1. Chapter 4
Sentencing and the Presentence Investigation Report: Background, Preparation, and Functions

2. 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

3. 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:
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

4. 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

5. 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

6. 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

7. 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

8. 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

9. 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

10. 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

11. The Role of Probation Officers in Sentencing
Probation officers are closely connected with the sentencing process
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

12. 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 non- criminal history to aid the judge in determining the most appropriate sentence

13. 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

14. 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

15. 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

16. 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

17. 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

18. 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

19. 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

20. 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

21. 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