State v. Bosworth

360 So. 2d 173
Supreme Court of Louisiana·Decided June 19, 1978·No. 61492·Published·Cited by 44 cases

Opinion

360 So.2d 173 (1978)

STATE of Louisiana, Respondent,
v.
Gerald A. BOSWORTH, Relator.

No. 61492.

Supreme Court of Louisiana.

June 19, 1978.

*174 Robert Glass, Martzell & Montero, New Orleans, for defendant-relator.

William J. Guste, Jr., Atty. Gen., Barbara Rutledge, Asst. Atty. Gen., Norval J. Rhodes, Dist. Atty., James L. Alcock, Asst. Dist. Atty., for plaintiff-respondent.

TATE, Justice.

The issue involves whether the defendant is entitled to access to his pre-sentence investigation report before sentence is imposed. We granted certiorari, 354 So.2d 1047 (1978), to review the trial court's failure to afford such access under the circumstances shown.

The defendant Bosworth pleaded guilty to the crime of contributing to the delinquency of a juvenile. La.R.S. 14:92(A)(7). He did so, after being fully informed by the trial judge that the penalty could be imprisonment for not more than two years, with or without hard labor, as well as a fine of one thousand dollars.

At the time the defendant pleaded guilty (August 24, 1977), the trial court ordered a pre-sentence investigation. La.C.Cr.P. art. 875. A pre-sentence investigation report makes recommendations to the court as to the rehabilitation potential of the defendant and as to whether or not he should be committed to a state penal facility or to a local rehabilitation center. La.R.S. 15:1132.

When the defendant appeared for a sentencing hearing, he moved to continue the sentencing. He also moved for the production of the pre-sentence investigation report, in order to afford his counsel an opportunity to review any adverse information reflected by the pre-sentence investigation report.

The defendant's counsel explains that, at the time the defendant pleaded guilty, the accused and his counsel believed that he substantially met the factors reflected by the legislative guidelines favoring suspension of sentence or probation instead of imprisonment. La.C.Cr.P. art. 894.1 (1977). However, immediately prior to the sentencing, they had received an intimation that the sentence to be imposed was to consist not only of imprisonment, but additionally of imprisonment at hard labor in the state correctional system—rather than a suspended sentence (or at most imprisonment without hard labor in the parish facility), such as might reasonably be expected to be the most severe sentence for an offense of the nature committed by an accused of good community and professional reputation and without record of previous delinquency or criminal activity, in an isolated episode during a period of emotional strain (as contrasted with an organized commercial exploitation of a young girl). They therefore *175 believed prejudicial or materially false information must have been contained in the pre-sentence investigation report and desired an opportunity for the defendant to deny or explain it.

Where, in imposing a heavy sentence, the trial court relies upon pre-sentence information which is materially false or which furnishes invalid information, the defendant must be given an opportunity to deny or explain such substantially significant misinformation. State v. Segers, 357 So.2d 1 (La.1978); State v. Underwood, 353 So.2d 1013 (La.1977). See also: United States v. Tucker, 404 U.S. 443, 92 S.Ct. 589, 30 L.Ed.2d 592 (1972); Townsend v. Burke, 334 U.S. 736, 68 S.Ct. 1252, 92 L.Ed. 1690 (1948); United States v. Espinoza, 481 F.2d 553 (CA 5, 1973).

In Underwood, this court held that, in order to avoid an excessive sentence improperly resulting from materially false information, the accused has a right to access to such records, with the court (after an in camera examination) to withhold only such information which is relevant or which is not protected by confidentiality. La.R.S. 15:574.12 F (1975).[1] "Fundamental fairness to the defendant requires that the substance of all derogatory information which adversely affects his interest and which has not otherwise been disclosed in open court should be called to the attention of the defendant, his attorney, and others who are acting on his behalf." American Bar Association Standards Relating to the Administration of Criminal Justice, Standards Relating to Sentencing Standards and Alternatives, Standard 4.4(a) (1968).[2]

In Underwood, it is true, an apparently excessive sentence was imposed under circumstances where, after the sentence, it was discovered that the pre-sentence investigation report had contained materially false and substantially prejudicial misinformation. Nevertheless, important due process and fairness values require the sentencing court to disclose data unknown to the defendant upon which the court relies in exercising its sentencing discretion (subject to excision by the trial court as indicated in footnote 2); these values arguably are perhaps better served if the defendant, prior to sentence as well as after it, is afforded an opportunity to deny or to explain prejudicial misinformation otherwise secret to the sentencing judge himself. See United States v. Picard, 464 F.2d 215 (CA 1, 1972). See also reference in State v. Segers, 357 So.2d 1 (La. *176 1978) to principle expressed by Gardner v. Florida, 430 U.S. 349, 97 S.Ct. 1197, 51 L.Ed.2d 393 (1977).

For these reasons, we reverse the trial court's denial of the defendant's motion to disclose the pre-sentence investigation report (after in camera inspection to delete any "communications obviously made in the confidence they would not be disclosed" or where "confidentiality is essential to future useful relations between the source and the recorder," La.R.S. 15:574.12 F(2), (3) (1975)[3]). We also note that no full scale evidentiary trial is required at the sentencing hearing at which the defendant is given an opportunity to deny or explain adverse information which is prejudicially false or misleading.[4]

Decree

The matter is remanded to the district court, for future proceedings consistent with this opinion.

ACCESS TO PRE-SENTENCE INVESTIGATION REPORT ORDERED; CASE REMANDED.

SANDERS, C. J., dissents and assigns reasons.

MARCUS, J., dissents and assigns reasons.

APPENDIX

Uniform Rules of Criminal Procedure, Rule 613, provides:

Before imposing sentence or making any other disposition upon acceptance of a plea or upon a verdict or finding of guilty, the court shall conduct a disposition hearing without unreasonable delay, as follows:
(1) The court shall afford the parties an opportunity to be heard on any matter relevant to the disposition.
(2) Except as provided in Rule 713, the court shall address the defendant personally to ascertain whether he wishes to make a statement in his own behalf and to present any information in mitigation of punishment or reason why he should not be sentenced and, if he does, afford him a reasonable opportunity to do so.
(3) The court shall impose sentence or make any other disposition authorized by law.
(4) Except as provi

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