A Strong Partner for Sustainable Development

Module
In
CA 1:

Institutional Corrections

1 College of Criminal Justice EducationRev.00 ( 09.15.20 )

WPU-OSF-ACAD-82A
Bachelor of Science in Criminology
 Chapter I

INTRODUCTION TO COMMUNITY BASED

CORRECTION PROGRAM

Overview

This module contents topics about corrections: its purpose, the corrections as a
component of criminal justice system, laws and decrees availed of to decongest jails,
approaches of Philippine correctional system, the community-based program in the
Philippines and the advantages of community-based corrections.

Learning Outcomes

At the end of the topic, the students can:

 Recognize the component of Criminal Justice System.

 Distinguish the differences of institutional correction and non-institutional
correction.
 Explain the community-based correction in the Philippines.

Time Allotment

1 ½ hour per session

Pre-test

What can you infer about the two (2) pictures? Discuss your answer.

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 I. THE PRESENT PHILIPPINE CORRECTIONAL
SET-UP

What is Correction?
Correction is the branch of the administration of CJS charged with the responsibility
for the custody, supervision and rehabilitation of convicted offenders. It is also
define as the STUDY OF JAIL OR PRISON MANAGEMENT AND
ADMINISTRATION as well as the rehabilitation and reformation of criminals.
Further, it is define as a GENERIC TERM that includes all government agencies,
facilities, programs, procedures, personnel, and techniques concerned with the
investigation, intake, custody, confinement, supervision, or treatment of alleged
offenders.

Dual Purpose of Correction

1. To punish and
2. To rehabilitate

THE CORRECTIONS AS A COMPONENT OF CRIMINAL JUSTICE SYSTEM

Correction is the fourth pillar of the PCJS, and identified as the weakest pillar. As
a field of criminal justice administration, it utilizes the body of knowledge and practices
of the government and the society in general involving the process of handling
individuals who have been convicted of offenses for purposes of crime prevention and
control.

Among the five pillars of the criminal justice system, corrections is the least
heard, known or 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 CORRECTIONS (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 city, municipal and
district Jails nationwide;
3. The PROVINCIAL GOVERNMENTS, under DILG; which supervise and
control their respective provincial and sub-provincial Jails; and
4. The DEPARTMENT OF SOCIAL WELFARE AND DEVELOPMENT
(DSWD), which takes care of, among others, youthful offenders entered in
detention centers for juveniles, aside from these,

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 Other agencies under this pillar are the (Community Based Correction)

1. The Parole and Probation Administration (PPA) under the Department of

Justice (DOJ); and
2. The Board of Pardons and Parole also under the Department of Justice.

NOTA BENE: There are also LOCK-UP JAILS under the Philippine National Police
(PNP); this fragmented administration of jails often creates confusion since many are
not aware of this set-up.

Generally, corrections, as a component of the system are responsible for:

1. The MAINTENANCE of institution such as prisons, jails, halfway houses, and

others.
2. The PROTECTION of law-abiding members of society by keeping convicted
offenders from preying on society.
3. The REFORMATION and rehabilitation of offenders in preparation for their
eventual reintegration to the mainstream of society and helping them lead a
normal life after release.
4. The DETERRENCE of crimes, experience in prison and the fear of isolation and
denial of liberty will influence inmates and potential offenders to lead a life not in
conflict or afoul with the law.

DECONGESTION OF JAILS

There are several laws, decrees and circulars which we implement to decongest our
jails. But before we discuss these, allow me to show you how congested our jails are as
far as the national capital region is concerned.
Jail congestion is not a recent phenomenon, nor is it confined in the Philippines
alone. Jail congestion is WORLDWIDE. Some industrialized countries like the United
States, experience it, let me cite a few examples: Rikkers Island in New York is
actually an island prison facility. It is overcrowded. To cushion the effect of congestion,
two floating dormitories were constructed to confine offenders therein; in
1995 or four years ago. Director General Keith Hamburger of the Queensland services
commission of Australia reported that congestion is also a problem in his country.
In January of 1994, in Manila, Ronald W. Nikkel, president of prison fellowship
international who had toured some of the jails in the National Capital Region (NCR) and
the New Biliid Prisons of the Bureau of corrections in Municipal City observed and
commented that in the 41 countries of the world he had traveled, most have a problem
on congestion. He added that this problem is PREVALENT IN THIRD WORLD
COUNTRIES.
In our country, jail congestion, particularly in big cities and municipalities, has been
a PERENNIAL PROBLEM ever since. This problem, to borrow a parallelism, is a
sleeping giant. Unfortunately, for jail administrators and personnel, the giant has taken
up and is stretching its enormous arms and legs. OPLAN DECONGESTION must be
put in place to lay this giant back to sleep.

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 OPLAN DECONGESTION was formalized through the execution of a
memorandum of agreement on February 12, 1993. Among the public
attorney’s office, the parole and probation administration, the Board of
Pardons and Parole which are all under the Department of Justice, and the Bureau
of Jail Management and Penology which is under the Department of the Interior
and local government. The avowed PURPOSE of said agreement (MOA) was
jail decongestion through collective and cooperative efforts. Realizing that all
helps available must be harnessed to effectively combat overcrowding or congestion in
jails, the said memorandum of agreement was EXPANDED on August 17, 1993
with the inclusion of the National Prosecution service or (NAPROS) as the
fifth party thereto.
True to its form, the MOA spreads up its intent through seminars. These offered
opportunities to officials and personnel of the tasked agencies to familiarize themselves
with the mechanics of the agreement, as well as to offer avenue to discuss various
aspects of how jails are to be decongested.

LAW AND DECREES USUALLY AVAILED OF TO DECONGEST JAILS

1. Presidential Decree No. 603, known as the child and young welfare code,
suspends sentence of minor offenders whose ages range from nine (9) years to under
eighteen (18) years and place them in rehabilitation centers under the supervision of
the Department of Social Welfare and Development before they are released to the
custody of their parents or to any responsible person.

2. Batas Pambansa Bilang 85, authorizes the release of a detainee who has
undergone preventive imprisonment equivalent to the maximum imposable sentence
for the offense he is charged with’

3. Article 96 of the Revised Penal Code, provides that in meritorious cases, the
commutation of the prisoner’s sentence through presidential action shall be upon the
recommendation of the court which imposed the same; and ARTICLE 97, which
provides that a prisoner shall be entitled to a deduction from his prison term for
good conduct; and

4. DOJ Memorandum Circular no. 6 which directs all wardens or anyone in-
charge of local jails to effect the immediate transfer of national prisoners to the
Bureau of corrections.

5. Republic Act No. 9165- Comprehensive Dangerous Drug Act of 2002

(July 4, 2002) -1st time minor offender (probation) for use 2 possession
only./deport

6. Republic Act No. 9344 – Juvenile & Justice welfare Act of 2006 (May)

7. Republic Act No. 6036, known as the release on recognizance law, provides for
the release of offenders charged with an offense whose penalty is not more than six

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 (6) months and/or a fine of Two Thousand pesos (2,000) or both, to the custody of a
responsible person in the community, instead of a bail bond;

8. Republic Act No. 6127, fully deducts the period of the offenders’ preventive
detention from the sentence imposed by the courts;

9. Republic Act No. 4103, as amended, creating the Board of Pardons and Parole
tasked to look into the physical, mental and moral record of prisoners to determine
who shall be eligible for parole or conditional pardon.

10. Presidential Decree No. 968 July 24, 1976 is the Philippine Probation Law of
1976. Probation is, of course, a very important legal instrument that contributes to
the decongestion of Philippine jails.

APPROACHES OF PHILIPPINE CORRECTIONAL SYSTEM

The Philippine Correctional System has two approaches, and these are, the
Community based and institution-based systems.

1. The Institution-Based Approach-The rehabilitation of offenders in jail or prison

The institution-based approaches has three levels and are manned by three
different government agencies responsible for the supervision and control of the
numerous institutional facilities nationwide which provide safekeeping and
rehabilitation of inmates, namely:
1. The national prison’s and penal farms under the Department of justice;
2. The provincial and sub-provincial jails under the provincial government; and
3. The City, Municipal and District Jails under the Department of Interior and Local
Government.
The Bureau of corrections, headed by a non-uniformed director, under the
department of Justice, supervises and controls the national prisons and penal farms.

2. Non-Institutional Correction or Community-Based Approach- It refers to

correctional activities that may take place within the community or the method of
correcting sentenced offenders without having to go to prison.
Not all convicted offenders have to serve their sentence behind bars. Some of
them are allowed to stay in the community, subject to the conditions imposed by the
court.
They are either granted probation, parole, conditional pardon or recognizance.
The parole and probation Administration under the Department of Justice is the
government agency that supervises the activities of the probationer, parolee and
pardonee and monitors his compliance with conditions imposed.

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 What is a Community correction?

It is a sanction in which offenders serve some or all their sentence in the

community. It is sometimes referred to as non-institutional corrections. The
subfield of corrections in which offenders are supervised and provided services
outside jail or prison.

DISTINCTION BETWEEN INSTITUTIONAL AND NON-INSTITUTIONAL

CORRECTION

Institutional Non-Institutional

That aspect of the That aspect of the

correctional enterprise correctional enterprise that
that involves the includes pardon, probation,
incarceration and and parole activities,
rehabilitation of adults correctional administration
and juveniles convicted not directly connectable to
of offenses against the institutions, and
law, and the miscellaneous (activity) not
confinement of persons directly related to
suspected of a crime institutional care.
awaiting trial and
adjudication.

II. COMMUNITY-BASED CORRECTION PROGRAMS IN THE PHILIPPINES

The Community-Based Treatment Programs are those programs that are intended to
treat criminal offenders within the free community as alternatives to confinement. It
includes all correctional activities directly addressed to the offender and aimed at
helping him to become a law-abiding citizen.
Community-based correction programs began in the 1970s, 1980s, and 1990s. The
programs offer an alternative to incarceration within the prison system. Many
criminologists believed a significant number of offenders did not need incarceration in
high security prison cells. Some inmates, who might otherwise have been ready to turn
away from a life of crime, instead became like the hardened criminals they associated
with in prison.
In response, states, counties, and cities established local correctional facilities and
programs that became known as community-based corrections. These facilities, located

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in neighborhoods, allowed offenders normal family relationships and friendships as well
as rehabilitation services such as counseling, instruction in basic living skills, how to
apply for jobs, and work training and placement.
III. ADVANTAGES OF COMMUNITY-BASED CORRECTION

1. Family members need not be victims also for the imprisonment of a member
because the convict can still continue to support his family.
2. Rehabilitation will be more effective as the convict will not be exposed to
hardened criminals in prisons who will only influence him to a life of crime.
3. Rehabilitation can be monitored by the community thus corrections can be made
and be more effective.
4. It is less costly on the part of the government. Cost of incarcerations will be
eliminated which is extremely beneficial on the part of the government.

IV. THE ROLE OF COMMUNITY CORRECTIONS IN THE

CRIMINAL JUSTICE SYSTEM

Community sentence seeks to repair the harm the offender has caused the
victim or the Community, provide for public safety and rehabilitate and promote
effective reintegration.

A community correction has traditionally emphasized REHABILITATION as

its goal. The staff of community correctional programs has two potentially competing
roles that reflect different goals:
a. Seeing that offenders comply with the orders of community sentences.
b. Helping offenders identify and address their problems and needs.

V. BASIC PRINCIPLES UNDERLYING THE PHILOSOPHY OF

COMMUNITY-BASED TREATMENT PROGRAMS

The following are the basic principles underlying the philosophy of community-
based treatment programs:

1. Humanitarian Aspect - Imprisonment is not always advisable. Placing a

person to custodial coercion is to place him in physical jeopardy, thus drastically
narrowing his access to sources of personal satisfaction and reducing his self-
esteem.

2. Restorative Aspect - There are measures expected to be achieved by the

offender, such as an establishment of a position in the community in which he
does not violate the laws. These measures may be directed at changing and
controlling the offender. The failure of the offender to achieve these can result to
recidivism.

3. Managerial Aspect - Managerial skills are special importance because of the

sharp contrast between the per capital cost of custody and any kind of community

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 program. It is easier to manage those undergoing community based treatment
programs than that of custodial control.

VI. SUBJECT COVERAGE

1. Probation - One of the most common forms of community correction is

probation. Probation can be thought of as a type of post-trial diversion from
incarceration. A term coined by John Augustus, from the Latin verb “probare”-
to prove, to test.
It is a disposition under which a 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 court and under the supervision of a
probation officer.
Furthermore, it is define as a sentence in which the offender, rather than
being incarcerated, is retained in the community under the supervision of a
probation agency and required to abide by certain rules and conditions to avoid
incarceration.

2. Diversion – For juvenile offender or CICL

3. Restitution - In recent years it has become increasingly common for

jurisdictions to include restitution orders as part of probation.
Money paid or services provided to victims, their survivors, or to the
community by a convicted offender to make up for the injury inflicted.

4. Halfway houses - Community-based residential facilities that are less secure

and restrictive than prison or jail but provide a more controlled environment
than other community correctional programs.

Goal of Halfway House: The goal of halfway houses is to provide offenders

with a temporary period of highly structured and supportive living so that they
will be better prepared to function independently in the community upon
discharge.

What is home Confinement? It is a program that requires offenders to

remain in their homes except for approved periods of absence; commonly used in
combination with electronic monitoring. Home confinement is also known as
home incarceration, home detention, and house arrest.

OTHER ASPECTS OF CORRECTIONS

1. Parole - It is the process of suspending the sentence of a convict after having

serve the minimum of his sentence without granting him pardon, and the
prescribing term upon which the sentence shall be suspended.

2. Executive Clemency

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 It shall refer to Absolute Pardon, Conditional Pardon with or without
Parole conditions and Commutation of Sentence as may be granted by the
President of the Philippines upon the recommendation of the Board of Pardon
and Parole.

a. Pardon It is a form of executive clemency granted by the President of the

Philippines as a privilege to a convict as a discretionary act of grace. It is an
act of grace is extended to prisoners as a matter of right, vested to the Chief
Executive (The President) as a matter of power. Neither the legislative nor the
judiciary branch of the government has the power to set conditions or
establish procedures for the exercise of this Presidential prerogative. The
following are the two types of pardon:

1. Absolute Pardon-It refers to the total extinction of the criminal liability

of the individual to whom it is granted without any condition whatsoever
and restores to the individual his civil rights and remits the penalty
imposed for the particular offense of which he was convicted.

Purpose:
a. To right a wrong
b. To normalize a tumultuous political situation.

Absolute Pardon is also granted by a President to an imprisoned

president the incumbent has deposed. Absolute Pardon is granted in order
to restore full political and civil rights to convicted persons who have
already served their sentenced and have reached the prescribed period for
the grant of Absolute Pardon.

2. Conditional Pardon-It refers to the exemption of an individual, within

certain limits or conditions; from the punishment that the law inflicts for
the offense he has committed resulting in the partial extinction of his
criminal liability.

It is also granted by the President of the Philippines to release an

inmate who has been reformed but is not eligible to be released on parole.

b. Amnesty - A general pardon extended to a group of persons, such a political

offenders purposely to bring about the return of dissidents to their home and to
restore peace and order in the community.

c. Commutation of Sentence - An act of the president changing/ reducing a

heavier sentence to a lighter one or a longer term into a shorter term. It may alter
death sentence to life sentence or life sentence to a term of years. It does not
forgive the offender but merely to reduce the penalty pronounce by the court.

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 d. Reprieve - A temporary stay of the execution of sentence especially the
execution of the death sentence. Generally, Reprieve is extended to prisoners
sentenced to death.

The date of execution of sentenced is set back several days to enable the Chief to
study the petition of the condemned man for commutation of sentenced or
pardon.

CHAPTER II

THE NATURE OF PROBATION

IN THE PHILIPPINES

Overview
The chapter contents introduction to probation, concept and philosophy of
probation, elements and characteristics of probation, objective, purpose and
characteristics of probation, advantages, benefits and savings of probation, problem
areas of the probation law and probation under PD No. 603 as amended by RA 9344.

Learning Outcomes

At the end of the chapter, the students can:

 Define probation and other related terms.

 Justify the importance of probation.
 Understand the concept and philosophy of probation system.
 Identify elements and characteristics of probation.
 Identify the objectives and purpose of probation.
 List the advantages, benefits and savings of probation system.
 Identify the problem areas of the probation law.
 Differentiate probation under PD No. 968 and PD No. 603 as amended by RA
9344.

Time Allotment

1 ½ hour per session

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Pre-test

True or False

1. Probation is a supervision over an offender ordered by a court instead of serving

time in prison. _____
2. Probation is the one who supervise the person under probation. _____
3. Probation is a court function. _____
4. Probation did not protect the society. _____
5. Probation helps the offender to maintain his earning power. _____

I. Introduction

Most correctional authorities believed that probation is one of the most effective
and economical tools which society now has available for the care, treatment and
rehabilitation of certain adult and juvenile offenders against the law. Probation is a
procedure wherein a sentence of offender is temporarily suspended and he is permitted
to remain in the community, subject to the control of the court and under the
supervision and guidance of a probation officer. It is a privilege granted by the court to a
person convicted of a crime or criminal offense to remain with the community instead of
actually going to prison.

Presidential Decree No. 968 otherwise known as the Probation Law of 1976
recognizes such trend. However, the Decree separates adult probation from juvenile
probation for its expressly excludes those entitled to the benefits under the provisions of
Presidential Decree No. 603, known as the Child and Youth Welfare Code, and similar
laws.

Statements of the principles, goals and objectives of the Probation Law are found
in its Preamble. The Preamble indicates six essential, to wit:

1. An enlightened and humane correctional system;

2. The reformation of offenders;
3. The reduction of the incidence of recidivism;
4. To extend the offenders individualized and community-based programs instead
of imprisonment;
5. It is limited only to offenders who are likely to respond to probation favorable;
and
6. It is economical or less costly than confinement to prisons and other institutions
with rehabilitation programs.

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 To provide a less costly alternative to the imprisonment of first-time offenders,
then President Ferdinand E. Marcos issued on July 24, 1976 Presidential Decree No.
968 known as the Probation Law of 1976. Under PD 968, the court may, after it
shall have convicted and sentenced an accused and upon application of said accused,
suspend the execution of said sentence and place the accused on probation for such
period and upon such terms and conditions as it may deemed best. First-time offenders
were given a second chance to maintain their place in society through a process of
reformation, which is better achieved when he is not mixed with hardened criminals
within prison walls.

PROBATION DEFINE

The word probation is from the Latin word “probation” which means testing,
the word probation is also said to be originated from the Latin verb “probare” which
means to prove.

In criminal law it is a period of supervision over an offender, ordered by a court

instead of serving time in prison.

In the case of Frad v. Kelly “Probation is a system of tutelage under the

supervision and control of the court which has jurisdiction over the convicted
defendant, has the record of his conviction and sentence, the records and reports as to
his compliance with the conditions of his probation, and the aid of the local probation
officer, under whose supervision the defendant is placed.” It consists of the conditional
suspension of punishment while the offender is placed under personal supervision and
is given individual guidance or treatment.

The Philippine Probation Law of 1976, as enacted by Presidential Decree No. 968,
defines probation as, “a disposition under which a defendant, after conviction
and sentence, is released subject to conditions imposed by the court and to
the supervision of a probation officer.” This decree will take effect on January 2,
1978.

TERMS TO PONDER

As issued in Section 3 of PD 968 and Section 4 of Parole and Probation

Administration Omnibus Rules on probation methods and procedure. The
following, shall, unless the context otherwise requires, be construed thus:

1. Amicus Curiae – Means friend of the court

2. Absconding Petitioner – a convicted accused whose application for probation
has been given due course by the court but fails to report to the parole and
probation office or cannot be located within a reasonable period of time.

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 3. Absconding Petitioner – an accused whose probation was granted but failed
to report for supervision within the period ordered by the court or a probationer
who fails to continue reporting for supervision and/or whose whereabouts are
unknown for a reasonable period of time.
4. Defense Counsel – lawyer of the petitioner.
5. Petition – application for probation.
6. Petitioner – a convicted defendant who files an application for probation.
7. Probationer – means a person placed on probation.
8. Probation – is a disposition under which a defendant, after conviction and
sentence, is released subject to conditions imposed by the court and to the
supervision of a probation officer.
9. Probation Investigation – the process of selection, diagnoses and planning
with the client.
10. Probation Supervision – the continuous process of helping the client to follow
through with the plans, reevaluation and working with the client in the process of
planning his life to meet dynamic situation.
11. Probation Officer – public officer like the Chief of Probation and Parole
Officer (CPPO), Supervising Probation and Parole Officer (SPPO), Senior
Probation and Parole Officer (SrPPO), Parole and Probation Officer II (PPOII), or
Parole and Probation Officer I (PPOI), who investigates for the Trial Court a
referral for probation or supervises a probationer or does both functions and
performs other necessary and related duties and functions as directed.
12. Probation Office – refers either to the Provincial or City Probation Office
directed to conduct investigation or supervision referrals as the case may be;
13. Probation Order – order of the trial court granting probation.
14. Volunteerism – is a strategy by which the parole and probation administration
may be able to generate maximum citizen participation or community
involvement in the overall process of client rehabilitation.

II. CONCEPT AND PHILOSOPHY OF PROBATION

A. CONCEPT OF PROBATION

PD 968 as amended, otherwise known as the probation law of 1976 defines

probation. The court convicts and sentences the defendant but the execution of the
sentence, whether it imposes a fine only or a term of imprisonment is suspended and
the defendant is released on probation. Probation implies that during the period of time
fixed by the court, the defendant is provided with individualized community based
treatment including conditions he is required by the court to fulfill his correction and
rehabilitation which might be less probable if he were to serve a prison sentence, and for
this purpose, he is placed under the actual supervision and visitation of a probation
officer.

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 If the defendant violates any of the conditions of his probation, the court may
revoked his probation and order him to serve the sentence originally imposed. On the
other hand, if he fulfills with the terms and conditions of his probation, he shall be
discharge by the court after the period of probation, where upon the case against him
shall be deemed terminated. His final discharged shall operate to restore to him all civil
rights lost or suspended as a result of his conviction and to fully discharge his liability
for any fine imposed as to the offense for which probation was granted. However, he
shall continue to be obliged to satisfy liability resulting from the crime committed by
him.

The basic legal conceptions of probation in the Decree are twofold: First, it has
a conditional suspension of the execution of sentence – it denotes that the
court assumes a primary role because a grant of probation is judicially dispensed and
controlled. Second, it is a personal care or treatment and supervision over the
probationer – it indicates the administrative aspect of probation through the
supervision of a probation officer and from the point of view of social workers, a social
casework treatment.

PROBATION IS A COURT FUNCTION

In the Probation Law, the court assumes a dual role. First, when it acts in
accordance with the jurisdiction it acquires over the accused and proceeds to determine
his guilt. Assuming an affirmative finding of the offender’s guilt beyond reasonable
doubt, the convict would convict and sentence said offender. Second, when the court
determines whether or not to grant probation upon application of the offender. Sections
3(a) and 4 of the Decree clearly shows this dichotomy.
The Decree defines probation in Section 3 as "a disposition under which the
defendant, after conviction and sentence, is released subject to the conditions imposed
by the court and to the supervision of a probation officer. It is evident from this
provision that an offender will be released on probation only after conviction and
sentence. Furthermore, Section 4 underlines the necessity of filing an application with
the trial court before the suspension of the execution of the court's judgment. The
petition for probation may be filed by a petitioner directly with the trial court which
exercises jurisdiction over his case. If the court finds that the petition is in due form and
that the petitioner is not disqualified from the grant of probation it shall refer the same
to the Provincial or City Probation Officer within its jurisdiction as the case may be. The
court shall order the Provincial or City Probation Office to conduct a post-sentence
investigation of the petitioner. Only upon the filing of an application for probation after
conviction and sentence and a determination that the offender does not fall under any of
the disqualifications set forth in the Decree may the court suspend the execution of
sentence.
The Post-Sentence Investigation is an indispensable requisite to a grant of
probation. The Probation Law provides: "No person shall be placed on probation except
upon prior investigation by the probation officer and a determination by the court that

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the ends of justice and the best interest of the public as well as that of the defendant will
be served thereby."
The scope of the investigation must be consistent with the purposes of probation.
In general, it is a fact finding inquiry into all information relative to the character,
antecedents, environment, mental and physical condition of the offender, and available
institutional and community resources.
Upon the termination of the Post-Sentence Investigation, the probation officer
shall submit to the court the investigation report on a defendant not later than sixty days
from receipt of the order of said court to conduct the investigation. The purpose of the
report is to assist the court in determining whether or not the ends of justice and the
best interest of the public as well as that of the defendant will be served thereby.
The recommendation contained in the report is merely persuasive and is in no
way binding upon the court. Considering the foregoing and compliance therewith, the
court will promulgate a probation order. Probation is a privilege and, as such, its grant
rests solely upon the discretion of the court. The grant of probation results in the release
of the petitioner subject to the terms and conditions imposed by the court, and to the
supervision of the Probation Office.33 As to the conditions to be imposed by the court,
they are enumerated in Section 10 of the Presidential Decree No. 968.
The jurisdiction and control of the court which arises from an imposed
sentence, remains with the court even after a grant of probation. This is evident in
Sections 32 and 40 of the Rules On Probation Methods and Procedures. Section 32
provides: "During the period of probation the court, motu proprio, or on motion of the
probation officer or of the probationer, may revise or modify the conditions or terms of
the probation order." In case of violation of the terms and conditions imposed by the
court, Section 40 provides "if the violation is established, the court may revoke or
continue his probation and modify the conditions thereof. If revoked, the court shall
order the probationer to serve the sentence originally imposed and shall commit the
probationer." This power of the court underlines the non-punitive and non-repressive
aspect of probation. Such constitutes a sufficient threat to the probationer to fulfill all
terms and conditions imposed by the court.
PROBATION IS AN ADMINISTRATIVE PROCESS
Once the court has granted probation to an offender and has duly imposed the
terms and conditions of the probation, the probation officer has the bounden duty to see
to it that the probationer observes all terms and conditions imposed by the court.
Probation supervision is then a primarily an administrative process.
The primary purposes of probation supervision are:
(a) To carry out the conditions set forth in the probation order;
(b) To ascertain whether the probationer is following said conditions; and
(c) To bring about the rehabilitation of the probationer and his reintegration into
the community.

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 To carry out these purposes the Probation Law upon its approval carried with it
the establishment of a Probation Administration an agency under the Department of
Justice, which shall exercise general supervision over all probationers. The
Administration shall have regional offices organized in accordance with the field service
area pattern established under the Integrated Reorganization Plan. There shall be at
least one probation officer in each province and city who shall be appointed by the
Secretary of Justice upon recommendation of the Administrator and in accordance with
civil service law and rules.
At this juncture, it is to be emphasized that in spite of the fact that the Probation
Administration is an executive agency, control of the courts over the probationer is not
lost. The basis for such is the first paragraph of Section 13 of the Decree which provides
that "the probationer and his probation program shall be under the control of the court
who placed him on probation subject to actual supervision and visitation by a probation
officer."
A. PHILOSOPHY OF PROBATION
The Probation adheres to the following philosophy:
1. There is no single cause for delinquent behavior. Human beings are extremely
complicated. It is not possible to trace complex pattern of Human behavior to
any single cause;
2. Delinquent and criminal acts are symptoms. The offender against our law is
exhibiting a symptom of social or psychological disturbance, just as a
headache is a symptom of a physical disturbance. This means that the juvenile
delinquent or adult offender is in need of treatment. The job of Probation
Administration is to find out what the problems are beneath the symptom and
to recommend appropriate treatment plans;
3. That the individual has the ability to change and modify his anti-social
behavior with the right kind of help;
4. The central goal of probation Administration is to enhance the safety of the
community by reducing the incidence of Criminal acts by person previously
convicted. The goal is to achieve through counseling , guidance, assistance,
surveillance and restraint of the offender to enable their reintegration into
society as law abiding and productive members;
5. The basic idea underlying a sentence to probation is very simple. Sentencing
is in large part concerned with avoiding future crimes by helping the
defendant learn to live productively in the community which he has offended;
6. This is of course not to say that probation should be used in all cases, or it will
always produce better results. There are many goals of sentencing some of
which in given case may require the imposition of a sentence to imprisonment
even in the face of a conclusion that the probation is more likely to assure that
the public that the particular defendant will not offend again.

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 7. By the same token however, it can be said that probation is a good bit more
than the “matter of grace” or “leniency” which characterizes the philosophy of
the general public and of many Judges and legislators on the subjects.
Probation is an affirmative correction too, a tool which is used not because is
maximum benefits to the defendant, but society which is sought to be served
by the sentencing criminals;
8. An adequate correctional system will place great reliance on appropriately
funded and manned probation services. Within such context probation
services. Within such context probation can lead to significant improvement
in the preventive effects of the criminal law, at much less of a financial burden
than the more typical prison sentence;
9. Imprisonment as a sole cure for prevalence of Crime is no Longer recognized.
Prisons are in themselves often productive of crime and Destructive of the
keepers as well as kept
10. It is generally concealed that probation a matter of privilege to be granted
refused at discretion of the State. The applicant has already been convicted
and sentenced by the court and it is only the mercy of that he may be given
probation;
11. No violation of probation conditions should result in automatic revocation;
12. No physical would undertake to prescribe treatment for sick man unless he
has repot of his ailment and condition (diagnosis), a judge should not pass
judgment on a man without post-sentence investigation report.

III. ELEMENTS AND CHARACTERISTICS OF PROBATION

A. ELEMENTS OF PROBATION

a. FOUR (4) ESSENTIAL ELEMENTS OF PROBATION

1. A post sentence investigation report which will serve as the informational for
the court’s decision to grant or deny probation.
2. The conditional suspension of execution of sentence by the court.
3. Condition of probation imposed by the court to protect public safety and to
faster the rehabilitation and reformation of the probationer.
4. Supervision, guidance and assistance of the offender by a probation officer.

b. ESSENTIAL ELEMENTS OF THE PROBATION SYSTEM UNDER

PRESIDENTIAL DECREE NO. 968
The following are the essential elements of the probation system under
Presidential Decree No. 968:
1. Probation is a single or one-time" affair.
2. Probation system is highly selective.

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 3. Persons under probation retain their civil rights, like the right to vote, or
practice one's profession, or exercise parental or marital authority.

c. CHARACTERISTICS OF PROBATION
1. More enlightened and humane correctional treatment.
2. It aims to promote the reformation of the offenders.
3. It reduces the incidence of recidivism.
4. It extends to offenders individualized and community based treatment
programs instead of imprisoning them.
5. It is limited to offenders who are likely to respond favorably there to.
6. It is less costly than the confinement of all offenders in prisons.

IV. OBJECTIVES AND PURPOSE OF PROBATION

A. OBJECTIVES OF PROBATION

The following are the fundamental objectives of a Probation Agency

1. Assist the court in matters pertaining to sentencing
2. Promote community protection by supervising and monitoring the
activities of persons on probation
3. Promote the betterment of offenders by ensuring that they receive
appropriate rehabilitation services

B. THE PURPOSE OF THE PROBATION LAW

The purpose of the Probation Law as stated in Section 2 thereof reiterates the
above-mentioned characteristics and vests in them the mandate of law. It provides
that the purpose of the Decree is to:
1. Promote the correction and rehabilitation of an offender by providing him
with individualized treatment;
2. provide an opportunity for the reformation of a penitent offender which
might be less probable if he were to serve a prison sentence; and
3. Prevent the commission of offenses.

V. ADVANTAGES, BENEFITS AND SAVINGS OR PROBATION

A. ADVANTAGES OF PROBATION

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 The implementation of the Probation law will confer benefits and advantages not
only to society in general but more soon the part of the offender and the government.
Specifically the following are the advantages of probation:
1. Probation prevents crime by offering freedom and aid only to those who are not
likely to assault society again.
2. It protects the society by placing under close supervision non-dangerous
offenders while the undergoing treatment and rehabilitation in the community.
3. It conform the modern humanistic trends in Penology.
4. It prevents youthful of first time offenders from turning into hardened criminals.
5. It is a measure of cutting enormous expends in maintaining jails.
6. It reduces recidivism and overcrowding of jails and prisons.
7. It reduces the burden of police forces and institution in feeding and guarding
detainees.
8. It gives the first and light offenders a second chance in life.
9. It makes the offender productive or taxpayers instead of tax eaters.
10. It restores to successful probationers his civil rights which was previously lost or
suspended as a result of conviction.
11. It has been proven effective in developing countries that have adopted it.
12. It is advocated by the United Nations in its various congresses in crime
prevention and treatment of offenders
B. BENEFITS OF PROBATION
Probation has the following benefits:
1. It protect society
a. From the excessive cost of detention.
b. From the high rate of recidivism of detained offender.

2. It protects the victim

a. It provides restitution.
b. It preserves justice.

3. It protects the family

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

4. It assists the government

a. It reduces the population of prisons and jails.
b. It lessens the clogging of court.
c. It lightens the load of prosecutors.

5. It helps the offender

a. It maintains his earning power.
b. It provides rehabilitation in the community.
c. It restores his dignity.

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 6. It justifies the philosophy of men
a. That life is sacred
b. That all men deserve a second chance
c. That an individual can change
d. That society has the moral obligation to lift the fallen
C. SAVINGS OF PROBATION
The following are the savings of probation:
1. Probation is one tenth the cost of detention. As illustrated, the per capita cost of
maintaining one offender in the Philippines is estimated at Php 11,000.00
annually, while it costs only Php 300.00 to maintain one offender on probation.
2. This means savings of Php 30,000.00 when 10,000 of 40,000 offenders are on
probation annually. It is expected that at least one third of the prisons and jail
population in the country would benefit from probation.
3. The average per capita income of a Filipino in 2003 according to the National
Statistics and Coordination Board (NSCB) was Php 30,703.00. It means that
when 10,000 probationers are making a living they will produce Php
307,030,000.00 in goods and service annually. A part of this goes to the
government in forms of taxes. Indeed, detention makes tax eaters while
probation makes TAX PAYERS.
4. The cost of constructing and preparing prisons and jails is enormous which would
run to at least Php10,000,000 annually in order to accommodate 40,000
offenders.
5. The probation system saves the government a total of Php 4.678 Billion in terms
of prisoner’s maintenance in jails and prisons all over the country.
6. Philippine Probation System adheres to the concept of Restorative Justice. Thus,
a total of Php 137.923 Million has been paid to clients’ victims and/or their heirs
7. The biggest savings of probation aside from money are, however, in the forms of
human resources, dignity, time and opportunity for development, which are most
needed by our society.

VI. PROBLEM AREAS OF THE PROBATION LAW

1. Presidential Decree No. 968 will cover civilians tried and convicted
by military tribunals. Section 1 provides: "it shall apply to all offenders
except those entitled to the benefits under the provisions of
Presidential Decree No. 603 and similar laws." Section 9 on disqualified
offenders does not include those convicted by military tribunals.

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 What are the "similar laws" referred to in Section 1? Two can readily be
mentioned-The Dangerous Drugs Act of 1972 and the Articles of War.

2. The cut-off point at six years imprisonment for extending the benefits of
probation refers to the sentence actually imposed, not that prescribed by law for
the offense committed.

3. The probation law does not disqualify one who has been convicted of
an offense penalized by DESTIERRO, such as that of killing or inflicting
serious physical injuries under the exceptional circumstances in Article 247 of
the Revised Penal Code or concubinage insofar as the concubine is concerned in
Article 334, of the same. Unlike Section 9(a), Section 9(c) has reference to the
penalty imposed by law.

Under Section 9(d), one who has been on probation only under the Juvenile
Delinquency Act of 1924, Article 80 of the Revised Penal Code, or the Child and
Youth Welfare Code will not be disqualified.

Under disqualification (e), those who will serve sentence after the substantive
provisions of the Decree shall become operative will be permitted to do so,
according to one view. The reason given is that otherwise it would have been
unnecessary for the law to specify the time at which the offender concerned
should be serving his sentence. Another view, however, points to the principle of
separation of powers.

4. Probation, it is argued, as laid out by the Decree is primarily a

judicial function, while the service or execution of sentence is an executive
one. When the convict is delivered to the hands of the prison authorities, to
subsequently allow the judiciary to reach him by suspending the further service
of his sentence and placing him on probation would constitute an intrusion into
the prerogatives of the executive to whom belongs the exclusive power to grant
reprieves, commutations and pardons and remit fines and forfeitures.

Therefore, according to this view, offenders who are already serving

sentence, no matter when they start or may be found to be serving
sentence, are NOT qualified for the benefits of the Decree.

5. It cannot be made at any time after conviction and sentence, but

rather extends only up to the actual commitment of the defendant to
prison for the service of his sentence, and not thereafter. The
defendant may apply for probation in case of appeal from a judgment of
conviction. He may apply for probation as long as he has not begun serving his
sentence, and obviously this does not happen if the sentence has not become
final and executory, such as during the pendency of an appeal.

6. The rule of automatic withdrawal of pending appeal applies in case

the application for probation is made when the appellate court has

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 already rendered its decision, there being no indication in the probation
law to the contrary, and the operation of such rule being in accordance with the
maxim that laws should be liberally construed in favor of the accused.

7. The application for probation may be in any form, whether written

or oral. While Section 4 of the Decree states that the application shall be filed
with the court, this does not necessarily mean that it should be in writing, even
if a written form would definitely be more convenient to the court. A liberal
construction of the law beneficial to the accused would not consider the use of
the term 'filed' by the law, as impliedly requiring a written form.

8. Defendant is not entitled as a matter of right to the assistance of

counsel in the investigation. The probation law does not have a provision
guaranteeing the right to counsel in such investigation. The constitutional
guarantee that in all criminal prosecutions the accused shall enjoy the right to
be heard by himself and counsel and that any person under investigation for the
commission of an offense shall have the right to counsel would not seem to
apply because the investigation by the probation officer is neither prosecutory
nor accusatory in character. It is merely a fact-finding inquiry.

9. Neither is the constitutional guarantee against self-incrimination

that no person shall be compelled to be a witness against himself,
available in the investigation. The said guarantee does not depend upon the
nature of the proceedings in which it is invoked, of course, and it may be availed
of as long as the questions objected to would incriminate the person who 'is
asked to answer the same. But it is an established doctrine that where the
answer to a question, however self-incriminating, may not be used as evidence
of criminal liability of the respondent because there is a law prohibiting its use
for that purpose, then the privilege against self-incrimination may not be validly
invoked to justify refusal to answer the question. Section 17 of the Probation
Law provides that the investigation report and the supervision history of the
probationer obtained under this decree shall be privileged, i.e., it may not legally
be used as· evidence of liability.

We raise one question, though. The same Section 17 itself provides that "the
investigation report and the supervision history x x x shall be
privileged and shall not be disclosed directly or indirectly to anyone
other than the Probation Administration or the court concerned x x
x." If the defendant cannot invoke the privilege against self-incrimination
during the investigation, would not the incriminating answers given prejudice
the court in deciding whether it will grant probation or not?

10. Pending submission of the investigation report and the

resolution of the petition for probation, the defendant may be
allowed on temporary liberty under his bail filed in the criminal
case, or on recognizance.

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 11. While the grant or denial of probation is not appealable,
certiorari will lie, under the general law on certiorari. This is not
appeal for he does not question the findings of fact of the trial court but only the
reasonableness of the order based thereon and adequate remedy in the ordinary
course of law, a person aggrieved thereby may file a verified petition in the
proper, court alleging the facts with certainty and praying that judgment be
rendered annulling or modifying the proceeding as the law requires of such
tribunal, board or officer. The petition shall be accompanied by a certified true
copy of the judgment or order subject thereof, together with copies of all
pleadings and documents relevant and pertinent thereto.

12. The grant of probation does not erase, modify of otherwise

affect the offender's CIVIL LIABILITY. Probation is a substitute for
imprisonment and other criminal penalties, not a mode of discharging the civil
liability, which is owed not to the State but to the offended party. The sentence,
which is suspended from execution, means only the imposition of the criminal
penalties, not the civil liability. If it were otherwise, the offended party would
have to file a separate civil action thereby creating multiplicity of suits, contrary
to public policy. In fact, civil indemnification might be imposed as a condition
for probation under Section 10 (k) of the Probation Law. Indeed, under Article
112 in relation to Article 113, of the Revised Penal Code, except in case of
extinction of his civil liability in accordance with the provisions of the civil law,
the offender shall continue to be obliged to satisfy the civil liability resulting
from the crime committed by him, even if he has served his sentence consisting
of deprivation of liberty or other rights, or has not been required to serve the
same by reason of amnesty, pardon, commutation of service, or any other
reason.

VII. PROBATION UNDER PD NO. 603 AS AMENDED BY REPUBLIC ACT

NO. 9344
The Presidential Decree (PD) 603 is known as the Child and Youth Welfare Code.
The Decree was signed by his Excellency President Ferdinand Marcos on December 10,
1974 and took effect on June 10, 1975. It provides for the grant of probation to youthful
offender as an alternative to imprisonment. It is considered as the second probation law
of the Philippines which is intended only for minors.
Presidential Decree No. 603 applies to youthful offenders. It suspends the sentence
of minor offenders whose ages range from 9 years old but not more than 21 years old
(now 18) the time of the commission of the offense and places them to rehabilitation
center. It states, "if after hearing the evidence in the proper proceedings, the
court should find that the youthful offender has committed the acts charged
against him, the court shall determine the imposable penalty, including any
civil liability chargeable against him. However, instead of pronouncing judgment
of conviction, the court shall suspend further proceedings and shall commit such minor
to the custody or care of the Department of Social Welfare, or to any training institution
operated by the government, or duly licensed agencies or any other responsible person,

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until he shall have reached 21 years of age (now 18), or for a shorter period as the court
may deem proper.

NOTA BENE: The age of minority is lowered from 21 to 18 years old.

RELATED PROVISIONS UNDER REPUBLIC ACT NO. 9344

Sec. 5 of Republic act No. 9344: Rights of the Child in Conflict with the
Law. - Every child in conflict with the law shall have the following rights, including but
not limited to:
xxx
(m) the right to probation as an alternative to imprisonment, if qualified under
the Probation Law; xxx

Sec. 42 of Republic act No. 9344: Probation as an Alternative to

Imprisonment. - The court may, after it shall have convicted and sentenced a child in
conflict with the law, and upon application at any time, place the child on probation in
lieu of service of his/her sentence taking into account the best interest of the child. For
this purpose, Section 4 of Presidential Decree No. 968, otherwise known as the
"Probation Law of 1976", is hereby amended accordingly.

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 proceedings and the records shall
not be disclosed directly or indirectly to anyone by any of the parties or the participants
in the proceedings for any purpose whatsoever, EXCEPT to determine if the child
in conflict with the law may have his/her sentence suspended or if he/she
may be granted probation under the Probation Law, or to enforce the civil
liability imposed in the criminal action.
The component authorities shall undertake all measures to protect this
confidentiality of proceedings, including non-disclosure of records to the media,
maintaining a separate police blotter for cases involving children in conflict with the law
and adopting a system of coding to conceal material information which will lead to the
child's identity. Records of a child in conflict with the law shall not be used in
subsequent proceedings for cases involving the same offender as an adult, except when
beneficial for the offender and upon his/her written consent.
A person who has been in conflict with the law as a child shall not be held under any
provision of law, to be guilty of perjury or of concealment or misrepresentation by
reason of his/her failure to acknowledge the case or recite any fact related thereto in
response to any inquiry made to him/her for any purpose.

Sec. 67 of Republic act No. 9344: Children Who Reach the Age of Eighteen
(18) Years Pending Diversion and Court Proceedings. - If a child reaches the
age of eighteen (18) years pending diversion and court proceedings, the appropriate
diversion authority in consultation with the local social welfare and development officer
or the Family Court in consultation with the Social Services and Counseling Division

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(SSCD) of the Supreme Court, as the case may be, shall determine the appropriate
disposition. In case the appropriate court executes the judgment of conviction, and
unless the child in conflict the law has already availed of probation under Presidential
Decree No. 603 or other similar laws, the child may apply for probation if qualified
under the provisions of the Probation Law.

DISTINCTION BETWEEN PROBATION UNDER PRESIDENTIAL DECREE

NO. 603 AND UNDER PRESIDENTIAL DECREE NO. 968.

Presidential Presidential Decree

Decree No. 603 No. 968

Under Presidential Under Presidential

Decree No. 603 the Decree No. 968, the
youthful offender is offender is convicted
neither convicted nor and sentenced. Section
sentenced although 3 defines probation as
the court finding him a disposition under
guilty determines the which a defendant,
imposable penalty after conviction and
and orders his sentence, is released
commitment as a subject to conditions
matter of course to imposed by the court
any of the trustees for and to the supervision
his correction and of a probation officer.
rehabilitation, even The probationer is not
without his asking for committed to any
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.

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 Chapter III

HISTORICAL DEVELOPMENT
OF PROBATION

Overview
The chapter consist of historical development of probation, basic differences
between P.D No. 968 and Act No. 4221, forerunners of Probation and the probation law
and its amendment.

Learning Outcomes:

At the end of the topic, the students can:

 Discuss the historical development of probation particularly in England, United

States and Philippines.
 Recognized the contribution of different personalities in the development of
probation.
 Analyze the ruling of the Supreme Court in the case of People vs. Vera.
 Differentiate PD No. 968 to Act No. 4221.

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  Discuss the forerunners of probation.
 Explain amendments to PD 968.

Time Allotment

1 ½ hour per session

Pre-test

Instruction:

_____ 1.Probation was first originated in USA.

_____ 2. Matthew Davenport Hill is the Father of Probation in USA.

_____ 3. Teodula Natividad is the Father of Probation in the Philippines.

_____ 4. John Augustus is the Father of Probation in England.

_____ 5. Massachusetts is the 1st country to enact Probation Law.

I. HISTORICAL DEVELOPMENT OF PROBATION

A. HISTORICAL DEVELOPMENT OF PROBATION IN ENGLAND

Early in the 19th century the English magistrates initiated experiments to save
young and inexperienced offenders from stigma of prison. They made use of the latitude
allowed then under the common law to bind over defendants, who should be brought
back for sentence if the conditions of release were violated.

The need for supervision and assistance to those so released was met by assigning
the young offender to the care and guardianship of his parents or his employer with an
occasional check on his progress by the police.

WHO IS MATHEW DAVENPORT HILL?

Mathew Davenport Hill is considered the father of probation in England. He

left an interesting account of his experiments in the Birminghim court. He was in the
forefront of reforming juvenile offenders. He finds persons who act as guardians of the
juvenile offender. Then at an unexpected period, the confidential office visits the
guardian, makes inquiries and keeps notes of information received.

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 He conducted his experiment in the Birmingham Court Beginning in the early
years of 1481, he acted for and in behalf of juvenile offenders, when he believes:

1. The individual is not fully corrupt

2. There was reasonable hope of reformation
3. When there could be found persons to act

As guardian they are kind enough to take charge of the young convict. In the
belief that there is better hope for reformation under such guardians than in prison,

At unexpected period, confidential officers visits the guardians, make inquiries

and register facts. He was thus informed and records were kept.

B. HISTORICAL DEVELOPMENT OF PROBATION IN UNITED STATES

The first state to enact a real probation law in United States is Massachusetts.
The first practical demonstration of probation, first use of the term as court service, and
the enactment of the first probation law occurred in Massachusetts.

Volunteer services evolved in Maryland. The prisoners Aid Association of

Maryland, organized in 1869, employed agents to visit the prison and assist released
prisoners and gradually they began to investigate cases and assist offenders before the
Baltimore courts. A 1894 law provided that any court in the state might release on
probation for “good conduct” a person convicted of any offense not capital, if no
previous conviction was proved against him, upon his entering Into a recognizance, with
or without sureties, and during such period as the court may direct to appear and
received judgment when called upon, and in the meantime to keep the peace and be of
good behavior.

Another state adopting a partial measure was Missouri with its “parole of
convicted person’s law of 1897.”

The second state to enact a real probation law. The Vermont like Missouri and
unlike Massachusetts provided for probation only after suspension of the execution of
sentence. The bills in both states were supported by the state correctional agencies.
Many features of the Massachusetts law were incorporated, with several innovations
since followed elsewhere. Vermont was the first to adopt a county plan.

The third state to enact a real probation law is Rhode Island. A complete state-
administered probation system appeared first in Rhode Island. The Act of 1899
empowered the board of state charities and corrections to appoint a state probation
officer and additional probation officers, “one of whom at least shall be a women,” to

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serve all courts in the state. The Act followed Massachusetts in permitting the use of
probation before the imposition of sentence and even without conviction but the
limitation of probation to less serious offenses was an unfortunate departure from the
laws of Massachusetts and Vermont.

Success of probation became known in other English speaking countries. Illinois

and Minnesota in 1899 Plan for children only. New Jersey and New York enacted
probation law in 1900.

Finally, on March 4, 1925 the UNITED STATES FEDERAL PROBATION

ACT was enacted.

WHO IS JOHN AUGUSTUS?

John Augustus is the father of probation in the USA. He was born on 1985 at
Woburn Massachusetts and moved to Lexington Green. He is a Boston shoemaker, first
to develop a sustain service to promote temperance and to reclaim drunkards. Although
later he begun to take men and women charged with other crimes, then eventually
children. As indicated by the story of the first case, his method was to provide bail for a
temporary suspension or postponement of sentence, during which he sought to counsel
and assist such persons find homes, securing employment and adjusting family
difficulties. At the of the probation period, he brought back the offender to the court, if
no further complaint had been lodged against the offender, the judge imposed with
nominal fine with costs. If the man was too poor, Mr. Augustus advanced the amount,
usually as loan.

METHODS OF AUGUSTUS

1. Provide bail for temporary suspension of punishment of sentence.

2. Then he sought counsel and assists his charges in finding homes, securing
employment and adjusting family difficulties.
3. At the end of probation he brought offender to court if no further charges are
found, judge imposes a nominal fine with cost if man is poor, Augustus advance
fine as loan.

AUGUSTUS EXPERIMENT

 August 1841 – Rugged drunk man

 3 weeks –the drunkard was brought back to court where the judge cannot
recognize him.
 Augustus died on June 21, 1859. And out of 2000 person whom he extended his
help, only 10 were ungrateful. And out of 1100 cases, only one case was forfeited.
 Massachusetts became the 1st country to enact a probation law on April 21, 1878.

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WHO IS GOVERNOR ALEXANDER H. RICE?

Signed the first probation law in America which was passed by the legislature of
Massachusetts on April 26, 1878. He provided appointment and prescribed duties for
paid probation officers.

WHO IS PRESIDENT CALVIN COOLIDGE?

He is the former governor of Massachusetts. He signed the Federal Probation Act

which became a law on March 4, 1925.

C. HISTORY OF PROBATION IN THE PHILIPPINES

A. The Adult Probation Law of 1935

The Philippine Legislature enacted the first probation of the Philippines. The first
legislation was Act No. 4221 enacted by the Philippine Legislature on August 07,
1935 and which created a Probation Offices under the Department of Justice led by a
Chief Probation Officer appointed by the American Governor General with the advice
and consent of the United States. This law provided probation for the first time
offenders, eighteen years of age over, convicted of a certain crime.

However, the law stated in the statue Books for only Two years. The act
subsequently declared unconstitutional by the Supreme Court on Nov. 16, 1937 in
People vs. Vera 37 O.G. 164.

NOTA BENE:

The ill-fated Act was only procedural framework that was antagonistic with the
constitution/charter.
Section 11 of Act No 4221, the fatal provision of the Act, provided that
“The Act shall apply only in those provinces in which the respective
provincial boards have provided for the salary of a probation officer . . .”

In 1974, the National Police Commission created an Inter-Disciplinary

Committee, to prepare a National Crime Prevention Program.
July 24, 1976, “Probation Law of 1976” or Presidential Decree No. 968 was
created.

WHO IS TEODULO NATIVIDAD

He is the Father of Probation in the Philippines. He headed the Committee
(IDCCP) primarily tasked with the drafting of the probation law.

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B. THE ADULT PROBATION LAW OF 1976

It took a long time before another attempt was made with introduction then by
Congressman Teodulo C. Natividad in collaboration with former Congressman
Ramon D. Bagatsing, House Bill No. 393. The measure was passed in the Lower House
and was pending in the senate when Martial Law was proclaimed in 1972.

The Presidential Decree No. 968, established a probation system less costly
alternative to the imprisonment of the offender who are likely to respond to
individualized, community-based treatment program is the second legislation that
enforces a probation system in the country.

On Nov. 13, 1974, the Inter-Disciplinary Committee on Crime Prevention

(IDCCP) was created to formulate a national crime prevention program for the country.

BASIC DIFFERENCES BETWEEN P.D 968 AND THE PROBATION ACT OF

1935

Presidential Decree 968 Act No. 4221

(Probation Law of 1976) (Probation Law of 1935)
As to It expressly and explicitly provides It expressly and explicitly
applicability that “There shall be at least one provides that this Act shall apply
of the probation officer in each province only in those provinces in which
probation and city who shall be appointed by the respective provincial boards
law the Secretary of Justice upon have provided for the salary of a
recommendation of the probation officer . . .”
Administrator and in accordance (Section 11)
with civil service law and rules.”  The probation law
(Section 23) applies only to
 The probation law provinces and cities
applies to all provinces which their respective
and cities, uniformly and provincial boards have
without discrimination. provided for the salary
 The salary of the of a probation officer.
probation officer in each  The salary of the
province or city is probation officer is to
provided for by law, no the discretion of the
longer subject to the respective provincial

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 discretion of the boards.
respective provincial  The Probation Law
boards. divests the provincial
 The law expressly boards of the power to
provides that “The determine whether or
Provincial or City not salary of a
Probation Officer shall probation officer in
receive an annual salary their respective
of at least eighteen provinces would be
thousand four hundred appropriated.
pesos.”

As to the The conditions of Probation make it The imposition of the said

condition of MANDATORY for the Court to conditions was merely
the issue a probation order containing DISCRETIONARY on the part
probation specific conditions for the of the Court issuing the probation
order probationer to fulfill. order
(Section 10) (Section 3)
 The reparation or restitution  There is reparation or
by the probationer to the restitution by the
aggrieved parties for actual probationer to the
damages or losses caused by aggrieved parties for
his offense is DELETED. actual damages or
losses caused by his
offense.
As to the It provides that “in all other cases, It provides that the period of
period of the probation period shall not probation of a probationer found
probation exceed 6 years. guilty of “any other offense” did
(Section 14) not exceed twice the maximum
time of imprisonment to which he
The new law, therefore, might be sentenced.
provides for a definite and (Section 7)
shorter probation period.
As to the The Law provides that an order Nowhere in the old Probation
appealability granting or denying probation shall Law can there be found a
of the order not be appealable provision to this effect.
granting or (Section 4)
denying
probation

As to the It contains a GENERAL It gave an enumeration of the

33 WPU-OSF-ACAD-82A Rev.00 ( 09.15.20 )

offense enumeration. It provides that the offenses not covered by the Act.
covered benefits of this Decree shall not be This enumeration SPECIFIED
extended to those: the crimes not covered. These
a. Sentenced to serve a were:
maximum term of 1. Homicide
imprisonment of more than 6 2. Treason
years. 3. Misprision of Treason
b. Convicted of any offense 4. Sedition
against the security of the 5. Espionage
State; 6. Conspiracy or proposal
c. Who have previously been to commit treason
convicted by final judgment 7. Piracy
of an offense punished by 8. Brigandage
imprisonment of not less 9. Arson
than one month and one day 10. Robbery in band
and/or a fine not less than 11. Robbery with violence
two hundred pesos; on persons when it was
d. Who have been once on found that they
probation under the displayed a deadly
provisions of this Decree; weapon and
e. Who are already serving 12. Corruption of minors.
sentence at the time the
substantive provisions of this
Decree became applicable . .”
(Section 9)
N.B. thus, besides a
general enumeration of
the offense not covered,
the said Section further
broadened the scope of
the inapplicability of the
Law. Additional
exemption from coverage
can be found in the
offenses enumerated
under Section 9 (a, b, c, d
and e) abovementioned.
As to The modification or revision of It provided that “The Court
modification the conditions of probation, MAY, at any time, revise, modify
or revision Presidential Decree No. 968, Section or enlarge the conditions or
of the 12 provides in part, that “During the period of probation.”

34 WPU-OSF-ACAD-82A Rev.00 ( 09.15.20 )

conditions period of probation, the court may,
of probation UPON APPLICATION of either
the probationer or the
probation or the probation
officer, revise or modify the
conditions or period of probation . .
..”
N.B. Contrasting the two
Sections, it is evident that
under the new law, application
of either the probationer or the
probation officer is needed in
order that the Court may
exercise its discretion to revise
or modify the conditions or
period of probation whereas
the old law granted to the
Court the exclusive
discretionary power of revision
and modification without need
of prior application by the
probationer or the probation
officer concerned.
It is clear therefore, that
under the new law, the Court
relies heavily upon the
probation officer and places
great faith in him.
As to name  Office-Probation  Office-Probation Office
of probation Administration  Chief Probation Officer-the
office and its  Probation Administrator-the head of the Probation
head Executive officer of the Office
Probation Administration

IV. FORERUNNERS OF PROBATION

The following are the forerunner of probation:

1. Benefits of the Clergy – earliest for softening of the brutal severity of

punishment. This was a compromise between the church and the king that, if any
member of the clergy was brought to trial before the King’s court, such clergy

35 WPU-OSF-ACAD-82A Rev.00 ( 09.15.20 )

 could be claimed from the jurisdiction by the bishop or chaplain representing
him on the ground that the prisoner was subject to the authority of the
Ecclesiastical Court only. There was greater leniency in sentencing and
particularly escape from death penalty. Acquittal or quilt was established by a
Jury of Twelve Clerks.
2. Judicial Reprieve – withdrawal of sentence for an internal of time whereby the
execution of the sentence is suspended either before or after judgment such as
when there is a favorable circumstance in the criminal’s character in order to give
him opportunity to apply to the King for either an absolute or conditional pardon.
Early English courts began to grants reprieves to prisoners under sentence of
death on condition that they accept deportation to English settlements in
America.
3. Recognizance or “Binding over for good behavior” – this is considered as
the direct ancest of probation. This involves an obligation or promise sworn to
under court order by a person not yet convicted of crime he would keep the peace
and be of good behavior.

Transportation – this was developed from an ancient practice of banishment and

flourished for more than two hundred years as a principal method of disposing
offenders. It served mainly as cheap source of supplying labor to the colonies of
England.

V. THE PROBATION LAW AND ITS AMENDMENT

AMENDMENTS PRESIDENTIAL
DECREE NO. 968

Presidential Section 1
Decree No. Xxx
1257 The prosecuting officer
concerned shall be notified
by the court of the filling of
the application for probation
and he may submit his
comment on such
application within ten days
from receipt of the
notification.
xxx NONE
Nota Bene: The prosecutor

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 participates in the determination
of the application for probation. It
is therefore mandatory the
prosecuting officer concerned
shall be notified by the court of
filling of the application for
probation and submits comment
within 10 days from receipt.
Section 2 Section 7
xxx xxx
The court shall resolve the The court shall resolve the
application for probation petition for probation not
not later than fifteen days later than five days after
after receipts of said report. receipt of said report.
xxx xxx

N.B. P.D no. 257 extended the

period of resolving the application
by the court from five (5) days to
fifteen (15) days.
Section 3
xxx
In the hearing, which shall be
summary in nature, the
probationer shall have the
right to be informed of the
violation charged and to
adduce evidence in his favor.
The court shall not be found
by the technical rules of
evidence but may be inform
itself of all the facts which NONE
are material and relevant to
ascertain the veracity of the
charge. The State shall be
represented by a prosecuting
officer in any contested
hearing.
xxx
N.B.
The defendant has the right

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 to be informed of the
violation charged and to
adduce evidence in his favor.
Section 4 Section 33
xxx xxx
That the application of its That, the application of its
substantive provisions substantive provisions
concerning the grant of concerning the grant of
probation shall only take probation shall only take
effect on January 3, 1978 effect twelve months.
xxx xxx

Batas The probation system shall The probation system shall

Pambansa not be extended to a not be extended to a convicted
Blg. 76 convicted offenders to a offenders sentenced to serve a
convicted offenders maximum term of
sentenced to serve a imprisonment of more than
maximum term of six (6) years.
imprisonment of more than N.B The probational period is six
six (6) years and one (1) day. (6) years and below.

N.B. The probational period is

extended to six (6) years and one
(1) day and below.
xxx
Any person sentenced to
maximum penalty of six
years and one day on January
3, 1978 and thereafter maybe
placed on probation upon his
application therefore with NONE
the court of origin. However,
such person serving sentence
shall remain in jail pending
the approval of his
application.
xxx
Presidential The decree restore the
Decree No. provision of section 9 of PD
968 that probation shall not

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1990 be extended to a convicted
offenders sentenced to serve
a maximum term of
imprisonment of more than
six (6) years. It that senses
the decree impliedly
amended the provision of BP
76.
Section 1 amending Section 4
of PD no. 968.
xxx
Provided; that NO
APPLICATION FOR
PROBATION SHALL BE
ENTERTAINED OR
GRANTED if the defendant
has perfected the appeal
from the judgment of
conviction.
xxx
NB: Appeal on probation is
mutually exclusive remedy;
meaning once a defendant filed
his appeal it is a deemed waiver of
the filling of probation.
The period of perfecting an appeal
is also the period of perfecting an
application/filling for probation.
In general, the period of
perfecting an appeal is fifteen (15)
days 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 Probation
Order No. Administration created
292 under PD 968 into Parole
and Probation

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 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 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

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41 WPU-OSF-ACAD-82A Rev.00 ( 09.15.20 )