Appendix
SUPERIOR COURT OF CALIFORNIA
COUNTY OF NAPA
THE HONORABLE
NAME:
AKA:
Address:
Phone:
DOB:
DL:
CII:
FBI:
Height:
Weight:
Hair:
Eyes:
Race:

Age:

In Custody:

Yes

No

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PID Number:
CR Number:
Sentencing Date:
Department:

at

in Dept

Defense Counsel:
Report Prepared By:

PROBATION OFFICER’S REPORT
PRESENTENCE

SUMMARY OF CHARGES:
CR
Number

Count

Crime or
Enhancement

CONDITIONS OF PLEA:

LOC
(F/M)

Plea Bargain

Crime
Date

Conviction
Date

Plea

Indicated Sentence

Trial

Dism

Harvey
Waiver

Open Plea

The parties agreed there would be no immediate state prison and the defendant would
(example of a plea bargain)
or
The court indicated there would be no immediate state prison.
sentence)

(example of an indicated

or
There are no conditions attached to the plea. (use this if it’s an open plea)

STATEMENT OF FACTS:
Page A-15

 The following is a summary of facts derived from

report #

, dated

:

PRIOR RECORD: A record check with CII, DMV, FBI, Juvenile Probation, and other state
and county agencies reveal the following prior convictions for the defendant:

Date

Agency

Offense

Disposition

DMV:

DEFENDANT’S STATEMENT:

VICTIM’S STATEMENT:
On
, a letter was sent to
Section 1191.1 and 1191.2.

, advising him/her of his/her rights, pursuant to Penal Code

FINE(s)/RESTITUTION/RESTITUTION FINE(s):

SOCIAL HISTORY: (The following information was provided by the defendant without
verification)
Additional Social History information mandated in felony presentence reports per Rule of Court
4.411.5, may be found on the face sheet of this felony report. Any pertinent information specific
to the defendant, who is the subject of this report, will be included below:
Birthplace:
Came to State:
Came to County:
US Citizen/Legal Status:
Employer:

Income:

Full time
Part time

hours/week
hours/week
Page A-16

 Occupation:
Education:
Military Service:
Medical Conditions:
Psychological Issues:
Gang Affiliation:
Marital Status:
Spouse’s Name:
Spouse’s Income:
Dependent Children:
Custody With:
Person(s) Supported:

How Long:
Type of Discharge:

Ages:
Source of Income:

The defendant reports

SUBSTANCE ABUSE:
Substance

First Used

Last Used

Frequency

Method of Use

Amount

Prior Treatment and Recommendations for Treatment:

COLLATERAL INFORMATION:

CONDUCT ON PROBATION:
In the event the defendant was on Formal Probation in another local case, the Court’s attention is
referred to the attached Probation Adjustment Summary for information regarding compliance
with court orders. If the defendant was on probation or parole in another jurisdiction,
compliance with conditions of probation will be inserted below, if available.

RULES OF COURT:
As the defendant has entered a plea with the understanding that a grant of probation with specific
terms will be imposed, Rules of Court are not necessary upon initial sentencing. In the event the
defendant is subsequently found to be in violation of probation, and the Court is considering
imposing a state prison commitment, the case will be re-referred to the Probation Officer for a
Supplemental Report to address Rules of Court 4.413, 4.414, 4.421, 4.423 and 4.425.
Page A-17

 CRITERIA NOT EXCLUSIVE; SEQUENCE NOT SIGNIFICANT – RULE 4.408:
(a)

The enumeration in these rules of some criteria for the making of discretionary
sentencing decisions does not prohibit the application of additional criteria reasonably
related to the decision being made. Any such additional criteria must be stated on the
record by the sentencing judge.

(b)

The order in which criteria are listed does not indicate their relative weight or
importance.

PROBATION ELIGIBILITY WHEN PROBATION IS LIMITED - RULE 4.413:
MANDATORY STATE PRISON
list statutory authority here
PRESUMPTIVE STATE PRISON
Pursuant to Section 1203(e)(4) of the Penal Code, “Except in unusual cases where the interests of
justice would best be served if the person is granted probation, probation shall not be granted to
any person who has been previously convicted twice in this state of a felony or in any other place
of a public offense which, if committed in this state, would have been punishable as a felony.”
EXCEPTIONS TO PRESUMPTIVE STATE PRISON
Rule 4.413 of the Rules of Court delineates unusual cases and probation eligibility when
probation is limited.
CRITERIA AFFECTING PROBATION - RULE 4.414:
(a)(1)

The nature, seriousness, and circumstances of the crime as compared to other
instances of the same crime.

(a)(2)

Whether the defendant was armed with or used a weapon.

(a)(3)

The vulnerability of the victim.

(a)(4)

Whether the defendant inflicted physical or emotional injury.

(a)(5)

The degree of monetary loss to the victim.

(a)(6)

Whether the defendant was an active or passive participant.

(a)(7)

Whether the crime was committed because of an unusual circumstance, such as great
provocation, which is unlikely to recur.

Page A-18

 (a)(8)

Whether the manner in which the crime was carried out demonstrated criminal
sophistication or professionalism on the part of the defendant.

(a)(9)

Whether the defendant took advantage of a position of trust or confidence to commit
the crime.

(b)(1)

Prior record of criminal conduct, whether as an adult or a juvenile, including the
recency and frequency of prior crimes; and whether the prior record indicates a
pattern of regular or increasingly serious criminal conduct.

(b)(2)

Prior performance on probation or parole and present probation or parole status.

(b)(3)

Willingness to comply with the terms of probation.

(b)(4)

Ability to comply with reasonable terms of probation as indicated by the defendant's
age, education, health, mental faculties, history of alcohol or other substance abuse,
family background and ties, employment and military service history, and other
relevant factors.

(b)(5)

Likely effect of imprisonment on the defendant and his or her dependents.

(b)(6)

The adverse collateral consequences on the defendant's life resulting from the felony
conviction would affect the defendant’s ability to possess firearms and to secure
employment requiring state and federal licensing. Further, it could result in
deportation and exclusion from this country or denial of naturalization.

(b)(7)

Whether the defendant is remorseful.

(b)(8)

The likelihood that if not imprisoned the defendant will be a danger to others.
Does not apply in this case.

CIRCUMSTANCES IN AGGRAVATION - RULE 4.421:
(a)(1)

The crime involved great violence, great bodily harm, threat of great bodily harm, or
other acts disclosing a high degree of cruelty, viciousness, or callousness.

(a)(2)

The defendant was armed with or used a weapon at the time of the commission of the
crime.

(a)(3)

The victim was particularly vulnerable.

(a)(4)

The defendant induced others to participate in the commission of the crime or
occupied a position of leadership or dominance of other participants in its
commission.
Page A-19

 (a)(5)

The defendant induced a minor to commit or assist in the commission of the crime.

(a)(6)

The defendant threatened witnesses, unlawfully prevented or dissuaded witnesses
from testifying, suborned perjury, or in any other way illegally interfered with the
judicial process.

(a)(7)

The defendant was convicted of other crimes for which consecutive sentences could
have been imposed but for which concurrent sentences are being imposed.

(a)(8)

The manner in which the crime was carried out indicates planning, sophistication, or
professionalism.

(a)(9)

The crime involved an attempted or actual taking or damage of great monetary value.

(a)(10)

The crime involved a large quantity of contraband.

(a)(11)

The defendant took advantage of a position of trust or confidence to commit the
offense.

(b)(1)

The defendant has engaged in violent conduct which indicates a serious danger to
society.

(b)(2)

The defendant's prior convictions as an adult or sustained petitions in juvenile
delinquency proceedings are numerous or of increasing seriousness.

(b)(3)

The defendant has served a prior prison term.

(b)(4)

The defendant was on probation or parole when the crime was committed.

(b)(5)

The defendant's prior performance on probation or parole was unsatisfactory.

(c)

Any other facts statutorily declared to be circumstances in aggravation.
Does not apply in this case.

CIRCUMSTANCES IN MITIGATION - RULE 4.423:
(a)(1)

The defendant was a passive participant or played a minor role in the crime.

(a)(2)

The victim was an initiator of, willing participant in, or aggressor or provoker of the
incident.

(a)(3)

The crime was committed because of an unusual circumstance, such as great
provocation, which is unlikely to recur.

Page A-20

 (a)(4)

The defendant participated in the crime under circumstances of coercion or duress, or
the criminal conduct was partially excusable for some other reason not amounting to
a defense.

(a)(5)

The defendant, with no apparent predisposition to do so, was induced by others to
participate in the crime.

(a)(6)

The defendant exercised caution to avoid harm to persons or damage to property, or
the amounts of money or property taken were deliberately small, or no harm was
done or threatened against the victim.

(a)(7)

The defendant believed that he or she had a claim or right to the property taken, or for
other reasons mistakenly believed that the conduct was legal.

(a)(8)

The defendant was motivated by a desire to provide necessities for his or her family
or self.

(a)(9)

The defendant suffered from repeated or continuous physical, sexual, or
psychological abuse inflicted by the victim of the crime; and the victim of the crime,
who inflicted the abuse, was the defendant's spouse, intimate cohabitant, or parent of
the defendant's child; and the facts concerning the abuse do not amount to a defense.

(b)(1)

The defendant has no prior record, or an insignificant record of criminal conduct,
considering the recency and frequency of prior crimes.

(b)(2)

The defendant was suffering from a mental or physical condition that significantly
reduced culpability for the crime.

(b)(3)

The defendant voluntarily acknowledged wrongdoing prior to arrest or at an early
stage of the criminal process.

(b)(4)

The defendant is ineligible for probation and but for that ineligibility would have
been granted probation.

(b)(5)

The defendant made restitution to the victim.

(b)(6)

The defendant's prior performance on probation or parole was satisfactory.
Does not apply in this case.

CRITERIA AFFECTING CONCURRENT OR CONSECUTIVE SENTENCES
RULE 4.425:
(a)(1)

The crimes and their objectives were predominantly independent of each other.

(a)(2)

The crimes involved separate acts of violence or threats of violence.

Page A-21

 (a)(3)

The crimes were committed at different times or separate places, rather than being
committed so closely in time and place as to indicate a single period of aberrant
behavior.
Does not apply in this case.

STATE AUTHORIZED RISK ASSESSMENT TOOL FOR SEX OFFENDERS
(SARATSO) – STATIC 99R RESULTS:
On
, Mr.
was scored on the Static-99R, which is an actuarial measure of risk for
sexual offense recidivism. This instrument has been shown to be a moderate predictor of sexual
reoffense potential. Mr.
received a total score of
, which places him in the
(choose one: Low, Moderate-Low, Moderate-High, or High) Risk Category for being convicted
of another sexual offense, if he is released on probation. His risk on release from a prison
sentence cannot be calculated until his age on release on parole is known, so the risk score stated
herein is predictive of risk based on his age on the date of this presentencing report. If Mr.
has a prior conviction for a registrable sex offense, his risk score was calculated based on
his age at release on the most recent registrable sex offense, or his age today if he had no prior
registrable sex offense. There was a 2009 update of the recidivism rates that now applies to
scores from 0 to 10+. Mr.
scored a
on the Static-99R. The estimated risk for this
score on the Static-99R is
over five years.
Risk factors which are not measured by the Static-99R can raise or lower risk. These include
things like substance abuse, personality disorder, deviant sexual interests, emotional
identification with children, and self-regulation problems. A sex offender in a mandated
treatment program will be assessed by a certified treatment provider using dynamic and violence
risk assessment instruments designated by the SARATSO Committee. The combined risk will
be used to determine appropriate levels of supervision and treatment.
SPOUSAL ASSAULT RISK ASSESSMENT (SARA) RESULTS:
On
, a SARA assessment was completed by the undersigned officer, based on information
gathered during the presentence investigation in this matter. The defendant’s raw score was
, which places him in the
percentile and indicates he is of
risk to commit a
future domestic violence offense. The SARA is an assessment tool that measures a subject’s risk
to commit a future domestic violence offense, based upon his or her criminal history,
psychosocial adjustment, spousal assault history, and the current/most recent offense. A raw
score higher than 20 indicates the subject has a relatively high number of risk factors present.
LS/CMI EVALUATION RESULTS:
Based upon the Level of Service/Case Management Inventory (LS/CMI) evaluation conducted
on
, the defendant scored
indicating a (very low, low, medium, high, very high) risk
to reoffend. The target areas of concern the defendant needs to address to be successful on
probation and to reduce possible recidivism include,
. Recommended treatment services
will include
.

Page A-22

 Scores
Very High
High
Medium
Low
Very Low

CH

EE

FM

LR

CO

ADP

PA

AP

CH- Criminal History, EE- Education/Employment, FM-Family/Marital, LR-Leisure/Recreation, CO-Companions,
ADP-Alcohol/Drug Problem, PA-Procriminal Attitude/Orientation, AP- Antisocial Pattern.

EVALUATION:

RECOMMENDATION:
It is recommended the defendant be ordered to pay a Presentence Report Fee of
$560.00/$240.00, pursuant to Penal Code Section 1203.1b along with an annual Supervision Fee
in an amount not to exceed $240.00, pursuant to Penal Code 1203.1b.
Therefore, in the matter of
, it is respectfully recommended that imposition of sentence be
suspended and the defendant be GRANTED FORMAL PROBATION for a period of
years, under the following terms and conditions:

Dated:

MARY BUTLER
Chief Probation Officer

By:

______________________________
Probation Officer

Approved: ______________________________
Supervising Probation Officer
I have read and considered the
foregoing report.
_____________________________
Judge of the Superior Court

Page A-23