342.01 Pre-sentence Investigation (PSI) Reports

1 State of Vermont Agency of Human Services Department of Corrections Title: Pre-sentence Investigation (PSI) Reports Page 1 of 20 Chapter:DISTRICT OFFICES - GENERAL# Supersedes # dated 4/09/1997 and # dated 6/27/11. Attachments, Forms & Companion Documents:1. Pre-sentence Investigation report Format 2. Pre-sentence Investigation report Format for Sex Offenders 3. Treatment and/or Assessment Release Letter for Sex Offenders 4. Request for Offender Social Security Earnings Information 5. Request for Offender Military Records 6. Request to Court to Access Juvenile Records 7. Request to VCIC to Access Deferred Sentence Information for Registrable Sex Offenders Local Procedure(s) Required: No Applicability: All staff (including contractors and volunteers) Security Level: B - Anyone may have access to this document. Approved: _____ December 20, 2011 March 1, 2012 Andrew A. Pallito, Commissioner Date Signed Date Effective PURPOSE The purpose of this administrative directive is to establish standards for the format and best practices in the preparation of all types of Pre-sentence Investigation (PSI) Reports , and to identify which correctional staff may conduct a PSI and the training required before staff may conduct a PSI.

2 POLICY It is the policy of the Vermont Department of Corrections to produce Pre-sentence Investigation Reports , which provide timely, relevant and accurate information to enable the Court to make informed sentencing decisions and to assist the Department in the classification process. AUTHORITY 13 7041(h); 28 202, 204, 204a; 33 5117 32 (c). # PSI Reports Page 2 of 20 Effective March 1, 2012 REFERENCE 13 7041. DOC-DCF Memorandum of Understanding, Child Protection Measures, 11/09/09. DOC-DAIL Memorandum of Understanding, Information about Substantiations of Abuse and Sexual Exploitation, 12/02/11. American Correctional Association, Standards for Adult Probation and Parole Field Services, 3rd Edition, August 1998, Standards 3-3211, 3-3212, 3-3213, 3-3214, 3-3215, 3-3216, 3-3218, 3-3219, 3-3220, 3-3221, 3-3222, 3-3223, 3-3224, 3-3225, 3-3226, 3-3227. DEFINITIONS Collateral Interview: An interview by the PSI Investigator with family members, friends, employers or others who have or have had a relationship with the defendant.

3 These interviews are used to verify the accuracy and honesty of the defendant s information, and to add important additional information about the defendant s life, therefore strengthening the overall usefulness and reliability of the Investigation . If possible, information from the interviews should be incorporated into the different sections of the PSI report (see Attachments 1 & 2.) LSI- R (Level of Service Inventory-Revised): An objective, quantifiable instrument that provides a consistent and valid method of predicting risk to re-offend and a reliable means of measuring offender change over time through reassessment. It is a semi-structured interview supplemented with information from records or collateral sources. Results reflect risk and need in ten domains such as employment, family dynamics, etc., that inform the classification process. This assessment tool is used routinely by the Department in preparing a PSI. Pre-Plea PSI: A Pre-sentence Investigation (PSI) which may be ordered by the Court prior to a defendant s adjudication of guilt.

4 PSI Investigator: A DOC staff member who has been trained in conducting a Pre-sentence Investigation , writing a PSI report and representing the Department s recommendation in court. PSI ( Pre-sentence Investigation ): An Investigation of an offender that results in a written report by a Probation & Parole Officer (PSI Investigator) looking into the defendant s social, economic, medical, educational, and criminal background. The Court orders this report and staff submit it to the Court to assist them in making informed sentencing decisions. PSI also refers to the report itself. Static-99R: A 10-item actuarial risk measure used to aid in assessing sexual recidivism risk among convicted adult male sex offenders. Scores fall into one of seven levels reflecting the probability of sexual re-offending at 5, 10 and 15-year intervals (Hanson & Thornton, 2000). # PSI Reports Page 3 of 20 Effective March 1, 2012 Treatment Release Letter: A letter to the Court requesting permission to release the PSI report to a DOC-approved treatment provider for defendant treatment or assessment purposes.

5 VASOR 2 (Vermont Assessment of Sex Offender Risk): A risk assessment scale for adult male sex offenders designed to assist Probation and Parole Officers in making placement and supervision decisions. Scores on the 12-item re-offense risk scale fall into one of three levels reflecting the probability of sexual re-offending five years post-release. The 6-item violence scale was designed for assessing the nature of an individual's violence history and offense severity (McGrath & Hoke, 2001). PROCEDURAL GUIDELINES 1. Pre-sentence Investigation and report (PSI) General Although this administrative directive covers PSIs for all defendants, there is a somewhat different process for sex offenses. See Attachments 1 and 2 for specific details. a. A Pre-sentence Investigation report provides the sentencing judge information concerning the defendant's life and offense circumstances and provides the judge with relevant information on which to base a sentencing decision. It also reflects the professional judgment of and assessment by the DOC regarding risk management of the defendant.

6 B. Additionally, a PSI is used in the case planning process within correctional facilities and probation and parole offices. The PSI is also used by the Parole Board in its release decision and its decision regarding a need for further parole conditions. c. Staff of the district where the crime occurred is responsible for the completion of the PSI. Interoffice communication and collaboration are necessary when crimes are committed in one district and the defendant resides in another. Other circumstances, such as the availability of trained staff, change of venue, etc., may require that other Probation and Parole offices complete the PSI. Note: The PSI Investigator must organize the PSI using the appropriate format provided with this administrative directive (see Attachment 1, Pre-sentence Investigation report Format, or Attachment 2, Sex Offender Pre-sentence Investigation report Format). 2. Quality of Information The PSI, to the fullest extent possible, will contain verified, relevant and credible information gathered from the defendant s statements or collateral interviews.

7 The PSI Investigator will indicate in the PSI the source of the verified information, or will indicate if the information is based on the statements of the defendant or collateral interviews. 3. Disclosure a. Any PSI prepared by DOC staff is privileged information, and no staff will disclose it to anyone outside the Department except the Court or Parole Board without the permission of the Court or Parole Board. b. However, pursuant to the DOC-DCF Memorandum of Understanding, Child Protection Measures, 11/09/09, staff will send any PSI on a sex offender who has abused a child to the Department for Children and Families (DCF). If DCF wishes to make public any part of the report , they must obtain a court order allowing them to do so. # PSI Reports Page 4 of 20 Effective March 1, 2012 c. Staff will present the Court with a completed Treatment/Assessment Release Letter for Sex Offenders (see Attachment 3) as needed, in order to permit the release of the PSI to a treatment provider for defendant treatment or psychosexual evaluation purposes.

8 4. File Maintenance a. Staff will enter all PSIs as an Investigation in the Department s database. b. The finished electronic copy of the PSI must be saved to the designated office folder for PSIs. The District Manager must designate a secure location for the paper version of all PSIs and ensure that staff places every PSI in this secure location. c. Any material gathered to create the PSI ( , collateral contact interview information, victim letters, etc.) will be filed with the PSI as above with the exception of any information obtained from the Department of Disabilities, Aging and Independent Living (DAIL), including the copy of the Adult Protective Services (APS) report . Information obtained from DAIL, including the copy of the APS report , will be shredded immediately upon completion of the PSI. d. Affidavits, psychiatric/psychological Reports and treatment summaries must be copied and also placed in the offender s core file. 5. Timelines a. The PSI Investigator will ensure that the PSI is filed with the Court at least fourteen (14) calendar days prior to sentencing.

9 If the PSI Investigator is unable, for good cause, to meet this deadline, they may file a motion to continue, asking the Court for an extension. This request must be submitted to the Court as soon as the PSI Investigator knows that they will not be able to meet the deadline. b. The PSI Investigator will ensure that within five (5) business days of sentencing, copies of the PSI and the affidavit are sent to the appropriate correctional facility if the defendant is sentenced to a term of incarceration. 6. Investigation The PSI involves interviews with the defendant, the victim(s) or next of kin or guardian of the victim(s) (if relevant), and other individuals who can verify needed information. Note: The courts have ruled that Pre-sentence Investigation interviews are a critical stage of the sentencing process. If the defendant requests counsel, counsel must be allowed to attend the interview. a. Defendant Statement Regarding Offense: The PSI Investigator will ask the defendant for their version of the offense and the circumstances that led up to the offense.

10 This will include the following factors: the attitude of the defendant, premeditation of the offense, as well as statements of remorse/acceptance of responsibility or expressions of denial, including acknowledgement or denial of specific allegations and minimization of harm to the victim and community. See Attachment 1 or Attachment 2 for more detail. # PSI Reports Page 5 of 20 Effective March 1, 2012 b. Victim Impact Statement: If the victim, or victim s guardian or next of kin (if the victim is not competent or is deceased) chooses to offer comments or a written statement, including any financial, emotional and/or physical consequences resulting from the offense, the PSI Investigator will include their statement(s) in the PSI. The Investigator may work with local Victim Advocates in contacting victims and requesting statements or interviews. See Attachment 1 or Attachment 2 for more detail. c. Record Checks: Offense Summary: This is a concise and factual summary of the affidavit.