Opinion ID: 1436813
Heading Depth: 1
Heading Rank: 2

Heading: The Confidentiality of the Presentence Report Investigation

Text: M.R.Crim.P. 32(c) authorizes the trial court to order the Division of Probation and Parole to conduct a presentence investigation and to submit a written or oral report to the court prior to the court's imposition of a sentence on the defendant. As with its federal counterpart, the primary purpose of the PSI is to facilitate the court's determination of an appropriate sentence. See 3 Glassman, Maine Practice: Rules of Criminal Procedure Annotated § 32.4 at 250 (1967) (stating that it is within the discretion of the trial justice to determine whether preparation of a PSI would aid in sentencing). See also Administrative Office of the United States Courts, Pub. No. 105, The Presentence Investigation Report 1 (1978, rev. 1984). The PSI, which contains a broad range of indepth personal information, information on the offense, and an evaluation of the individual defendant's specific rehabilitative needs, has been characterized as the critical document at both the sentencing and correctional stages of the criminal process. Stephen A. Fennell & William N. Hall, Due Process at Sentencing: An Empirical and Legal Analysis of the Disclosure of Presentence Reports in Federal Courts, 93 Harv.L.Rev. 1613, 1616 (1980). Pursuant to M.R.Crim.P. 32(c)(3)(A), the PSI must be disclosed to the defendant and to the defendant's counsel. The Maine rule, however, like its federal analog, is silent on the issue of post-sentencing dissemination of the PSI to third parties. Despite this silence, we are not without guidance. Our rules of criminal procedure were modeled on the Federal Rules of Criminal Procedure. See 3 Glassman, Maine Practice: Rules of Criminal Procedure Annotated, Introduction at x (1967) (At the outset it was decided that the Federal Rules should be used as a guide . . . .). See also State v. Wells, 443 A.2d 60, 63 (Me.1982) (quoting former Chief Justice Williamson's observation that it may be fairly said that we have adopted the Federal Rules tailored to our needs). Thus we have often interpreted our rules of criminal procedure by resort to the federal courts' analyses of their analogous rules. See State v. Twist, 528 A.2d 1250, 1251 (Me.1987) (relying on federal authority's interpretation of analogous rule in support of construction of Maine Rules of Criminal Procedure); Wells, 443 A.2d at 63 ([W]e interpret the Rules . . . by turning to sources of federal authority as useful tools to accomplish the purpose of the Rules . . . .); State v. Wedge, 322 A.2d 328, 330 (Me.1974) (stating that consistent with the drafters' intention when the Maine Rules of Criminal Procedure were promulgated, the interpretation given to parallel federal rules by the Circuit Court of Appeals is controlling). Traditionally, in both civil and criminal cases the courts have been very reluctant to give third parties access to the presentence investigation report prepared for some other individual or individuals. United States Dept. of Justice v. Julian, 486 U.S. 1, 12, 108 S.Ct. 1606, 1613, 100 L.Ed.2d 1 (1988). The federal courts routinely have stated that the PSI is a confidential document. See, e.g., United States v. Huckaby, 43 F.3d 135, 138 (5th Cir.1995) (stating that there is a general presumption that courts will not grant third parties access to a PSI); United States v. Smith, 13 F.3d 860, 867 (5th Cir.), cert. denied, ___ U.S. ___, 114 S.Ct. 2151, 128 L.Ed.2d 877 (1994) (same); United States v. Schlette, 842 F.2d 1574, 1578 (9th Cir.1989) (stating that a PSI enjoys a strong presumption of confidentiality); United States v. Corbitt, 879 F.2d 224, 229 (7th Cir.1989), cert. denied, 502 US. 823, 112 S.Ct. 86, 116 L.Ed.2d 58 (1991) (It is clear that presentence reports have traditionally been confidentialindeed, it is only in the past 25 years that the defendant has had access to the presentence report . . . .). Our State's trial courts historically have afforded PSIs in their possession similar treatment. Even absent any explicit mention in the rule or directive from this Court, both Superior Court justices and clerks consistently have concluded that the PSI should be treated as a confidential document. See, e.g., Maine Superior Court's Clerk Manual 37 (1994) (stating that PSI should be put in a sealed envelope and that access to PSI absent a court order is limited to defendant's attorney of record); Minutes of Superior Court Clerks Meeting para. 3 (Sep. 28, 1990) (stating that if a clerk has reason to believe that an attorney is representing a victim or other party and is pursuing a civil matter against the defendant the PSI should not be released without further action from the court); Memorandum from Superior Court Administrators to Superior Court Clerks 1 (Feb. 4, 1988) (stating that until further notice PSI shall be treated as confidential documents); Memorandum from Superior Court Chief Justice Brody to Superior Court Justices and Clerks 2 (Apr. 14, 1988) (stating that PSI should be treated as a quasi-confidential document available only to counsel for the parties and defendants); Memorandum from Superior Court Chief Justice Clifford to Superior Court Clerks 1 (June 7, 1984) (stating that PSI shall be made available only to counsel for defense and prosecution). Important governmental and societal interests support this policy of limited disclosure: 1. The need to encourage individuals, including the defendant, who have relevant information to provide it to the Probation Office for ultimate transmittal to the sentencing judge with the assurance of confidentiality. See Williams v. New York, 337 U.S. 241 [69 S.Ct. 1079, 93 L.Ed. 1337] (1949); United States v. McKnight, 771 F.2d 388, 390 (8th Cir.1985), cert. denied, 475 U.S. 1014 [106 S.Ct. 1194, 89 L.Ed.2d 309] (1986); United States v. Anderson, 724 F.2d 596, 598 (7th Cir.1984); United States v. Greathouse, 484 F.2d 805, 807 (7th Cir.1973). See also Jacob B. Barnett and David H. Gronewold, Confidentiality of the Presentence Report, 26 Fed.Prob. 26 (1962) (Basic to the functioning of the correctional apparatus is the conviction that comprehensive knowledge in breadth and depth of each client is essential.). 2. Consideration of the privacy interests of the victims and of their families. See United States v. Charmer Indus. Inc., 711 F.2d 1164, 1175 (2nd Cir.1983). 3. Protection of the defendant's privacy. United States v. Corbitt, 879 F.2d at 235. 4. Protection of confidential source information and grand jury material. Hancock Brothers, Inc. v. Jones, 293 F.Supp. 1229, 1232 (N.D.Calif.1968). 5. Concern that the report includes irrelevant and unsupported information. United States v. Corbitt, 879 F.2d at 235. 6. Protection of third persons from release of embarrassing information. Id. Appreciation of these policy considerations has motivated the great majority of federal courts to deny third party requests for access to a PSI. See, e.g., United States v. Smith, 13 F.3d at 860 (no disclosure to codefendant); United States v. Moore, 949 F.2d 68 (2nd Cir.1991), cert. denied, 503 U.S. 988, 112 S.Ct. 1678, 118 L.Ed.2d 396 (1992) (no disclosure to co-conspirator); Harris v. United States, 121 F.R.D. 652 (W.D.N.C. 1988) (no disclosure to third party who did not address need for the report); contra United States v. Huckaby, 43 F.3d 135 (5th Cir.1995) (disclosing PSI to public as part of sentencing to allay racial tension); United States v. Schlette, 842 F.2d 1574 (9th Cir. 1988) (releasing PSI of deceased defendant in face of sufficient showing for disclosure). The federal courts have not completely foreclosed the possibility of the release of a PSI to a third party. Rather, by equating the confidentiality afforded a PSI to the veil of secrecy afforded grand jury proceedings, the federal courts have placed upon the party seeking disclosure of a PSI the burden of demonstrating a particularized compelling need for disclosure to meet the ends of justice. See United States v. Charmer Indus., Inc., 711 F.2d at 1175; Hancock Brothers, Inc. v. Jones, 293 F.Supp. at 1232. As the court explained in United States v. Charmer Indus., Inc : We regard the presentence report as bearing many of the characteristicsand frailtiesof material presented to a grand jury. Grand jury secrecy is designed to accommodate several interests, reflecting the facts, inter alia, that only limited procedural safeguards are available to persons appearing before the grand jury, that hearsay testimony is normally allowed, that there is no right of cross-examination, and that frequently accusations are made for which no indictment is ever returned. United States v. Charmer Indus., Inc., 711 F.2d at 1175. Accord United States v. Corbitt, 879 F.2d at 233-34. We find the analogy to grand jury proceedings to be aptly drawn. We adopt the rationale expressed by the federal courts and agree with their conclusion that the PSI is a confidential document that should not be disclosed to a third party in the absence of a compelling and particularized demonstration that such disclosure is required to meet the ends of justice.