Fifth Judicial District - Department of Correctional Services

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TITLE: Psi Legalities

POLICY

Pre-Sentence investigations shall be prepared in accordance with the Code of Iowa. Pertinent Sections from the 1995 Code of Iowa include the following:

  1. 901.2 Pre-Sentence Investigation

    Upon a plea of guilty, a verdict of guilty, or a special verdict upon which a judgment of conviction of a public offense may be rendered, the Court shall receive from the state, from the Judicial District Department of Correctional Services, and from the Defendant, any information which may be offered which is relevant to the question of sentencing. The Court may consider information from other sources. Not withstanding Section 13.10, the Court may determine if the Defendant shall be required to provide a physical specimen to be submitted for DNA profiling if the Defendant is to be placed on probation or work release. The Court shall consider the deterrent effect of DNA profiling, the likelihood of repeated violations by the Defendant, and the seriousness of the offense. When funds have been allocated from the general fund of the state, or funds are provided by other public or private sources, the Court shall order DNA profiling. The Court shall not order a Pre-Sentence Investigation when the offense is a Class "A" Felony. If, however, the Iowa Board of Parole determines that the Iowa Medical and Classification Center Reception Report for a Class "A" Felony is inadequate, the Board may request and shall be provided with additional information from the appropriate Judicial District Department of Correctional Services. The Court shall order a Pre-Sentence Investigation when the offense is a Class "B," Class "C," or Class "D" Felony. A Pre-Sentence Investigation for a Class "B," Class "C," or Class "D" Felony shall not be waived. The Court may order, with the consent of the Defendant, that the Pre-Sentence Investigation begin prior to the acceptance of a plea of guilty or prior to a verdict of guilty. The Court may order a Pre-Sentence Investigation when the offense is an Aggravated Misdemeanor. The Court may order a Pre-Sentence Investigation when the offense is a Serious Misdemeanor only upon finding of exceptional circumstances warranting an investigation. Not withstanding Section 901.3, a Pre-Sentence Investigation ordered by the Court for a Serious Misdemeanor shall include information concerning only the following:

    1. A brief personal and social history of the Defendant.
    2. The Defendant's criminal record.
    3. The harm to the victim, the victim's immediate family, and the community, including any completed Victim Impact Statement(s) and Restitution Plan.

    The Court may withhold execution of any judgment or sentence for such time as shall be reasonably necessary for an investigation with respect to deferment of judgment, deferment of sentence, or suspension of sentence and probation. The investigation shall be made by the Judicial District Department of Correctional Services.

  2. 901.3 Pre-Sentence Investigation Report

    If a Pre-Sentence Investigation is ordered by the Court, the Investigator shall promptly inquire into all of the following:

    1. The Defendant's characteristics, family and financial circumstances, needs, and potentialities, including presence of any previously diagnosed mental disorder.
    2. The Defendant's criminal record and social history.
    3. The circumstances of the offense.
    4. The time the Defendant has been in detention.
    5. The harm to the victim, the victim's immediate family, and the community. Additionally, the Pre-Sentence Investigator shall provide a Victim Impact Statement Form to each victim, if one has not already been provided, and shall file the completed statement or statements with the Pre-Sentence Investigation Report.
    6. The Defendant's potential as a candidate for the community service sentencing program established pursuant to Section 907.13. All local and state mental and correctional institutions, Courts, and police agencies shall furnish to the Investigator, on request, the Defendant's criminal record and other relevant information. With the approval of the Court, a physical examination or psychiatric evaluation of the Defendant may be ordered, or the Defendant may be committed to an in-patient or out-patient psychiatric facility for an evaluation of the Defendant's personality and mental health. The results of any such examination or evaluation shall be included in the report of the Investigator.
  3. 910.3 Determination of Amount of Restitution

    The County Attorney shall prepare a Statement of Pecuniary Damages to the victims of the Defendant and, if applicable, any award by the Crime Victim Compensation Program and shall provide the Statement to the Pre-Sentence Investigator or submit the Statement to the Court at the time of sentencing. The Clerk of Court shall prepare a Statement of Court-Appointed Attorney's Fees, the expense of a Public Defender, and Court costs, which shall be provided to the Pre-Sentence Investigator or submitted to the Court at the time of sentencing. If these Statements are provided to the Pre-Sentence Investigator, they shall become a part of the Pre-Sentence Investigation Report. If pecuniary damage amounts are not available at the time of sentencing, the Court Attorney shall provide a Statement of Pecuniary Damages incurred up to that time to the Clerk of Court. The Statement shall be provided no later than thirty (30) days after sentencing. If a Defendant believes no person suffered pecuniary damages, the Defendant shall so state. If the Defendant has any mental or physical impairment which would limit or prohibit the performance of a public service, the Defendant shall so state. The Court may order a mental or physical examination, or both, of the Defendant to determine a proper course of action. At the time of sentencing or at a later date to be determined by the Court, the Court shall set out the amount of restitution, including the amount of public service to be performed as restitution and the persons to whom restitution must be paid. If the full amount of restitution cannot be determined at the time of sentencing, the Court shall issue a temporary order determining a reasonable amount for restitution identified up to that time. At a later date, as determined by the Court, the Court shall issue a permanent supplemental order, setting the full amount of restitution. The Court shall enter further supplemental orders, if necessary. These Court Orders shall be known as the Plan of Restitution.

  4. 901.4 Pre-Sentence Investigation Report Confidential

    The Pre-Sentence Investigation Report is confidential, and the Court shall provide safeguards to ensure its confidentiality, including, but not limited to, sealing the report, which may be opened only by further Court Order. At least three (3) days prior to the date set for sentencing, the Court shall serve all of the Pre-Sentence Investigation Report upon the Defendant's attorney and the attorney for the state, and the report shall remain confidential except upon Court Order. However, the Court may conceal the identity of the person who provided confidential information. The report of a medical examination or psychological or psychiatric evaluation shall be made available to the attorney for the state and to the Defendant upon request. The reports are part of the record, but shall be sealed and opened only on Order of the Court. If the Defendant is committed to the custody of the Iowa Department of Corrections and is not a Class "A" Felon, a copy of the Pre-Sentence Investigation Report shall be forwarded to the Director with the Order of Commitment by the Clerk of the District Court and to the Iowa Board of Parole at the time of commitment. The Defendant or the Defendant's attorney may file with the Pre-Sentence Investigation Report, a denial or refutation of the allegations, or both, contained in the report. The denial or refutation shall be included in the report.

  5. 901.2 Correctional Planning

    The purpose of the report of the Judicial District Department of Correctional Services is to provide the Court pertinent information for purposes of sentencing and to include suggestions for correctional planning for use by correctional authorities subsequent to sentencing.

  6. 232.55 Effect of Adjudication and Disposition/Judicial Proceedings Regarding Juveniles
    1. An adjudication or disposition in a proceeding under this division shall not be deemed a conviction of a crime and shall not impose any civil disabilities or operate to disqualify the child in any civil service application or appointment.
    2. Adjudication and disposition proceedings under this division are not admissible as evidence against a person in a subsequent proceeding in any other Court before or after the person reaches majority, except in a sentencing proceeding after conviction of the person for an offense other than a Simple or Serious Misdemeanor. Adjudication and disposition proceedings may properly be included in a Pre-Sentence Investigation Report prepared pursuant to Chapter 901 and Section 906.5.

      However, the use of adjudication and disposition proceedings pursuant to this subsection shall be subject to the restrictions contained in Section 232.150 (Sealing of Records).

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