Reports

Reports

  1. Quarterly Reports

Informational data, including accomplishments, shall be gathered on a quarterly basis for a public report on PPS field activities.  The quarterly report shall be submitted by each PPO to the Chief Probation Officer who shall gather and analyze the reports for submission to the Chief Justice. 

The quarterly narrative shall include—

  1. District name, name of person submitting the report, and date.
  2. Summary of cases handled including supervision level assigned to each case; cases brought forward; new cases assigned; supervision plans for conclusion/referral for each case; and plans actually provided. 
  3. Summary of field activities which directly benefited assigned client-offenders, described in sufficient summary detail in order to give a clear idea of the activity, including:
  4. number of home visits completed per client-offender;
  5. community oriented meetings attended;
  6. Chapter Meetings attended, and what was discussed;
  7. number of school visits, including the purpose, subject matter discussed, persons contacted, etc.;
  8. educational services rendered, including topic, number of attendees; and
  9. local and community requests for services responded to.
  10. Synopsis of staff development improvements and training, including:
  11. Self-initiated district projects;
  12.   Training attendance;
  13.    In-service trainings;
  14.   Facility problems and recommendations;
  15. Training needs and requests.
  16. Any other data required by the Chief Probation Officer.
  1. Pre-Sentence Reports

Adult Pre-Sentence Reports are permitted by the Nav. R. Cr. P. Rule 50(a)(2) and the Uniform Sentencing Policy Section 4.1(a).

If an defendant is sentenced to PPS supervision, the Pre-Sentence Report will be used by a PPO to make an initial assessment of case needs and risks. The report will provide the court with timely, relevant and accurate data to identify the most appropriate sentencing options.  A further purpose is to serve the needs of the detention facility, or PPO, with future responsibility over the offender.

Procedure

1.

Pre-Sentence Reports are customarily required for more serious offenses involving a likelihood of incarceration, but may be ordered by a court for any offense.

2.

The Court may order a Pre-Sentence Report on a defendant after a finding or plea of guilt in order for the Court to receive PPS’ sentencing recommendation prior to sentencing.   

3.

The court’s order is logged, the investigation is assigned, and a Pre-Sentence Report Investigation File is opened. A log is kept reflecting:

i.      date investigation orders were received;

ii.      date PPO was assigned;

iii.      report due dates;

iv.      report completion dates, and

v.      dates reports were delivered to the court.

4.

The PPO notes down whether the defendant is or is not in custody, any scheduled hearings, and the deadline for report submission. The time period for PPS to generate a report is usually is no longer than 20 days if the defendant is not in custody, and no longer than 10 days if the defendant is in custody. In exceptional circumstances, the PPO may be required by the presiding judge to produce the report even sooner where circumstances require immediate sentencing.

5.

PPO interviews the defendant.   Offender statements shall be included in the report.

6.

PPO obtains defendant’s criminal history.

7.

PPO interviews the victim(s), defendant’s family, friends, employer, teachers, (juvenile) protective service worker, etc.

8.

PPO conducts further investigations as needed.

9.

PPO prepares report and files it with the court within the required time limit with copies to the Prosecutor and defendant and defendant's advocate, if any.

10.

PPO attends the sentencing hearing and gives an oral report referencing the submitted written report.

11.

The Pre-Sentence Report is preserved and copied into any file opened for defendant in future.

Contents

The Report shall include the following basic information:

  1. a summary profile of the defendant on the Fact Sheet;
  2. defendant’s criminal history;
  3. description of the offense and circumstances surrounding it;
  4. defendant’s vocational background and work history, including military record and present employment status;
  5. brief social history of the defendant, including marital status, financial status, length of residence in the community, chapter affiliation, educational background, and other data;
  6. defendant’s medical history, substance abuse history (if any), and if PPO believes necessary, a psychological or psychiatric report or questionnaire;
  7. the victim(s)’ financial, social, psychological or physical harm suffered, including nályééh needs;
  8. written impact statement of victim(s), if provided;
  9. any statement defendant wishes to make;
  10. any statement from the Prosecutor / Presenting Officer, Social Services, or protective services;
  11. any agreement pursuant to peacemaking;
  12. any other information that may help the court in sentencing.

Furthermore, the Report shall include the following assessments:

  1. An evaluation and a prognosis for the defendant’s adjustment in the community based on factual information contained in the report;
  2. A specific recommendation for disposition based on the evaluation and sentencing guidelines;
  3. Diagnostic opinions.

Peacemaker Referrals

Peacemakers may recommend sentencing and/or nályééh in any case referred to them by the Court and may recommend sentences pursuant to Section 5.4 of the Uniform Sentencing Policy.

If the PPO’s investigation leads to a conclusion that a peacemaker rather than PPO should be utilized for the above purposes, the PPO shall so inform the court.   

Quarterly Review

The Chief Probation Officer shall review, quarterly, a sampling of Pre-sentence Reports from all district PPS offices for the purpose of maintaining an updated list of sentencing options being recommended by Navajo Nation PPS.

Spot Review

At any given time, the Chief Probation Officer may request, from any district PPS office, 5% of Pre-sentence Reports completed during that quarter.  Selected districts shall be notified when and what reports to submit.  This review is intended to keep the Chief Probation Officer abreast of the preparation and submission of reports, not to check on individual PPOs.

Annual Review

The District PPOs shall meet at least annually with sentencing judges in their district to evaluate pre-sentence investigations and reports for timely, relevant and accurate information. 

Reports Concerning Serious Crimes Against Minors

In order to assist in tracking PPS recommendations in such cases for purposes of assessing effectiveness and use of resources, District PPS offices shall maintain a separate file of district pre-sentence reports which involve serious crimes against a minor victim.

  1. Juvenile Pre-Disposition Report and Study

The preparation of a Pre-Disposition Study and Report for juveniles charged with offenses is specifically authorized by 9 N.N.C. §1054(A) of the Navajo Nation Children’s Code. 

Procedure

If a Pre-Disposition Study and Report ordered by the court, Section 1115 of the Children’s Code provides that evaluations, assessments, dispositional reports and other material shall be submitted to the Court no later than 5 days before a scheduled juvenile hearing date.  A copy of the Predisposition Report shall be provided to counsel for all parties at least 5 days before the dispositional hearing.

If the report cannot be completed in time, the PPO shall file an affidavit including reasons why the report has not been completed, also no later than 5 days before the scheduled hearing date.  Otherwise, the Court may dismiss a petition.  

The Court may continue a hearing on the petition for a reasonable time to receive reports and other evidence bearing on the need for care or rehabilitation or in connection with disposition. 

Confidentiality

Pursuant to 9 N.N.C. § 1118, All or part of predisposition studies and reports, as well as all social, medical, psychiatric and psychological records of the court concerning a child and produced by authority of the Children’s Code may be inspected only by the following:

  1. The judge, caseworkers, probation officers and court personnel;
  2. Representatives of any agency providing supervision and having legal custody of the child;
  3. Representatives of the Division of Health;
  4. Any other person, by order of the Court, having a legitimate interest in the particular case or the work of the Court.

The court may withhold identify of informants after a finding that disclosure would place him/her in danger or would not be in the child’s best interests.

  1. Pre-Dispositional Report for Transfer of Juveniles for Adult Prosecution

If a child was 16 years of age or older at the time of the alleged delinquent act, and the act would be a crime if committed by an adult, the court may transfer the matter for prosecution in the District Court before a hearing on the merits, pursuant to 9 N.N.C. §1114. 

A Pre-Dispositional Report must be prepared by the Juvenile Representative and a transfer hearing must be held before the case may be transferred.  The report is submitted to the court, to the child, his/her counsel, or his parents, guardian or custodian.  Pursuant to 2 N.N.C. §1988, the Juvenile Representative is under the supervision of the Juvenile Justice Administrator in the Office of the Chief Prosecutor.  However, to date no such position presently exists in the OCP.  For practical purposes, some district courts have requested assistance from the district PPS in preparing Transfer Pre-Dispositional Reports.

Pursuant to 9 N.N.C. § 1114, the Juvenile Representative shall make specific findings in regards to the following:

  1. Whether or not the child is amenable to treatment or rehabilitation as a child through available facilities; 
  2. Whether or not the child is committable to an institution for the mentally retarded or mentally ill;  and
  3. Whether the interests of the Navajo Nation require that the child be placed under legal restraint or detention.
  1. Status and Violation Reports

Reports and recommendations in juvenile cases iare authorized by 9 N.N.C. §1054(A)(2).  Pursuant to the Uniform Sentencing Policy Section 2.6, the court may receive reports from a PPO regarding violations of conditions and bring the defendant (adult and juvenile) before the court to address them. 

The preparation, format, and procedures for submission of status and violation reports in both adult and juvenile cases are presently on a district by district basis.   

The Chief Probation Officer will develop a single format, and procedures for preparation and submission of these reports with the participation of PPOs.

[1] The Children’s Code provides that a report or its contents or any facts related thereto or to the condition of the child who is the subject of the report are not subject to a physician-patient privilege or similar privilege or rule against disclosure. [9 N.N.C. §1124].