กรมคุมประพฤติ
Department Of Probation
Investigation
Pre-sentence Investigation and Evaluation of Adult Offenders under Section 56 of the Penal Code
Definition
Pre-sentence investigation and evaluation of adult offenders under Section 56 of the Penal Code refers to the process of gathering factual information about the defendant's social background, the nature of the offense, and any other mitigating circumstances before the court renders a judgment. A probation officer conducts this process under court order, then analyzes and evaluates the information to produce a report with an opinion for the court. This report assists the court in exercising its discretion to determine the most appropriate measure for each individual defendant.
Objectives
Considering the Probation Act B.E. 2559 (2016) and Section 56, first paragraph, of the Penal Code, the objectives of pre-sentence investigation and evaluation can be summarized into three main points:
- To present facts and opinions regarding the defendant's background and social history, so that appropriate measures can be applied to the defendant on an individual basis.
- To screen suitable offenders for the probation process, prioritizing public safety and the offender's likelihood of self-improvement within the community.
- To facilitate planning for the rehabilitation of offenders within the community.
Principles of Pre-sentence Investigation and Evaluation Work
The principles guiding pre-sentence investigation and evaluation work are based on the National Standards for the Operations of the Department of Probation and the United Nations Standards on Criminal Justice. Probation officers must adhere to these principles in their work:
- Operating with Integrity: As pre-sentence investigation and evaluation is a process of seeking and collecting facts about the defendant to analyze, evaluate, and produce a report with an opinion and recommendations for the court's discretion in judgment, it is crucial for the officers to be honest and ethical. This ensures acceptance and trust from stakeholders and the public.
- Maintaining Confidentiality: Probation officers must keep factual information obtained from the investigation and evaluation confidential and not disclose it outside their scope of duties, except for consultations during work and academic research.
- Maintaining Impartiality: Probation officers must perform their duty of finding and verifying facts about the defendant and preparing reports with opinions and recommendations for the court with impartiality. They should not use their personal emotions as a basis for judgment, operating without bias stemming from personal likes or dislikes, and not acting with favoritism towards the defendant, victim, or other parties involved in the case. They must adhere to the criteria and factual information pertaining to each defendant.
- Accepting Human Dignity: Even though a defendant may have committed a crime and is undergoing court proceedings, they remain a human being, an individual with dignity and rights and freedoms within the framework of the law. Therefore, the pre-sentence investigation and evaluation conducted by probation officers, who are authorized officials, must be carried out with respect for human dignity by honoring and respecting the defendant's inherent worth. All interviews and actions taken with the defendant must be conducted with caution and strict adherence to this principle. Victims, witnesses, and other involved parties must also be treated with honor and respect for their human dignity.
- Acknowledging the Defendant's Potential for Rehabilitation as a Good Citizen: In conducting pre-sentence investigation and evaluation to screen suitable offenders for the supervision and monitoring process, probation officers must acknowledge the defendant's potential for self-improvement to become a good citizen. The defendant's inclination towards self-improvement within the community is paramount.
- Presenting Factual Information Truthfully, Rationally, and with Evidence: The presentation of factual information from the pre-sentence investigation and evaluation report must be straightforward, truthful, rational, and supported by verifiable evidence. It should not be based on speculation or arbitrary assumptions by the probation officer, as this could cause harm to the defendant, the probation officer, and the criminal justice system as a whole.
- Systematic and Structured Operations: Pre-sentence investigation and evaluation is a professional operation with specific systems, procedures, and limited timelines. Therefore, probation officers conducting this work must strictly adhere to the principles of operating according to the steps and methods of pre-sentence investigation and evaluation, under systematic planning, to achieve the most efficient and successful outcomes.
- Protecting Privacy: During the pre-sentence investigation and evaluation stage, probation officers may need to gather facts or carry out other procedures with child or juvenile witnesses/victims. Their work must respect the rights and privacy of children or juveniles, and they must prevent any adverse effects that may arise from their involvement in the pre-sentence investigation and evaluation process. Therefore, interviewing or conducting any other procedures with child or juvenile witnesses/victims must be done confidentially, without disclosure that could identify them. Probation officers should facilitate and provide assurance and comfort to children or juveniles to prevent fear, embarrassment, reputational damage, or negative emotional/psychological impacts, and must protect them from the risk of harm.
- Providing Care, Assistance, and Remediation to Victims based on Restorative Justice Principles: Probation officers must consider and prioritize the victim as a victim of the offense, rather than focusing solely on gathering and presenting facts about the defendant and the circumstances of the offense. Probation officers conducting pre-sentence investigation and evaluation must work based on listening to victims and seeking or providing care, assistance, and remediation to victims based on restorative justice principles. They should pay attention to the victim's needs (who are in the state of being victims of crime or wrongdoing), including material, financial, and emotional aspects, as well as considering society. Therefore, the pre-sentence investigation and evaluation must involve a restorative justice process to allow the defendant and victim parties to meet and negotiate together, with the goal of reaching a mutual agreement on remediation and/or compensation for damages, and to restore the relationship between the defendant and the victim that was lost due to the defendant's actions.
Steps and Methods of Pre-sentence Investigation and Evaluation
The pre-sentence investigation and evaluation process begins when the court orders a probation officer to conduct it. The court's administrative staff will notify the probation officer of the order. The administrative staff at the Probation Office will receive the order from the court and register the case as evidence. Subsequently, the Director of the Office or the person responsible for case assignment will delegate the case to a probation officer to proceed as ordered by the court.
The steps and methods of pre-sentence investigation and evaluation involve three important aspects:
1
The court's order for pre-sentence investigation and evaluation.
2
The work of the case administration staff.
3
The work of the probation officer.
Types of Cases Where the Court Orders Pre-sentence Investigation and Evaluation
According to the Probation Act B.E. 2559 (2016) and Section 56, first paragraph, of the Penal Code, the types of cases where the court generally orders pre-sentence investigation and evaluation are as follows:
- Cases where it is not apparent that the defendant has previously served a prison sentence, or if they have, it was for an offense committed through negligence or a petty offense.
- Cases where the court intends to impose a prison sentence of not more than 5 years. This is because if the probation officer submits a pre-sentence investigation and evaluation report with an opinion recommending that the defendant should be given an opportunity to improve themselves and become a good citizen, and the court agrees with the probation officer's recommendation, the court may suspend the sentence or suspend its imposition.
- Cases where the defendant has pleaded guilty. One of the main objectives of pre-sentence investigation and evaluation is to gather factual information about the defendant's background, the motive for the offense, the severity of the case's circumstances, and trends in the defendant's behavior. This is done to analyze the causes and factors that led the defendant to commit the offense, and to consider whether probation is suitable for the defendant, and if so, what methods would be most appropriate for each individual defendant.
However, there is no legal provision prohibiting the court from ordering a pre-sentence investigation and evaluation in cases where the defendant has pleaded not guilty. The court still has the authority to do so, but typically, the court will limit the scope of the investigation to matters it wishes to ascertain, such as family history, habits, conduct, home and environmental conditions, or other mitigating circumstances that are not related to proving the defendant's guilt or innocence.
Method of Ordering Pre-sentence Investigation and Evaluation
When the court deems it appropriate to order a pre-sentence investigation and evaluation in a case, it will issue an order for the investigation and evaluation in the procedural record. Following that, an order will be issued to the probation officer to conduct the pre-sentence investigation and evaluation, using Form K.P.1.
Timeframe for Court-Ordered Operations
The Probation Act B.E. 2559 (2016) stipulates that "When the court orders a probation officer to investigate and evaluate facts under Section 23, the probation officer shall investigate and evaluate without delay, and shall submit a report along with an opinion to the court within fifteen days from the date of the court's order. However, if it cannot be completed within the specified period, the court may permit an extension for as long as necessary, but not exceeding thirty days."
It is clear from this section that the pre-sentence investigation and evaluation report must be submitted to the court within 15 days from the date of the court's order. Nevertheless, the provision also allows the court to grant an extension for submitting the report with an opinion for an additional period not exceeding 30 days. Therefore, if a probation officer cannot submit the pre-sentence investigation and evaluation report to the court within 15 days, they must submit a petition to the court requesting an extension.