SHIPROCK COURT PROBATION FLOW November 9, 2007

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1 SHIPROCK COURT PROBATION FLOW November 9, IMMEDIATELY AFTER ARRAIGNMENT Judge may order: a) Pre-Sentence Report (PSR); b) Probation c) Community Service (CS); d) PP, VIP, SCRN, other classes, or payment of fines; e) PO to assist in monitoring. Clerk provides the following copies of Judgments to PPS: (a), (b), (c) and (e). If judge has not specifically ordered probation or requested PO assist in monitoring, PPS WILL NOT be responsible for monitoring PP, VIP, SCRN, other classes, or payment of fines. PPS Office Tech receives the copies while clients are waiting in the lobby. The below steps are IMMEDIATELY followed. 1) PPS Off Tech assigns a PPS number and Probation Officer (PO) to each case to be monitored by PPS. PPS numbers are manually assigned in numerical order e.g. SR-07-[A/J]001. (A=Adult; J=Juvenile). POs are assigned by order of rotation. The incoming case is logged numerically in the Docketing Log in a single row with the following columns: PPS # Client name Client address Docket # Offense Date begin monitoring Date end monitoring PO assigned Community service cases are logged in separately at the back of the Docketing Log in a different series of numerical numbers e.g. SR-07-C001 (C=Community service), also in a single row but with the following columns: PPS# Client name Client address Docket # Hours of CS ordered Assigned CS Place Date begin CS Date end CS PO assigned

2 2) Office Tech prepares intake packet and informs the PO assigned that paperwork is ready to interview the waiting client. The intake packet prepared manually by the Office Tech has the following mandatory papers: Judgment Conditions of Probation Form Client Verification Form Report-In Form CS Work Agreement and Sign-In Sheet (if any) 3) Assigned PO picks up the packet and interviews client. The PO explains the Judgment and conditions of monitoring, probation, CS, or release pending trial, and client signs the verification. CS Sign-in sheet is given to client to be signed by the assigned CS Supervisor. PO returns paperwork to the Office Tech. 2. SHORTLY AFTER INITIAL INTERVIEW 4) Office Tech creates a PPS file for each new client. After PO returns paperwork, Office Tech creates a manual file folder for each new client. Folders are COLOR-CODED BY MONTH. All paperwork is put into this folder. The folder is given to the assigned PO. 3. ADULT MONITORING & REPORTS 5) Recording Events All events are manually logged by the PO in the client s PPS file report-ins, phone contacts, field visits, documents incoming and submitted out, status reports and recommendations submitted to the court, orders by the court, letters, etc. All incoming to PPS including court orders; All documents submitted to the court by PPS including status memos, notifications of noncompliance, PPS recommendations, etc. CS completed; Probation completed PROBATION FLOW 2

3 PO s may NOT edit and proceed cases in the automated system unless authorized by CA. 6) Presentence Reports (Adult) The PSR is manually generated and submitted directly to the court. All events in relation to collecting information on the PSR are manually logged by the PO in the client s file folder, including interview log, reportins, phone contacts, field visits, documents incoming and submitted out, letters, etc. PSR submitted to court Any extensions requested by PO 7) Status Memos to the Court The PO may submit a status memo with recommendations and attachments directly to the court. Status memo date and details 8) Noncompliance by Client The PO writes to the client giving him/her a chance to cure the noncompliance. Thereafter, the PO may submit a Notification of Noncompliance directly to the court attached to a Recommendation for Case Closure. The PO s recommendations may include a request that a BW be issued. The above papers submitted to the court contain an ORDER section at the bottom for the judge to sign and approve the recommendations. Paperwork submitted by PO to the court 9) PPS Case Closure PPS Cases may be closed for full compliance or for fatal noncompliance, upon the PO s recommendation. PPS cases may be closed while the Docket remains open. The PO submits directly to the court a Recommendation for Case Closure. If the Paperwork submitted by PO to the court PPS Case closed and client notified PROBATION FLOW 3

4 recommendation is due to noncompliance, a Notification on Noncompliance must be attached. After the judge signed the Order at the bottom of the PO s recommendation, the PO sends the client a copy of the Order attached to a Notification of Adult Probation Case Closure. The PPS file is then removed from the PPS office and placed inside the client s court docket file. 10) Daily Checks Daily Pending Roster and random [Op 2] checks Clients may have picked up BWs from other cases. The PO checks the Daily Pending Roster sent over by Detention. If authorized by CA, PO checks [Op 2] for outstanding warrants by docket number. If not authorized, PO requests Clerk or Office Tech perform the check. 4. JUVENILE MONITORING & REPORTS 11) Recording Events All events are manually logged by the PO in the client s PPS file report-ins, phone contacts, field visits, documents incoming and submitted out, reports and memos sent to the JPO, letters, etc. All incoming to PPS; All documents submitted to the JPO by PPS; CS completed; Probation completed Unless specifically authorized by the CA, PO s themselves may NOT edit and proceed cases in the automated system. 12) Pre-Disposition Reports The Report is manually generated and must be submitted to the JPO, who will then file it with the court. The court will not accept a report directly filed by PPS. All events in relation to collecting information on the PSR are manually logged by the PO in the client s PPS file report-ins, phone contacts, fields visits, documents incoming and submitted out, Pre-Disposition Report submitted to JPO PROBATION FLOW 4

5 reports, letters, etc. 13) Status Memos Any status memos must be submitted by the PO to the JPO for further action in the proceedings. Status Memo date and details submitted to JPO 14) Noncompliance by Juvenile Client Recommendations for Juvenile Probation Case Closure with attached Notification of NonCompliance with Probation must be submitted by the PO to the JPO for further action in the proceedings. These papers must have supporting attachments. Papers submitted to JPO 15) Juvenile PPS Case Closures Recommendations for Juvenile Probation Case Closure for both compliance and noncompliance must be submitted by the PO to the JPO for further action in the proceedings. These papers must have supporting attachments. Papers submitted to JPO 5. ISSUES a. All PPS cases are manually generated and do not exist in the automated system. b. PPS casefiles are manually tracked and numbered. c. There is no automated method to track if clients have outstanding BWs other than receiving the Daily Pending Roster on the morning of arraignments. d. If a Pre-Sentence Report is ordered for a client who has not also been ordered to be monitored by PPS on other charges, copies of the PSR order are not made for PPS and the PSR is, at times, not timely communicated to PPS. e. Not all POs are authorized to use the automated CMS for editing and proceedings, leading to manual tracking and lack of access to information by these POs. PROBATION FLOW 5