Probation officer

Probation officers function as agents or officers of the courts in the United States especially, but also in other countries. In the U.S., there can probation officers on the probation officers on the city, county, state or Federal level - wherever there is a court of competent jurisdiction. Probation Officers, depending on the jurisdiction, may or may not also be Parole Officers. Generally, Probation Officer investigate and supervise defendants who have not yet been sentenced to a term of incarcaration. Transversaly, Parole Officers only supervise offenders released from incarceration after a review and consideration of a Warden, Parole Board or other parole authority. Parolees are essentially serving the remainer of their incarceration sentence in the community due to the excellent adjustment and behavior while an inmate. However, more and more jurisdictions are modifying or abolishing the practice of parole and giving post-release supervision obligations to a community corrections agent, generically referred to as a Probation Officer. Typically, probation officers do not wear a uniform, but simply dress in business or casual attire. Probation officer are usually issued a badge or other law enforcement type credentials. Probation and Parole Agencies have a loosely based paramilitary command structure and are ususally headed by a Chief Probation Officer or Director. The chain-of-command ususally flows to Deputy Chief or Assistant Director, then to Supervisor or Senior Probation Officer, then to the line probation officer. Some Senior Probation Officers are not necessarily in management, but hold specialist positions, and work with specific groups of offenders such as Sex Offenders, offenders sentenced to home electronic monitoring (house arrest,) cases with severe mental health or substance abuse histories.

Related Topics:
Court - United States - Parole - Probation - Inmate - Paramilitary - Sex Offender - House arrest - Substance abuse

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

A probation officer can perform any function assigned to him or her by the court, but typically only performs the job or supervision of a criminal offender, working as the enforcement arm of the courts, or as the independent investigator that looks into the complete personal and criminal history of the criminally adjudicated defendant before sentencing. Both presentence investigation and offender supervision require that probation officers possess excellent oral and written communication skills and a broad knowledge of the criminal justice system and the roles, relationships, and responsibilities distributed among the courts, the parole authority the the Bureau of Prisons or Department of Corrections and the prosecutor. Officers must have a thorough understanding of the legal requirements of probation and parole, sentencing guidelines, and applicable case law. Additionally, they must have an ability to work with an extremely diverse population and wide variety of government agencies and community organizations. Officers who perform either presentence investigations or case supervision exclusively must have familiarity with the techniques and capabilities of the complementary discipline.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

Presentence Investigation

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

The presentence report is a key document submitted to the court describing the nature and circumstances of the offense, the history and characteristics of the offender, the sentencing guidelines (depending on jurisdiction,) and available sentencing options. Officers who prepare presentence reports must be especially skilled in gathering, organizing, and analyzing information. In the report and accompanying sentencing recommendation, the probation officer must assess the probability of risk to the community in the form of future criminal behavior, the harm the offense caused and the need for restitution, any profit the defendant received from the crime, and the defendant's ability to pay sanctions such as a fine, restitution or cost. The officer must identify the defendant's need for treatment to correct characteristic's, conditions, or behavioral patterns that limit motivation or ability to obey the law and must assess the availability and suitability of rehabilitative programs. The preparation of presentence reports is critical not only to the individual offender and those directly affected by the offense, but to the systematic administration of criminal justice.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

The report is used immediately to help the court determine an appropriate sentence and also serves other purposes. Since the advent of the sentencing guidelines, the importance of the presentence report has increased because the document is now designed to frame factual and legal issues for sentencing. Thereafter, if a defendant is incarcerated, the Bureau of Prisons or State Department of Corrections will use information in the report to designate the institution where the offender will serve the sentence and determine the offender's eligibility or need for specific correctional programs. Also, depending on the jurisdiction, the presentence report can be used to calcuate the release date. The probation officer assigned responsibility for the offender's case during probation and supervised release will use the report to make an initial assessment of case needs and risks. Additionally, the report may be used as a source of information for future research.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

Probation officers investigate by interviewing and reviewing documents. Unless the defendant declines, the defendant is questioned in every case. Additionally, the officer should interview the defense counsel, the prosecutor, law enforcement agents who investigated the conduct that led to the defendant's conviction, victims, the defendant's family, present or previous employers, school officials, doctors, counselors, and others. The diverse interview settings that probation officers encounter require them to be proficient in a variety of questioning techniques.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

During any investigation a probation officer may review numerous documents including: court dockets, plea agreements, investigative reports from numerous agencies, previous probation or parole records, pretrial services records, medical records, counseling and substance abuse treatment records, scholastic records, employment records, financial records, and others. The probation officer msut scrutinize each document received and determine the likely accuracy of the record.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

Whether interviewing or reviewing documents, the probation officer must weigh the evidence based on the best available information. The final report must contain only accurate information. The goal is to produce a report that the court may rely upon at sentencing. Though it is inevitable that there will be data that the probation officer is unable to verify, that information should be clearly identified. The probation officer must distinguish between facts and the inferences, opinions, or conclusions based upon those facts.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

When a defendant is referred for a presentence investigation, the officer must immediately begin to gather the facts. Though the procedure varies somewhat from jurisdiction to jurisdiction, the officer ususally conducts several aspects of the investigationconcurrently to ensure that the presentence report is submitted to the court on time. Since officers routinely conduct multiple presentence investigation simultaneously, meeting the deadlines can be difficult.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

Local rules, adopted by the judges of each jurisdiction, supplement the federal rules and set a specific schedule for the disclosure of the initial draft of the presentence report to the defendant and both counsel, for the filing of objections to the report by counsel, and for the submission of the final report to the court, the defendant, and counsel. The report must be disclosed to the court, the defendant, defendant's counsel, and the attorney for the government at least before the sentencing.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

The probation officer must manage the investigation process within the time line established by those rules. In addition to gathering information, the officer must plan to verify that information, interpret and evaluate the data, determine the appropriate sentencing guidelines and statutes to the specific facts of the case, and present the results of the investigation in an organized and objective report. The probation officer must set deadlines for the submission of information by the defendant and others and monitor compliance with the deadlines.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

Ideally, the offender is available for the interview early in the investigation. The defendant interview is the pivotal point around which the presentence investigation turns. Often, the format is a structured interview during which a standard worksheet is completed. The worksheet follows the format of the presentence report and provides space for recording data about the offense and the offender's characteristics and history. Each item on the form is reviewed with the defendant. Even though some of the data solicited from the offender during this interview may not appear in the final report, it is impossible at this stage to determine what information will be included. No question is asked without a purpose. The defendant's answers will determine followup questions, items for further investigation or coroboration, and, ultimately, whether the data should be included in the report.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

The presentence investigation is often the first inquiry into the offender's past, and the initial interview provides the framework for the report's description of the offender's history and circumstances. The probation officer inquires about the defendant's family and developmental history, familial and martial relationships, education, employment history, physical and mental health, alcohol or controlled substance abuse, and finances. The emphasis throughout the questioning is on identifying information that is relevant for understanding the defendant's offense conduct and present situation. During the interview, the probation officer will ask the offender to sign authorizations to release confidential information. At the conclusion of the inital interview, the offender may be asked to provide numerous documents to the probation officer substantitating the offender's complete life history. Additionally, the offender may be asked to submit an autobiography fleshing out the skeletal information already gathered about the social history.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

Before interviewing the defendant about the offense, the probation officer must review official descriptions of the offense conduct and the applicable guidelines. As a result, it is often necessary to postpone a discussion of the offense until a second interview. The offender is also asked to submit a written statement about the offense conduct.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

The second interview may be schedule either in the probation office or in the offender's home. By visiting the home, the probation officer may verify information by talking to other family members and may obtain clues about the offender's standard of living, community ties, and use of alcohol or controlled substances. A second interview is also an opportunity to clarify any vague, contradictory, or confusing information.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

The probation officer's investigation of the offense usually begins with an examination of the complaint, information, or indictment charging the defendant and the docket describing the judicial history of the case. These documents may be found in the district court clerk's file. The officer will use them to develop a brief chronological history of the prosecution of the case and identify the specific charges that resulted in the conviction. The review of the clerk's file may also reveal the identities of codefendants or related cases, the status of which must be investigated and reported in the presentence report. At the same time, the probation officer may also request information about the offender's history, circumstances, and release status from the pretrial services officer or from a separate pretrial services agency.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

Another step that must occur early in the investigation is contact prosecutor assigned to the case. The prosecutor will be asked to provide information about the conduct that resulted in the defendant's conviction, victim's losses, the defendant's history, and any other data relevant to the sentencing decision. During the investigation, the defense counsel will also be asked to discuss the same topics.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

Additionally, the probation officer must an inquiry into the offender's criminal history. This is usually accomplished by using data bases maintained by the Federal Bureau of Investigation (FBI,) the National Crime Information Center (NCIC,) or state law enforcement agencies. Though the guideline criminal history category is based only upon sentences imposed for juvenile adjudications and criminal convictions meeting specific criteria, the probation officer reports all known incidents in which the defendant has been involved in criminal behavior to partially fulfill the statutory mandate to provide information to the court regarding the history and characteristics of the defendant. The early examination of computerized criminal history records enables the officer to identify which law enforcement, court, and correctional records must be reviewed. In addition, the initail interviewof the defendant should include questioning about the offender's residential history so that the officer can check local police and court records in every jurisdiction where the defendant has lived.

Related Topics:
Federal Bureau of Investigation - FBI - National Crime Information Center

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

After the interview of the offender, contact with the prosecutor, and the criminal history inquiry, the probation officer must identify any information gaps, must identify potential sources for the missing information, and must plan on how to eliminate the gaps. It may be necessary for the investigating officer to request an other probation officer in another jurisdiction to conduct a collateral investigation about a specific aspect of the case. Supplemental interviews may be scheduled with case agents, victims, family members, employers, counselors, or others. Additionally, the probation officer may request physical and mental health, educational, employment or financial records from a variety of sources to corroborate information provided by the offender.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

Gradually, the emphasis shifts from gathering information to analyzing data. The probation officer must take the tentative findings of fact regarding the offense conduct and criminal history and must make tentative applications of the sentencing guidelines. The applicable sentencing options that the probation officer msut recite in the presentence report. Additionally, the probation officer must study the case to identify potential grounds for departure from the guidelines and then must analyze any potential departure to determine if it is valid. During the investigation, the probation officer may consult a probation officer specialist who is a subject matter expert about guidelines, financial investigation, mental health, substance abuse, or some other aspect of the case. The probation officer may also consult a supervisor or, in a team environment, other members of the officer's team.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

Finally, the probation officer must write a draft of the report for disclosure to the defendant and the attorneys. When objections to report are received, the probation officer must manage the resolution of disputes. The officer must be impartial and open to opposing perspective and must consider all relevant and reliable information before making an independent judgment about the tentative findings of fact and guideline applications that will be recommended to the court. The probation officer must be prepared to report unresolved disputes to the court in a detached, dispassionate manner focusing on the factual or legal disagreement amoung the parties.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

After revising the report in response to objections, the probation officer develops a sentencing recommendation based on the facts and sentencing options identified in the report. The written justification for the recommendation is the probation officer's evaluation and analysis of the offense, the offender, and the sentencing options. The justification provides the officer's rationale for the specific sentencing recommendations. It should be address the statutory factors to be considered in imposing a sentence and should assist the court in the preparation of the judge's statement of reasons for imposing a sentence.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

The officer then discloses the final report and sentencing recommendation to court. Also, the officer discloses the report (excluding the recommendation) to the defendant, and both attorneys, but the job is not finished. The probation officer must be prepared to discuss the case with the sentencing judge in chambers or in court, to answer questions about the report that arise during the sentencing hearing, and, ultimately, to testify under oath in open court as to the basis for the factual findings and guideline applications recommended in the report.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

In the Federal System, after the offender's sentencing by the Court, the probation officer must ensure that copies of the presentence report and other requested documents are forwarded to the U.S. Bureau of Prisons and the U.S. Sentencing Commission. If possible, the probation officer must also interview the offender after sentencing and instruct the defendant about the conditions of supervision that the court imposed. A written copy of the conditions of supervision must be provided to each offender.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

Supervision

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

Of equal importantance with presentence investigation, the probation officer's other major responsibility is the supervision of offenders released conditionally in the community. Probation officers supervise offenders on probation or supervised release whose conditions of release are set by teh sentencing courts.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

As stated above, probation officers may also serve as parole officers. Though parole was abolished in the Federal System in 1984, defendants sentenced for military offenses and for criminal conduct that occurred before that abolition will be released from prison under the supervision of the Federal Probation Officer for some time to come. In contrast to persons on probation and supervised release who are under the jurisdiction of the sentencing court, individuals released on parole and mandatory release remain in the custody of the U.S. Attorney General while serving a portion of their sentence of imprisonment in the community.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

Whether acting as officers of the U.S. District Courts or agents of the U.S. Parole Commission or military authoritites, the supervision mission of the United States Probation Officer is to execute the sentence, control risk, and promote law-abiding behavior through correctional treatment. Probation officers assigned to supervision caseloads must have al of the skills described earlier but must be especially adept at assessing the risks presented by each case and reducing those risks. The officers must also have skill at counseling and motivating offenders and must choose appropriate means to respond to non-compliant behavior. Finally, the offices must havethe ability to discern deception and act accordingly.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

Planning for supervision of an offender in the community begins during the presentence investigation when the conditions of supervision are considered and recommended. Some conditions of supervision are statutorily mandated. In the case of a felony, the court must impose the payment of a fine, the payment or restitution, or the contribution of community service as an explicit condition of supervision, unless the Court finds that such a condition would be plainly unreasonable due to extraordinary circumstances.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

Other conditions are discretionary, and the probation officer's presentence recommendation must identify discretionary conditions that will: reflect the seriousness of the offense; promote respect for the rule of law, provide just punishment; afford adequate deterrenced to criminal conduct; protect the public from future crimes by the defendant; and provide the offender with needed educational or vocational training, medical care, or correctional treatment. The Court has broad discretion in the imposition of conditions of supervision, but conditions must involve only such deprivation of liberty or property as is reasonably related and are reasonably related to the purposes of probation, parole, or supervised release and are reasonably related to the nature and circumstances of the offense and the history and characteristics of the offender. The conditions must be clearly and precisely stated, realistic, and enforceable.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

Whether the term of supervision begins immediately at sentencing, as in the case in probation, or upon an offender's release from custody, as in the case of supervised release or parole, on of the probation officer's first task is to instruct the offfender about the conditions of release. During the initial supervision interview the officer clarifies the purpose of each condition, how it si to be fulfilled, and the consequences of noncompliance. To help the offender understand and cooperate, the probation officer encourages questions and , where appropriate, offers assistance. The offender is then asked to sign copies of the conditions of supervision and is provided a copy for his or her records.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

During the initial interview the probation offier also explores in more depth those issues that might have an impact on supervision. Those issues can be identified in the written materials available to the officer including the presentence report, the institutional progress reports, psychological or psychiatric reports, and other records. The officer then determines the offender's employment, financial, and family situations. Additionally, the officer identifies collateral information sources that may be developed to assist in monitoring the offender's progress. These sources might include family members, employers, counselors, or others who are likely to have knowledge of the offender's condition and willingness to cooperate with the probation officer. If applicable, the probation officer also instructs the offender about enforcement registration requirements and may collect a smple of urine to be analyzed for the presence of controlled substances. In addition, the probation office may coordinate the collection of the offenders DNA, if required by law. The probation officer records this activity and every subsequent significant event in a chronological case history kept in the case file.

Related Topics:
Counselors - DNA

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

The first component is the sentencing order, court order or judgment and commitment order from the Court. This is the starting point from where an effective case supervision plan is built upon. A good sentencing order will have the Conditions of Supervision, including any Special Conditions, listed on it. The Conditions of Supervision must be clearly explained and understood so that offender clearly knows what is expected and required, not only from him or her, but from the probation officer that will be doing the supervising.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

The enforcement of the Conditions of Supervision; such a monetary sanctions, community service, or intermittent confinement. The plan for addressing fines and restitution must consider the offender's ability to pay and must include means for regularly monitoring the offender's payments. If an offender must complete a term of residence at a community center, the probation officer must coordinate the placement with the center and must monitor the defendant's compliance with the program. Similarly, if the offender is required to complete a period of home electronic monitoring (house arrest,) the officer must establish electronic monitoring according to local policies or, if electronic monitoring is not authorized, must plan methods of verifying the offender's compliance with the condition with unannounced home visits during the specified hours of detention and collateral contacts with employers, doctors, and counselors to verify approved absences from the home. A plan for community service must include an evaluation of the appropriateness of the placement and should consider the offender's talents and legitimate transporation and time constriants. A method must be devised for monitoring the completion of the community service.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

A supervising probation officer must identify of correctional treatment issues and response strategies. While risk control activities are designed to detect and deter criminal activity, correctional treatment activities aim at resolving problems that may lead to criminal behavior. Correctional treatment may be required to respond to active or historic alchol abuse, substance abuse, mental illness, domestic issues, educational or vocational deficiencies, residential or employment instability, or financial concerns. The officer will often refer an offender to a community treatment resource when a problem presents a risk or impedes compliance with the conditions of supervision. In some districts, mental health or substance abuse specialist may be consulted and referrals may be made to contract treatment programs. Under other circumstances, officers may have to develop referrals to existing community resources and act as a resource broker for the person under supervision. In either case, the officer must remain involved in the process an maintain frequent contact with the agency and the offender.

Related Topics:
Mental illness - Substance abuse

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

Through supervision, all contacts should be purposeful and designed to enforce conditions, control risk, or provide correctional treatment. The case plan will determine the persons to be contacted and the frequency, place, and nature of the contacts. Field contacts with the offender and others are vital to ensure that the officer is aware of the offender's contact and condition, but officers must be sensative to the potentially dangerous situations while conducting field supervision. Some probation officers have chosen to work with another officer as a partner, allowing the supervision officer to focus on the supervision contact while the partner focuses on the pair's safety.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

When an offender fails to comply with the conditions of supervision, the probation officer attempts to determine if the noncompliance is willful or involuntary and plans an appropriate response. Responses must be timely, realistic, and progressive. If the noncompliance is involuntary, such as failure to pay a fine due to an inability to pay, the response may be a modification fo the case plan, a request to the Court for a modification of the case plan, a request for a modification of the conditions of supervision substitutiong a feasible sanction for one which is no longer feasible, or some other nonpunitive action.

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

If an offender's failure to comply is willful, the probation officer must choose from a continuum of interventions. The choice is guided by the philosophy that the least restrictive measure necessary to achieve the goals of supervision should be used. The sanctions begin with reprimands and warnings and escalate up to the ultimate sanction - revocation. Certain types of noncompliance must be reported to the court whether or not Court action is requested or not. Revocation can only happen at a Revocation/Violation Hearing before the sentencing Judge. Like a regular trial, the burden of proof that a violation actually occurred is on the Government, however, the standard of proof is only by a preponderance of the evidence, not beyond a reasonable doubt. In the case of a violation of probation or supervised release, the officer must be prepared to present tentative calculations of the revocation guidelines to the court must always be prepared to testify at hearing regarding the offender's adjustment to supervision. In every case, the probation officer's goals remain the same: to protect the community and to encourage the reform of the offender.

Related Topics:
Revocation - Preponderance of the evidence - Beyond a reasonable doubt

~ ~ ~ ~ ~ ~ ~ ~ ~ ~

Many things have changed since John Augustus implemented the philosphy of community corrections in the American Criminal Justice experience. New statutes have been enacted and other laws have been repealed. New tools of the trade such as computers, cellular telephones, and electronic monitoring have been added. Still, the essence of the probation officer's role has not changed. As they face new challenges, probation officer non doubt will continue to do what predecessors have always done. They will assist in the fair administration of justice and the protection of the community by conducting excellent presentence investigations and executing diligent supervision of offenders released into the community.

Related Topics:
John Augustus - Community

~ ~ ~ ~ ~ ~ ~ ~ ~ ~