The Pretrial Services officer is normally the first contact a defendant has
with the Probation Office. The Pretrial Services officer performs an important
service to the Court and the community during this initial contact with the
defendant. Innocent until proven guilty is a basic principle of our judicial
system. Because Pretrial Services officers primarily work with those accused of
a crime, they must fashion their day-to-day activities around this important
constitutional concept.
The Pretrial Services officer conducts an interview with the defendant prior
to the defendant’s initial appearance before the U.S. Magistrate Judge. The
purpose of the interview is to obtain information about the background of the
defendant in regard to his or her ties to the community (i.e., length in the
community and family resources), criminal history and any information relative
to mental health or substance abuse history. The officer provides this
information to the Court, usually in a written report. This report is then used
by the Court to evaluate whether the defendant presents risks of nonappearance
or danger to the community. The Pretrial Services officer assesses whether any
conditions or combination of conditions exist that would reasonably assure the
defendant will appear for further Court proceedings and would reasonably assure
the safety of the community. Once this determination is made, the officer
recommends to the Court what the officer believes are the most effective and
least restrictive conditions of release. These conditions may include bond
supervision by the Probation Office and conditions relating to travel,
employment, substance abuse and mental health treatment, possession of firearms,
and location monitoring.
For a defendant released on bond supervision, the Probation Office is
responsible for monitoring the defendant in the community and ensuring that the
defendant is complying with all the conditions of release until such time that
he or she either is found not guilty, surrenders to an institution to begin
service of sentence, or is otherwise ordered removed from supervision by the
Court.
Once defendants either enter a plea of guilty or are found guilty at trial,
they enter the next phase of the judicial process as it relates to the U.S.
Probation Office. Defendants will now come into contact with a probation officer
assigned to the Presentence Investigation Unit.
Following the change of plea or guilty verdict, the defendant will meet with
a U.S. Probation Officer who will interview the defendant in preparation of
completing a presentence investigation report. During this interview, the
officer will ask the defendant about his or her personal history, including
family, education, employment, medical history, drug and alcohol use and
financial status. The interview is followed by a period of active investigation
by the probation officer to both verify the information that was provided and to
obtain any additional information that will assist the Court in fashioning an
appropriate sentence. In addition to the social history information outlined
above, the probation officer may conduct an independent review of the facts
underlying the offense of conviction.
In the presentence investigation report, the probation officer sets forth the
sentencing options available to the Court, including the applicable statutory
penalties and the applicable provisions provided under the United States
Sentencing Commission Guidelines. Sentencing options may include imprisonment, a
fine, probation, and/or supervised release, which is supervision by the United
States Probation Office following a period of imprisonment. The probation
officer makes a sentencing recommendation to the Court, including a
recommendation for any conditions of supervision that may be appropriate based
upon the defendant’s personal history or the nature and circumstances of the
offense.
Another important aspect of the presentence investigation report is the
inclusion of restitution information in those cases where restitution is a
consideration or required by law. This information includes identification of
the victim(s) of the case and the precise amount of restitution that should be
ordered by the Court. During the investigation into the financial status of the
defendant, the probation officer will analyze the defendant's financial records
and will recommend to the Court a restitution payment plan, to include any lump
sum payment that can be made at the time of sentencing.
The presentence investigation report is a crucial cog in the sentencing
process. The presentence investigation report is utilized by the Court to
fashion a sentence that meets the statutory purposes of sentencing, including
punishment, deterrence, protection of the public, and correctional treatment.
When incarceration is imposed, the Federal Bureau of Prisons uses the
presentence investigation report to effectively place the defendant into the
proper facility and programs (e.g., substance abuse treatment, sex offender
treatment, etc.). Finally, the Supervision Unit of the U.S. Probation Office
utilizes the report during the pre-release investigation phase to structure
appropriate supervision plans to assist in maximizing the success potential for
the defendant under community supervision.
U.S. Probation Officers assigned to the Supervision Unit are responsible for
the community supervision of offenders who have been released by the Court on
bond supervision, sentenced directly to probation by the Court, released from
the Federal Bureau of Prisons to the supervised release portion of their
sentence, or are released on a parole sentence under the jurisdiction of the
U.S. Parole Commission or military authorities.
At the commencement of supervision, the U.S. Probation Officer will
thoroughly explain to the offender the conditions of supervision, including
mandatory, standard and special conditions of supervision; the expectations of
supervision; and potential consequences for noncompliance. Mandatory conditions
apply to every offender sentenced to a term of supervision and are required by
law. Standard conditions of supervision are a set of conditions adopted by the
sentencing Court that provide structure for the offender and address basic
requirements of supervision. These include conditions pertaining to reporting to
the probation officer, maintaining employment, and notifying the probation
officer of law enforcement contact. Special conditions are used by the Court to
provide the probation officer with the authority to address risk related issues
specific to a particular offender and can include such conditions as location
monitoring, substance abuse testing and treatment, or mental health treatment,
among others.
A primary responsibility of the Supervision Unit of the U.S. Probation Office
is the protection of the public through proactive risk control supervision
techniques designed to detect and deter any further criminal behavior of the
offender. The probation office uses a two-pronged approach in exercising their
statutory responsibility. The officers utilize a combination of controlling and
correctional strategies to deal with the risks related to a specific case and to
bring about a positive change in the offender’s behavior, maximizing the
offender’s potential for success during the supervision process and beyond.
Conditions of supervision may be modified during the course of supervision to
address new issues that have arisen. Noncompliance with supervision is reported
by the U.S. Probation Office to the Court or the U.S. Parole Commission. Upon
finding that an offender has violated his or her conditions of supervision, the
Court makes a determination whether additional conditions need to be put in
place or whether, due to the nature of the noncompliant behavior, removing the
offender from the community and returning the offender to incarceration is
warranted.