What Does PSI Mean?
PSI stands for "Pre-Sentence Investigation". It is the last step before sentencing in a case that is settled by way of plea or jury verdict of guilt. After a conviction has taken place, the Judge will usually schedule a PSI within 30 to 90 days of that conviction. A Court appointed probation officer will perform the PSI by interviewing the defendant and certain family members, employers, co-workers, and/or friends. The interview is generally several hours long. The probation officer will ask the defendant lots of personal questions – about finances, family members, education, work history, substance abuse issues, prior problems with the law, and much more. Additionally, a nationwide criminal records check will be performed to determine whether the defendant has any criminal convictions in other states.
After the PSI is completed, the officer will file a report with the Court that contains the information that he or she learned from the interview, and other non-privileged information. For example, reports from governmental agencies will be incorporated into the report . The probation officer will also provide a detailed sentence recommendation for the Court to consider when ordering the final sentence.
The PSI is one of the most critical and important pieces of information that the Court will consider because it is a broad, detailed, and reliable report that tries to paint a full and accurate picture of the defendant. Whenever possible, a defendant should try to provide the probation officer with as many details as possible about the circumstances of the case, and any details that might explain why the offense occurred. The defendant should also provide the probation officer with a list of names and phone numbers for friends and family members who can provide further information if needed.
When sentencing an offender, the Court has to balance the concerns of the State to punish the defendant and protect the public, with the need of the offender to rehabilitate and reintegrate back into society. The PSI is one of the most important documents designed to help the Court do that.
What Is the Purpose of a Pre-Sentence Investigation?
Once a defendant has been found guilty of a crime, either by plea or verdict reached by a jury, it is common for a Pre-Sentence Investigation to be ordered. Each Judge has their own philosophy and approach regarding PSI’s, but the purposes are generally the same. The purpose of a PSI is to provide the Judge with all information about a particular case and proposed offender prior to sentencing. Information contained in a PSI includes, but is not limited to, the facts of the offense, defendant interview, criminal history, probation/parole history, prison history, medical and mental health needs, and victim impact statements.
Once the Judge has received the PSI, he or she will review all information contained within it and use that information to make an informed decision regarding an appropriate sentence. In essence, a PSI provides the Court with as much information as possible to allow the Judge to consider all factors involved in a proposed sentence prior to District Court sentencing. While the PSI is ultimately not determinative of a criminal sentence, it goes a long way in influencing a Judge’s sentencing decisions. Additionally, the PSI serves the purpose of protecting the public by advising the Court on whether probation is appropriate in a particular case. A Judge may view a proposed offender as someone who would benefit from probation and an opportunity to rehabilitate themselves, while also protecting the public through sentencing conditions, or may view a proposed offender as a high-risk individual who should be imprisoned. Some factors a Judge may look at when viewing a PSI include: future dangerousness of a defendant, deterrability, rehabilitation of the defendant, and the effect of the defendant’ imprisonment on their family. In some cases, the Judge may even conduct an informal hearing on the topic prior to drafting a final PSI report.
Like any other report, however, there may be some inaccuracies contained within a PSI. The importance of hiring an experienced attorney cannot be overstated in such circumstances. He or she can help ensure inaccurate information does not make its way into the hands of the Judge. An experienced lawyer can also assist in preparing materials to help the Judge fully appreciate mitigating factors and the reasons that probation is a suitable option in a particular case (if applicable).
What is in a PSI Report?
While a PSI can vary from case to case, there are a number of components that make them very similar. Typical components of the report include:
o Criminal history or prior history including adult and juvenile criminal record of offenses.
o The circumstances of the offense (prior and subsequent to arrest).
o Prior treatment and/or substance abuse history.
o Prior or "other" arrests which did not result in convictions.
o Family background including spouse, employment, marital history and siblings.
o Physical and medical health including mental health concerns.
o If applicable, a list of the victim’s injuries.
o Victim impact statements which may include input from the victim or his or her family.
o The likelihood for rehabilitation.
o Mitigating and aggravating factors which may include circumstances such as whether the crime was premeditated, or whether the defendant showed remorse after the fact.
o A recommendation of the disposition or the sentence to be imposed.
o Brief summary of the proposed or negotiated sentence (if available).
o When evaluating a PSI the court considers these factors and is increasingly focusing on mitigating factors such as first offense circumstances, family and community support, employment history, and lack of prior criminal history. The Court is also recognizing concern for the defendant’s family when they impose a sentence.
Who Does the PSI?
A Pre-Sentence Investigation (PSI) is usually conducted by a probation officer. In Indiana, only Department of Correction or pretrial adult probation officers can conduct PSIs. [I.C. 35-38-1-12.1(a)(2).] Usually, the probation officer is not the same probation officer who supervised the offender. For example, if an individual was on probation for a felony and was arrested for another matter in a different county, the new probation officer would likely not be the same probation officer who had supervised the individual’s previous felony term of probation.
Probation Officers are generally hired and trained to conduct criminal investigations. They have usually completed college courses in psychology, sociology, counseling, or criminal justice. As you can imagine, probation officers have many duties in the court system. In most courts, they are responsible for the caseload of pre-trial cases and perform all of the duties associated with the pre-sentence investigation, giving all of his/her attention to these matters.
How Does the PSI Affect Sentencing?
One of the most import documents for the Judge to review prior to sentencing is the PSI report which will have the impact of forwarding personal information about the defendant to assist the Judge in imposing a reasonable sentence. In fact, Rule 32 of the Federal Rules of Criminal Procedure require that the Court must order a presentence investigation and submit a report to the court prior to the imposition of sentence.
Additionally the Court’s obligations at sentencing include those including disclosure of information and any revised presentence report, an opportunity to comment on the presentence report and any revisions thereof [and if the defendant has been found guilty of any counts,] the Court shall address defendant personally in order to permit the defendant to speak or present any information to mitigate the sentence .
The PSI will contain specific information such as the defendant’s age, education, criminal history and recommendations for the judge to consider. The PSI will also contain information about the offense itself, what took place prior to the arrest, during and subsequent to arrest. This information will then be turned over to the probation officer who will compile a report to help the judge in deciding the sentence. Additionally the probation department will also consider any victim impact statements that may have been submitted by the victim in the case. These are things that all can have a significant impact on the case as well as the Judge’s decision on sentencing.
Lastly unlike a state PSI report which is usually just considered a recommendation, a federal presentence report is authoritative and is considered that bible to the Court at the time of sentencing although the Court will listen to argument from both sides prior to deciding a fair sentence.
PSI Problems and Criticism
Some critics also charge that PSIs can lead to inconsistent sentencing. Because the information contained in the PSI is not verified and cannot be challenged by the defense, the information included can sometimes exclude important or contradictory facts that could have impacted the sentencing decision. A judge may rely on information in a PSI to sentence an offender to the maximum sentence under the law, despite information in the PSI that would have supported a lesser sentence. Other critics note that PSIs can be used to unfairly target individuals of certain demographics. This creates a risk that similar offenses will be penalized more harshly for some ethnic and racial groups than others, and is an issue that has been further complicated as information in PSIs (such as place of employment and apartment complex) can be used to identify people by race, ethnicity or religion.
In addition, critics of the PSI process have discussed the difficulty in holding writers of PSIs accountable for bias in their evaluations. A judge can sometimes disagree with an unfavorable PSI, but there is little reason to believe that the writer has ulterior motives. Even if a writer has a pre-determined agency agenda, the large volume of information contained in the PSI and the unstructured nature of the process can make it difficult for courts to target specific biases. Additionally, concerns with PSI bias are often made from the perspective of intentional bias, when in reality other factors such as rules of evidence, linguistic phrasing, and personality differences may unintentionally add bias to the system.
Recent Developments in Use of the PSI
Recognizing and rewarding the purposes served by a PSI, there has been a recent trend in which a number of states are emphasizing the need for a complete list of offenses to be gathered before making the decision to submit an individual to probation. In Ohio, for example (as reported on the blog last year), the Ohio Adult Parole Authority issued a statement announcing that, as a result of the review of their rules, it was determined that the Absence of Charges section of the PSI should contain the following information:
Absence of Charges: List all alleged crimes for which you were arrested but not charged. Include the arrest and booking dates, city, and arresting agency if known.
The Court is inquiring about other alleged criminal activity (e.g. , arrests, charges, etc.) prior to your current offense(s).
(Note, previous to this change the PSI form did not list these crimes and Arresting Agency was not listed.)
South Carolina’s PSI form, in the Instructions for Preparing a Presentence Report, notes that when examining a juvenile’s criminal record, they should consider, in part, "any arrest that could have resulted in charging the juvenile as an adult." New York’s PSI form had similar instructions. A Colorado bill, aimed at bringing the PSI up to date with the standards for confidentiality and security, specifically directs the Department of Corrections to maintain a central database or central file of all PSIs.
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