Court Opinion

ID: 9696483
Source: CourtListenerOpinion
Date Created: 2023-08-25 18:49:08.467614+00
Date Added: 2024-06-11T18:20:22.719119
License: Public Domain

Haneman, J.
(dissenting) At the outset, it should be remembered that presentence investigations had their genesis in the worthy desire to increase the individualization of treatment of convicted offenders. As noted in the majority opinion, the investigation was designed to benefit the individual offender by making available to the sentencing judge a sound and complete knowledge of the defendant’s character, background, physical and mental make-up and many other factors. The attempt to attain that objective is not new. As noted in Williams v. New York, 337 U. S. 241, 246, 69 8. Ct. 1079, 1082, 93 L. Ed. 1337, 1341 (1948) :
“* * - both before and since the American colonies became a nation, courts in this country and in England practiced a policy under which a sentencing judge could exercise a wide discretion in the sources and types of evidence used to assist him in determining the kind and extent of punishment to be imposed within limits fixed bylaw. Our-of-court affidavits have been used frequently, and of course in the smaller communities sentencing judges naturally have in mind their knowledge of the personalities and. backgrounds of convicted offenders.”
To that end our B. 3 :21-2, effective September 8, 1969, provides in part:
“Before the imposition of sentence or the granting of probation the probation service of the court shall make a presentence investigation and report to the court which shall be confidential, unless otherwise provided by rule or court order.”
*148The question with which we are concerned, is the necessity for and effect of a deletion of so much of that rule as makes the report confidential.
The necessity and effects of a complete disclosure of a presentence report, have long and often been debated and discussed. Eor reference see:—
“What Privacy for Presentence Reports” — Sol Rubin 16 Fed. Probation 8 (December 1952)
“The Confidential Mature of Presentence Reports” — Louis J. Sharp — 5 Cath. U. of America Law Rev. 127 (1955)
“Should Presentence Reports be Shown to Defendants” — Prof. Robert E. Knowlton — 79 N. J. L. J. 409 (1956) “Should Presentence Reports Be Shown To Defendants” — Hon. Edward Gaulkin —■ 79 N. J. L. J. 421 (1956)
“The Presentence Investigation Report Must Be Preserved as a Confidential Document” — James B. Parsons •— 28 Fed. Probation 3 (March 1964)
“Confidentiality of the Presentence Report: A Middle Position” — Roszel C. Thomsen —• 28 Fed. Probation 8 (March 1964)
“The Disclosure to Defense of Presentence Reports in West Virginia” — Willard D. Lorensen — 69 W. Virginia L. Rev. 159 (1966-67)
“Confidentiality of Presentence Reports” — John P. Higgins — 28 Albany Law Rev. 12 (1964)
“The Position for Confidentiality of the Presentence Investigation Report” — Albert W. Roche • — ■ 29 Albany Law Rev. 206 (1965)
“In Response to Roche” — John P. Higgins — 29 Albany Law Rev. 225 (1965)
American Bar Association, Standards Relating to Sentencing Alternatives and Procedures, 200 (1968)
“The Use and Disclosure of Presentence Reports in the United States” — Richard S. Lehrich — 47 Fed. Rules Decisions 225 (1969)
*149Accordingly, an extensive repetition in depth of the pro and contra arguments is not required but a more limited discussion will suffice. The primary ground of the objection to a full disclosure is the conviction that the result will be (1) a drying-up of the factual and opinion information obtainable and includable for consideration by the judge, and (2) the further burdening of an already overburdened criminal judicial system, by according a defendant the right to a full trial of the facts and opinion contained in the report. It is my accord with the rationalization of the foregoing objections that prompts this dissent.
I realize that there is no way of ascertaining how many defendants may have been unfairly affected by unfounded, undisclosed, unfavorable information. Concededly the matter sub judice presents a very sympathetic case for partial disclosure. However, rather than to jeopardize the admitted benefits which now accrue to a convicted defendant under the existing rule, by employing an untried experiment, I would advance more cautiously and grant something other than complete disclosure. Particularly would I so proceed, in the absence of any proof of the necessity for a drastic change other than the isolated case now before this Court. Ho such change should be made unless the Court is reasonably certain of a more or less common repetition of errors.
In seeking to prognosticate the results of a mandate that every convicted defendant shall have the unrestricted right to receive an unexpurgated copy of the presentence report upon which the judge actually relies, we should lean heavily upon the practical experience and advice of probation officers who are the persons best qualified to evaluate probable results and in whose expertise and unbiased interest in obtaining a proper sentence for a defendant, there should exist complete confidence. The following statement of Albert W. Roche, Senior Probation Examiner New York State Department of Correction, Division of Probation, as it appears in 29 Albany Law Review, at 212, is typical of the reaction of probation officers:
*150“Further, those who oppose the proposition of disclosure believe ‘that such a procedure would to a large extent destroy the therapeutic usefulness of the documents . . . and would, in fact, in time obliterate the very means by which information is assembled since the sources could no longer be assured that confidence would be preserved.’ In essence, the advocates of non-disclosure hold that the revelation of the information in the presentence report to the defendant is to provoke the drying up of essential sources of information. Much of the data now available to judges would not be available if informants knew that they might, as a consequence, become involved in a subsequent controversy or court proceedings. To deny the courts and the correctional services this type of complete information would tend only to undermine the progress which has been made up to date in the broad field of criminal justice and penology.
Without question, the gathering and use of confidential and personal information presents a serious problem and concern to those engaged in probation work. Probation officers do not possess the protection of privilege granted to lawyers, doctors and the clergy. Set, they deal with information every bit as intimate and personal. Experience has demonstrated that many informants who supply social information do so only in confidence. If this relationship between the probation officer and others were to be divested of its confidential nature, certainly the service in due time would be severely crippled, if not destroyed.”
In no other state does there exist a mandate for complete, unrestricted disclosure. Although California and the United States District Court of Maryland, have been at times cited as requiring such complete disclosure, neither court does so require. In California “matters that are deemed to be of exceeding confidence come to the judge in a separate notation or letter and are not disclosed to any other persons.” 29 Albany Law Review, supra, at 213. In the Maryland District Court, the proceeding is described:
“* # *■ ipjle procedure in Maryland as described by Chief Judge Roszel C. Thomsen is substantially as follows: The report is prepared in two parts. One part sets out the facts and the other part contains the recommendation of the probation officer, which is never made available to the defendant or his counsel. However, the counsel may read the judge’s copy either in chambers or in the court room and is invited to comment upon it prior to sentence. The probation officer is not cross-examined nor called to account in any way. If the defendant does not have a lawyer, the probation officer outlines to him the facts contained in the report and answers any questions *151that might be raised. If the body of the report contains any confidential information which the probation officer believes should not be made known to the defendant, he may call that to the attention of the judge and such information shall be withheld. Here, in a court which is less strict than others as regards disclosure, recognition is given to the fact ‘that there are times when full knowledge of all the contents of a report could be very disturbing to a defendant’s future adjustment and relationships.’ ” 29 Albany Law Review, supra, at 213.
New Jersey will be the only judicial system in the United States where no discretion whatsoever is vested in the sentencing judge on disclosure of the final report.
The majority opinion provides:
“* * * the presentence report may first be examined by the trial judge so that matters which will actually play no part in the sentencing process may be excluded. In this fashion irrelevances may be eliminated, confidential sources may be protected, and disclosure may be avoided of diagnostic matters which would be harmful to the defendant’s rehabilitation if he were told about them.”
If defendant is to be furnished the presentence report in order to furnish him “with fair opportunity to be heard on adverse matters relevant to the sentencing,” it must follow that the authority to exclude from the report matters which play no part in the sentencing process must refer to the initial report and not the final report upon which the judge relies. No authority is vested in the judge to delete any information — source or otherwise — from the final report before delivery to the defendant. It is hardly conceivable that a judge would rely upon the reported reputation of a defendant without being furnished with the names of those persons from whom that information was elicited. The judge would also take into account, in determining the reliability of the estimation of defendant’s reputation, the nature and relationship to defendant of those persons furnishing such an analysis. The reputation and its source are inextricably tied together. Accordingly, no meaningful opportunity for the type of attack of the facts and conclusion contained in the final report, suggested by the majority, can be afforded *152unless the source of the material sought to be disputed is furnished. Both or neither must remain in the ultimate report submitted to the sentencing judge.
The procedure concerning disclosure and subsequent action is delineated in' the majority opinion in broad strokes. However, as I understand, the mechanics following the receipt by the trial judge of a presentence report, are as follows:
1. After study of the report the judge will advise the probation officer of the items upon which he is not going to rely in imposing sentence and direct that these items be excised.
2. The judge and the defendant or his counsel shall receive copies of the redrafted report which must contain all information which will play a part or have any bearing in the sentencing procedure.
3. The defendant may challenge any of the matter in the report and if so challenged shall be entitled to a full-blown trial of any subject he desires to controvert.
Apparently, if a defendant desires to contradict a pre-sentence report there must be an adversary proceeding in which the probation officer will bear the burden of proving the validity of the factual statements concerning the character analysis of defendant. That officer and the witnesses interviewed by him will be the first witnesses subject to direct and cross-examination. It seems apparent that individuals interviewed who cannot be assured of their anonymity will refuse to make any statement rather than to risk a court appearance. This conclusion seems well supported by the present “non-involvement” attitude of many of the public, as well as the desire not to have to testify and be subject to cross-examination. Clearly, if this occurs, the fear of Mr. Roche that informational sources will dry up, is well justified. Conceivably we may reach the point where all that the sentencing judge will receive is a record of prior convictions — hardly much of an aid for the judge and little help to the defendant. Much injustice must arise if the court is required to sentence in a complete or partial vacuum — unassisted by a meaningful probation report.
*153A trial type contest of the report will also place a further 'unnecessary burden on an already overburdened trial court. Although it has been suggested that the court may greatly restrict proof by requiring that the hearing be limited to “matters relevant to the sentencing,” it would seem to me that any matter which the judge permits to remain in a report is matter “which will actually play * * * [a] part in the sentencing,” and must of necessity, therefore, be relevant and subject to attack. It is not a single isolated statement of one individual which furnishes the judicial basis for determining character but the sum total of many statements, each of which would therefore be subject to attack. To demonstrate the possible effect of disclosure, reference is made to State v. Marvel, 55 N. J. 83 (1969). On appeal, this Court permitted examination by defendant, under the existing rule, of the presentence report. Defendant’s objections to the report encompassed four typewritten pages.
I am in complete accord with the statement in the majority opinion that:
“The ability of trained judges to exclude from their consideration irrelevant or improper evidence and materials which have come to their attention and to so certify for appellate purposes, has been recognized throughout our law. We have no reason to doubt that it may properly be applied in the field of sentencing.”
To a somewhat lesser extent this also applies to trained probation officers. Such ability of the sentencing judge in combination with that of the probation officer should suffice to assure a defendant that there will be few, if any, irrelevant and improperly presented matters and that such as do find their way into a report will be ignored. Certainly confidence must be placed in the sentencing judge to ignore irrelevant and improper evidence and materials and also to require some proof of doubtful items. If there be any ground for disclosure, the revelation should be less than universal, absolute and unconditional.
In State v. Johnson, 28 N. J. 133 (1958), this Court stated:
*154“A rule should not ordinarily be revised or abandoned except by an exercise of the rule-making power. The nature of the problem is such that it should be explored at a judicial conference at such time as consideration may seem to be appropriate, to the end that so important a proposal may be considered upon full hearing rather than upon the naked record of an individual ease which chances to come before us.” (at 143)
So here, I see no reason to amend by opinion a rule which was adopted after recent lengthy discussion and consideration and which became effective as late as September 8, 1969. If any change in the rule is required, it should be accomplished by an amendment of the rule itself after deliberate study and discussion with probation officers and sentencing judges. In this manner, if the rule is amended, the entire procedure could be spelled out in detail and not left to individual interpretation.
The present rules without amendment furnish a framework within which matters similar to that now before this: Court can be disposed of. B. 3:21-2 provides that the sentencing judge “may include with such transmittal a statement of the reasons for the sentence imposed by him.” B. 3:21-4(b) provides in part:
“Before imposing sentence the court shall address the defendant personally and ask him if he wishes to make a statement in his own behalf and to present any information in mitigation of punishment.”
The combination of these two rules should furnish defendant with the required information and opportunity to learn of and contest that which he considers untrue or unfair. If, however, required for clarity, the latter rule could be amended to mandate a detailed statement by the sentencing judge and to affirmatively afford defendant the opportunity to challenge the verity of a presentence report. To that end, after the sentencing judge has announced the basis for his sentence, defendant could be accorded an opportunity, by a trial type procedure, to disprove the accuracy of those elements of fact, reputation or character which the sentencing *155judge states he finds are essential elements undergirding the determination of the type and length of sentence. I would not oblige the probation officer to sustain his report by testimony in open court nor would I permit the disclosure of the informational source upon which the report is bottomed except with the consent of the probation officer. This proceeding would furnish a fundamentally fair method to protect a defendant against inaccuracies and yet protect the confidential sources of items from revelation. The length and number of trials would also be reduced.
I would here remand to the sentencing jrtdge, for a certification as to what part the several portions of the presentence report played in his sentencing, giving defendant a copy of that statement. I would retain jurisdiction so that if defendant desires to contest the accuracy of any portion of the matters contained in the certification of the sentencing judge, this Court may determine whether to again remand for trial of any portion thereof.