Attachment_1_-_Part_C.pdf

Guide to Judiciary Policy

Vol 8: Probation and Pretrial Services

Pt C: Supervision of Federal Defendants (Monograph 111)

Ch 1: Overview

§ 110 Purpose

§ 120 Applicability

§ 130 Scope

§ 140 Philosophy § 140.10 Professional Ethics § 140.20 Effective Supervision Practices § 140.30 Partnerships

§ 150 Desired Outcomes and Goals of Supervision

§ 160 Authority

§ 170 Principles of Effective Supervision

§ 110 Purpose

The purpose of Part C: Supervision of Federal Defendants (Monograph 111) is to provide United States pretrial services officers with guidance in supervising defendants released by the courts to the community pending trial.

§ 120 Applicability

The guidance set forth in this part applies to United States district court employees, specifically employees of the United States probation and pretrial services system, in the performance of their duties.

§ 130 Scope

The chapters in this part address the following areas:

Last substantive revision (Transmittal 08-013) May 22, 2012 Last revised (minor technical changes) August 8, 2012 http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Probation_and_Pretrial_Services_Transmittals.html

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(a) Supporting roles (Chapter 2);

(b) Conditions of release (Chapter 3);

(c) The assessment and planning process (Chapter 4);

(d) Selecting and executing supervision strategies (Chapter 5);

(e) Supervision of defendants with treatment services needs (Chapter 6);

(f) Managing noncompliant behavior (Chapter 7); and

(g) Pretrial diversion supervision (Chapter 8).

§ 140 Philosophy

(a) As the component of the federal judiciary responsible for community corrections, the Federal Probation and Pretrial Services System is fundamentally committed to providing protection to the public and assisting in the fair administration of justice. While maintaining the presumption of innocence and working under the guidance of the court, pretrial services seeks to effectively supervise persons released to its custody and thereby promote public safety, facilitate the judicial process, and reduce unnecessary detention.

(b) Pretrial services is the front door to the federal criminal justice system and has a unique opportunity to lay the foundation for each defendant’s success, not only during the period of pretrial services supervision, but even beyond that time. Officers strive to work with each defendant in such a manner that this contact with the criminal justice system will be the defendant’s last, thereby preventing the front door of the system from becoming a revolving door.

(c) While pretrial services has no authority over a defendant beyond the period of pretrial services supervision, it can help to lay the foundation for success by:

(1) Adhering to the highest standards of professional ethics;

(2) Employing effective supervision practices; and

(3) Creating effective partnerships with other criminal justice components and with the community.

http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_C_Supervision_of_Federal_Defendants/Ch_2_Supporting_Roles.html http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_C_Supervision_of_Federal_Defendants/Ch_3_The_Conditions_of_Release.html http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_C_Supervision_of_Federal_Defendants/Ch_4_Assessment_and_Planning_Process.html http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_C_Supervision_of_Federal_Defendants/Ch_5_Selecting_and_Executing_Supervision_Strategies.html http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Pt_C_Supervision_of_Federal_Defendants/Ch_6_Supervision_of_Defendants_With_Treatment_Services_Needs.html http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_C_Supervision_of_Federal_Defendants/Ch_7_Managing_Noncompliant_Behavior.html http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Pt_C_Supervision_of_Federal_Defendants/Ch_8_Pretrial_Diversion_Supervision.html

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§ 140.10 Professional Ethics

(a) As representatives of the court, officers exercise their authority judiciously, using only those supervision strategies that are consistent with the conditions of release and that are sufficient, but no more restrictive than necessary, to reasonably assure the safety of the community and the defendant’s appearance in court as required. Officers are to treat all defendants, colleagues, counsel, court staff, and community partners with dignity and respect.

(b) The manner in which an officer interacts with defendants and others can influence their perceptions of the court as an institution that dispenses justice regardless of the outcome of the case. Officers also set the tone for what a defendant may expect from others in the federal criminal justice system. An officer who acts with integrity and respect, makes expectations clear, and responds appropriately will help create positive perceptions of the judicial process and foster a more productive attitude toward any term of post-conviction supervision that may be imposed.

§ 140.20 Effective Supervision Practices

(a) Conditions of release and supervision strategies are designed to manage risk during the period of pretrial services and can have the secondary benefit of influencing a defendant’s future choices. For example, if a defendant chooses to quit abusing substances as a result of substance abuse treatment received while under pretrial services supervision, that choice may have far-reaching effects beyond the period of supervision.

(b) Officers are also to assist — but absent a condition may not require — any defendant to obtain employment, medical, legal, or social services (18 U.S.C. § 3154). An officer who helps a defendant obtain a high school diploma or a job skill has impacted that defendant’s life beyond the period of pretrial services supervision.

§ 140.30 Partnerships

(a) Officers can help build and consolidate partnerships with other criminal justice components, treatment providers, and the community.

Partnerships with other criminal justice components are needed to effect a smooth and timely transition from one stage of the criminal justice system to another. Effective treatment services and community outreach can contribute to better access to the high-quality community services that are essential to the effective supervision and success of defendants. Pretrial http://www.law.cornell.edu/uscode/18/3154.html

Guide to Judiciary Policy, Vol. 8C, Ch. 1 Page 4 services must continually seek out ways to create such partnerships and work collaboratively to achieve common goals.

(b) Guided by constitutional principles of the presumption of innocence and the right against excessive bail, pretrial services is committed to maintaining a balance between personal liberty and community safety.

Officers work under the guidance of judicial officers to protect the public, facilitate the judicial process, and reduce unnecessary detention by performing effective supervision.

§ 150 Desired Outcomes and Goals of Supervision

(a) Informed by the recommendations of pretrial services and counsel, the court sets the least restrictive conditions of release deemed necessary to reasonably assure community safety and the defendant’s appearance in court as required. The supervision mission is to implement and monitor compliance with these conditions using strategies that are sufficient, but no more restrictive than necessary, to execute the court order. Pretrial services supervision practices are not designed to punish, but rather to address the defendant’s risks of nonappearance and/or danger to the community.

(b) The desired outcome in all cases is for the defendant to successfully complete the supervision period by obeying the law, complying with any other conditions of release, and making required court appearances throughout the period of supervision.

(c) Desired Outcomes

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(d) In the supervision model illustrated above, the conditions of release are the foundation of pretrial services supervision. These conditions are set by the court and may be modified as necessary in response to changes in the defendant’s circumstances (see: Chapter 3). In every case, the officer will undertake an ongoing process of investigation, assessment, planning, implementation, and evaluation that will continue throughout the course of supervision (see: Chapter 4).

(e) The purpose of this process is to assess the risks associated with each defendant and use this information to develop strategies to implement and monitor compliance with the conditions imposed and/or to recommend any needed changes in the conditions of release (see: Chapter 5 and Chapter 6). Supervision should employ an array of monitoring and, as appropriate, assisting strategies that are sufficient, but no more restrictive than necessary, to manage identified risks and facilitate desired outcomes.

(f) An example of a monitoring strategy is the verification of employment of a defendant who is ordered to maintain employment. An example of an assisting strategy is to refer an unemployed defendant with an employment condition — or a defendant without a condition who requests assistance — to resources that will help him or her locate employment.

Other assisting strategies are those that facilitate defendant compliance with conditions, such as helping to arrange for transportation to required treatment or for child care during required employment.

(g) If a defendant fails to comply with the conditions of release, officers are to intervene using a two-pronged approach to bring the defendant into compliance (see: Chapter 7). The purpose of the two-pronged intervention is to simultaneously implement risk control strategies to hold the defendant accountable to the terms of the court order and risk reduction strategies to facilitate change in the circumstances that led to the noncompliance. For example, if a defendant uses an illegal substance while under supervision, the officer may increase the level of drug testing (risk control) and request that the court modify the conditions of release to place the defendant in a substance abuse treatment program (risk reduction).

§ 160 Authority

(a) Under 18 U.S.C. § 3142(c), if a judicial officer determines that release on personal recognizance or an unsecured appearance bond will not reasonably assure the appearance of the defendant or safety of the http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_C_Supervision_of_Federal_Defendants/Ch_3_The_Conditions_of_Release.html http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_C_Supervision_of_Federal_Defendants/Ch_4_Assessment_and_Planning_Process.html http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_C_Supervision_of_Federal_Defendants/Ch_5_Selecting_and_Executing_Supervision_Strategies.html http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Pt_C_Supervision_of_Federal_Defendants/Ch_6_Supervision_of_Defendants_With_Treatment_Services_Needs.html http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_C_Supervision_of_Federal_Defendants/Ch_7_Managing_Noncompliant_Behavior.html http://www.law.cornell.edu/uscode/18/3142(c).html

Guide to Judiciary Policy, Vol. 8C, Ch. 1 Page 6 community, the court may release the defendant subject to the least restrictive further conditions or combination of conditions the judicial officer determines will reasonably assure appearance and safety. One of these conditions is pretrial services supervision (see: Chapter 3). Officers have a responsibility to both recommend when a supervision condition is appropriate and, if imposed, to carry out this and any other conditions of release set by the court.

(b) Under 18 U.S.C. § 3154, several functions are set forth related to pretrial services supervision, including:

(1) Collect, verify, and report to the judicial officer, prior to the pretrial release hearing, information pertaining to the pretrial release of each individual charged with an offense, including information relating to any danger that the release of such person may pose to any other person or the community, and, where appropriate, recommend whether such individual should be released or detained and, if release is recommended, recommend appropriate conditions of release; except that a district court may direct that information not be collected, verified, or reported under this paragraph on individuals charged with Class A misdemeanors as defined in 18 U.S.C. § 3559(a)(6).

(2) Review and modify the reports and recommendations specified in paragraph (1) of this section for persons seeking release pursuant to 18 U.S.C. § 3145.

(3) Supervise persons released into its custody under this chapter.

(4) Operate or contract for the operation of appropriate facilities for the custody or care of persons released under this chapter including residential halfway houses, addict and alcoholic treatment centers, and counseling services, and contract with any appropriate public or private agency or person, or expend funds, to monitor and provide treatment as well as nontreatment services to any such persons released in the community, including equipment and emergency housing, corrective and preventive guidance and training, and other services reasonably deemed necessary to protect the public and ensure that such persons appear in court as required.

http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_C_Supervision_of_Federal_Defendants/Ch_3_The_Conditions_of_Release.html http://www.law.cornell.edu/uscode/18/3154.html http://www.law.cornell.edu/uscode/18/3559.html#a_6 http://www.law.cornell.edu/uscode/18/3145.html

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(5) Inform the court and the United States attorney of all apparent violations of pretrial release conditions, arrests of persons released to the custody of providers of pretrial services or under the supervision of providers of pretrial services, and any danger that any such person may come to pose to any other person or the community, and recommend appropriate modifications of release conditions.

(6) Serve as coordinator for other local agencies which serve or are eligible to serve as custodians under this chapter and advise the court as to the eligibility, availability, and capacity of such agencies.

(7) Assist persons released under this chapter in securing any necessary employment, medical, legal, or social services.

(8) Prepare, in cooperation with the United States marshal and the United States attorney, such pretrial detention reports as are required by the provisions of the Federal Rules of Criminal Procedure relating to the supervision of detention pending trial.

(9) Develop and implement a system to monitor and evaluate bail activities, provide information to judicial officers on the results of bail decisions, and prepare periodic reports to assist in the improvement of the bail process

(Note: 18 U.S.C. § 3154 also authorizes assistance to the United States attorney to implement pretrial diversion; supervision of defendants on conditional release under a regimen of care or treatment as provided by sections 4243 or 4246; the carrying of firearms if approved by the district court; and “such other functions as specified under this chapter.”)

§ 170 Principles of Effective Supervision

The principles of effective supervision are designed to ensure that supervision comports with the requirements and limitations inherent in statutory directives and is purposefully directed toward achieving desired outcomes. Their application in every case will also ensure that the majority of supervision resources are dedicated to those defendants who need them most in order to successfully complete their supervision in the community. Effective supervision is:

http://www.law.cornell.edu/uscode/18/3154.html http://www.law.cornell.edu/uscode/18/4243.html http://www.law.cornell.edu/uscode/18/4246.html

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(a) Individualized

One size does not fit all. Effective supervision is responsive to the requirements of the individual case rather than the implementation of any standard plan or the blanket application of any strategy or tool.

(b) Purposeful

Initial and subsequent supervision case planning should specify the objectives to be accomplished in the individual case. Every supervision activity should have a purpose that is directly related to these objectives.

(c) Multidimensional

Effective supervision of cases that present multiple issues requires the concurrent implementation of multiple strategies. A variety of disciplines may be necessary to address the supervision issues presented by the individual defendant.

(d) Pro-Active in Implementation

Officers must be aware of changes in defendants’ circumstances not only through contacts in the office with defendants, but also through contacts in the community and with collateral sources.

(e) Responsive to Changes

Officers must respond to changes in defendants’ circumstances by adjusting the level of supervision commensurate with the current level of risk in the individual case, seeking modifications to the conditions of release as appropriate.

Ch 2: Supporting Roles

§ 210 Introduction

§ 220 Role of the Chief and Deputy Chief

§ 230 Role of Supervisors

§ 240 Role of Senior Officers and Specialists

§ 250 Role of the United States Attorney’s Office

§ 260 Role of Defense Counsel

§ 270 Coordination With Presentence/Post-Conviction Supervision Officers

§ 210 Introduction

Officers are responsible for conducting pretrial services supervision. However, supervision does not occur in a vacuum, and, for it to be effective, supervisors, specialists, and other agencies must also be involved.

§ 220 Role of the Chief and Deputy Chief

Chiefs and deputy chiefs are responsible for the quality of office operations. They are to establish performance standards in accordance with the principles of the Guide, Vol 8C, and create an environment that supports effective supervision. To accomplish this, the chief and the deputy are to:

(a) Secure Resources

Ensure that staff are hired, trained, and organized to perform pretrial services supervision effectively. The chief and deputy must also ensure that staff are provided adequate space, facilities, supplies, and equipment.

Last revised (Transmittal 08-005) April 6, 2011 http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Probation_and_Pretrial_Services_Transmittals.html

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(b) Establish Written Standards

Develop and maintain written local policies and procedures for supervising defendants and responding to violations that are consistent with the principles in the Guide, Vol 8C.

(c) Communicate Effectively

Ensure that all staff are familiar with national and local rules, policies, procedures, and philosophy and that the court is kept informed of the results of pretrial services supervision.

(d) Develop Programs

Ensure that community resources, such as halfway houses and drug, alcohol, and mental health treatment services, are identified and that appropriate contracts are in place to provide services needed to manage risk regardless of a defendant’s financial resources.

(e) Evaluate Operations

Monitor and evaluate the effectiveness of programs, policies, and procedures. Evaluation is a reciprocal process requiring input and feedback from staff and management to ensure effective supervision. Self-assessments and self-audits are good tools for gauging the office’s compliance with the Guide, Vol 8C, as well as establishing a baseline measurement for comparison with future assessments.

(f) Review Noncompliance Statistics

Annually, chiefs and deputies should review defendant noncompliance statistics to measure results against expectations and, where necessary, develop new strategies for facilitating and monitoring defendant compliance. District data should be shared with staff and policies reformulated when trends and outcomes indicate a need for change.

(g) Reinforce Principles

Develop ways to recognize officers who provide issue-driven supervision and produce results and identify the need for and provide refresher training.

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(h) Establish Effective Collaborative Relationships

Develop strong relationships with other court units, other districts, and other law enforcement, service, and community organizations.

(i) Enhance Public Relations

Reach out to the community to describe the mission and vision of pretrial services supervision to increase understanding of the work of the office and the results produced.

§ 230 Role of Supervisors

(a) Supervisors play a critical role in the supervision process and need to stay focused –– and help their officers stay focused –– on the supervision mission and the broader principles of public safety, the fair administration of justice, and the judicious use of officers’ authority.

(b) Supervisors’ specific roles in the supervision process are to:

(1) oversee the application of principles established by law and policy in each case, and work in partnership with officers to translate these principles into action;

(2) develop the professional skills of their officers; and

(3) facilitate the supervision function in their districts.

(c) Supervisors and officers engage in a collaborative case planning and evaluation process for the purpose of devising principled and effective plans for the individual defendant. The supervisor’s role in this process is to serve as mentor and professional colleague to the officer, sharing experience and expertise as they work together to assess the current supervision needs of the case.

(d) The case planning and evaluation process also provides an opportunity for supervisors to carry out their officer development responsibility by modeling excellence in supervision and reinforcing officer skills in such areas as:

(1) Ongoing individualized assessment;

(2) Clear communication of responsibilities and expectations;

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(3) Familiarity with common warning signs of potentially risky behavior;

(4) Crisis management;

(5) Familiarity with programs and supervision tools;

(6) Establishment of networks of collateral sources of information and service providers to assist in implementing the supervision plan;

and

(7) Time management and organizational skills necessary for implementing the principle of “working smart” (i.e., devoting the majority of time and office resources to the cases that need them most).

(e) Supervisors have additional opportunities to reinforce good supervision by assisting with difficult, non-responsive, or noncompliant defendants and by accompanying officers in the field.

(f) To facilitate the supervision process in their districts, supervisors should also:

(1) help identify the need for and develop community resources;

(2) advocate on behalf of supervision with others in office management; and

(3) consult both formally and informally on an ongoing basis with other supervisors and managers to ensure the equitable application of supervision practices across the district.

§ 240 Role of Senior Officers and Specialists

(a) Senior officers and specialists must be skilled officers as they are often called upon to supervise the most challenging cases within their areas of expertise. When serving in this role, specialists use their special training along with the multidimensional skills expected of all officers to improve the assessment and delivery of the appropriate level and type of supervision required in each case.

(b) Specialists are also to support officers by serving as consultants in their areas of expertise. This can include:

Guide to Judiciary Policy, Vol. 8C, Ch. 2 Page 5

(1) Maintaining up-to-date knowledge of research, techniques, and technologies in their areas of specialization;

(2) Partnering in the case assessment and planning process;

(3) Staffing responses to noncompliance;

(4) Developing and assessing the quality of community resources;

(5) Serving as liaison to other agencies;

(6) Training and mentoring;

(7) Formulating and updating local policies and procedures;

(8) Maintaining and monitoring supplies and equipment;

(9) Working closely with the contracting officer to ensure that appropriate goods and services are procured; and

(10) Remaining proactive in identifying needs within the district, which allows for more effective supervision strategies.

See also: Guide, Vol 8C, § 630.20 (Role of the Treatment Specialist) and Vol 8F, Ch 6 (Managing the Location Monitoring Program).

§ 250 Role of the United States Attorney’s Office

The United States attorney’s office should inform the pretrial services or probation office of any risk or danger issues regarding a defendant on pretrial services supervision and any interaction between investigators and law enforcement that could require a change in supervision conditions or strategies.

§ 260 Role of Defense Counsel

(a) Defense counsel should notify the court and pretrial services of changes in the defendant’s situation relevant to assessing the least restrictive conditions of release. They should also advise defendants of what they need to do to comply with release conditions and reporting requirements and keep defendants apprised of any case status and scheduling changes.

http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_C.html http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_F_Federal_Location_Monitoring_Program/Ch_6_Managing_the_Location_Monitoring_Program.html

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(b) Defense counsel are defendants’ advocates whose interest in the defendant’s success coincides with the desired outcomes of pretrial services supervision. They can therefore play a valuable role in reinforcing defendants’ understanding of their responsibility to adhere to release conditions.

§ 270 Coordination With Presentence/Post-Conviction Supervision Officers

(a) Upon plea or verdict, the probation officer assigned to prepare the presentence report will communicate with the officer who provided pretrial services supervision to acquire information relevant to further action in the case and remain in communication during the presentence process, including the period between the sentence and self-surrender to a facility.

(b) When a defendant is convicted and sentenced to probation, the post-conviction supervision officer is to work closely with the pretrial services supervision officer to gather information to assess relevant risk and strength factors and to provide continuity of services to effect a seamless transition.

Ch 3: The Conditions of Release

§ 310 Introduction

§ 320 Mandatory Conditions

§ 330 Additional Least Restrictive Conditions

§ 340 Risk Principle

§ 310 Introduction

Pretrial services supervision is a condition of release that may be imposed by the court when deemed, alone or in combination with other conditions, to be the least restrictive necessary to reasonably assure the appearance of the defendant and/or the safety of any other person or the community (18 U.S.C. § 3142). Officers are responsible for:

(a) recommending appropriate conditions of release until final disposition of a defendant’s case, and

(b) implementing, monitoring, and facilitating compliance with the conditions imposed. All recommendations are to comport with the “least restrictive” standard in view of each defendant’s current circumstances.

§ 320 Mandatory Conditions

Form AO199A (Order Setting Conditions of Pretrial Release) lists four mandatory conditions:

(a) The defendant must not commit any federal, state, or local crime while on release.

This condition is mandated at 18 U.S.C. § 3142(b) and (c)(1)(A).

(b) The defendant must cooperate in the collection of a DNA sample if the collection is authorized by 42 U.S.C. § 14135(a).

Last revised (Transmittal 08-005) April 6, 2011 http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Probation_and_Pretrial_Services_Transmittals.html http://www.law.cornell.edu/uscode/18/3142.html http://jnet.ao.dcn/Forms/AO_National_Forms/AO_199A.html http://www.law.cornell.edu/uscode/18/3142.html http://www.law.cornell.edu/uscode/42/14135a.html

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While probation and pretrial services offices would qualify as agencies that “supervise individuals facing charges,” the rule notes that “unless otherwise directed by the Attorney General, the collection of DNA samples may be limited to individuals from whom the agency collects fingerprints.”

As such, unless probation or pretrial services offices collect fingerprints, they will not be required to collect DNA samples from defendants. In most cases, the arresting agency or the United States Marshals Service will be responsible for collecting the sample. In the event that a sample was not collected, the mandatory condition of pretrial release requires the defendant to cooperate in any efforts by these agencies to obtain a sample.

(c) The defendant must immediately advise the court, defense counsel, and the United States attorney in writing before any change in address or telephone number.

(d) The defendant must appear in court as required and must surrender to serve any sentence imposed.

The Adam Walsh Child Protection and Safety Act of 2006 (“the Act”) took effect on July 27, 2006. The Act requires that a court impose electronic monitoring as a condition of pretrial release in any case that involves a minor victim under specific statutes as outlined in 18 U.S.C. § 3142.

§ 330 Additional Least Restrictive Conditions

Under 18 U.S.C. § 3142(c)(1)(B), the judicial officer may impose the least restrictive further conditions that will reasonably assure the appearance of the person as required and the safety of any other person and the community. This statute lists 14 possible conditions, including a general condition that the judicial officer may order any other condition that is reasonably necessary to assure the appearance of the person and the community's safety. These possible conditions are that the person:

(a) remain in the custody of a designated person, who agrees to assume supervision and to report any violation of a release condition to the court, if the designated person is able reasonably to assure the judicial officer that the person will appear as required and will not pose a danger to the safety of any other person or the community;

(b) maintain employment, or, if unemployed, actively seek employment;

(c) maintain or commence an educational program;

http://frwebgate.access.gpo.gov/cgi-bin/getdoc.cgi?dbname=109_cong_public_laws&docid=f:publ248.109.pdf http://www.law.cornell.edu/uscode/18/3142.html#c http://www.law.cornell.edu/uscode/18/3142.html#c_1_B

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(d) abide by specified restrictions on personal associations, place of abode, or travel;

(e) avoid all contact with an alleged victim of the crime and with a potential witness who may testify concerning the offense;

(f) report on a regular basis to a designated law enforcement agency, pretrial services agency, or other agency;

(g) comply with a specified curfew;

(h) refrain from possessing a firearm, destructive device, or other dangerous weapon;

(i) refrain from excessive use of alcohol, or any use of a narcotic drug or other controlled substance, as defined in section 102 of the Controlled Substances Act (21 U.S.C. § 802), without a prescription by a licensed medical practitioner;

(j) undergo available medical, psychological, or psychiatric treatment, including treatment for drug or alcohol dependency, and remain in a specified institution if required for that purpose;

(k) execute an agreement to forfeit upon failing to appear as required, property of a sufficient unencumbered value, including money, as is reasonably necessary to assure the appearance of the person as required, and shall provide the court with proof of ownership and the value of the property along with information regarding existing encumbrances as the judicial office may require;

(l) execute a bail bond with solvent sureties; who will execute an agreement to forfeit in such amount as is reasonably necessary to assure appearance of the person as required and shall provide the court with information regarding the value of the assets and liabilities of the surety if other than an approved surety and the nature and extent of encumbrances against the surety's property; such surety shall have a net worth which shall have sufficient unencumbered value to pay the amount of the bail bond;

(m) return to custody for specified hours following release for employment, schooling, or other limited purposes; and

(n) satisfy any other condition that is reasonably necessary to assure the appearance of the person as required and to assure the safety of any other person and the community.

http://www.law.cornell.edu/uscode/21/802.html

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§ 340 Risk Principle

(a) Research conducted on federal defendants confirmed the applicability of the risk principle to the pretrial services field. (See: M. VanNostrand and G. Keebler, “Pretrial Risk Assessment in the Federal Court,“ Federal Probation, September 2009.) The study considered the use of alternatives to detention–including those in the following list–and examined the effectiveness of alternatives to detention while considering risk:

(b) The research found:

(1) Lower-risk defendants released with alternatives to detention conditions were more likely to experience pretrial failure (failure to appear, new criminal activity, or technical violations resulting in revocation) when compared to defendants released without these conditions.

(2) Moderate- and higher-risk defendants released with alternatives to detention conditions were less likely to experience pretrial failure when compared to defendants released without these conditions.

See also: The Pew Center on the States, Putting Public Safety First: 13 Strategies for Successful Supervision and Reentry, December 2008.

http://www.uscourts.gov/viewer.aspx?doc=/uscourts/FederalCourts/PPS/Fedprob/2009-09/index.html http://www.pewcenteronthestates.org/uploadedFiles/13_strategies.pdf http://www.pewcenteronthestates.org/uploadedFiles/13_strategies.pdf

Ch 4: Assessment and Planning Process

§ 410 Introduction

§ 420 Supervision Assessment Period § 420.10 Investigate § 420.20 Assess Risk § 420.30 Determine Service Needs § 420.40 Prepare the Initial Supervision Plan

§ 430 Plan Implementation and Evaluation § 430.10 Implementation § 430.20 Evaluation

§ 440 Release Status Report

§ 410 Introduction

(a) The purpose of supervision planning is to create an evolving, individualized, outcome-based plan of action to monitor the defendant's compliance with the conditions of release and intervene as necessary to address any identified risks. The desired outcome in all cases is the successful completion of the term of supervision during which the defendant commits no new crimes, appears in court for all scheduled hearings, and complies with all other conditions of release.

(b) Individual defendants require varied levels of supervision to facilitate these goals. The officer’s role is to implement the least restrictive supervision strategies to appropriately monitor the conditions of release and address each defendant's particular risk factors. Research indicates that when unnecessary conditions of release are applied to low-risk defendants, the likelihood of pretrial success diminishes. See also:

Guide, Vol 8C, § 340 (Risk Principle). It is critical that supervision be individualized, proportional, and purposeful. This risk principle dictates that officer time and system resources be allocated to the highest risk cases.

Last revised (Transmittal 08-013) May 22, 2012 http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Probation_and_Pretrial_Services_Transmittals.html http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_C_Supervision_of_Federal_Defendants/Ch_3_The_Conditions_of_Release.html#340

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(c) The supervision process is an ongoing cycle of investigation, assessment, planning, implementation, and evaluation during which the officer is to:

(1) investigate and assess the risk issues in the individual case;

(2) in conjunction with the defendant, set specific objectives to be accomplished by the defendant;

(3) develop and implement appropriate supervision strategies;

(4) adjust swiftly and appropriately to any change in circumstances;

and

(5) evaluate the plan on an ongoing basis.

(d) Supervision planning is a fluid process. As the defendant's circumstances change, the officer should adjust the supervision plan and keep the court informed as appropriate. The plan is to be formally evaluated by officers and supervisors six months from the defendant's release and, in most cases, semi-annually thereafter.

(e) This chapter describes each element of this process, beginning with the investigation and concluding with the process for re-evaluating and modifying the case plan throughout the course of supervision. Although the process is presented in an ordered format (i.e., investigate � assess � plan � implement � evaluate), it is often, in reality, not "ordered" in implementation. For example, officers are to take steps at the time of the post-release intake interview — which occurs very early in the investigation — to implement some conditions of release, and they are to respond immediately to any conduct or condition of the defendant that relates to nonappearance or danger, regardless of when it occurs.

(f) The investigation and planning requirements in this chapter apply to all felony and Class A misdemeanor defendants who are being received for pretrial services supervision in the district of jurisdiction.

(g) Initial assessment activities in Class B or C misdemeanors and infractions are to be limited to review of the order of release, a brief interview with the defendant, and a criminal records check. (Note: Pretrial investigation reports are ordinarily not to be prepared for such cases, but, if one is available, it also should be reviewed.) The supervision plan in these cases is to consist of a chronological record entry to indicate: “This is a petty case that will be supervised under low-intensity supervision standards.”

Exceptions: No case plan for supervision is prepared in infraction cases. If

Guide to Judiciary Policy, Vol. 8C, Ch. 4 Page 3 the length and content of a Class B or C misdemeanant’s prior record, coupled with the nature of the instant offense, indicates that the defendant is violent or a sexual predator, officers should return the case to the regular assessment and planning track.

§ 420 Supervision Assessment Period

(a) The supervision planning process begins with an initial assessment period during which officers gather information, continue to assess defendants' risk factors, and develop an initial supervision plan. The plan is to be submitted for supervisory review within 30 calendar days after the defendant is released. Supervisors who agree with the plan as submitted will approve the plan. Otherwise, supervisors are to staff the case with the officer. By either method, the initial plan is to be approved within seven calendar days of its submission.

(b) These first 30 days of supervision are a time of intense supervision activity during which officers are to:

(1) review all available documentation;

(2) conduct a post-release intake interview with the defendant;

(3) assess the defendant's residence;

(4) develop and contact collateral sources;

(5) implement or take steps to implement restrictive or treatment conditions (e.g., drug testing, referral for treatment evaluations or placements) (see also: Guide, Vol 8C, Ch 6); and

(6) request modifications to the conditions of release as appropriate (e.g., if a third-party risk is identified, officers may need to recommend additional conditions as deemed necessary to manage that risk, such as restricting travel or personal associations or prohibiting contact with an alleged victim or witness).

§ 420.10 Investigate

(a) During the initial supervision investigation, the officer:

(1) reviews the Pretrial Risk Assessment, and http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_C_Supervision_of_Federal_Defendants/Ch_6_Supervision_of_Defendants_With_Treatment_Services_Needs.html

Guide to Judiciary Policy, Vol. 8C, Ch. 4 Page 4

(2) obtains information on the defendant’s conditions of release and risks of nonappearance and danger to the community.

The purpose is to ensure that each element of the subsequent assessment and case plan is based on complete and verified information.

This is particularly important in view of the severe time constraints — rarely more than days and often just hours — imposed on the prerelease investigation for the pretrial services report.

(b) To become knowledgeable about a defendant under supervision, officers should gather and review all available written material; conduct the post-release intake interview with the defendant; establish contact with third-party custodians, co-signers, and sureties as appropriate; and further investigate, verify, and supplement the information received.

§ 420.10.10 Review Written Materials

The purposes of this review are to gain an understanding of the defendant’s background, gather information about potential safety issues, assist in framing questions for interviews with the defendant and other collateral sources, and identify the issues that need to be addressed immediately. The materials to be reviewed include:

(a) Pretrial Risk Assessment;

(b) charging documents;

(c) conditions of release;

(d) defendant's pretrial services report;

(e) pretrial services reports of co-defendants (when feasible);

(f) summaries of previous substance abuse or mental health treatment, if available;

(g) past performance under any criminal justice supervision, if available; and

(h) prior presentence reports, if applicable.

§ 420.10.20 Conduct the Post-Release Intake Interview

(a) The purposes of this interview are to establish rapport with the defendant, obtain additional information, and establish initial expectations of the roles and responsibilities of the officer and the defendant. The intake interview

Guide to Judiciary Policy, Vol. 8C, Ch. 4 Page 5 sets the tone for the entire period of supervision. To facilitate understanding and cooperation, officers encourage questions, offer assistance, and maintain a neutral, approachable, and non-judgmental demeanor. During the interview with the defendant, the officer:

(1) reviews the requirements of each condition of release and clarifies the potential consequences of any noncompliance with release conditions;

(2) provides specific information about the boundaries of any travel restrictions and how to seek permission to travel;

(3) when applicable, advises the defendant of any third-party custodian's legal obligations (i.e., that the custodian has agreed to monitor the defendant's compliance with the court-ordered conditions of release and to notify the court and/or pretrial services of any instances of noncompliance, and that a custodian who fails to live up to these obligations faces contempt of court proceedings);

(4) when applicable, discusses the responsibilities of co-signers so that the defendant is well-informed as to the potential consequences for the co-signer/surety if the defendant fails to appear in court or flees prosecution;

(5) identifies circumstances of potential risk, but does not discuss the alleged offense;

(6) discusses any potential obstacles to the defendant's compliance with release conditions and how to address them;

(7) discusses the dates of all known scheduled court appearances;

(8) discusses employment, finances, family, and any social service needs, and provides or offers assistance when appropriate;

(9) identifies additional collateral sources of information related to the defendant’s supervision (e.g., family members, significant others, treatment providers);

(10) informs the defendant that a home assessment (see: Guide, Vol 8C, § 520.20 (Home Contacts)) will be conducted, describes what that entails, and clarifies that additional home contacts may be made during the course of supervision;

http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_C_Supervision_of_Federal_Defendants/Ch_5_Selecting_and_Executing_Supervision_Strategies.html#520_20 http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_C_Supervision_of_Federal_Defendants/Ch_5_Selecting_and_Executing_Supervision_Strategies.html#520_20

Guide to Judiciary Policy, Vol. 8C, Ch. 4 Page 6

(11) executes conditions when possible, e.g., obtains (or gives a date for surrender of) the passport, collects a urine specimen, and refers the defendant to treatment with specific instructions as to when, where, and to whom the defendant is to report;

(12) completes and gives the defendant a copy of the Pretrial Release Reporting Instructions ( Form PS 7);

(14) requests that the defendant sign release of information or acknowledgment forms as appropriate (e.g., Form PS 6, Authorization to Release Information to PTS Officer; Form PS 6B, Authorization to Release Confidential Information – Drug or Alcohol Abuse Programs); and

(15) takes a photograph of the defendant (digital preferred) if one is not already available.

(b) The officer records the post-release intake interview in the chronological record. The record should clearly yet concisely document the following:

(1) The defendant has a copy of the conditions of release;

(2) The requirements of each condition were reviewed with the defendant;

(3) The defendant acknowledged an understanding of the conditions;

(4) The defendant acknowledged an understanding of the consequence of noncompliance;

(5) The defendant was instructed when to report and provided a copy of the Form PS 7;

(6) The defendant was advised of all known court dates;

(7) Conditions of release were executed (e.g., urine sample taken);

(8) Instructions relevant to other conditions were provided (if applicable); and

(9) Obstacles were identified and discussed.

http://jnet.ao.dcn/Forms/Probation_and_Pretrial_Services_Forms/PS_07.html http://jnet.ao.dcn/Forms/AO_National_Forms/AO_199A.html http://jnet.ao.dcn/Forms/AO_National_Forms/AO_199B.html http://jnet.ao.dcn/Forms/Probation_and_Pretrial_Services_Forms/PS_06.html http://jnet.ao.dcn/Forms/Probation_and_Pretrial_Services_Forms/PS_06B.html http://jnet.ao.dcn/Forms/Probation_and_Pretrial_Services_Forms/PS_07.html

Guide to Judiciary Policy, Vol. 8C, Ch. 4 Page 7

(c) The purpose of this entry is to document the post-release intake interview and so should not include a description of the Initial Appearance Hearing, a summary of the pretrial services report, or the release conditions themselves.

§ 420.10.30 Establish Contact with Third-Party Custodians or Co-Signers, When Applicable

(a) The officer should conduct a criminal record check on third-party custodians (if one is not already available) and make contact with them to establish rapport; be sure they understand their legal obligations and duties to the court and are aware of their potential exposure to contempt of court proceedings; and clarify respective roles in the supervision process. Officers should also discuss the process that the custodian is to use to report to the court and pretrial services in the event of any violation of the conditions of release.

(b) Officers should also establish a mechanism for co-signers or sureties to contact pretrial services if they have information related to noncompliance or if they are considering removing themselves as surety. Because co signers or sureties may have much at stake if the defendant fails to appear, officers should have ongoing contact with them during the supervision process and ensure that any modification of the conditions of release that materially alters the risk of forfeiture is agreed to by the surety.

§ 420.10.40 Further Investigate, Verify, and Supplement Information

(a) The officer should gather, verify, and supplement information that was unknown, unverified, or incomplete at the time of the release hearing and that may be relevant to the court's ongoing pretrial release decision and/or the effective implementation of pretrial services supervision. This includes ongoing pursuit of sources of information unavailable at the time of initial appearance that may have a bearing on the release decision or effective supervision (e.g., criminal history records, presentence reports, or treatment records), but does not include pursuit of additional information that clearly has no such bearing (e.g., school records from 30 years earlier).

(b) Conduct a home assessment

See also: Guide, Vol 8C, § 520.20 (Home Contacts). The purposes of a home assessment are to verify residence; to gather information regarding the residence and its occupants; to encourage and answer questions http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_C_Supervision_of_Federal_Defendants/Ch_5_Selecting_and_Executing_Supervision_Strategies.html#520_20

Guide to Judiciary Policy, Vol. 8C, Ch. 4 Page 8 about the supervision and criminal justice process; to develop collateral sources; and to observe for potential safety hazards. The home assessment is not a search, but may be intrusive for the occupants of the residence. It is therefore particularly important that officers take care to treat occupants with respect during this process.

(c) Continue to verify and supplement the criminal history

Officers should continue to verify the defendant's prior record and explore aspects of…