Probation in Adult System

California’s Probation Departments play various roles throughout the adult criminal justice system. Probation is often referred to as an “arm of the court”. They are expected to serve as a neutral party in providing judges in adult criminal court with the information necessary to make sentencing decisions. If adults are sentenced to community supervision, the Probation Department is responsible for their supervision and ensuring that they are offered the appropriate rehabilitative services to reduce recidivism. Probation Departments also manage and operate pretrial assessment and monitoring programs throughout the State.

Entry into the Adult Criminal Justice System

Arrest

An individual enters the adult criminal justice system when they are suspected by a law enforcement officer of committing a criminal act. The law enforcement officer has the discretion to determine if the individual should be arrested.

Citation

If the individual is not arrested, they might be given a citation to appear in court. They will be asked to sign the citation as an indication of their agreement to appear at the time of the court hearing. With a citation, the individual is not booked into jail and instead remains in the community.

Booked into Jail

An individual is booked into jail by law enforcement when the offense is serious or violent and the law enforcement officer believes the person poses a risk to community safety. The law enforcement officer will take the person to the city or county jail for the jail booking process. Jail staff will complete the process and make a determination if the individual will stay in custody. Certain charges will require a court hearing before release. Generally, individuals booked on outstanding warrants remain in custody until they appear before the court.

When an individual is booked into jail, there are several options that may occur. These are based on the county’s policies and procedures in addition to the seriousness of the charges for which the person has been arrested. For less serious offenses, jail staff may release the person from jail with a notice to appear in court.

Individuals in custody have the right to bail, a monetary amount set by a judge that a person must pay; or post a bond, which is a promise, usually in the form of money paid by a bail bonds person who the individual has hired and may require collateral to secure. Both bail and bond are often used interchangeably and allow the individual to be released pending court proceedings. Bail is based on a bail schedule approved by the court in each county.

Pretrial Assessment Process

Many Probation Departments in California operate a pretrial program. When an individual is booked into the county jail, the Probation Department conducts a pretrial assessment on eligible offenses in order to provide the judge with a recommendation as to whether the individual is recommended to be detained or released pending court proceedings. (LINK TO NEW PAGE FOR DETAIL) Although these programs vary, pretrial programs are used by courts so that detention is reserved for those individuals that pose a greater risk to the community or are at risk for failure to appear in court. Utilizing a validated pretrial assessment tool will assist in determining whether individuals are recommended for release or to remain detained pending their court proceedings. Pretrial programs are used to assess the likelihood of pretrial failure, provide information to the court for release decisions, sometimes refer individuals to needed services and monitor individuals in the community to mitigate the risk of pretrial failure (failure to appear in court and/or commits a new offense).

Probation Departments use a variety of pretrial assessment instruments, such as the Virginia Pretrial Risk Assessment Instrument (VPRAI), Ohio Risk Assessment Pretrial Assessment Tool (ORAS-PAT), Public Safety Assessment (PSA), and Correctional Offender Management Profiling for Alternative Sanctions (COMPAS).

Some pretrial assessment tools require staff to conduct an interview with the individual and includes dynamic factors in addition to static factors. Other pretrial assessment instruments do not require an interview with the individual and are scored based on static factors that can be obtained from the individual’s current offense and/or prior criminal history.

The goal of any pretrial program is to have the assessment completed prior to the individual’s arraignment, so the judge has all the necessary information prior to making release decisions.

There are circumstances where a pretrial assessment cannot be completed prior to arraignment. Some reasons it may not have been completed are due to the individual being ill, refusal to participate, was combative, or under the influence of drugs and/or alcohol. In these circumstances, the court may remand the individual to the County Jail, order a continuance, and order the Probation Department to go back and complete the pretrial assessment to have the necessary information at the next court appearance.

Due to limitations with staffing and resources, as well as physical limitations within jails and probation departments, jurisdictions must make a variety of decisions when implementing a pretrial program. Best practices recommend local jurisdictions create a pretrial release decision matrix, which categorizes release and detain recommendations based on pretrial assessment scores.

Funding for pretrial staff typically drives the number of individuals that can be assessed through the pretrial assessment instrument. Historically, rarely is there enough funding for every booking into the county jail go through the pretrial assessment process. Therefore, counties prioritize the cases that will be eligible for an interview and/or assessment. For instance, some counties will determine their eligibility criteria is for all new felony bookings into the county jail. Some counties may also perform assessments on certain classes of misdemeanor offenses, such a domestic violence, child abuse, elder abuse, and sex offenses. Ideally, every booking into a county jail would have a pretrial assessment completed; however most counties need to have a starting point and then expand as additional resources become available, processes become streamlined and efficient, and workloads can be evaluated for manageability.

For those pretrial risk assessments that require an interview with the individual, pretrial staff provide a disclaimer explaining the purpose of the interview, how the information will be used, and advise the individual not to disclose information related to their charges. This disclaimer is critical to protect individuals’ rights and adheres to national pretrial best practices. During the assessment interview, pretrial staff ask questions to learn more about an individual’s past criminal history, employment, residential, and financial status.

After completing the pretrial assessment, the individual will receive a risk score. The score correlates with the individual’s likelihood to not appear in court and likelihood to commit a new offense while going through the court process. Based on this score, the pretrial staff may follow a decision matrix in determining if the individual should be released pending court or remain detained pending court.

In some jurisdictions, the Superior Court has created an order granting the probation department release authority based on a certain pretrial risk assessment score. This allows the individual to be released into the community on a Promise to Appear (PTA) and not be detained in the county jail pending arraignment and a decision by the judge on their custody status. Other jurisdictions have an on-call judge who can review the pretrial assessment information and grant release prior to the individual’s arraignment. There are certain penal code sections that require an individual remain detained pending arraignment and are not eligible for release prior to arraignment.

While policy outlines the pretrial recommendations based on assessment score, pretrial services staff can choose to override these recommendations pre-arraignment given supplemental case information. Two common instances where a pretrial release may receive an override from staff is: 1) when an individual lives at the same address as the alleged victim; and, 2) when pretrial staff have additional information about the individual that indicates they may pose a risk to public safety. If staff wish to override the assessment score pre-arraignment, typically designated pretrial supervisory staff must approve the override.

Pretrial staff prepare a Pretrial Report for the court that includes the pretrial assessment score as well as supplemental information from the pretrial interview and criminal history information. In some jurisdictions, this Pretrial Report also includes a recommendation from the pretrial staff as to whether the individual should be released or remained detained. The Pretrial Report is forwarded to the Superior Court, the District Attorney’s Office, and the Public Defender’s Office, or defense attorney, if known, so all relevant parties will have the same information with the detain/release recommendation at the individual’s arraignment. Due to resource limitations, most counties are not able to have pretrial staff in court at the arraignment.

Court Process

In adult criminal court, every individual has the right to a speedy trial once charges have been filed against them. Timelines are determined based on custody status.

DA Files Charges

The court process begins at the District Attorney’s Office. This is the office that makes the determination to file criminal charges on an individual after reading the arrest reports. Based on the information available, the District Attorney’s Office will determine the appropriate charges to be filed and will meet the adult court timelines that begins the process.

District Attorney Diversion

Some District Attorney’s Offices have District Attorney diversion programs the individual may complete in order to avoid criminal charges being filed. These diversion programs may consist of community service, counseling, classes, etc. When the individual completes the diversion program, the case will be dismissed and no further action taken. This allows the individual to avoid a criminal record for the charge.

Arraignment

An arraignment is a criminal proceeding where the individual is called before the court, informed of the charges they are facing, advised of their rights, appointed legal counsel (if requested), advised about the consequences of a plea, and asked to enter a plea. This is the first court hearing and must occur within 48 hours for those individuals who were booked into custody and remain detained.

Humphrey Decision

A recent California Supreme court decision, In re Kenneth Humphrey Decision (Humphrey) (Link) set forth the considerations for the superior court when determining if there is cause to detain individuals prior to trial and if not, how bail may be applied. Specifically, the court decision held a court must first consider whether non-financial release options will reasonably protect the safety of the public or the victim, and ensure future court appearances. If the answer is no, then the court shall consider bail but must conduct an individualized assessment and consider ability to pay when setting the amount. Probation Departments may be asked to assist the judge in setting bail by completing a Bail Report. (LINK TO NEW PAGE FOR DETAIL)

Detained

At the arraignment hearing, the judge has options for continuing the person in jail or releasing them into the community. The judge can order the individual to remain detained pending court proceedings depending on the type of offense. This most often happens in serious and/or violent offenses. Once a judge orders detention, the individual is no longer eligible for release on pretrial program.

Straight Release

The judge can alternately release the person from custody with no conditions (straight release or release on their own recognizance). The charges are generally less serious, or the individual may have a history of returning for court appearances.

Pretrial Monitoring Process

For counties with pretrial programs, the judge can order the individual to be released from custody and ordered to report to pretrial monitoring at the probation department with conditions based on their pretrial assessment. Staffing for pretrial monitoring programs may consist of non-sworn staff and/or sworn probation officers, or a combination of the two.

Pretrial monitoring provides a range of alternatives to detention, allowing individuals assessed as lower-risk to remain at home in the community during the court process. The goal of a pretrial monitoring program is to provide a continuum of services based on the individual’s risk to reoffend and likelihood to appear in court. (LINK TO NEW PAGE FOR DETAIL)

As part of their pretrial monitoring process, counties may develop a Pretrial Release Decision Matrix which identifies the level of monitoring and services to be provided for each assessment score. In some instances, a judge may order an individual to pretrial monitoring despite probation’s recommendation for the individual to remain detained. In these circumstances, Probation Departments usually provide their highest level of pretrial monitoring services, unless ordered by the judge to a lower level of monitoring. Situations also occur where an individual would be on a lower level of monitoring based on the assessment score, but the judge orders the individual to a higher level of monitoring.

Once an individual has been placed on pretrial monitoring, an intake with the pretrial monitoring staff occurs. At the intake, the terms and conditions of the pretrial monitoring program are reviewed and signed by the individual. The individual is also provided reporting instructions, which will vary depending on the level of monitoring.

Pretrial monitoring is very different than probation or community supervision as very few conditions are set for the individual, outside of reporting instructions. The goal is to simply make sure the individual attends all their court appearances and does not commit a new offense while going through the court process. Referrals to services or community-based organizations for services are solely to provide assistance to the individual and the judge is not notified if they fail to participate. However, there may be instances where the judge orders the individual to a specific condition of pretrial monitoring. When that occurs, it is then the pretrial monitoring staffs’ responsibility to notify the judge if the individual is participating in the program.

All individuals placed on pretrial monitoring receive court reminders. During the intake process, pretrial monitoring staff ask individuals the preferred method (i.e., call, text, email, letter) to receive court reminders. Staff will then provide court notifications through the preferred method prior to each court hearing. This practice is a best practice and considered a critical pieces of a pretrial monitoring program as research indicates court reminders can increase court appearance rates.

Individuals are ordered to report to pretrial monitoring based on their risk level. The lowest risk individuals are not ordered to report and only receive court reminders of their upcoming court appearances. Other individuals may be ordered to call in or come to the office on a weekly basis. The highest level of pretrial monitoring may include home visits or being placed on global positioning satellite (GPS).

Pretrial monitoring programs are permitted to request drug or alcohol tests, but only when necessary. When the charge is substance abuse related there may be cause to order drug testing or an alcohol monitoring device.

Pre-Plea Report

In some counties, a judge will order the Probation Department to prepare a Pre-Plea Report to encourage an early resolution when an individual is considering a guilty plea. A probation officer will recommend if the individual is a suitable candidate for probation. Often, this report is at the request of the individual’s attorney.

The probation officer will conduct the investigation in a similar manner to a pre-sentence investigation by looking at the facts of the case, the individual’s criminal history, and any mitigating factors in the case.

Deferred Entry of Judgment

Deferred Entry of Judgment, also known as pre-plea diversion, permits a judge to avoid entering a conviction in a criminal case. The individual pleads guilty to the crime they were accused of committing. With a deferred entry of judgement, if the individual successfully completes the terms, the judge will dismiss the criminal charges.

Conviction

A conviction is a formal declaration by the court that an individual is guilty of a criminal offense. A conviction is made by the verdict of a jury or the decision of a judge in a court of law.

Plea Bargain

An arrangement between a prosecutor and individual whereby the individual agrees to plead guilty to a less serious charge in exchange for a more lenient sentence or an agreement to drop other charges.

Guilty Plea

An individual’s admission to the court they committed the offense they are charged with and they agree to waive the right to trial. If the judge accepts the plea, the case proceeds to sentencing.

Jury Trial

A jury trial is where twelve members of the community are assembled to hear the evidence and decide if an individual is guilty of the crime(s) with which they were charged. The ensuing verdict is issued by a jury of the individual’s peers. Unless an individual waives the right to a jury trial, this is a constitutional right.

Pre-Sentence Investigation Report: A Pre-Sentence Investigation Report is ordered by the judge, prepared by the probation officer, and assists the court in determining an appropriate sentence.

The Probation Department is responsible for providing the court information to assist in sentencing. The investigating probation officer will complete a Pre-Sentence Investigation Report. Courts and counties have different practices by which a Pre-Sentence Investigation Report is ordered. Some courts request a report on only felony convictions. Courts may also request reports on misdemeanor cases such as domestic violence or sex offenses. The Probation Department is required to complete the report when it is ordered by the court. (LINK TO NEW PAGE FOR DETAIL)

The Pre-Sentence Investigation Report is designed to give the judge the most current information to assist in sentencing decisions. It is not a reinvestigation of the crime. However, an overview of the crime leading to the conviction is one section of the report. This section is generally written based on information in the police report, interview with the arresting officer, or information that was presented in court during the trial. The report also includes a social history of the individual, including information regarding criminal history, employment, education, family, substance abuse, mental health issues, disabilities, housing, health, and financial status.

A victim impact statement is also part of the report. The victim may agree to an interview with the probation officer or may prepare their own written statement to be submitted to the court.

The probation officer gathers information from police reports, court documents, criminal RAP (records of arrests and prosecutions) sheet, and interviews with the individual being sentenced and the victim. In some cases, the probation officer will also speak with mental health clinicians, substance abuse treatment providers, family members, or other involved persons.

The Pre-Sentence Investigation Report also includes a recommendations section. As part of the recommendations, the probation officer will provide an evaluation of the case, looking at the individual’s needs and make recommendations to the court. If the person has been convicted of a crime and prison is the recommendation, probation will also give information to the California Department of Corrections and Rehabilitation (external link too). If the recommendation is for the person to be on formal probation or mandatory supervision, the recommendations will consist of services needed to assist in the individual’s rehabilitation. Recommendations may also include sanctions such as jail time, drug testing, or electronic monitoring.

The probation officer is generally given about three weeks to complete the report. It is filed with the court prior to the sentencing and given to all attorneys and the individual being sentenced. The victim also has the right to see the report.

The Pre-Sentence Investigation Report also assists the Probation Department in supervising the individual if they are placed on probation supervision or mandatory supervision. The officer will be able to see in the report the types of supervision and services the individual should receive. In many counties, a probation officer is assigned to the courtroom as part of the sentencing process to be able to provide immediate information to the court.

Sentencing Hearing

A Sentencing Hearing is when the judge orders the actual penalty for an individual. Mitigating or aggravating circumstances will work to either increase or decrease the sentence. The judge will use the pre-sentence investigation report to assist in determining the sentence.

Court Probation

A judge may order an individual to court probation, also known as informal probation, conditional sentence, or summary probation, where individuals are not supervised by the Probation Department, but instead report directly to the court. Some Probation Departments determine and set restitution for court probation cases, but once restitution has been determined, the Probation Department does not have any other involvement in the case.

Formal Probation

Formal probation is a type of community supervision that is part of the original sentence ordered by a judge, as an alternative to or in addition to incarceration in the county jail.

1170(h) PC – Straight Sentence

A judge may order an individual to a sentence greater than one year to be served locally at the county jail under Section 1170(h) of the Penal Code for specified non-serious, non-violent, or non-sex offenses. The judge may order the individual to serve a straight sentence (all time served in custody with no period of community supervision).

1170(h)(5)(b) PC – Split Sentence

A judge may order an individual to a sentence greater than one year to be served locally at the county jail under Section 1170(h) of the Penal Code for a specified non-serious, non-violent, or non-sex offenses. The judge may order the individual to serve a split sentence, which includes a period of time in custody followed by a period of community supervision, known as mandatory supervision under Section 1170(h)(5)(b) of the Penal Code.

State Prison

A judge may order an individual to serve their sentence in state prison. In these cases, the individual will return to jail and await transfer to a state prison operated by the California Department of Corrections and Rehabilitation.

1203c PC Report

Per Section 1203c of the Penal Code, if an individual is sentenced to state prison through the Department of Corrections and Rehabilitation (CDCR), the probation officer of the county from which the individual is committed shall complete a report of the circumstances surrounding the offense and the prior record and history of the individual. If the person is convicted of an offense that requires him or her to register as a sex offender pursuant to Section 290 of the Penal Code (and hover definition), the probation officer shall include in the report the results of the State-Authorized Risk Assessment Tool for Sex Offenders (SARATSO).

These reports shall accompany the commitment papers. In order to allow the probation officer an opportunity to interview, for the purpose of preparing these reports, the individual shall be held in the county jail for 48 hours, excluding weekends and holidays, subsequent to the imposition of sentence and prior to delivery to CDCR.

Community Supervision

Types of Community Supervision

The Probation Department is responsible for providing supervision for those individuals ordered to remain in the community under supervision terms. The Probation Department supervises those placed on formal probation as well as those placed on mandatory supervision as described below. The third population supervised by the Probation Department are those who are released from prison with Post Release Community Supervision (PRCS).

Probation Supervision

Probation Departments are responsible for providing community supervision services to individuals convicted of felonies or misdemeanors who are ordered to a formal grant of probation by the judge. These include both felony and misdemeanor cases; however, in most counties, only specified misdemeanor cases (such as domestic violence, child abuse, sex offenses, DUI with a prior, etc.) receive formal probation. Formal probation is the suspension of the imposition of a sentence and the order of conditional and revocable release in the community under the supervision of a probation officer. Beginning in January 2021, as a result of AB 1950, a formal grant of probation for an adult convicted of a misdemeanor can be no longer than one year and a formal grant of probation for a felony conviction can be no longer than two years. Exceptions are for financial crimes involving more than $25,000; crimes that “includes specific probation lengths within its provisions”; and, violent felonies as defined by Section 667.5 of the Penal Code (also hover definition).

Mandatory Supervision

Probation Departments are also responsible for providing community supervision services to individuals convicted of felonies under Penal Code 1170(h)(5) and ordered to a split sentence by the judge. The judge may order the individual to a straight sentence (time to be served solely in custody) or a split sentence (time split between custody and community supervision). The sentence shall indicate the length of the period of incarceration and the length of the period of community supervision.

Post Release Community Supervision (PRCS)

Upon an individual’s release from prison for a non-violent, non-serious, or non-sex offense (with a few exceptions that are supervised by state parole), the Probation Department is required to provide community supervision for a period not to exceed three years.

Probation Intake/Assessment

Once ordered to formal probation or mandatory supervision by a judge, individuals are ordered to report to the Probation Department within a specified time period (24-48 business hours) after court or upon their release from custody. At the initial appointment, a probation officer will conduct an intake/assessment interview. Depending on the size and resources of the department, some Probation Departments have units designated to complete this function, while other Probation Departments have the intake/assessment function completed by a supervising probation officers.

Upon arriving at the Probation Department, all individuals complete the intake/assessment process. Probation officers begin their assessment process by reviewing all law enforcement crime reports as well the individual’s prior referral history. An interview with the individual is also conducted. During this interview, the officer uses motivational interviewing techniques (link to EBP) to solicit information. This assists the officer in gathering the most accurate information. Probation officers use the information obtained during the assessment/intake process and begin assessing the individual using a validated assessment instrument (link to EBP).

The officer uses all the information obtained during the assessment/intake process to make the determination on the most appropriate level of supervision and/or specialized programming for the individual. Supervision and treatment resources should be prioritized for those individuals who are at higher risk to re-offend. (Link to EBP)

The officer does not solely use the results from the validated risk assessment to make the determination of the most appropriate course of action. Other factors may be given greater weight, such as the seriousness of the crime. The risk assessment tool is a guide for probation officers; in some circumstances, probation officers may override and not follow the recommendation. All overrides should be reviewed and approved by a supervisor.

During the intake/assessment, the probation officer also reviews the terms and conditions of community supervision with the individual, makes the initial referral to court-ordered programs, makes referrals to other county agencies or community-based organizations, and attempts to set and determine victim restitution. The goal is to provide the individual with any necessary supportive or transitional services to assist with the individual’s successful re-entry into society.

For individuals who are serving a sentence in the county jail, there are some counties that conduct the intake/assessment jail in person while the individual is in custody. For individuals on Post Release Community Supervision, the intake/assessment is conducted via videoconference or in-person while the individual is still in prison.

For those individuals who are in custody, as part of the intake/assessment process, the probation department will determine if the individual has a place to reside upon their release from County Jail or State Prison. Probation Departments assist individuals in having a successful transition from custody to the community, and housing is the most important first step. If the individual does not have somewhere to reside, the intake/assessment officer may have access to a sober living environment or transitional housing where they can refer the individual.

Supervision Services

Probation Departments provide community supervision services to monitor an individual to ensure they are abiding by the terms and conditions of their supervision and to provide evidence-based, supportive, and transitional services to assist individuals to help lower the likelihood of re-offense. For individuals ordered to formal probation or mandatory supervision by a judge, the Probation Department determines the type and level of community supervision. For those being released from prison on post release community supervision, the terms are set prior to their release from prison. The Probation Department will supervise to those terms. They may return to court to modify the terms if it is determined other services are needed. These three groups will all receive supervision services based on their assessment and risk and need factors.

Probation Departments work to prevent continued involvement in the criminal justice system by reducing recidivism. Probation departments provide a full range of supervision services to assist in accomplishing this goal. These supervision services may include intensive supervision, community service, home detention with electronic monitoring or global positioning satellite (GPS), day reporting, specialized court programs, transitional housing, residential substance abuse treatment, outpatient substance abuse treatment, outpatient behavioral health treatment, urinalysis testing, cognitive behavioral interventions, restorative justice programs, bus passes, pre-release services (assessments and supervision case planning pending release from jail), referrals to educational, vocational, and employment training and services, and flash incarceration.

In keeping with the current evidence-based (also hover definition) practices, probation departments assess individuals to determine the level of risk they pose to the community and what treatment modalities and dosage would best achieve measurable outcomes. Probation departments use validated risk and needs assessment instruments to inform an individual’s risk to reoffend and their criminogenic needs. (Also hover definition) Supervision levels are assigned based on the individual’s risk level and criminogenic needs.

Probation officers are responsible for reassessing individuals, referring the individual to targeted interventions, making corresponding changes to the case plan, and implementing the goals and objectives of the case plan, which address each individuals’ criminogenic needs. Officers monitor compliance with the case plan and the court-ordered terms and conditions of probation, and file violations of probation when necessary. They meet with the individual on a regular basis (ranges from weekly, bi-weekly or monthly depending on risk level and/or offense). The probation officer ensures the individual is attending all court, counseling, or program appointments and may assist with transportation when necessary.

The supervision of individuals is directly linked to the implementation of the nationally recognized evidence-based supervision model and its core principles. The Principles of Effective Intervention, the use of validated assessment tools, the application of Motivational Interviewing Techniques, the facilitation of Cognitive Behavioral Therapy (CBT) interventions, and the use of appropriate incentives has been proven to show positive effects to reduce recidivism.

Case management may include the following components:

• Validated risk and needs assessment
• Caseload placement and assignment
• Financial evaluation assessment
• Development of a probation supervision case plan
• Regular home and field visits
• Motivational Interviewing practices
• Referral to evidence-based programming (cognitive behavioral interventions)
• Regular drug and alcohol testing
• Referrals to other services and monitoring of participation based on needs (behavioral health services, social services, substance abuse, educational services, employment services)
• Graduated sanctions as needed to promote rehabilitation (i.e., community service, electronic monitoring, global positioning satellite, flash incarceration, day reporting center, specialized court programs, revocation)
• Appropriate positive incentives
• Aftercare planning and linkages to the community

Terms and Conditions of Probation

Terms and conditions of probation are ordered by the court and vary from case to case. However, many counties have standard conditions that apply to most adults on community supervision. There may also be additional conditions that are imposed by the court based on the specifics of the offense and/or the individual’s risk and needs assessment. (LINK TO NEW PAGE FOR DETAIL)

Individuals may also be ordered to not leave the county or state without prior permission from the supervising probation officer.

Specialized Caseloads

Many Probation Departments assign cases based on risk level. For instance, lower risk to reoffend individuals may be assigned to an unsupervised or administrative caseload. Some counties use web-based supervision systems rather than in person contact with the individual. The probation officer has minimal contact with the individual and some cases are open primarily for restitution purposes and to ensure there are no further arrests. The probation officer is available to assist the individual if problems arise and provides assistance in resolving the problem or making a necessary referral to assist.

Supervision caseloads for moderate risk individuals may be supervised through a combination of office reporting, kiosk reporting, or telephone reporting. The officer will refer the individuals to programs or services as needed.

High-risk individuals will be placed on a general supervision or intensive supervision caseload. The primary difference between general supervision and intensive supervision is the size of the caseload and the frequency of contact with the individual. Oftentimes, cases are assigned to an officer by a geographical area.

Some Probation Departments have specialized caseloads and units with specific criteria, such as sex offenders, domestic violence, post release community supervision (with hover definition), mandatory supervision (with hover definition) (PC 1170(h)), driving under the influence, transitional age youth, and gang members.

Specialty Courts

Some Probation Departments participate in specialty courts, which are collaborative courts based on a drug court model. These courts include all the collaborative partners that serve the youth, such as representatives from Superior Court, the District Attorney’s Office, the Public Defender’s Office, the Probation Department, Behavioral Health Services, Substance Abuse Services, and community-based organizations. The entrance requirements to a specialty court may vary between counties and may require approval by the entire specialty court team. In other cases, the decision is solely that of a judge.

In these specialty court programs the individual will report to court anywhere from weekly to monthly. During these proactive court appearances, it gives the judge the opportunity to hear how the individual is doing from all the parties that provide services to them. It allows the judge to acknowledge the individual for doing well or to address issues if the individual is not doing well or not participating in counseling or evidence-based programming. If necessary, the judge may sanction the individual. This may be accomplished through increased court appearances, referring the individual to an evidence-based program, or ordering the individual to custody, possibly by serving a weekend in the County Jail. The goal is that by having regular contact with the individual and all the involved parties, more serious behavior is prevented and a more serious sanction is avoided.

Examples of specialty courts are:

• Drug Courts:
• Mental Health Courts
• Transitional Age Youth Courts
• Driving Under the Influence Courts
• Domestic Violence Courts
• Veterans Courts
• Homeless Courts

Compliance with Terms and Conditions:

Rewards and Sanctions

Probation Departments employ a system of rewards and sanctions as behavioral management tools when supervising individuals.

Probation Departments use Reward Matrices as part of evidence-based practices (also hover definition) to guide probation officers with the behavior change process with individuals. It is important to include rewards (incentives) for positive behavior and when an individual achieves a certain benchmark in supervision to recognize and encourage ongoing success. A Rewards Matrix provides a variety of incentives where the reward increases with the difficulty of the accomplishment. Rewards are usually grouped into various levels, so it allows the probation officer a range of options so they can match the reward to both their style as well as the style of the individual. For example, some individuals may be motivated by public displays of recognition, while other individuals are more private and are uncomfortable in those situations. Rewards may include a certificate, a gift card, less frequent appointments with the probation officer, or early termination. The value of the reward increases with the level of accomplishment. Rewards may be given for gaining employment, completing an evidence-based program, or other positive behavior. Some Probation Departments recognize individuals for appearing at their office visit by providing them a small incentive that they can choose, such as food or needed personal items.

Conversely, the use of a Sanctions Matrix, also part of evidence-based practices, (with hover) will provide guidance to probation officers with the behavior change process when dealing with individuals. Sanctions matrices provide guidance regarding the type of intermediate sanction to impose when responding to violations of probation. This strategy requires probation officers to consider the individual’s level of risk, the severity of the violation, and the individual’s behavior before determining the most appropriate graduated response. Many sanctions matrices increase in severity of the sanction when there are continued incidents of low-level violations. Additionally, there is also usually a level of supervisory approval for violations that result in recommendations for jail time. Low level violations may result in increased programming, reporting, or drug testing. More serious sanctions may include global positioning satellite, flash incarceration, or having probation revoked and the individual serving a period of incarceration.

Low level sanctions can be handled between the probation officer and the individual and do not require court intervention. However, any sanction that includes a commitment to global positioning satellite, or a period of incarceration (excluding flash incarceration) will require a formal violation of probation to be filed with the court. The violation of probation only includes a recommendation from the probation officer. The court will make the final determination about the violation of probation.

Modification of Probation

The probation officer may file a Modification of Probation to modify (i.e., add, change, delete) any terms and conditions of supervision previously ordered by a judge. The Modification of Probation may request to add an additional term when it appears necessary for the rehabilitation of the individual, such as participation in a program of counseling. A Modification of Probation may also be requested to delete a term if it is no longer needed or was deemed as inappropriate, such as a substance abuse program, when a risk and needs assessments shows it is not necessary. Any modification of probation must be approved by the court.

Violation of Probation

The probation officer has a variety of options to address incidents where an individual has violated one of the terms and conditions ordered by a judge. The most severe option is to file a Violation of Probation with the court.

After being placed on community supervision, the probation officer will review the terms and conditions with the individual so the individual has a clear understanding of the expectations. While providing supervision services, the probation officer has latitude on how to address incidents where an individual has violated one of the terms and conditions of their probation.

Either the district attorney or the probation officer has the authority to file a violation of probation petition. Law enforcement has the authority to arrest an individual who is on formal probation for a violation of probation. If the individual is in custody, they have the right to have their case heard in front of a judge in a timely manner. If the individual is out of custody, the case can be scheduled at a later date.

The individual has the similar rights as individuals in a jury trial. They have the right to present evidence, call witnesses, testify, and see the evidence by law enforcement. However, these cases are not heard in front of a jury; a judge makes the final ruling. The probation case can be terminated and reinstated, sometimes with new conditions. The case can also be terminated from supervision or the individual may be ordered to serve time in jail or sentenced to state prison.

Flash Incarceration

Flash incarceration is a tool used by a Probation Department to manage an individual’s behavior by providing the individual a period of detention in a city or county jail for a violation of an individual’s conditions of supervision. The length of the detention period can range between one and ten consecutive days. Initially developed for those on post release community supervision, flash incarceration is now available for those on mandatory supervision and formal probation, who agree to it as a sanction.

As authorized by PC 3454, Probation Departments were given the authority for flash incarceration in Penal Code 3454 (link) and Penal Code 1203.35 (link). The goal of flash incarceration is to sanction the individual for their negative behavior while allowing the individual to quickly resume with the pro-social parts of their lives.

When an individual fails to meet their conditions, a flash incarceration is considered to be less disruptive to the person’s family and job than a traditional violation of probation and revocation of supervision court hearings. Each Probation Department has created rewards and sanctions matrices. These matrices help determine the appropriate length of incarceration.

Individuals on post release community supervision do not need to agree to flash incarceration; it is authorized per the penal code. However, the individuals on formal probation or mandatory supervision have the right to agree to a flash incarceration. If they do not agree, the probation officer may file a violation of probation petition. A waiver is signed by the individual prior to the imposition of a flash for those on probation or mandatory supervision. When a flash incarceration is imposed, the probation officer shall inform the court, the district attorney and the individual’s attorney.

Revocation

If the probation officer determines the individual has violated their terms of supervision, they may file a petition and the court will hold a revocation hearing. The court may terminate the supervision or reinstate supervision with modifications and order jail time or the maximum sentence allowed by the law.

A revocation hearing may occur after a petition for violation of probation or mandatory supervision is filed with the court. The petition may be filed by the district attorney or probation officer. The judge will hear evidence to determine if there has been a violation. If the court determines a violation has occurred, the judge has several options.

Penal Code 1203.2(c) (link) gives the judge the authority to revoke and reinstate probation. It is likely new conditions will be added to the current terms of probation or mandatory supervision with this option. The judge also has the option to terminate probation or order the individual to serve the remainder of their sentence in jail.

An individual who has been released from prison under post release community supervision (PRCS) may also have their supervision revoked for a violation. Penal Code 3455 outlines how revocations are handled. The judge has the ability to terminate the supervision and sentence the individual to up to 180 days in custody in local jail. The judge may also modify the terms of supervision and continue the person on post release community supervision.

A probation officer does not need to file a revocation with the court with every violation of probation, mandatory supervision, or post release community supervision. Counties have other options they can use prior to a revocation hearing. Probation departments use a sanctions matrix to assist in using the most effective tool for violations. However, if there is a very serious violation or a pattern or non-compliance, it is more likely a revocation hearing will be held.

Probation Departments employ a system of rewards and sanctions as behavioral management tools when supervising individuals.

Probation Departments use Reward Matrices as part of evidence-based practices (also hover definition) to guide probation officers with the behavior change process with individuals. It is important to include rewards (incentives) for positive behavior and when an individual achieves a certain benchmark in supervision to recognize and encourage ongoing success. A Rewards Matrix provides a variety of incentives where the reward increases with the difficulty of the accomplishment. Rewards are usually grouped into various levels, so it allows the probation officer a range of options so they can match the reward to both their style as well as the style of the individual. For example, some individuals may be motivated by public displays of recognition, while other individuals are more private and are uncomfortable in those situations. Rewards may include a certificate, a gift card, less frequent appointments with the probation officer, or early termination. The value of the reward increases with the level of accomplishment. Rewards may be given for gaining employment, completing an evidence-based program, or other positive behavior. Some Probation Departments recognize individuals for appearing at their office visit by providing them a small incentive that they can choose, such as food or needed personal items.

Conversely, the use of a Sanctions Matrix, also part of evidence-based practices, (with hover) will provide guidance to probation officers with the behavior change process when dealing with individuals. Sanctions matrices provide guidance regarding the type of intermediate sanction to impose when responding to violations of probation. This strategy requires probation officers to consider the individual’s level of risk, the severity of the violation, and the individual’s behavior before determining the most appropriate graduated response. Many sanctions matrices increase in severity of the sanction when there are continued incidents of low-level violations. Additionally, there is also usually a level of supervisory approval for violations that result in recommendations for jail time. Low level violations may result in increased programming, reporting, or drug testing. More serious sanctions may include global positioning satellite, flash incarceration, or having probation revoked and the individual serving a period of incarceration.

Low level sanctions can be handled between the probation officer and the individual and do not require court intervention. However, any sanction that includes a commitment to global positioning satellite, or a period of incarceration (excluding flash incarceration) will require a formal violation of probation to be filed with the court. The violation of probation only includes a recommendation from the probation officer. The court will make the final determination about the violation of probation.

Modification of Probation

The probation officer may file a Modification of Probation to modify (i.e., add, change, delete) any terms and conditions of supervision previously ordered by a judge. The Modification of Probation may request to add an additional term when it appears necessary for the rehabilitation of the individual, such as participation in a program of counseling. A Modification of Probation may also be requested to delete a term if it is no longer needed or was deemed as inappropriate, such as a substance abuse program, when a risk and needs assessments shows it is not necessary. Any modification of probation must be approved by the court.

Violation of Probation

The probation officer has a variety of options to address incidents where an individual has violated one of the terms and conditions ordered by a judge. The most severe option is to file a Violation of Probation with the court.

After being placed on community supervision, the probation officer will review the terms and conditions with the individual so the individual has a clear understanding of the expectations. While providing supervision services, the probation officer has latitude on how to address incidents where an individual has violated one of the terms and conditions of their probation.

Either the district attorney or the probation officer has the authority to file a violation of probation petition. Law enforcement has the authority to arrest an individual who is on formal probation for a violation of probation. If the individual is in custody, they have the right to have their case heard in front of a judge in a timely manner. If the individual is out of custody, the case can be scheduled at a later date.

The individual has the similar rights as individuals in a jury trial. They have the right to present evidence, call witnesses, testify, and see the evidence by law enforcement. However, these cases are not heard in front of a jury; a judge makes the final ruling. The probation case can be terminated and reinstated, sometimes with new conditions. The case can also be terminated from supervision or the individual may be ordered to serve time in jail or sentenced to state prison.

Flash Incarceration

Flash incarceration is a tool used by a Probation Department to manage an individual’s behavior by providing the individual a period of detention in a city or county jail for a violation of an individual’s conditions of supervision. The length of the detention period can range between one and ten consecutive days. Initially developed for those on post release community supervision, flash incarceration is now available for those on mandatory supervision and formal probation, who agree to it as a sanction.

As authorized by PC 3454, Probation Departments were given the authority for flash incarceration in Penal Code 3454 (link) and Penal Code 1203.35 (link). The goal of flash incarceration is to sanction the individual for their negative behavior while allowing the individual to quickly resume with the pro-social parts of their lives.

When an individual fails to meet their conditions, a flash incarceration is considered to be less disruptive to the person’s family and job than a traditional violation of probation and revocation of supervision court hearings. Each Probation Department has created rewards and sanctions matrices. These matrices help determine the appropriate length of incarceration.

Individuals on post release community supervision do not need to agree to flash incarceration; it is authorized per the penal code. However, the individuals on formal probation or mandatory supervision have the right to agree to a flash incarceration. If they do not agree, the probation officer may file a violation of probation petition. A waiver is signed by the individual prior to the imposition of a flash for those on probation or mandatory supervision. When a flash incarceration is imposed, the probation officer shall inform the court, the district attorney and the individual’s attorney.

Revocation

If the probation officer determines the individual has violated their terms of supervision, they may file a petition and the court will hold a revocation hearing. The court may terminate the supervision or reinstate supervision with modifications and order jail time or the maximum sentence allowed by the law.

A revocation hearing may occur after a petition for violation of probation or mandatory supervision is filed with the court. The petition may be filed by the district attorney or probation officer. The judge will hear evidence to determine if there has been a violation. If the court determines a violation has occurred, the judge has several options.

Penal Code 1203.2(c) (link) gives the judge the authority to revoke and reinstate probation. It is likely new conditions will be added to the current terms of probation or mandatory supervision with this option. The judge also has the option to terminate probation or order the individual to serve the remainder of their sentence in jail.

An individual who has been released from prison under post release community supervision (PRCS) may also have their supervision revoked for a violation. Penal Code 3455 outlines how revocations are handled. The judge has the ability to terminate the supervision and sentence the individual to up to 180 days in custody in local jail. The judge may also modify the terms of supervision and continue the person on post release community supervision.

A probation officer does not need to file a revocation with the court with every violation of probation, mandatory supervision, or post release community supervision. Counties have other options they can use prior to a revocation hearing. Probation departments use a sanctions matrix to assist in using the most effective tool for violations. However, if there is a very serious violation or a pattern or non-compliance, it is more likely a revocation hearing will be held.

Termination of Community Supervision

Termination of Probation/Mandatory Supervision

Individuals on formal probation and mandatory supervision, are aware of the length of supervision from the time of sentencing. With some exceptions (link to probation supervision section), formal probation may be one year for a misdemeanor grant of probation and two years for a felony grant of probation. For formal grants of probation, there are certain circumstances where a probation officer can request the court to extend the length of time of the grant of probation. \]

Cases sentenced to a split sentence under PC 1170(h) have different supervision timeframes. Each case has to be viewed individually. When the judge orders a split sentence, the individual is sentenced to a period of time in custody and, upon release, a period of time on community supervision. For instance, the court may split a 3-year sentence by ordering 12 months in custody and 24-months on community supervision. Therefore, the maximum amount of community supervision is known to the individual at the time of sentencing. Similar to cases of formal probation, those on a split sentence will have their supervision terminated on the date set at sentencing.

Upon termination of probation or mandatory supervision, the individual is released from all of the requirements of the Probation Department.

Early Termination of Probation/Mandatory Supervision

A probation officer may request early termination of an individual’s probation supervision or mandatory supervision by filing a motion with the court. A judge makes the decision for early termination. Typically, this request is made in circumstances where the individual has been performing satisfactorily for a period of time (as determined by the probation department), and has completed all required programming (mandated by the Penal Code and evidence-based programs directed by the probation department) and paid restitution in full. These requests go before the judge for approval. In some counties, the District Attorney’s Office will receive notice of these requests, so the office can object to the early termination. The individual’s attorney may also file a request for early termination.

Instead of requesting early termination, some Probation Departments will instead transfer the individual to a lower level of supervision after they have been performing satisfactorily for a period of time. The benefits of a lower level of supervision are reduced reporting requirements, as well as the possibility of kiosk or telephone reporting. Typically, these cases will remain under this lower level of supervision for the remainder of the supervision term to monitor that the individual does not reoffend.

Termination of Post Release Community Supervision: Individuals are given three years of supervision after release from prison. This is the longest period of supervision allowed. If an individual has not been revoked to jail after one year of supervision, the probation officer shall discharge their case at that time. Once released they are free of any of the requirements of probation.

Early Termination of Post Release Community Supervision

A probation officer may, after 6-months, request to terminate an individual early from community supervision if there have been no returns to custody for any violation of community supervision. Typically, this request is made in circumstances where the individual has been performing satisfactorily for a period of time (as determined by the probation department), and has completed all required programming (mandated by the Penal Code and evidence-based programs directed by the probation department). These requests go before the judge for approval. In some counties, the District Attorney’s Office will receive notice of these requests, so the office can object to the early termination.

If the individual did return to custody on a violation during the first twelve months, they must complete another twelve months without a return to custody in order to be released from supervision. It is possible they could be released prior to the three-year timeframe even with a return to custody on a violation of probation.

Expungement

A judge may issue an Expungement Order, which directs the court to treat the criminal conviction as if it had never occurred, essentially removing it from an individual’s criminal record. Once an individual has successfully completed a term of probation, they may be eligible for an expungement. Penal Code 1203.4 (link) allows an individual to withdraw a plea of guilty or no contest, reenter a plea of not guilty, and have the case dismissed.

Before someone is granted an expungement, there are certain conditions that must be met. The individual may not be on probation for another criminal offense and they may not be serving a sentence on another criminal case. Both felony and misdemeanor charges may be expunged. The individual must meet the criteria for having a case expunged.

There are positive reasons to have a record expunged when eligible. Having a case expunged provides the individual the release from all penalties arising from the conviction. The individual will not have to disclose the offense to a potential employer. There are some exceptions for certain careers such as law enforcement or other government employment. It can also be easier for the individual to get a state professional license making more employment opportunities available to the person. The conviction cannot be used to impeach the individual if they are testifying in court unless it is in a subsequent criminal matter.

Expungements do not mean the case is sealed. The conviction does not come off a RAP (Record of Arrests and Prosecutions) sheet (California or FBI criminal history). On a RAP sheet, it will state after the conviction that relief under expungement was granted. It does not give relief for those who are required by law to register as a sex offender. It will not limit United States Immigration and Customs Enforcement (ICE) from using the conviction in a deportation process. It does not reinstate the right to own a firearm if it was taken away pursuant to a relevant statute.

Per PC 1203.4, an individual is not eligible for expungement under these conditions:

1. Current charges for a criminal offense
2. Actively on probation for another criminal offense
3. Serving a sentence for a criminal offense
4. Certain sex crimes involving children

Once an individual makes a request of the court for expungement, it is the judge who makes the decision on whether to grant the expungement.