Supervision

1. Client-Offenders

Clients referred to PPS include the following:

1. Juveniles placed under a Consent Decree and other defendants for whom the court has issued a Diversion Order prior to a plea or finding of guilt and referred to PPS for fulfillment of conditions, after which charges may be dismissed.
2. Defendants placed on probation after conviction, and prior to or without actual incarceration.
3. Defendants placed on parole after conviction and a period of actual incarceration.

1. Verbal and Written Conditions

Each client-offender received for supervision is to be given written conditions of probation / parole.  In addition, the PPO shall read out loud to him or her the conditions and have the client-offender sign that he/she understands the conditions. 

Special Conditions – The PPO shall emphasize that “special conditions” imposed by the court are to be strictly enforced during the period of supervision.  The PPO has no option but to recommend revocation if a client violates a special condition.

1. Drug Use

If included in written conditions of probation/parole, the PPO may refer a client-offender for substance abuse assessment at any time during a supervision period.  The PPO should be on special lookout when an inmate is released to PPS parole supervision in which case the PPO may determine whether the new parolee should be assessed as to whether he/she might benefit from an alcohol and drug dependency treatment program. 

1. Level of Supervision

Under the authority given to PPOs by Nav. R. Cr. P. Rule 52(c) to set regulations of supervision, the PPO shall assign an appropriate level of supervision that takes into account the severity of the offense, and the circumstances and risk level of each client. 

There are 4 levels:

1. INTENSIVE: This level is appropriate for client-offenders who pose the highest risk to public safety, but are still eligible for probation/parole. To be given this level of supervision, the offense must have been against multiple victims or involve property damage in excess of two thousand dollars. In addition, the offender shall have had one or more other prior convictions for offenses against persons within the preceding two years. If the offender has a history of alcohol/substance abuse, the offender shall submit to Random Alcohol Testing (RAT) if provided for in written conditions of probation/parole. If the offender has a history of dysfunctional or emotionally debilitating illness, he/she should be placed on a structured weekly form of counseling.
2. MAXIMUM:  This level is appropriate for a client-offender who is convicted of or pleads guilty to a crime of violence, DUI or any offense which carries a sentence of one (1) year.  This level requires one (1) personal contact in the form of a home visit or other field contact per week for the first three months of supervision; thereafter, depending upon the client-offender’s progress, modification of the level of supervision shall be reduced or enhanced. 
3. MEDIUM:  This level of supervision is for those offenders convicted of offenses less than DUI or crime of violence and whom the PPO determines that more active supervision is required.  This level requires one (1) contact with the client every other week in the PPS office, via home visit or other field contact. 
4. MINIMUM:  This is the least restrictive level of supervision.  This level is for those clients convicted of offenses less than DUI or crime of violence and whom the PPO determines need minimum supervision.  Offenders convicted of offenses which require community service or a sentence other than payment of a fine, or traffic offenses, are presumed to require this minimum level of supervision, unless the PPO has reason to believe otherwise based on his/her personal interaction with the client and knowledge of the client’s circumstances.  This level requires one (1) contact with the client every month in the PPS office, via home visit or other field contact, or by phone or mail.  The client may be required simply to call or mail their particulars to the PPO once a month. The particulars include reporting as to where they are working and living, who they are living with, and how they are doing.

1. Regulations to Implement Conditions

Nav. R. Cr. P. Rule 52(c) authorizes the PPO to place regulations on the client-offender to implement supervision conditions.  Such regulations include, but are not limited to, the following:

1. Assign supervision level.
2. Make referrals to community service or Diné traditional cultural education.
3. Require the client-offender to attend scheduled appointments and alcohol/substance abuse awareness and education days.  Appointments scheduled shall be noted in the client-offender’s file.  If an appointment is cancelled or postponed, this fact shall be recorded in the case file along with a notation whether the client-offender or PPO required the action.
4. Conduct random searches pursuant to court order.  The PPO may conduct random searches respectfully and as reasonably required.
5. Conduct random drug and alcohol testing pursuant to court order.  Random tests may be conducted by a properly trained PPO at any time during the supervision period pursuant to established protocols.
6. Require verification of residence.  Both probationers and parolees are required to verify their place of residence at PPS intake, and to apprise their PPO immediately of any changes.
7. Visit client-offender’s home for assessment purposes.  A home visit may be conducted at the discretion of the PPO if the PPO considers it is necessary in order to adequately assess a client-offender’s needs specifically in relation to progress and compliance with supervision conditions.
8. Engage family and clan as traditional probation officers to assist the client-offender in completing supervision conditions.

1. Partner, Monitor and Assist

The PPO shall regularly monitor and help the client-offender progress and comply with all terms of supervision as written in a court order and as set forth in a supervision or reentry plan. 

Restoration of hozho and community wellness with the involvement of community resources are important PPS goals.  Community resources and networks shall be utilized in helping a parolee reenter the community, in helping with alcohol or substance abuse issues, etc.  Such resources include social service, treatment, educational, training, and community service programs. 

Resource List.  The PPS district office should maintain a resource referral list.  The list should note whether a collaborative agreement or partnership exists.  Some examples:

1. Peacemaker counseling and teaching.
2. Traditional healing.
3. Substance Abuse Treatment Programs – inpatient, intensive inpatient, outpatient counseling, traditional healing, educational.
4. Support Groups – e.g. Alcoholic Anonymous (AA), Narcotics Anonymous (NA), support groups for e.g. loss of job, divorce, death of loved one, etc.
5. Mental Health Agencies.
6. Employment and training programs.
7. Adult education/High School completion programs.
8. Treatment facilities or programs for batterers and abused spouses/partners.
9. Shelters for the homeless and for abused families and children.

1. Personal Risk Situations

There are situations where PPOs, while performing their duties, may be at risk of being hurt, injured, threatened and stressed.  You may encounter “acting-out” behavior and family violence in office or home visits; a client-offender who is at-risk for suicide or self-harm; or encountering a potentially communicable disease e.g. T.B.

Self-Defense Training.  The Chief Probation Officer shall ensure self-defense training with the Police Training Academy for all PPOs within their first year of employment.

Volatile Homes.  PPOs going to volatile homes should consider requesting back-up assistance from another PPO or the police. The field itinerary shall be given to the PPS district office in case emergency help is needed.  Do not go alone especially at night.  PPOs should weigh out the "need" to go, and consider consultation with the Chief Probation Officer.  Cell phones should be turned on.  When the visit ends safely, the PPO should call in to let the office know the visit has ended without incident.  If appropriately trained, carry pepper spray.  Stand back from the door giving the other person space and giving you opportunity to move quickly if necessary.  Identify yourself clearly.  Avoid bedrooms; sit down at the same time as the other person and be prepared to terminate the visit at any time.

In-Office Interviews.  Designate secure areas in the office.  Carry out escape and evacuation drills.

Communicable Diseases.  PPOs may be at risk of infection through contact with their clients while perceiving disease control as outside their scope of responsibility.  It is in the best interest of PPO staff who work closely with offenders to be aware of TB cases and to be able to work toward protecting their own health as well as the health of client-offenders and their families.  The Chief Probation Officer will develop interagency protocols with Navajo Nation DBHS, IHS, and/or other agencies in order to train PPOs to identify clients with TB infection and disease and encourage compliance with prophylactic and treatment regimens.  

1. Case File Review

The PPO shall regularly review a client’s compliance and chart the client’s progress. 

1. Report violations to Court

The client remains under the Court’s jurisdiction while under supervision.  Pursuant to provision 2.6 of the Uniform Sentencing Policy, the PPO shall submit reports to the Court regarding violations of conditions and the court may bring the defendant before it to address them.

1. Status Reports

PPOs may submit status or progress reports on adult client-offenders to the court, and on juvenile offenders to the juvenile presenting officer.  Such reports may include requests for a hearing and recommendations for modification, extension, early termination of probation or parole, lowering nályééh pursuant to changed circumstances of the client-offender or due to mutual agreement by the victim, recommendation for referral to post-sentencing peacemaking, etc. and revocation in adult probation/parole cases.

1. Juvenile Probation

The conduct of juvenile probation is set forth in great detail in the Navajo Nation Children’s Code, which shall be strictly followed.  All PPOs should have a hard copy.  Additionally, a summary of the Children’s Code is available on the Probation Services webpage.  Unfortunately, copyright issues with the Legislative Counsel do not permit the Children’s Code itself to be web-posted.

In addition, the following policies apply: 

1. Activities related to gang membership, identification or association with known gang members will not be tolerated and will be immediately reported to the Juvenile Presenting Officer. 
2. Juvenile offenders are to be encouraged to participate in supervised after school activities that foster positive behavior changes.

1. Juvenile Consent Decree

9 N.N.C. §1154 provides that before the entry of a judgment in delinquency and CHINS cases, the Court may, on motion of the presenting officer or counsel for the child, suspend the proceedings and continue the child under supervision in his own home under terms and conditions negotiated with probation services.  The Court order continuing the child under supervision is called a “consent decree”. 

The period of a consent decree is six months unless the decree is discharged sooner by probation services.  Prior to the expiration of the six months period, and upon the application of probation services or any other agency supervising the child under a consent decree, the Court may extend the decree for an additional six months in the absence of objection to extension by the child. 

If, prior to discharge by probation services or the expiration of the consent decree, the child allegedly fails to fulfill the terms of the decree, the presenting officer may file a petition to revoke the consent decree.  PPS may submit a recommendation for revocation to the Juvenile Presenting Officer, who must initiate and sign the revocation petition.  

1. Diversion

A Court may order diversion in both adult and juvenile delinquency and CHINS cases at any stage prior to a plea or finding of guilt in order for the defendant to fulfill certain terms and conditions, after which the court may dismiss the case without determination of guilt.  In adult cases, the Prosecutor may enter into Deferred Prosecution Agreements with defendants.  Such agreements become part of a diversion order.

A Diversion Order is good for a definite time period with a “not guilty” plea put on the record for future disposition.

1. Courtesy Supervision

Courtesy supervision applies to transfers of probationers and parolees from one judicial district to another within the Navajo Nation, and from foreign jurisdictions (i.e. state and federal) to Navajo Nation jurisdiction.

The procedures below are intended to maintain a uniform method of transfers of probationers and parolees from one judicial district to another within the Navajo Nation; and to facilitate the return of offenders under probation or parole or incarcerated in states across the United States or in federal institutions who desire to return to the Navajo Nation.  In addition, these procedures ensure that special conditions ordered by the sending court are addressed in order that transferees are able to be given appropriate services by Navajo Nation programs.

Transfer within the Navajo Nation

The sending court shall notify the receiving court of the request for transfer of supervision.  If the receiving court accepts supervision, the PPS district office shall open an appropriate file. Information from the sending court and PPS shall be made part of this file.

Transfer from Foreign Jurisdictions

1. Upon receiving a request for courtesy supervision transfer from a foreign jurisdiction, the receiving court shall notify the Chief Probation Officer in writing.
2. The matter will be referred to the PPS district office of the receiving court for verification.
3. The PPS district office of the receiving court shall verify the transferee probationer / parolee’s information contained in the request, such as employment, school, residency and other pertinent information.
4. Upon verification of the pertinent information, an initial assessment shall be made by the PPS district office to verify whether there are resources available within the community to meet any special conditions.
5. Upon verification of available resources, the receiving court’s PPS district office shall assign the case to a PPO who shall evaluate his/her caseload to determine whether courtesy supervision by him or her would be effective.
6. Upon receipt of PPS’s verification, the receiving court shall notify the Chief Probation Officer whether courtesy supervision will be accepted.  If the court declines courtesy supervision, a written reason for declining shall be provided to the sending court of the foreign jurisdiction.
7. If the accepting court accepts supervision, the PPS district office shall open an appropriate casefile.  Information from the sending court and/or the foreign jurisdiction’s probation / parole services shall be made part of this file.
8. The PPO shall make note of any special conditions ordered by the sending court, such as rehabilitation or treatment and arrange for Navajo Nation services and programs in the district of the receiving court.

1. Payments of Fines and Nályééh

PPOs are forbidden to receive any payments from client-offenders, including payments of court fines and nályééh normally intended for victims.  Payments of fines are to be made to the court clerk.  Payments of nályééh are to be made to the Prosecutor’s office.  The PPO is responsible to arrange for notification of such payments by the Prosecutor and/or client-offender in order to track and record the payments in the case file.  

1. Modifying, Extending, Revoking, and Terminating Supervision

Modification or Extension.

Status Report.  Pursuant to the Uniform Sentencing Policy Section 2.6, the court may receive reports from a PPO regarding violations of conditions and bring the defendant before the court to address them.  The court may enter orders of temporary release to suspend or modify the execution of sentence to provide for treatment or rehabilitation.  This is pursuant to the rule of necessity, given limited jail space.

In the status report, the PPO may recommend modification or extension as circumstances require or in cases of violation of general terms.  If a victim of a serious crime is involved, the PPO shall confer with the victim.   The PPO shall also discuss the situation with the client-offender and client’s advocate, if any.   If the client-offender agrees to the change, it shall be so noted in the report to the court.  Prior to filing the recommendation, the PPO shall obtain a current Criminal History in order to confirm there were no new arrests and/or convictions during the supervision period.

Changes as Circumstances May Require.  There are many reasons other than a violation why modifying or extending an order may be necessary during the supervision period.  The court may extend the probation period as circumstances may require as long as the maximum period of probation is not exceeded.  Terms of supervision may also be modified as circumstances may require.

NOTE THAT PAROLE PERIODS May Not Be Extended.  While probation periods may be extended, parole periods may not be extended for any reason.

Revocation

Juvenile Probation.   Revocation proceedings must be commenced within the probation period.  Pursuant to 9 N.N.C. § 1161, revocation of juvenile probations shall be according to the procedures for filing petitions in delinquency proceedings, which require petitions to be initiated and signed by the Juvenile Presenting Officer.   The PPO shall submit a recommendation to the Juvenile Presenting Officer, with copies to the client-offender, advocates, and/or parents or guardians.  The Juvenile Presenting Officer may then file a revocation petition.

Adult Probation/Parole.  Revocation proceedings must be commenced within the probation/parole period.  Nav. R. Cr. P. Rule 53 permits the PPO to recommend revocation to the Prosecutor upon violation of a condition or regulation.  The PPO shall submit a recommendation to the Prosecutor with copies to the client-offender and/or offender’s advocate.  The Prosecutor may then file a revocation petition.  At the same time, the PPO may submit a report to the Court regarding violations of conditions pursuant to the Uniform Sentencing Policy Section 2.6.

It is recommended for all PPS district field offices that both the above recommendation to the Prosecutor and report to the Court be submitted concurrently at least 30 days prior to the end of the probation/parole period.

If there is no action either from the Court or from the Prosecutor two (2) weeks prior to the end of the probation/parole period, it is recommended that the PPO file a report with the Court informing the Court when a recommendation had been filed with the Prosecutor, when a report had been filed with the Court, and when the probation/parole period ends.

Pursuant to the Uniform Sentencing Policy Section 2.6, the Court may bring the defendant before the Court to address the violations.

Violation of Special Conditions.  The PPO has no option but to recommend revocation when a client violates a special condition of probation / parole.  The special condition must have been specifically identified as such by the court in the sentencing order.

Termination

Due to Successful Completion.  Supervision may be terminated upon successful completion simply by filing a Notice of Termination with the court at the expiration of a supervision period.  Prior to filing the Notice of Termination, the PPO shall obtain a current Criminal History in order to confirm there were no new arrests and/or convictions during the supervision period.

Due to Other Reasons.  If the PPO recommends termination for the following reasons, a Notice of Termination is not sufficient.  The PPO must submit a report including an explanation of the reason for recommending termination in the following situations:

1. Early discharge – client has fulfilled all conditions before the time limit.
2. Client has passed away.  The PPO must attach a death certificate to the Supervision Progress Report.
3. Client has disappeared for a lengthy period of time, and has reappeared in satisfactory circumstances, i.e. has maintained a job and supported his/her family for a lengthy period, has maintained sobriety, and has not re-offended.  In such cases, the PPO may recommend that the court discharge him/her without punitive action.
4. Client is indigent and unable to fulfill monetary conditions of probation.  He/she appears incapable of improving his/her life circumstances due to health or lack of employment opportunities, and is not considered at risk of committing serious crimes.
5. Client is unable to meet the full obligations of the order but has made a “good faith” effort to meet those terms which were possible.
6. Although client technically complied with the terms of supervision, he/she has shown no improvement in attitude and remains at risk for further legal offense.  The PPO may note this in the Supervision Progress Report and may still recommend discharge.
7. Client has paid nályééh but court costs and fines remain unpaid.  While nályééh must be fully paid before discharge, court costs and fines may continue to be outstanding after discharge.
8. A child has reached the age of 18 and probation automatically terminates.

1. Evidence

Acts or omissions of the client-offender must be established by evidence collected by the PPO and presented to the court.  The evidence may include:

1. Court records of new arrests and/or convictions.  (Arrests are carefully reviewed on a case-by-case basis to determine if there is a violation.)
2. Police reports or police officer’s testimony.
3. In-house records (including Monthly Written Reports) reflecting the client’s failure to report to supervision.
4. Records indicating the client failed to pay nályééh or other fines and costs.
5. Drug tests indicating the client has used drugs or alcohol.

1. Sex Offender Registry

As amended by the Navajo Nation Council on April 21, 2006, the Navajo Nation Sex Offender Registry Act at 17 N.N.C. § 220 mandates that all court sentences for convictions, guilty pleas, pleas of nolo contendre, and all conditions of probation and parole violations for sexual offenses shall require that the offender register and maintain registration as a sex offender with the Navajo Nation Chief of Police.  The Sex Offender Registry has not yet been established by the Navajo Nation Chief of Police. 

In addition, the Adam Walsh Child Protection and Safety Act (Pub. L. 109-248) that was signed into law on July 27, 2006 requires all state and territorial registries be made available to the public through the internet for all sexual offenses against minors and severe sexual offenses such as trafficking, conspiracy, transportation, and aggravated contact and abuse.  There is a July 27, 2009 deadline for compliance.   

PPS Filekeeping. Those convicted of sexual offenses who are supervised by PPS are in a special reporting category.  Files of such client-offenders should be marked “Sexual Offender Registrant” pending establishment of the Registry. 

Life-Long Sex-Offender Reporting Requirement.  If instructed to do so by the court, the PPO shall make sure these client-offenders are aware that while their PPS reporting requirements may end at the end of the supervision period, the Navajo Nation requirement to register their address with the registry, once the registry is established, will be life-long.

Assisting the Client-Offender.  Treatment, counseling, and supervision for such client-offenders shall be a priority. 

1. Progressive Sanctions and Alternative Sentencing

17 N.N.C. § 1818(B) provides that “Any person who shall violate his or her probation pledge shall be required to serve the original sentence.”  This means that the court has no alternative but to require detention upon non-compliance if the original sentence was incarceration. 

However, the Department of Corrections has urgently requested that the district and family courts consider alternative sentencing due to a dangerous and critical lack of detention space.  Pursuant to the Uniform Sentencing Policy Section 2.6,

the court may receive reports from a PPO regarding violations of conditions and bring the defendant before the court to address them.  The court may enter orders of temporary release to suspend or modify the execution of sentence to provide for treatment or rehabilitation.  This is pursuant to the rule of necessity, given limited jail space . . .

Courts have used their criminal contempt power under  the Uniform Sentencing Policy Section 1.10 to impose an appropriate punishment on a defendant when he/she disobeys a condition of a sentence.  Criminal contempt is a new and separate criminal proceeding.  Section 1.11 further permits a court to charge a defendant with the offense of obstructing justice where he/she disobeys an order entered as part of a criminal sentence.

The Judicial Branch is exploring effective progressive sanctions and alternative sentencing to address the Navajo Nation jail space crisis while preserving community safety and well-being. 

To this end, PPS shall assist the Judicial Branch in establishing guidelines for recommendations of progressive sanctions, and for pursuing resources to support alternative sentencing.  These guidelines and resources will be developed by the Chief Probation Officer with the participation of PPOs. 

District PPS offices and the Chief Probation Officer shall have the authority to pursue grants and partnerships for the above purposes with guidance and technical assistance as assigned by the Chief Justice.

Progressive sanctions recognizes that resources, including detention and probation services, are limited and to allocate them according to their expense, availability, and in accordance with the long term goals of probation.  It further ensures that similarly situated offenders are treated consistently.  The purpose is to provide a framework for imposing graduated interventions and sanctions for violation behavior based on the violation’s

(a) seriousness,

(b) frequency, and

(c) duration (that is, the period of time over which the violation(s) have occurred).

In order for progressive sanctions to be effective, the resources for graduated interventions and sanctions must be developed.  This is a priority for PPS.

1. Inmate Tracking

A practice formerly routine in PPS but discontinued in recent years is  inmate tracking.  Tracking began when an offender sentenced to incarceration was received and processed into the detention center by Correction Services.  Corrections Services would notify PPS and PPS would open an Inmate Tracking File immediately for each received inmate.  An Inmate Tracking Form would be immediately completed and put into the file.  The inmate would be tracked until released.

The importance of inmate tracking was due substantially to the difficulty in accessing justice system information across components in real time.  The PPO would also be able to identify client-offender issues and prepare for them in advance of parole. 

Some form of inmate tracking may be revived at the discretion of the Chief Probation Officer including, but not limited to, regular meetings between PPS and Corrections staff focusing on the long-term goal of successful prisoner reentry.