Transcript Chapter 4

Chapter 4
Sentencing and the Presentence
Investigation Report: Background,
Preparation, and Functions
Introduction
• Decisions by judges about the types of sentences
to be imposed are not always clear-cut
• Sentencing is not as easy as it appears at first
glance
• Sentencing is a major concern for those who
propose justice reforms
• In most major felony cases and in some minor
misdemeanor cases, judges request probation
officers to prepare reports about convicted
offenders who are to be sentenced
• These reports are called pre-sentence investigation
reports, or PSIs
The Sentencing Process:
Types of Sentencing Systems
Functions of sentencing
• The sentencing reform act of 1984 restated a
number of sentencing objectives that have
guided sentencing judges in their leniency or
harshness toward convicted defendants
• Some of the more important functions are:
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To promote respect for the law
To reflect the seriousness of the offense
To provide just punishment for the offense
To deter the defendant from future crime
To protect the public from the convicted offender
To provide the convicted offender with
educational/vocational training or other rehabilitative
assistance
The Sentencing Process:
Types of Sentencing Systems
Indeterminate sentencing
– The most frequently used for many years
– Occurs when the court sets either explicit or
implicit upper and lower limits on the time
to be served by the offender
– Release date is then determined by the
parole board
– Good behavior is rewarded by early release
whereas bad behavior may result in serving
the entire sentence
The Sentencing Process:
Types of Sentencing Systems
Determinate sentencing
– Fixed term of incarceration that must be served in full,
less any good-time credit earned in prison
– Good-time credit is a reduction in the amount of time
served amounting to a certain number of days per
month for each month served
– In 2005, 26 states used determinate sentencing
– 3 types of good time credit
• Statutory good time
• Earned good time
• Meritorious good time
The Sentencing Process:
Types of Sentencing Systems
Presumptive sentencing
– Also referred to as guidelines-based sentencing which
is a specific sentence, usually expressed as a range of
months, for each and every offense or offense class
– These sentences must be imposed in all but
exceptional cases where there are aggravating or
mitigating circumstances
– The U.S. Sentencing Guidelines Grid is an example of
presumptive sentencing
– Usually these grids have the current offense on the
vertical axis and the prior criminal record on the
horizontal axis, the point where these two intersect is
the sentencing range
The Sentencing Process:
Types of Sentencing Systems
Mandatory sentencing
– Imposition of an incarcerative sentence of a
specified length for certain crimes or certain
categories of crimes
– There are mandatory penalties federally for
weapons offenses and for certain weights of
narcotics
– Critics, however, question the deterrent effect
of these laws since attorneys and judges find
numerous ways to circumvent them for their
own purposes
The Sentencing Process:
Sentencing Issues
Probation or incarceration
– Should offenders be placed on probation or in
jail or prison?
– This is often the difficult judicial decision
– The just-deserts philosophy is a dominant
theme in American corrections today
– Judges interests seem to be to impose
sentences that are equated with the
seriousness of the conviction offense
The Sentencing Process:
Sentencing Issues
Jail and prison overcrowding
– Jail and prison overcrowding conditions influence
judicial discretion in sentencing offenders
– Judges have many sentencing options; incarceration,
or a non-jail/prison penalty such as fines, probation,
community service, restitution, halfway houses,
treatment, or some other combination of these
– It is the broad discretion of the courtroom actors that
is the reason for the pressing overcrowding problem
facing the criminal justice system today
The Sentencing Process:
Sentencing Issues
The ineffectiveness of rehabilitation
– The failure of incarceration to rehabilitate large numbers of
offenders is a problem
– It is generally acknowledged that jail and prison do not
rehabilitate
– Although most jails and prisons have programs, the
effectiveness of them is questionable
– Understaffing is a problem which stems from lack of funding
for programs
– One reason rehabilitation is not effective in jails and prisons is
because they are chronically overcrowded
The Role of Probation
Officers in Sentencing
Probation officers are closely connected with
the sentencing process
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POs prepare pre-sentence investigation reports
POs classify and categorize offenders
POs recommend sentences for convicted offenders
POs work closely with courts to determine the best
supervisory arrangement for probationer-clients
– POs are a resource for information about any extralegal
factors that might impact the client either positively or
adversely on the sentencing decision
Pre-Sentence Investigation (PSI)
Reports: Interstate Variations
No standard PSI format exists among states
– Most PSIs contain similar information
– Provides background information on the convicted offender,
including name, age, present address, occupation, potential
for employment, crimes involved, relevant family data,
evidence of prior record, and any other relevant data
– Written summaries of information obtained by the probation
officer through interviews with the defendant and an
investigation
– Narrative summaries of an offender’s criminal and noncriminal history to aid the judge in determining the most
appropriate sentence
Pre-Sentence Investigation (PSI)
Reports: Interstate Variations
The Administrative Office of the United States
Courts uses standardized PSIs
– These include five core categories that must be addressed in the
body of the report
• The offense, including the prosecutor’s version, the defendant’s
version, statements of witnesses, codefendant information, and
a victim impact statement
• Prior record, including juvenile adjudications and adult offenses
• Personal and family data, including parents and siblings, marital
status, education, health, physical and mental condition, and
financial status
• Evaluation, including the probation officer’s assessment, parole
guideline data, sentencing data, and any special sentencing
provisions
• Recommendation, including the rationale for the
recommendation
The Confidentiality
of PSI Reports
• The general public is excluded from seeing the contents of a
PSI report
– It is imperative that the confidentiality be maintained
concerning these reports
– They often contain the results of tests or examinations,
psychiatric, or otherwise
– Only those court officials and others working closely on a
particular case have a right to see it
– The federal government requires disclosure of the
contents of PSIs to convicted offenders, their attorneys,
and to attorneys for the government at least 10 days prior
to sentencing
The Preparation
of PSI Reports
• Most PSIs are prepared by probation officers
– In about half of the states, PSI report preparation is mandatory
for all felony offense convictions
– Other factors may prompt a report like when incarceration of a
year or more is possible, when the offender is under 21 or 18
years of age, and if the defendant is a first offender
– When probation is not a consideration, a PSI report is
sometimes optional or at the discretion of the judge
– Finally, PSI reports may be wholly discretionary to the presiding
judge
Functions and Uses
of PSI Reports
• At least five important functions of PSIs include
– Aid the court in determining appropriate sentence
– Aid the probation officers in supervisory efforts
– Assist the Federal Bureau of Prisons or any state facility
in classification of offenders
– Furnish the U.S. Parole Commission with information
pertinent to a parole decision
– Serve as a source of information for research
Functions and Uses
of PSI Reports
• Criticisms of PSI report information
– PSIs are inherently subjective
– POs report both factual information as well as personal
impressions about offenders
– Sometimes POs over predict an offender’s antisocial behavior
while at other times they make recommendations for leniency
to offenders who pose a risk
– A reasonable expectation is that POs possess some
understanding of human nature
– Often they rely on personal feelings and impressions and
therefore it is hard to avoid bias and subjectivity
Functions and Uses
of PSI Reports
• The defendant’s sentencing memorandum
– The Administrative Office of the U.S. Courts has
recommended the inclusion of the offender’s
version of the offense
– These statements should be prepared with the
assistance of the defense counsel
– These often contain mitigating information
– While these are not required by law, the offenders
acceptance of responsibility weighs heavily in
affecting the sentence the judge imposes
The Sentencing Hearing
• Hearing for both prosecutors and defense counsel to Respond
to the PSI
– Offenders and their attorneys can comment and make
amendments to the PSI
– Role of defense attorney is crucial here because they can
negotiate with the PO about the factualness of the
information
– Judges consider both mitigating and aggravating
circumstances surrounding the offense
The Sentencing Hearing
• Aggravating Circumstances
– Whether the crime involved death or serious bodily injury
– Whether the crime was committed while the offender was on
bail
– Whether the offender was on probation, or parole
– Whether the offender is a recidivist
– Whether the offender was a leader in the commission of the
offense
– Whether the offense involved more than one victim
– Whether the offender treated the victim with extreme cruelty
– Whether the offender used a dangerous weapon during the
commission of the crime
The Sentencing Hearing
• Mitigating circumstances
– The offender did not cause serious bodily injury
– The offender acted under duress or extreme provocation
– The offender’s conduct was possibly justified under the
circumstance
– The offender was suffering from mental incapacitation
– The offender cooperated with authorities in apprehending other
participants
– The offender committed the crime through motivation to provide
necessities for him- or herself and his or her family
– The offender did not have a previous criminal record