Opinion ID: 752952
Heading Depth: 2
Heading Rank: 1

Heading: Absolute Immunity for State Probation Officers

Text: 12 Judges performing judicial functions within their jurisdictions are granted absolute immunity. See, e.g., Pierson v. Ray, 386 U.S. 547, 554-55, 87 S.Ct. 1213, 1217-18, 18 L.Ed.2d 288 (1967). In the federal courts, probation officers prepare and submit presentence reports to the courts for use in the sentencing of persons convicted of crime; in light of the desirability of having such reports provide the courts with all information that may be relevant to sentencing, and in light of the availability of procedural mechanisms for the defendant to challenge those aspects of the reports that he feels are inaccurate, federal probation officers are granted absolute immunity from suits for damages in connection with their preparation and submission of such reports to the courts. See, e.g., Dorman v. Higgins, 821 F.2d 133, 136-39 (2d Cir.1987); see also Tripati v. INS, 784 F.2d 345, 347-48 (10th Cir.1986) (per curiam), cert. denied, 484 U.S. 1028, 108 S.Ct. 755, 98 L.Ed.2d 767 (1988); Spaulding v. Nielsen, 599 F.2d 728, 729 (5th Cir.1979) (per curiam). 13 New York State's Criminal Procedure Law similarly provides that, after a defendant's guilt has been determined, the State court is to receive from the probation department a presentence report to inform the exercise of its sentencing discretion. See generally N.Y.Crim. Proc. L. § 390 et seq. (McKinney 1994); People v. Andujar, 110 A.D.2d 606, 607-08, 488 N.Y.S.2d 653, 654 (1st Dep't 1985) (mem.). A State probation officer's 14 pre-sentence investigation consists of the gathering of information with respect to the circumstances attending the commission of the offense, the defendant's history of delinquency or criminality, and the defendant's social history, employment history, family situation, economic status, education, and personal habits. Such investigation may also include any other matter which the agency conducting the investigation deems relevant to the question of sentence, and must include any matter the court directs to be included. 15 N.Y.Crim. Proc. L. § 390.30(1) (emphasis added). The PSR submitted to the court 16 must contain an analysis of as much of the information gathered in the investigation as the agency that conducted the investigation deems relevant to the question of sentence.... 17 (b) The report shall also contain a victim impact statement, unless it appears that such information would be of no relevance to the recommendation or court disposition, which shall include an analysis of the victim's version of the offense .... 18 Id. § 390.30(3) (emphasis added). 19 In recognition of a defendant's due process right not to be punished on the basis of false information, see Townsend v. Burke, 334 U.S. 736, 741, 68 S.Ct. 1252, 1255, 92 L.Ed. 1690 (1948); see generally People v. Outley, 80 N.Y.2d 702, 712, 594 N.Y.S.2d 683, 687, 610 N.E.2d 356 (1993) (the sentencing court must assure itself that the information upon which it bases the sentence is reliable and accurate), New York law provides a number of safeguards. Prior to sentencing, the PSR must, with certain exceptions not relevant here, be disclosed to the defendant's attorney, or to the defendant himself if he has no attorney, for review and copying, see N.Y.Crim. Proc. L. § 390.50(2)(a). Thereafter, the court may hold one or more presentence conferences in open court or in chambers in order to ... resolve any discrepancies between the pre-sentence report, or other information the court has received, and the defendant's or prosecutor's pre-sentence memorandum. Id. § 400.10(1). At such a conference, the court may afford any of the participants an opportunity to controvert or to comment upon any fact, and may conduct a hearing and take testimony under oath. Id. § 400.10(3). 20 The purpose of the pre-sentence conference procedure set forth in [§ 400.10] is to create a forum in which the court can resolve conflicts in information received and clarify doubtful points prior to imposing sentence. In other words it provides the court with a summary due process procedure for assuring that relevant issues have been fully explored before pronouncing sentence. 21 Id. § 400.10 Practice Commentaries. 22 If the pre-sentence report sets forth adverse information the defendant claims is untrue, the court will have to either disavow reliance upon that information or afford the defendant an opportunity to refute it. 23 Id. § 390.50 Practice Commentaries (citing People v. Outley, 80 N.Y.2d at 712, 594 N.Y.S.2d at 687, 610 N.E.2d 356); see generally People v. Faulkner, 182 A.D.2d 1025, 1026, 583 N.Y.S.2d 542, 543 (3d Dep't) (vacating sentence on ground that defendant who disputed a factual assertion relevant to sentencing should have been given an opportunity to refute that assertion at a presentence conference), appeal dismissed, 80 N.Y.2d 830, 587 N.Y.S.2d 915, 600 N.E.2d 642 (1992). 24 The court's rejection of a defendant's challenge to the accuracy of a presentence report is reviewable on appeal, see N.Y.Crim. Proc. L. §§ 450.10(2), 450.30(1), and by way of collateral attack, see id. § 440.20. The court's failure to follow the necessary procedures is similarly reviewable. See, e.g., id. § 440.20 Practice Commentaries. 25 After the court has resolved any sentencing controversies or disavowed reliance on information that the defendant disputes, the PSR is made available to the state agency in whose custody defendant is placed. See id. §§ 390.50(3), 390.60(1). The information in the PSR is used by the correctional authorities for initial classification, programming and treatment of the defendant. Id. § 390.60 Practice Commentaries. In a suit against custodial officials, an inmate has a constitutional right to challenge the accuracy of the information contained in his PSR and in his prison records. See, e.g., Scarola v. Malone, 226 A.D.2d 844, 845, 640 N.Y.S.2d 635, 636 (3d Dep't 1996). 26 The PSR is also to be considered by the parole board in making parole release decisions, see N.Y. Exec. Law §§ 259-i(1)(a), 259-i(2)(c) (McKinney 1993), and a defendant has the right to obtain a copy of his PSR for use in preparation for his parole hearing or for an appeal from a parole decision. See, e.g., People v. Wright, 206 A.D.2d 337, 338, 614 N.Y.S.2d 732, 733 (1st Dep't) (mem.) (defendant has a clear legal right to review the presentence reports for use before the Parole Board ... and ... a showing of relevance is not required), appeal denied, 84 N.Y.2d 873, 618 N.Y.S.2d 19, 642 N.E.2d 338 (1994); Legal Aid Bureau of Buffalo, Inc. v. Armer, 74 A.D.2d 737, 737, 425 N.Y.S.2d 706, 707 (4th Dep't 1980) (mem.) (Petitioner has a clear legal right to review the presentence reports for the purpose of preparing briefs and for use before the Parole Board ....); see also Allen v. People, 663 N.Y.S.2d 455, 455 (3d Dep't 1997) (inmate challenging parole decision could properly be denied a copy of his PSR where there was no indication in the record that the Board considered the presentence report in rendering its decision). 27 The requirements of New York law with respect to the preparation and submission of presentence reports, along with the procedural mechanisms protecting the defendant's right not to be punished on the basis of inaccurate information in such a report, persuade us that New York probation officers in preparing and furnishing such reports to the courts, like federal probation officers, are entitled to absolute immunity from suits for damages. See also Freeze v. Griffith, 849 F.2d 172, 175 (5th Cir.1988) (per curiam) (finding Louisiana probation officer absolutely immune from claim for damages); Demoran v. Witt, 781 F.2d 155, 157-58 (9th Cir.1986) (same re California probation officer); Hughes v. Chesser, 731 F.2d 1489, 1490 (11th Cir.1984) (one-judge denial of motion for leave to appeal in forma pauperis ) (same re Alabama probation officer). 28 Accordingly, we agree with so much of the district court's decision as dismissed Hili's damages claims against Sciarrotta and Eich on the ground of absolute immunity. 29