred to
1. Probation is one tenth the cost of in Section 1? Two can readily be mentioned-
detention. As illustrated, the per capita The Dangerous Drugs Act of 1972 and the
cost of maintaining one offender in the Articles of War.
Philippines is estimated at Php 11,000.00
annually, while it costs only Php 300.00 to 2. The cut-off points at six years
maintain one offender on probation. imprisonment for extending the benefits of

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“This is for criminological purposes and therefore not for sale”
 probation refers to the sentence actually commitment of the defendant to prison
imposed, not that prescribed by law for the for the service of his sentence, and not
offense committed. thereafter. The defendant may apply for
probation in case of appeal from a judgment
3. The probation law does not disqualify of conviction. He may apply for probation as
one who has been convicted of an long as he has not begun serving his
offense penalized by DESTIERRO, such as sentence, and obviously this does not happen
that of killing or inflicting serious physical if the sentence has not become final and
injuries under the exceptional circumstances executory, such as during the pendency of an
in Article 247 of the Revised Penal Code or appeal.
concubinage insofar as the concubine is
concerned in Article 334, of the same. Unlike 6. The rule of automatic withdrawal of
Section 9(a), Section 9(c) has reference to the pending appeal applies in case the
penalty imposed by law. application for probation is made when
the appellate court has already rendered
Under Section 9(d), one who has been on its decision, there being no indication in the
probation only under the Juvenile Delinquency probation law to the contrary, and the
Act of 1924, Article 80 of the Revised Penal operation of such rule being in accordance
Code, or the Child and Youth Welfare Code with the maxim that laws should be liberally
will not be disqualified. construed in favor of the accused.

Under disqualification (e), those who will 7. The application for probation may be in
serve sentence after the substantive any form, whether written or oral. While
provisions of the Decree shall become Section 4 of the Decree states that the
operative will be permitted to do so, application shall be filed with the court, this
according to one view. The reason given is does not necessarily mean that it should be in
that otherwise it would have been writing, even if a written form would definitely
unnecessary for the law to specify the time at be more convenient to the court. A liberal
which the offender concerned should be construction of the law beneficial to the
serving his sentence. Another view, however, accused would not consider the use of the
points to the principle of separation of term 'filed' by the law, as impliedly requiring a
powers. written form.

4. Probation, it is argued, as laid out by the 8. Defendant is not entitled as a matter of

Decree is primarily a judicial function, right to the assistance of counsel in the
while the service or execution of sentence is investigation. The probation law does not
an executive one. When the convict is have a provision guaranteeing the right to
delivered to the hands of the prison counsel in such investigation. The
authorities, to subsequently allow the constitutional guarantee that in all criminal
judiciary to reach him by suspending the prosecutions the accused shall enjoy the right
further service of his sentence and placing to be heard by himself and counsel and that
him on probation would constitute an any person under investigation for the
intrusion into the prerogatives of the commission of an offense shall have the right
executive to whom belongs the exclusive to counsel would not seem to apply because
power to grant reprieves, commutations and the investigation by the probation officer is
pardons and remit fines and forfeitures. neither prosecutory nor accusatory in
character. It is merely a fact-finding inquiry.
Therefore, according to this view,
offenders who are already serving 9. Neither is the constitutional guarantee
sentence, no matter when they start or against self-incrimination that no person
may be found to be serving sentence, shall be compelled to be a witness
are NOT qualified for the benefits of the against himself, available in the
Decree. investigation. The said guarantee does not
depend upon the nature of the proceedings in
5. It cannot be made at any time after which it is invoked, of course, and it may be
conviction and sentence, but rather availed of as long as the questions objected to
extends only up to the actual would incriminate the person who 'is asked to
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“This is for criminological purposes and therefore not for sale”
 answer the same. But it is an established not a mode of discharging the civil liability,
doctrine that where the answer to a question, which is owed not to the State but to the
however self-incriminating, may not be used offended party. The sentence, which is
as evidence of criminal liability of the suspended from execution, means only the
respondent because there is a law prohibiting imposition of the criminal penalties, not the
its use for that purpose, then the privilege civil liability. If it were otherwise, the offended
against self-incrimination may not be validly party would have to file a separate civil action
invoked to justify refusal to answer the thereby creating multiplicity of suits, contrary
question. Section 17 of the Probation Law to public policy. In fact, civil indemnification
provides that the investigation report and the might be imposed as a condition for probation
supervision history of the probationer under Section 10 (k) of the Probation Law.
obtained under this decree shall be privileged, Indeed, under Article 112 in relation to Article
i.e., it may not legally be used as· evidence of 113, of the Revised Penal Code, except in
liability. case of extinction of his civil liability in
accordance with the provisions of the civil
We raise one question, though. The same law, the offender shall continue to be obliged
Section 17 itself provides that "the to satisfy the civil liability resulting from the
investigation report and the supervision crime committed by him, even if he has
history x x x shall be privileged and shall served his sentence consisting of deprivation
not be disclosed directly or indirectly to of liberty or other rights, or has not been
anyone other than the Probation required to serve the same by reason of
Administration or the court concerned x amnesty, pardon, commutation of service, or
x x." If the defendant cannot invoke the any other reason.
privilege against self-incrimination during the
investigation, would not the incriminating
answers given prejudice the court in deciding
VII. PROBATION UNDER PD
whether it will grant probation or not? NO. 603 AS AMENDED BY
10.Pending submission of the investigation REPUBLIC ACT NO. 9344
report and the resolution of the petition The Presidential Decree (PD) 603 is known as
for probation, the defendant may be the Child and Youth Welfare Code. The Decree
allowed on temporary liberty under his was signed by his Excellency President Ferdinand
bail filed in the criminal case, or on Marcos on December 10, 1974 and took effect on
recognizance. June 10, 1975. It provides for the grant of
probation to youthful offender as an alternative
11.While the grant or denial of probation is to imprisonment. It is considered as the second
not appealable, certiorari will lie, under probation law of the Philippines which is intended
the general law on certiorari. This is not only for minors.
appeal for he does not question the findings Presidential Decree No. 603 applies to
of fact of the trial court but only the youthful offenders. It suspends the sentence of
reasonableness of the order based thereon minor offenders whose ages range from 9 years
and adequate remedy in the ordinary course old but not more than 21 years old (now 18) the
of law, a person aggrieved thereby may file a time of the commission of the offense and places
verified petition in the proper, court alleging them to rehabilitation center. It states, "if after
the facts with certainty and praying that hearing the evidence in the proper
judgment be rendered annulling or modifying proceedings, the court should find that the
the proceeding as the law requires of such youthful offender has committed the acts
tribunal, board or officer. The petition shall be charged against him, the court shall
accompanied by a certified true copy of the determine the imposable penalty, including
judgment or order subject thereof, together any civil liability chargeable against him.
with copies of all pleadings and documents However, instead of pronouncing judgment of
relevant and pertinent thereto. conviction, the court shall suspend further
proceedings and shall commit such minor to the
12.The grant of probation does not erase, custody or care of the Department of Social
modify of otherwise affect the offender's Welfare, or to any training institution operated by
CIVIL LIABILITY. Probation is a substitute for the government, or duly licensed agencies or any
imprisonment and other criminal penalties, other responsible person, until he shall have

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reached 21 years of age (now 18), or for a shorter offender as an adult, except when beneficial for
period as the court may deem proper. the offender and upon his/her written consent.
A person who has been in conflict with the law
NOTA BENE: The age of minority is lowered from as a child shall not be held under any provision of
21 to 18 years old. law, to be guilty of perjury or of concealment or
misrepresentation by reason of his/her failure to
RELATED PROVISIONS UNDER REPUBLIC ACT acknowledge the case or recite any fact related
NO. 9344 thereto in response to any inquiry made to
him/her for any purpose.
Sec. 5 of Republic act No. 9344: Rights of
the Child in Conflict with the Law. - Every Sec. 67 of Republic act No. 9344: Children
child in conflict with the law shall have the Who Reach the Age of Eighteen (18) Years
following rights, including but not limited to: Pending Diversion and Court Proceedings. -
xxx If a child reaches the age of eighteen (18) years
(m) the right to probation as an pending diversion and court proceedings, the
alternative to imprisonment, if qualified appropriate diversion authority in consultation
under the Probation Law; xxx with the local social welfare and development
officer or the Family Court in consultation with
Sec. 42 of Republic act No. 9344: Probation the Social Services and Counseling Division
as an Alternative to Imprisonment. - The (SSCD) of the Supreme Court, as the case may
court may, after it shall have convicted and be, shall determine the appropriate disposition. In
sentenced a child in conflict with the law, and case the appropriate court executes the
upon application at any time, place the child on judgment of conviction, and unless the child in
probation in lieu of service of his/her sentence conflict the law has already availed of probation
taking into account the best interest of the child. under Presidential Decree No. 603 or other
For this purpose, Section 4 of Presidential Decree similar laws, the child may apply for probation if
No. 968, otherwise known as the "Probation Law qualified under the provisions of the Probation
of 1976", is hereby amended accordingly. Law.

Sec. 43 of Republic act No. 9344:

Confidentiality of Records and
Proceedings. - All records and proceedings
involving children in conflict with the law from
initial contact until final disposition of the case
shall be considered privileged and confidential.
The public shall be excluded during the DISTINCTION BETWEEN PROBATION UNDER
proceedings and the records shall not be PRESIDENTIAL DECREE NO. 603 AND UNDER
disclosed directly or indirectly to anyone by any PRESIDENTIAL DECREE NO. 968.
of the parties or the participants in the Presidential Decree Presidential Decree
proceedings for any purpose whatsoever, No. 603 No. 968
EXCEPT to determine if the child in conflict
with the law may have his/her sentence Under Presidential Under Presidential
suspended or if he/she may be granted Decree No. 603 the Decree No. 968, the
probation under the Probation Law, or to youthful offender is offender is convicted
enforce the civil liability imposed in the neither convicted nor and sentenced. Section
criminal action. sentenced although 3 defines probation as
The component authorities shall undertake all the court finding him a disposition under
measures to protect this confidentiality of guilty determines the which a defendant,
proceedings, including non-disclosure of records imposable penalty after conviction and
to the media, maintaining a separate police and orders his sentence, is released
blotter for cases involving children in conflict with commitment as a subject to conditions
the law and adopting a system of coding to matter of course to imposed by the court
conceal material information which will lead to any of the trustees and to the supervision
the child's identity. Records of a child in conflict for his correction and of a probation officer.
with the law shall not be used in subsequent rehabilitation, even The probationer is not
proceedings for cases involving the same without his asking for committed to any

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 it and without any institution but is set
prior investigation. free under the
constructive custody of
the court which heard
his application for
probation. Section 4 of
the Probation Decree
requires that
defendant should apply
for probation.

CHAPTER III
THE HISTORICAL DEVELOPMENT
OF PROBATION
[

3. Basic differences between P.D. No. 968

CHAPTER CONTENTS and Act No. 4221
1. Introduction 4. Forerunners of Probation
2. Historical Development of Probation 5. The probation law and its amendment

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 sentence indefinitely. This decision led to the
SPECIFIC OBJECTIVES passing of the National Probation Act of 1925,
At the end of the lesson, students should be thereby, allowing courts to suspend the
able to: imposition of incarceration and place an offender
1. understand, summarize and discuss the on probation. Probation developed from the
historical development of probation efforts of a philanthropist, John Augustus, who
particularly in England, United States looked for ways to rehabilitate the behavior of
and Philippines. criminals.
2. name the personalities and recognized Massachusetts developed the first state-wide
their contribution to the development probation system in 1880, and by 1920, 21 other
of probation. states had followed suit. With the passage of the
3. understand, digest and discuss the National Probation Act on March 5, 1925, signed
ruling of the Supreme Court in the case by President Calvin Coolidge, the U.S. Federal
of People vs. Vera. Probation Service was established. On the state
4. differentiates P.D. 968 to Act no. 4221. level, pursuant to the Crime Control and Consent
5. identify and discus the forerunners of Act of 1936, a group of states entered into an
probation. agreement wherein they would supervise
6. understand, summarize and explain probationers and parolees who reside in each
amendments to P.D. 968. other's jurisdictions on each other's behalf.
Known as the Interstate Compact for the
Supervision of Parolees and Probationers, this
agreement was originally signed by 25 states in
I. INTRODUCTION 1937.
The concept of probation, from the Latin, By 1951, all the states in the United States of
probatio, "testing," has historical roots in the America had a working probation system and
practice of judicial reprieve. ratified the Interstate Compact Agreement. In
In English common law, prior to the advent of 1959, the new states of Alaska and Hawaii, the
democratic rule, the courts could temporarily Commonwealth of Puerto Rico, and the territories
suspend the execution of a sentence to allow a of the Virgin Islands, Guam, and American Samoa
criminal defendant to appeal to the monarch for a ratified the act as well.
pardon. Probation first developed in the United
States when John Augustus, a Boston cobbler, II. HISTORICAL
persuaded a judge in the Boston police court in
1841 to give him custody of a convicted offender, DEVELOPMENT OF
a "drunkard," for a brief period and then helped PROBATION
the man to appear rehabilitated by the time of
sentencing.
Even earlier, the practice of suspending a A. HISTORICAL DEVELOPMENT OF
sentence was used as early as 1830 in Boston, PROBATION IN ENGLAND
Massachusetts, and became widespread in U.S. Early in the 19th century the English
courts, although there was no statutory provision magistrates-initiated experiments to save young
for such a practice. and inexperienced offenders from stigma of
At first, judges, most notably Peter prison. They made use of the latitude allowed
Oxenbridge Thatcher of Boston, used "release then under the common law to bind over
on recognizance" or bail and simply refrained defendants, who should be brought back for
from taking any further action. In 1878 the mayor sentence if the conditions of release were
of Boston hired a former police officer, the violated.
ironically named "Captain Savage," to become The need for supervision and assistance to
what many recognize as the first official those so released was met by assigning the
probation officer. By the mid-19th century, young offender to the care and guardianship of
however, many Federal Courts were using a his parents or his employer with an occasional
judicial reprieve to suspend sentence, and this check on his progress by the police.
posed a legal question.
In 1916, the United States Supreme Court, in WHO IS MATHEW DAVENPORT HILL?
the Killets Decision, held that a Federal Judge Mathew Davenport Hill is considered the
(Killets) was without power to suspend a father of probation in England. He left an

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interesting account of his experiments in the Massachusetts law were incorporated, with
Birmingham court. He was in the forefront of several innovations since followed elsewhere.
reforming juvenile offenders. He finds persons Vermont was the first to adopt a county plan.
who act as guardians of the juvenile offender.
Then at an unexpected period, the confidential The third state to enact a real probation law is
officer visits the guardian, makes inquiries and Rhode Island. A complete state-administered
keeps notes of information received. probation system appeared first in Rhode Island.
He conducted his experiment in the The Act of 1899 empowered the board of state
Birmingham Court. Beginning in the early years charities and corrections to appoint a state
of 1481, he acted for and in behalf of juvenile probation officer and additional probation
offenders, when he believes: officers, “one of whom at least shall be a
1. The individual is not fully corrupt woman,” to serve all courts in the state. The Act
2. There was reasonable hope of reformation followed Massachusetts in permitting the use of
3. When there could be found persons to act probation before the imposition of sentence and
As guardian they are kind enough to take even without conviction but the limitation of
charge of the young convict. In the belief that probation to less serious offenses was an
there is better hope for reformation under such unfortunate departure from the laws of
guardians than in prison. Massachusetts and Vermont.
At unexpected period, confidential officers
visit the guardians, make inquiries and register Success of probation became known in other
facts. He was thus informed and records were English-speaking countries. Illinois and Minnesota
kept. in 1899 Plan for children only. New Jersey and
New York enacted probation law in 1900.
B. HISTORICAL DEVELOPMENT OF
PROBATION IN UNITED STATES Finally, on March 4, 1925 the UNITED
The first state to enact a real probation law in STATES FEDERAL PROBATION ACT was
United States is Massachusetts. The first enacted.
practical demonstration of probation, first use of
the term as court service, and the enactment of WHO IS JOHN AUGUSTUS?
the first probation law occurred in Massachusetts.
John Augustus is the father of probation in the
Volunteer services evolved in Maryland. The USA. He is a Boston shoemaker, first to develop a
prisoners Aid Association of Maryland, organized sustained service to promote temperance and to
in 1869, employed agents to visit the prison and reclaim drunkards. Although later he begun to
assist released prisoners and gradually they take men and woman charged with other crimes,
began to investigate cases and assist offenders then eventually children. As indicated by the
before the Baltimore courts. A 1894 law provided story of the first case, his method was to provide
that any court in the state might release on bail for a temporary suspension or postponement
probation for “good conduct” a person convicted of sentence, during which he sought to counsel
of any offense not capital, if no previous and assist such persons find homes, securing
conviction was proved against him, upon his employment and adjusting family difficulties. At
entering into a recognizance, with or without the end of the probation period, he brought back
sureties, and during such period as the court may the offender to court, and if no further complaint
direct to appear and received judgment when had been lodged against the offender, the judged
called upon, and in the meantime to keep the imposed a nominal fine with costs. If the man was
peace and be of good behavior. too poor, Mr. Augustus advanced the amount,
usually as loan.
Another state adopting a partial measure was John Augustus originated in rudimentary form,
Missouri with its “parole of convicted person’s law many of the techniques of probation officers and
of 1897.” other social workers today, including casework,
foster home placement, and protective work for
The second state to enact a real probation women and children.
law. The Vermont like Missouri and unlike
Massachusetts provided for probation only after This was brought about by the changing
suspension of the execution of sentence. The bills attitudes of the people towards law breaker and
in both states were supported by the state the removal of the inherited attitudes from the
correctional agencies. Many features of the PURITANS.
21 Non-Institutional Correction Instructional Material
Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
 was Act No. 4221 enacted by the Philippine
John Augustus was born in 1785 at Woburn legislature on August 07, 1935 and which created
Massachusetts and moved to Lexington Green a Probation Offices under the Department of
and became a Cordwainer or Bootmaker. He Justice led by a Chief Probation Officer
prospered and acquired large track of land apart appointed by the American Governor General
conveyed to Lexington Academy to erect a with the advice and consent of the United States.
school. Which he became a trustee. In 1827 he This Law provided probation for the first time
moved to Boston and set up a shop at Franklin offenders, eighteen years of age and over,
Avenue near the Courthouse. He began to visit convicted of a certain crime.
courthouse because of his membership with the
Washington Total Abstinence Society, formed in However, the law stayed in the statue Books
Boston in 1841 to promote temperance and to for only Two years. The act subsequently
reclaim drunkards. During the first year, he took declared unconstitutional by the Supreme Court
only men charge with drunkenness. Then men on Nov. 16, 1937 in People vs. Vera 37 O.G.
and women charge with other offense and then 164.
children/ number of cases increases each year
NOTA BENE:
METHODS OF AUGUSTUS The ill-fated Act was only procedural
1. Provide bail for temporary suspension of framework that was antagonistic with the
punishment of sentence constitution/charter.
2. Then he sought counsel and assists his Section 11 of Act no 4221, the fatal
charges in finding homes, securing provision of the Act, provided that "This
employment and adjusting family Act shall apply only in those provinces in
difficulties. which the respective provincial boards
3. At the end of probation, he brought have provided for the salary of a
offender back to court-if no further probation officer . . .. "
charges are found- judge imposes a
nominal fine with cost if man is poor, The declaration of unconstitutionality of the
Augustus advance fine as a loan. Probation Act of 1935 created a gap in the
criminal justice system in the Philippines. The
AUGUSTUS EXPERIMENT criminal justice system is the machinery which
- August 1841- Rugged drunk man society uses in the prevention and control of
- 3 weeks -The drunkard was brought crimes. Its components are the police, the courts,
back to court where the judge cannot the penal institutions, the probation and the
recognize him. Imposes a fine of $ 3.76. parole systems the components are highly
- Augustus died on June 21, 1859. And out dependent upon one another. The failure of one
of 2000 person whom he extended his can destroy the effectiveness of all the others
help, only 10 were ungrateful. And out of within the system.
1100 cases, only one case was forfeited.
- Massachusetts became the 1st country to In order to heighten the awareness of
enact a probation law on April 21, 1878 interdependency and cooperation among the
components of the criminal justice system, as
WHO IS GOVERNOR ALEXANDER H. RICE? well as to improve judicial process and to reduce
He provided appointment and prescribed the level of criminality, the National Police
duties for paid probation officers. Commission created an Inter-Disciplinary
Committee in 1974 to prepare a National Crime
WHO IS PRESIDENT CALVIN COOLIDGE? The Prevention Program. On July 24, 1976, a "National
former governor of Massachusetts. Strategy to Reduce Crimes" was finalized and
presented to the President of the Philippines. The
Strategy proposed a two-pronged attack to
C.HISTORY OF PROBATION reduce crime in the country, namely: (1) to give
IN THE PHILIPPINES emphasis on the prevention and control of high-
fear and economic crimes by implementing a
A. The Adult Probation Law of 1935 number of priorities of actions; and (2) to improve
The Philippine Legislature enacted the first the quality of the criminal justice system by
probation of the Philippines. The first legislation

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“This is for criminological purposes and therefore not for sale”
facilitating teamwork among its interdependent Bagatsing, House Bill No. 393. The measure was
components. passed in the Lower House and was pending in
the senate when Martial Law was proclaimed in
The following priorities of action were 1972.
recommended:
1) Improvement of the quality of the criminal The Presidential decree No. 968, established a
justice system among its interdependent probation system less costly alternative to the
components; imprisonment of the offender who are likely to
2) Improvement of the management skills of respond to individualized, community-based
law enforcement; treatment program is the second legislation that
3) Reducing the delays in the criminal justice enforces a probation system in the country.
processes;
4) Making corrections more attuned to its On Nov. 13, 1974, the Inter-Disciplinary
role of rehabilitating law offenders; and Committee on Crime Prevention (IDCCP) was
5) Increasing the community participation in created to formulate a national crime prevention
crime prevention. program for the courtly.
There were a number of projects
recommended under each of these priorities of NOTA BENE: The committee places emphasis
action, among which was the establishment of an on “Pro-action (crime prevention) rather than
adult PROBATION SYSTEM. It was a priority action Reaction (action after occurrence of the
under (4). crime).

The rationale for recommending priority INTER-DISCIPLINARY COMMITTEE ON CRIME

consideration to the establishment of a probation PREVENTION (IDCCP)
system is clearly apparent. The delegation’s official report served as the
1. The penal system in the country is turning point for the Inter-Disciplinary Committee
characterized by substandard treatment of on Crime Prevention of the commission to
prisoners. To try to train lawbreakers to obey formulate for a national crime prevention
the law in a substandard system is self- program. As mandated under Section 4(k) of
defeating. republic Act no. 4864, otherwise known as the
2. The deterrent potentiality of the prisons is police Act of 1966”, the National Police
grossly exaggerated. No one has ever proved Commission, on November 13, 1974, created the
that the threat of severe punishment actually IDCCP. The IDCCP then under the charge of
deters crime. Commissioner Teodulo C. Natividad, was asked
3. Prisons heighten the offenders' weaknesses by the Secretary and Chairman of NAPOLCOM,
and erode their capacity for responsibility and Juan Ponce Enrile to draft the adult probation
sociability. decree.
4. The maintenance of penal institutions is costly This Committee, the Inter-Disciplinary
on the part of the government. In view of Committee, is composed of authorities and
these considerations, an alternative to representative from the five pillars of the criminal
institutionalization for certain types of justice system. After a laborious period of
offenders was proposed. Such proposal was eighteen technical hearings involving sixty source
subsequently translated into a law on July 24, persons, came out with the draft decree for
1976, which is now known as the "Probation presentation at a seminar on the Probation
Law of 1976" or Presidential Decree No. 968. System sponsored by the National Police
Commission and the U.P. Law Center on April 24,
WHO IS TEODULO C. NATIVIDAD? 1976 subsequently attended by 369 participants.
He is the Father of Probation in the
Philippines. He headed the committee (IDCCP) The Proposal was reviewed by a mixture of
primarily tasked with the drafting of the adult Jurist, Penologist, Policemen, Educators
probation law. subsequently civic leaders, social and behavioral
scientist, media men blue- and white-collar
A. THE ADULT PROBATION LAW OF 1976 workers and housewives. Two (2) foreign experts
It took a long time before another attempt participated namely Dr. Torsten Erickson, former
was made with introduction then by United Nations Inter-Regional Adviser on Crime
Congressman Teodulo C. Natividad in Prevention Justice and Dr. A. Lamonth Smith.
collaboration with former Congressman Ramon D.
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Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
Director for Research Program Planning and Elicit PEOPLE OF THE PHILIPPINES VS VERA
comments on the adoption of adult probation (G.R. NO. L-45685, NOVEMBER 16 1937)
system in the country.
FACTS:
A survey was made to elicit comments on the Cu-Unjieng was convicted of criminal
adoption of the adult probation system in the charges by the trial court of Manila. He filed a
country. Favorable resulted showed 87.1% in motion for reconsideration and four motions for
favor of the adoption, 7.1% apprehensive and new trial but all were denied. He then elevated to
5.8% non-committal. the Supreme Court of United States for review,
which was also denied. The SC denied the
Thereafter, the draft was sent to the petition subsequently filed by Cu-Unjieng for a
Secretary of the Department of the National motion for new trial and thereafter remanded the
Defense, Secretary of the Department of the case to the court of origin for execution of the
Justice and to the Supreme Court for review and judgment. CFI of Manila referred the application
endorsement of the President. for probation of the Insular Probation Office which
recommended denial of the same. Later, 7th
The final forum of the proposed branch of CFI Manila set the petition for hearing.
institutionalization of adult probation in the The Fiscal filed an opposition to the granting of
country was the First National Conference on probation to Cu Unjieng, alleging, among other
Crime Control, which was held at Camp Aguinaldo things, that Act No. 4221, assuming that it has
from July 22 to July 24, 1976. It was on this not been repealed by section 2 of Article XV of
historic last day of the Conference that the the Constitution, is nevertheless violative of
Presidential Decree No. 968 and thereby section 1, subsection (1), Article III of the
Transported the criminal justice system of the Constitution guaranteeing equal protection of the
country to the twentieth century. In the process, laws. The private prosecution also filed a
the president also appointed as the first Probation supplementary opposition, elaborating on the
Administration, NAPOLCOM Chairman, Teodolo C. alleged unconstitutionality on Act No. 4221, as an
Natividad in a concurrent capacity. undue delegation of legislative power to the
provincial boards of several provinces (sec. 1, Art.
THE MULTI- SECTORAL BODY VI, Constitution).
As advocated by the United Nations, the five-
penal multi-sectoral body is composed of experts ISSUE:
from the various sectors and disciplines Whether or not:
comprising the five pillars of criminal justice 1. the Act No. 4221 encroaches upon the
system, namely: Police, Prosecution, Court, pardoning power of executive.
Correction and Community Participation. The 2. the Act No. 4221 constitute on undue
panel on community participation has sub-panels delegation of legislative power.
on education, welfare, religion, Barangay, health 3. the Act No. 4221 denies the equal
and economics. protection of the law.

Under the leadership of Commissioner

Teodulo C. Natividad, the IDCCP, after barely RULING:
two months of work evolved a proposed system
of probation for adults based on evaluation of 1. No. There is no encroaches upon the
projects on crime prevention and treatment of pardoning power of executive. act does not
offenders in the courtly, notably the Bacolod City encroach in any upon the powers of the
experiment on social defense. executive as they have understood and
practiced from the earliest time;
This was later incorporated as part of PD 968
which was signed into law by Pres. Ferdinand E. The Court held that the Probation Act did
Marcos on July 24, 1976. Note: Jan. 3, 1978 – not, by the force of any of its provinces, fix
affectivity of the substantive provisions of PD and impose upon the provincial boards any
968. standard or guide in the exercise of their
discretionary power. What was granted was a
B. CASE ANALYSIS: PEOPLE VS. VERA "roving commission" which enabled the
provincial boards to exercise arbitrary

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“This is for criminological purposes and therefore not for sale”
 discretion. By Section 11 of the Act, the those provided for provincial fiscals. Without
legislature did seemingly on its own authority such action on the part of the various boards,
extend the benefits of the Act to the no probation officers would be appointed by
provinces but in reality, left the entire matter the Secretary of Justice to act in the
for the various provincial boards to determine provinces.
for themselves whether the Probation Law The Philippines is divided or subdivided
should apply to their provinces or not at all. into provinces and it needs no argument to
The applicability and application of the Act show that if not one of the provinces — and
was entirely placed in the hands of the this is the actual situation now — appropriate
provincial boards. If a provincial board did not the necessary fund for the salary of a
wish to have the Act applied in its province, probation officer, probation under Act No.
all it had to do was to decline to appropriate 4221 would be illusory. There can be no
the needed amount for the salary of a probation without a probation officer. Neither
probation officer without even stating the can there be a probation officer without the
reason therefore. The plain language of probation system.
Section 11 was not susceptible of any other
interpretation. This was a virtual surrender of 3. Yes, it denies the equal protection of the law
legislative power to the provincial boards.
The act was surrender of legislative power
2. Yes. There is undue delegation of legislative to the provincial board for its application was
power. left to their determination in providing for the
salary appropriation, although there are no
SC conclude that section 11 of Act No. provision that fix and impose any standards to
4221 constitutes an improper and unlawful guide in the exercise of provincial board’s
delegation of legislative authority to the discretionary power;
provincial boards and is, for this reason,
unconstitutional and void That the unwarranted delegation of Power
under section11 of Act No. 4221 created a
The challenged section of Act No. 4221 in situation for discrimination and inequality to
section 11 which reads as follows: "This Act exits as one province may appropriate then
shall apply only in those provinces in which necessary funds for the salary of a probation
the respective provincial boards have officer while another may refuse or fail to do
provided for the salary of a probation officer so;
at rates not lower than those now provided for
provincial fiscals. Said probation officer shall Hence it contravened the equal protection
be appointed by the Secretary of Justice and of the law clause for those persons who may
shall be subject to the direction of the enjoy the benefits of Probation.
Probation Office."
In more precise language, the high court
The provincial boards of the various assailed that it bluntly called a “roving
provinces are to determine for themselves, commission” that enable provincial boards to
whether the Probation Law shall apply to their exercise arbitrary discretion so that if a
provinces or not at all. The applicability and provincial board did not wish to have the Act
application of the Probation Act are entirely applied in its provincial, all that it had to do
placed in the hands of the provincial boards. If was to decline to appropriate the needed
the provincial board does not wish to have the amount for the salary of probation officer,
Act applied in its province, all that it has to do which construed as a virtual surrender of
is to decline to appropriate the needed Legislative power to the provincial boards.
amount for the salary of a probation officer.
It was considered class legislation.
The clear policy of the law, as may be Under this law probation existed only in cities
gleaned from a careful examination of the and municipalities, which were given
whole context, is to make the application of appropriation for, said purpose by legislature.
the system dependent entirely upon the
affirmative action of the different provincial
boards through appropriation of the salaries
for probation officers at rates not lower than
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Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
III. BASIC DIFFERENCES four
hundred
provinces
would be

BETWEEN P.D. 968 AND pesos.” appropriat

ed.

THE PROBATION ACT OF As to the

condition
The conditions
Probation make it
of The imposition of the
said conditions on
1935 of the
probation
MANDATORY for the
Court to issue a
the probationer was
merely
order probation order DISCRETIONARY on
Presidential Decree Act no. 4221 containing specific the part of the Court
968 (Probation Law of conditions for the issuing the probation
(Probation Law of 1935) probationer to fulfill. order. (Section 3)
1976) (Section 10)  There is
As to It expressly and It expressly and  The reparation
Applicabili explicitly provides explicitly provides reparation or or
ty of the that "There shall be that this Act shall restitution restitution
probation at least one probation apply only in those by the by the
law officer in each provinces in which probationer probation
province and city who the respective to the er to the
shall be appointed by provincial boards aggrieved aggrieved
the Secretary of have provided for parties for parties for
Justice upon the salary of a actual actual
recommendation of probation officer . . . damages or damages
the Administrator and " (Section 11) losses or losses
in accordance with caused by caused by
civil service law and his offense is his
rules." (Section 23)  The DELETED. offense.
 The Probation As to the It provides that "in all It provides that the
Probation Law period of other cases, the period of probation
Law applies probation probation period shall of a probationer
applies to only to not exceed 6 years. found guilty of "any
all provinces (Section 14) other offense" did
provinces and cities not exceed twice the
and cities, in which The new law, maximum time of
uniformly their therefore, provides imprisonment to
and respective for a definite and which he might be
without provincial shorter probation sentenced. (Section
discriminat boards period. 7)
ion. have As to the The Law provides that Nowhere in the old
 The salary provided appealabili an order granting or Probation Law can
of the for the ty of the denying probation there be found a
probation salary of a order shall not be provision to this
officer in probation granting appealable. (Section effect.
each officer. or denying 4)
province or  The salary probation
city is of the As to the It contains a It gave an
provided probation offenses GENERAL enumeration of the
for by law, officer is not enumeration. It offenses not covered
no longer to the covered provides that the by the Act. This
subject to discretion benefits of this enumeration
the of the Decree shall not be SPECIFIED the
discretion respective extended to those: crimes not covered.
of the provincial (a) sentenced to These were:
respective boards. serve a 1. Homicide
provincial  The maximum 2. Treason
boards. Probation term of 3. Misprision
 The law Law imprisonment of treason
expressly divests of more than 6 4. Sedition
provides the years; 5. Espionage
that "The provincial (b) convicted of 6. Conspiracy
Provincial boards of any offense or proposal
or City the power against the to commit
Probation to security of the treason
Officer determine State; 7. Piracy
shall whether (c) who have 8. Brigandage
receive an or not previously 9. Arson
annual salary of a been convicted 10. Robbery in
salary of at probation by final band
least officer in judgment of an 11. Robbery
eighteen their offense with
thousand respective punished by violence on

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“This is for criminological purposes and therefore not for sale”
 imprisonment persons exercise its
of not less when it was discretion to revise
than one found that or modify the
month and one they conditions or
day and/or fine displayed a period of probation
of not less deadly whereas the old
than two weapon and law granted to the
hundred 12. Corruption Court the exclusive
pesos; of minors." discretionary
(d) who have been (Section 8) power of revision
once on and modification
probation without need of
under the prior application by
provisions of the probationer or
this Decree; the probation
(e) who are officer concerned.
already It is clear
serving therefore, that
sentence at under the new law,
the time the the Court relies
substantive heavily upon the
provisions of probation officer
this Decree and places great
became faith in him.
applicable. . .. As to  Office -  Office -
" (Section 9) name of Probation Probation
N.B. Thus, probation Administrati Office
besides a general office and on  Chief
enumeration of the its head  Probation Probation
offense not Administrato Officer - the
covered, the said r - the Head of the
Section further Executive Probation
broadened the Officer of the Office
scope of the Probation
inapplicability of Administrati
the Law. Additional on
exemption from
coverage can be
found
offenses
in the IV. FORERUNNERS OF
enumerated under
Section 9 (a, c, d
PROBATION
and e)
The following are the forerunner of probation:
abovementioned.
As to The modification It provided that 1. Benefits of the Clergy- earliest for softening
modificati or revision of the "The Court MAY, at of the brutal severity of punishment. This was
on or conditions of any time, revise,
revision of probation, modify or enlarge
a compromise between the church and the
the Presidential Decree the conditions or king that, if any member of the clergy was
conditions No. 968, Section 12 period of probation." brought to trial before the king’s court, such
of provides in part, that clergy could be claimed from the jurisdiction
probation "During the period of
probation, the court
by the bishop or chaplain representing him on
may, UPON the ground that the prisoner was subject to
APPLICATION of the authority of the Ecclesiastical Court only.
either the There was greater leniency in sentencing and
probationer or the
probation officer,
particularly escape from death penalty.
revise or modify the Acquittal or guilt was established by a Jury of
conditions or period Twelve Clerks.
of probation. . .. "
N.B. Contrasting
the two Sections, it
2. Judicial Reprieve- withdrawal of sentence
is evident that for an internal of time whereby the execution
under the new law, of the sentence is suspended either before or
application of after judgment such as when there is a
either the
probationer or the
favorable circumstance in the criminal’s
probation officer is character in order to give him opportunity to
needed in order apply to the King for either an absolute an or
that the Court may conditional pardon. Early English courts began
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“This is for criminological purposes and therefore not for sale”
 to grants reprieves to prisoners under N.B. PD no. 257 extended xxx
sentence of death on condition that they the period of resolving
the application for
accept deportation to English settlements in probation by the court
America. from five (5) days to
fifteen (15) days.
3. Recognizance or “Binding over for good Section 3
xxx
behavior” – this is considered as the direct In the hearing, which
ancestor of probation. This involves an shall be summary in
obligation or promise sworn to under court nature, the
order by a person not yet convicted of probationer shall have
the right to be NONE
crime he would keep the peace and be of informed of the
good behavior. violation charged and
to adduce evidence in
4. Transportation- this was developed from an his favor. The court
shall not be bound by
ancient practice of banishment and flourished the technical rules of
for more than two hundred years as a evidence but may be
principal method of disposing offenders. It inform itself of all the
served mainly as cheap source of supplying facts which are
material and relevant
labor to the colonies of England. to ascertain the
veracity of the charge.

V. THE PROBATION LAW The State shall be

represented by a

AND ITS AMENDMENT prosecuting officer in

any contested hearing.
xxx
AMENDMENTS PRESIDENTIAL N.B.
DECREE NO. The defendant has the
968 right to be informed of
Presidential Section 1 the violation charged
Decree No. xxx and to adduce
1257 The prosecuting officer evidence in his favor.
concerned shall be Sec. 4 sec. 33
notified by the court of xxx xxx
the filling of the That the application of That, the
application for its substantive application of
probation and he may NONE provisions concerning its
submit his comment the grant of probation substantive
on such application shall only take effect provisions
within ten days from on January 3, 1978." concerning
receipt of the xxx the grant of
notification. probation
xxx shall only take
Nota Bene: The effect twelve
prosecutor participates in months.
the determination of the xxx
application for probation.
It is therefore mandatory Batas The probation system The probation
the prosecuting officer Pambansa shall not be extended system shall
concerned shall be Blg. 76 to a convicted not be
notified by the court of offenders sentenced to extended to a
the filling of the serve a maximum term convicted
application for probation of imprisonment of offenders
and submits comment more than six (6) years sentenced to
within 10 days from and one (1) day. serve a
receipt. maximum
Section 2 Section 7 N.B. The probational term of
xxx xxx period is extended to six imprisonment
The court shall The court (6) years and one (1) day of more than
resolve the application shall resolve and below six (6) years.
for probation not later the petition N.B. The
than fifteen days after for probation probational
receipts of said not later than period is six (6)
report." five days after years and
xxx receipt of said below.
report. xxx
Any person sentenced

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 to maximum penalty of Section 1 amending
six years and one day Section 4 of PD no.
on January 3, 1978 and NONE 968.
thereafter may be Xxx
placed on probation Provided; That NO
upon his application APPLICATION FOR
therefore with the PROBATION SHALL BE
court of origin. ENTERTAINED OR
However, such person GRANted if the
serving sentence shall defendant has NONE
remain in jail pending perfected the appeal
the approval of his from the judgment of
application. conviction.
XXX Xxx
NB: Appeal and probation
Presidential The decree restores is a mutually exclusive
Decree No. the provision of remedy; meaning once a
1990 section 9 of PD 968 defendant filed his appeal
that probation shall it is a deemed waiver of
not be extended to a the filing of probation.
convicted offenders The period of perfecting
sentenced to serve a an appeal is also the
maximum term of period of perfecting an
imprisonment of more application/filing for
than six (6) years. It probation. In general, the
that senses the decree period of perfecting an
impliedly amended the appeal is fifteen (15) days
provision of BP 76. from the promulgation of
sentence.
N.B. 1990 – The period
of punishment which is
probationable is
lowered again from 6
years and 1 day to 6
years or less

Executive It renamed the

Order No. Probation
292 Administration created
under PD 968 into
Parole and probation
Administration.
It also extended the
powers and function of
the PPA. It includes
the following:
a. Administer the
parole and
probation
system;
b. Exercise
general
supervision
over all
parolees and
probationers;
c. Promote the
correction and
rehabilitation
of offenders;
and
d. Such other
functions as
may hereafter
be provided by
law.

xxx
(2) The Administration
shall have a Technical
Service under the

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 Office of the
Administrator which
shall serve as the
service arm of the
Board of Pardons and
Parole in the
supervision of parolees
and pardonees.
The Board and the
Administration shall
jointly determine the
staff complement of
the Technical Service.
xxx

CHAPTER IV
THE RULES AND LIMITATIONS IN THE
GRANT OF PROBATION
CHAPTER CONTENTS 9. Termination and Closing of Probation
1. Nature of Granting Probation Case
2. Qualified and Disqualified Offenders for
Probation SPECIFIC OBJECTIVES
3. Procedure in the Application of At the end of this chapter the students should
Probation be able to:
4. Resolution of the Petition for Probation 1. explain the nature of granting
5. Period of Probation and its Implication probation;
6. Conditions in the Grant of Probation 2. identify those qualified and disqualified
7. Violation of Probation conditions offenders for probation;
8. Modification and Revocation

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 3. illustrate, understand and summarized information relative, to the character,
antecedents, environment, mental and
the procedure in the application of
physical condition of the offender, and
probation as well as its resolution or
available institutional and community resources.
grant;
Probation shall be denied if the court finds that:
4. explain how post sentence
1. The offender is in need of correctional
investigation is conducted;
treatment that can be provided most
5. identify the right an duties of the
effectively by his commitment to an
probationer;
institution; or
6. explain the period of probation and its
2. There is undue risk that during the
implication; period of probation the offender will
7. enumerate the mandatory and optional commit another crime; or
conditions in the grant of probation; 3. Probation will depreciate the
8. identify the consequences of violating seriousness of the offense committed.
the conditions of probation;
9. explain how probation case is However, under Sec. 70 of Republic Act No.
terminated or closed as well as the 9165, the Comprehensive Dangerous Drugs Act
early discharge incentive; and of 2002, the first-time minor offender who upon
promulgation of the sentence, the court may, in
its discretion, placed the accused under
A. NATURE OF GRANTING probation, even if the sentence provided under
Sec. 11 of the Act is higher than that provided
PROBATION under Probation Law.

I. GRANT OF PROBATION SECTION 70 OF REPUBLIC ACT NO. 9165.

Probation or Community Service for a First-
Section 4 of PD 968 - Subject to the provisions Time Minor Offender In lieu of
of this Decree, the court may, after it shall have Imprisonment. – Upon promulgation of the
convicted and sentenced a defendant and upon sentence, the court may, in its discretion,
application at any time of said defendant, place the accused under probation, even if
suspend the execution of said sentence and the sentence provided under this Act is
place the defendant on probation for such period higher than that provided under existing
and upon such terms and conditions as it may law on probation, or impose community
deem best. service in lieu of imprisonment. In case of
Probation may be granted whether the sentence probation, the supervision and
imposes a term of imprisonment or a fine only. rehabilitative surveillance shall be
An application for probation shall be filed with the undertaken by the Board through the DOH
trial court, with notice to the appellate court if an in coordination with the Board of Pardons
appeal has been taken from the sentence of and Parole and the Probation
conviction. The filing of the application shall Administration. Upon compliance with the
be deemed a waiver of the right to appeal, conditions of the probation, the Board shall
or the automatic withdrawal of a pending submit a written report to the court
appeal. (As amended by PD 1990). recommending termination of probation
and a final discharge of the probationer,
II. CRITERIA FOR PLACING AN OFFENDER whereupon the court shall issue such an
ON PROBATION (SECTION 8 OF PD NO. order.
968)
TOLENTINO VS. JUDGE ALCONCEL
QUESTION 121 SCRA 92; G.R. No. L-63400; March 18,
Will probation be automatically granted 1983
to one whose sentence is six (6) years or
less? No, the offender must fit the criteria Application for Probation can be denying
under Section 8 of PD 968. on the ground that it will depreciate the
seriousness of the offense committed.
Under Section 8 of PD No. 968, in
determining whether an offender may be placed FACTS: Petitioner was charged with violation of
on probation, the court shall consider all Section 4, Article II of Rep. Act No. 6425,
31 Non-Institutional Correction Instructional Material
Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
otherwise known as the Dangerous Drugs Act of c) probation will depreciate the
1972. Petitioner entered a plea of not guilty. seriousness of the offense committed.
However, after the prosecution had presented "The conclusion of respondent judge that
part of its evidence, petitioner desires to change "probation will depreciate the seriousness of the
his plea of not guilty to that of guilty to a lesser offense committed" is based principally on the
offense of possession of Indian Hemp [marijuana], admission by the petitioner himself, that he was
under Section 8 of Article II of Rep. Act No. 6425. actually caught in the act of selling marijuana
As no objection was interposed by the fiscal, cigarettes. Petitioner did not deny or dispute the
the court allowed petitioner to withdraw his veracity of the fact that he was caught in
former plea of guilty and to enter a plea of guilty flagrante delicto of selling marijuana cigarettes.
to a lesser offense. Petitioner was thereupon He merely attempted to justify his criminal act by
sentenced to imprisonment of 6 months and 1day explaining in his motion for reconsideration that
to 2 years and 4 months. "he did it only to make some money for the
Petitioner applied for probation. Respondent family during Christmas. Such admission renders
judge forthwith directed the probation officer to a hearing on the application for probation an
conduct a POST SENTENCE INVESTIGATION. unnecessary surplusage and an Idle ceremony.
After conducting such investigation, the probation Proliferation of prohibited drugs in the country
officer, recommends that petitioner be placed on has remained a serious threat to the well-being of
two-year probation. the people. It has necessitated an all-out
But the respondent judge denies petitioner's intensified campaign on the part of the law-
application on the ground that it will depreciate enforcers against users as well as pushers
the seriousness of the offense committed. thereof. If only to emphasize the gravity of
Hence, the instant recourse. the drug menace, the Batasan Pambansa
has seen fit to increase the penalty for
ISSUE: Whether the grant of probation will violation of Section 8, Article II of Rep. Act
depreciate the seriousness of the offense 6425. Thus, while under Rep. Act 6425, as
committed. amended by P.D. 44, possession or use of
marijuana was punishable by imprisonment of 6
HELD: months and 1 day to 2 years and 4 months and a
Yes. Section 5 of P.D. 968 provides, to wit: fine ranging from P600.00 to P6,000.00-the
SEC. 5. Post Sentence Investigation. — penalty imposed upon petitioner herein-
No person shall be placed on probation POSSESSION AND USE thereof is now
except upon prior investigation by the punishable by imprisonment ranging from 6 years
probation officer and a determination by and 1 day to 12 years and fine ranging from
the court that the ends of justice and the P6,000.00 to P12,000.00 under B.P. Blg. 179.
best interest of the public as well as that of The observation of the Solicitor General on
the defendant will be served thereby. this increase of penalty is apropos: The
It is evident from the foregoing that the implication is clear. The penalties were increased
potentiality of the offender to reform is not the to take it out of the range of probationable
sole, much less the primordial factor, that should offenses. Thus, the State has spoken and
be considered in the grant or denial of an considers that this is one case where probation
application for probation. Equal regard to the will depreciate the offense committed, and will
demands of justice and public interest must be not serve the ends of justice and the best interest
observed. Thus, Section 8 of P.D. 968 lays down of the community, particularly, the innocent and
the criteria for the placing of an offender on gullible young.
probation, as follows:
Sec. 8. Criteria for Placing an Offender III. PROBATION IS NOT A MATTER OF RIGHT
on Probation. —In determining whether an BUT A PRIVILEGE
offender may be placed on probation, the In the above case of TOLENTINO VS. JUDGE
court shall consider all information, relative ALCONCEL, the Supreme Court held that,
to the character, antecedents, probation is a mere privilege and its grant rests
environment, mental and physical condition solely upon the discretion of the court. This
of the offender and available institutional discretion is to be exercised primarily for the
and community resources. Probation shall benefit of organized society and only incidentally
be denied if the court finds that: for the benefit of the accused.
a) ... Probation cannot be demanded as a matter of
b) ... right. It is a privilege. Hence, only those persons
32 Non-Institutional Correction Instructional Material
Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
who are qualified may apply for probation. Its Under PD No. 1990, an order granting or
grant depends upon the discretion of the trial denying probation shall not be appealable.
court. No person shall be placed on probation
except upon prior investigation by the probation VIII. PROBATION AND APPEAL IS
officer and a determination by the court that the MUTUALLY EXCLUSIVE REMEDIES
ends of justice and the best interest of public as Later, the amendment of Section 4 of P.D. No.
well as that of the defendant will be serve 968 by P.D. No. 1990 imposed a condition upon
thereby. the grant of probation, thus: "Provided, that no
The grant of probation results in the release application for probation shall be
of the petitioner subject to the terms and entertained or granted if the defendant has
conditions imposed by the court and to the perfected an appeal from the judgment of
supervision of Probation Officer. conviction." The application for probation was
However, under R.A. 9344 or Juvenile Justice no longer allowed if the accused has perfected an
and Welfare Act of 2006, a Child in Conflict with appeal from the judgment of conviction.
the Law (CICL) is granted the right to probation as The reason for the disallowance of probation
an alternative to imprisonment if qualified under where an appeal has been made by the accused
the Probation Law. is stated in the preamble of P.D. No. 1990, thus:
"WHEREAS, it has been the sad experience
IV. BASIS OF GRANTING PROBATION that persons who are convicted of offenses
In DELA CRUZ VS. CALLEJO; the basis of and who may be entitled to probation still
granting probation is the sentence imposed appeal the judgment of conviction even up
by the trial court. Convicted for highway to the Supreme Court, only to pursue their
robbery sentence to 11 years, 4 months and 1 application for probation when their appeal
day 12 years penalty was reduced to 1 year, 8 is eventually dismissed".
months and 5 months and 1 day. He applied for In view of this change, jurisprudence treated
probation on the basis of the appellate court. Trial appeal and probation as MUTUALLY EXCLUSIVE
court denied. Supreme Court denial is proper to REMEDIES. Thus, where the penalty imposed by
the provision of the law. the trial court is not probationable, and the
appellate court modifies the penalty by reducing
V. PROBATION IS NOT A SENTENCE it to within the probationable limit, the same
In Baclayon vs. Mutia, 129 SCRA 148 (April 30, prohibition should still apply and he is not entitled
1984) it was held that an order placing to avail of probation.
defendant on "PROBATION" IS NOT A In Sable v. People, G.R. No. 177961, April 7,
"SENTENCE" but is rather in effect a 2009, 584 SCRA 619, 625. the Supreme Court
suspension of the imposition of sentence. It stated that "[Section 4 of] the Probation Law was
is not a final judgment but is rather an amended to put a stop to the practice of
"interlocutory judgment" in the nature of a appealing from judgments of conviction even if
conditional order placing the convicted the sentence is probationable, for the purpose of
defendant under the supervision of the securing an acquittal and applying for the
court for his reformation, to be followed by probation only if the accused fails in his bid."
a final judgment of discharge, if the Thus, probation should be availed of at the first
conditions of the probation are complied opportunity by convicts who are willing to be
with, or by a final judgment of sentence if reformed and rehabilitated; who manifest
the conditions are violated. spontaneity, contrition and remorse.
Probation is not a suspension of sentence. A The Supreme Court explained that the
suspension of sentence postpones execution of intention of the new law is to make appeal and
sentence for a definite time, while probation probation mutually exclusive remedies.
suspends sentence during good behavior. Jurisprudence at that time stated that the
Probation Law requires that an accused must not
VI. HOW MANY TIMES CAN ONE BE GRANTED have appealed his conviction before he can avail
PROBATION? himself of probation. This requirement "outlaws
An offender can be granted probation ONLY the element of speculation on the part of the
ONCE IN HIS LIFETIME. accused--to wager on the result of his appeal--
that when his conviction is finally affirmed on
VII. GRANTING OR DENYING PROBATION appeal, the moment of truth well-nigh at hand,
NOT BE APPEALABLE and the service of his sentence inevitable, he now
applies for probation as an `escape hatch' thus
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rendering nugatory the appellate court's ISSUE: Whether or not the denial of application
affirmance of his conviction." for probation is tenable.
However, in the fairly recent case of
Colinares vs. People, G.R. No. 182748, HELD: The court held that probation is a special
December 13, 2011, the Supreme Court took privilege granted by the state to a penitent
another look at the probation law, and allowed qualified offender. It essentially rejects appeals
the grant of probation to an accused who has and encourages an otherwise eligible convict to
appealed his conviction. In this case, the accused immediately admit his liability and save the state
was originally sentenced by the Regional Trial the time, effort and expenses to jettison an
Court to imprisonment exceeding 6 years and appeal. The pertinent provision of the Probation
one day, which disqualified from applying for Law, as amended, reads:
probation. Upon his appeal of the case to the Sec. 4. Grant of Probation. —
Court of Appeals, the appellate court lowered the Subject to the provisions of this Decree,
penalty to less than 6 years and one day. The the trial court may, after it shall have
Supreme Court reasoned that since the trial convicted and sentenced a defendant and
court-imposed a (wrong) penalty beyond the upon application by said defendant within
probationable range, thus depriving the accused the period for perfecting an appeal,
of the option to apply for probation when he suspend the execution of the sentence
appealed, the element of speculation that the law and place the defendant on probation for
sought to curb was not present. such period and upon such terms and
In a real sense, the Court's finding on appeal conditions as it may deem best;
that the accused was guilty, not of a non- Provided, that no application for
probationable penalty, but only of a penalty probation shall be entertained or granted
which may be subject of probation, is an original if the defendant has perfected the appeal
conviction that for the first time imposes on him a from the judgment of conviction.
probationable penalty. Had the RTC done him Probation may be granted whether the
right from the start, it would have found him sentence imposes a term of imprisonment
guilty of the correct offense and imposed on him or a fine only. An application for probation
the right penalty of less than 6 years and one shall be filed with the trial court. The filing
day. This would have afforded the accused the of the application shall be deemed a
right to apply for probation. waiver of the right to appeal. (Emphasis
The Supreme Court said that the question is supplied.)
ultimately one of fairness. It is not fair to deny It is quite clear from the afore-quoted
the accused the right to apply for probation when provision that an application for probation must
the new penalty that the Court imposes on him be made within the period for perfecting an
after he appealed his original conviction is, unlike appeal, and the filing of the application after the
the one erroneously imposed by the trial court, time of appeal has lapsed is injurious to the
subject to probation. recourse of the applicant. In the present petition
before us, petitioner filed the application for
LOURDES A. SABLE vs. PEOPLE OF THE probation on 25August 2003, almost eight
PHILIPPINES months from the time the assailed judgment of
G.R. No. 17796: April 7, 2009 the RTC became final. Clearly, the application for
probation was filed out of time pursuant to Rule
FACTS: Petitioner convicted of the crime of 122, Sec. 6 of the Rules of Court, which states
Falsification of Public Documents under Article that an "appeal must be taken within fifteen (15)
172(1) in relation to Article 171 of the Revised days from promulgation of the judgment or from
Penal Code on November 28, 2000 but acquitted notice of the final order appealed from."In Palo
Ildefonsa Anoba for finding not guilty. However, v. Militante, this Court held that what the law
the court finds that Lourdes Abellanosa Sable was requires is that the application for probation must
guilty beyond reasonable doubt of the crime be filed within the period for perfecting an
charged and hereby sentences her to suffer an appeal.
indeterminate penalty of 4 years, 2 months and The need to file it within such period is
one day to 6 years. On August, 25, 2003 intended to encourage offenders, who are willing
petitioner intimated her desire to apply for to be reformed and rehabilitated, to avail
probation instead of appealing the judgment of themselves of probation at the first opportunity.
conviction which was denied. Furthermore, the application for probation must
necessarily fail, because before the application
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Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
was instituted, petitioner already filed a Notice of probation on remand of the case to the trial
Appeal before the RTC on 17 June2003. The court?
Probation Law is patently clear that "no
application for probation shall be entertained or RULING:
granted if the defendant has perfected the appeal [The Supreme Court voted to PARTIALLY
from the judgment of conviction. “The law GRANT the appeal, MODIFIED the CA decision
expressly requires that an accused must not have and found Arnel GUILTY of ATTEMPTED (not
appealed his conviction before he can avail frustrated) HOMICIDE and SENTENCED him to
himself of probation. This outlaws the element of and indeterminate but PROBATIONABLE penalty
speculation on the part of the accused -- to wager of 4 months of arresto mayor as minimum and 2
on the result of his appeal -- that when his years and 4 months of prision correccional as
conviction is finally affirmed on appeal, the maximum. The Court also voted 8-7 to allow
moment of truth well-nigh at hand and the Arnel to APPLY FOR PROBATION within 15 days
service of his sentence inevitable, he now applies from notice that the record of the case has been
for probation as an "escape hatch," thus remanded for execution to trial court.]
rendering nugatory the appellate court’s YES, Arnel may still apply for probation on
affirmation of his conviction. Consequently, remand of the case to the trial court.
probation should be availed of at the first Ordinarily, Arnel would no longer be entitled
opportunity by convicts who are willing to be to apply for probation, he having appealed from
reformed and rehabilitated; who manifest the judgment of the RTC convicting him for
spontaneity, contrition and remorse. frustrated homicide. But, the Court finds Arnel
This was the reason why the Probation guilty only of the lesser crime of attempted
Law was amended, precisely to put a stop to the homicide and holds that the maximum of the
practice of appealing from judgments of penalty imposed on him should be lowered to
conviction even if the sentence is probationable, imprisonment of four months of arresto mayor, as
for the purpose of securing an acquittal and minimum, to two years and four months
applying for the probation only if the accused of prision correccional, as maximum. With this
fails in his bid. new penalty, it would be but fair to allow him the
right to apply for probation upon remand of the
COLINARES VS. PEOPLE case to the RTC.
G.R. No. 182748, December 13, 2011 While it is true that probation is a mere
privilege, the point is not that Arnel has the right
FACTS: to such privilege; he certainly does not
Accused-appellant Arnel Colinares (Arnel) was have. What he has is the right to apply for that
charged with frustrated homicide for hitting the privilege. The Court finds that his maximum jail
head of the private complainant with a piece of term should only be 2 years and 4 months. If the
stone. He alleged self-defense but the trial court Court allows him to apply for probation because
found him guilty of the crime charged and of the lowered penalty, it is still up to the trial
sentenced him to suffer imprisonment from 2 judge to decide whether or not to grant him the
years and 4 months of prision correccional, as privilege of probation, taking into account the full
minimum, to 6 years and 1 day of prision mayor, circumstances of his case.
as maximum. Since the maximum probationable If the Court chooses to go by the dissenting
imprisonment under the law was only up to 6 opinion’s hard position, it will apply the probation
years, Arnel did not qualify for probation. law on Arnel based on the trial court’s annulled
Arnel appealed to the Court of Appeals (CA), judgment against him. He will not be entitled to
invoking self-defense and, alternatively, seeking probation because of the severe penalty that
conviction for the lesser crime of attempted such judgment imposed on him. More, the
homicide with the consequent reduction of the Supreme Court’s judgment of conviction for a
penalty imposed on him. His conviction was lesser offense and a lighter penalty will also have
affirmed by the CA. Hence, this appeal to the to bend over to the trial court’s judgment—even
Supreme Court. if this has been found in error. And, worse, Arnel
will now also be made to pay for the trial court’s
ISSUE: erroneous judgment with the forfeiture of his
Given a finding that Arnel is entitled to right to apply for probation. Ang kabayo ang
conviction for a lower [lesser] offense [of nagkasala, ang hagupit ay sa kalabaw (the horse
attempted homicide] and a reduced errs, the carabao gets the whip). Where is justice
probationable penalty, may he may still apply for there?
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 Here, Arnel did not appeal from a judgment In boths instances, the penalty imposed by
that would have allowed him to apply for the trial court for the crime committed by the
probation. He did not have a choice between accused is more than six years; hence, the
appeal and probation. He was not in a position to sentence disqualifies the accused from applying
say, “By taking this appeal, I choose not to apply for probation. Thus, the accused should be
for probation.” The stiff penalty that the trial allowed to file an appeal under the aforestated
court imposed on him denied him that grounds to seek a review of the crime and/or
choice. Thus, a ruling that would allow Arnel to penalty imposed by the trial court. If, on appeal,
now seek probation under this Court’s greatly the appellate court finds it proper to modify the
diminished penalty will not dilute the sound ruling crime and/or the penalty imposed, and the
in Francisco. It remains that those who will penalty finally imposed is within the
appeal from judgments of conviction, when they probationable period, then the accused should be
have the option to try for probation, forfeit their allowed to apply for probation.
right to apply for that privilege. In addition, before an appeal is filed based on
In a real sense, the Court’s finding that Arnel the grounds enumerated above, the accused
was guilty, not of frustrated homicide, but only of should first file a motion for reconsideration of
attempted homicide, is an original conviction that the decision of the trial court anchored on the
for the first time imposes on him a probationable above-stated grounds and manifest his intent to
penalty. Had the RTC done him right from the apply for probation if the motion is granted. The
start, it would have found him guilty of the motion for reconsideration will give the trial court
correct offense and imposed on him the right an opportunity to review and rectify any errors in
penalty of two years and four months its judgment, while the manifestation of the
maximum. This would have afforded Arnel the accused will immediately show that he is
right to apply for probation. agreeable to the judgment of conviction and does
not intend to appeal from it, but he only seeks a
DISSENTING AND CONCURRING OPINION OF review of the crime and/or penalty imposed, so
JUSTICE PERALTA, that in the event that the penalty will be modified
In view of the provision in Section 4 of the within the probationable limit, he will apply for
Probation Law that “no application for probation probation.
shall be entertained or granted if the defendant It is believed that the recommended grounds
has perfected an appeal from the judgment of for appeal do not contravene Section 4 of the
conviction,” prevailing jurisprudence treats Probation Law, which expressly prohibits only an
appeal and probation as mutually exclusive appeal from the judgment of conviction. In such
remedies because the law is unmistakable about instances, the ultimate reason of the accused for
it. filing the appeal based on the aforestated
However, it has been proposed that an appeal grounds is to determine whether he may avail of
should not bar the accused from applying for probation based on the review by the appellate
probation if the appeal is solely to reduce the court of the crime and/or penalty imposed by the
penalty to within the probationable limit, as this trial court. Allowing the aforestated grounds for
is equitable. In this regard, an accused may be appeal would give a qualified convicted offender
allowed to apply for probation even if he has filed the opportunity to apply for probation if his
a notice of appeal, provided that his appeal is ground for appeal is found to be meritorious by
limited to the following grounds: the appellate court, thus, serving the purpose of
a. When the appeal is merely intended for the Probation Law to promote the reformation of
the correction of the penalty imposed by a penitent offender outside of prison.
the lower court, which when corrected On the other hand, probation should not be
would entitle the accused to apply for granted to the accused in the following instances:
probation; and a. When the accused is convicted by the
b. When the appeal is merely intended to trial court of a crime where the penalty
review the crime for which the accused imposed is within the probationable
was convicted and that the accused period or a fine, and the accused files a
should only be liable to the lesser offense notice of appeal; and
which is necessarily included in the crime b. When the accused files a notice of appeal
for which he was originally convicted and which puts the merits of his conviction in
the proper penalty imposable is within the issue, even if there is an alternative
probationable period. prayer for the correction of the penalty
imposed by the trial court or for a
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“This is for criminological purposes and therefore not for sale”
 conviction to a lesser crime, which is granted by the trial court but the release was
necessarily included in the crime in which withheld in view of the filing by the prosecution a
he was convicted where the penalty is motion for modification of penalty. He later filed a
within the probationable period. notice of appeal.
There is wisdom to the majority opinion,
but the problem is that the law expressly ISSUE: Whether or not he is entitled to an appeal
prohibits the filing of an application for probation after he has applied for probation.
beyond the period for filing an appeal. When the
meaning is clearly discernible from the language HELD: In fine, petitioner had taken an appropriate
of the statute, there is no room for construction legal step in filing a notice of appeal with the trial
or interpretation. Thus, the remedy is the court. Ordinarily, the Court should have the case
amendment of Section 4 of P.D. No. 968, and not remanded to the Court of Appeals for further
adaptation through judicial interpretation. proceedings. The clear impingement upon
petitioner’s basic right against double jeopardy,
CONCURRING AND DISSENTING OPINION however, should here warrant the exercise of the
VILLARAMA, JR., J.: prerogative by this Court to relax the stringent
It must be stressed that in foreclosing the application of the rules on the matter. When the
right to appeal his conviction once the accused trial court increased the penalty on petitioner for
files an application for probation, the State his crime of bigamy after it had already
proceeds from the reasonable assumption that pronounced judgment and on which basis he
the accused’s submission to rehabilitation and then, in fact, applied for probation, the previous
reform is indicative of remorse. And in verdict could only be deemed to have lapsed into
prohibiting the trial court from entertaining an finality. Section 7, Rule 120, of the Rules on
application for probation if the accused has Criminal Procedure that states
perfected his appeal, the State ensures that the
accused takes seriously the privilege or clemency Sec. 7. Modification of
extended to him, that at the very least he judgment. A judgment of conviction may,
disavows criminal tendencies. upon motion of the accused, be modified
Consequently, this Court’s grant of relief to or set aside before it becomes final or
herein accused whose sentence was reduced by before appeal is perfected. Except where
this Court to within the probationable limit, with a the death penalty is imposed, a judgment
declaration that accused may now apply for becomes final after the lapse of the period
probation, would diminish the seriousness of that for perfecting an appeal, or when the
privilege because in questioning his conviction sentence has been partially or totally
accused never admitted his guilt. It is of no satisfied or served, or when the accused
moment that the trial court’s conviction of has waived in writing his right to appeal,
petitioner for frustrated homicide is now or has applied for probation-implements a
corrected by this Court to only attempted substantive provision of the Probation Law
homicide. which enunciates that the mere filing of
Petitioner’s physical assault on the victim an application for probation forecloses the
with intent to kill is unlawful or criminal right to appeal.
regardless of whether the stage of commission Sec. 4. Grant of Probation.
was frustrated or attempted only. Allowing the Subject to the provisions of this Decree,
petitioner the right to apply for probation under the trial court may, after its hall have
the reduced penalty glosses over the fact that convicted and sentenced a defendant, and
accused’s availment of appeal with such upon application by said defendant within
expectation amounts to the same thing: the period for perfecting an appeal,
speculation and opportunism on the part of the suspend the execution of the sentence
accused in violation of the rule that appeal and and place the defendant on probation for
probation are mutually exclusive remedies. such period and upon such terms and
conditions as it may deem best:
WILLY TAN y CHUA vs. PEOPLE OF THE Provided, that no application for
PHILIPPINES probation shall be entertained or granted
G.R. No. 148194: April 12, 2002 if the defendant has perfected the appeal
from the judgment or conviction.
FACTS: Willy Tan was found guilty of bigamy, Probation may be granted whether the
and then he applied for probation which was sentence imposes a term of imprisonment
37 Non-Institutional Correction Instructional Material
Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
 or a fine only. An application for probation HELD:
shall be filed with the trial court. The filing Presidential Decree No. 1990, enacted on
of the application shall be deemed a October 5, 1985, "was printed in Volume 81 of
waiver of the right to appeal. the Official Gazette dated December 30, 1985 but
An order granting or denying probation said issue was released for circulation only on July
shall not be appealable. Such a waiver amounts 1, 1986; hence, P D 1990 became effective after
to a voluntary compliance with the decision and fifteen (15) days from July 1, 1986, in accordance
writes finis to the jurisdiction of the trial court with Article 2 of the Civil Code, or on July 16,
over the judgment. There is no principle better 1986."It is not ex post facto in its application. The
settled, or of more universal application, than law applies only to accused convicted after its
that no court can reverse or annul, reconsider or effectivity. An ex post facto law is one that
amend, its own final decree or judgment. Any punishes an act as a crime which was innocent at
attempt by the court to thereafter alter, amend or the time of its commission. Presidential Decree
modify the same, except in respect to correct No. 1990, like the Probation Law that it amends,
clerical errors, would be unwarranted. is not penal in character. It may not be
considered as an ex post facto law.
DANIEL G. FAJARDO vs. COURT OF APPEALS At the time of the commission of the
G.R. No. 128508: February 1, 1999 offense charged — violation of Batas Pambansa
Bilang 22— in 1981, petitioner could have
FACTS: appealed if convicted and still availed himself
On May 26, 1988, the Regional Trial Court, of probation. However, petitioner was convicted
Branch 33, Iloilo City, convicted petitioner of on May 26, 1988, and he appealed. At that time,
violation of Batas Pambansa Bilang 22, and petitioner no longer had the option to appeal and
sentenced him to suffer the penalty of eight (8) still apply for probation if unsuccessful in the
months imprisonment and to pay the costs, in appeal. Presidential Decree No. 1990 was then in
Criminal Case No. 14196. He appealed to the full effect. Hence, he could no longer apply for
Court of Appeals. By decision promulgated on probation since he had appealed. On October 13,
February 27, 1990, the Court of Appeals affirmed 1997, the Solicitor General submitted a
the conviction. Upon the remand of the record to manifestation positing the view that petitioner's
the lower court, on June 2, 1995, petitioner filed a application for probation may still be considered
motion for probation contending that he was because when petitioner committed the offense
eligible for probation because at the time he in 1981, he could avail himself of probation since
committed the offense in 1981, an accused who the law as it stood at that time provided that an
had appealed his conviction was still qualified to accused convicted of a crime may apply for
apply for probation and that the law that barred probation even if he had appealed the conviction.
an application for probation of an accused who We do not share his view. The case he cited is a
had interposed an appeal was ex post facto in its Court of Appeals decision, and, hence, not a
application, and, hence, not applicable to him. On precedent. What is more, it is inapplicable
January 5, 1996, the trial court denied petitioner's because there, the accused's conviction became
motion for probation. On July 29, 1996, petitioner final on October 14, 1985. Presidential Decree No.
filed with the Court of Appeals a petition for 1990 although enacted on October 5, 1985, was
certiorari to annul the lower court's denial of his published in the Official Gazette on December 30,
application for probation. On November 12, 1996, 1985, and,hence, was not yet applicable at the
the Court of Appeals denied due course to the time the accused was finally convicted.
petition. Hence, this appeal. Regrettably, the Solicitor General has cited a
Court of Appeals decision that is inapplicable to
ISSUE: this case because the facts were not similar. We
Whether or not the petitioner is qualifying find it unnecessary to resolve the other issues
to apply for probation under Presidential Decree that petitioner has raised questioning the
No. 968 since he had appealed from his constitutionality and wisdom of Presidential
conviction in 1988, after Presidential Decree No. Decree No. 1990, amending the probation law.
1990 amending Presidential Decree No. 968,
became effective in 1986, providing that "no PATERNO DE LOS SANTOS, JR. vs. COURT OF
application for probation shall be entertained or APPEALS
granted if the defendant has perfected the appeal G.R. No. 181306: March 21, 2011
from the judgment of conviction.

38 Non-Institutional Correction Instructional Material

Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
FACTS: Paterno de los Santos, Jr. was found appeal — that when his conviction is finally
guilty of the crime of intentional abortion,and affirmed on appeal, the moment of truth well-
then he filed an application for probation. It was nigh at hand and the service of his sentence
ruled that he is ineligible to apply for probation, inevitable, he now applies for probation as an
considering the fact that he has waived his right "escape hatch," thus, rendering nugatory the
to avail the benefits of probation law when he appellate court's affirmance of his conviction.
appealed the judgment of conviction by the trial Consequently, probation should be availed of at
court. the first opportunity by convicts who are willing
to be reformed and rehabilitated; who manifest
ISSUE: Whether petitioner is entitled to the spontaneity, contrition and remorse.
benefits of probation, considering that he had Considering that the prevailing
appealed his conviction, contrary to the provision jurisprudence treats appeal and probation as
of Section 4, P.D. 968, as amended by P.D. 1990. mutually exclusive remedies, and petitioner
opted to appeal his conviction, he, therefore,
HELD: Probation is a special privilege granted by deemed to relinquish his right to the benefits of
the State to a penitent qualified offender. It probation.
essentially rejects appeals and encourages an
otherwise eligible convict to immediately admit
his liability and save the State the time, effort
and expenses to jettison an appeal. The pertinent
B. QUALIFIED AND
provision of the Probation Law, as amended, DISQUALIFIED
reads:
Sec. 4. Grant of Probation. Subject to the OFFENDERS FOR
provisions of this Decree, the trial court may, PROBATION
after it shall have convicted and sentenced a
defendant and upon application by said I. WHO ARE QUALIFIED TO PROBATION?
defendant within the period for perfecting an Any first-time convicted offender, 18 years of
appeal, suspend the execution of the sentence age and above not otherwise disqualified under
and place the defendant on probation for such PD 968 as amended can apply for probation
period and upon such terms and conditions as it before serving the sentence which may either be
may deem best; Provided, That no application for imprisonment of fine with subsidiary
probation shall be entertained or granted if the imprisonment, or both imprisonment and fine.
defendant has perfected the appeal from the The age of offender qualified for probation is
judgment of conviction. 18 years and above. PD 1179 which amended PD
It is undisputed that petitioner appealed from 603 lowered the age of youthful offenders under
the decision of the trial court. This fact alone 18 years old.
merits the denial of petitioner's Application for AS GENERAL RULE probation applies to all
Probation. Having appealed from the judgment of sentenced or convicted offenders - All first-time
the trial court and having applied for probation offenders convicted of crimes punished by
only after the Court of Appeals had affirmed his imprisonment of not more than 6 years
conviction, petitioner was clearly precluded from
(maximum of 6 years). Except the following:
the benefits of probation.
1. Those entitled to the benefits of PD 603
Furthermore, it was clear that when petitioner
as amended otherwise known as the Child
filed his appeal before the appellate court, what
and Youth Welfare Code. Hence, an
he was questioning was the merit of the decision
offender who is under 18 years of age
convicting him and not the propriety of the
must be dealt with in accordance with the
penalty imposed by the trial court for the purpose
more liberal and beneficent provisions of
of correcting a wrong penalty — to reduce it to
PD 603.
within probational range. By perfecting his
Incidentally, Art 192 PD 603 as
appeal, petitioner, therefore, ipso facto
amended gives the youthful offender a
relinquished the alternative remedy of availing of
choice as to whether he will be dealt with
the Probation Law.
as a youthful offender under PD603 or as
The law expressly requires that an
adult offender under PD 968 as amended.
accused must not have appealed his conviction
If he does not apply under PD603 as
before he can avail himself of probation. This
amended, he treated as an adult offender.
outlaws the element of speculation on the part
of the accused — to wager on the result of his
39 Non-Institutional Correction Instructional Material
Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
 In such a case, two options are open to Alejo Cuyo the amount of P10, 000 for attorney’s
him, namely: fees and litigation expenses.
a. To simply serve his sentence
b. To apply of probation under PD 968 as Petitioner was not present during the
amended promulgation of the judgment and was
2. Those that are found Guilty in violation of represented by his counsel instead. His motion
R.A 6425, otherwise known as the for reconsideration was denied on October 23,
Dangerous Drug Act of 1972 as amended 2009. He subsequently filed a Motion for
by Republic Act No. 9165. Hence, its Probation on November, 5, 2009 but is denied on
beneficiaries, drug dependents, must be the ground that it had been filed beyond the
subjected to the confinement, treatment reglementary period of fifteen days as provided
and rehabilitation measures provided in Sec. 4 of P.D. 968.
therein. Even those who are below twenty
one years of age who are found guilty of ISSUE: Whether or not the petitioner is entitled
possessing or using prohibited or to the benefits of probation.
regulated drugs must be treated under the
provisions of R.A 6425. HELD: This court held that the RTC that the
3. Those offenders who has not been Motion for Probation was filed out of time. Sec. 6
convicted and sentenced. of Rule 120 of the Rules of Court provides:
4. Those that are found guilty in violation of Promulgation of judgment - The judgment is
BP 881 as amended by BP 882,883 and promulgated by reading it in the presence of the
884 otherwise known as the Omnibus accused and any judge of the Court in which it
Election Code of the Philippines. was rendered. However, if the conviction is for
5. Those who are found guilty in violation of alight offense, the judgment may be pronounced
PD 1987 (an act creating the Video in the presence of his counsel or representative.
gram Regulatory) When the judge is absent or outside the province
6. Those that are found guilty in violation of or city, the judgment may be promulgated by the
RA 6727 otherwise known as the Wage clerk of court. In case the accused fails to appear
Rationalization Act. at the scheduled date of promulgation of
judgment despite notice, the promulgation shall
QUESTION be made by recording the judgment in the
Are all convicted persons who are not criminal docket and serving him a copy thereof at
disqualified entitled to probation his last known address or thru his counsel. If the
automatically? judgment is for conviction and the failure of the
No. Under PD 968; the court will not grant accused to appear was without justifiable cause,
probation if after investigation conducted by he shall lose the remedies available in these
the probation officer, it finds that: Rules against the judgment and the court shall
1. The offender can be treated better in an order his arrest. Within fifteen (15) days from
institution or other places for correction; promulgation of judgment, however, the accused
2. The offender is a risk to the community; may surrender and file a motion for leave of court
3. Probation will depreciate the gravity of to avail of these remedies. He shall state the
the offense. reasons for his absence at the scheduled
promulgation and if he proves that his absence
was for a justifiable cause, he shall be allowed to
ANSELMO DE LEON CUYO vs. PEOPLE OF avail of said remedies within fifteen (15) days
THE PHILIPPINES from notice. (Emphasissupplied.)
G.R. No. 192164: October 12, 2011 Petitioner was charged with and found guilty
of perjury. He was sentenced to suffer
FACTS: On August , 25, 2009, Branch 1 of the imprisonment of 4 months and 1 day to 1 year, a
Municipal Trial Court in Cities (MTCC) in San period which is considered as a correctional
Fernando City, La Union, found petitioner guilty penalty. Under Article 9 of the Revised Penal
beyond reasonable doubt of the offense of Code, light felonies are those infractions of law
perjury under Article 183 of the Revised Penal for the commission of which the penalty of
Code and sentenced him to imprisonment of four arresto menor (one to thirty days of
(4) months and one (1) day to one (1) year. He imprisonment) or a fine not exceeding two
was likewise ordered to pay private complainant hundred pesos (P200), or both are imposable.
Thus, perjury is not a light felony or offense
40 Non-Institutional Correction Instructional Material
Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
contemplated by Rule 120, Sec. 6. It was 3. Those who have previously been
therefore mandatory for petitioner to be present convicted by final judgment of an offense
at the promulgation of the judgment. punished by imprisonment of not less than
To recall, despite notice, petitioner was one month and one day and/or a fine of
absent when the MTCC promulgated its judgment not less than Two Hundred Pesos;
on 25 August 2009. Pursuant to Rule 120, Sec. 6,
it is only when the accused is convicted of a light PREVIOUS FINE:
offense that a promulgation may be pronounced CONVICTION
in the presence of his counsel or representative.  if one month -  less than two
In case the accused failed to appear on the qualified for hundred pesos -
scheduled date of promulgation despite notice, probation qualified for
and the failure to appear was without justifiable  if one month and probation
cause, the accused shall lose all the remedies one day or more  two hundred pesos
available in the Rules against the judgment. - disqualified for or more -
probation disqualified for
probation
II. DISQUALIFIED OFFENDERS FOR
PROBATION (Section 9, PD 968) 4. Those who have been ONCE on probation
Under Section 9 of PD 968, the benefits of under the provisions of PD No. 968, as
probation shall not be extended to: amended;
1. Those sentenced to serve a MAXIMUM Accordingly, one who has been on
TERM of imprisonment of MORE THAN SIX probation only under the child and Youth
(6) YEARS; Welfare Code as amended and the
Note: the six years maximum refers to the Dangerous Drugs Code of 1972 as
sentence actually imposed, and not that amended will not be disqualified. The
prescribed by law for the offense reason form this is that the treatment
committed. given under those latter laws is of a
2. Those convicted of subversion or any different kind from that under PD 968 as
crime against the national security or amended.
public order; 5. Those who are already serving sentence
at the time substantive provisions of the
CRIMES AGAINST CRIMES AGAINST decree became applicable pursuant to
NATIONAL PUBLIC ORDER section 33 of PD 968. (As amended by
SECURITY BP Blg. 76, and PD 1990, October 5,
1. Treason 1. Rebellion or 1985)
2. conspiracy and insurrection
proposal to 2. Conspiracy and Technically speaking probation cannot cover
commit treason proposal to the following, non-offenders; offenders not yet
3. misprision of commit rebellion convicted and convicted offenders but with a
treason 3. Sedition sentenced exceed 6 years.
4. espionage 4. Conspiracy to
5. inciting to war or commit sedition ALEJANDRA PABLO vs.HON. SILVERIO Q.
giving motives for 5. Inciting to CASTILLO
reprisals sedition G.R. No. 12510: August 3, 2000
6. violation of 6. Acts tending to
neutrality prevent the FACTS: Alejandra Pablo was convicted of a
7. correspondence meeting of violation of Batas Pambansa Bilang 22. She
with hostile assembly and applied for probation and was later denied.
country similar bodies
8. flight to enemy’s 7. Disturbance of ISSUE: Whether or not the he should be denied
country proceedings probation on the ground of disqualification from
9. piracy 8. Direct assault probation under Section 9 of P.D. 968.
10. qualified piracy 9. Indirect assault
10. Coup d’etat HELD: The Court ruled that under Section 9 of
the Probation Law, P.D. 968, the following

41 Non-Institutional Correction Instructional Material

Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
offenders cannot avail of the benefits of
probation:
a) Those sentenced to serve a maximum
C.REQUIREMENTS AND
term of imprisonment of more than six PROCEDURE IN THE
years;
b) Those convicted of subversion or any APPLICATION OF
crime against the national security or the PROBATION
public order;
c) Those who have previously been
QUESTION
convicted by final judgment of an offense
Is there a need to apply for probation to
punished by imprisonment of not less than one
avail of its benefits?
month and one day and/or fine of not less than two
Yes, it will not be granted except upon the
hundred pesos;
application by the accused. The necessity for
d) Those who have been once on probation
such application is indicated in Sec. 4, PD 968,
under the provisions of this decree; and
which states that “the trial court may, after it
e) Those who are already serving sentence
shall have convicted and sentenced a
at the time the substantive provisions of
defendant and upon application by said
this decree became applicable pursuant to
defendant within the period of perfecting an
section 33 hereof.
appeal.
The National Probation Office denied
NOTA BENE: Under Presidential Decree No.
petitioners application for probation under
1990, no application for probation shall be
Section 9 paragraph (c) P.D. 968 because a prior
entertained of granted if the defendant has
conviction was entered against the petitioner on
perfected an appeal from judgment of conviction.
June 21, 1995 in Criminal Case No. 94-0199,
The filing of the application shall be deemed a
penalizing her with a fine of P4,648.00; there by
waiver of a right to appeal.
placing her within the ambit of disqualification
from probation under Section 9 paragraph (c)
of P.D. 968.It is a basic rule of statutory QUESTIONS
construction that if a statute is clear, plain and Is there a form prescribed for the
free from ambiguity, application for probation?
it must be given its literal meaning and Yes, it shall be in the form approved be the
applied without any interpretation. Not only that; Secretary of justice as recommended by the
in the matter of interpretation of laws on Administrator or as may be prescribed by the
probation, the Court has pronounced that "the SC
policy of liberality of probation statutes cannot What is the effect of filing an application
prevail against the categorical provisions of the for probation?
law."Section 9 paragraph (c) is in clear and plain The court may, upon receipt of the application
language, to the effect that a person who was suspend the execution of sentence imposed in
previously convicted by final judgment of an judgment.
offense punishable by imprisonment of not less
than one month and one day and/or a fine of not I. WHERE AND WHEN TO FILE THE PETITION
less than two hundred pesos, is disqualified from FOR PROBATION?
applying for probation. This provision of law is The application for probation shall be filed by
definitive and unqualified. There is nothing in sentenced or convicted offender whose sentence
Section 9, paragraph (c) which qualifies "previous is not more than 6 years imprisonment. It shall be
conviction" as referring to a conviction for a crime filed with the court that tried and sentenced the
which is entirely different from that for which the offender.
offender is applying for probation or a crime
which arose out of a single act or transaction as WHERE: A petition for probation shall be filed by
petitioner would have the court to understand. It the applicant for probation or the petitioner with
is well-settled that the probation law is not a the courts that tried and sentenced the
penal statute; and therefore, the principle of offender at any time before the imprisonment
liberal interpretation is inapplicable. And when starts.
the meaning is clearly discernible from the
language of the statute, there is no room for WHEN: Any time before the offender starts
construction or interpretation. serving his sentence but within period for

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Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
perfecting an appeal or fifteen (15) days from should be entertained by the court by
the promulgation or notice of the judgment of ordering the probation officer to conduct
conviction. an investigation (PSI) of the offender
provided he is not disqualified under the
However, under Section 42 of R.A. 9344, the decree.
Juvenile Justice and Welfare Act of 2006, the While it is discretionary with the court to
court may, after it shall have sentenced a Child In grant or deny an applicant for probation, the
Conflict with the Law and upon application at Probation Law requires that an investigation
anytime placed the child on probation in lieu of be first conducted by the probation officer
service of his sentence. who shall submit his report within 60 days
from receipt of the court’s order. However,
II. PROCEDURE UNDER PD NO. 968 – the court may in its discretion extend the 60
Probation and Parole Flow Chart – See days period. Only thereafter shall the court
Appendix resolve the application, an outright denial by
The following are the procedure in the the court is a nullity correctable by certiorari.
application for probation: (De Luna vs. Hon. Medina, CA 78 D.G.
599; Del Rosario vs. Hon. Rosero, GR
1. The defendant must file a petition before the 65004, Nov. 29, 1983)
trial court which exercise jurisdiction over
his case; an application for probation after he To summarize, the following are the procedures
has been sentenced but before he begins to in Applying for Probation:
serve the sentence. There are two forms of
petition: WRITTEN and ORAL. 1 The offender or his counsel files a petition
NOTA BENE: But for purposes of recording, with the convicting court within 15 days
application made orally should be reduced from promulgation of judgment.
into writing.
2 The court determines convict qualifications
2. If the defendant has been convicted and has and notifies the prosecutor of the filing of
appealed the sentence of conviction, an the petition
application for probation cannot be
entertained. As a general rule, No 3 The prosecutor submits his comments on
application for probation shall be such application within 10 days from
entertained or granted if the defendant receipt of the notification.
has perfected an appeal from the
judgment or conviction. 4 If petitioner is qualified, his application is
NOTA BENE: Filing an application shall be referred to the probation officer for post-
deemed a waiver of the right to appeal. sentence investigation

QUESTION 5 The post-sentence investigation report

What then is the duty of the court after (PSIR) is submitted by the probation officer
Receipt of the application? The trial court to the court within 60 days
may notify the concerned prosecuting officer
of the application at a reasonable time before 6 Pending investigation and resolution,
the scheduled hearing thereof. accused may be temporarily released (if
there is already a bail, then on same bail)
3. Notice to the prosecuting officer: The
prosecuting officer concerned shall be 7 The court grants or denies the petition for
notified by the court of the filing of such probation within 15 days upon receipt of
application. The prosecuting officer must the PSIR.
submit his comment on such application
within 10 days from receipt of the notification
NOTA BENE:
 If the accused is convicted and sentenced
4. Referral to probation office: If the court
to multiple penalties, the periods are not
finds that the petition is in due form and that
added up. Only the maximum shall be
the petitioner appears not to be disqualified
considered.
for the grant of probation. The probation
 Once probation period is terminated, the

43 Non-Institutional Correction Instructional Material

Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
 accused is restored to all his civil rights lost PAROLE AND PROBATION ADMINISTRATION
or suspended. OMNIBUS RULES ON PROBATION METHODS
III. REQUISITES BEFORE AN OFFENDER CAN AND PROCEDURE.
BE PLACED ON PROBATION
1. A post sentence investigation by the Section 14. Assignment. - After receipt from
officer; the Trial Court, the City or Provincial Parole and
2. A determination by the court that the end Probation Office concerned, through the CPPO
of justice will be served and the best shall assign the same to the office clerk for
interest of the public and that of the docketing and eventual assignment to a
offender will be served thereby. subordinate investigating Probation Officer for the
The probation officer shall submit to the court conduct of the PSI or conduct such investigation
within 60 days from receipt of the order the himself.
investigation report on the offender, the petition
for probation shall be resolved by the court within Section 15. Initial Interview Work Sheet:
15 days from receipt of report. Probation order Waiver. –
unless otherwise provided takes effects upon its Within five (5) working days from receipt of
issuance, the order granting or denying the said delegated assignment (or self -assignment),
probation is not appealable. the investigating Probation Officer on case (or
Chief Probation and Parole Officer) shall initially
interview the applicant if he appeared in the
D. POST SENTENCE Probation Office upon response to the seventy-
INVESTIGATION (PSI) two (72) hours limitation given to him by the Trial
Court. If not, the Probation Officer on case may
AND POST SENTENCE write the applicant in his court given address, or
INVESTIGATION REPORT personally visit applicant's place to schedule an
initial interview at the Probation Office.
(PSIR) (SECTION 5, PD During such initial interview, the Probation
Officer on case or CPPO shall require the
968) applicant to accomplish and sign a Post-Sentence
Investigation Work Sheet (PPA Form1). The
Under Section 5 of PD 968, no person shall investigating Probation Officer on case or CPPO
be placed on probation except upon prior shall conduct further investigation based on the
investigation by the probation officer and a information contained therein.
determination by the court that the ends of A Waiver-Cum-Authorization (PPA Form 2),
justice and the best interest of the public as well authorizing the PPA and/or Probation Office to
as that of the defendant will be served thereby. secure any and all information on the applicant,
shall be duly executed and signed by him.
QUESTION
What is post sentence investigation? Section 17. Collateral Information. - During
An investigation conducted by a probation the conduct of the PSI, collateral information
agency or other designated authority at the must be gathered from those persons who have
request of a court into the past behavior, family direct personal knowledge of the applicant,
circumstances, and personality of an adult who offended party, family member, and/or their
has been convicted of a crime, to assist the relatives, including barangay officials and
court in determining the most appropriate disinterested persons.
sentence.
It refers to the investigation conducted by a Section 18. Subsequent or Further
probation officer to obtain information Interviews. - To obtain additional data, counter
regarding petitioner’s character, antecedents, check, or clarify discrepancy/ies between the
environment, mental and physical condition information received from the applicant and
with the aim of determining whether the latter those secured from other sources, the
is qualified and suitable for released under Investigating Probation Officer on case or CPPO
probation. may conduct subsequent or further interviews on
the applicant and/or other persons as deemed
A. ASSIGNMENTS AND INITIAL INTERVIEW appropriate.
WORK SHEET

44 Non-Institutional Correction Instructional Material

Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
Section 19. Nature of Interview. - The data institutional and community resources available
and information gathered from the interview of for his rehabilitation.
the applicant and/or other persons and from In case applicant has a criminal record(s),
other collateral informants, as well as law such should be verified with the proper
enforcement agencies, shall be strictly privileged Government agency as to its
and confidential in nature. During such interview disposition/resolution which has/have to be
and information-gathering processes, the properly reflected in the PSIR.
applicant does not necessarily need to be For the sake of obtaining additional
represented and assisted by counsel. information or clarify conflicting data, the
investigating Probation Officers on case may
Section 20. Confidentiality of Post-Sentence conduct further investigation and interview to
Investigation Information. – The investigating avoid discrepancies of facts/information.
Probation and Parole Officer on case or CPPO The investigating Probation Officer on case or
shall inform the applicant of the confidential CPPO shall assess and recommend or prescribe
nature of the information taken during the PSI the suitable probation treatment and supervision
and the limited scope and extent, whereby said program upon the applicant, if granted probation.
information, may be disclosed only to some
statutorily designated authorities and entities C. FORMS OF PSI (SECTION 6, PD 968)
pursuant to Section 17 of PD 968, as amended, Section 6 of PD 968 - The investigation
and Section 64 of these Rules. report to be submitted by the probation officer
under Section 5 hereof shall be in the form
NOTA BENE: Information shall be privileged and prescribed by the Probation Administrator and
shall not be revealed directly or indirectly except approved by the Secretary of Justice.
to (a) Probation Administration (b) the court
concerned. A violation of confidential nature of D. STAGE OF POST-SENTENCE
probation records is an offense. Penalty is INVESTIGATION
imprisonment from 6 months and 1 day1 to 6 The following are the stage of post
years and fine from P600 to P6, 000. investigation:

Section. 21. Absconding Applicant. – If the 1. PRELIMINARY PROCEDURE - The probation

applicant whose application for probation has officer upon receipt of the order from the
been given due course by the proper court has court shall assign the same to a probation
failed to present himself/herself to the proper officer to conduct the post-sentence
Office within seventy-two (72) hours from his/her investigation.
receipt of the Probation Order or within
reasonable time therefrom, said Office shall first 2. INITIAL INTERVIEW - within 5 working days
exert best diligent efforts to inquire on, search, from receipt of the court order, the probation
find and locate his/her whereabouts before it officer assigned shall interview the petitioner.
shall report such fact with appropriate In the said interview, the probation officer
recommendation to the proper court, considering shall require the petitioner to accomplish
the surrounding circumstances of place, date and under oath a worksheet (P.A. form no. 1) the
time, his/her health condition and other related information contained in the worksheet shall
factors. serve as the basis of further investigation. The
petitioner shall also sign a waiver (P.A. form
B. SCOPE AND EXTENT no. 2) authorizing the probation
Section 16 of Parole and probation administration to secure any and all pertinent
administration omnibus rules on probation documents and information.
methods and procedure. Scope and Extent. -
After accomplishing the Post-Sentence 3. INVESTIGATION - upon completion of the
Investigation Work Sheet and the Waiver-Cum- worksheet, the probation officer shall conduct
Authorization, the same shall be immediately a thorough investigation on the antecedents,
submitted to the Probation Office. The mental and physical condition, character, and
investigating Probation Officer on case or CPPO socio-economic status of the petitioner. For
shall conduct a thorough investigation on the collateral information, person who has
antecedents, mental and physical condition, knowledge of the petitioner, of the victim and
character, socio-economic status, and criminal or the relatives shall be interviewed. The
records, if any, of the applicant and the probation officer shall determine and
45 Non-Institutional Correction Instructional Material
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“This is for criminological purposes and therefore not for sale”
 recommend the manner by which the the public primarily, as well as that of the
petitioner will be supervised if granted applicant, would be served by the grant or denial
probation. of the application.

NOTA BENE: Information gathered from the G. NATURE OF THE RECOMMENDATION

interview of petitioner and the collateral Section 25 of Parole and probation
information sources shall be confidential in administration omnibus rules on probation
nature. methods and procedure - The nature of the
recommendation for the grant or denial of
probation in the PSIR report is merely
4. ISSUANCE OF POST-SENTENCE PERSUASIVE IN NATURE addressed to the
INVESTIGATION (PSI) REPORT -upon the sound discretion of the Trial Court considering
completion of the post-sentence investigation, that the denial or grant of probation is a judicial
the probation of officer shall submit a post- function.
sentence investigation report (P.A. form no.
3) to the trial court within the prescribed H. SIGNATORIES
period. Section 25 of Parole and probation
administration omnibus rules on probation
The report shall be sign by the investigating methods and procedure - The PSIR shall, as a
probation officer and approved by the head of rule be prepared by the investigating Probation
the probation office. Officer on case and approved by the CPPO. Both
shall initial each and all the pages thereof, except
QUESTION the last page on which they shall affix their
Is the petitioner had Right to Counsel respective signatures.
During the post-sentence investigation
and covered by Republic Act No. 7438? I. PERIOD FOR SUBMISSION OF
INVESTIGATION REPORT (SECTION 7, PD
During the post-sentence investigation 968)
petitioner had no Right to Counsel. The Section 7 of PD 968 - The probation officer
probation law has no provision shall submit to the court the investigation report
guaranteeing the right to counsel in the on a defendant not later than sixty days from
investigation of a petitioner. The receipt of the order of said court to conduct the
constitutional guarantee of right to counsel investigation. The court shall resolve the petition
will not apply because the investigation by for probation not later than five days after receipt
the probation officer is neither prosecutory of said report.
nor accusatory in character.
Further petitioner as well is not covered by QUESTION
Republic Act No. 7438 providing right of the Can the offender be released while his
accused during custodial investigation. application for probation is pending?
Yes, at the discretion of the court. Pending
E. POST SENTENCE INVESTIGATION REPORT submission of the PSIR and the resolution of
(PSIR) the petition for probation, the defendant may
Post sentence investigation report is referring be ALLOWED temporary liberty or
to the report submitted by a probation officer released by virtue of BAIL.
within 60 days from receipt of the order of said a. On the same bond he filed during the trial
court to conduct the investigation containing in the criminal case,
his/her recommendation in the grant or denial of b. On a new bond or
the application for probation. To the custody of a responsible member of
the community if unable to file a bond - In case
F. PURPOSE OF POST SENTENCE NO BAIL was filed or that defendant is
INVESTIGATION REPORT incapable of filing one, court may allow the
Section 23 of Parole and probation release of defendant on RECOGNIZANCE to
administration omnibus rules on probation the custody of a responsible member of
methods and procedure. - The PSIR aims to the community who shall guarantee his
enable the Trial Court to determine whether or appearance whenever required by the court
not the ends of justice and the best interest of (sec. 21, rule 114-Rules on Criminal Procedure)

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 especially if he plans to reside thereat
Pending submission of the investigation report while on probation, if ever his application
and the resolution of the petition, the defendant will be granted; and
may be allowed on temporary liberty under his l. Other analogous and related matters.
bail filed in the criminal case; Provided, That, in
case where no bail was filed or that the Others:
defendant is incapable of filing one, the court a. Psycho- social information regarding the
may allow the release of the defendant on petitioner.
recognize the custody of a responsible member of b. Evaluation of petitioner suitability for
the community who shall guarantee his probation and his potential for social
appearance whenever required by the court. reintegration into the community.
c. A recommendation to either grant the
J. CONTENTS OF PSIR (SECTION 24 OF petition for probation with program of
PAROLE AND PROBATION supervision and the suggested terms and
ADMINISTRATION OMNIBUS RULES ON condition for probation, or deny the
PROBATION METHODS AND PROCEDURE) petition for probation.
a. The circumstances surrounding the crime d. Information regarding the petitioner
or offense for which the applicant was financial capability to meet or satisfy his
convicted and sentenced, taken from the civil obligation if any.
applicant himself, offended party and To obtain additional data or clarify
others, who might have knowledge of the discrepancies between the information received
commission of the crime or offense, and from the applicant and those secured from other
pertinent information taken from the sources, the investigating Probation Officer
police and other law enforcement and/or Chief Parole and Probation Officer may
agencies, if any, and Trial Court records; conduct such subsequent or further interviews on
b. Details of other criminal records, if any; the applicant and/or other persons as may be
c. Personal circumstances, educational, deemed proper and necessary
economic and socio-civic data and
information about the applicant;
d. Characteristics of applicant, employable
E.RESOLUTION AND GRANT
skills, employment history, collateral OF THE PETITION FOR
information;
e. Evaluation and analysis of the applicant's PROBATION
suitability and legal capacity for probation
and his potential for rehabilitation, reform, I. PERIOD TO RESOLVE THE APPLICATION
development, transformation and re- FOR PROBATION
integration into the community; Under Section 31 of Parole and Probation
f. Recommendation to: (A) grant the Administration Omnibus Rules on Probation
application, including probation period, Methods and Procedure. The application for
probation conditions and probation probation shall be resolved by the Trial Court not
treatment and supervision plan/program; later than fifteen (15) days from the date of its
or (B) deny the application; receipt of the PSIR. Since probation is privilege,
g. Data and information on the applicant's its grant rest solely upon the discretion of the
financial condition and capacity to pay, his court. Therefore, court may grant or dismiss it.
civil liability, if any;
h. Results of findings of drug, psychological II. GRANT OF THE PETITION
and clinical tests conducted, if any; Once probation is granted, the execution of
i. Results of criminal records, if any, whether sentence will be suspended. The court if grants
decided or still pending the petition will issue the appropriate
j. Furnished by various law enforcement Probation Order and the petitioner will be
agencies tapped by the Probation Office release to the community subject however to the
for such purpose; terms and condition imposed by the court, with
k. Result(s) of courtesy investigation, the supervision of probation officer.
whether GCI/FBCI or PGCI (See Sec. 27 of If the court grants probation – the court
these Rules), if any, conducted in the birth imposes condition that defendant seems to be
place or place of origin of applicant

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“This is for criminological purposes and therefore not for sale”
arbitrary – mental, must he does need In addition, Section 33 of Parole and Probation
instruction. Administration Omnibus Rules on Probation
Methods and Procedure states that a probation
QUESTION order shall take effect upon its issuance, at which
What is the effect of probation on time the court shall inform the offender of the
accessory Penalties? consequence thereat and explain that upon his
Accessory penalties are deemed suspended failure to comply with any of the conditions
once probation is granted. (Baclayon vs. prescribed in the said order or his commission of
Mutia. 129 SCRA, 148) another offense under which he was placed on
probation.
III. EFFECT OF THE GRANT OF PROBATION.
Under Section 32 of Parole and Probation V. DEFENDANT MAY REJECT GRANT OF
Administration Omnibus Rules on Probation PROBATION
Methods and Procedure the following are the The law does not oblige the defendant to
Effect of the Grant of Probation: accept the probation granted by the court. He
(a) Probation is but a mere privilege and as such, should, indeed, be allowed to turn down the same
its grant or denial rests solely upon the sound grant especially since he might feel that the
of discretion of the Trial Court. After its grant terms and conditions thereof are too onerous
it becomes a statutory right and it shall only (burdensome) for him.
be canceled or revoked for cause and after
due notice and hearing. VI. EFFECT OF DISMISSAL OF THE PETITION
(b) The grant of probation has the effect of What will happen if the application for
suspending the execution of sentence. The probation is denied?
Trial Court shall order the release of the The offender will be sent by the sentencing court
probationer's cash or property bond upon to prison to serve his sentence.
which he was allowed temporary liberty as
well as release the custodian on ROR from his NOTA BENE: AS A GENERAL RULE THE
undertaking. GRANT OR DENIAL OF PROBATION IS NOT
Upon receipt of the Probation Order granting APPEALABLE. However, a Certiorari may lie
probation the same shall be entered in a Docket on the ground of Grave abuse of discretion –
Book for proper recording. certiorari – not on appeal. Here he does not
An order of denial shall be docketed as well. question the finding of facts of the trial court but
only the reasonableness of the order based
IV. EFFECTIVITY OF THE PROBATION ORDER therein.
(SECTION 11, PD NO. 968) Neither the prosecution nor defendant may
Under Section 11 of PD 968, a probation ask as a matter of right seek review by
order shall take effect upon its issuance, at which superior court of the order of the trial court
time the court shall inform the offender of the or before the superior court the findings of facts
consequences thereof and explain that upon his of the trial court.
failure to comply with any of the conditions
prescribed in the said order or his commission of EFREN SALVAN vs. THE PEOPLE OF THE
another offense, he shall serve the penalty PHILIPPINES
imposed for the offense under which he was G.R. No. 153845. September 11, 2003
placed on probation.
A probation order shall take effect upon its FACTS: Efren Salvan, a bus driver, was convicted
receipt by the petitioner, and on the same of reckless imprudence resulting in homicide for
date the probation period shall commence, the death of John Barry Abogado. He filed a
unless otherwise specified by the court. motion for partial reconsideration, which was
Upon the issuance of the probation order, the later denied, and an application for probation. He
court shall inform the probationer of the then filed a notice of partial appeal which was
consequences thereof and explain upon his denied for the reason that the application for
failure to comply with any of the conditions in the probation is deemed under the law to be a waiver
said order, or his commission of another offense, of the right to appeal.
he shall serve the sentence originally imposed for
the offense for which he was placed on probation. ISSUE: Whether or not the denial or approval of
probation is appealable.

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“This is for criminological purposes and therefore not for sale”
HELD: We recall that the law which governs all which it arose. This was the finding in Budlongv.
matters relating to probation is Presidential Apalisok and Salgado v. Court of Appeals.
Decree No. 968, commonly known as the Thus, we rule that, in an appeal from a
Probation Law, as amended by Presidential judgment of conviction, the criminal liability and
Decree No. 1990. The provision of the law that is the civil liability ex delicto should be considered
pertinent to the current controversy reads: independently, each with its own corresponding
Sec. 4. Grant of Probation. Subject to the effects. In the present case, the law that bars an
provisions of this Decree, the trial court may, appeal of the judgment of conviction, as well as
after it shall have convicted and sentenced a its corresponding criminal liability, should not bar
defendant, and upon application by said an appeal of the civilaspect of the same
defendant within the period for perfecting an judgment.
appeal, suspend the execution of the sentence
and place the defendant on probation for such VII. INDEMNIFICATION
period and upon such terms and conditions as it Section 37. Indemnification of Parole and
may deem best; Provided, That no application for Probation Administration Omnibus Rules on
probation shall be entertained or granted if the Probation Methods and Procedure. –Payment
defendant has perfected the appeal from the for civil liability shall be done using the following
judgment of conviction. Probation may be modes:
granted whether the sentence imposes a term of (a) Payment can be given to the Clerk of Court of
imprisonment or a fine only. An application for the Trial Court, who will in return hand over
probation shall be filed with the trial court. The the sum to the victim who shall issue a
filing of the application shall be deemed a waiver corresponding receipt; a copy of which should
of the right to appeal. An order granting or be given by the probationer to the Probation
denying probation shall not be appealable. Office in order to monitor such payment;
Relying solely on the letter of the law, the (b) Payment may be deposited by the
filing of the application for probation should be probationer to the victim’s account where the
deemed a waiver of the right to appeal. However, bankbook is kept at the Probation Office to be
in the case of Budlong v. Apalisok, we had given to the victim for his proper disposition;
occasion to rule that the above provision of the (c) Payment can be affected directly to the victim
Probation Law clearly provides only for the and the receipt must be filed in the
suspension of the sentence imposed on the supervision record of the probationer kept at
accused by virtue of his application for probation. the Probation Office.
It has absolutely no bearing on civil liability. This Further, that the practice of giving the
ruling was clarified in Salgado v. Court of payment to the Supervising Probation Officer on
Appeals, wherein we ruled that, although the case (or the CPPO) to be remitted to the victim,
execution of sentence is suspended by the grant although with receipts, should be highly
of probation, it does not follow that the civil discourage and discontinued outrightly.
liability of the offender, if any, is extinguished.
The Probation Law prohibits a judge from
entertaining or granting an application for
F.CONTROL AND
probation if the defendant has perfected an SUPERVISION OF
appeal from the judgment of conviction. The fact
of conviction most certainly refers to the PROBATIONERS (SECTION
criminal liability of the accused, as a result of a 13, PD 968)
finding made by a judge that he is guilty of the Under Section 13 of PD 968, the
crime charged. However, the appeal in this case probationer and his probation program shall be
involved only the civil aspect of the trial courts under the control of the court who placed
judgment. Hence, we see no reason why, him on probation subject to actual supervision
between the conjoined criminal and civil aspects and visitation by a probation officer. Whenever a
of a felony, a line cannot be drawn marking probationer is permitted to reside in a place
where the one springs from the other. Even if by under the jurisdiction of another court, control
definition civil liability ex delict arises from the over him shall be transferred to the
criminal act, once its existence is established, it Executive Judge of the Court of First
should be treated separately from the criminal Instance of that place, and in such a case, a
liability. Indeed, there is even categorical copy of the probation order, the investigation
statutory basis to state that it subsists despite report and other pertinent records shall be
the extinguishment of the criminal liability from
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“This is for criminological purposes and therefore not for sale”
furnished said Executive Judge. Thereafter, the probationer, and under the supervision of
Executive Judge to whom jurisdiction over the the City or Provincial Parole and Probation
probationer is transferred shall have the power Office in the place to which he
with respect to him that was previously transferred.
possessed by the court which granted the Thereafter, the Executive Judge of the RTC to
probation. whom jurisdiction over the probationer is
Probationers report to their Probation Officer transferred shall have the jurisdiction and control
as often as indicated in the conditions of with respect to him which was previously
probation. The probation officer sees to it that the possessed by the Court which granted probation.
conditions of probation as given by the court are The receiving City or Provincial and Parole
followed. Probationers are helped to developed and Probation Office and the receiving court shall
themselves, to learn skills if they do not have be duly furnished each with copies of the
any, and to be gainfully employed so they can be pertinent Probation Order, PSIR (PPA Form 3), and
useful members of the society. House visits and other investigation and supervision records by
follow-up in their places of work may be done if the sending Probation Office for purposes and in
needed. The probation officer makes regular aid of continuing effective probation supervision
reports about the probationer to the court. treatment over said probationer.
Under Section 38 of Parole and Probation
Administration Omnibus Rules on Probation II. OUTSIDE TRAVEL
Methods and Procedure the following are the Section 41 of Parole and Probation
primary purposes of probation supervision are: Administration Omnibus Rules on Probation
(a) To ensure the probationer's compliance Methods and Procedure. Purpose. Outside
with the probation conditions specified in Travel. –
the Probation Order and the prescribed (a) A Probation Officer may authorize a
probation treatment and supervision probationer to travel outside his area of
program/plan; operational/territorial jurisdiction for a period
(b) To manage the process of the of more than ten (10) days but not exceeding
probationer's rehabilitation and re- thirty (30) days.
integration into the community; and (b) A Probationer who seeks to travel for up to
(c) To provide guidance for the probationer's thirty (30) days outside the
transformation and development into a operational/territorial jurisdiction of the
useful citizen for his eventual Probation Office shall file at least five (5) days
reintegration to the mainstream of before the intended travel schedule a Request
society. for Outside Travel (PPA Form 7) with said
Office properly recommended by the
G. CHANGE OF RESIDENCE Supervising Probation Officer on case and
approved by the CPPO.
AND OUTSIDE TRAVEL (c) If the requested outside travel is for more
than thirty (30) days, said request shall be
I. CHANGE OF RESIDENCE recommended by the CPPO and submitted to
Section 42 Parole and Probation the Trial Court for approval.
Administration Omnibus Rules on Probation Outside travel for a cumulative duration of more
Methods and Procedure. Change of than thirty (30) days within a period of six (6)
Residence: Transfer of Supervision. – months shall be considered as a courtesy
(a) A Probationer may file a Request for supervision.
Change of Residence (PPA Form 24) with
the City or Provincial Parole and Probation H. EARLY DISCHARGE
Office, citing the reason(s) therefore this
request shall be submitted by the INCENTIVE AND
Supervising Probation Office for the
approval of the Trial Court.
TERMINATION
(b) In the event of such approval, the The arrangement takes place when probation
supervision and control over the is made to pay restitution, reparation and
probationer shall be transferred to the indemnification. In PSIR the recommended
concerned Executive Judge of the RTC, payment is that within ½ of term probation – full
having jurisdiction and control over said payment – eligible for consideration for early
termination.

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“This is for criminological purposes and therefore not for sale”
 Section 55 of Parole and Probation Other probationers who have fully cooperated
Administration Omnibus Rules on Probation with/participated in the programs of supervision
Methods and Procedure. Coverage. - The designed for their rehabilitation and who are
following probationers may be recommended for situated under conditions/circumstances similar
the early termination of their probation period: in nature to those above-described at the
1. Those who are suffering from serious physical discretion of the proper authorities.
and/or mental disability such as deaf- mute,
the lepers, the crippled, the blind, the senile,
the bed-ridden, and the like;
I. PERIOD OF PROBATION
2. Those who do not need further supervision as AND ITS IMPLICATION
evidenced by the following:
(a) Consistent and religious compliance with (Sec. 14 of PD 968)
all the conditions imposed in the order
granting probation; I. PERIOD OF PROBATION
(b) Positive response to the programs of a. If the convict is sentenced to a term of
supervision designed for their imprisonment of NOT MORE THAN ONE
rehabilitation (1), the period of probation shall NOT
(c) Significant improvements in their social EXCEED TWO (2) YEARS.
and economic life; b. In all cases, if he is sentenced to MORE
(d) Absence of any derogatory record while THAN ONE (1) YEAR, said period SHALL
under probation; NOT EXCEED SIX (6) YEARS.
(e) Marked improvement in their outlook in c. When the sentence imposes a FINE ONLY
life by becoming socially aware and and the offender is made to SERVE
responsible members of the family and SUBSIDIARY IMPRISONMENT in case of
community; and insolvency, the period of probation shall
(f) Significant growth in self-esteem, self- NOT BE LESS THAN NOR TWICE the
discipline and self-fulfillment; Provided, total number of days of subsidiary
that, the probationers involved have imprisonment as computed at the rate
already served one-third (1/3) of the established by the RPC Art. 39.
imposed period of probation; and provided ART. 39: When the principal penalty
further, that, in no case shall the actual imposed be only a fine, the subsidiary
supervision period be less than six (6) imprisonment shall not exceed 6 months if the
months. culprit is executed for grave or less grave felony
3. Those who have: and shall not exceed 15 days for light felony
(a) To travel abroad due to any of the
following: NOTA BENE
(1) An approved overseas job contract or The period of probation may either be
any other similar documents; or shortened or made longer, but not to exceed
(2) An approved application for the period set in law.
scholarship, observation tour or study When the period of probation is no longer
grant for a period not less than six (6) necessary as the probationer is believed no
months; or longer a threat to society and has satisfactorily
(3) An approved application for reintegrated him into society. The period
immigration. maybe shortened. But if there a need for the
(4) An approved application to take the protection of society and adjustment of
Bar and Board Examinations. probation said – longer but not beyond 2 and 6
(b) To render public service years.
(1) Having been elected to any public
office; or II. IMPLICATION OF THE PROBATION
(2) Having been appointed to any public PERIOD: Both in Maximum Level
office. 1. Minimum period of probation is left to
Provided, however, that the probationers discretion of courts
involved have fully paid their civil liabilities, if 2. Court may set a straight period of
any. probation anywhere within the range and
And, that the probationers were not convicted limit set by law
for offenses involving moral turpitude.

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“This is for criminological purposes and therefore not for sale”
 3. The court may order an indeterminate 3. Devote himself to a specific employment
period with minimum and maximum and not to change said employment
period. without prior written approval of the
The determination of the term for probation probation officer;
can readily be seen to present itself as new 4. Comply with a program of payment of civil
sentencing problem to the trial court when liability to the victim of his heirs;
viewed in terms of probation goal. The imposition 5. Undergo medical, psychological or
of the right length of time that promises society psychiatric examination and treatment
maximum protection and the offender the best and/or enter and remain in specific
possible chance of rehabilitation. institution, when required for that
SOLUTION: The strategy is the Utilization of purpose;
the Post Sentence Investigation Report which 6. Pursue a prescribed secular study or
furnishes him a good picture of the prisoner and vocational training;
the forces and circumstances that led him to 7. Attend or reside in a facility established
crime. for instruction or reaction of persons on
probation;
J. CONDITIONS IN THE 8. Refrain from visiting houses of ill-repute;
9. Abstain from drinking intoxicating
GRANT OF PROBATION beverages to excess;
10. Permit the probation officer or
AND ITS CONSEQUENCE unauthorized social worker to visit his
IF VIOLATED (SECTION home and place of work;
11. Reside at premises approved by the court
10, PD 968) and not to change his residence without
prior written approval; and
12. Satisfy any other condition related to the
QUESTION rehabilitation of the probationer and not
What are the rights and duties of the unduly restrictive of his liberty or
probationer? incompatible with his freedom of
When Probation is granted, what conscience.
conditions does the court impose?
1. The probationer must present BACLAYON vs. MUTIA;
himself to his Probation Officer G.R. No. L-59298 April 30, 1984
within seventy-two (72) hours;
2. Report to his Probation Officer in- Stated Ruling:
charge of his supervision at least The condition that petitioner should "refrain
once a month; from continuing her teaching profession is an
3. Not to commit any offense; invalid condition.
4. Comply with any other conditions If probation is granted, the imposition of her
imposed by the court. sentence of imprisonment was thereby
suspended and necessarily, the imposition of the
I. MANDATORY OR BUILT IN CONDITIONS accessory penalties was likewise thereby
The two Mandatory Conditions of Probation suspended.
1. To present himself to the Probation Officer Probation is not a sentence.
concerned for supervision within 72 hours
from receipt of said order; and Facts:
2. To report to the Probation Officer at least Petitioner, a school teacher convicted of the
once a month during the period of crime of Serious Oral Defamation for having
probation. quarreled with and uttered insulting and
defamatory words against Remedios Estillore,
II. OPTIONAL/DISCRETIONARY OR OTHER principal of the Plaridel Central School. Her
CONDITIONS conviction was affirmed by the appellate court,
The Probation Order may also require the taking into account the aggravating circumstance
probationer in appropriate cases to: of disregard of the respect due the offended
1. Cooperate with a program of supervisor; party on account of her rank and age and the fact
2. Meet his family responsibilities that the crime was committed in the office of the
complainant. She was sentenced to one year, 8
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“This is for criminological purposes and therefore not for sale”
months, 21 days of arresto mayor in its maximum rehabilitation of the probationer when viewed in
period to 2 years and 4 months of prision their specific individual context. It should,
correccional in its minimum period. however, be borne in mind that the special or
The petitioner applied for probation with discretionary conditions of probation should be
respondent judge who referred the application to realistic, purposive and geared to help the
a Probation Officer. The Post-Sentence probationer develop into a law-abiding and self-
Investigation Report favorably recommended the respecting individual Conditions should be
granting of petitioner's probation for a period of interpreted with flexibility in their application and
three (3) years. each case should be judged on its own merits —
The respondent Judge issued an order on the basis of the problems, needs and capacity
granting petitioner's probation, but modified the of the probationer. The very liberality of the
Probation Officer's recommendation by increasing probation should not be made a tool by trial
the period of probation to five (5) years and by courts to stipulate instead unrealistic terms.
imposing the 10 conditions: Petitioner is a teacher and teaching is the only
However, the petitioners pray for the deletion profession she knows and as such she possesses
of the last condition that petitioner should special skills and qualifications. To order the
"refrain from continuing her teaching petitioner to refrain from teaching would deprive
profession." The petitioner submits that said the students and the school in general the
condition is detrimental and prejudicial to her benefits that may be derived from her training
rights as well as not in accordance with the and expertise.
purposes, objectives and benefits of the While it is true that probation is a mere
probation law. privilege and its grant rests solely upon the
discretion of the court, this discretion is to be
Issue: exercised primarily for the benefit of
Whether paragraph (h) of the questioned organized society and only incidentally for
order granting probation which requires that the benefit of the accused. Equal regard to
petitioner refrain from continuing with her the demands of justice and public interest must
teaching profession be deleted. be observed. In this case, teaching has been the
lifetime and only calling and profession of
Held: petitioner. The law requires that she devote
YES. herself to a lawful calling and occupation during
probation. Yet, to prohibit her from engaging in
The conditions which trial courts may impose teaching would practically prevent her from
on a probationer may be classified into general or complying with the terms of the probation.
mandatory and special or discretionary. Respondents contend that petitioner's final
The MANDATORY CONDITIONS, conviction carries with it the accessory penalties
enumerated in Section 10 of the Probation Law, in addition to the principal penalty of
require that the probationer should (a) present imprisonment; and since petitioner was
himself to the probation officer designated to sentenced to arresto mayor in its maximum
undertake his supervision at such place as may period to prision correccional in its minimum
be specified in the order within 72 hours from period, she must likewise suffer the accessory
receipt of said order, and (b) report to the penalties of suspension from public office and
probation officer at least once a month at such from the right to follow a profession or calling,
time and place as specified by said officer. and that of perpetual special disqualification from
SPECIAL OR DISCRETIONARY the right of suffrage. This cannot apply to
CONDITIONS are those additional conditions, petitioner, however, because she was granted
listed in the same Section 10 of the Probation probation. The imposition of her sentence of
Law, which the courts may additionally impose on imprisonment was thereby suspended and
the probationer towards his correction and necessarily, the imposition of the accessory
rehabilitation outside of prison. penalties was likewise thereby suspended.
NOTA BENE: The enumeration, however, is
not inclusive. Probation statutes are liberal in
character and enable courts to designate
practically any term it chooses as long as
K. RULE IN VIOLATION OF
the probationer's constitutional rights are CONDITIONS ITS
not jeopardized. There are innumerable
conditions which may be relevant to the MODIFICATION AND
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“This is for criminological purposes and therefore not for sale”
 REVOCATION OF If the probationer committed a crime
while under probation, what would be the
PROBATION consequences?
Section 46 of Parole and Probation a. The probationer will be arrested for
Administration Omnibus Rules on Probation violation of the condition of probation
Methods and Procedure. Concept. - A b. Prosecution of the new crime committed
probationer's specific act and/or omission(s) The court will order the serving of the original
constitutive of a violation of probation sentence of the previous offense
condition(s) set forth in the original, modified or
revised Probation Order shall be reported to the I. ABSCONDING PETITIONER
Trial Court, taking into account the totality of the Section 43 of Parole and Probation
facts and surrounding circumstances and all Administration Omnibus Rules on Probation
possible areas of consideration. Methods and Procedure. Absconding
Probationer. –
QUESTION (a) A probationer who has not reported for initial
What happens to a probationer if supervision within the prescribed period
conditions of probation are violated? and/or whose whereabouts could not be
The Court may modify the conditions of found, located or determined despite best
probation or revoke the same. If the violation is diligent efforts within reasonable period of
serious, the court may order the probationer to time shall be declared by the proper Office as
serve his prison sentence. The probationer may an absconding probationer.
also be arrested and criminally prosecuted if Thereafter said Office shall file with the proper
the violation is a criminal offense. court a Violation Report (PPA Form 8), containing
Any set or commission on the part of the its findings and recommendation, duly prepared
probationer which is contrary to the terms and and signed by the Supervising Parole and
conditions specified in the probation order. Probation Officer and duly noted by the Chief
a. The probation officer investigates the Parole and Probation Officer.
alleged violation and it is established,
a report is submitted to the court. II. FACT-FINDING INVESTIGATION.
There can be MODIFICATION of Section 47 of Parole and Probation
condition of probation by the court, Administration Omnibus Rules on Probation
depending on the nature and Methods and Procedure. Fact-Finding
seriousness of the violation; Investigation. - Based on reasonable cause
b. There is also the possibility of arrest reported by a reliable informant or on his own
including criminal, prosecution of the findings, the SPPO, SrPPO, PPOII, PPOI concerned
probationer in the vent of commission of or the CPPO himself shall conduct or require the
another offense. The REVOCATION Supervising Probation Officer on case to
proceeding is summary. immediately conduct a fact-finding investigation
After considering the nature and seriousness on any alleged or reported violation of probation
of violation court may order ARREST of condition(s) to determine the veracity and
probation truthfulness of the allegation.

NOTA BENE: If the court finds the III. REPORT: VIOLATION OF CONDITION
probationer guilty of serious violation of Section 48 of Parole and Probation
the conditions of probation, he may be Administration Omnibus Rules on Probation
ordered to serve the original sentence Methods and Procedure. Report: Violation of
imposed on him. Condition. -
(a) After the completion of the fact-finding
IF VIOLATION IS ESTABLISHED- court may investigation, the Supervising Probation
revoked or continue with modified Officer on case shall prepare a violation
conditions report thereon containing his findings and
IF REVOKED- probationer shall serve the recommendations and submit the same to
sentence originally imposed. the CPPO for review and approval.
(b) In some cases, a probationer who has not
reported for initial supervision within the
seventy-two (72) hours from his receipt of
QUESTION

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Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
 the Probation Order or within the event, the following: intermediate steps should
prescribed period ordered by the Trial be considered as alternative to revocation:
Court or whose whereabouts could not be a. A review of the conditions: followed by
ascertained notwithstanding best efforts changes necessary or desirable
exerted within a reasonable period of time b. A formal or informal conference with
by the City and Provincial Parole and probation to re-emphasize the necessity of
Probation Office shall be immediately compliance with the conditions and:
reported to the Trial court for appropriate c. Formal or informal warning that further
action. violation should resolve to revocation of
(c) Thereafter, said Parole and Probation probation.
Office shall file with the trial court a Revocation followed by imprisonment should
Violation Report (PPA Form 8), containing be the disposition, however, when the court finds
its findings and recommendation, duly on the basis of the original offense in the
prepared and signed by the SPPO, SrPPO, intervening conduct of the offender, that:
PPOII, PPOI concerned and duly noted by a. Confinement is necessary to protect the
the CPPO for the court's resolution. public from further criminal activity by the
offender or
IV. VIOLATION OR INFRACTION REPORT b. The offender is need of correctional
Infraction Report is referring to the report treatment which can most effectively
submitted by the Probation and Parole Officer on provided if confined, or
violations committed by a parolee/pardonee of c. It would unduly depreciate the seriousness
the conditions of his release on parole or of the offense if probation were not
conditional pardon while under supervision. revoked.
Section 49 of Parole and Probation
Administration Omnibus Rules on Probation VI. RULE VII OF THE REVISED RULES ON
Methods and Procedure. - Violation Report. PROBATION: METHODS AND
Its Contents: Signatories and Submission to PROCEDURES
Trial Court. - The Violation Report shall include,
among others, the following: Sec.35: Methods and Procedures. A violation
1. accurate and complete statement of the facts of probation shall be understood to main any act
and surrounding circumstances, concluding or any omission on the part of the probationer
but not limited to the: with respect to the terms and condition or
(a) nature, character and designation of the probation.
violation;
(b) specific acts and/or omissions constitutive SEC. 36 The probation officer shall motu-propio
of the violation; (on his own) or upon the report of the probation
(c) place, date and time of commission or aide or any other person conduct a fact-finding
omission; investigation of any alleged violation of probation
(d) statements or affidavits of apprehending
officers and offended parties and SEC.37 Rule VII of the Revised Rules on
(e) other related data and information. Probation. Once the investigation is completed
2. probationer's response, explanation and the probation officer shall report the result of the
clarification duly sworn to before a notary same to the court.
public and other supporting testimonial,
documentary and objective evidence; SEC.38 Rule VII of the Revised Rules on
3. findings, assessment and recommendation of Probation. The report of the probation officer to
the Probation Office. The Violation Report the court (P.A. form no. 38) concerning and
shall be prepared and signed by the SPPO, alleged violation of the condition of probation
SrPPO, PPOII or PPOI concerned and approved shall include:
and signed by the CPPO. a. Complete statement of the facts of the
alleged violation including the date, place
V. STANDARDS IN PROCESSING VIOLATION: and circumstances thereof, statements of
It will be appropriate for standards to be victims, witnesses and arresting officer if
formulated as a guide to probation officer, and any.
court is processing violation of conditions. In any b. The explanation, if any of the problem for
the alleged violation.

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“This is for criminological purposes and therefore not for sale”
 c. The recommendation of the probation
officer. QUESTION
What constitute commission of another
L. MODIFICATIONS OF offense or violation of penal law? Is it the
act of committing or perpetrating a
CONDITIONS crime? Or conviction for the commission
Under Sec.12 of PD 968, during the period of said offense?
of probation the court may upon application of Supreme Court ruled that a condition violated
either the probation or the probation officer by the pardonee or parolee on judicial
revised or modify the condition or period of condition is not necessary.
probation. The court shall notify either the Supreme Court revoked probation on the basis
probationer or the probation officer of the filing of of a subsequent final judgment without
such application so as to give both parties an remanding the case to the probation office.
opportunity to be heard thereon.
The court shall inform in writing the probation
officer and probationer of any change in the NOTA BENA: An order revoking the grant of
period or conditions of probation. probation or modifying the terms and
Whether or not petition has been in violation- conditions thereof shall not be appealable.
there can be change however it is believed that
most orders shall be made after violation- if not I. EFFECT OF REVOCATION
rejection of probation is persuasive. Due process Under Section 52 of Parole and Probation
must be observed. Administration Omnibus Rules on Probation
An order modifying the period or Methods and Procedure the following are the
conditions of probation is NOT APPEALABLE. effect of revocation:
However, certiorari lies on the ground of abused (a) After a serious violation of a probation
of discretion. condition has been established in the
hearing, the Trial Court may order the
Section 44 of Parole and Probation continuance of the probationer's probation
Administration Omnibus Rules on Probation or modification of his probation conditions
Methods and Procedure. Modification or or revoke his probation whichever is proper
Revision of Probation Conditions. – (a) During the and just under in judicial discretion.
probation supervision period, the Trial Court may (b) If the probation period has been revoked,
motu proprio or, upon motion by the City or the Trial Court shall order the probationer to
Provincial Parole and Probation Office or by the serve the sentence originally imposed in the
probationer or his lawyer. judgment of his case for which he applied
for probation.
Section 45 of Parole and Probation (c) A court order modifying the probation
Administration Omnibus Rules on Probation conditions as in Sec. 44 of these Rules or
Methods and Procedure. Effectivity and revoking probationer's probation shall not
Finality of Modified or Revised Probation Order. – be appealable. However, it may be
(a) The Trial Court may modify or revise the correctable by certiorari under the Rules of
Probation Order which shall become effectivity Court.
and final upon its promulgation and receipt
thereof by the probationer, unless specified RONALD SORIANO vs. COURT OF APPEALS
otherwise by said Order. G.R. No. 123936: March 4, 1999

FACTS:
M. REVOCATION OF Petitioner Ronald Santiago was convicted of
PROBATION the crime of Reckless Imprudence resulting to
Nobody can discount the probability that homicide, serious physical injuries and damage to
probatioern may not violate the condition of property on December 7, 1993.His application for
probation what is the concept of violation of probation was granted on March 8, 1994.On
probation. The following are the two grounds October 4, 1994, the trial court issued an order
for revocation of probation. declaring petitioner in contempt of court for his
1. Failure to comply with any condition failure to comply with its orders of June 20, 1994
2. Commission of another offense and August 15, 1994. The court likewise revoked

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Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
the grant of probation to petitioner and ordered satisfy this obligation regardless of whether or
that he be arrested to serve the sentence not he is placed under probation.
originally imposed upon him. According to the We fail to see why petitioner cannot comply
trial court, among the violation committed by with a simple order to furnish the trial court with
petitioner as regards his probation are his failures a program of payment of his civil liability. He
to (1) meet his responsibilities to his family, (2) may, indeed, be poor, but this is precisely the
engage in a specific employment, and (3) reason why the trial court gave him the chance to
cooperate with his program of supervision. make his own program of payment. Knowing his
own financial condition, he is in the best position
ISSUE: to formulate a program of payment that fits his
Whether or not the petitioner has violated the needs and capacity. Settled is the rule in this
terms and conditions of his probation warrant its jurisdiction that findings of fact of the trial court
revocation. are entitled to great weight, more so when they
are affirmed by the Court of Appeals, as in this
HELD: case. Besides, petitioner himself admits in his
The Solicitor General argues that petitioner petition that he is unemployed and only depends
has committed violations, thus justifying the trial on his parents for support. He can barely support
court's revocation of the grant of probation. He his family. Petitioner ought to be reminded of
further points out that our ruling in Salgado is what is incumbent on a probationer, including
inapplicable to the case of petitioner since what those requirements that the trial court may set.
was involved in Salgado was a program of As Section 10 of the Probation Law states:
payment already imposed upon petitioner Sec. 10. Conditions of Probation.
therein. In this case, however, it is petitioner who —. . .The court may also require the
is being asked to submit his own program of probationer to:(a) Cooperate with a
payment and he had not submitted any such program of supervision;(b) Meet his family
program. responsibilities;(c) Devote himself to a
Petitioner asserts that his non-compliance specific employment and not to change said
with the orders of the trial court requiring him to employment without the prior written
submit a program of payment was not deliberate. approval of the probation officer xxx xxx
To our mind, his refusal to comply with said xxx(e) Pursue a prescribed secular study or
orders cannot be anything but deliberate. He had vocational training; Clearly, these
notice of both orders, although the notice of the conditions are not whims of the trial court
order of June 20, 1994 came belatedly. He has, but are requirements laid down by statute.
up to this point, refused to comply with the trial They are among the conditions that the
court's directive, by questioning instead the trial court is empowered to impose and the
constitutionality of the requirement imposed and petitioner, as probationer, is required to
harping on his alleged poverty as the reason for follow. Only by satisfying these conditions
his failure to comply. Contrary to his assertion, may the purposes of probation be fulfilled.
this requirement is not violative of the equal These include promoting the correction and
protection clause of the Constitution. Note that rehabilitation of an offender by providing
payment of the civil liability is not made a him with individualized treatment, and
condition precedent to probation. If it were, then providing an opportunity for the
perhaps there might be some basis to petitioner's reformation of a penitent offender which
assertion that only moneyed convicts may avail might be less probable if he were to serve a
of the benefits of probation. In this case, prison sentence. Failure to comply will
however, petitioner's application for probation result in the revocation of the order
had already been granted. Satisfaction of his civil granting probation, pursuant to the
liability was not made a requirement before he Probation Law:
could avail probation, but was a condition for his Sec. 11. Effectivity of Probation Order —
continued enjoyment of the same. The trial court A probation order shall take effect upon its
could not have done away with imposing issuance, at which time the court shall
payment of civil liability as a condition for inform the offender of the consequences
probation, as petitioner suggests. This is not an thereof and explain that upon his failure to
arbitrary imposition but one required by law. It is comply with any of the conditions
a consequence of petitioner's having been prescribed in the said order or his
convicted of a crime, and petitioner is bound to commission of another offense, he shall
serve the penalty imposed for the offense
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Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
under which he was placed issue a warrant for the arrest of the probationer
on probation."(Emphasis supplied.) for serious violation of his probation condition.

Probation is not an absolute right. It is a QUESTION

mere privilege whose grant rests upon the May the arrested of probationer admitted
discretion of the trial court. Its grant is subject to to bail?
certain terms and conditions that may be
imposed by the trial court. Having the power to YES, the defendant may be admitted to bail
grant probation, it follows that the trial court also pending such hearing. In such a case, the
has the power to order its revocation in a proper provisions regarding release on bail of persons
case and under appropriate circumstances. charged with a crime shall be applicable to
Moreover, having admittedly violated the terms probationers arrested under this provision.
and conditions of his probation, petitioner cannot
now assail the revocation of his probation. I. HEARING OF THE VIOLATION
Regrettably, he has squandered the opportunity Informal and summary - Probation have
granted him by the trial court to remain outside right to counsel and given all the opportunities to
prison bars, and must now suffer the be heard because it may lead to revocation and
consequences of those afore-cited violations. hence imprisonment.
Probation officer- prosecutes but may
N. ARREST OF asked assistance from the prosecutor office in the
presentation of evidence.
PROBATIONER;
SUBSEQUENT Section 51 of Parole and Probation
Administration Omnibus Rules on Probation
DISPOSITION (SEC.15, PD Methods and Procedure: Hearing of the
Violation of Probation. - Once arrested and
NO. 968) detained, the probationer shall immediately be
After considering the nature and seriousness brought before the Trial Court for a hearing of the
of violation court may order arrest of probation. violation charged.
Under Sec.15 of PD No. 968, at any time during In the hearing which shall be summary in
probation, the court may issue a warrant for the nature, the probationer shall have the right to be
arrest of a probationer for violation of any of the informed of the violation charged and to adduce
conditions of probation. The probationer, once evidence in his favor.
arrested and detained, shall immediately be The court shall not be bound by the technical
brought before the court for a hearing, which may rules of evidence, but may inform itself of all the
be informal and summary, of the violation facts which are material and relevant to ascertain
charged. The defendant may be admitted to bail the veracity of the charge.
pending such hearing. In such a case, the The probationer may be admitted to bail
provisions regarding release on bail of persons pending such hearing. In such case, the
charged with a crime shall be applicable to provisions regarding release on bail of persons
probationers arrested under this provision. If the charged with the crime or offense shall be
violation is established, the court may revoke or applicable to probationers arrested under this
continue his probation and modify the conditions provision.
thereof. If revoked, the court shall order the
probationer to serve the sentence originally Parole and Probation Administration
imposed. An order revoking the grant of Omnibus Rules on Probation Methods and
probation or modifying the terms and conditions Procedure
thereof shall not be appealable.
Section 53 Right to Counsel. - In the hearing
Section 50 of Parole and Probation or proceeding for violation of probation
Administration Omnibus Rules on Probation conditions, the probationer shall have the right to
Methods and Procedure. - Violation Report. counsel of his own choice.
It’s Contents: Arrest of Erring Probationer. -
After having duly considered the nature and Section 54. Representation for the State. -
gravity of such reported violation based on the For the Prosecution of serious violation of
submitted Violation Report, the Trial Court may probation condition(s), during said hearing or

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Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
proceeding, the State shall be represented by the (b) probation revocation for cause under
proper prosecuting officer. Section 49 (a-c) of these Rules;
(c) death of the probationer;
II. SAFEGUARD IN PROTECTION OF (d) early termination of probation; or
PROBATION DUE PROCESS (e) other analogous cause(s) or reason(s) on
Before probation can revoked, the following a case-to-case basis as recommended by
may be required: the probation Office and approved by the
1. written notice of the claimed violation trial court.
2. disclosure of evidence against probation
3. opportunity to be heard and to present Sec 50 of Revised Rules on Probation - After
witnesses and document evidence period of probation with satisfactory compliance
4. the right confronts and cross-examines with condition of probation.
adverse witnesses 1. Revocation for case (sec. 40)
5. a written statement of the fact finder as to 2. Other ways of terminating of probation:
the evidence relied and reason for a. Termination before the expiration of
revocation (decision) the period the court may terminate
where the ends of justice will serve
O. TERMINATION AND thereby and when the good conduct
and rehabilitation of the person so held
CLOSING OF PROBATION on probation shall warrant termination.
b. Termination of pardon of probation-
CASE (SECTION 16, PD absolute or conditional
968) c. Deportation of probation- alien
Section 16 of PD 968 - After the period of d. Death of probationer
probation and upon consideration of the report
and recommendation of the probation officer, the Sec. 51 of Revised Rules on Probation - At
court may order the final discharge of the least 30 days before the expiration of the period
probationer upon finding that he has fulfilled the of probation or unless otherwise required by the
terms and conditions of his probation and court, the probation officer shall submit a final
thereupon the case is deemed terminated. report (Probation Adm. Form no. 9) to the court
The final discharge of the probationer shall which shall indicate:
operate to restore to him all civil rights lost or a. The prescribe program of supervision and
suspend as a result of his conviction and to fully response of the probationer to said
discharge his liability for any fine imposed as to program
the offense for which probation was granted. b. A recommendation as to whether the
The probationer and the probation officer probationer nay be discharge from
shall each be furnished with a copy of such order. probation of not. If not, probation officer
may recommend modification of term.
I. MODES AND GROUNDS OF c. Such other information required by the
TERMINATIONS OF THE PROBATION court.
SUPERVISION CASE
1. The successful completion of program II. TERMINATION REPORT
of probation. Section 61 of Parole and Probation
2. Revocation for cause, or death of the Administration Omnibus Rules on Probation
probationer. Methods and Procedure: Termination Report. -
The City and Provincial Parole and Probation
NOTA BENE: Termination Report - 30 days Office shall submit to the Trial Court a Probation
before the termination period. Officer’s Final Report (PPA Form 9) thirty (30)
days before the expiration of the period of
Section 60 of Parole and Probation probation embodying, among others, the
Administration Omnibus Rules on Probation following:
Methods and Procedure: The probation (a) Brief personal circumstances of the
supervision period may be terminated on any of probationer;
the following grounds: (b) Brief criminal circumstances about his
(a) successful completion of probation; case (i.e. Criminal case number, court,
branch, period of probation, initial and last
date of probation)
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 (c) Prescribed probation treatment and After the case had been remanded to the
supervision program; court of origin for execution of judgment, the
(d) Probationer's response to the treatment petitioner applied for and was granted probation
plan/program; by the respondent judge in his order dated
(e) Recommendation to discharge the August 11, 1982. The petitioner was then placed
probationer from probation and the under probation for a period of one (1) year,
restoration of all his civil rights. subject to the terms and conditions enumerated
Such other relevant and material facts and therein.
information which may be required by the Trial By the terms of the petitioner's probation, it
Court. should have expired on August 10, 1983, one
year after the order granting the same was
III. FINAL DISCHARGE issued. But, the order of final discharge could not
Section 62 of Parole and Probation be issued because the respondent probation
Administration Omnibus Rules on Probation officer had not yet submitted his final report on
Methods and Procedure: Final Discharge. - the conduct of his charge.
After expiration of the original or extended On December 8, 1983, the respondent People
probation period and based on due consideration of the Philippines, through Assistant City Fiscal
of the POs final report, the Trial Court may order Jose D. Cajucom of Manila, filed a motion to
the final discharge of the probationer upon revoke the probation of the petitioner before
finding that he has fulfilled the probation terms Branch XX of the Regional Trial Court (RTC) of
and conditions and, thereupon, the probation Manila, presided over by the respondent judge.
supervision case is deemed terminated. The motion alleged that the petitioner had
violated the terms and conditions of his
Sec 63 of Parole and Probation probation.
Administration Omnibus Rules on Probation On January 4, 1984, the petitioner filed his
Methods and Procedure: Legal Effect of opposition to the motion on the ground that he
Discharge was no longer under probation, his probation
1. Shall restore to him all civil rights lost or period having terminated on August 10, 1983, as
suspended as a result of conviction. previously adverted to. As such, no valid reason
2. Fully discharge his liability for any fine as existed to revoke the same, he contended.
to the offense which probation was As if to confirm the Manila Assistant City
granted but not civil liability. Fiscal's motion to revoke the petitioner's
3. The probationer and the probation office probation, the respondent probation officer filed
shall be promptly furnished with copies of on January 6, 1984, a motion to terminate Manuel
such Bala's probation, at the same time attaching his
It is hereby understood that, the probationer's progress report on supervision dated January 5,
political rights are not lost or suspended even 1984. The same motion, however, became the
during the probation period. subject of a "Manifestation," dated January 10,
1984, which stated that the probation officer was
BALA vs. MARTINEZ not pursuing the motion to terminate dated
G.R. No. L-67301 January 29, 1990 January 6, 1984; instead, he was submitting a
supplemental report 7 which recommended the
FACTS: revocation of probation "in the light of new facts,
Accused Manuel Bala was found guilty beyond information, and evidences."
reasonable doubt of the crime of falsification of a
public or official document defined and penalized ISSUE: Whether or not Bala is already released
under article 172 of the Revised Penal Code, from probation absence of certificate of final
without any mitigating or aggravating discharge and can the court revoke the probation
circumstances. Applying the Indeterminate of latter?
Sentence Law, he is hereby sentenced to an
indeterminate penalty of not less than 1 year 1 HELD:
day and not exceeding 3 years, 6 months & 21 The present law on probation, Presidential
days of prision correccional. The petitioner Decree (P.D.) 1990, which amends section 4 of
seasonably appealed, but the Court of Appeals, P.D. 968, clearly states that "no application for
on April 9, 1980, affirmed in toto the lower court's probation shall be entertained or granted if the
decision. defendant has perfected the appeal from the
judgment of conviction."
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Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
 However, in the case at bar, P.D. 1990 is individualized, and community-based
inapplicable. P.D. 1990, which went in force on rehabilitation program for a specific period of
January 15, 1985 cannot be given retroactive time. On the basis of his final report, the court
effect because it would be prejudicial to the can determine whether or not the probationer
accused. may be released from probation.
The Court finds no merit in the petition. We find it reprehensible that the respondent
Probation is revocable before the final discharge probation officer had neglected to submit his
of the probationer by the court, contrary to the report and recommendation. For, as earlier
petitioner's submission. discussed, without this report, the trial court
Section 16 of PD 968 is clear on this score, could not issue the order of final discharge of the
after the period of probation and upon probationer. And it is this order of final discharge
consideration of the report and which would restore the probationer's suspended
recommendation of the probation officer, civil rights. In the absence of the order of final
the court may order the final discharge of discharge, the probation would still subsist,
the probationer upon finding that he has unless otherwise revoked for cause and that is
fulfilled the terms and conditions of his precisely what we are going to do. We are
probation and thereupon the case is revoking his probation for cause.
deemed terminated. The petitioner, by applying for probation and
Thus, the expiration of the probation period getting it, consented to be emancipated from the
alone does not automatically terminate yoke if not stigma of a prison sentence, pledging
probation. Nowhere is the ipso facto termination to faithfully comply with the conditions of his
of probation found in the provisions of the probation, among which are:
probation law. Probation is not coterminous with xxx
its period. There must first be issued by the court 4. To be gainfully employed and be
of an order of final discharge based on the report a productive member of society;
and recommendation of the probation officer. xxx
Only from such issuance can the case of the 6. To cooperate fully with his
probationer be deemed terminated. program of supervision and
The period of probation may either be rehabilitation that will be
shortened or made longer, but not to exceed the prescribed by the Probation Officer.
period set in the law. This is so because the These conditions, as the records show, were not
period of probation, like the period of complied with. This non-compliance has defeated
incarceration, is deemed the appropriate period the very purposes of the probation law, to wit:
for the rehabilitation of the probationer. In the (a) promote the correction and rehabilitation
instant case, a review of the records compels a of an offender by providing him with
revocation of the probation without the need of individualized treatment;
further proceedings in the trial court which, after (b) provide an opportunity for the reformation
all, would only be an exercise in futility. If we of a penitent offender which might be less
render justice now, why should we allow the probable if he were to serve a prison
petitioner to further delay it. Probationer Manuel sentence; and
Bala failed to reunite with responsible society. (c) prevent the commission of offenses.
Precisely he was granted probation in order to By his actuations, probationer-petitioner
give him a chance to return to the main stream, Manuel V. Bala has ridiculed the probation
to give him hope — hope for self-respect and a program. Instead of utilizing his temporary liberty
better life. Unfortunately, he has continued to to rehabilitate and reintegrate himself as a
shun the straight and narrow path. He thus productive, law abiding, and socially responsible
wrecked his chance. He has not reformed. member of society, he continued in his wayward
A major role is played by the probation officer ways — falsifying public or official documents.
in the release of the probationer because he Specifically, on April 30, 1984, the Regional
(probation officer) is in the best position to report Trial Court of Manila, National Capital Judicial
all information relative to the conduct and mental Region, Branch XXX, convicted the petitioner,
and physical condition of the probationer in his along with two other persons, under Article 172,
environment, and the existing institutional and in relation to Article 171, of the Revised Penal
community resources that he may avail himself of Code, in five separate information, in Criminal
when necessary. Indeed, it is the probation officer Cases Nos. 29100, 29101, 29102, 29103, and
who primarily undertakes the supervision and 29107. The trial court imposed upon each of
reform of the probationer through a personalized, them in all five (5) cases a prison term of 2 years
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Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
of prision correccional, as minimum, to 4 years Lastly, probation is a mere privilege. Privilege
also of prison correccional, as maximum. On is a peculiar benefit or immunity conferred by law
appeal, the Court of Appeals affirmed the on a person or group of persons, not enjoyed by
judgment of the RTC with modification by others or by all; special enjoyment of a good or
granting restitution of the amounts they collected exemption from an evil; it is a special prerogative
from the offended private parties. The judgment granted by law to some persons. 14 Accordingly,
has since become final. As a matter of fact, for the grant of probation rests solely upon the
failure of the petitioner to appear for execution of discretion of the court. This discretion is to be
judgment despite notice, the trial court ordered exercised primarily for the benefit of organized
the arrest of Manuel Bala on July 10, 1989. A society, and only incidentally for the benefit of
warrant of arrest against Bala was issued on July the accused. 15 If the probationer has proven to
12, 1989 and this warrant has not yet been be unrepentant, as in the case of the petitioner,
implemented because Bala absconded. These the State is not barred from revoking such a
facts are evident and constitute violations of the privilege. Otherwise, the seriousness of the
conditions of his probation. Thus, the revocation offense is lessened if probation is not revoked.
of his probation is compelling. In the light of all the foregoing and in the
At any time during the probation, interest of the expeditious administration of
the court may issue a warrant for justice, we revoke the probation of the petitioner
the arrest of a probationer for for violations of the conditions of his probation,
violation of any of the conditions of instead of remanding the case to the trial court
probation. The probationer, once and having the parties start all over again in
arrested and detained, shall needless protracted proceedings.
immediately be brought before the
court for a hearing which may be IV. CLOSING OF PROBATION CASE
informal and summary, of the
violation charged. ... If the violation REVISED RULES ON PROBATION
is established, the court may
revoke or continue his probation SEC 54 ARCHIVING OF CASE - The probation
and modify the conditions thereof. office shall formally close the record of probation
If revoked, the court shall order the case upon formal receipt of the court order finally
probationer to serve the sentence discharging the probationer. Thereafter the case
originally imposed. An order shall be archived- kept for record purposes.
revoking the grant of probation or
modifying the terms and conditions PAROLE AND PROBATION ADMINISTRATION
thereof shall not be appealable. 11 OMNIBUS RULES ON PROBATION METHODS
(Emphasis supplied.) AND PROCEDURE
The probation having been revoked; it is
imperative that the probationer be arrested so SECTION 64. POINT IN TIME. - After actual
that he can serve the sentence originally receipt of the Termination Order finally
imposed. The expiration of the probation period discharging the probationer, the Probation Office
of one year is of no moment, there being no order shall formally close the probation case and keep
of final discharge as yet, as we stressed earlier. client’s case file.
Neither can there be a deduction of the one-year
probation period from the penalty of one year SECTION 65. MODE. - Immediately after such
and one day to three years, six months, and closure of the probation case, the corresponding
twenty-one days of imprisonment because an probation records shall be archived, but not after
order placing the defendant on "probation" is the proper reporting is done.
not a "sentence," but is in effect a
suspension of the imposition of the V. CONFIDENTIALITY OF PROBATION
sentence. It is not a final judgment but an RECORDS
"interlocutory judgment" in the nature of a Section 17 of PD 968. Confidentiality of
conditional order placing the convicted defendant Records. The investigation report and the
under the supervision of the court for his supervision history of a probationer obtained
reformation, to be followed by a final judgment of under this Decree shall be privileged and shall
discharge, if the conditions of the probation are not be disclosed directly or indirectly to anyone
complied with, or by a final judgment if the other than the Probation Administration or the
conditions are violated." court concerned, except that the court, in its
62 Non-Institutional Correction Instructional Material
Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”
discretion, may permit the probationer of his
attorney to inspect the aforementioned
documents or parts thereof whenever the best
interest of the probationer make such disclosure
desirable or helpful: Provided, Further, That, any
government office or agency engaged in the
correction or rehabilitation of offenders may, if
necessary, obtain copies of said documents for its
official use from the proper court or the
Administration.

SEC 57 REVISED RULES ON PROBATION

1. Where it can be found?
a. Court concern
b. Office of the chief provincial probation
office assigned in city or province
c. Copies of this record forwarded to
regional ppo and ppa (Central Office)
2. What are these records?
a. petition for probation
b. order or referral for investigation
c. worksheet, waiver, case presentation,
or classification
d. resolve of record check from courts,
barangay, PNP, as well as Case
Management and Records Division,
PPA
e. request for courtesy investigation and
its result
f. Post- Sentence Investigation Report
g. probation order, denying or granting
probation
h. application for modification or revision
of period or condition of probation
i. modification and revision order
j. record of hearing of violation of
conditions of probation
k. revocation or termination order

3. Which records are confidential?

Investigation Report and Supervisory
History of Probation.
These are privilege and not accessible
except to:
1. Probation Administration
2. Court
3. Probationer or
4. His attorney
5. Government offices or agencies
engaged in the correction and
rehabilitation of offender

VI. VIOLATION OF CONFIDENTIALITY

Section 29 of PD 968 – the penalty imposed
6 months and one day to 6 years and fined
ranging from 600 to 6000 pesos.

63 Non-Institutional Correction Instructional Material

Reynaldo M. Esmeralda, M.S. Crim.
“This is for criminological purposes and therefore not for sale”