Attachment_2_-_Part_E.pdf

Guide to Judiciary Policy

Vol 8: Probation and Pretrial Services

Pt E: Supervision of Federal Offenders (Monograph 109)

Ch 1: Overview

§ 110 Purpose

§ 120 Applicability

§ 130 Scope

§ 140 Philosophy

§ 150 Desired Outcomes and Goals of Supervision

§ 160 Authority § 160.10 Statutory Purposes for Terms of Supervision § 160.20 Statutory Duties of Probation Officers

§ 170 Principles of Good Supervision

§ 180 Supporting the Supervision Process § 180.10 Senior Officers and Specialists § 180.20 Substance Abuse and Mental Health Treatment Specialists § 180.30 Supervisors § 180.40 Deputy Chief and Chief Probation Officer

§ 190 Confidentiality and Disclosure § 190.10 File Information Release (Probation and Supervised Release Cases) § 190.20 File Information Release (Parole Cases) § 190.30 Third-Party Risk Disclosure (Probation and Supervised Release Cases) § 190.40 Third-Party Risk Disclosure (Parole Cases) § 190.50 HIV/AIDS Disclosure

Appendices

Appx 1A Key Legislation and Court Decisions Affecting Supervision Appx 1B Supervised Release Revocation Provisions

Last revised (Transmittal 08-016) June 20, 2012 http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_1_Overview/Appx_1A.html http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_1_Overview_pdf/Appx_1B.html http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Probation_and_Pretrial_Services_Transmittals.html

Guide to Judiciary Policy, Vol. 8E, Ch. 1 Page 2

§ 110 Purpose

Part E: Supervision of Federal Offenders (Monograph 109) is designed to provide United States probation officers with guidance in supervising offenders conditionally released to the community by the United States district courts or paroling authorities on probation, parole, or supervised release.

§ 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

This part addresses the following areas:

§ 140 Philosophy

(a) As a component of the federal judiciary’s responsibility for community corrections, the federal probation and pretrial services system is fundamentally committed to protecting the public and assisting in the fair administration of justice.

(b) United States probation officers are community corrections professionals who serve as officers of the court and as agents of the United States Parole Commission. They are responsible for the supervision of persons conditionally released to the community by the courts, the Parole Commission, the Federal Bureau of Prisons, and military authorities.

Officers recommend and implement conditions of release and monitor offenders’ compliance with those conditions. Officers also work with offenders to facilitate their reintegration into the community as law-abiding and productive members of society.

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Guide to Judiciary Policy, Vol. 8E, Ch. 1 Page 3

(c) Supervision is a dynamic process throughout which officers are to keep informed and — consistent with the conditions of release and individual circumstances — intervene with strategies designed to manage risk and provide offenders with the tools and social services they may require to improve their conduct and condition. It is through such intervention in higher-risk cases that officers further the goal of public safety during the period of supervision and beyond.

(d) Officers carry out these responsibilities by assessing the risks, needs, and strengths of each offender to determine the appropriate level of supervision. They use skills from various disciplines to simultaneously monitor and, as necessary, control and correct offender behavior. These include the investigative skills of law enforcement and the treatment and service-delivery skills of social workers. Investigative skills are used for the primary purpose of planning for success rather than documenting failure.

The primary focus of treatment and service-delivery skills is to improve circumstances that are linked to criminal behavior (e.g., substance abuse, mental health, employment, education, and family and community support).

(e) The community is best served when positive behavioral changes are integrated into an offender’s daily living. Research indicates that offender success, and consequently the reduction of risk to the community, is contingent upon improvement in key areas of an offender’s life. These key areas, also known as criminogenic needs (see: § 140 (g) (The '"Big Six" Criminogenic Needs)) are dynamic risk factors that, when addressed, affect the offender’s likelihood to engage in future criminal activity.

Criminogenic needs include low self-control, anti-social personality, antisocial values and beliefs, criminal peers, substance abuse, and dysfunctional family. For example, sobriety is one factor that can positively affect supervision outcomes when addressed as part of a broader, integrated supervision plan. Although improving an offender’s mental health status does not directly impact recidivism, and hence is not a criminogenic need, there is an ethical responsibility to assist in the improvement of an individual’s stability and ability to function in a deinstitutionalized setting. (See also: F. Taxman, “Assessment With a Flair: Offender Accountability in Supervision Plans,” Federal Probation, Vol. 70, No. 2, 2006.)

(f) Officers maintain awareness of the behavior of those they supervise and, depending on the circumstances and conditions of the case, implement restrictive and correctional strategies to encourage pro-social behavior and facilitate positive change. This multidimensional role does not mean that each officer is expected to be an expert in all areas. Rather, officers http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_1_Overview.html#140 http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_1_Overview.html#140 http://www.uscourts.gov/viewer.aspx?doc=/uscourts/FederalCourts/PPS/Fedprob/2006-09/index.html http://www.uscourts.gov/viewer.aspx?doc=/uscourts/FederalCourts/PPS/Fedprob/2006-09/index.html

Guide to Judiciary Policy, Vol. 8E, Ch. 1 Page 4 are to serve as participating case managers, aware of the strengths and limitations of their role and knowledgeable of the range of expertise available in their offices and communities.

§ 140(g) The "Big Six" Criminogenic Needs

(1) Low Self-Control The inability to control one's own behavior has been directly linked to crime. Offenders are more likely to commit illegal acts when they lack the ability to control impulses.

(2) Anti-Social Personality Certain personality traits are another factor that has been directly linked to criminality. Offenders who display anti-social personality traits often will not care how their actions affect others, and therefore they may not feel any remorse for what they have done.

(3) Anti-Social Values Anti-social values allow offenders to disassociate themselves not only from the community but from the values and norms of the community. These types of attitudes help offenders retreat from their surroundings to be alone with their thoughts and ideas while having minimal interaction with others within the community who are not engaged in criminal conduct.

(4) Criminal Peers Associating with other criminals increases the likelihood of an offender's recidivating.

(5) Substance Abuse Research has shown that there is a relationship between substance abuse and criminal behavior. Continued substance abuse is an illegal act itself for offenders on supervision.

(6) Dysfunctional Family If an offender comes from a dysfunctional family, the offender is more likely to be in a setting where he or she can learn criminal or substance abuse behaviors.

§ 150 Desired Outcomes and Goals of Supervision

(a) The desired outcomes of supervision are the execution of the sentence and the protection of the community by reducing the risk and recurrence of crime and maximizing offender success during the period of supervision and beyond. The goal in all cases is the successful completion of the term of supervision, during which the offender commits no new crimes; is held

Guide to Judiciary Policy, Vol. 8E, Ch. 1 Page 5 accountable for victim, family, community, and other court-imposed responsibilities; and prepares for continued success through improvements in his or her conduct and condition.

(b) “Continued success” within the context of the criminal justice mission is refraining from further crime. Offenders “prepare for continued success” during the term of supervision by actively dealing with those circumstances that relate to future criminality.

(c) The federal supervision model (see: § 150(h) (Desired Outcomes)) is founded on the conditions of release (see: Guide, Vol 8E, Ch 2) and comprised of both controlling and correctional strategies consistent with those conditions that are sufficient, but no greater than necessary, to facilitate achievement of the desired outcomes.

(d) The officer’s responsibility within this model is to assess and manage risk by engaging in an ongoing process of investigation, assessment, planning, implementation, and evaluation that will start at or — for offenders coming from prison — before the beginning of the term of supervision and continue throughout the course of supervision. See:

Guide, Vol 8E, Ch 3.

(e) The purpose of this ongoing planning and evaluation process is to:

(1) assess the offender’s current level of risk to community safety or of otherwise not complying with the conditions of release;

(2) use this information to develop a blend of controlling and correctional risk-management strategies appropriate to the level and type of any risk identified (see: Guide, Vol 8E, Ch 4); and

(3) revise the plan as necessary based on an evaluation of the offender’s conduct and progress towards desired outcomes.

(f) Controlling strategies serve the dual purpose of:

(1) maintaining awareness of an offender’s activities; and

(2) encouraging compliance.

(g) Correctional strategies are designed to provide the offender with additional information, skills, resources, and treatment for the purpose of facilitating positive behavioral change during the period of supervision and beyond. This two-pronged approach is also used to respond to any http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_1_Overview.html#150 http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_2_Conditions_of_Supervision.html http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_3_Supervision_Assessment_and_Planning_Process.html http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_4_Selecting_and_Implementing_Strategies.html

Guide to Judiciary Policy, Vol. 8E, Ch. 1 Page 6 noncompliance with the conditions of supervision, simultaneously providing a negative consequence designed to deter further noncompliance and intervening to change the circumstances that led to the behavior. See: Guide, Vol 8E, Ch 6.

(h) The desired outcomes and goals of federal supervision are derived from the purposes to be served by the sentence imposed. See: § 160.10 (Statutory Purposes for Terms of Supervision) and § 160.20 (Statutory Duties of Probation Officers). The last two sections of this first chapter present principles of good supervision (see: § 170) and an overview of the roles of specialists, supervisors, and managers in supporting supervision goals (see: § 180).

§ 160 Authority

§ 160.10 Statutory Purposes for Terms of Supervision

§ 160.10.10 Probation (18 U.S.C. § 3561; U.S.S.G. Chapter 5, Part B)

The Sentencing Reform Act, applicable to offenders who committed their offenses on or after November 1, 1987, made probation a sentence in its own right rather than the http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_6_Managing_Noncompliant_Behavior.html http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_1_Overview.html#160_10 http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_1_Overview.html#160_10 http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_1_Overview.html#160_20 http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_1_Overview.html#160_20 http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_1_Overview.html#170 http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_1_Overview.html#180 http://www.law.cornell.edu/uscode/text/18/3561

Guide to Judiciary Policy, Vol. 8E, Ch. 1 Page 7 means by which the imposition or execution of a sentence to imprisonment is suspended. (Note: For a summary of legislative landmarks affecting supervision responsibilities, see: Appx 1A.) Probation is one of several options that a court, subject to sentencing guidelines, may impose to meet the following sentencing purposes set forth at 18 U.S.C. § 3553(a)(2):

(a) to reflect the seriousness of the offense, to promote respect for the law, and to provide just punishment for the offense;

(b) to afford adequate deterrence to criminal conduct;

(c) to protect the public from further crimes of the defendant; and

(d) to provide the defendant with needed education or vocational training, medical care, or other correctional treatment in the most effective manner.

§ 160.10.20 Supervised Release (18 U.S.C. § 3583; U.S.S.G. Chapter 5, Part D)

(a) Supervised release is a sentence to a term of community supervision to follow a period of imprisonment. It is available for all offenders who committed their crimes on or after November 1, 1987, the effective date of the Sentencing Reform Act. (Note: In addition, under the Anti-Drug Abuse Act of 1986, certain drug offenses committed on or after October 27, 1986, were subject to the mandatory imposition of terms of supervised release. See Gozlon-Peretz v. United States (89-7370), 498 U.S. 395 (1991).) Unlike regular parole, supervised release is not a form of early release from prison, but rather a separate sentence imposed in addition to the sentence to imprisonment.

(b) The court must impose a term of supervised release for first-time domestic violence offenders (18 U.S.C. § 3583(a)), for sex offenders as described in 18 U.S.C. § 3583(k), and for certain drug offenders (see:

Appx 1B). The court may, subject to sentencing guidelines, impose supervised release in other cases, giving consideration to the need for the sentence to meet the following purposes as set forth at 18 U.S.C.

§ 3583(c):

(1) the nature and circumstances of the offense and the history and characteristics of the defendant;

(2) the need for the sentence imposed to:

(A) afford adequate deterrence to criminal conduct;

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(B) protect the public from further crimes of the defendant; and

(C) provide the defendant with needed educational or vocational training, medical care, or other correctional treatment in the most effective manner;

(3) the kinds of sentence and the sentencing range established for —

(A) the applicable category of offense committed by the applicable category of defendant as set forth in the guidelines —

(i) issued by the Sentencing Commission pursuant to section 994(a)(1) of title 28, United States Code, subject to any amendments made to such guidelines by act of Congress (regardless of whether such amendments have yet to be incorporated by the Sentencing Commission into amendments issued under section 994(p) of title 28); and

(ii) that, except as provided in section 3742(g), are in effect on the date the defendant is sentenced; or

(B) in the case of a violation of probation or supervised release, the applicable guidelines or policy statements issued by the Sentencing Commission pursuant to section 994(a)(3) of title 28, United States Code, taking into account any amendments made to such guidelines or policy statements by act of Congress (regardless of whether such amendments have yet to be incorporated by the Sentencing Commission into amendments issued under section 994(p) of title 28);

(4) any pertinent policy statement —

(A) issued by the Sentencing Commission pursuant to section 994(a)(2) of title 28, United States Code, subject to any amendments made to such policy statement by act of Congress (regardless of whether such amendments have yet to be incorporated by the Sentencing Commission into amendments issued under section 994(p) of title 28); and

(B) that, except as provided in section 3742(g), is in effect on the date the defendant is sentenced.

Guide to Judiciary Policy, Vol. 8E, Ch. 1 Page 9

(5) the need to avoid unwarranted sentence disparities among defendants with similar records who have been found guilty of similar conduct; and

(6) the need to provide restitution to any victims of the offense.

(c) Consistent with the determinate sentencing system ushered in by the Sentencing Reform Act, punishment is not a purpose to be considered in the imposition of a discretionary term or of the conditions of any term of supervised release: This objective is to have been addressed in full by the imprisonment portion of the sentence.

§ 160.10.30 Parole and Mandatory Release (18 U.S.C. § 4201 et seq (repealed))

For the United States Parole Commission rules and procedures that apply to United States probation officers’ supervision of federal parolees, see: United States Parole Commission’s Rules and Procedures Manual.

Note: The terms "parole" or "parolee" are used throughout Guide, Vol 8E to refer to all offenders under the jurisdiction of the Parole Commission, regardless of the specific form of release.

(a) Federal Offenders

(1) Regular parole and mandatory release are forms of early release from prison through the exercise of discretion by the United States Parole Commission and the operation of the good-time laws that were in effect before the Sentencing Reform Act.

(Note: In addition, certain pre-Sentencing Reform Act drug offenders were subject to mandatory add-on "special parole terms" to follow the term of imprisonment. These were replaced by mandatory terms of supervised release. See: Appx 1B.)

(2) These terms are distinguished from either probation or supervised release in that parolees and mandatory releasees remain in the legal custody of the Attorney General, serving a portion of their sentence of imprisonment in the community. The purposes to be served are thus identical to those for the original sentence.

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(b) Military Offenders

(1) Since 1946, at the request of the now-defunct War Department, the federal probation system has supervised all military prisoners released on parole from United States disciplinary barracks and military prisoners who are confined to Federal Bureau of Prisons facilities. Parolees released from military prisons are under the general jurisdiction of the Department of Defense and the specific jurisdiction of each Clemency and Parole Board of the Departments of the Army, Air Force, and Navy. Military prisoners released from Federal Bureau of Prisons facilities are under the jurisdiction of the United States Parole Commission.

(2) On July 17, 2001, the Department of Defense amended its regulations to authorize mandatory supervised release for all prisoners who otherwise would be released from custody at their minimum release date without the benefit of supervision except where it is determined by the Service Clemency and Parole Boards to be inappropriate. The Department of Defense concluded that supervised release supervision of prisoners not granted parole prior to their minimum release date is a highly effective technique to provide an orderly transition to civilian life for released prisoners and to protect better the communities into which such prisoners are released.

(3) The Department of Defense policy also authorizes the United States Parole Commission to place Federal Bureau of Prisons military prisoners who are given early release through good-time credits under mandatory supervision "as if on parole." The United States Parole Commission revised its regulation to authorize supervision for military mandatory releasees under its jurisdiction.

The policies of the Department of Defense and United States Parole Commission are not retroactive and therefore only affect military prisoners who have approved findings of guilt for offenses that occurred on or after August 16, 2001. See: Memorandum of Understanding between the Department of Defense and the Administrative Office of the United States Courts; Department of Defense Instruction Number 1325.7, "Administration of Military Correctional Facilities and Clemency and Parole Authority," July 17, 2001.

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(c) D.C. Offenders

(1) On August 5, 2000, the Parole Commission assumed responsibility for D.C. Code offenders who are on parole or who are serving a term of supervised release imposed by the Superior Court of the District of Columbia. (Note: These responsibilities were transferred under the National Capital Revitalization and Self-Government Improvement Act of 1997 and the Sentencing Reform Emergency Amendment Act of 2000 (D.C. Code 24-133(c)(2).)

(2) United States probation officers have responsibility for supervising D.C. Code offenders under the jurisdiction of the Parole Commission who are released to districts outside of the D.C.

metropolitan area or who are serving mixed U.S. and D.C. Code sentences (18 U.S.C. §§ 3655 and 4203(b)(4)).

§ 160.10.40 Conditional Release (18 U.S.C. §§ 4243 and 4246)

(a) The Federal Courts Administration Act of 1992 authorized probation officers to supervise persons conditionally released under the provisions of 18 U.S.C. §§ 4243 (Hospitalization of a Person Not Found Guilty By Reason of Insanity) and 4246 (Hospitalization of a Person Found Guilty and Due for Release but Suffering from a Mental Disease or Defect).

Unlike probation, supervised release, or parole, conditional release is a civil rather than criminal form of supervision.

(b) The Federal Bureau of Prisons may petition the court for the release of an individual under a prescribed regimen of medical, psychiatric, or psychological care. Under 18 U.S.C. §§ 4243(f)(2) and 4246(e)(2), the court may order a conditional release upon finding that, under the prescribed regimen of care, the person no longer creates a substantial risk of bodily injury to another person or serious damage to the property of another. (For additional information on conditional release, see: Guide, Vol 8E, Ch 2 and Appx 2C.)

§ 160.10.50 Juvenile Supervision (18 U.S.C. § 5037)

For the authority for supervising juveniles, see: Guide, Vol 8J, § 230.10 (Juvenile Disposition Options).

§ 160.20 Statutory Duties of Probation Officers

(a) The statutory duties of probation officers are set forth at 18 U.S.C. § 3603.

http://www.law.cornell.edu/uscode/18/3655.html http://www.law.cornell.edu/uscode/18/4203.html#b_4 http://www.law.cornell.edu/uscode/18/4243.html http://www.law.cornell.edu/uscode/18/4246.html http://www.law.cornell.edu/uscode/18/4243.html http://www.law.cornell.edu/uscode/18/4243.html http://www.law.cornell.edu/uscode/18/4246.html http://www.law.cornell.edu/uscode/18/4246.html http://www.law.cornell.edu/uscode/18/4243.html#f_2 http://www.law.cornell.edu/uscode/18/4246.html#e_2 http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_2_Conditions_of_Supervision.html http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_2_Conditions_of_Supervision.html http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_2_Conditions_of_Supervision_pdf/Appx_2C.html http://www.law.cornell.edu/uscode/18/5037.html http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Pt_J_Juveniles/Ch_2_Juvenile_Proceedings_Case_Management_and_Confidentiality.html#230_10 http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Pt_J_Juveniles/Ch_2_Juvenile_Proceedings_Case_Management_and_Confidentiality.html#230_10 http://www.law.cornell.edu/uscode/text/18/3603

Guide to Judiciary Policy, Vol. 8E, Ch. 1 Page 12

They require officers to instruct, monitor, assist, and report on probationers and supervised releasees; to provide supervision of any probationer or supervised releasee known to be in the district and of persons on conditional release; and to assist in the supervision of offenders in the community under the custody of the Federal Bureau of Prisons. Specifically, this statute requires a probation officer to:

(1) instruct a probationer or a person on supervised release, who is under his or her supervision, as to the conditions specified by the sentencing court, and provide him or her with a written statement clearly setting forth all such conditions;

(2) keep informed, to the degree required by the conditions specified by the sentencing court, as to the conduct and condition of a probationer or a person on supervised release, who is under his or her supervision, and report his or her conduct and condition to the sentencing court (Note: In practice, the report is made to the court with jurisdiction over the offender, which may be different from the sentencing court if jurisdiction has been transferred.);

(3) use all suitable methods, not inconsistent with the conditions specified by the court, to aid a probationer or a person on supervised release who is under his or her supervision, and to bring about improvements in his or her conduct and condition;

(4) be responsible for the supervision of any probationer or a person on supervised release who is known to be within the judicial district;

(5) keep a record of his or her work, and make such reports to the Director of the Administrative Office of the United States Courts as the Director may require;

(6) upon request of the Attorney General or his or her designee, assist in the supervision of and furnish information about, a person within the custody of the Attorney General while on work release, furlough, or other authorized release from his or her regular place of confinement, or while in prerelease custody under the provisions of section 3624(c);

(7) keep informed concerning the conduct, condition, and compliance with any condition of probation, including the payment of a fine or restitution of each probationer under his or her supervision and report thereon to the court placing such person on probation and report to the court any failure of a probationer under his or her http://www.law.cornell.edu/uscode/18/3624.html#c

Guide to Judiciary Policy, Vol. 8E, Ch. 1 Page 13 supervision to pay a fine in default within 30 days after notification that it is in default so that the court may determine whether probation should be revoked;

(8) when directed by the court, and to the degree required by the regimen of care or treatment ordered by the court as a condition of release, keep informed as to the conduct and provide supervision of a person conditionally released under the provisions of 18 U.S.C. §§ 4243 or 4246, and report such person's conduct and condition to the court ordering release and to the Attorney General or his or her designee; and immediately report any violation of the conditions of release to the court and the Attorney General or his or her designee.

(b) This statute also requires officers to perform any other duty that the court may designate and, if approved by the district court, authorizes officers to carry firearms under such rules and regulations as are promulgated by the Director of the Administrative Office of the United States Courts.

(c) A probation officer’s duties are expanded to the parole population by 18 U.S.C.§ 4203 (which provides the Parole Commission with the power to request probation officers to provide services deemed necessary for maintaining proper supervision of and assistance to parolees); and § 3655 (which requires that probation officers perform their instructing, monitoring, assisting, and reporting duties with respect to persons on parole as requested by the Parole Commission).

§ 170 Principles of Good Supervision

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

(a) Individualized

Good supervision is tailored to the risks, needs, and strengths presented by the individual offender as determined by careful assessment of each case.

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(b) Proportional

Supervision monitoring and intervention strategies are to involve no greater deprivations of liberty or property than are reasonably necessary to address relevant sentencing purposes. (Note: This principle is consistent with 18 U.S.C. §§ 3563(b) and 3583(d), which set forth standards for imposing discretionary conditions of probation or supervised release. See also: Guide, Vol 8E, Ch 2.) Supervision programs and tools are to be used when, but only when, they are the least intrusive means necessary to facilitate supervision goals.

(c) Purposeful

Initial and subsequent supervision planning should develop specific goal-directed objectives to be accomplished by this offender during the term of supervision and the strategies that the officer will undertake to monitor compliance and facilitate the accomplishment of those objectives. Every supervision contact should be integral to implementing the overall supervision strategies and have a purpose that is directly related to case objectives and the offender's level and type of risk.

(d) Multidimensional

Good supervision of higher-risk cases requires the concurrent implementation of multiple intervention strategies that apply the skills from a variety of disciplines to address the level and type of risk presented by the individual offender, build on an offender's strengths, and provide offenders with incentives to change.

(e) Proactive in Implementation

Officers must be aware of changes in offenders' circumstances throughout the period of supervision and actively engage in assessing the impact of any changes on the appropriate level and type of supervision.

This cannot usually be done solely from the office or with information provided by the offender alone. Officers should independently assess an offender's circumstances through field and collateral contacts at a level appropriate to the issues in the individual case.

(f) Responsive to Changes

Officers are to adjust supervision as required on an ongoing basis to intervene with controlling and correctional strategies to address indications of heightened risk or to respond to behaviors that do not http://www.law.cornell.edu/uscode/18/3563.html#b http://www.law.cornell.edu/uscode/18/3563.html#d http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_2_Conditions_of_Supervision.html

Guide to Judiciary Policy, Vol. 8E, Ch. 1 Page 15 comply with the conditions of release. Response to noncompliance should be purposeful and proportionate, certain and timely, realistic and escalating; and should include elements designed to both provide a negative consequence for the behavior and to change the circumstances that led to the noncompliance. On the other hand, there is a rebuttable presumption that the intrusiveness and frequency of supervision activities will be reduced over time for stable, compliant offenders who are meeting their supervision objectives.

§ 180 Supporting the Supervision Process

(a) The supervision of offenders is the most resource-intensive and publicly visible service provided by the federal probation system. Probation officers are the system's most visible representatives and are charged with directly implementing supervision policies. Guide, Vol 8E, Ch 3, Ch 4, and Ch 5 set forth those policies and are specifically aimed at providing officers with guidance to carry out their supervision responsibilities.

(b) Officers, however, do not operate in a vacuum and need a strong supervision infrastructure to support these expectations. Management at the district and national levels must be committed in word and action to excellence in supervision and to the principles set forth in Guide, Vol 8E.

Everyone in the system has a significant role to play, and these roles need to be clearly defined and understood.

§ 180.10 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, which include:

(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;

http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_3_Supervision_Assessment_and_Planning_Process.html http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_4_Selecting_and_Implementing_Strategies.html http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_5_Supervision_of_Offenders_With_Treatment_Services_Needs.html

Guide to Judiciary Policy, Vol. 8E, Ch. 1 Page 16

(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; and

(9) Purchasing and contracting.

§ 180.20 Substance Abuse and Mental Health Treatment Specialists

For a detailed description of the role of the treatment specialist, see: Guide, Vol 8E, § 530.20.

§ 180.30 Supervisors

(a) Supervisors play a critical role in the supervision process and are to stay focused — and help their officers stay focused — on the desired outcomes of supervision and the broader principles of long-term public safety, the fair administration of justice, and the judicious use of officers’ authority.

(b) The supervisor’s 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.

(Note: For guidance on the supervisor's responsibility for evaluating the work of officers and documenting and responding to sub-par performance, see: Quality Performance Management. The guidance in Part E emphasizes other aspects of the supervisor's multidimensional role.)

(c) Supervisors and officers engage in a collaborative process of case planning and evaluation for the purpose of devising principled and effective plans for the individual offender. The supervisor's role in this http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_5_Supervision_of_Offenders_With_Treatment_Services_Needs.html#530_20 http://jnet.ao.dcn/Guide/Vol_8_Probation_and_Pretrial_Services/Part_E_Supervision_of_Federal_Offenders/Ch_5_Supervision_of_Offenders_With_Treatment_Services_Needs.html#530_20 http://jnet.ao.dcn/img/assets/5117/Quality_Performance_Management_109a.pdf

Guide to Judiciary Policy, Vol. 8E, Ch. 1 Page 17 process is to serve as mentor and professional colleague to the officer 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 coaching or reinforcing officer skills in such areas as:

(1) Ongoing individualized assessment;

(2) Clear communication of responsibilities and expectations;

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

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

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

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

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

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

Guide to Judiciary Policy, Vol. 8E, Ch. 1 Page 18

§ 180.40 Deputy Chief and Chief Probation Officer

(a) The deputy chief and the chief are directly responsible for the quality of offender supervision in the district. Managers must affirmatively support supervision goals in a manner that is highly visible to the staff. Diverse managerial responsibilities may divert attention from supervision. To ensure adequate attention to supervision, managers should:

(1) Properly allocate resources to the supervision function, including senior management oversight for assurance of quality and consistency of practices across the district;

(2) Communicate with judicial officers to advocate on behalf of supervision and ensure that the court is aware of how the special conditions it imposes affect supervision processes and outcomes;

(3) Develop strong relationships with other court units;

(4) Develop strong relationships with other law enforcement, service, and community organizations; and

(5) Promote field-based supervision.

(b) In addition, it is the joint responsibility of administrators at the district and national level to further facilitate excellence in supervision by keeping abreast of the latest research and its implications for effective supervision and by providing:

(1) Clear expectations and reinforcement of roles and performance;

(2) Consistent, informed, up-to-date, written supervision policies and procedures that are easily accessible to all staff;

(3) Effective case planning and evaluation tools;

(4) A variety of quality correctional programs and supervision tools from which officers may select;

(5) Effective training in investigation, assessment, planning, and supervision implementation skills;

(6) Effective safety training and tools for implementing field supervision; and

Guide to Judiciary Policy, Vol. 8E, Ch. 1 Page 19

(7) Recognition and reward of innovative supervision programs.

§ 190 Confidentiality and Disclosure

See also: Legal opinion, AO Office of the General Counsel, undated, on Confidentiality of Pretrial Services, Presentence, and Supervision Release Information.

§ 190.10 File Information Release (Probation and Supervised Release Cases)

(a) While a defendant may retain a copy of his or her presentence report under Rule 32(e) of the Federal Rules of Criminal Procedure, probation and supervised release files are under the court’s jurisdiction.

(b) Disclosure of the content of the files is the prerogative of the court.

(c) The court has a need for a free flow of information regarding the conduct of persons under supervision.

(d) The probation officer maintains files for the primary purpose of reporting to the court on the conduct and condition of probationers and supervised releasees and to aid persons under supervision to bring about improvements in their conduct and condition.

(e) Persons, including the offender, who provide information to the officer should feel secure in giving information and know that it will be used primarily by the court.

(f) Indiscriminate dissemination of information should be avoided.

§ 190.10.10 Requests By Individuals Under FOIA or Privacy Act

(a) Records Disclosure Limits

The Freedom of Information Act (FOIA), which establishes a method for gaining access to government records, and the Privacy Act, which provides a structure for safeguarding the privacy of individuals by restricting the dissemination of records or information contained in the records, limit the availability, use, and disclosure of federal records and documents (5 U.S.C. § 552).

(b) Court Exclusion From FOIA and Privacy Act Requirements http://jnet.ao.dcn/Probation_and_Pretrial_Services/Legal_Opinions_and_Articles/Disclosure/Confidentiality_of_Pretrial_Services.html http://jnet.ao.dcn/Probation_and_Pretrial_Services/Legal_Opinions_and_Articles/Disclosure/Confidentiality_of_Pretrial_Services.html http://www.law.cornell.edu/rules/frcrmp/rule_32 http://www.law.cornell.edu/rules/frcrmp/Rule32.htm http://www.law.cornell.edu/uscode/5/552(a)(2).html

Guide to Judiciary Policy, Vol. 8E, Ch. 1 Page 20

(1) Because the courts are excluded from both the FOIA and the Privacy Act, it was unclear whether presentence reports were subject to disclosure under the FOIA until the Supreme Court held, in United States Department of Justice v. Julian, 486 U.S. 1 (1988), that subjects of presentence reports may obtain those reports from the Federal Bureau of Prisons or the United States Parole Commission under the provisions of the FOIA since they are in the executive branch and subject to the Act. The ruling did not affect the exclusion of courts from coverage under the FOIA since courts are specifically excluded from the definition of “agency” appearing at 5 U.S.C. §§ 551(1)(B) and 552(f)(1). See: Standley v.

Department of Justice, 835 F.2d 216, 218 (9th Cir. 1987).

(2) Although it held that presentence reports in the possession of the Bureau of Prisons and the Parole Commission were covered under the FOIA, the Supreme Court appeared to recognize that the Federal Rules of Criminal Procedure (see, e.g., 32(d)(3)) specifically exempts from disclosure any information that relates to confidential sources, diagnostic opinions, and other information which may cause harm to the offender or third parties. Such information is, therefore, exempt from disclosure under the FOIA.

It also is likely that the recommendation is exempt from such disclosure.

(3) Presentence reports prepared before December 1, 1975, which were not subject to mandatory disclosure under Rule 32, may be reviewed for sensitive information prior to disclosure. The Parole Commission and the Bureau of Prisons will request review of such presentence reports prior to disclosure.

(4) Sample Letter Declining Request for Information

United States Department of Justice v. Julian, 486 U.S. 1 (1988), does not require the probation officer or the court to furnish a copy of the presentence report to the offender. Below is a sample letter declining such a request.

http://www.law.cornell.edu/uscode/5/551.html http://www.law.cornell.edu/uscode/text/5/552 http://www.law.cornell.edu/uscode/5/552(f).html http://www.law.cornell.edu/rules/frcrmp/rule_32

Guide to Judiciary Policy, Vol. 8E, Ch. 1 Page 21

§ 190.10.10(b)(4) Sample Letter Declining Request for Information

Dear SSSSSSSSSS

I am in receipt of your letter dated SSSSSSSSSS, which was received on SSSSSSSSSS. Pursuant to your request under the provisions of the Freedom of Information Act and the Privacy Act for certain information pertaining to you in the files of the U.S. Probation Office, I must advise you that neither the Freedom of Information Act nor the Privacy Act have any application to the courts of the United States or to probation officers of the federal courts. 5 U.S.C.

§§ 551(1)(B), 552(f)(1), and 552a(a)(1). See Standley v. Department of Justice, 835 F.2d 216, 218 (9th Cir. 1987).

For this reason, there is no right under these Acts to obtain from this office the documents you requested or to receive a list of agencies or persons to whom information in our files has been disseminated. If you were sentenced to a term of imprisonment, it is likely that the Federal Bureau of Prisons and/or the U.S. Parole Commission will have a copy of your presentence report. Pursuant to the decision of the Supreme Court in United States Department of Justice v. Julian, 486 U.S. 1 (1988), you may be able to receive a copy of your presentence report from one of those agencies.

I regret not being able to provide further assistance to you.

Sincerely, SSSSSSSSSSSSSSSSSSS

U.S. Probation Officer

§ 190.10.20 Requests By Law Enforcement Agencies

(a) The information the officer discloses to law enforcement agencies:

(1) should only include identifying information such as the offender’s location or handwriting exemplar and information pertaining to possible risk to law enforcement officers investigating the offender;

and

(2) is for investigatory and not evidentiary purposes.

(b) Self-incriminating statements made in the routine course of supervision without “Miranda” (Miranda v. Arizona, 384 U.S. 436 (1966)) warnings may be used in probation revocation hearings. In such situations, the officer:

(1) should focus on obtaining this information for the revocation hearing rather than for further criminal prosecution;

Guide to Judiciary Policy, Vol. 8E, Ch. 1 Page 22

(2) should first seek the permission of the court before requesting an independent investigation by a law enforcement agency if there is evidence of additional criminal activity; and

(3) should give general background information to the law enforcement agency only with the consent of the court.

§ 190.10.30 Requests By Correctional Agencies

(a) The officer may disclose information to a correctional agency if the officer limits such disclosure to accommodate the confidentiality principle of Rule 32 of the Federal Rules of Criminal Procedure.

(b) Such a limitation might be to disclose to the correctional agency as long as the offender authorizes the disclosure and the disclosure meets the following criteria:

(1) does not violate a specific promise of confidentiality made to the offender or other sources; or

(2) does not place the offender or other persons in danger of harm.

(c) Before implementing its policy regarding disclosure of information to state and local correctional agencies, the probation office should obtain the court’s approval.

§ 190.10.40 Requests By Social Agencies and Individuals

(a) The officer should disseminate information requested by social agencies…