By Joe Russo, Samuel Peterson, Michael J. D. Vermeer, Dulani Woods, Brian A. Jackson

Racial and ethnic disparities are pervasive in the U.S. criminal justice system. These disparities often compound as an individual progresses through each stage of the justice system, beginning with police contact and continuing through prosecution and correctional control. Not surprisingly, people of color are overrepresented in the probation and parole population, yet relatively little attention has been paid to disparate treatment and outcomes at this stage.

Probation and parole staff and other system actors exercise considerable discretion in responding to technical violations. Technical violations are instances of noncompliance with the conditions of supervision — such as failing to report to the supervising officer, leaving the jurisdiction without permission, and testing positive on a drug test—that, while not criminal, can lead to severe consequences for justice-involved individuals. The spectrum of responses to technical violations can range from a warning all the way up to a recommendation to revoke supervision. Evidence suggests that technical violations are an important driver of incarceration.

The handling of technical violations may be influenced by a variety of factors, including officer judgment and jurisdictional policy, and there is evidence of racial and ethnic disparities in how they are handled. Ultimately, disparities in the processing of technical violations can exacerbate and perpetuate existing disparities in incarceration and undermine the legitimacy of the justice system. This report presents findings and recommendations from an expert panel that explored challenges and opportunities associated with reducing disparities at the technical violation decision point.

Key Findings

• The lack of evidence on the sources of disparities in community supervision contributes to a lack of known approaches for responding to them.

• The working relationship between an officer and a supervisee is critical to successful outcomes.

• A lack of diversity or cultural sensitivity among officers and supervisee perceptions of justice system illegitimacy can be barriers to forming quality relationships of trust.

• Research is needed to determine the impacts of (1) such factors as the working relationship between and officer and a supervisee, a lack of diversity or cultural sensitivity among officers, and supervisee perceptions of justice system illegitimacy on supervisee violation behaviors, (2) responses to these behaviors, and (3) disparities.

• Supervisees of color often have inequitable access to resources, which can be a barrier to successful completion of supervision and a contributing factor in disparate outcomes.

• Information management tools are needed to increase transparency about and accountability for disparities.

• Jurisdictions would benefit from developing data dashboards to help track, analyze, and display key metrics so that progress may be measured — and corrective actions taken as needed — at the officer and agency levels.

  Recommendations

• Develop best practices for the use of technology to eliminate barriers to compliance. Evaluate pros, cons, and impacts of these approaches on outcomes and disparities.

• Develop best practices and strategies to directly provide resources (e.g., food pantries, clothing, transit vouchers) to disadvantaged supervisees and/or coordinate with community resources to provide these services. Explore the feasibility of monetary assistance for sustenance and/or emergency support.

• Conduct research into supervisee perceptions of the justice system’s legitimacy along racial and ethnic lines and the impact of these perceptions on compliance and outcomes.

• Conduct research to determine whether the use of credible messengers improves relationships with supervisees and to examine the impact of this practice on supervision outcomes.

• Study jurisdictions that have reduced disparities to better understand the dynamics associated with successful outcomes and to develop an evidence base of effective strategies.

• Conduct research to determine the impacts of more-general system reforms (e.g., caps on probation sentences, reductions in the number of technical violations) on disparities in technical violation behaviors, responses, and outcomes.

• Develop management tools (e.g., dashboards) to track disparity metrics, in near real time, at the agency, supervisor, and officer levels to promote transparency and accountability and to identify patterns to be investigated and addressed (e.g., coachable moments for staff, policy or program review).

• Reinforce supervision practices in which staff actively engage in barrier-reduction strategies to "meet supervisees where they are" in terms of appropriate accommodations and service delivery that do not compromise public safety.

Santa Monica, CA: RAND, 2023. 32p.

By Switchback

The report focuses on prison-leavers’ mental health. We know that the experience of prison-release can cause high levels of anxiety. At the same time mental health care in prison and especially after release is minimal and worsening.

Meanwhile at Switchback, over the last two years we have seen a 15% rise in the number of our Trainees with identified mental health needs (from 29% to 44%).

This report highlights the urgent need for us to reshape the way we release people from prison. We are calling for better mental health support for people leaving prison and for a prison release system that responds to the emotional challenges that people leaving prison are facing. A system that supports people to live life differently.

The experiences included within the report demonstrate inequities in access to care for people from ethnic minority backgrounds, with 90% of Switchback Trainees being from an ethnic minority background. Importantly mental health was a repeated topic of discussion in our Experts by Experience meetings, and together we decided we wanted to do something about it.

London: Switchback, 2024. 24p.

By Zarek Khan

The literature on probation supervision has paid significant attention to prisoner reintegration into society. Many of these studies are based on retrospective samples of ex-prisoners as their primary analytical focus. Research studies on the early transitions from prison to the community have predominantly examined men’s experiences. This article explores the experiences of a small group of men and women serving their sentences in the community while under probation supervision. Drawing on interview extracts, it is argued that probation practices hinder, rather than support, post-release necessities for men and women seeking to reintegrate into society. The article highlights the implications for future research on probation supervision and re-entry.

Probation Journal 2023, Vol. 70(4) 350–366

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By Mary Hostetler Oakey. Edited by Belinda Swanson

In this insightful book, Mary Hostetler Oake delves into the historical evolution of penal philosophies and practices in the nation's capital. From the early days of the gallows to the modern approaches to criminal justice, Oake provides a comprehensive look at how attitudes towards punishment have changed over time. Drawing on meticulous research and engaging writing, JOURNEY FROM THE GALLOWS offers a thought-provoking exploration of a topic that continues to shape our society today.

University Press of America. ND. 387p.

By HM Inspectorate of Probation (UK)

On 25 April 2022, police forced entry to a property in Bermondsey, London, where the bodies of Denton Burke (aged 68), Dolett Hill (aged 64), Tanysha (Raquel) Ofori-Akuffo (aged 45), and Samantha Drummonds (aged 27) were found. All four victims had suffered stab wounds and lacerations. Joshua Jacques was charged with these murders.

In June 2022, the Lord Chancellor and Secretary of State asked the Chief Inspector of Probation to undertake an independent review into how the Probation Service managed Joshua Jacques, as he was under probation supervision when he was arrested for these offenses. This review was completed in November 2022 and can now be published following the completion of criminal proceedings.

Key findings:

• Despite concerns about repeated non-compliance with his licence conditions, enforcement practice was inconsistent and opportunities to recall Jacques to custody were missed.

• Joshua Jacques was incorrectly allocated to a newly qualified probation officer who had only finished their training three months before being assigned the case.

• Joshua Jacques was appropriately assessed as posing a high risk of serious harm to the public following his release from custody. However, his risk in other categories, including to staff or potential partners was underestimated. No risk assessment was completed for Jacques following his release which resulted in no risk management plan or sentence plan in the community being completed.

• In February 2022, Jacques disclosed to probation court staff that he was experiencing a decline in his mental health; however, no action was taken.

• Inspectors found during this review that probation staff felt ill-equipped to understand and respond to mental health concerns, with limited training and support being available to them.

• The case records show that Jacques was routinely using cannabis whilst on probation, and his licence contained a condition to engage in a drug abuse intervention on release from prison. No such intervention was organised by the Probation Service and our inspection found no evidence of a referral to a drugs agency.

As a result of this review, eight recommendations were made to HMPPS.

Manchester, UK: HM Inspectorate of Probation, 2024. 38p.

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By NORVAL MORRIS, MICHAEL TONRY

Across the country prisons are jammed to capacity and, in extreme cases, barges and mobile homes are used to stem the overflow. Probation officers in some cities have caseloads of 200 and more--hardly a manageable number of offenders to track and supervise. And with about one million people in prison and jail, and two and a half million on probation, it is clear we are experiencing a crisis in our penal system. In Between Prison and Probation, Norval Morris and Michael Tonry, two of the nation's leading criminologists, offer an important and timely strategy for alleviating these problems. They argue that our overwhelmed corrections system cannot cope with the flow of convicted offenders because the two extremes of punishment--imprisonment and probation--are both used excessively, with a near-vacuum of useful punishments in between. Morris and Tonry propose instead a comprehensive program that relies on a range of punishment including fines and other financial sanctions, community service, house arrest, intensive probation, closely supervised treatment programs for drugs, alcohol and mental illness, and electronic monitoring of movement. Used in rational combinations, these "intermediate" punishments would better serve the community than our present polarized choice. Serious consideration of these punishments has been hindered by the widespread perception that they are therapeutic rather than punitive. The reality, however, Morris and Tonry argue, "is that the American criminal justice system is both too severe and too lenient--almost randomly." Systematically implemented and rigorously enforced, intermediate punishments can "better and more economically serve the community, the victim, and the criminal than the prison terms and probation orders they supplant." Between Prison and Probation goes beyond mere advocacy of an increasing use of intermediate punishments; the book also addresses the difficult task of fitting these punishments into a comprehensive, fair and community-protective sentencing system.

Oxford University Press, Sep 12, 1991, 294 pages

By Charlie Brooker and Coral Sirdifield

There are many benefits to making sure that we understand the mental health needs of people on probation and address them. Criminal justice and health agencies need to work together to make sure that people get the support that they need with their mental health. However, currently, the services that are provided are not always suitable to meet this population’s needs, and people on probation can face numerous barriers to accessing care. In this evidence review, Professor Charlie Brooker, honorary professor at Royal Holloway, University of London and Dr Coral Sirdifield, Senior Research Associate at the University of Lincoln, look at: The benefits of focusing on the mental health of people on probation, what we know about the mental health of people on probation, the organisation of mental health care, current initiatives, and challenges to providing high-quality care. Also what good quality care for people on probation looks like and Improving the evidence base and provision of care.

Suffolk, UK: Clinks, 2024. 13p.

By John Wainwright, Lol Burke, Steve Collett

In 2021, HM Inspectorate of Probation published a long awaited and highly critical report – Race equality in probation: the experience of black, Asian and minority ethnic probation service users and staff. The inspection upon which it was based was conducted in the Autumn of 2020 and was therefore set against the background of the death of George Floyd in the United States, and the rise of the Black Lives Matter movement worldwide. The Black Lives Matter (BLM) movement laid down a challenge on many levels, stating that black, Asian and minority ethnic people must be accepted and respected as equal citizens and nowhere is this more urgently needed than within the operation of the criminal justice system. However, its follow up report (HM Inspectorate of Probation 2023) reported being disappointed in the lack of progress made by the Probation Service in addressing the issues raised in its earlier report. The article seeks to move beyond the conclusions and recommendations of the Inspection report using the lens of Critical Race Theory to engage in a discussion of systemic racism in society. To do this we have used three levels of analysis – macro, meso and micro – to situate contemporary probation within the wider structures of a post-colonial society.

Liverpool, UK: Probation Journal, 2024, 23p.

By Matt Tidmarsh

The number of women working in occupations that lay claim to professional status has increased markedly in recent decades, but the speed and extent of the ‘feminisation’ of the probation service in England and Wales render it unique. Such change has occurred against the backdrop of attempts to present the service in more ‘masculine’ terms, to increase punitiveness while maximising its efficiency. This article seeks to move explanations for feminisation beyond gender stereotypes about care work. Drawing on semi-structured interviews with 38 members of staff from across the probation estate, and with particular regard to the unification of services, it explores the demographic and cultural dynamics of feminisation. The article argues that the sustained (and ongoing) devaluation of probation's professional project, pay and working conditions have impacted retention and recruitment in such a way that has filtered into the gender composition of the service.

Leeds, UK: Probation Journal, 2023, 21p.

By  HM Inspectorate of Probation (UK)

A thematic inspection led by HM Inspectorate of Probation investigated the effectiveness of the arrangements to support Senior Probation Officers (SPOs) working in sentence management and in court teams. The report also focuses on management oversight, the processes taken by SPOs to make sure that probation work is undertaken to the required standard. The Probation Service lacks a comprehensive strategy for delivering effective management oversight. The inspection found the management oversight frameworks that have been implemented are used inconsistently by probation staff. Only 39 per cent of SPOs believed the current policies relating to management oversight meet the needs of the probation caseload. This inspection found: The current management structure and arrangements for the delivery of sentence management do not enable effective management oversight. A significant amount of time is currently being spent by SPOs on tasks unrelated to service delivery. Sixty-two per cent of SPOs said they had dealt with issues such as broken toilets or damaged windows within the last month. Staff in Wales have responded positively to the introduction of a new structure which has resulted in a less frenetic working culture. Morning check-in meetings and protected hours for probation practitioners to consult with SPOs have reduced anxiety levels, fostering a more considered approach to decision-making. An accompanying effective practice guide has been produced alongside this report, highlighting the good practice observed during this inspection. This report makes six recommendations, including to design and implement a comprehensive induction and development programme for all SPOs and to review business support functions in relation to facilities management and human resources.

Manchester, UK: The Inspectorate, 2024. 36p.

By Connie Utada, Rebecca Smith,  April Rodriguez

Adults on probation—supervision imposed by the court generally in lieu of incarceration—are more than twice as likely to have a serious or moderate mental illness as those in the general public, according to analysis of federal data from 2015 to 2019 by The Pew Charitable Trusts. This translates into over 830,000 adults with a mental illness who are on probation at any given time each year, or almost a quarter of all those on probation. Most of these individuals also have a co-occurring substance use disorder, with the rate of adults on probation with both a mental illness and substance abuse disorder over five times that of adults in the public. A recent survey of probation agencies nationwide conducted by researchers at the University of North Carolina at Chapel Hill (UNC) in partnership with Pew and the American Probation and Parole Association indicated that although agencies were aware that 20% to 25% of people under their supervision had mental health issues, most agencies did not have specialized mental health approaches and provided their officers with limited training related to mental health. Some officers who were interviewed said that they lacked the tools needed to successfully supervise people with a mental illness on probation, and that many people with a mental illness are placed on probation because other alternatives that don’t involve the justice system—such as diversion to treatment—aren’t being used or aren’t available.1 This lack of resources may be contributing to poorer criminal justice outcomes for people with a mental illness who are on probation, such as an increased likelihood of being arrested or going to prison. Some of the research’s key findings: People with a mental illness are more likely to be on probation than those without, and this disparity was even more pronounced for women and those with a co-occurring substance use disorder. Analysis of data from 2015 to 2019 showed that: Almost 3.5% of adults with a mental illness were on probation annually, compared with 1.7% of all adults. Among adults with co-occurring disorders, 8.5% were on probation annually. Women with a mental illness on probation were overrepresented relative to men. While 21% of all people on probation had a mental illness, the share of women on probation with a mental illness (31%) was almost twice that of men (16%). Many people on probation with a mental illness have more criminal justice contacts than those on probation without a mental illness. Adults with a mental illness who reported being on probation at some point during the year were more likely to be arrested during that year than those without a mental illness. ° Individuals with a mental illness who were on probation were more likely to go to prison for a new offense or for violating probation terms than those without a mental illness. Among people who were sent to prison from probation, those with a mental illness reported being arrested more often, going to prison more often, and being on probation more times than those without a mental illness. Many probation agencies lack the tools to support officers in supervising people with a mental illness, such as specialized approaches, staff training, and flexibility in setting supervision conditions. Among all responding agencies, 41% indicated they had a specialized mental health approach; among rural agencies, this dropped to 26%. 

North Carolina: Pew Charitable Trusts, 2024, 28p.

By Lily Robin, Arielle Jackson, and Erica Henderson

This report summarizes findings from the Urban Institute’s national scan of juvenile probation policies and practices which involved a scan of literature and nationwide surveys of state and local juvenile probation agencies. The goal of the scan was to understand and document variation in probation policy and practice within and across states and to offer recommendations and considerations for key stakeholders in juvenile probation policy and practice.

The findings span different parts of juvenile probation, including the purpose of juvenile probation, diversion, disposition, supervision, fines and fees and restitution, data collection and sharing, partnerships, and impacts of the COVID-19 pandemic. The findings indicate much variation in juvenile probation policies and practices across states, within regions, and within states. There also seems to be disagreement between state and local juvenile probation agencies regarding how much oversight states have of different juvenile probation policies.

Our findings suggest that delays implementing policies and pilot programs and resource constraints at the state and local levels could be driving variation and disagreement within states. This variation limits understanding of local policies and practices at the state level. This inhibits wide use of evidence-informed policies and practices in juvenile probation; it also inhibits states’ ability to implement and oversee policies at the local level and to provide localities the resources they need. Based on these findings, we offer considerations for federal, state, and local stakeholders seeking to improve juvenile probation policy and practice.

Washington, DC: Urban Institute, Justice Policy Center, 2023. 63p.

By Michelle S. Phelps

Between 1980 and 2007, probation rates in the United States skyrocketed alongside imprisonment rates; since 2007, both forms of criminal justice control have declined in use. Although a large literature in criminology and related fields has explored the causes and consequences of mass incarceration, very little research has explored the parallel rise of mass probation. This review takes stock of our knowledge of probation in the United States. In the first section, I trace the expansion of probation historically, across states, and for specific demographic groups. I then summarize the characteristics of adults on probation today and what we know about probation revocation. Lastly, I review the nascent literature on the causal effects of probation for individuals, families, neighborhoods, and society. I end by discussing a plan for research and the growing movement to blunt the harms of mass supervision.

Annual Review of Criminology, Annu. Rev. Criminol. 2020. 3:261–79

By Criminal Justice Testing and Evaluation Consortium

This technology brief is the third document in a four-part series (Figure 1) on technologies to support the monitoring and supervision of individuals on pretrial release, probation, and parole (i.e., community supervision). The goal of this series is to offer foundational insights from use cases, examine the challenges of community supervision, highlight example products, and discuss the future of select technologies and their implications for community supervision. This brief highlights technologies and solutions used to monitor alcohol and drug use for persons on community supervision.

CJTEC Retrieved October, 2023.

By Nathan W. Link, Kathleen Powell, Jordan M. Hyatt, and Ebony L. Ruhland

Monetary sanctions levied on individuals on probation and parole may dramatically influence their ability to reintegrate into the community and to complete their community supervision. Yet very little work has empirically assessed how agencies respond to these obligations. This is critical, given that individuals under community supervision occupy a liminal space: free in the community yet often at risk of violation, rearrest, additional fines, or re-incarceration. In this article, we introduce an approach to the collection and management of monetary sanctions by an adult probation and parole agency in one Pennsylvania county. This specialized department focuses solely on repayment of fines, fees, and costs for a subset of probationers and parolees who have completed all other supervision requirements. We complement the conceptual overview by presenting administrative data on this caseload (N = 5,811) to describe the population under supervision and assess the factors associated with debt amount, having difficulty with repayment, and being the subject of an enforcement action for non-payment. We conclude with a discussion of the advantages and disadvantages of this model compared with historical and other existing models of debt enforcement during community supervision.

Journal of Contemporary Criminal Justice, Volume 37, Issue 1, February 2021, Pages 128-147

By Nicola Carr

The Council of Europe recently issued Guidelines Regarding Recruitment, Selection, Education, Training and Professional Development of Prison and Probation Staff, in recognition of the need to provide a set of standards that will apply to all Council of Europe Member States. The guidelines were developed by the Council for Penological Cooperation (PC-CP) and approved by the European Committee on Crime Problems (CDPC) in April 2019. The guidelines outline a number of key principles relating to the recruitment, education and training, and professional development of prison and probation staff. In some countries prison and probation staff are employed by the same agency, and there are some areas of the guidelines that pertain to both. The guidelines also set out the educational entry standards that should apply for probation staff working directly with suspects and offenders (this echoes the terminology used in the European Rules on Community Sanctions and Measures), and some of the core areas that should be covered in subsequent training. …

Academic Insights 2020/02 . Manchester: HM Inspectorate of Probation, 2020. 12p.

By Rob Allen  

The aim of this paper is to identify whether the specific developmental needs of young adults are taken into account by courts when making decisions about whether to remand defendants into custody. In particular it looks at: ■ whether there are provisions in the law which require a distinctive approach to young adults at the remand stage of criminal proceedings ■ whether the criminal justice agencies and courts consider the maturity of young adult defendants when making decisions about remanding them ■ the adequacy of alternatives to remand in custody available for young adults, particularly young women, people from BAME backgrounds and defendants with mental health problems ■ the impact of proposals made by the Government, including those in the White Paper ‘A Smarter Approach to Sentencing’, on young adult bail and remand decisions and ■ what measures could be taken to improve the distinctiveness of remand arrangements for young adults  

London: Barrow Cadbury Trust, 2021.40p.

By Beth M. Huebner and Sarah K.S. Shannon

  Probation is the most commonly imposed correctional sanction, is often accompanied by supplementary costs, and can be operated by the state or private companies. Private probation is a unique sanction used in lower courts, most often for misdemeanor offenses, and is managed by third-party actors. We focus on documenting the process and unique costs of private probation, including the rituals of compliance and proportionality of punishment. We use data from interviews with individuals on private probation and local criminal justice officials as well as evidence from court ethnographies in Georgia and Missouri. For individuals on private probation, payment of monetary sanctions is a crucial way of demonstrating compliance. Yet the financial burden of added costs for supervision and monitoring creates substantial challenges.  

Russell Sage Foundation Journal of the Social Sciences, Vol. 8, Issue 1. 1 Jan 2022

By Coral Sirdifield, Charlie Brooker, Rebecca Marples 

A narrative systematic review was undertaken of the literature concerning the health of people on probation. In this paper, we provide an up-to-date summary of what is known about suicide and suicidal ideation and probation. This includes estimates of prevalence and possible predictors of suicide and suicidal ideation. Searches were conducted on nine databases from January 2000 to May 2017, key journals from 2000 to September 2017, and the grey literature. A total of 5125 papers were identified in the initial electronic searches but after careful double-blind review only one research paper related to this topic met our criteria, although a further 12 background papers were identified which are reported. We conclude that people on probation are a very high risk group for completed suicide, and factors associated with this include drug overdose, mental health problems, and poor physical health. There is a clear need for high quality partnership working between probation and mental health services, and investment in services, to support appropriate responses to suicide risk.

  Forensic Science International: Mind and Law Volume 1, November 2020,

By Charlie Brooker and Karen Tocque

There is a high prevalence of mental illness in probation including suicide. It is important for probation staff to recognise mental illness and to refer on to an appropriate agency once it is detected. Probation’s staff knowledge about mental illness was therefore examined across Europe in this study using a well validated measure – the Mental Health Literacy Scale (MHLS). Response rates within services and countries varied widely from 0-74%. Scores on the MHLS also varied considerably from 113-138 with an average score of 128. This overall average score is similar to other groups of the population such as university students and the clergy. There was a strong association between knowledge and confidence in working with people with a mental illness. The policy implications of these findings are discussed. It is clear there is a continuing role for CEP in this arena especially in the light of the Council of Europe’s recent White Paper on mental health in probation and in prisons.   

Utrecht: Confederation of European Probation, 2023. 33p.