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2014 California Rules of Court

Rule 4.541. Minimum contents of supervising agency reports

(a) Application

This rule applies to supervising agency petitions for revocation of formal probation, parole, mandatory supervision under Penal Code section 1170(h)(5)(B), and postrelease community supervision under Penal Code section 3455.

(Subd (a) amended effective July 1, 2013; previously amended effective November 1, 2012.)

(b) Definitions

As used in this rule:

(1)"Supervised person" means any person subject to formal probation, parole, mandatory supervision under Penal Code section 1170(h)(5)(B), or community supervision under Penal Code section 3451.

(2)"Formal probation" means the suspension of the imposition or execution of a sentence and the order of conditional and revocable release in the community under the supervision of a probation officer.

(3)"Court" includes any hearing officer appointed by a superior court and authorized to conduct revocation proceedings under Government Code section 71622.5.

(4)"Supervising agency" includes the county agency designated by the board of supervisors under Penal Code section 3451.

(Subd (b) amended effective July 1, 2013; previously amended effective November 1, 2012.)

(c) Minimum contents

Except as provided in (d), a petition for revocation of supervision must include a written report that contains at least the following information:

(1)Information about the supervised person, including:

(A)Personal identifying information, including name and date of birth;

(B)Custody status and the date and circumstances of arrest;

(C)Any pending cases and case numbers;

(D)The history and background of the supervised person, including a summary of the supervised person's record of prior criminal conduct; and

(E)Any available information requested by the court regarding the supervised person's risk of recidivism, including any validated risk-needs assessments;

(2)All relevant terms and conditions of supervision and the circumstances of the alleged violations, including a summary of any statement made by the supervised person, and any victim information, including statements and type and amount of loss;

(3)A summary of any previous violations and sanctions; and

(4)Any recommended sanctions.

(Subd (c) adopted effective November 1, 2012; based on previous subd (b).)

(d) Subsequent reports

If a written report was submitted as part of the original sentencing proceeding or with an earlier revocation petition, a subsequent report need only update the information required by (c). A subsequent report must include a copy of the original report if the original report is not contained in the court file.

(Subd (d) relettered and amended effective November 1, 2012; adopted as subd (c).)

(e) Parole and Postrelease Community Supervision Reports

In addition to the minimum contents described in (c), a report filed by the supervising agency in conjunction with a petition to revoke parole or postrelease community supervision must include the reasons for that agency's determination that intermediate sanctions without court intervention as authorized by Penal Code sections 3000.08(f) or 3454(b) are inappropriate responses to the alleged violations.

(Subd (e) amended effective July 1, 2013; adopted effective November 1, 2012.)

Rule 4.541 amended effective July 1, 2013; adopted effective October 28, 2011; previously amended effective November 1, 2012.

Advisory Committee Comment

Subdivision (c). This subdivision prescribes minimum contents for supervising agency reports. Courts may require additional contents in light of local customs and needs.

Subdivision (c)(1)(D). The history and background of the supervised person may include the supervised person's social history, including family, education, employment, income, military, medical, psychological, and substance abuse information.

Subdivision (c)(1)(E). Penal Code section 3451(a) requires postrelease community supervision to be consistent with evidence-based practices, including supervision policies, procedures, programs, and practices demonstrated by scientific research to reduce recidivism among supervised persons. "Evidence-based practices" refers to "supervision policies, procedures, programs, and practices demonstrated by scientific research to reduce recidivism among individuals under probation, parole, or postrelease supervision." (Pen. Code, § 3450(b)(9).)

Subdivision (e). Penal Code sections 3000.08(d) and 3454(b) authorize supervising agencies to impose appropriate responses to alleged violations of parole and postrelease community supervision without court intervention, including referral to a reentry court under Penal Code section 3015 or flash incarceration in a county jail. Penal Code sections 3000.08(f) and 3455(a) require the supervising agency to determine that the intermediate sanctions authorized by sections 3000.08(d) and 3454(b) are inappropriate responses to the alleged violation before filing a petition to revoke parole or postrelease community supervision.

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