Problem Solving Courts & Programs
The Northern District of California offers several problem-solving courts and programs for defendants on pre-conviction or postconviction supervision: (1) a diversion program that may lead to dismissal of charges; (2) a presentence Conviction Alternatives Program with multiple tracks for defendants who have pleaded guilty, are on pretrial supervision, and are awaiting sentencing, which may result in dismissal of charges or a non-custodial sentence; and (3) reentry programs for defendants on federal post-sentence supervision that may reduce the term of supervision.
The diversion program, a longstanding initiative of the United States Attorney’s Office, typically involves deferred prosecution for six to eighteen months, a diversion agreement, supervision by Pretrial Services, and dismissal of the charges upon successful completion.
The post-plea, presentence programs, collectively known as the Conviction Alternatives Program (CAP), can result in dismissal of charges or a non-custodial sentence and are available in the San Francisco, Oakland, and San Jose divisions. The tracks include (1) CAP court, for defendants with risk factors such as addiction, failed treatment efforts, or prior felony convictions, (2) CAP Focus, for defendants who qualified for CAP court but now are more stable and require less intensive supervision, (3) Leading Emerging Adults to Develop Success (LEADS), for defendants aged 18 to 26 with similar risk factors, (4) a Veterans track, and (5) a Restorative Justice program.
The programs for defendants on post-sentence supervision include Reentry Court (available in the San Francisco and Oakland divisions) for individuals with a documented history of addiction at risk of violating supervision conditions and the Restorative Justice program (available in the San Francisco, Oakland, and San Jose divisions). Both programs may reduce the term of postconviction supervision by a year or more. Veterans track programming is available for veterans on supervised release to support their reentry.
All programs are evidence-based supervision models to meet the needs of participants, reduce recidivism, enhance public safety, lower costs, and improve the lives of participants, their families, and the community.
The attached interagency agreements (the first for presentence programs and the second for post-sentence programs) describe how the programs work.
The following video describes the programs.
FAQs
The following are frequently asked questions about the programs.
- The Problem-Solving Programs
- How the Programs Work
- Disqualifying Offenses or Factors
- Qualifying Risk Factors for Participation in a Problem-Solving Program
- The Process for Assessment Participation
- Presiding Judge After Program Acceptance
- Successful Program Completion
- Other Courts with Similar Programs
The Problem-Solving Programs
The problem-solving programs include U.S. Attorney diversion, CAP court, CAP Focus, LEADS, Veterans Court, Restorative Justice, and Reentry Court. The first five are presentence programs that may lead to dismissal of charges or a non-custodial sentence. Reentry Court, for individuals on post-sentence supervision, may reduce the term of supervision by one year or more. Veterans track programming supports those on presentence or post-sentence supervision. The Restorative Justice program may result in a sentence reduction or, for those on supervised release or probation, a reduced term of supervision.
The attached interagency agreements set forth the programs’ selection criteria and incentives. The following are summaries of each program.
- CAP court serves defendants at higher risk of reoffending due to factors such as youth, early onset of substance abuse or delinquency, failed treatment or rehabilitation attempts, or prior felony convictions. Successful completion of the program may result in dismissal of charges or a non-custodial sentence.
- CAP Focus serves defendants who qualify for CAP but are more stable and require less intensive supervision and programming. It has two tracks: Track I, for low-risk defendants less likely to reoffend, which may lead to dismissal of charges upon successful completion, and Track II, for defendants with a low to moderate risk of reoffending, which may lead to a non-custodial sentence upon successful completion.
- LEADS serves defendants aged 18 to 26 with CAP risk factors who may benefit from specialized services and programming. LEADs plea agreements offer two tracks: Track I, for low-risk defendants less likely to reoffend, which may lead to dismissal of charges upon successful completion, and Track II, for higher-risk defendants, which may lead to a non-custodial sentence upon successful completion.
- Veterans Court serves defendants with at least twelve months service in the United States armed forces. It offers two tracks: Track I, for low-risk defendants less likely to reoffend, which may lead to dismissal of charges upon successful completion, and Track II, for higher-risk defendants, which may lead to a non-custodial sentence upon successful completion. Veterans track programming also supports veterans on supervised release with reentry services.
- Reentry Court serves defendants on post-sentence supervision who have a documented history of addiction and who are at risk of violating supervision conditions. Successful participation may lead to a reduced term of supervision of one year or more.
- The Restorative Justice program serves defendants on pre-conviction and postconviction supervision. It unites defendants, harmed parties, and community members in restorative and educational workshops to address and repair harm. Successful participation result in a three-level variance from the agreed-upon offense level in a plea agreement or, for those on supervised release or probation, a reduced term of supervision.
How the Programs Work
U.S. Probation or U.S. Pretrial Services will assess potential participants to confirm that they meet objective criteria for participation (e.g., addiction, age, veteran status, or other program-specific metrics). The program team — composed of defense attorneys, prosecutors, pretrial services or probation officers, treatment providers, and judges — then reviews and accepts participants into the program.
Thereafter, team members work to ensure successful outcomes, including sobriety, no additional crimes, financial literacy, obtaining a high-school diploma or the equivalent, education, employment, housing, access to healthcare, and reengagement with family members and the community.
The court collaborates with a non-profit organization that provides supportive services, including services directed at housing, education, job skills, and financial literacy, to program participants.
The programs employ evidence-based programming and supervision to help participants learn from their past, make better choices, and adopt productive behaviors.
Each participant has an individualized assessment to identify the participant’s treatment and other needs, including inpatient or outpatient substance-abuse treatment, mental-health treatment, cognitive-behavioral therapeutic programs (including those that address maladaptive behaviors such as committing crimes), vocational and educational programs, and community service.
Programs typically last a year (though participant progress can take longer) and include quarterly goals that must be met to advance to the next quarter. Each program has protocols, and participants sign agreements that set forth the protocols.
Disqualifying Offenses or Factors
Defendants generally are ineligible if charged with sex offenses or crimes against minors, involved in removal proceedings, or subject to an immigration detainer.
Qualifying Risk Factors for Participation in a Problem-Solving Program
Relevant risk factors for assessing participation include the following:
- Early onset of delinquency
- Early onset of substance abuse
- Prior failures in treatment or other rehabilitation efforts
- History of criminal arrests and convictions that may be related to drug abuse or mental illness, poverty, familial history of crime or addiction, childhood trauma, being a victim of violence, or anti-social associations
For drug-treatment programs, the participant must have a clinically diagnosed moderate-to-severe substance-use disorder.
Other factors supporting participation include chronic medical conditions such as diabetes, Hepatitis C, and HIV and functional impairments such as limited skills, illiteracy, and limited education.
Probation and Pretrial Services employ validated risk-assessment tools, such as the Post-Conviction Risk Assessment (PCRA) for Probation and the Pretrial Risk Assessment (PTRA) for Pretrial Services, to evaluate a candidate’s risk of non-compliance and develop targeted interventions.
For CAP and Reentry Court, a candidate’s risk factor must be moderate to high.
For LEADS, Pretrial Services evaluates the risks and needs of late adolescent and adult offenders for deficiencies in three areas: skills development, family and financial support, and pro-social attitudes, beliefs, and orientation. Pretrial also assesses needs related to education and employment, financial status and support, family or marital support, housing, leisure and recreation, social connections, alcohol and substance-use problems, emotional and personal needs, and attitude and orientation.
For the Veterans programs, Pretrial Services and Probation screen for the LEADS factors and prior military service.
The Process for Assessment for Participation
For CAP and CAP Focus, the initial assessment may take up to sixty days (and sometimes longer for complex cases). Then, the final assessment can take another sixty days.
For LEADS and the Veterans track, the initial assessment may take up to thirty days. If a plea agreement permits program participation, then Pretrial Services develops an individual plan, which may take thirty to sixty days, depending on the candidate’s history.
To avoid Rule 11 issues, the assessments are not provided to the presiding judge before entry of a guilty plea.
The Reentry assessment happens soon after someone begins post-sentence supervision.
Most information is obtained through records, and additional information is obtained through office visits. Defense counsel can be present for those visits. Counsel can facilitate the process by encouraging clients to be candid and providing records, including treatment records and assessments, relevant medical records, juvenile and foster-care records, police records, and (for the Veterans track) a certified Form DD214 that confirms military history.
For the presentence programs, a confidential written assessment typically is provided to the parties. For the postconviction programs, the probation officer directly informs potential participants of eligibility.
Defense attorneys may contact an individual’s supervising pretrial services or probation officer to request a screening assessment.
Other factors may prevent an assessment — such as the lack of the parties’ agreement to the process — until the presiding judge refers a case (after entry of a guilty plea) for a full CAP assessment.
Presiding Judges After Program Acceptance
For CAP court, the case transfers to the judge overseeing the venue’s program. For CAP Focus, LEADS, Veterans Court, and Restorative Justice cases, the case remains with the presiding judge. Post-sentence cases also stay with the presiding judge.
Successful Program Completion
For presentence programs, the defendants’ retained or appointed counsel will represent them at sentencing. All assessments and progress reports will be provided to the parties and U.S. Probation.
For post-sentence programs, the federal defender’s office typically represents the defendant in proceedings to reduce the term of supervision.
Other Courts with Similar Programs
Many state and federal courts have operated similar problem-solving courts for years. The Eastern District of New York and the Central District of California have programs similar to CAP. The Southern and Eastern Districts of New York have programs similar to LEADS. The Southern District of California has a comparable Veterans Court. Many courts, including the District of Massachusetts, have reentry courts.