The Basics of a Compliance Hearing
A compliance hearing, also known as a violation hearing or a compliance review hearing, is a specialized court hearing where a defendant can show the court that they have been abiding by a certain condition of their probation or sentence. The fundamental purpose behind having compliance hearings in the criminal court system is to ensure that all probationers are following the terms of their probation or jail sentence as outlined by the judge in the original sentencing.
These hearings allow defendants to demonstrate to the court that they have met the requirements and conditions of their probation. In South Carolina, for purposes of violating a sentence to serve time in the county jail, probation usually consists of the requirement that you report to your probation officer once per month (or whatever the probation officer stipulates), pay any fines as outlined in the sentence to the court, maintain employment, not have any other criminal charges or convictions, and/or the requirement that you refrain from the possession or use of alcoholic beverages and/or illegal drugs. If , for example, the defendant has been placed on probation for a drunk driving conviction in which the judge requires 12 months of probation, the terms could require the defendant to pay the court $220.00 each month in proportion to the months remaining in the sentence to serve time in the county jail. This is to assure the court that you are showing an effort to pay the fines, but also to assure the court that there are no underlying issues (such as being overcharged) that have caused an inability to pay. Oftentimes this can be handled directly with the probation officer, but the judge does have the ability to take your compliance with the court order into his or her own hands by holding a compliance hearing that is separate from the one with the probation officer.
It is important to remember that the standard of proof at these hearings is lower than in criminal court. Since these hearings address a compliance issue, the state must only show the judge a preponderance of the evidence that the defendant has violated the terms of the probation (because this is a minor offense here).
When Do Compliance Hearings Occur?
Compliance hearings enter the court calendar when an individual has been given a court order but has not satisfied its terms as directed by the court. A compliance hearing is essentially a follow-up proceeding wherein the court can review the defendant’s actions after a reprimand about the necessity to comply with either bond, probation or parole requirements. Often a person is ordered to comply with a treatment program such as drug or alcohol rehabilitation. A preliminary compliance hearing will typically be set approximately 30 days after a person is sentenced while a final compliance hearing will occur at some point up to one year after sentencing.
Compliance hearings are typically presided over by the criminal judge who sentenced the defendant. The actual date of these hearings may depend on the outcome of the initial probation hearing. For example, if a defendant is sentenced to either bond or parole and then fails to comply with the terms of that order, the defendant can usually expect to appear in court at least fifteen days later to determine if penal action is necessary. If the same defendant is sentenced to probation, the timeline for the compliance hearing will generally be fifteen days after the probationary period begins. Of course, there are many unexpected factors which can affect the law and dates on which a compliance hearing is held. These depend entirely on the circumstances of the cases themselves and the particular practices of its presiding court.
Who Presides Over a Compliance Hearing?
Compliance Hearings are a little different from a regular hearing in that there are more people involved and stated roles and responsibilities for the people who are involved. Let’s take a look at what happens during a compliance hearing.
For the defendant, it is their responsibility to report to the Compliance Hearing, and comply with the requirements of the case. If they do not, they will be dealing with more complicated matters than they would have if they attended the hearing or complied with the demands of the case.
For the defense attorney, it is their job to accompany the defendant, and provide information to the court about their reasoning for the compliance hearing. Basically, the defense should be prepared with what the issues are.
For the judge (or magistrate), they have to make a determination about compliance with the case. Since a Compliance Hearing is to deal with issues of whether a person has complied with certain terms of a plea agreement, or are violating any laws, or how soon the outstanding obligations will be complied with, the judge has to make quite a few decisions. They don’t have to determine guilt or innocence, so they’re looking at different elements of the defendant’s progress in the case.
Finally, the prosecutor is there to help determine the same things the judge is, and improve the case for their party – the prosecution. They have their eye out for how and when the defendant has complied with the terms of their plea agreement so far, and when they will be able to do more to finish their case.
Common Resolutions at a Compliance Hearing
A compliance hearing is a process by which the court decides whether one condition of your sentence has been met and whether to cancel, continue or modify any part of your sentence.
Here are some possible outcomes:
1. Continuation of conditions
The court may review progress and determine that all conditions are met and continue the case for another date. For example, if your probation required you to stay away from alcohol but you did not have alcohol tested for six months, the court can decide that you need six more months to comply. Or, if your sentence was visited, the court may review visitation and extend the order.
2. Dismissal
If the court finds that all conditions are met, the case is done, and you do not have to appear for a while. For example, if your sentence was reprimand and remand followed by court supervision for a year and you have done everything you were required to, the court may terminate supervision and dismiss the case.
3. Modification
If your case is supervised, the court could reduce your conditions. For a violation, it may be strict or do a regiment or admonishment to warn you that you should not be back in a compliance hearing. The court may also reduce the length of the conditions or the frequency of reporting. For example, if you were ordered to do weekend work release for six month, the court may reduce your weekend work release to every other weekend for six months. The court may also place more restrictions on your remaining time. For example, if you have three years probation with one more year left and the court finds that you violated conditions of probation, they could reduce the time served to reflect how long you have been in compliance.
Preparing for a Compliance Hearing
A compliance hearing typically follows a brief arraignment hearing and can be relatively quick if the defendant has been diligent with complying with any previous orders. Therefore, when a defendant is summoned for a compliance hearing, he or she should ideally have responded to all outstanding issues. In other words, this type of hearing is best attended with previous orders in hand pertaining to outstanding issues the defendant can show have been resolved. As long as the defendant and/or his or her counsel can show such compliance, there is reasonably little to fear from a compliance hearing, even for more complicated matters .
As noted, aside from being present at the scheduled arraignment hearing, a defendant may be required to seek compliance in the following areas:
• Compartment or storage location;
• Elimination of any known drugs;
• Completion of any required programs, such as participation in AAW Level I, Level II, IIM, or ALS;
• Completion of an alcohol education program (also known as DEED);
• Completion of TASC, a treatment facility, or AA meetings;
• Completion of the CAGE screening form (described above);
• Payment of fines or fees;
• Obtaining a work permit, license, court clearance, or insurance;
• Certification of the registration of a motor vehicle;
• Licensing or registration of a professional;
• Addressing an immigration issue;
• Arranging for a treatment transfer, if applicable;
• Determining a valid reason or motive for noncompliance; and
• Appearing at any scheduled hearings.
In terms of addressing follow-up paperwork, the defendant and his or her legal counselor may also consider whether one of the most recent orders issued by the court permits faxing, such as an order that requires the submission of bills and receipts or any evidence showing a defendant has complied with a previous order. Additionally, a person (who is not a party to a case) may not sign any legal paper or represent a party, such as appearing at a hearing, unless he or she is an attorney authorized to appear before the court.
Consequences of Non-Compliance
Failure to Take Action between Resolutions and the Compliance Hearing
Determining whether you will need to attend a compliance hearing is important. But equally as crucial is whether you’ve completed the work the judge told you to do before the compliance hearing. If you’re required to do something prior to the compliance hearing (reimburse specific amounts of money, file certain paperwork, etc.), the judge will want to know whether you’ve done that.
If you have done that, when you go back to the courtroom, the judge will mark your case "off calendar" or "completed." If you have not done what the judge asked you to do for the compliance hearing, there could be serious legal consequences.
The judge can choose to dismiss your case if you have not complied with his or her orders. However, there are other more punitive consequences for your noncompliance. It’s up to the judge whether or not he or she wants to brand you as noncompliant. And what does a "brand" actually mean? You could receive a finding of contempt.
A finding of contempt means that the court has determined that you disobeyed its order. If you have a judgment against you, the court has determined that you have failed to follow it. There is a hierarchy of potential punishments for contempt of court, starting with the least severe:
Although there are recourses available to make up for any losses you may have incurred in the interim, a finding of contempt should be taken seriously. You can be arrested and face potential jail time. Even if you are paying off the money you owe, you could be fined an additional amount. Not to mention, what kind of employer would allow you to take time off from work to appear in court on this issue?
When the judge pronounces the adjudication of contempt, he or she will set a "compliance hearing" date. A compliance hearing is a hearing where you show the judge that you have complied with the order. Essentially, the compliance hearing is your opportunity to say how you have followed the judge’s mandate.
Frequently Asked Questions About Compliance Hearings
Q: What happens if I do not appear for my compliance hearing?
A: An arrest warrant will likely be issued against you if you fail to show up to the compliance hearing.
Q: What is the Difference Between a Plea and a Violation Hearing?
A: A "plea" hearing occurs when the defendant wants to enter a plea of guilty or no contest. A "compliance" hearing is when the person either is in compliance or not in compliance with their probation. If the person is not in compliance, the penalty is usually a balance of what they owe as well as an interest charge on top of the balance.
Q: Can I pay my restitution and violation fees at the Compliance Hearing?
A: You will not be able to pay at the hearing. The Court would like you to pay down your fees and restitution in advance of your compliance hearing date.
Q: What happens if I do not pay my restitution fees?
A: If you cannot pay your restitution fees , it is best to file a Motion with the Court explaining your position. You should then ask the Judge for permission to pay the balance owed by way of community service.
The most important thing to remember about compliance hearings is that you should not receive any adverse impact without your prior knowledge. When you receive a notice for a compliance hearing, it is your responsibility to review your case prior to the hearing in order to make certain there are no violations. Take the time to ensure you have a good report to take with you to the hearing in order to avoid any problems with the Judge.