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Home My WebLink AboutPresentence InvestigationIdaho Department of Correction Standard Operating Procedure Title: Presentence Investigation Page: 1 of 13 Control Number: 702.04.02.001 Version: 4.0 Adopted: 12-12-1982 David Birch, chief of the division of probation and parole, approved this document on 07/17/2017. Open to the public: Yes SCOPE This standard operating procedure (SOP) applies to all Idaho Department of Correction (IDOC) employees involved in conducting presentence investigations, preparing and approving presentence reports, retaining presentence reports, and to employees with access to presentence reports. Revision History Revision date (07/17/2017) version 4.0: Extensive revisions throughout the document. Replaced Retention PSI, PSI Preparation, Investigation and Report and Pre-Sentence Investigation. TABLE OF CONTENTS Board of Correction IDAPA Rule Number ............................................................................. 2 Policy Control number 702 ................................................................................................... 2 Purpose ................................................................................................................................ 2 Responsibility ....................................................................................................................... 2 Standard Procedures ........................................................................................................... 3 1. General Information ..................................................................................................... 3 2. PSI Assignment Procedure .......................................................................................... 3 3. Interviews .................................................................................................................... 5 4. Victim Statements ........................................................................................................ 5 5. Evaluations .................................................................................................................. 6 6. Format ......................................................................................................................... 6 7. Content ........................................................................................................................ 6 8. Collateral Contacts ......................................................................................................10 9. Attachments ...............................................................................................................10 10. Review and Approval .................................................................................................11 11. Delivery ......................................................................................................................11 Control Number: 702.04.02.001 Version: 4.0 Title: Presentence Investigation Page Number: 2 of 13 Idaho Department of Correction 12. Corrections to the Presentence Report .......................................................................11 13. Release of the Presentence Report .........................................................................12 14. Retention of the Presentence Report .......................................................................12 15. Access to the Presentence Report ..........................................................................12 16. Performance Standards and Requirements .............................................................12 17. Periodic Review .......................................................................................................12 18. Alternative Work Location ........................................................................................13 Definitions ...........................................................................................................................13 References ..........................................................................................................................13 BOARD OF CORRECTION IDAPA RULE NUMBER None POLICY CONTROL NUMBER 702 Presentence Investigations and Reports PURPOSE The purpose of this SOP procedure is to establish the conditions by which a presentence investigation is conducted and presentence report is completed, identify steps of the presentence investigation process, and standardize report content. RESPONSIBILITY Division of Probation and Parole Chief and Deputy Chief The division of probation and parole chief and deputy chief are responsible for overseeing presentence procedures and for ensuring district managers comply with this SOP. District Managers District managers are responsible for implementing this SOP and for ensuring presentence investigators are following the guidelines and standard procedures provided herein. District managers must read this SOP annually. Section Supervisors Section supervisors or designee are responsible for assigning presentence reports to presentence investigators, reviewing Level of Service Inventory-Revised (LSI-R) assessments for accuracy, observing presentence interviews for auditing purposes, and reviewing and approving completed presentence reports to ensure the guidelines and standard procedures provided herein are followed. Section supervisors must read this SOP annually. Presentence Investigation Coordinator The presentence investigation coordinator is responsible for ensuring presentence investigators’ adherence to this SOP and for conducting Presentence Investigation Report Audits. Control Number: 702.04.02.001 Version: 4.0 Title: Presentence Investigation Page Number: 3 of 13 Idaho Department of Correction Presentence Investigators Presentence investigators, hereafter referred to as investigators, are responsible for practicing the guidelines and standard procedures provided herein. Investigators must read this SOP annually. STANDARD PROCEDURES 1. General Information Presentence investigations are conducted after guilt has been determined and a presentence report has been ordered by the court. Presentence investigations may be conducted and presentence reports prepared by investigators, probation and parole officers, and other staff who have received training in conducting presentence investigations and who are designated by the district manager or section supervisor. Presentence reports must adhere to Idaho Criminal Rule 32. Presentence reports must be accurate and findings must be communicated in a clear, concise, and objective manner. Attempts must be made to verify the information obtained through the presentence interview and investigative process, including hearsay information. Motivational Interviewing skills must be used during the presentence interview. The initial Level of Service Inventory-Revised (LSI-R) assessment must be scored the same day the presentence interview is conducted. The final LSI-R must be certified in the Corrections Integrated System (CIS) before the presentence report is delivered to the court. Investigators must maintain their certifications for Idaho Law Enforcement Teletypewriter System (ILETS) and LSI-R. 2. PSI Assignment Procedure When a court orders a presentence investigation, the following steps are used to assign the investigation. Functional Roles and Responsibilities Step Tasks Section Supervisor or Designee 1 Assign the presentence investigation within three days of receiving an order for a presentence report from a court. Control Number: 702.04.02.001 Version: 4.0 Title: Presentence Investigation Page Number: 4 of 13 Idaho Department of Correction Functional Roles and Responsibilities Step Tasks Section Supervisor or Designee 2 Populate the following date fields in CIS: • Referral Date - the date IDOC receives the order for presentence report from the court. • Scheduled Sentencing Date - the day sentencing is scheduled. • Report Due Date - the date the report is due to the court, which must be seven calendar days prior to sentencing, or per court order, except when the due date falls on a State holiday, in which instance the due date is the previous business day. • Make a case update entry in CIS to reflect the case's county, case number, crime, judge, due date, sentencing date, and investigator. District Manager, Section Supervisor or Designee 3 May change the report due date field in CIS to less than seven calendar days prior to sentencing but only with judicial approval and for the following reasons: • Judge directs the investigator to wait to submit the report until after the due date. • Investigator's inability to generate presentence report due to technical problems. • Any other reason deemed valid by the district manager or section supervisor, or designee. But not for the following reasons: • In lieu of a continuance • Due to a lack of information or evaluation • Due to the report being late due to workload or holidays Investigator 4 Make a case update entry in CIS if the report due date is changed to less than seven days. This case update entry must contain the explanation for the change in due date and verification of the judicial approval. Failure to include this information in the case update entry will be reviewed by the district manager for follow-up. Out of District PSI Assignment Presentence investigations may be conducted in one district when ordered by another district. The sending district must contact the district manager or section supervisor of the receiving district to arrange this. Once agreed to, the sending district must provide Control Number: 702.04.02.001 Version: 4.0 Title: Presentence Investigation Page Number: 5 of 13 Idaho Department of Correction the order for presentence report, presentence face sheet, police reports, and contact information for the victim(s). The district completing the presentence report must deliver it seven calendar days prior to sentencing, or per court order, except when the due date falls on a State holiday, in which instance the due date is the previous business day. 3. Interviews In-person presentence interviews must take place in a safe and controlled setting, such as a jail, correctional facility, or IDOC office. Interviews may be conducted via telephone or video, if approved by the district manager or section supervisor, or designee. Should a defendant fail to respond to the investigator's attempts to schedule an interview or does not appear for a scheduled interview, the investigator must notify the judge and attorneys of record. If a defendant opts not to participate in the presentence interview, investigators must inform the judge and attorneys of record. Presentence interviews are typically between the defendant and investigator. At the discretion of the investigator, and with the permission of the section supervisor, or designee, a third party may accompany the defendant in the presentence interview. The defendant's defense attorney is allowed to attend the presentence interview if requested. The third party must not disrupt the interview process. The investigator must note in the presentence report that a third party was present during the presentence interview. If an interpreter is needed to facilitate the presentence interview, only court-appointed interpreters, court-certified interpreters, professional translation services, or employees of IDOC who speak the defendant's native language will be used. The defendant or third party person is prohibited from recording the presentence interview. The investigator may record the presentence interview and take notes to facilitate the completion of the presentence report. These recordings and notes must be retained for 42 days post-sentencing, at which time they will be destroyed. Presentence interviews may be recorded for auditing or training purposes; however, these recordings must be destroyed within 30 days of audit or training completion. 4. Victim Statements Investigators must attempt to contact the victim(s) of the crime in order to solicit a victim impact statement. Investigators should inquire about the physical, financial, and emotional harm the crime had on the victim but should not seek the victim's opinion regarding the defendant's character or appropriateness of the sentence. Verbal victim impact statements are summarized in the presentence report. Written victim impact statements must be typed verbatim in the presentence report. The original written victim impact statement is attached to the presentence report. Immediate family members may provide victim impact statements on the victim's behalf if the victim is a minor, mentally disabled, or deceased. Legal guardians, victim witness coordinators, medical and mental health professionals, caseworkers, or foster care parents may also provide a victim impact statement on the victim's behalf. Statements from non- immediate family members are not typed verbatim in the presentence report but are attached to the presentence report. If during the presentence process, investigators obtain information that suggests a child under the age of 18 years has been abused, abandoned, or neglected or who observes the child being subjected to conditions or circumstances that would reasonably result in abuse, abandonment, or neglect, the investigator must report the information to the district manager Control Number: 702.04.02.001 Version: 4.0 Title: Presentence Investigation Page Number: 6 of 13 Idaho Department of Correction or section supervisor and law enforcement within 24 hours of receiving the information. The investigator must make a case update entry in CIS detailing the situation and action taken. This information must also be included in the presentence report. 5. Evaluations Judges may order evaluations as a part of the presentence process. For Idaho Code 19- 2524 evaluations, districts must adhere to the SUD Funding and Treatment Authorizations, SOP 401.06.03.091. Investigators are responsible to obtain the 19-2524 substance abuse evaluation from their district e-mail inbox or from the Web Infrastructure for Treatment Services (WITS) system. If the 19-2524 substance abuse evaluation is not available in the district e-mail inbox or WITS, it is the responsibility of the investigator to obtain the evaluation from the provider. Investigators are responsible to obtain the 19-2524 mental health review, mental health assessment, or both from their district e-mail inbox. Investigators must obtain other evaluations, such as domestic violence evaluations or psychosexual evaluations, from the assigned evaluator. The findings of the evaluation(s) must be summarized in the approved IDOC format in the treatment/recommendation section of the presentence report and attached to the presentence report. 6. Format Judges may order a presentence report in one of three formats. When a format is not specified, investigators should use the standard format for defendants who do not have a prior presentence report and the update format for defendants who have a prior presentence report. • Standard - Entails a full presentence interview and full presentence report. All standard reports must be completed in CIS. • Update - May occur as a result of a new crime or probation violation and entails a condensed presentence interview and investigation to include changes in the defendant's life since the completion of the prior presentence report. The prior presentence reports' sections will be briefly summarized and the prior presentence report may be attached. All updated presentence reports must be completed in CIS and include a full criminal history. • File Review - May only occur with judicial approval and entails a brief review of case supervision notes, programming history, institutional discipline records, and any other information ordered by the judge since the last presentence report was completed. No interview or assessments are conducted but a sentencing recommendation may be provided. The most recent presentence report may be attached to the file review presentence report. All file review presentence reports must follow the approved IDOC format in Microsoft Word and the completed file review presentence report copied into a CIS case update entry. • Any new information received after submitting the presentence report must be forwarded to the court as an addendum. All presentence report addendums must be prepared in CIS. 7. Content For standard formatted presentence reports, each of the following areas will be investigated thoroughly and attempts must be made to verify information provided by the defendant: Control Number: 702.04.02.001 Version: 4.0 Title: Presentence Investigation Page Number: 7 of 13 Idaho Department of Correction Official Version Includes a description of the situation surrounding the present criminal offense. The description should provide a clear and concise synopsis of what occurred. Sources of information most likely come from police reports, prosecutor's information, or reports of violation. Victim's Statement Includes the victim impact statement or the dates the investigator made an attempt to solicit a statement. When there is no direct victim, either person or entity, the state of Idaho should be listed as the victim. Restitution If applicable, describe of the amount of restitution being sought by the victim or other parties. The investigator should discuss the defendant's ability to pay court ordered financial obligations. Defendant's Version Includes the defendant's written version of the instant offense, typed verbatim from the presentence questionnaire. Additional information provided verbally by the defendant during the presentence interview may be added. If no written statement is available, the investigator must summarize the information provided by the defendant verbally during the presentence interview. Prior Record In the dropdown fields in CIS, itemize the defendant's full criminal history, including juvenile adjudications, withheld judgments, dismissed cases, probation violations, and cases with unknown dispositions. This information is obtained from juvenile and local courts, law enforcement agency databases (ILETS), state judicial websites (Idaho Repository and iCourt Portal), police reports, and when applicable, department of correction records and prior presentence reports. The narrative portion should include clarification regarding the defendant's criminal history, past performance on community supervision, and discipline records received during periods of incarceration. Social History In the dropdown fields in CIS, list the defendant's parents' names, addresses, and phone numbers. Other family members can be entered in CIS if desired but should not print in the report. The narrative portion should contain the defendant's childhood statement typed verbatim from the presentence questionnaire, a description of the defendant's formative years, and the nature of current family relationships. Interests and Activities Describe what activities the defendant enjoys, any organizations the defendant may belong to, and the defendant's friends' and acquaintances' involvement in criminal acts and pro-social activities. If applicable, gang affiliations should be discussed here. Residence In the dropdown fields in CIS, list the defendant's current or most recent address in the community. Detention or correctional facilities must not be listed. Control Number: 702.04.02.001 Version: 4.0 Title: Presentence Investigation Page Number: 8 of 13 Idaho Department of Correction The narrative portion should discuss the defendant's satisfaction level with the residence, names of the other people sharing this residence, and if weapons are stored in the home. If the defendant is incarcerated, discuss where the defendant plans on living when released from custody. Other cities, states, and countries where the defendant previously lived must be included. If the defendant plans to pursue an Interstate Compact, the dropdown fields in CIS or narrative portion must detail where the defendant lived one year prior to committing the instant offense. Relationships In the dropdown fields in CIS, list significant romantic relationships or marital relationships. The narrative portion should discuss the nature of these relationships, how long they lasted, and whether these relationships produced any children. Children In the dropdown fields in CIS, list all children, stepchildren, and adopted children. Provide the children's ages and addresses, if known. The narrative portion should discuss the defendant's involvement and relationship with each child and compliance with child support obligations. If applicable, history with child protection services should also be discussed. Education In the dropdown fields in CIS, list the defendant's educational history to include high school, GED, secondary education, and vocational training. The narrative portion should discuss the defendant's education history and academic performance. Military If applicable, in the dropdown fields in CIS, list the defendant's military service history or registration with Selective Service. The narrative portion should discuss the defendant's branch of service, services dates, rank, any military disciplinary action, and discharge status. For female defendants with no military service history, this section is left blank. Employment In the dropdown fields in CIS, list the defendant's employment history. Do not itemize unemployed, home maker, or Social Security in CIS. The narrative portion should discuss the defendant's current and past employment history including job skills, the longest period of employment, and if the defendant has ever been fired. If unemployed, discuss the defendant's ability to secure work. Health In the dropdown fields in CIS, list the defendant's serious physical and mental health problems and current medications. The narrative portion should discuss the defendant's overall physical and mental health, medical services the defendant is receiving or needs, and the impact these ailments have on the defendant's life. Control Number: 702.04.02.001 Version: 4.0 Title: Presentence Investigation Page Number: 9 of 13 Idaho Department of Correction Information contained in Idaho Code 18-211 or 18-212 evaluations must not be discussed in the presentence report and must not be attached to the presentence report, per Idaho Criminal Rule 32. Substance Abuse In the dropdown fields in CIS, itemize the defendant's use and frequency of alcohol and drugs, with the exception of experimental use. The narrative portion should discuss the defendant's full substance abuse history, including alcohol, illegal drugs, over-the-counter medications, prescription medications, and inhalants. Discuss how the defendant's substance abuse patterns have changed over time, history of substance abuse treatment, and motivation to remain substance abuse free in the future. Financial Status In the dropdown fields in CIS, list the defendant's assets, income, liabilities, and expenses. The narrative portion should discuss the defendant's overall financial status. Values and Outlook Describe the defendant's values, goals, and outlook on life. Type verbatim the defendant's written comments to the court from the presentence questionnaire. Treatment/Recommendations Include a summary of the defendant's LSI-R risk areas and protective factors. Idaho Code 19-2524 evaluations and other court-ordered evaluations must be summarized. Idaho Sentencing Database information must also be included. Investigators must use the approved IDOC format for this section. Information contained in Idaho Code 18-211 or 18-212 evaluations must not be discussed in the presentence report and must not be attached to the presentence report, per Idaho Criminal Rule 32. Investigator's Comments Include a summary of the investigation that builds a foundation of support for the sentencing recommendation. New information is not introduced in this section. The investigator must include the date the interview occurred, along with investigator's view of the defendant, and a sentencing recommendation. The investigator may opt not to provide a sentencing recommendation but should do so on rare instances and only with a justifiable reason. In making a sentencing recommendation, investigators must consider the dual needs of protecting the community and rehabilitation of the defendant. The investigator may recommend incarceration. In cases where incarceration is not clearly imperative for reasons of public safety, the investigator must consider all sentencing options. Pursuant to Idaho Criminal Rule 32, investigators must not recommend any of the following: • Incarceration for a specific amount of time • Imposition of a specific fine • Length of probation Control Number: 702.04.02.001 Version: 4.0 Title: Presentence Investigation Page Number: 10 of 13 Idaho Department of Correction • Other matters within the providence of the Court 8. Collateral Contacts Investigators are responsible for the content of the presentence report; therefore, it is imperative the information contained in the report is accurate. Investigators must attempt to verify information provided by the defendant with ample time to allow for response. Investigators, or designee, must ask the defendant to sign the IDOC release of information during the presentence process. This release of information should accompany information requests made to outside agencies or organizations. Collateral information obtained verbally must be summarized in the presentence report and written statements or documents must be summarized and may be attached to the presentence report. 9. Attachments Attachments may be included with the presentence report but are never used as the sole source of information for a particular section of the presentence report. Any attachments to the presentence report must be summarized in the corresponding section of the presentence report. If attachments to the presentence report are included, they must be placed subsequent to the presentence report in the following order: • New court-ordered evaluations, including Idaho Code 19-2524 evaluations • LSI-R Assessment Summary • Idaho Sentencing Database • Victim impact statement(s) • Character reference letters • Prior record information, excluding prior presentence reports • Child support and child protection records • Education records • Military records • Employment records • Medical and mental health records • Substance abuse treatment records • Financial records • Restitution information • Prosecutorial information, per district’s protocol • Prior presentence reports Documents gathered through the presentence investigation process but were not attached to the presentence report, including the presentence questionnaire, must be retained for 42 days post-sentencing, at which time they must be destroyed. Control Number: 702.04.02.001 Version: 4.0 Title: Presentence Investigation Page Number: 11 of 13 Idaho Department of Correction 10. Review and Approval Investigators must thoroughly proof-read the presentence report and make necessary corrections before submitting the presentence report for supervisory review. The investigator must submit presentence reports for supervisory review by the process and timelines established in their district. The investigator must also populate the following date fields in CIS when the report is submitted for review: • Completed Date - the date the investigator completes the report and submits it for supervisory review. • To Court Date - the date the approved report will be delivered to the court. The section supervisor, or designee, must review each presentence report to ensure it is complete, the LSI-R assessment is scored accurately, and the recommendation is reasonable. Approval is signified by co-signing the presentence report. After approving the presentence report, the section supervisor, or designee, must verify the accuracy of the following date fields: • Report Due Date • Completed Date • To Court Date After verifying the accuracy of these date fields, the section supervisor, or designee, must make a case update entry in CIS to reflect the report was reviewed and approved. After the presentence report is approved, the investigator must lock the presentence report in CIS. 11. Delivery The completed and approved presentence report must be delivered to the judge, prosecuting attorney, and defense attorney by the report due date in CIS. If this timeframe cannot be met, the investigator must notify the section supervisor, or designee, and the court as far in advance as possible. Presentence reports are delivered to the court via judicial preference, which may include hand-delivery, mail, e-file in Odyssey, or sending an encrypted e-mail with the approved IDOC wording that contains the password protected presentence report as an attachment followed by a secondary e-mail with the attachment's password. 12. Corrections to the Presentence Report Should the court provide an order to amend information to the presentence report that includes removing information, the investigator must request the presentence report be unlocked in CIS, make the ordered changes, relock the presentence report, and make a case update in CIS summarizing the changes. If the order to amend information to the presentence report does not require information be removed, the investigator must make a case update entry in CIS summarizing the order. When a case update entry is made in response to receiving an order to amend information to the presentence report, it will be titled court-ordered changes to PSI. Control Number: 702.04.02.001 Version: 4.0 Title: Presentence Investigation Page Number: 12 of 13 Idaho Department of Correction 13. Release of the Presentence Report With the permission of the sentencing judge, the presentence report may be available to third-party persons or agencies having a legitimate professional interest in the information likely to be contained therein. Therefore, all requests to view or obtain a copy of the presentence report must be directed to the sentencing judge. 14. Retention of the Presentence Report After receiving notification of the defendant's sentence, the presentence report is sent to the appropriate institution or district office within three business days or uploaded to the electronic central file. Idaho Criminal Rule 32 allows IDOC to retain a copy of the presentence report for three years after the defendant is discharged. 15. Access to the Presentence Report IDOC employees must only access the presentence report and the information contained therein as needed to fulfill the duties and responsibilities of their job. If there is no legitimate need for the information in the presentence report, it must not be accessed. Information contained in the presentence report must not be shared with anyone who does not have a legitimate need for the information, including other IDOC employees. 16. Performance Standards and Requirements When assigning cases, the section supervisor or designee should attempt to distribute cases equally between investigators who have completed their period of probation. Reductions in case assignments may be given for investigators who have scheduled time- off or who are required to attend training. Generally, fulltime investigators who have completed their probationary period should complete between 10-11 presentence investigations per calendar month. Part time investigators complete presentence reports on a proportional basis. If an insufficient number of investigations have been ordered, the district manager or section supervisor may assign additional duties to the investigator, including presentence investigations from other districts. When caseloads reach or exceed 12 reports per month per investigator, section supervisors should communicate caseload concerns to the court in their respective district, seek caseload assistance from other districts, and consider investigators' requests for overtime. Investigators are responsible to maintain a record of the number of presentence investigation reports completed per month and submit that information using the Presentence Investigation Monthly Stats Form to their district manager, section supervisor, or a designee, by their district's deadline. 17. Periodic Review The section supervisor or designee must observe two presentence interviews per investigator per year, one in the first half of the year and one in the second half of the year. The observer must complete the PSI Direct Observation Form. The feedback form will be discussed with the investigator and retained in the investigator's working employee file. Audit scores lower than 70% require a documented case action plan in the investigator's working file that addresses any issues identified. Control Number: 702.04.02.001 Version: 4.0 Title: Presentence Investigation Page Number: 13 of 13 Idaho Department of Correction The presentence investigation coordinator must complete two random presentence report audits per investigator per year, one in the first half of the year and one in the second half of the year. The presentence investigation coordinator must complete a Presentence Investigation Report Audit. The results of each audit are submitted to the investigator and section supervisor and retained in the investigator's working employee file. Audit scores lower than 70% require the presentence investigation coordinator to conduct monthly audits of the investigator's reports until a score of 70% is achieved. 18. Alternative Work Location If permitted by the district manager or section supervisor, investigators may work up to 20 hours per week at an alternate work location. The IDOC Presentence Investigator Memorandum of Understanding must be signed annually by both the investigator and district manager or a designee and retained in the employee's working file. The privilege of working at an alternate location can be revoked by the district manager at any time. DEFINITIONS Immediate Family Member: For the purpose of this SOP is defined as the defendant's parents, father-in-law, mother-in-law, siblings, brother-in-law, sister-in-law, spouse, and children. (State v. Payne) REFERENCES Idaho Criminal Rule 32 Idaho Code 18-211 Idaho Code 18-212 Idaho Code 19-2524 State vs. Payne Standard Operating Procedure 401.06.03.091, SUD Funding and Treatment Authorizations – End of Document –