Probation and Parole: Corrections in the Community

Thirteenth Edition
Chapter 4
Pretrial Services, Sentencing, and the Presentence Report
Learning Objectives (1 of 3)
2.1 Know the Eighth Amendment of the Constitution prohibits excessive bail, but fails to define
excessive.
2.2 Recognize that risk-needs assessment is an actuarial-type tool.
2.3 Realize in many jurisdictions a probation officer supervise pretrial defendants.
2.4 Know that pretrial defendants under supervision have a legal status different from
probationers.
2.5 Know that in most felony cases judges order a long-form presentence investigation (PSI).
Learning Objectives (2 of 3)
2.6 Understanding how sentencing guidelines restrict a judge’s discretion.
2.7 Realize guidelines represent a move in the direction of classicalism.
2.8 Know what the Supreme Court ruled with respect to the PSI report.
2.9 Understand how sentencing guidelines reduce the importance of a PSI report.
2.10 Know why plea bargaining reduces the importance of a PSI.
Learning Objectives (3 of 3)
2.11 Distinguish the PSI from the pre-plea report.
2.12 Understand the controversy over the confidentiality iof the PSI report.
2.13 Know what the Supreme Court ruled on PSI confidentiality.
2.14 Understand why PSI reports have been criticized.
2.15 Learn the disagreement over the influence of a probation officer in sentencing decisions.
Pretrial Services (1 of 4)
• 8th Amendment prohibits excessive bail, but fails to define excessive
• Prediction scale is known as a risk-needs analysis (RNA)
– Determines the risk posed by a defendant of failing to return to court
 ▪ Promotes equality in determining bail
– Score based criminal history, education, employment, family and marital history,
companions, alcohol and drug use, emotional and personal attributes, attitude,
and ties to the community
Pretrial Services (2 of 4)
• RNA scores determines release on bail or not, and if defendant requires pretrial
supervision
• Pretrial Services Agency (PSA) are available in some states
– Sometimes pretrial supervision is done by the probation department which is
recommended by the APPA
• Example: Pretrial Services of the U.S. Courts
Pretrial Services (3 of 4)
• In the federal system, a Pretrial Service Officer(PT0)
– Gathers information to determine risk of nonappearance if bail is offered
– Determines if defendants can be released with or without conditions
▪ Conditions are similar to those of probation
– Can conduct diversion investigations for the U.S. attorney if the case is a
candidate for not being prosecuted
▪ Candidates are those that have not adopted the criminal lifestyle
▪ Diversion is voluntary
Pretrial Services (4 of 4)
• Federal PTO conduct pretrial services investigations, gathering and verifying information
to determine a defendant’s suitability for pretrial release (PTR)
– Process is time consuming and requires multiple steps
– PTR clients have to abide by conditions similar to those of probation
Presentence Report
• Presentence investigation report (PSI) is an investigation conducted after conviction but
prior to sentencing
– Short-form usually for misdemeanors
 – Long-form usually for felonies
• Review example in textbook: Figure 4.3
Requiring a PSI Report
• In some states the law requires a PSI for crimes punishable by more than one year
imprisonment
• In other states the judge retains the discretion to order a report
• Sometimes the PSI is waived because a plea agreement has already determined the
sentence
• In some states the PSI is rare
Purposes of a PSI (1 of 2)
• Primary purpose is to help the court to make an appropriate sentencing decision
• PSI reports serve as the basis for a plan of probation or parole supervision
• PSI assists the jail and prison personnel in their classification and treatment programs
• If the defendant is sent to prison, it will eventually serve the release authorities with
information pertinent to release planning
Purposes of a PSI (2 of 2)
• The financial condition of the defendant is important to the PSI
– Aids in determining fines, fees, restitutions, and program availability
• Victim impact statements (VIS) are attached to the PSI
– Includes a description of harm, victim’s feelings, and financial loss
• PSI sheds light on the problems and needs of the offender
Content of the Report (1 of 2)
• Legal data
• Defendant statement
• Codefendant(s)
• Victim statement
• Prior record
• Probation/parole status
 • Education
• Military service
Content of the Report (2 of 2)
• Social history
• Medical and mental status
• Environments
• Community resources
• Summary and analysis
• Recommendation
Interviews
• Most of the information in a PSI report is gained from interviews
– The interview skills of probation and parole personnel are important
– Interviews are directed toward obtaining and clarifying relevant information
– Interviews can be conducted in a number of places
– POs should try to reduce offender anxiety and deal with matters of concern to
the defendant
– Defendants can be hostile and the PO must control their own temperament
– Follow up interviews may be necessary
Records and Reports (1 of 2)
• Second greatest source of information is from other reports
– Arrest record and prior criminal record are critical in determining appropriate
sentencing
▪ Impacts incarceration time, eligibility for treatment or other programs
▪ May show mitigating or aggravating factors
– Any previous criminal justice reports
– Medical, psychiatric, or psychological reports
– Conflicting information must be addressed in the report
Records and Reports (2 of 2)
 • Evaluative Summary and Recommendation sections in the PSI are extremely important
• Summary should contain the key points
• Recommendations should be carefully thought out based on the officer’s professional
judgement
– The judge does not have to follow the recommendation
– PO needs to have knowledge of resources and programs available
– PO makes a recommendation for or against probation
PSI Process in Nevada
• In Nevada a guilty person is referred to the Division of Parole and Probation and an
officer is assigned to the case
• The defendant completes a preliminary questionnaire and is interviewed
• The investigator verifies the information received
• The officer addresses the risks and needs of the offender and makes a recommendation
• Hearsay can be included in a PSI report
Sentencing Guidelines and Mandatory Sentences (1 of 2)
• Mandatory sentences require judges to impose fixed terms of incarceration for certain
crimes
– Lack of sentencing discretion minimizes the usefulness of a PSI
– Three strikes and you’re out reduces sentencing discretion
– Many states are reconsidering mandatory sentences
• Violent crime does not necessarily mean violent behavior
– Example: burglary
Sentencing Guidelines and Mandatory Sentences (2 of 2)
• Sentencing guidelines limit the judge’s sentencing discretion in order to promote
sentencing equality
– about 20 states and the federal government use them
– A sentencing grid considers the severity of instant offense and the offender’s
prior criminal record to give an incarceration range
▪ Social and employment history is excluded
 – POs complete the sentencing guidelines
▪ Sentence guidelines force PSI to focus offense and prior record
• Federal Sentencing Reform Act became effective in 1987
• Example in textbook: Figure 4.2
Plea Bargaining and the Pre-Plea Investigation Report
• Most cases are settled through a plea bargain
– Defendant pleads guilty in exchange for leniency
– Reduces the importance of the PSI report
– Increases the importance of a pre-plea investigation report (PPI)
▪ Some states use PPI’s more frequently than PSI reports
▪ Defendant must agree to a PPI
Confidentiality of the PSI
• Controversy exists over the disclosure of any parts or all of the contents of the PSI
report to the defendant or his/her attorney
– If the report is not provided to the defendant, they can’t contest information
that may be incorrect
▪ Williams v. New York 1949
• In the federal system the report must be disclosed to the defendant at least 35 days
before sentencing
• POs have a legal duty to protect confidentiality of the PSI
– Unless ordered by judge to share
Criticism of the PSI Report
• Judges may not read the PSI or some selectively read the report
• Report may contain rumors or suspicions, incomplete explanations, or factual errors
• There are claims that the PSI report makes the PO the sentencer, not the judge
• Plea bargains may influence the sentencing recommendation in the PSI
• POs may not have enough time to adequately investigate for the PSI
• Defense attorneys may fail provide the court with positive information about the
offender to supplement the presentence report