Presentence Evaluations

Presentence evaluations are those assessments conducted prior to the sentencing stage of proceedings to assist the court in making an appropriate disposition. Individual differences in crimes, criminals, and circumstances justify the need for personalized sentences in each case. Mental health professionals, probation officers, and social workers are among those in the forensic field called on to conduct these assessments. This entry explores the importance of presentence assessments, the content of such assessments, and standards of practice in completing high-quality assessments.

Historically, the goals of punishment were retribution, incapacitation, and general deterrence. These objectives do not require in-depth knowledge of the offender. However, with the aims of reform and rehabilitation came a need for further information regarding the offender prior to imposing a sentence. Indeed, some scholars have suggested that the sentencing decision may be the most important decision made about a defendant in the entire court process. It is now common practice for the court to order the completion of a presentence report to assist the court in making an appropriate disposition. Probation officers are frequently involved in the preparation of these reports; however, if mental health issues arise, the mental health professional may be called on to complete an assessment at this stage. The ordering of such evaluations varies in different jurisdictions, and consistent criteria do not exist. Some information suggests that judicial decisions to order assessments at this stage may be influenced by the judge's commitment to rehabilitation or retribution.

Specific requests made by the court will dictate the focus of these evaluations, and the content of reports will vary depending on the needs of the court as well as of practitioner called on to conduct the evaluation. The specific role of the mental health professional will be in providing information relating to culpability, which would include aggravating and mitigating factors in offending; risk assessment, such as risk management strategies; and mental status and treatability assessments, including identifying specific and appropriate treatment needs of the offender and an evaluation of the treatability of the offender. Indeed, judges have requested that the examiner inform the court why a particular recommendation is needed, [Page 615]what form it should take, and what impact it is likely to have on the offender.

When mental health professionals are called on to conduct an assessment of the accused at this stage of proceedings, the report is likely to follow a fairly standard format that typically includes a review of the following: (a) personal and family data, including information regarding the offender's childhood, school, employment, relationships, substance use, and mental and physical health; (b) offense information, which moves beyond a simple recounting of events to include motivation for the offense and the defendant's attitude toward the offense; (c) a review of criminal history, including juvenile adjudications, past response to corrections, and criminal behaviors not resulting in arrest; (d) an evaluation of the accused, which may include the results of testing as well as a current mental status assessment; (e) a risk assessment; and (f) conclusions including recommendations and risk management strategies.

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