REQUIREMENTS AND PROCEDURE IN THE

APPLICATION OF PROBATION
I. WHERE AND WHEN TO FILE THE PETITION FOR PROBATION?
The application for probation shall be filed by sentenced or convicted offender whose sentence
is not more than 6 years imprisonment. It shall be filed with the court that tried and sentenced the
offender.
WHERE: A petition for probation shall be filed by the applicant for probation or the petitioner
with the courts that tried and sentenced the offender at any time before the imprisonment starts.

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

However, under Section 42 of R.A. 9344, the Juvenile Justice and Welfare Act of 2006, the court may,
after it shall have sentenced a Child In Conflict with the Law and upon application at anytime placed the
child on probation in lieu of service of his sentence.

II. PROCEDURE UNDER PD NO. 968 – Probationand Parole Flow Chart – See Appendix

The following are the procedure in the application for probation:

1. The defendant must file a petition before the trial court which exercise jurisdiction over his case; an
application for probation after he has been sentenced but before he begins to serve the sentence. There
are two forms of petition: WRITTEN and ORAL.

Note: But for purposes of recording, application made orally should be reduced into writing.

2. If the defendant has been convicted and has appealed the sentence of conviction, an application for
probation cannot be entertained. As a general rule, No application for probation shall be entertained or
granted if the defendant has perfected an appeal from the judgment or conviction.

Note: Filing an application shall be deemed a waiver of the right to appeal.

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

3. Notice to the prosecuting officer: The prosecuting officer concerned shall be notified by
the court of the filing of such application. The prosecuting officer must submit his comment on
such application within 10 days from receipt of the notification

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

To summarize, the following are the procedures in Applying for Probation:

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

 The court determines convict qualifications and notifies the prosecutor of the filing of the petition

 The prosecutor submits his comments on such application within 10 days from receipt of the
notification.

 If petitioner is qualified, his application is referred to the probation officer for post-sentence
investigation

 The post-sentence investigation report (PSIR) is submitted by the probation officer to the court
within 60 days

 Pending investigation and resolution, accused may be temporarily released (if there is already a
bail, then on same bail)

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

Note:
*If the accused is convicted and sentenced to multiple penalties, the periods are not added up.
Only the maximum shall be considered.
*Once probation period is terminated, the accused is restored to all his civil rights lost or
suspended.
III. REQUISITES BEFORE AN OFFENDER CAN BE PLACED ON PROBATION
1. A post sentence investigation by the officer;
2. A determination by the court that the end of justice will be served and the best interest of the
public and that of the offender will be served thereby.

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

POST SENTENCE INVESTIGATION (PSI) AND POST SENTENCE

INVESTIGATION REPORT
(PSIR) (SECTION 5, PD 968)
Under Section 5 of PD 968, no person shall be placed on probation except upon prior investigation by
the probation officer and a determination by the court that the ends of justice and the best interest of
the public as well as that of the defendant will be served thereby.
QUESTION: What is post sentence investigation?
An investigation conducted by a probation agency or other designated authority at the request
of a court into the past behavior, family circumstances, and personality
of an adult who has been convicted of a crime, to assist the court in determining the most appropriate
sentence. It refers to the investigation conducted by a probation officer to obtain information regarding
petitioner’s character, antecedents, environment, mental and physical condition with the aim of
determining whether the latter is qualified and suitable for released under probation.

A. ASSIGNMENTS AND INITIAL INTERVIEW WORK SHEET PAROLE AND PROBATION ADMINISTRATION
OMNIBUS RULES ON PROBATION METHODS AND PROCEDURE.

Section 14. Assignment. - After receipt from the Trial Court, the City or Provincial Parole and
Probation Office concerned, through the CPPO shall assign the same to the office clerk for docketing and
eventual assignment to a subordinate investigating Probation Officer for the conduct of the PSI or
conduct such investigation himself.

Section 15. Initial Interview Work Sheet: Waiver. – Within five (5) working days from receipt of
said delegated assignment (or self -assignment), the investigating Probation Officer on case (or Chief
Probation and Parole Officer) shall initially interview the applicant if he appeared in the Probation Office
upon response to the seventy-two (72) hours limitation given to him by the Trial Court. If not, the
Probation Officer on case may write the applicant in his court given address, or personally visit
applicant's place to schedule an initial interview at the Probation Office. During such initial
interview, the Probation Officer on case or CPPO shall require the applicant to accomplish and sign a
Post-Sentence Investigation Work Sheet (PPA Form1). The investigating Probation Officer on case or
CPPO shall conduct further investigation based on the information contained therein.
A Waiver-Cum-Authorization (PPA Form 2), authorizing the PPA and/or Probation Office to secure
any and all information on the applicant, shall be duly executed and signed by him.

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

Section 18. Subsequent or Further Interviews. – To obtain additional data, counter check, or
clarify discrepancy/ies between the information received from the applicant and those secured from
other sources, the Investigating Probation Officer on case or CPPO may conduct subsequent or further
interviews on the applicant and/or other persons as deemed appropriate.

Section 19. Nature of Interview. - The data and information gathered from the interview of the
applicant and/or other persons and from other collateral informants, as well as law enforcement
agencies, shall be strictly privileged and confidential in nature. During such interview and information-
gathering processes, the applicant does not necessarily need to be represented and assisted by counsel.

Section 20. Confidentiality of Post-Sentence Investigation Information. – The investigating Probation

and Parole Officer on case or CPPO shall inform the applicant of the confidential nature of the
information taken during the PSI and the limited scope and extent, whereby said information, may be
disclosed only to some statutorily designated authorities and entities pursuant to Section 17 of PD 968,
as amended, and Section 64 of these Rules.
Note: Information shall be privileged and shall not be revealed directly or indirectly except to (a)
Probation Administration (b) the court concerned. A violation of confidential nature of probation records
is an offense. Penalty is imprisonment from 6 months and 1 day1 to 6 years and fine from P600 to
P6, 000.

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

B. SCOPE AND EXTENT

Section 16 of Parole and probation administration omnibus rules on probation methods and
procedure. Scope and Extent. – After accomplishing the Post-Sentence Investigation Work Sheet and
the Waiver-Cum-Authorization, the same shall be immediately submitted to the Probation Office.
The investigating Probation Officer on case or CPPO shall conduct a thorough investigation on the
antecedents, mental and physical condition, character, socio-economic status, and criminal records, if
any, of the applicant and the institutional and community resources available for his rehabilitation.

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

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

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

D. STAGE OF POST-SENTENCE INVESTIGATION

The following are the stage of post investigation:

1. PRELIMINARY PROCEDURE - The probation officer upon receipt of the order from the court
shall assign the same to a probation officer to conduct the post-sentence investigation.

2. INITIAL INTERVIEW - within 5 working days from receipt of the court order, the probation
officer assigned shall interview the petitioner. In the said interview, the probation officer shall require
the petitioner to accomplish under oath a worksheet (P.A. form no. 1) the information contained in the
worksheet shall serve as the basis of further investigation. The petitioner shall also sign a waiver
(P.A. form no. 2) authorizing the probation administration to secure any and all pertinent documents
and information.
 3. INVESTIGATION - upon completion of the worksheet, the probation officer shall conduct a
thorough investigation on the antecedents, mental and physical condition, character, and socio
economic status of the petitioner. For collateral information, person who has knowledge of the
petitioner, of the victim and or the relatives shall be interviewed. The probation officer shall determine
and recommend the manner by which the petitioner will be supervised if granted probation.

Note: Information gathered from the interview of petitioner and the collateral information sources shall
be confidential in nature.

4. ISSUANCE OF POST-SENTENCE INVESTIGATION (PSI) REPORT -upon the completion of the

post-sentence investigation, the probation of officer shall submit a post-sentence investigation report
(P.A. form no. 3) to the trial court within the prescribed period. The report shall be sign by the
investigating probation officer and approved by the head of the probation office.

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