CHAPTER IV

THE RULES AND LIMITATIONS IN THE

GRANT OF PROBATION

Overview
The chapter contents the nature of probation, qualified and disqualified offenders
for probation, procedure in the application of probation, resolution of the petition for
probation, period of probation and its implication, conditions in the grant of probation,
violation of probation conditions and termination and closing of probation case.
Learning Outcomes
At the end of the topic, the students can:
 Explain the nature of granting of probation.
 Identify those qualified and disqualified for probation.
 Illustrate the procedure in the application of probation as well as its resolution or
grant.
 Explain how post sentence investigation is being conducted.
 Identify the rights and duties of the probationer.
 Explain the period of probation and its implication.
 Enumerate the mandatory and optional conditions in the grant of probation.
 Identify the consequences of violating the conditions of probation.
 Explain how probation case is terminated or closed.
Time Allotment
1 ½ hour per session

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 CHAPTER IV
THE RULES AND LIMITATIONS IN THE
GRANT OF PROBATION

A. NATURE OF GRANTING PROBATION

I. GRANT OF PROBATION
Section 4 of PD 968 - Subject to the provisions of this Decree, the court may, after it
shall have convicted and sentenced a defendant and upon application at any time of said
defendant, suspend the execution of said sentence and place the defendant on probation
for such period and upon such terms and conditions as it may deem best.

Probation may be granted whether the sentence imposes a term of imprisonment or a fine
only. An application for probation shall be filed with the trial court, with notice to the
appellate court if an appeal has been taken from the sentence of conviction. The filing of
the application shall be deemed a waiver of the right to appeal, or the automatic
withdrawal of a pending appeal. (As amended by PD 1990).

II. CRITERIA FOR PLACING AN OFFENDER ON PROBATION (SECTION

8 OF PD NO. 968)
QUESTION
Will probation be automatically granted to one whose
sentence is six (6) years or less? No, the offender must fit the
criteria under Section 8 of PD 968.

Under Section 8 of PD No. 968, in determining whether an offender may be

placed on probation, the court shall consider all information relative, to the character,
antecedents, environment, mental and physical condition of the offender, and
available institutional and community resources. Probation shall denied if the court finds
that:
1. The offender is in need of correctional treatment that can be provided
the most effectively by his commitment to an institution; or
2. There is undue risk that during the period of probation the offender
will commit another crime; or
3. Probation will depreciate the seriousness of the offense committed.

However, under Sec. 70 of Republic Act No. 9165, the Comprehensive Dangerous
Drugs Act of 2002, the first-time offender minor offender who upon promulgation of the
sentence, the court may, in its discretion. Placed the accused under probation, even if the
sentence provided under Sec. 11 of the Act is higher than that provided under Probation
Law. (Read section 70 of Republic Act 9165)

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III. PROBATION IS NOT A MATTER OF RIGHT BUT A PRIVILEGE.
(Tolentino vs. Judge Alconcel)
In the above case of Tolentino vs. Judge Alconcel, the Supreme Court held
that, probation is a mere privilege and its grant rests solely upon the discretion of the
court. This discretion is to be exercised primarily for the benefit of organized society and
only incidentally for the benefit of the accused.
Probation cannot be demanded as a matter of right. It is a privilege. Hence, only
those persons who are qualified may apply for probation. No person shall be placed on
probation except upon prior investigation by the probation officer and a determination of
by the court that ends of justice and the best interest of public as well as that of the
defendant will be serve thereby.
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 Probation Officer.
However, under R.A 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.

IV. BASIS OF GRANTING PROBATION

In DELA CRUZ VS. CALLEJO; the basis of granting probation is the
sentence imposed by the trial court. Convicted of highway robbery sentence to 11
years, 4 months and 1 day 12 years penalty was reduced to 1 year, 8 months and 5 months
and 1 day. He applied for probation on the basis of appellate court. Trial court denied.
Supreme Court denial is proper to the provision of the law.

V. PROBATION IS NOT A SENTENCE

In Baclayon vs, Mutia, 129 SCRA 148 (April 30, 1984) it was held that an order
placing defendant on “PROBATION” IS NOT A “SENTENCE” but is rather in
effect a suspension of the imposition of sentence. It is not a final judgment
but is rather an “interlocutory judgment” in the nature of a conditional order
placing the convicted defendant under the supervision of the court for his
reformation, to be followed by a final judgment of discharge, if the conditions
of the probation are complied with, or by a final judgment of sentence if the
conditions are violated.
Probation is not a suspension of sentence. A suspension of sentence postpones
execution of sentence for a definite time, while probation suspends sentence during good
behavior.

VI. HOW MANY TIMES CAN ONE BE GRANTED PROBATION?

Ann offender can be granted ONLY ONCE IN HIS LIFETIME.

VII. GRANTING OR DENYING PROBATION NOT BE APPEALABLE

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 Under PD No. 1990, an order granting or denying probation shall not be
appealable.

VIII. PROBATION AND APPEAL IS MUTUALLY EXCLUSIVE REMEDIES

Later, the amendment of Section 4 of PD No. 968 by PD No. 1990 imposed a
condition upon the grant of probation, thus: “Provided, that no application for
probation shall be entertained or granted if the defendant has perfected an
appeal from the judgment of conviction.” The application for probation was no
longer allowed if the accused has perfected an appeal from the judgment of conviction.
The reason for disallowance of probation where an appeal has been made by the
accused is stated in the preamble of P.D No. 1990, thus: “WHEREAS, it has been the
sad experience that persons who are convicted of offenses and who may be
entitled to probation still appeal the judgment the conviction even up to
Supreme Court, only to pursue their application for probation when their
appeal is eventually dismissed.
In view of this change, jurisprudence treated appeal and probation as
MUTUALLY EXCLUSIVE REMEDIES. Thus, where the penalty imposed by the trial
court is not probationable, and the appellate court modifies the penalty by reducing it to
within the probationable limit, the same prohibition should still apply and he is not
entitled to avail of probation.

B. QUALIFIED AND DISQUALIFIED OFFENDERS FOR PROBATION

I. WHO ARE QUALIFIED TO PROBATION?

Any first time convicted offender, 18 years of age and above not otherwise
disqualified under PD 968 as amended can apply for probation before serving the
sentence which may either be imprisonment of fine with subsidiary imprisonment, or
both imprisonment and fine.
The age of offender qualified for probation is 18 years and above, PD 1179 which
amended PD 603 lowered the age of youthful offenders under 18 years old.
AS GENERAL RULE probation applies to all sentenced or convicted offenders -
All first-time offenders convicted of crimes punished by imprisonment of not more than
6 years (maximum of 6 years). Except the following:
1. Those entitled to the benefits of PD 603 as amended otherwise known as the Child
and Youth Welfare Code. Hence, an offender who is under 18 years of age must be
dealt with in accordance with the more liberal and beneficent provisions of PD 603.
Incidentally, Art 192 PD 603 as amended gives the youthful offender a
choice as to whether he will dealt with as a youthful offender under PD 603 or as
Adult offender under PD 968 as amended. If he does not apply under PD 603 as
amended, he treated as an adult offender. In such a case, two options are open to
him, namely:
a. To simply serve his sentence
b. To apply of probation under PD 968 as amended
2. Those that are found Guilty in violation of RA 9165

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 3. Those offenders who has not been convicted and sentenced.
4. Those that are found guilty in violation of BP 881 as amended by 882, 883 and 884
otherwise known as the Omnibus Election Code of the Philippines.
5. Those who are found guilty in violation of PD 1987 (an act creating the Video
gram Regulatory)
6. Those that are found guilty in violation of RA 6727 otherwise known as the Wage
Rationalization Act.

QUESTION
Are all convicted persons who are not disqualified entitled
to probation automatically?
No. Under PD 968; the court will not grant probation if after
investigation conducted by the probation officer, it finds that:
1. The offender can be treated better in an institution or other
places for corrections;
2. The offender is risk to the community;
3. Probation will depreciate the gravity of the offense.

SAMPLE CASE: ANSELMO DE LEON CUYO vs. PEOPLE OF THE

PHILIPPINES G.R. No. 192164; October 12, 2011
Facts: On August 25, 2009, Branch 1 of the Municipal trial Court in Cities (MTCC) in San
Fernando City, La Union, found petitioner guilty beyond reasonable doubt of the offense
of perjury under Article 183 of the Revised Penal Code and sentenced him to
imprisonment of four (4) months and one (1) day to one (1) year. He was likewise ordered
to pay private complainant Alejo Cuyo the amount of P10, 000 for attorney’s fees and
litigation expenses.
The petitioner filed a Motion for Probation but is denied on the ground that it had
been filed beyond the reglementary period of fifteen days as provided in Sec. 4 of PD 968.

I. DISQUALIFIED OFFENDERS FOR PROBATION (Section 9, PD 968)

Under Section 9 of PD 968, the benefits of probation shall not be extended to:
1. Those sentenced to serve a MAXIMUM TERM of imprisonment of MORE THAN
SIX (6) YEARS;
Note: the six years maximum refers to the sentence actually imposed, and not that
prescribed by law for the offense committed.
2. Those convicted of subversion or any crime against the national security or public
order;
CRIMES AGAINST NATIONAL CRIMES AGAINST PUBLIC ORDER
SECURITY
1. Treason 1. Rebellion or insurrection
2. Conspiracy and proposal to 2. Conspiracy and proposal to
commit treason commit rebellion
3. Misprision of treason 3. Sedition
4. Espionage 4. Conspiracy to commit sedition

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 5. Inciting to war or giving 5. Inciting to sedition
motives for reprisals 6. Acts tending to prevent the
6. Violation of neutrality meeting of assembly and similar
7. Correspondence with hostile bodies
country 7. Disturbance of proceedings
8. Flight to enemy’s country 8. Direct assault
9. Piracy 9. Indirect assault
10. Qualified piracy 10. Coup d’ etat

3. Those who have previously been convicted by final judgment of an offense

punished by imprisonment of not less than one month and one day and/or a fine
not less than Two Hundred Pesos.
PREVIOUS CONVICTION FINE:
 If one month – qualified for  Less than two hundred pesos –
probation qualified for probation
 If one month and one day or  Two hundred pesos or more –
more – disqualified for disqualified for probation
proabtion

4. Those who have been ONCE on probation under the provisions of PD No. 968, as
amended;
Accordingly, one who has been on probation only under Child and Youth
Welfare Code as amended and the Dangerous Drugs Code of 1972 as amended will
not be disqualified. The reason for this is that the treatment given under those
latter laws is of a different kind from that under PD 968 as amended.
5. Those who are already serving sentence at the time substantive provisions of the
decree became applicable pursuant to section 33 of PD 968. (As amended by
BP Blg. 76, and PD 1990, October 5, 1985)
Technically speaking, probation cannot cover the following, non-offenders;
offenders not yet convicted and offenders but with a sentence exceed 6 years.

(Read ALEJANDRA PABLO vs. HON. SILVERIO Q. CASTILLO G.R. No.

12510; August 3, 2000 – FACTS: Alejandra Pablo was convicted of violation of
Batas Pambansa 22. She applied for probation and was later denied.)

C. REQUIREMENTS AND PROCEDURE IN THE APPLICATION OF

PROBATION
QUESTION
Is there a need to apply for probation to avail of its benefits?
Yes, it will not be granted except upon the application by the accused. The necessity
for such application is indicated in Sec. 4, PD 968, which states that “the trial court
may, after it shall have convicted and sentenced a defendant and upon application
by said defendant within the period of perfecting an appeal

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 QUESTION
Is there a form prescribed for the application for probation?
Yes, it shall be in the form approved be the Secretary of justice as
recommended by the Administrator or as may be prescribed by the SC.
What is the effect of filling an application for probation?
The court may, upon receipt of the application suspend the execution of
sentence imposed in judgment.

I. WHERE AND WHEN TO FILE THE PETITION FOR PROBATION?

The application for probation shall be filed by sentenced or convicted offender

whose sentence is not more than 6 years imprisonment. It shall be filed with the court
that tried and sentenced the offender.

WHERE: A petition for probation shall be filed by the applicant for probation or the
petitioner with the courts that tried and sentenced the offender at any time
before the imprisonment starts.

WHEN: Anytime before the offender starts serving his sentenced but within period for
perfecting an appeal or fifteen (15) days from the promulgation or notice of
the judgment of conviction.

However, under Section 42 of RA 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.

II. PROCEDURE UNDER PD NO. 968 – Probation and Parole Flow Chart
The following are the procedure in the application for probation:
1. The defendant must file a petition before the trial court which exercise
jurisdiction over his case; an application for probation after he has been sentenced
but before he begins to serve the sentence. There are two forms of petition:
WRITTEN and ORAL.
NOTA BENE: But for purposes of recording, application made orally should be
reduced into writing.
2. If the defendant has been convicted and has appealed the sentence of conviction,
an application for probation cannot be entertained. As a general rule, no
application for probation shall be entertained or granted if the
defendant has perfected an appeal form the judgment or conviction.
NOTA BENE: Filling an application shall be deemed a waiver of the right to
appeal.

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 QUESTION
What then is the duty of the court after Receipt of the application?
The trial court may notify the concerned prosecuting officer of application at a
reasonable time before the scheduled hearing thereof.

3. Notice to the prosecuting officer: The prosecuting officer concerned shall

be notified by the court of the filling of such application. The prosecuting officer
must submit his comment on such application within 10 days from receipt of the
notification.
4. Referral to probation office: If the court finds that the petition is in due from
and that the petitioner appears not to be disqualified for the grant of probation.
The probation should be entertained by the court by ordering the probation
officer to conduct an investigation (PSI) of the offender provided he is
not disqualified under the decree.
While it is discretionary with the court to grant or deny an applicant for
probation, the Probation Law requires that an investigation be first conducted by
the probation officer who shall submit his report within 60 days from the
receipt of the court’s order. However, the court may in its discretion extend the 60
days period. Only thereafter shall the court resolve the application, an outright
denial by the court is a nullity correctable b certiorari. (De Luna vs. Hon.
Medina, CA 78 D.G. 599; Del Rosario vs. Hon. Rosero, GR 65004, Nov.
29, 1983)

To summarize, the following are the procedures in applying for probation:

1 The offender or his counsel files a petition with the convicting court
within 15 days from promulgation of judgment.

2 The court determines convict qualifications and notifies the prosecutor

of the filling of the petition.

3 The prosecutor submits his comments on such application within 10

days from receipt of the notification.

4 If petitioner is qualified, his application is referred to the probation

officer for post-sentence investigation

5 The post-sentence investigation report (PSIR) is submitted by the

probation officer to the court within 60 days

6 Pending investigation and resolution, accused may be temporarily

released (if there is already a bail, then on same bail)

7 The court grants or denies the petition for probation within 15 days
upon receipt of the PSIR

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III. REQUISITES BEFORE AN OFFENDER CAN BE PLACED ON
PROBATION
1. A post-sentence investigation by the officer;
2. A determination by the court that the end justice will be served and the best
interest of the public and that of the offender will be served thereby.

The probation officer shall submit to the court within 60 days from receipt of the
order the investigation report on the offender, the petition for probation shall be resolved
by the court within 15 days from receipt of report. Probation order unless otherwise
provided takes effect upon its issuance, the order granting or denying the probation is not
appealable.

D. POST SENTENCE INVESTIGATION (PSI) AND POST SENTENCE

INVESTIGATION REPORT (PSIR) (SECTION 5, PD 968)

Under Section 5 of PD 968, no person shall be placed on probation except upon

prior investigation by the probation officer and a determination by the court that the ends
of justice as well as that of the defendant will be served thereby.

QUESTION
What is post sentence investigation?
 An investigation conducted by a probation agency or other
designated authority at the request of a court into the past behavior,
family circumstances, and personality of an adult who has been
convicted of a crime, to assist the court in determining the most
appropriate sentence.
 It refers to the investigation conducted by a Probation Officer to
obtain information regarding petitioner’s character, antecedents,
environment, mental and physical condition with the aim of
determining whether the latter is qualified and suitable for released
under probation.

A. ASSIGNMENTS AND INITIAL INTERVIEW WORK SHEET

PAROLE AND PROBATION ADMINISTRATION OMNIBUS RULES ON

PROBATION METHODS AND PROCEDURE

Section 14. Assignment. After receipt from the Trial Court, the City or Provincial
Parole and Probation Office concerned, through the CPPO shall assign the same to the

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office clerk for docketing and eventual assignment to a subordinate investigating
Probation Officer for the conduct of the PSI or conduct such investigation himself.

Section 15. Initial Interview Work Sheet: Waiver. Within five (5) working days
from receipt of said delegated assignment (or self-assignment), the investigating
Probation Officer on case (or Chief Probation and Parole Officer) shall initially interview
the applicant if he appeared on the Probation office upon response to the seventy-two (72)
hours limitation given to him by the Trial Court. If not, the Probation Officer on case may
right the applicant in his court given address, or personally visits applicant’s place to
schedule an initial interview at the Probation Office.

Section 17. Collateral Information. During the conduct of the PSI, collateral
information must be gathered from those persons who have direct personal knowledge of
the applicant, offended party, family member, and/or their relatives, including barangay
officials and disinterested persons.

Section 20. Confidentiality of Post-Sentence Investigation Information. The

investigating Probation and Parole Officer on case or CPPO shall inform the applicant of
the confidential nature of the information taken during the PSI and the limited scope and
extent, whereby said information, may be disclosed only to some statutorily designated
authorities and entities pursuant to Section 17 of PD 968, as amended, and Section 64 of
these Rules.

NOTA BENE: Information shall be privileged and shall not be revealed directly or
indirectly except to (a) Probation Administration (b) the court concerned. A violation of
confidential nature of probation records is an offense. Penalty is imprisonment from 6
months and 1 day to 6 years and a fine from P600 to P6 000.

Section 21. Absconding Applicant. If the applicant whose application for probation
has been given due course by the proper court has failed to present himself/herself to the
proper office within seventy-two (72) hours from his/her receipt of the Probation Order
or within reasonable time therefrom, said Office shall first exert best diligent efforts to
inquire on, search, find and locate his/her whereabouts before it shall report such fact
with appropriate recommendation to the proper court, date, time, his/her health
condition and other related factors.

B. SCOPE AND EXTENT

Section 16 of Parole and Probation Administration Omnibus Rules on
Probation Methods and Procedure.
Scope and Extent. After accomplishing the Post-Sentence Investigation Work Sheet and
the Waiver-Cum Authorization, the same shall be immediately submitted to the Probation
Office. The investigating Probation Officer on case or CPPO shall conduct a thorough
investigation on the antecedents, mental and physical condition, character, socio-

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economic status, and criminal records, if any, of the applicant and the institutional and
the community resources available for his rehabilitation.
In case applicant has a criminal record(s), such should be verified with the proper
Government agency as to its disposition/resolution which has/have to be properly
reflected in the PSIR.
For the sake of obtaining additional information or clarify conflicting data, the
investigating Probation Officers on case may conduct further interview to avoid
discrepancies of facts/information.
The investigating Probation Officer on case or CPPO shall assess and recommend
or prescribe the suitable probation treatment and supervision program upon the
applicant, if granted probation.

C. FORMS OF PSI (SECTION 6, PD 968)

Section 6 of PD 968 – The investigation report to be submitted by the probation
officer under Section 5 hereof shall be in the form prescribed by the Probation
Administrator and approved by the Secretary of Justice.

D. STAGE OF POST-SENTENCE INVESTIGATION

1. Preliminary Procedure
2. Initial Interview
3. Investigation
4. Issuance of Post-Sentence Investigation Report

Is the petitioner had Right to Counsel during the post-sentence

investigation and covered by Republic Act No. 7438?
During the post-sentence investigation, petitioner had no right to counsel. The
probation law has no provision guaranteeing the right to counsel in the investigation of
a petitioner. The constitutional guarantee of right to counsel will not apply because the
investigation by the probation officer is neither prosecutory nor accusatory in
character.
Further, petitioner as well is not covered by Republic Act No. 7438 providing
right of the accused during custodial investigation.

E. POST SENTENCE INVESTIGATION REPORT (PSI)

Post sentence investigation report refer to the report submitted by a probation
officer within 60 days from receipt of the order of said court to conduct the investigation
containing his/her recommendation in the grant or denial of the application for
probation.
The PSIR aims to enable the Trial Court to determine whether or not the ends of
justice and the best interest of the public primarily, as well as that of the applicant, would
be served by the grant or denial of the application.

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F. PERIOD FOR SUBMISSION OF INVESTIGATION REPORT (SECTION
7, PD 968)
Section 7 of PD 968. The probation officer shall submit to the court the
investigation report on a defendant not later than six days from the receipt of the order of
said court to conduct the investigation. The court shall resolve the petition for probation
not later than five after receipt of said report.

Can the offender be released while his application for probation is pending?
Yes, at the discretion of the court. Pending submission of the PSIR and the
resolution of the petition for probation, the defendant may be ALLOWED temporary
liberty or released by virtue of BAIL.
a. On the same bond he filed during the trial in the criminal case,
b. On a new bond or to the custody of a responsible member of the community
if unable to file a bond- In case NO BAIL was filed or that defendant is incapable of filling
one, court may allow the release of defendant on RECOGNIZANCE to the custody of
a responsible member of the community who shall guarantee his appearance
whenever required by the court (Sec. 21, Rule 114-Rules on Criminal Procedure)

E. RESOLUTION AND GRANT OF THE PETITION FOR

PROBATION
I. PERIOD TO RESOLVE THE APPLICATION FOR PROBATION
Under Section 31 of Parole and Probation Administration Omnibus Rules on
Probation Methods and Procedure. The application for probation shall be resolved by the
Trial Court not later fifteen (15) days from the date of its receipt of the PSIR. Since
probation is privilege, its grant rest solely upon the discretion of the court. Therefore,
court may grant or dismiss it.
II. GRANT OF THE PETITION
Once probation is granted, the execution of sentence will be suspended. The court
if grants the petition will issue the appropriate Probation Order and the
petitioner will be release to the community subject however to the terms and conditions
imposed by the court, with the supervision of probation officer.
If the court grants probation – the court imposes condition that defendant seems
to be arbitrary – mental must he does need instruction.

What is the effect of probation on accessory Penalties?

Accessory penalties are deemed suspended once probation is granted. (Baclayon
vs. Mutia. 129 SCRA, 148)

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III. EFFECT TO THE GRANT OF PROBATION

Under Section 32 of Parole and Probation Administration Omnibus Rules on

Probation Methods and Procedure the following are the Effect of the Grant of Probation.
(a) Probation is but a mere privilege and as such, its grant or denial rests solely upon the
sound of discretion of the Trial Court. After its grant it becomes a statutory right and
it shall only be cancelled or revoke for cause and after due notice and hearing.
(b) The grant of probation has the effect of suspending the execution of sentence. The
Trial Court shall order the release of the probationer’s cash or property bond upon
which he was allowed temporary liberty as well as release the custodian on ROR from
his undertaking.
Upon receipt of the Probation Order granting probation, the same shall be entered in
a Docket Book for proper recording.
An order of denial shall be docketed as well.

IV. EFFECTIVITY OF THE PROBATION ORDER (SECTION 11, PD NO. 968)

Under Section 11 of PD No. 968, a probation order shall take effect upon its
issuance, at which time the court shall inform the offender of the consequences thereof
and explain that upon his failure to comply with any of the conditions prescribed in the
said order or his commission of another offense, he shall serve the penalty imposed for
the offense under which he was placed on probation.
A probation order shall take effect upon its receipt by the petitioner, and on
the same date the probation period shall commence, unless otherwise prescribed
by the court
Upon the issuance of the probation order, the court shall inform the probationer
of the consequences thereof and explain upon his failure to comply with any of the
conditions in the said order, or his commission of another offense, he shall serve the
sentence originally imposed for the offense for which he was placed on probation.
In addition, Section 33 of Parole and Probation Administration Omnibus Rules on
Probation Methods and Procedure states that a probation order shall take effect upon its
issuance, at which time the court shall inform the offender the consequences thereat and
explain that upon his failure to comply with any of the conditions prescribed in the said
order or his commission of another offense under which he was placed on probation.

V. DEFENDANT MAY REJECT GRANT OF PROBATION

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

VI. EFFECT OF DISMISSAL OF THE PETITION

 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.

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VII. INDEMNIFICATION

Section 37. Indemnification of Parole and Probation Administration

Omnibus Rules on Probation Methods and Procedure. Payment for civil liability
shall be done using the following modes:
(a) Payment can be given to the Clerk of Court of the Trial Court, who will in return hand
over the sum to the victim who shall issue a corresponding receipt; a copy of which
should be given by the probationer to the Probation Office in order to monitor such
payment;
(b) Payment may be deposited by the probationer to the victim’s account where the
bankbook is kept at the Probation Office to be given to the victim for his proper
disposition;
(c) Payment can be effected directly to the victim and the receipt must be filed in the
supervision record of the probationer kept at the Probation Office.
Further, that the practice of giving the payment to the Supervising Probation
Officer on case (or the CPPO) to be remitted to the victim, although with receipts, should
be highly discouraged and discontinued outrightly.

F. CONTROL AND SUPERVISION OF PROBATIONERS

(SECTION 13, PD 968)

Under Section 13 of PD 968, 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. Whenever a probationer is permitted to
reside in a place under the jurisdiction of another court, control over him shall be
transferred to the Executive Judge of the Court of First Instance of that place,
and in such a case, a copy of the probation order, the investigation report and other
pertinent records shall be furnished said Executive Judge. Thereafter, the Executive
Judge to whom jurisdiction over the probationer is transferred shall have the power with
respect to him that was previously possessed by the court which granted the probation.
Probationer’s report to their Probation officer as often as indicated in the
conditions of probation. The probation officer sees to it that the conditions of probation
as given by the court are followed. Probationers are helped to developed themselves, to
learn skills if they do not have any, and to be gainfully employed so they can be useful
members of the society. House visits and follow-up in their places of work may be done if
needed. The probation officer makes regular reports about the probationer to the court.
Under Section 38 of Parole and Probation Administration Omnibus Rules on
Methods and Procedure, the following are the primary purposes of probation supervision
are:
(a) To ensure the probationer’s compliance with the probation conditions specified
in the Probation Order and the prescribed probation treatment and supervision
program/plan;

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 (b) To manage the process of the probationer’s rehabilitation and re-integration
into the community; and
(c) To provide guidance for the probationer’s transformation and development into
a useful citizen for his eventual reintegration to the mainstream of society.

G. CHANGE OF RESIDENCE AND OUTSIDE TRAVEL

I. CHANGE OF RESIDENCE
Section 42 Parole and Probation Administration Omnibus Rules
on Probation Methods and Procedure. Change of Residence: Transfer
of Supervision.
(a) A probationer may file a Request for Change of Residence (PPA Form 24) with
the City or Provincial Parole and Probation Office, citing the reason(s) therefore
this request shall be submitted by the Supervising Probation Office for the
approved of the Trial Court.
(b) In the event of such approval, the supervision and control over the probationer
shall be transferred to the concerned Executive Judge of the RTC, having
jurisdiction and control over said probationer, and under the supervision of the
City or Provincial Parole and Probation Office in the place to which he transferred.

Thereafter, the Executive Judge of the RTC to whom jurisdiction over the
probationer is transferred shall have the jurisdiction and control with respect to him
which was previously possessed by the court which granted probation.
The receiving City or Provincial Parole and Probation Office and the receiving court
shall be duly furnished each with copies of the pertinent Probation Order, PSIR (PPA
Form 3), and other investigation and supervision records by the sending Probation Office
for purposes and in aid of continuing effective probation supervision treatment over said
probationer.

II. OUTSIDE TRAVEL

Section 41 of Parole and Probation Administration Omnibus Rules on
Probation Methods and Procedure. Purpose. Outside Travel
(a) A probation officer may authorize a probationer to travel outside his area of
operational/territorial jurisdiction for a period of more than te (10) days but not
exceeding thirty (30) days.
(b) A probationer who seeks to travel for up to thirty (30) days outside the operational/
territorial jurisdiction of the Probation Office shall file at least five (5) days before
the intended travel schedule a Request for Outside Travel (PPA Form 7) with said
Office properly recommended by the Supervising Probation Officer on case and
approved by the CPPO.
(c) If the requested outside travel is for more than thirty (30) days, said request shall be
recommended by the CPPO and submit to the Trial Court for approval.

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 Outside travel for a cumulative duration of more than thirty (30) days within a
period of six (6) months shall be considered as a courtesy supervision.

H. EARLY DISCHARGE INCENTIVE AND TERMINATION

The arrangement takes place when probation is made to pay restitution, reparation
and indemnification. In PSIR the recommended payment is that within ½ of term
probation – full payment – eligible for consideration for early termination.
Section 55 Parole and Probation Administration Omnibus Rules on
Probation Methods and Procedure. Coverage. - The following probationers may
be recommended for early termination of their probation period:
1. Those who are suffering from serious physical and/or mental disability such as deaf-
mute, the lepers, the crippled, the blind, the senile, the bed-ridden, and the like;
2. Those who do not need further supervision as evidenced by the following:
(a) Consistent and religious compliance with all the conditions imposed in the
order granting probation;
(b) Positive response to the programs of supervision designed for their
rehabilitation
(c) Significant improvements in their social and economic life;
(d) Absence of any derogatory record while under probation;
(e) Marked improvements in their outlook in life by becoming socially aware
and responsible members of the family and community; and
(f) Significant growth in self-esteem, self-discipline and self-fulfilment;
Provided, that, the probationers involved have already served one-third
(1/3) of the imposed period of probation; and provided further, that, in no
case shall the actual supervision period be less than six (6) months.
3. Those who have:
(a) To travel abroad due to any of the following:
(1) An approved overseas job contact or any other similar documents; or
(2) An approved application for scholarship, observation tour or study
grant for a period not less than six (6) months; or
(3) An approved application for immigration.
(4) An approved application to take the Bar and Board Examinations.\
(b) To render public service
(1) Having been elected to any public office; or
(2) Having been appointed to any public office.
Provided, however, that the probationer involved have fully paid their civil
liabilities, if any.
And, that the probationers were not convicted for offenses involving moral
turpitude.
Other probationers who have fully cooperated with/participated in the programs
of supervision designed for their rehabilitation and who are situated under

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conditions/circumstances similar in nature to those above-described at the discretion of
the proper authorities.

I. PERIOD OF PROBATION AND ITS IMPLICATION (Sec. 14 of

PD 968)

I. PERIOD OF PROBATION
a. If the convict is sentenced to a term of imprisonment of NOT MORE THAN
ONE (1), the period of probation shall NOT EXCEED TWO (2) YEARS.
b. In all cases, if he is sentenced to MORE THAN ONE (1) YEAR, said period
SHALL NOT EXCEED SIX (6) YEARS.
c. When the sentence imposes a FINE ONLY and the offender is made to SERVE
SUBSIDIARY IMPRISONMENT in case of insolvency, the period of probation
shall NOT BE LESS THAN NOR TWICE the total number of days of subsidiary
imprisonment as computed at the rate established by the RPC Art. 39.
NOTA BENE:
 The period of probation may either be shortened or made longer, but
not to exceed the period set in law.
 When the period of probation is no longer necessary as the
probationer is believed no longer a threat to society and has
satisfactorily reintegrated him into society. The period maybe
shortened. But if there a need for the protection of society and
adjustment for probation said - longer but not beyond 2 and 6 years.

J. CONDITIONS IN THE GRANT OF PROBATION AND ITS

CONSEQUENCE IF VIOLATED (SECTION 10, PD 968)
QUESTION

What are the rights and duties of the probationer?

When Probation is granted, what conditions does the court impose?
1. The probationer must present himself to his Probation
Officer within seventy-two (72) hours;
2. Report to his Probation Officer in-charge of his supervision
at least once a month.
3. Not to commit any offense;
4. Comply with any other conditions imposed by the court.

I. MANDATORY OR BUILT IN CONDITIONS

1. To present himself to the Probation Officer concerned for supervision within 72

hours from receipt of said order; and
2. To report to the Probation Officer at least once a month during the period of
probation.

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II. OPTIONAL/DICRETIONARY OR OTHER CONDITIONS

The Probation Order may also require the probationer in appropriate cases to:
1. Cooperate with a program of supervision;
2. Meet his family responsibilities;
3. Devote himself to a specific employment and not to change said employment
without prior written approval of the probation officer;
4. Comply with the program of payment of civil liability to the victim of his heirs;
5. Undergo medical, psychological and psychiatric examination and treatment
and/or enter and remain in specific institution, when required for that purpose;
6. Pursue a prescribed secular study or vocational training;
7. Attend or reside in a facility established for instruction or reaction of persons on
probation;
8. Refrain from visiting houses of ill-repute;
9. Abstain from drinking intoxicating beverages to excess;
10. Permit the probation officer or authorized social worker to visit his home or place
of work;
11. Reside at premises approved by the court and not to change his residence without
prior written approval; and
12. Satisfy any other condition related to the rehabilitation of the probationer and not
unduly restrictive of his liberty or incompatible with his freedom of conscience.

K. RULE IN VIOLATION OF CONDITIONS ITS MODIFICATION

AND REVOCATION OF PROBATION

Section 46 of Parole and Probation Administration Omnibus Rules on

Probation Methods and Procedure.
Concept. A probationer’s specific act and/or omission(s) constitutive of a violation
of probation condition(s) set forth in the original, modified or revised Probation Order
shall be reported to the Trial Court, taking into account the totality of the facts and
surrounding circumstances and all possible areas of consideration.
QUESTION
What happens to a probationer if conditions of probation are violated?
 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 criminal offense.
 Any set or commission on the part of the probationer which is contrary to the
terms and conditions specified in the probation order.
a. The probation officer investigates the alleged violation and it is
established, a report is submitted to the court. There can be
MODIFICATION of condition of probation by the court, depending on
the nature and seriousness of the violation;

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 b. There is also the possibility of arrest including criminal, prosecution of
the probationer in the vent of commission of another offense. The
REVOCATION proceeding is summary.
After considering the nature and seriousness of violation court may order ARREST of
probation.

NOTA BENE: If the court finds the probationer guilty of serious violation of
the conditions of probation he may be ordered to serve the original sentence
imposed on him.

IF VIOLATION IS ESTABLISHED-court may revoked or continue with modified

conditions
IF REVOKED-probationer shall serve the sentence originally imposed.

QUESTION
If the probationer committed a crime while under probation, what would
be the consequences?
a. The probationer will be arrested for violation of the condition of probation
b. Prosecution of the new crime committed
The court will order the serving of the original sentence of the previous offense.

I. ABSCONDING PETITIONER
Section 43 of Parole and Probation Administration Omnibus Rules on
Probation Methods and Procedure. Absconding Probationer - a probationer who
has not reported for initial supervision within the prescribed period and/or whose
whereabouts could not be found, located or determined despite best diligent efforts within
reasonable period of time shall be declared by the proper Office as an absconding
probationer.
Thereafter said Office shall file with the proper court a Violation Report, containing
its findings and recommendation, duly prepared and signed by the Supervising Parole
and Probation Officer and duly noted by the Chief Parole and Probation Officer.
II. RULE VII OF THE REVISED RULES ON PROBATION: METHODS AND
PROCEDURES
Section 35: Methods and Procedures. A violation of probation shall be understood
to main any act or any omission on the part of the probationer with respect to the terms
and conditions.
Section 36: The probation officer shall motu-propio (on his own) or upon the report of
the probation aid or any other person conduct a fact finding investigation of any alleged
violation of probation.

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Section 37 Rule VII of the Revised Rules on Probation. Once the investigation is
completed, the probation officer shall report the result of the same to the court.
Section 38 Rule VII of the Revised Rules on Probation. The report of the
probation officer to the court concerning and alleged violation of the condition of
probation shall include:
a. Complete statement of the facts of the alleged violation including the date, place
and circumstances thereof, statements of victims, witnesses and arresting officer
if any.
b. The explanation, if any of the problem for the alleged violation.
c. The recommendation of the probation officer.

L. REVOCATION OF PROBATION
Two (2) grounds for revocation of probation.
1. Failure to comply with any condition
2. Commission of another offense
QUESTION
What constitute commission of another offense or violation of penal law?
Is it the act of committing or perpetrating a crime? Or conviction for the
commission of said offense?
Supreme Court ruled that a condition violated by the pardonee or parolee on judicial
condition is not necessary.
Supreme Court revoked probation on the basis of a subsequent final judgment without
remanding the case to the probation office.

EFFECT OF THE REVOCATION

 The Trial Court may order the continuance of the probationer’s probation or
modification of his probation conditions or revoke his probation whichever is
proper and just under in judicial discretion.
 The Trial Court shall order the probationer to serve the sentence originally
imposed in the judgment of his case for which he applied for probation.

M. ARREST OF PROBATIONER; SUBSEQUENT DISPOSITION

(SEC. 15, PD 968)
The court may issue a warrant for the arrest of probationer for violation of any
conditions of probation. The probationer once arrested and detained, shall immediately
be brought before the court for a hearing, which may be informal and summary, of the
violation charged.
Section 50 of Parole and Probation Administration Omnibus Rules on
Probation Methods and Procedure. Violation Report. It’s Content: Arrest of

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Erring Probationer - After having duly considered the nature and gravity of such reported
violation based on the submitted Violation Report, the Trial Court may issue a warrant
for the arrest of the probationer for serious violation of his probation condition.
QUESTION
May the arrest of probationer admitted to bail?
Yes, the defendant may be admitted to bail pending such hearing. In
such a case, the provisions regarding release on bail of persons charged
with a crime shall be applicable to probationers arrested under this
provision.

I. HEARING OF THE VIOLATION

Informal and summary - Probation have right to counsel given all the
opportunities to be heard because it may lead to revocation and hence imprisonment.
Probation Officer - prosecutes but may asked assistance from the prosecutor
office in the presentation of evidence.

II. SAFEGUARD IN PROTECTION OF PROBATION DUE PROCESS

Before probation can revoked, the following may be required:
1. Written notice of the claimed violation.
2. Disclosure of evidence against probation.
3. Opportunity to be heard and to present witnesses and document evidence.
4. The right confronts and cross-examines adverse witnesses.
5. A written statement of the fact finder as to the evidence relied and reason for
revocation (decision)

O. TERMINATION AND CLOSING OF PROBATION (SECTION

16, PD 968)

Section 16, PD 968 – After the period of probation and upon consideration of
the report and recommendation of the probation officer, the court may order the final
discharge of the probationer upon finding that he has fulfilled the terms and conditions
of his probation and thereupon the case is deemed terminated.
The final discharge of the probationer shall operate to restore to him all civil rights
lost or suspend 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.
The probationer and the probation officer shall each be furnished with a copy of
such order.

I. MODES AND GROUNDS OF TERMINATIONS OF THE PROBATION

SUPERVISION CASE
1. The successful completion of program of probation.
2. Revocation for cause, or death of the probationer.

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NOTA BENE: Termination Report - 30 days before the termination period.

Section 51 of Revised Rules on Probation - At least 30 days before the

expiration of the period of probation or unless otherwise required by the court, the
probation officer shall submit a final report to the court which shall indicate:
a. The prescribe program of supervision and response of the probationer to said
program.
b. A recommendation as to whether the probationer may be discharge from probation
of not. If not probation officer may recommend modification of term.
c. Such other information required by the court.

II. TERMINATION REPORT

Section 61 of Parole and Probation Administration Omnibus Rules on
Probation Methods and Procedure: Termination Report.-The City and Provincial
Parole and Probation Office shall submit to the Trial Court a Probation Officer’s Final
Report (PPA Form 9) thirty (30) days before the expiration of the period of probation
embodying, among others, the following:
(a) Brief personal circumstances of the probationer;
(b) Brief criminal circumstances about his case (i.e. Criminal case number, court,
branch, period of probation, initial and last date of probation)
(c) Prescribed probation treatment and supervision program;
(d) Probationer’s response to the treatment plan/program;
(e) Recommendation to discharge the probationer from probation and the
restoration of all his civil rights.
Such other relevant and material facts and information which may be required by the
Trial Court.

III. FINAL DISCHARGE

Section 62 of Parole and Probation Administration Omnibus Rules on

Probation and Procedure: Final Discharge. – After expiration of the original or
extended probation period and based on due consideration of the POs final report, the
Trial Court may order the final discharge of the probationer upon finding that he has
fulfilled the probation terms and conditions and, thereupon, the probation supervision
case is deemed terminated.

Section 63 Parole and Probation Administration Omnibus Rules on

Probation and Procedure: Legal Effect of Discharge
1. Shall restore to him all civil rights lost or suspended as a result of conviction.
2. Fully discharge his liability for any fine as to the offense which probation was
granted but not civil liability.

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 3. The probationer and the probation office shall be promptly furnished with copies
of such
It is hereby understood that, the probationer’s political rights are not lost or
suspended even during the probation period.

IV. CLOSING OF PROBATION CASE

Section 54 ARCHIVING OF CASE - The probation office shall formally close

the record of probation case upon formal receipt of the court order finally discharging the
probationer, the Probation Office shall formally close the probation case and keep client’s
case file.

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PROCESS OF PROBATION SUPERVISION

PROBATIONER

Conditions
(Mandatory and Other Conditions)

Complied Non-Compliance

Final Report Violation Report

Court Court

Termination Order Revocation Order

FREEDOM JAIL
(To serve the sentence of
imprisonment in full)

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 CHAPTER V
THE VOLUNTEER PROBATION AIDES (VPA)
Overview
The chapter contains the definition of volunteerism, volunteer probation aide
define, the qualification of VPA: its appointment and terms of office, its salary, the duties,
function and responsibilities of VPA, and case load limitation of VPA.
Learning Outcomes
At the end of the chapter, the students can:
 Define Volunteerisms and Volunteer Probation Aid.
 Identify the qualification of VPA.
 Discuss the appointment and terms of office of VPA.
 Enumerate the duties of VPA and its case loads limitation.
Time Allotment
1 ½ hour per session

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A. VOLUNTEERISM DEFINE
It 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.

B. VOLUNTEER PROBATION AIDES DEFINE

VPA are citizen of good standing in the community who are volunteer to assist the
parole and probation officers in the supervision of a number of probationers, parolees,
and pardonees in their respective community.
Since they reside in the same community as the client, they are able to usher the
reformation and rehabilitation of the clients, and so on.

C. LEGAL BASIS
Section 28 of PD 968. Probation Aides. To assist the Provincial of City
Probation Officers in the supervision of probationers, the Probation Administrator may
appoint citizens of good repute and probity to act as probation aides.
Probation Aides shall not receive any regular compensation for services except for
reasonable travel allowance. They shall hold office for such period as may be determined
by the Probation Administrator. Their qualifications and maximum case load shall be
provided in the rules promulgated pursuant to this Decree.

D. QUALIFICATIONS
Section 57 of Parole and Probation Administration Omnibus Rules on
Methods and Procedure
a) Must be citizens of good repute and probity.
b) At least 18 years of age on the date of appointment.
c) At least high school graduate.
d) Preferably residence of the same locality or community covering the place of
residence of the probationer and/or the CPPOs, and SrPPOs, PPOsll and PPOsl.
Other qualification
1. Of sound mind and of good moral character.
2. As adequate and stable income and willing to serve without any compensation.
3. Has no criminal record of conviction, except those who have shown exemplary may
therefore be considered role model to fellow offenders.
4. Has the time to supervise a maximum of 5 clients.

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E. APPOINMENT AND TERMS OF OFFICE
Section 58 of Parole and Probation Administration Omnibus Rules on
Methods and Procedure:
a) Probation Aides shall be appointed by the Probation Administrator or
through authority delegated to the Regional Directors within their
respective areas of responsibility upon the recommendation of the CPPOs.
b) Probation Aides so appointed may hold office during good behaviour for a
period of two (2) years, renewable at the end of each period; provided,
that, the appointing authority may at any time terminate the services of
Probation Aides for unsatisfactory performance for at least two (2)
consecutive semesters as determined by the proper Offices
and/or for other lawful and valid cause(s). Thereafter, his
reinstatement shall be determined by his display of good behavior as
determined by collateral informants and the appointing authority.

F. SALARY
VPA shall not receive any regular compensation but entitled to travel allowances
allowed under existing government rules and regulation.

G. DUTIES OF VPA
1. Assist the Probation Officer in supervision of probationer.
2. Prepare and submit reports and record of his work as may be required by the
probation offices.
3. Assist the probation officer in mobilization of community support for probation
program.

H. FUNCTIONS AND RESPONSIBILITIES

The function and responsibilities of VPA may include:
1. Works in close consultation and coordination with the chief probation and parole
officer (CPPO) and Supervising Officer-on-Case (SOC), who will provide the
needed information about the client including the treatment and supervision plan;
2. Supervise a maximum of five (5) clients and thereafter ten (10) clients upon re-
appointment subject to the administrative and technical supervision by the Chief
Parole and Probation Officer (CPPO);
3. Keeps all information about the clients in strict confidential;

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 4. Performs such other task related to clients rehabilitation as may be assigned by the
CPPO from time to time;
5. Prepares records of their activities and accomplish related reports and prompt
submission thereof and undertake other related activities; and
6. They may be designated to identify, generate, tap local community resources or
conduct such activities on skills training and sports and cultural programs for
clients.

I. CASE LOAD

Section 59 Parole and Probation Administration Omnibus Rules on

Methods and Procedure:
a) In assigning probation supervision caseload(s) to the Probation Aide, the
Probation Offices shall duly consider their respective qualifications, length of
service, work accomplishments, and other related criteria. And, as to maximum
supervision caseload to be given to them, the Probation Office should, exercise
utmost prudence and caution.
b) The maximum supervision caseloads of a Probation Aide at any given time shall
be ten (10) probationers on minimum case classification or three (3)
probationers on maximum case classification in addition to other duties.

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