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The
PRESENTENCE
INVESTIGATION
REPORT
Publication 105
(
PROBATION
DIVISION
ADMINISTRAT1VE
OFFICE
OF THE
UNITED
STATES
COURTS
1984
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Guidelines and tips
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This monograph provides guidelines for probation practice, focusing on the legal aspects of disclosing presentence reports and using prior record information in sentencing. Adherence to these principles results in benefits such as greater uniformity, shorter reports, and closer observation of the latest standards of law. The document also discusses the functions of presentence investigations and the information that can be exempted from disclosure.
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The
PRESENTENCE
INVESTIGATION
REPORT
Publication 105
PROBATION DIVISION
ADMINISTRAT1VE
OFFICE
OF THE
UNITED STATES
COURTS
If you have issues viewing or accessing this file contact us at NCJRS.gov.
U.S. Department of Justice National Institute of Justice This document has been reproduced exactly as received from the person or organization originating it. Points of vle~1 or opinions stated In this document are those of the authors and do not necessarily represent the official position or policies of t,1e National Institute of Justice. Permission to reproduce this co~ted material has been granted by
Public Domain/Administrative
Office of the United States
10 [;;eCf.Mi'iirti'triminal Justice Reference Service (NCJRS). FUrther reproduction outside of the NCJRS system requires permis- sion of the c~t owner.
The PRESENTENCE
INVESTIGATION
REPORT
Division of Probation ADMINISTRATIVE OFFICE OF THE UNITED STATES COURTS Washington, D. C. 20544
January 1978 (revised September 1978, April 1984)
The official outline adopted by the Committee on the Administration of the Probation System is shown on page 6 of the monograph. The face sheet (Proba- tion Form No.2) approved for all presentence reports appears on page 49. The suggested contents for each of the marginal headings in the approved outline are given starting on page 7. The items listed under essential data are those which should appear in all presentence reports. Those listed under include if pertinent will appear in some reports, depending on the requirements in the specific case. The officially approved format for the presentence report is presented in the appendix of the monograph. Donald L. Chamlee, chief of probation, and Susan D. Krup Grunin, regional probation administrator, are responsible for preparation of this revision, with t.he able assistance of William A. Maio, Jr., managing editor, FEDERAL PROBA- TION Quarterly, Lorene Lake, probation programs specialist, and Millie A. Raby and Joan Costa, our faithful and long-suffering secretaries. Special thanks go to Michael Keenan, deputy chief; and regional probation administrators Fred Pivarnik, Dan Stowers, Harold Wooten and Gene Wesley for their suggestions from their reviews of presentence reports; Paul R. Falconer, chief probation of- ficer, Maryland, and U.S. Probation Officer Edward A. DiToro, E.D. N.Y., for their assistance concerning victim impact statements; Judd D. Kutcher and Lisa Kahn, General Counsel's Office, for their contributions on the legal aspects; Steve Mora, printing officer, for his production assistance; and to all probation officers who submitted material for the revised edition.
Gerald B. Tjoflat, Chairman Committee on the Administration of the Probation System
William E. Foley, Director
Administrative Office of the United States Courts
iv
Donald L. Chamlee, Chief Division of Probation
JUDICIAL CONFERENCE COMMITTEE ON THE
ADMINISTRATION OF THE PROBATION SYSTEM
Honorable Gerald B. Tjoflat (Chairman) United States Circuit Judge Jacksonville, Florida
Honorable Edward R. Becker United States Circuit Judge Philadelphia, Pennsylvania
Honorable Charles L. Brieant, Jr. United States District Judge New York, New York
Honorable Sherman G. Finesilver Chief Judge United States District Court Denver, Colorado
Honorable James M. Burns Chief Judge United States District Court Portland, Oregon
Honorable Charles H. Haden II Chief Judge United States District Court Parkersburg, West Virginia
Honorable George N. Leighton United States District Judge Chicago, Illinois
v
Employment ..................................................... 14 Health........................................................... 14 Physical...................................................... 14 Mental and Emotional......................................... 15 Military Service .................................................. 15 Financial Condition ............................................... 15 Assets....................................................... 16 Liabilities .................................................... 16 Evaluation ........................................................... 16
Probation Officer's Assessment ........................... :........ 16 Parole Guideline Data ....................'......................... 16 Sentencing Data .................................................. 16 Special Sentencing Provisions...................................... 17
Recommendation ..................................................... 17
Recommendation and Rationale .................................... 17 Voluntary Surrender.............................................. 17
Information Potentially Exempt From Disclosure........................ 17
Record of Disclosure of the Presentence Report......................... 18
Correcting the Presentence Report............ ...... ... ................ 18
AO Forms 235 and 337 ................................................ 18
Appendixes .......................................................... 20
Sample Presentence Investigation Reports.............................. 48
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The Presentence Investigation Report
Introduction
In 1965 the Administrative Office of the United States Courts issued Publication 103, Tlte Presen- tence Investigation Report, and in 1974 published No. 104, The Selective Presentence Investigation Report. 'l'hose documents represented the best pro- fessional judgment of what a presentence report should contain. A committee of special consultants prepared those pUblications under the guidance of the Judicial Conference Committee on the Adminis- tration of the Probation System. Since these earlier publications, statutory and case law have redefined the contents and the uses of the report. Publication 105 reflects the requirements of new laws. This 1984 edition includes changes brought about from the 6 years of utilization of this monograph. Aside jj'om the dete'rmination of guilt or inno- cence, select'ing an appropriate sentence is perhaps the most important decision to be made in the entire criminal justice system. The primary vehicle to as- sist the sentencing court in fulfilling this responsibil- ity is the presentence investigation report. The Fed- eral Rules of Criminal Procedure assign the task of conducting presentence investigations to U.S. pro- bation officers. This assignment requires a profes- sional presentence report of the highest quality.
Functions and Objectives
This document is a guide for U.S. probation offi- cers in the preparation of presentence reports. Its use provides a common format for presentence re- ports throughout the Federal judiciary. The pre- sentence investigation report is a basic working document in judicial and correctional administra- tion. ft.') p1'imary purpose 'is to aid the court in de- tennining the approptiate sentence. It also serves four other functions: (1) to aid the probation officer in supervision efforts during probation and parole; (2) to assist the Federal Bureau of Prisons in clas- sification, institutional programs, and release plan- ning; (3) to furnish the U.S. Parole Commission with information pertinent to consideration of parole; and (4) to serve as a source of information for research. If the report is to fulfill its purpose, it must include:
(a) All objective information that is significant to the decisionmaking process; (b) An assessment of the problems of the de- fendant and a consideration for the safety of the community; and (c) A sound recommendation with supporting ra- tionale that follows logically from the proba- tion officer's assessment. The presentence report describes the defendant's character and personality, evaluates his or her prob- lems, helps the reader understand the world in which the defendant lives, reveals the nature of his or her relationships with people, and discloses those factors that underlie the defendant's specific offense and conduct in general. It provides the sentencing options and a general plan to meet the defendant's problems. Rule 32(c) of the Federal Rules of Criminal Proce- dure reflects the significance attached to the pre- sentence report by the judiciary. This rule requires the preparation of a report in each case unless waived by the defendant with the court's permis- sion, or unless the court makes the appropriate find- ing (Appendix A(l». When a defendant is committed to the custody of the Attorney General, a copy of the presentence re- port goes to the designated institution. If the court did not order a presentence report, a postsentence report must be prepared for the U.S. Parole Com- mission for all offenders receiving a custody sen- tence of more than one year. The institution relies on the presentence report for pertinent dat~ relat- ing to the kind and degree of custody. reqUIred ~! the defendant, needed medical attentIOn, capablh-
ties , and problems of the individual. The report also.
provides information regarding a~y ~upportl~e coT?- munity ties of the defendant. ThIS mformatlOn wIll aid the institution in formulating an institutional program. In considering whether to grant or deny parole, the Parole Commission assesses the essential infor- mation in the presentence report about the of- fender's personal and social adjustment prior to commitment, the offense and prior record.' and personal relationships within the commumty .to which the offender may return. The Parole Commls-
port may be disclosed (Appendix E). In most in- stances, if release of the information is otherwise deemed proper, it is best to obtain the defendant's written consent for release of information. Unso- licited letters on behalf of the defendant, however, are generally not part of the report and are there- fore subject to full disclosure to not only the de- fendant and both counsels, but also to the public as well. Prosecutorial use of a presentence report is in~ compatible with the purpose of the report as a sentencing and correctional tool. Candor and open- ness on the part of the report's primary source, the defendant, may be stifled if the report is available for subsequent prosecutorial or investigative use.
Probation Officer Liability and Protections From Civil Suits
Current case law has held that probation officers are immune from a civil suit for monetary damages, based upon alleged misconduct in the lifficer's in- vestigation and preparation of a presentence report (Spaulding v. Nielson, Appendix H). The court con- cluded that since "the presentence re:[:ort is an in- tegral part of the sentencing process," and the prob- ation officer prepares the report at the court's direc- tion, pursuant to Rule ~2, this probation officer function is also "intimately associated with the judi- cial phase of the criminal process" and is thus im- mune. If a civil suit or administrative claim is filed against a probation officer, he will either be immune or have a winning defense provided he has per- formed the subject act, or omission of an act, within the scope of his duties and in good faith belief of its legality. The officer's protections from such suits in- clude (1) the assertion of the court's judicial immun- ity; (2) the officer's quasi-judicial immunity; (3) the officer's good faith defense; or (4) the Federal Tort Claims Act, depending upon the specific circum- stances (for details on these protections see Ap- pendix H).
Investigative Role of Probation Officer
The probation officer is responsible for searching out all pertinent facts about the defendant, verify- ing the information gathered, interpreting and evaluating the data, and presenting it in an or- ganized objective report. The officer is responsible for investigating each defendant without preconcep- tion or prejudgment as to the outcome of the case. The information should distinguish between what is factual, inferred or alleged. In most circum- stances verification by personal contact is best; otherwise documents such as letters, facsimiles, and
certified statements may be used. For obtaining specific types of information on a defendant's back- ground, i.e., employment, education, medical, psy- chiatric, or financial records, an authorization form to release the information should be utilized (Ap- pendix G(1), (2), and (3». It is important that the defendant be seen at least twice during the course of the presentence investi- gation. At least one contact should be a home visit, since this gives the probation officer an opportunity to evaluate the defendant in familiar surroundings. Seldom does the defendant reveal his or her true self in a single interview. Often it takes more than one interview to establish a cooperative relationship and to give the defendant confidence in the proba- tion officer. If the investigation discloses information that is SUbstantially different from statements given by the defendant, it is important that the probation officer reinterview the defendant and attempt to resolve the conflicting statements. This process will assist the probation officer in determining the motivation behind any erroneous statements and may help to explain the defendant's personality and character. Unresolved discrepancies are reported as such. Rule 32(a) of the Federal Rules of Criminal Proce- dure provides that sentence shall be imposed with- out unreasonable delay. Generally, the probation of· ficer will have 3 to 4 weeks to complete the investi- gation and write the report. While neither the "Speedy Trial Act of 1974" nor Rule 50(b) of the Federal Rules of Criminal Procedure sets an ex- press time limit ~n the sentencing process, the in- tent of both laws makes it clear that sentencing is to be expedited. Required Content of the Presentence Report.- Rule 32( c) of the Fedeml Rules of Criminal P't'Oce- dure is the pJ'obation ojJ~cer's authorization for pre- paring presentence reports. It specifies what the presentence report shall contain, i.e., H(A) any prior criminal record of the defendant; "(B) a statement of the circumstances of the com- mission of the offense and circumstances affecting the defendant's behavior; "(C) information concerning any harm, including financial, social, psychological, and physical harm; done to or loss suffered by any victim of the offense; and "(D) any other information that may aid the court in sentencing, including the restitution needs of any victim of the offense." Rule 32 does not exclude any specific kinds of in- formation. Case law has imposed, however, some limitations on the information contained in the pre- sentence report. In making its sentencing decision the court is prohibited from considering prior con- victions of a defendant that were invalid because, in
violation of his sixth amendment right to counsel, he had not been represented by counselor had not properly waived counsel. Similarly, the court is pro- hibited from treating as a conviction any previous criminal charges against the defendant that resulted in dismissal or acquittal (Appendix C). Investigations Prior to Conviction or Plea.-Rule 32(c) provides for a presentence investigation to be ordered pri6r to conviction when the defendant con- sents. This may occur in any of the following situa- tions: (1) Rule 11 plea agreement procedures; (2) Rule 20 transfers for plea and sentence; or (3) where it is the practice of the court. In every instance the defendant must sign a consent form. (See Appendix F(l).) With the written consent of the defendant, presentence reports may be inspected by the court at any time. The defendant can waive a presentence investigation but only with the permission of the court (Rule 32(c)). (See Appendix F(2) for the waiver form.) Start Where the Defendant IS.-In conducting the investigation and writing the report, the probation officer is primarily concerned with the defendant as he or she is today. The court must deal with the end product of the defendant's experiences, both posi- tive and negative. Accordingly, in this format, past experiences are reported only to the extent they assist in understanding what motivates the defend- ant's behavior or aid in predicting what kinds of be- havior may be anticipated in the future. During the presentence investigation the defend- ant may be amenable to personal change. The in- vestigation may have both a salutary and traumatic effect on the defendant. The crisis of the situation often brings about a reevaluation of the offender's personal situation. Thus, it is an excellent time to develop a positive atmosphere for the subsequent supervisory relationship. Tangible Facts Not Enough.-A presentence re- port is more than a compilation of tangible facts. In- formation about family, employment, health, and other factors has relatively little value unless in- terpreted in relation to the defendant's behavior. Likewise the attitudes and feelings of the offender regarding the offense and his or her reactions to op- portunities, accomplishments, disappointments, and frustrations are important. Time, patience, and skill are required to uncover these more subjective fac- tors and to develop their relevance. Both the tangi- ble facts and the intangible information are best pre- sented in a manner which reveals their relevance to the problems of the defendant and the protection of the community. Above all it is the ability to select the pertinent data, to separate fact and inference, to draw out the subjective elements and to assess their relative importance that distinguishes the trained and skilled probation officer.
4
Discussion of the Report With the Judge.-Judges are encouraged to discuss the presentence report with the chief probation officer and the probation of- ficer who conducted the investigation. Bear in mind that additional factual information provided at this time is subject. to the rules on disclosure. Coopera- tion and communication between the probation of- ficer and sentencing judge are essential to the sen- tencing process.
Composing the Report
The presentence report contains information which it: related to the present character and be- havior of the offender. Information about the de- fendant's birth and early development is generally unnecessary in the case of an adult who has normal intelligence and relatively normal behavior. Detailed information about family members with whom an adult defendant has had no contact in many years may be of little significance. A com- prehensive school report will be more pertinent in understanding a juvenile or youth offender than a person in his forties or fifties. An extended history of similar types of offenses, history of unemploy- ment, instability, and family discord, however, can provide pertinent insights. Avoid verbatim repetition of the indictment. De- scribe the defendant'S ojJ'ense behavior specifically enough to permit an eV(l,luation of the severity of the ojJ'ense. Do not recite details which add nothing to the evaluation, or tell nothing about the defendant's personality and conduct in general. Brevity.-For clarity and interest use short sen- tences and paragraphs confined to single topics or thoughts. Avoid repetition. Do not employ brevity, however, at the expense of {!ompleteness. Avoid ir, relevant statements such asp "This juvenile has no military experience"; "The defendant had no broth- ers and sisters"; and "There io no history of hos- pitalization for emotional disorders." Use of "Label" Terms,-Generalized terms and unsupported adjectives frequently fail to define the difference between persons, situation&, and circum- stances. Terms such as "disorderly home," "shock- ing conduct," ulacking in judgment," "poor disci- plinarian," "undependable person," "makes a good living," "heavy drinker," have different meanings to different people. The judge, the probation officer, the defendant, and the employer do not l':,rive the same evaluation to such terms. Therefore, if used, these terms should be defined. When the presentence investigation is conducted prior to conviction, the probation officer must not presume the guilt of the defendant. Labeling of a defendant is to be avoided because it connotes vary- ing perceptions of the defendant which may not be
port reflects that the presentence report has been reviewed and from the available evidence it appears that: (1) the presentence report contains all per- tinent, factual information or that efforts have been made to secure this information; (2) the defendant has been thoroughly interviewed and wherever pos- sible a home visit was made; (3) the information contained in the report is necessary and suj]'icient to assist the court in understanding the individual and the circumstances of the oj]'ense; (4) the report conforms to the Publication 105 format; (5) the re- commendation includes specific, accumte informa- tion which does not include any new facts (facts which are not stated in the body of the report or in the excludable information section), and that the re- commendation conforms to statute; and (6) all un- verified information is clem"ly labelled.
Core Concept
Pertinent Facts Determine Length.-This mono- graph sets forth a flexible model for preparing pre- sentence reports known as the core concept-a core of essential information supplemented by addi- tional pertinent information. The amount of informa- tion which is essential and pertinent will determine the content and length of the report. By leaving out any information not related to the sentencing deci- sion the probation officer produces reports that are factual, germane, precise, and succinct. Each report is prepared after a thorough explora- tion of the defendant's background. The officer evaluates the facts and reports only the information which will help the court understand the individual and the circumstances of the offense. A concise 're- port read in its enti'('ety and conside1'ed by the cmLrt in sentencing is more ej]'ective than a lengthy one not considered 0'(' used. The length of a presentence report and the num- ber of items it contains will vary. The greater the consequences of a judgment the more likely it is that the court will need a greater range and variety of information. For example, in the case of an indivi- dual who has committed a violent or potentially violent offense, any consideration for probation re- quires substantially more knowledge of the indivi- dual than the case of a situational, nonviolent first offender. The Body of the Repm"t.-The presentence report consists of the following five core categories and subsections:
- Offense (Core) Prosecution Version Victim Impact Statement
6
Defendant's Version Codefendant Information Statement of witnesses and complainants
2. Prior Record (Core) Juvenile adjUdications Adult record 3. Personal and Family Data (Core) Defendant Parents and siblings Marital Education Employment Health Physical Mental and emotional Military service Financial condition Assets Liabilities 4. Evaluation (Core) PTobation Officer's Assessment Pa'('ole Guideline Data Sentencing Data _Special Sentencing PTovisions
- Reeommendation_ (Core)
Recommendation and Rationale Voluntary Surrender
All repoTts will use all core categories. THE NONITALICIZED SUBSECTIONS MAY BE SUMMARIZED IN A SINGLE NARRATIVE STATEMENT OR, AS NEEDS DICTATE, MAY BE ENLARGED UPON UNDER SEPARATE PARAGRAPH HEADINGS. As the investigation proceeds, unless the court has directed otherwise, the probation officer, after consultation with his supervisor, will determine the extent to which each subsection needs to be probed and reported.
After completing the investigation, professional discretion must be exercised in deciding whether to report the personal and family history in a single narrative section or in specific subheadings. When one or more areas of the defendant's personal life has played a major role in contributing to his or her present problems, the probation officer may elect to examine those areas under specific subheadings.
Outline, Contents, and Format of the Presentence Report
Identifying Information (Face Sheet}.-The face sheet of the presentence report provides the court with a brief overview of significant identifying and court related inforination. It is important to provide accurate information on the face sheet. Any un- verified information must be labeled. Example: *In- formation not verified. The first page of all present- ence reports contains the following identifying infor- mation as set out on Probation Form No.2. Some items do not apply to corporations.
(1) NAME: Enter the name of the defendant as shown on the court record and any ali- ases ("also known as" is abbreviated "a/ k/a"). Enter the defendant's legal name if different from the court name. (Cau- tion should be used in the cases of pro- tected witnesses.) (2) (a) DATE: Scheduled sentencing date. (b) DATE: Date of dictation of the report. (3) ADDRESS: Give the present home address; indicate "transient" when applicable. (4) LEGAL RESIDENCE: Give the legal resi- dence if different from the present home address. Otherwise state "same." (5) DOCKET NUMBER: This 9-digit number may be obtained from the court clerk's or U.S. attorney's file. In cases disposed of by the U.S. magistrate, the magis- trate case number should be entered. (6) RACE: Race is determined by ancestry and is to be recorded as Caucasian, Black, American Indian, Asian, or other. (7) CITIZENSHIP: Enter the name of the country of which the defendant is a sub- ject or a citizen. If a naturalized citizen, so indicate. (8-10) AGE/DATE/AND PLACE OF BIRTH: Give the age in years on the last birthday and the date of birth reflecting the month, day, and year of defendant's birth. Place of birth is shown below the date. This entry should be recorded as follows: 31 3/21/ Clio, MI. (11) SEX: Identify whether male or female. (12) EDUCATION: Enter the highest grade for which defendant has received credit. If the defendant is presently attending school, record the last grade level com- pleted, and the grade or year in which presently enrolled. (13) MARITAL STATUS: Select the defendant's marital status from the following: single,
'
married, cohabiting, widowed, divorced, or separated. (14) DEPENDENTS: This includes defendant's spouse, children, and stepchildren.living in defendant's household as well as any other person to whom defendant contri- butes more than 50 percent support. This should be stated as "Two (wife and one child)." (15) SOCIAL SECURITY NUMBER: Enter the 9-digit Social Security number. (16) FBI NUMBER: The defendant's FBI finger- print number is entered in this section. This may be obtained from the arresting agency, U.S. attorney, U.S. marshal, or the fingerprint record. (17) U.S. MARSHAL NUMBER: The de- fendant's U.S. marshal number is en- tered in this place. This number can be obtained from the U.S. marshal or the U.S. attorney. This number is essential for drug treatment contracts. (18) OTHER IDENTIFYING NUMBERS: This space may be used to record local police agency numbers, driver's license num- ber, passport number, Medicare/Medi- caid number, Immigration and Naturali- zation Service number, or similar iden- tifiers. (19) OFFENSE: State the title of the offense or offenses with U.S. Code section for which the defendant is to be sentenced. Example: Possession of Stolen Mail, 18 U.S.C. 1708. (20) PENALTY: Enter the maximum statutory penalty for the specific offense(s), in- cluding special parole terms, fine, and restitution. This information can be ob- tained from the U.S. Code and/or the U. S. attorney. State eligibility for Youth Corrections Act, Young Adult Of- fenders Act, Narcotic Addict Rehabilita- tion Act, or other special sentencing provisions. (21) CUSTODIAL STATUS: If the defendant is not in custody, indicate the condition of release, including amount of 'bond: (1) personal recognizance-the defend- ant is released upon personal or own recognizance without an unsecured ap- pearance bond being ordered; (2) unse- cured bond-the defendant is released on own recognizance with an unsecured bond being ordered; (3) 10 percent de-
and where crime was committed. Defendant's profit from this crime and any aggravating or mitigating circumstances. Summary of code- fendant(s) involvement even if named on (a) separate indictment(s). In all drug offe:/lse cases, include a statement of the amount of pure drug found to be present through chemical analysis. (See U.S. Probation Manual, Vol. X, Chapter 2, for details on calculating the net weight of the pure drug.)
Include if Pertinent: Date and place of arrest. Statement of arresting officer. Attitude of defendant toward arresting officer. Degree of cooperation. Extent to which offense follows pattern of any previous offense. Relation of offense to organized crime or racketeering. Amount of loss recovered. Full or partial restitution. Other alleged violations. If a plea agreement has been offered, attach a copy or provide the terms (Rule lI(e), Federal Rules of Criminal Procedure). However, in those plea ag1'eements which indicate that the defendant test'ij~ed or will testijy against another indivi- dual, do NOT include that info1'1nation in this section. It should be summarized and placed 'in the Potentially Excludable Information sec-
tion. * Information as to the defendant's adjust-
ment while on bond. If under the supervision of a pretrial services officer, the probation officer should use the pretrial case material in prepar- ing the presentence report.
Comment: Information for the prosecution ver- ,ion of the offense may be obtained primarily from che office of the U.S. attorney. It is the probation officer's responsibiUty to prepare all sections of the p1'esentence report. Lengthy statements submitted by the prosecutor or any other individual can be edited by the probation officer, but consultation with the party may be necessary to assure that the edited information is factual and accurate. In keeping with the Privacy Act of 1974 (Ap- pendix D) make arrangements with the U.S. at- torney's office or obtain the defendant's consent for the release of information from government files, The U.S. attorney's office in each district can advise of the procedure for obtaining this information. Most of the essential offense data may be found in the U.S. attorney's file, including the nature of the charge, details of the offense, statements of arrest-
ing officer(s), statements of codefendants, complain- ants, witnesses, and victims, and a summary of the arrest record. For offenses involving multiple de- fendants, probation officers must consult with one another on the prosecution version and include com- plete and consistent information regarding all de- fendants. For drug offenses obtain details on the net weight and purity of the drugs purchased, seized or sold. If this information is not available from the U.S. attorney, the Drug Enforcement Administra- tion should be contacted. Other Sources of Infcmnation can include the in- vestigating agent, other law enforcement agencies involved in the investigation, and the clerk of the court's file. In this section the probation officer should include additional data not obtained from the prosecution and any statements or' evidence pr'o- vided by a sow'ce which ot't'm's dij]iwing views of the ojJ'ense behavior, including firsthand statements. of complainants and witnesses. The soul'ce of this in- formation should be cleal'ly labeled.
Victi1n Impact Statement
Include where there is an identifiable victim: "Information concerning any harm, including fi- nancial and social, psychological, and physical harm done to or loss suffered by any victim of the offense; and any other information that may aid the court in sentencing, including the restitution needs of the victim," Rule 32(c), Federal Rules of Criminal Pro- cedure, as amended by P.L. 97-291 (October 12, 1982). All parties making such statements to (t ptO- bation of]Ycer should be awar'e that the court must disclose all s~LCh information to the defendant and the attorney for the government. The financial assessment can also be useful to the court in making restitution orders under P.L. 97- (18 U.S.C. 3579) or 18 U.S.C. 3651 (see Financial Section for details on information to be included). Note: The restitution provisions of P.L. 97-291 ap- ply only to Title 18 and certain subsections of the Federal Aviation Act (49 U.S.C. 1472). However, under 18 U.S.C. 3651 restitution may be ordered for any offense, but only as a condition of probation. 18 U.S.C. 3651 - "The defendant may be required to make restitution or reparation to aggrieved parties for actual damages or loss caused by the offense for' which conviction was had." An example of a victim impact statement is set forth below:
*Information regarding the defendant's testimony and cooperation, which is part of a plea agreement and not included in the presentence report (as a protection to the defendant if he is incarcerated), may be disclosed by the court to the defendant 01' his attorney. If there is additional potentially excludable information (see page 17) this should be separated from the above information. A notation on the former page may be useful in assisting the court regarding disclosure.
Ml". Ray Reed of Washington, D.C., was the victim of the instant offense in which the defendant hit him over the head and stole his wallet. The wallet had $50, his driver's license, credit cards, and car keys. The defendant also stole his car. The offense occurred at gun point outside Mr. Reed's apart- ment. Mr. Reed's 1982 Chrysler LeBaron was discovered by local police four weeks later in damaged condition in Char- lotte, North Carolina. Although Mr. Reed was covered by insurance, he was not compensated for the damage to his car by his insurance com- pany because his car was recovered and he did not have com- prehensive coverage. Damages to the car included a broken windshield, two flat tires, and a smashed right front fender. Further, he had to travel to Charlotte, North Carolina, at his own expense, in order to pick up his car. Mr. Reed was also hospitalized for a slight concussion, and as a result, lost two weeks work. Mr. Reed certified by receipts (with the excep- tion of the cash) that his total loss, because of the defendant's offense, was as follows: *Hospital bill (deductible costs): Bus ticket to North Carolina: Gasoline return trip: Loss of 2 weeks work at $6.70 per hour: Two tires at $45 each: Windshield: New right fender/paint job: Cost of new driver's license: Cash lost: (unable to verify) Replacement of wallet/keys:
$ 100.
TOTAL: $1,224. *In addition to Mr. Reed's losses, the hospital bill paid by Immortal Insurance Co. was $450.00.
Mr. Reed also stated that he now suffers from anxiety at- tacks when he considers leaving his apartment at night. He would like to attend counseling for this problem but presently does not have any money for this expense. It would not be covered by his health insurance. An estimate of the cost of such counseling is $60 pel' session. Mr. Reed thought he might need as many as 10 counseling sessions to clear up this anxiety problem. Mr. Reed has no savings and even though he is employed, he is earning only $6.70 pel' hour and must support his wife and himself on his income. Thus, the probation officer's as- sessment of Mr. Reed's financial situation is that he is in dire need of being compensated for his financial losses and of re- ceiving the money for 10 counseling sessions.
Defendant's Version
Essential Data:
Summary of offense and arrest by defendant. Extent to which defendant admits guilt. De- f-sndant's explanation of why he became in- volved and what he hoped to accomplish. De- fendant's statements regarding damage done to a victim's property, the victim's loss, or any in- jury suffered by a victim. Include the probation officer's assessment of any differences between the defendant's version and the prosecution version.
Include if Pertinent: Defendant's feelings from time of offense until arrest and defendant's reactions after arrest (e.g., defiant, relieved, indifferent, etc.). The
defense counsel may also submit a statement which should be included in this section of the report. However, a lengthy statement may be edited in consultation with the defendant or attorney.
Comment: It is helpful to obtain both a written and verbal statement from the defendant. If possi- ble, the written statement should be included ver- batim. A verbal statement should be so labeled and paraphrased. VVhatever the defendant says about the offense and his involvement is helpful in under- standing him. The offender's statements may vary from those of the law enforcement officer's and the U.S. attorney's, but the defendant is entitled, nevertheless, to make clear his version of the of- fense and to give his own interpretation of the un- derlying circumstances and his motivations.
Codefendant Information
Include if Pertinent: Extent of codefendant's participation in the of- fense and the present status of his prosecution, including separate indictments. Relative culpa- bility of the defendant in relation to codefend- ant(s) and coconspirator(s). Codefendant's ver- sion if available. Codefendant's attitude toward the offense, and the defendant, plus codefend- ant's statement of defendant's participation.
Comment: If there is a codefendant, it is im- portant to have his version of the offense and the extent to which he may have been a leader or an aggressor. The court is interested in knowing the relative culpability of all the defendants. This re- port should indicate whether the codefendant(s) has been apprehended and what disposition was made or when it will occur in that case.
Prior Record
Juvenile AdjUdications Essential Data: Date, charge, location, disposition, and repre- sentation by counsel of all referrals to juvenile court by law enforcement officials.
Comment: The probation officer .should report all referrals to the juvenile court involving acts which would, if committed by an adult, constitute a crime. Status offenses, e.g., runaway, incorrigible, truant, beyond parental control, etc., are more properly de- scribed in the Personal ana Family Data section. Each entry, in chronological order, should include the date of referral, the name and location of the
source(s) providing the information. If there are a number of sources, they may be included in the summary of the offense.
Example: Age 27 4/6/69: Burglary I
Multnomah County, Port- land, Oregon· (Multnomah Sheriff's Office)
7/13/69: 3 years State 'Prison released: 7/12/71; parole supervi- sion expired: 7/6/ Not determined whether represented b~' counsel. According to the Sheriff's office report, sheriff deputies were called by neighbors who had seen the subject break a back window and then enter the house next door. When the deputies arrived subject was apprehended while fleeing the premises with a camera, silverware, and jewelry. According to his state parole officer, subject cooperated and satisfactorily completed his period of parole supervision.
For serious offenses summarize the circumstances of the offense. If the defendant has compiled a lengthy history of misdemeanor and/or traffic ar- rests, these may be summarized in a narrative form. Data should include the time period involved, the general type(s) of offenses and the range of dispo- sitions.
Example: From 1968 to 1977, Mr. Jones was arrested five times for drunkenness and four times for minor traffic violations result- ing in bail forfeitures or fines ranging up to $50, and two jail terms of less than 10 days (both for drunkenness). He was represented by counsel for only three of the intoxication offense::;. Arrests subsequent to the present offense are to be recorded in the same manner as those set forth in the Adult section. 'l'hey should be clearly labeled be- cause they may reflect persistent problems. Fur- ther, the interest of other jurisdictions may have an impact on disposition of the present case.
Personal and Family Data
The core category Personal and Family Data is comprised of the following subsections:
Defendant
Parents and Sibul.lgs Marital Education Employment Health Physical Mental and Emotional Military Service Financial Condition Assets Liabilities
12
In all cases this core category will be used to report information about the defendant's family, marriage, education, employment, health, military service, and financial condition. IF AFTER EX- PLORING ALL OF THE SUBSECTIONS THE INFORMATION IS FOUND TO BE UNRE- MARKABLE OR ROUTINE, IT IS TO BE RE- PORTED IN A SINGLE NARRATIVE. Whenever information is received which indicates unusual social or personal circumstances which may have contributed to the defendant's present difficulties, report this in a separate subsection with an appro- priate heading.
Defendant
Essential Data:
Influences of early life that may have a signifi- cant bearing on defendant's present personality and behavior. Extent of family cohesiveness, attitudes of parents, and important factors in the home and neighborhood environment. Per- sons who reared defendant if other than par- ents. Present status of this relationship. Family members with whom defendant is especially close. Age left home, reason for leaving. Any history of running away from home. Primary factors affecting defendant's present mode of living, including relationship with family mem- bers, associates, and home and neighborhood in- fluences. Career and social accomplishments. Any other major factor affecting defendant's present behavior.
Include if Pertinent: Naturalization status (country of birth and place and date of entry into United States). Order of birth among siblings. Significance of religion in the defendant's life. Home and neigh- borhood. Special talents, interests, and leisure- time activities (including sports, hobbies, and organizations).
Cornrnents: Include only that family background information which is necessary to understand the defendant and to help in his or her personal and so- cial adjustment. Start where the defendant is now. What are the most important influences in his or her life? Portray early life experiences in a manner which points out their relevance to defendant's pre- sent life. Attitudes and the relationship between the defendant and his or her parents and family are especially significant if the defendant has regular contact with them. Parents' and siblings' names are useful to the Bureau of Prisons if the defendant is
committed. What does the defendant say that is favorable or unfavorable about the family? What family problems and relationships are disturbing and with which ones is he or she unable to cope? In appropriate instances, report those environ- mental or economic factors which contributed to the defendant's present situation. For example, is the defendant attempting to maintain a standard of liv- ing beyond his financial means? Defendant's past or present involvement in reli- gious activities should be included in the report if they are l'elevant to his or her current situation. Meaningful religious involvement may be a major in- fluence on one's life and also on an offender's feel- ings regarding involvement in illegal activities. Include talents, interests, and leisure-time activ- ities only if they are an important part of the de- fendant's social adjustment.
Pareuts and Siblings
Include if Pertinent: Parents and siblings-name, age, address, citi- zenship, naturalization status, employment, education, marital status, health, religion, eco- nomic status. If deceased, cause and age at time of death. History of emotional disorders, di- seases, and criminal behavior in the family. At- titude of parents and siblings toward defend- ant's offense.
Cmnment: Resist the tendency to report extrane-
ous information about parents and siblings. Such in- formation as dates and places of birth, health, edu- cation, religion, employment, and earnings may in many instances have little or no relevance. Detailed information about the family generally is more perti- nent in understanding juvenile and youth offenders than older offenders. What is the cultural back- ground of the family? What family influences are ap- parent? What stabilizing factors are there in the pa- rental family? To what community agencies is the family known?
Mar"ital
If defendant has never married or cohabited, omit this section. Essential Data: Present marriage or relationship if cohabiting. Date and place of marriage; name and age of spouse at time of marriage as well as present status of the relationship. Quality of the re- lationship between defendant, spouse, and children-cohesive or stressful? Previous mar- riage(s). Name of previous spouse(s) (death, di-
vorce, or annulment). Children from previous relationships. Problems in the current marriage and the attitudes of both parties toward resolv- ing them.
Include if Pertinent: Significant facts in spouse's background pre- sently affecting relationship with defendant. History of courtship and reason for marriage. Name, age, and custody of children and volun- tary or court ordered support obligation. Atti- tude of spouse and children toward offense. Contacts with domestic relations court indicat- ing abuse or neglect of children or abuse of spouse. Juvenile court involvement of children. Social agencies involved with the family. Di- vorce date including grounds, date of final de- cree, special conditions, and to whom granted.
C07n1'nent: A presentence investigation is not
complete unless an attempt has been made to in- terview the spouse, or cohabiting partner, if any. This person can be a valuable source of information about the family and the relationship. Such a per- son, however, can also be a biased source either against or in protection of the defendant. A disorganized family life can contribute in large measure to the defendant's conduct and the partner can be a factor in the offender's difficulties with the law. Therefore, it is impvrtant to know about the partner's personality, character, problems, and so- cial adjustment. Sometimes neighbors, relatives, and other social agencies can also cast considerable light on the relationship. It is helpful to know which family problems each marital partner finds it especially difficult to ad- dress. Stabilizing influences provided by each part- ner should be noted. Does each partner display a re- sponsible attitude toward the relationship?
Education
Essential Data: Educational achievement, age left school and reason for leaving. Last grade completed and the grade or year in which presently enrolled if the defendant is attending school.
Include if Pertinent: Date and name of last school attended. Social adjustment while in school as evidenced by con- duct, scholastic standing, training, leadership, special abilities and disabilities. Business and trade training. Inability to read, write or un- derstand English.