PROBATION

Historical Background of Probation

The concept of probation stems from faith in man’s capacity to change for the better and in
the ultimate good that will redound to society by rebuilding rather than destroying those who
have offended it.1 The origin of probation can be traced to English criminal law of the Middle
Ages. Harsh punishments were imposed on adults and children alike for offenses that were not
always of a serious nature. Sentences such as branding, flogging, mutilation, and execution were
common. During the time of King Henry VIII, for instance, no less than 200 crimes were
punishable by death, many of which were minor offenses.2
Thus, as early as the thirteenth century, efforts were made to mitigate the harshness of penal
laws through more enlightened and rehabilitative approaches in the treatment and correction of
offenders. These included the release of accused members of the clergy to ecclesiastical
authorities, judicial reprieve or temporary suspension of sentence or execution, deportation, and
release on recognizance wherein a misdemeanant bound himself before the court to “keep the
peace and be on good behavior.” These practices in early English Courts became the forerunners
of probation which was later established in England and the United States.3
In the United States particularly in Boston, Massachusetts, John Augustus, a cobbler stood
bail for a drunkard in [Link] drunkard, while under Augustus’ supervision was taught the art
of shoe making and started to show signs of reform. This prompted Augustus to extend the
project. In fact he supervised close to 2,000 persons during the following years of his life. In the
course of his dealings with the offenders, he developed several features some of which, as will be
seen later, became standard practice of probation. These features included selectivity of
screening, supervision of the activities of the offenders, use of community resources, the
provision of a place for the offenders’ dependents, submission of progress reports to the court,
and the maintenance of the record filing system. Augustus’ work was carried on by Rufus R.
Cook, Chaplain of the County Jail and Representative of the Boston Children’s Aid Society and
Matthew David XIV of Birmingham, England. The same procedure as developed by Augustus
was used. However, investigations were scanty, probation periods short, and plans of treatment
and supervision were not much in evidence. Probation became firmly established during the
second half of the 19th century when in 1878, the State of Massachusetts started the first paid
probation officer for the courts of Criminal Jurisdiction in the City of Boston. On March 4, 1925,
through the efforts of Charles Lionel Chute, the First Federal Probation Act of the United States
was approved. 4
Historical Background of Probation in the Philippines
In the Philippines, provisions for juvenile probation have been embodied in Article 80 of the
Revised Penal Code since its enactment in 1932. Thus, sentence was suspended for offenders
under 16 years of age accused of a grave or less grave felony, who were then placed in the care
and custody of public or private entities. This was amended on December 10, 1974 by
Presidential Decree No. 603, known as the Child and Youth Welfare Code, and by Presidential
Decree No. 1179 which set the age of minority to below 18 years of age at the time of the
commission of the offense. Likewise, Republic Act No. 6425 or the Dangerous Drugs Act of
1972 provided for the suspension of sentence and probation of a first-offender under 18 years of
1
Retrieved on July 11, 2017 from [Link]
2
Retrieved on July 11, 2017 from [Link]
3
Retrieved on July 11, 2017 from [Link]
4
Retrieved on July 11, 2017 from [Link]
04-%20Emmanuel%20Noel%20A.%20Cruz,%20et.%20al%20-%20The%20Probation%20Law%20p.%[Link]
age at the time of the commission of the offense but not more than 21 years at the time when
judgment should have been promulgated. The move to integrate adult probation in the Philippine
criminal justice system began early in the twentieth century when the Philippine Legislature
approved Act No. 4221 on August 7, 1935. This created a Probation Office under the
Department of Justice, and provided probation for first offenders 18 years of age and above who
were convicted of certain crimes. Unfortunately, there were defects in the law’s procedural
framework so that, on November 16, 1937, the Supreme Court declared it unconstitutional in the
case of People of the Philippines vs. Vera on the grounds of “undue delegation of legislative
power” and violation of the “equal protection of the law” clause.5 Section 11, the fatal provision
of the Act, provided that “This Act shall apply only in those provinces in which the respective
provincial boards have provided for the salary of a probation officer….” The Court held that the
Probation Act did not, by the force of any of its provinces, fix and impose upon the provincial
boards any standard or guide in the exercise of their discretionary power. What was granted was
a “roving commission” which enabled the provincial boards to exercise arbitrary discretion. By
Section 11 of the Act, the legislature did seemingly on its own authority extend the benefits of
the Act to the provinces but in reality left the entire matter for the various provincial boards to
determine for themselves whether the Probation Law should apply to their provinces or not at all.
The applicability and application of the Act was entirely placed in the hands of the provincial
boards. If a provincial board did not wish to have the Act applied in its province, all it had to do
was to decline to appropriate the needed amount for the salary of a probation officer without
even stating the reason therefore. The plain language of Section 11 was not susceptible of any
other interpretation. This was a virtual surrender of legislative power to the provincial boards. 6
A second attempt was made when then Congressmen Teodulo C. Natividad and Ramon D.
Bagatsing introduced House Bill No. 393 during their last months in Congress. Passed in the
Lower House, this was pending in the Senate when Martial Law was proclaimed in 1972. The
agitations for the adoption of an adult probation law continued. In 1973, the technical staff of the
Bacolod City Police Advisory Council, headed by Lt. Col. Arcadio S. Lozada and assisted by US
Peace Corps Volunteer Alvin L. Koenig, prepared a proposed Probation Decree which
incorporated pertinent provisions of the Natividad and Laurel Bills. This was submitted to the
Secretary of Justice and the National Police Commission after a thorough perusal by a study
committee of the Integrated Bar of the Philippines and subsequent indorsement by its national
Board of Directors. Late in 1975 the National Police Commission, sitting en banc and headed by
Defense Secretary Juan Ponce Enrile who was the concurrent Chairman of NAPOLCOM, heard
the report “Meeting the Challenge of Crime” of the Philippine delegation to the 5th United
Nations Congress held in Geneva, Switzerland in September 1975. At that time, the Philippines
was among the few participating countries without an adult probation system. Citing the role of
probation in an integrated approach to crime prevention, the delegation urged priority action on
the establishment of the system. This was the turning point that led to the passage of the law. The
Inter-Disciplinary Committee on Crime Prevention created in 1974 by Secretary Enrile and
chaired by Commissioner Teodulo Natividad, then pursued the preparation of the probation
decree. Eighteen technical hearings were conducted, attended by 60 resource persons, after
which the draft decree was presented at the Seminar on the Probation System sponsored by the
NAPOLCOM, Philippine Constabulary and Integrated National Police, and the University of the
Philippines Law Center on April 24, 1976. This was studied and overwhelmingly endorsed by
5
Retrieved on July 11, 2017 from [Link]
6
Retrieved on July 11, 2017 from [Link]
04-%20Emmanuel%20Noel%20A.%20Cruz,%20et.%20al%20-%20The%20Probation%20Law%20p.%[Link]
369 participants representing various sectors of society. A final draft of the decree was
subsequently prepared, then reviewed and endorsed to the President of the Philippines by the
Minister of Justice, Minister of National Defense, and Chief Justice of the Supreme Court. Thus,
the law was born on July 24, 1976. It was during the closing ceremonies of the First National
Conference on a Strategy to Reduce Crime held at Camp Aguinaldo, Quezon City, that President
Ferdinand E. Marcos signed Presidential Decree (P.D.) No. 968, otherwise known as the
Probation Law of 1976, in the presence of nearly 800 representatives of the country’s criminal
justice system. Under Executive Order No. 292, “The Administrative Code of 1987” which was
promulgated on November 23, 1989, the Probation Administration was renamed “Parole and
Probation Administration” and given the added function of supervising prisoners who, after
serving part of their sentence in jails are released on parole pardon with parole conditions.
Moreover, the investigation and supervision of First Time Minor Drug Offenders (FTMDO)
placed under suspended sentence became another added function of the Administration pursuant
to Sections 66 – 70 of Republic Act 9165, “The Comprehensive Dangerous Drugs Act of 2002”
and by virtue of the Memorandum of Agreement between the Dangerous Drugs Board and
Administration dated 17 August 2005. Likewise, pursuant to Section 57 of Republic Act 9165,
the Administration was designated as the authorized representative of the Dangerous Drugs
Board under the Voluntary Submission Program. The Agency was placed in the forefront in
relation to crime prevention, treatment of offenders in the comunity-based setting, and in the
overall administration of criminal justice by mandating the revitalization of the Volunteer
Probation Aide (VPA) Program pursuant to Executive Order 468 dated October 11, 2005. Under
Republic Act No. 10389, “Recognizance Act of 2012”, the Administration was directed to
monitor and evaluate the activities of the person on release on recognizance.7
Note: Probation came from the Latin verb “probare” – to prove, to test. A term coined by John
Augustus.
Essential Elements of the Probation System under Presidential Decree No. 968
The probation system established in the Philippines has at least three important features that
make it different from the systems in other parts of the world. First, it is a “single or one-time”
affair, meaning that a convicted person can only take advantage of probation once in his lifetime.
Secondly, our probation system is highly selective. Probation is made available only to those
convicted of certain crimes. Lastly, persons under probation retain their civil rights, like the right
to vote, or practice one’s profession, or exercise parental or marital authority.8
PAROLE AND PROBATION ADMINISTRATION9
The Probation Administration was created by virtue of Presidential Decree No. 968, “The
Probation Law of 1976”, to administer the probation system. Under Executive Order No. 292,
“The Administrative Code of 1987”, which was promulgated on November 23, 1989, the
Probation Administration was renamed “Parole and Probation Administration” and given the
added function of supervising prisoners who, after serving part of their sentence in jails are
released on parole or are granted pardon with parole conditions.
Mandate: The Parole and Probation Administration is mandated to conserve and/or redeem
convicted offenders and prisoners who are under the probation or parole system.
Vision: A model component of the Philippine Correctional System that shall enhance the quality
of life of its clients through multi-disciplinary programs and resources, an efficient organization,
7
Retrieved on July 11, 2017 from [Link]
8
Retrieved on July 11, 2017 from [Link]
04-%20Emmanuel%20Noel%20A.%20Cruz,%20et.%20al%20-%20The%20Probation%20Law%20p.%[Link]
9
Retrieved on July 12, 2017 from [Link]
and a highly professional and committed workforce in order to promote social justice and
development.
Mission: To rehabilitate probationers, parolees and pardonees, and promote their development as
integral persons by utilizing innovative interventions and techniques which respect the dignity of
man and recognize his divine destiny.
Goals: The Administration’s program sets to achieve the following goals: (a) promote the
reformation of criminal offenders and reduce the incidence of recidivism; and (b) provide a
cheaper alternative to the institutional confinement of first-time offenders who are likely to
respond to individualized, community-based treatment programs.
Functions: The Agency, through its network of 15 regional and 204 field parole and probation
offices performs the following functions:
a) to administer the parole and probation system;
b) to exercise supervision over parolees, pardonees and probationers; and
c) to promote the correction and rehabilitation of criminal offenders.
FAQS ON PROBATION10
What is Probation?
By probation, a person is convicted of a criminal offense is not sent to prison by the
sentencing court. Instead, he/she is released and placed under the supervision of a probation
officer subject to the conditions which the court may impose.
Is Probation a Right?
No, it is a mere privilege for adult offenders. However, under RA No. 9344 or Juvenile
Justice and Welfare Act of 2006, a Child in Conflict with the Law (CICL) is granted the right to
probation as an alternative to imprisonment if qualified under the Probation Law.
Who can apply for probation?
Any first-time convicted offender who is eighteen (18) years old or above.
Who cannot be granted probation? (PD No. 968, as amended, and further amended by RA No.
10707)
a) Those sentence to serve a maximum term of imprisonment of more than six (6) years;
b) Those convicted of any crime against the national security
c) Those who have been previously convicted by final judgment of an offense punished by
imprisonment of more than six (6) months and one (1) day and/or a fine of more than one
(1) day and/or a fine of more than one thousand pesos;
d) Those who have once on probation under the provisions of this Decree; and
e) Those who already serving sentence at the time the substantive provisions of this Decree
became applicable pursuant to Section 33 of hereof.
f) Those legally disqualified under special penal laws:
1. Offenders found guilty of any election offense in accordance with Section 264 of B.P.
Blg. 881 (Omnibus Election Code);
2. Offenders found guilty of violating RA No. 6727 (Wage Rationalization Act, as
amended);
3. Offenders found guilty of violating RA No. 9165, The Comprehensive Dangerous
Drugs Act of 2002, except Section 12, 14, 17, and 70.
Will probation be automatically granted to one whose sentence is six (6) years or less?
No, the applicant may be denied by the court if:

10
Retrieved on July 12, 2017 from [Link]
 a) The offender would be better rehabilitated if he/she is sent to prison to serve his/her
sentence;
b) There is undue risk that the offender will likely commit another crime;
c) Probation will depreciate the seriousness of the offense committed;
Where shall an application for probation be filed?
The application shall be filed with the court that tried and sentenced the offender.
When should an application for probation be filed?
Anytime before the offender starts serving his sentence but within fifteen (15) days from the
promulgation or notice of the judgment of conviction. However, under Section 42 of RA No.
9344, the Juvenile Justice and Welfare Act of 2006, the court may, after it shall have sentenced a
Child in Conflict with the Law and upon application at anytime placed the child on probation in
lieu of service of his sentence.
What will happen if the application for probation is denied?
The offender will be sent by the sentencing court to prison to serve his sentence.
May an offender be released from confinement while his application for probation is pending?
Yes, the applicant may be released under the bail he filed in the criminal case, or under
recognizance.
How many times can one be granted probation?
Only once.
How long is the period of probation?
Not more than two (2) years if the sentence of the offender is one (1) year or less; and not
more than six (6) years if the sentence is more than one (1) year.
What conditions are imposed by the court on an offender who is released on probation?
a) To report to the probation officer within seventy two (72) hours after he receives the
order of the court granting probation;
b) To report to his probation officer at least once a month; and
c) Not to commit any other offense while on probation.
What will happen if a probationer violates the conditions of probation?
The court may modify the conditions of probation or revoke the same. If the violation is
serious, the court may order the probationer to serve his prison sentence. The probationer may
also be arrested and criminally prosecuted if the violation is a criminal offense.
Purpose of Probation
a) Promote the correction and rehabilitation of an offender by providing him with
individualized treatment;
b) Provide an opportunity for the reformation of a penitent offender which might be less
probable if he were to serve a prison sentence; and
c) Prevent the commission of offenses (Section 2, Presidential Decree No. 968).
Benefits and Advantages of Probation
1. Probation assists the government
a) It reduces the population of prisons and jails.
b) It cuts enormous expense in maintaining jails.
c) It reduces recidivism and overcrowding in jails and prisons.
d) It saves the government a total of Php 2.8 Billion in terms of prisoners maintenance in
jails and prisons all over the country.
e) It reduces the burden on the police forces and institutions of feeding and guarding
detainees.
 f)
It makes the offenders taxpayers instead of taxeaters.
g)
It lessens the clogging of courts.
h)
It lightens the load of prosecutors.
i)
It adheres to the concept of Restorative Justice. Thus, a total of Php 137.923 Million
has been paid to clients’ victim and/or their heirs.11
2. Probation protects society
a) From the excessive costs of detention.
b) From the high rate of recidivism of detained offenders.12
3. Probation protects the victim
a) It provides restitution.
b) It preserves justice.13
4. Probation protects the family
a) It does not deprive the wife and children of husband and father.
b) It maintains the unity of the home.14
1. Probation helps the offender
a) It maintains his earning power.
b) It provides rehabilitation in the community.
c) It restores his dignity.15
6. Probation justifies the philosophy of Men
a) That life is sacred.
b) That all men deserve a second time.
c) That an individual can change.
Probation Investigation Procedures
The PSI gathers information on the petitioner’s personality, character, antecedents,
environment and other relevant information, including community resources which shall be
utilized in the rehabilitation of the client. The basic tools used in PSI are interviews, records
check, psychological evaluation and drug tests. All information gathered is written in the PPA
Form 3 or Post-Sentence Investigation Report (PSIR) submitted to the court for disposition.
General Inter-Office Referral
Courtesy Investigation
 Full Blown Courtesy Investigation (FBCI)
1. Is a transient offender in a place of commission of the crime and/or a permanent
resident of another place;
2. Has spent pre-adolescent and/or adolescent life in the province or city of origin;
3. Has attended and/or finished education therein; and
4. Have immediate family members and acquaintances who are residents of the
place of origin.
 Partial Courtesy Investigation (PCI) – It shall be used for petitioners who do not fall
within the purview of the FBCI and is conducted by another PPO.

11
[Link]
12
Ibid.
13
Ibid.
14
Ibid.
15
Ibid.