UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF RHODE ISLAND
GENERAL ORDER
ADOPTING DEFERRED SENTENCING PROGRAM
In 2016, the U.S. District Court for the District of Rhode Island established a Deferred
Sentencing Program. The Deferred Sentencing Program is a post-guilty plea program that offers
a creative blend of treatment, supervision, and services in lieu of incarceration to effectively
address offender behavior, rehabilitation, and the safety of the community. Participation is
voluntary and must be approved by the presiding judge assigned to the defendant’s criminal
case. Participants will engage in a variety of programs to address underlying causes of their
criminal conduct and will attend regularly scheduled program sessions with the presiding judge,
prosecutor, defense counsel, and probation officers.
It is hereby ordered that the attached Deferred Sentencing Program Plan be adopted
effective immediately.
IT IS SO ORDERED.
By the Court:
June 28, 2021 /s/ John J. McConnell Jr., Chief Judge
DEFERRED SENTENCING PROGRAM
June 2021
Table of Contents
Mission Statement..................................................................................................... 3
Executive Summary .................................................................................................. 4
Referral Process ......................................................................................................... 5
Program Screening Checklist ................................................................................... 6
Program Participation............................................................................................... 7
Program Areas ........................................................................................................... 8
Sanctions.................................................................................................................. 11
Deferred Sentencing Program Participant Agreement ......................................... 14
Deferred Sentencing Program Participant Monthly Report.................................. 15
Group Structure ...................................................................................................... 18
UNITED STATES DISTRICT COURT
FOR THE DISTRCT OF RHODE ISLAND
Mission Statement
The Deferred Sentencing Program (“DSP”) is designed to offer an
alternative to traditional incarceration after conviction by providing
eligible participants with a framework of supervision and services in lieu
of incarceration to help them make informed decisions, engage in
positive behavior, and reduce the risk of recidivism.
Cognitions
Monthly
Social
Court
Networks
Meetings
Making
Amends DSP Financial
LItteracy
Substance
Housing
Use
Work/
Education
DEFERRED SENTENCING PROGRAM
Executive Summary
In December 2015, the Court established the Deferred Sentencing
Program to provide post-guilty plea defendants an opportunity to
avoid incarceration and instead receive targeted interventions and
court guidance to effectuate prosocial behavioral change, as well as
address underlying causes of criminal conduct.
This past year, in 2020, the COVID pandemic forced the court to pivot
to a virtual platform but despite these challenges, DSP continued to
operate in a way that was meaningful and purposeful. The pandemic,
however, limited the flow of DSP referrals and provided a unique
opportunity to celebrate accomplishments, but also assess areas for
Phase III
Future improvement to enhance client engagement, accountability, and
Phase II Planning success. Change efforts focused on program eligibility, participant
Apply requirements, measuring progress and addressing noncompliance, as
Phase I Skills
Establish a well as reshaping the monthly meetings. The following is the 2021
Foundation revised DSP in the United States District Court for the District of
for Success
Rhode Island.
Program Eligibility/Screening: Targeted selection criteria and tools are specified and expanded to help
select appropriate candidates and provide a more universal template for evaluating prospective
participant’s eligibility. Refined criteria will also aid in data collection and evaluation efforts. Key
additions include the use of the Pretrial Risk Assessment (PTRA) and Post-Conviction Risk Assessment
(PCRA), University of Rhode Island Change Assessment Scale (URICA), gang affiliation, and pretrial
compliance.
Participant Requirements: In addition to the mandatory conditions of release, as well as any additional
conditions imposed by the Court, participation in DSP would require participants to set and achieve goals
in seven key areas: (1) cognitions, (2) substance use, (3) pro-social networks, (4) work and education, (5)
stable housing, (6) financial literacy, and (7) making amends. Participants will work with their supervising
officer to ensure these are Specific, Measurable, Achievable, Realistic, and Time-bound (SMART) goals.
Measuring Progress: A credit system was adopted so that participants must earn 24 credits in an 18-
month period to complete. The number of awarded credits will be based on performance each month. The
three phase system ((1) Establish a Foundation for Success; (2) Apply Skills; and (3) Future Planning)
captures key benchmarks but also build on accomplishments achieved in the prior phase(s). Monthly
reports capture participant’s cumulative progress, with identified goals and accomplishments.
Accountability/Noncompliance: A sanction matrix will provide graduated, predictable responses to hold
participants accountable for not meeting expectations.
Session Structure: A single judge will oversee the DSP for a period of at least 12 months to help offset the
increased workload required by the Court and allow for consistency and continuity of the program. To help
increase client engagement, participants will meet with the Court twice a month. The DSP Judge will
meet individually (either by Zoom, phone, or in person) with each participant once a month, and then the
DSP Judge with Probation, will facilitate a monthly group discussion. Dr. Robert Kinscherff will continue
to consult with DSP to provide clinical, forensic, and criminal justice expertise. Monthly group meetings
will target criminogenic risk factors, address barriers, identify/discuss pro-social interests, and use subject
matter experts to complement discussion areas (e.g., Institute of Nonviolence, Dr. Kinscherff facilitating
a discussion on trauma). The monthly group meeting will take place with only participants, the DSP
Judge, and DSP Probation Officers, in a circle. Other observers may view the circle from the perimeter.
Referral Process
•Presentence Investigation Report (PSR) filed after Defendant
enters guilty plea
•Recommendation made to the presiding Judge to consider
First PSR Defendant for the program by either Probation, Defense
Attorney, or the Government
Disclosure
•DSP Probation Officer meets with Defendent
•University of Rhode Island Change Assessment Scale and
Post-Conviction Risk Assessment
Needs •Strengths and barriers for success discussed
•At least one specific goal identified
Assessment
•Presiding Judge schedules chambers conference with
Government, Defense Attorney, and Probation.
•All information provided to presiding Judge deemed relevant
to Court's decision
Chambers •All parties given opportunity to advocate for or against
Conference program participation
•Parameters of the program are discussed with Defendant
•The Court may confer with the parties and Probation as well
as hear directly from Defendant
•The Court makes final decision of acceptance into program.
Court •If accepted, deferred sentencing hearing scheduled as soon as
practicable
Hearing •If denied, sentencing continues its original course
Program Screening Checklist
Eligibility Considerations and Screening
To help provide additional guidance when determining a defendant’s eligibility, the
Court is looking for participants who are desirous and willing to make informed
decisions, who will engage and sustain involvement in prosocial activities, and who
are ready and able to change their lives away from criminal behavior. The decision
to avoid ridged criteria was made to broaden the scope of potential defendants who
may benefit from DSP and the assistance of the federal court, by allowing
participants an opportunity to establish a pathway for success and long-term
positive change.
• PCRA Risk level: ☐High ☐Moderate ☐Low/Moderate
• Dynamic Risk Factors: ☐Drugs/Alcohol ☐Cognitions ☐Social Networks
☐Education/Employment
• PTRA category: _______
• Compliance on Pretrial Service Supervision: ☐Y or ☐N or ☐N/A
• Target age of participant: 18-35
o Age of participant: _____
• Type of offense: ☐Drugs ☐Violence ☐Fraud ☐Weapons
☐Other: _________________________________
• Gang Affiliation: ☐Y or ☐N
o Name/Status: ____________________
• Age of first contact with justice system: __________
• Criminal History Points: ___________
• Guideline Range: _____________
• Mandatory Minimum: ☐Y or ☐N
• Safety Valve Eligible: ☐Y or ☐N or ☐N/A
The Probation Office will screen prospective DSP participants using assessment
tools to better identify risk factors and stages of change.
Program Participation
Sentencing is postponed until completion of the program or such time as a
defendant shows an inability or unwillingness to complete the program. DSP
participants will be on pretrial release and placed under the intensive specialized
supervision of the U.S. Probation Department for a period of at least twelve
months.
A single Judge will oversee the DSP program and DSP participants will meet with
the Court twice a month. Sessions will consist of an individual meeting with the
Judge, as well as a facilitated group with all DSP participants. Both the
Government and Defense Counsel will be notified of all times when the participant
is meeting with the DSP Judge and will be allowed to advocate. The presiding
Judge in each case will receive a copy of monthly progress report and will be
invited, but not required, to attend the monthly groups sessions.
1. Points: To complete the program, participants must earn 24 credits
within an 18-month period. The Court will award each participant the
following credits based on their performance during the month and
evaluating their effort in achieving goals and actively participating in
group monthly meetings. Participants who have achieved satisfactory
performance during the month will receive 2 credits, marginal
performance will earn 1 credit, and unsatisfactory performance will
result in no credits. The Court will reserve the ability to award more
than 2 credits per month, if appropriate, and in consultation with
Probation. Monthly progress reports will be prepared and shared with
the Court, and parties as needed.
2. Phases: The following Phases will serve as a framework to help guide
participants through DSP.
Phase I Phase II Phase III
Establish Foundation Apply Skills Future Planning
(4-6 months; 8 credits) (4-6 months; 8 credits) (4-6 months; 8 credits)
Continue to engage in
Appropriate screening for Continue to work towards
steps to achieve
treatment referral goals/achieve goals
individual goals
Engage in steps to achieve Review goals and adjust Establish future life goals
individual goals as needed after DSP
Plan to Address Dynamic Complete Cognitive Progress in all program areas
Risk Factors/requirements of Restructuring must be achieved before
program worksheet(s) completion
Complete Stages of Change
Begin all appropriate Discuss an MRT
screening tool for
treatment assignment(s) in group
measurement purposes
Making Amends Activity Making Amends Activity Making Amends Activity
Program Areas
DSP will target the following seven areas, and all participants are required to
establish goals in each of these areas and make steady, forward, positive progress
toward achieving these goals.
1. Cognitions
Participants may undergo initial medical and psychological exams as directed and
should engage in programs that help them break any existing patterns of criminal
thinking. Those with past trauma in their lives, or otherwise in need of counseling,
should be actively engaged in therapy.
Actions that may support participants’ mental health and help prevent criminal
thinking include:
• Taking medications as prescribed for behavioral health condition(s)
• Undergoing psychological evaluation and participating in mental health
treatment
• Completing a Moral Reconation Therapy (MRT) program
• Applying cognitive behavioral therapy frameworks and skills in their
lives
2. Substance Use
Participants are prohibited from illicit substance use and must commit to adopting
relapse prevention strategies.
Actions that may support participants’ recovery and relapse prevention efforts
include:
• Participate in random drug testing, as needed
• Participating and demonstrating progress in substance abuse treatment
• Enrolling in recovery and relapse prevention/self-help programs
• Identifying and utilizing a peer recovery specialists/coach/mentor
3. Pro-Social Networking
It is vital that participants build positive support systems—often composed of their
family, friends, and co-workers—and engage in pro-social activities within their
communities.
Actions that may help participants engage in pro-social activities include:
• Identifying relevant pro-social interests, activities, and networks and
demonstrating engagement with them.
• Assessing relationships with friends and family, identifying which are
helping them grow positively and which are holding them back.
• Receiving and engaging in supports for participants who are parents,
potentially in collaboration with the Department of Children, Youth &
Families.
• Obtaining a driver’s license or other official identification.
• Addressing any transportation barriers that a participant may face.
4. Work & Education
Every participant should be engaged full-time in meaningful employment,
education, and/or training. Participants must have a plan for advancing in their
field of employment, ideally by working in a position that meets their interests and
matches their abilities. If further education is needed or desired, then the
participant should be enrolled or pursuing enrollment in school.
Actions that may advance participants’ work and education include:
• Actively seeking or maintaining full-time employment and/or education.
• Studying for and taking the General Educational Development (GED)
exam if lacking a high school education.
• Enrolling in a higher education or vocational training program.
• Completing an English as a Second Language curriculum.
5. Stable Housing
Having stable housing is a necessary element for a successful life. To this end,
participants are encouraged to maintain stable housing and must take reasonable
steps to access and sustain stable housing during the period of program
involvement.
Actions that may help participants secure and maintain stable housing include:
• Identify and utilize community resources for basic needs/case
management for housing assistance.
• Identify and engage with residents who are pro-social/supportive, as well
as distancing themselves from those relationships that are problematic
and contribute to criminal recidivism risk.
6. Financial Literacy
Participants must have the tools they need to manage their financial
responsibilities without resorting to criminal behavior.
Actions that may help participants become financially literate include:
• Opening a bank account.
• Obtaining health insurance.
• Enrolling in and completing workshops or courses on financial planning.
• Establishing and working toward a payment plan for paying off any debt,
such as Court imposed financial obligations.
7. Making Amends
Participants will focus on repairing the harms caused by their crime, including
recognizing how and who, they have hurt, and the ripple effects caused by their
criminal behavior. When victims, defendants, and community members meet to
decide how to do that, the results can be transformational.
Actions that may help achieve these goals may include:
• Identify the people their criminal behavior has harmed.
• Provide an apology (e.g., by apologizing to those they have hurt) when
those they victimized agree to communications from a participant.
• Provide a self-reflection statement/essay on impact that criminal
behavior has on others.
• Perform community service.
• Participate in facilitated meetings to understand harm caused (to
victim/community) by criminal behavior.
Standard prohibitions
DSP participants are prohibited from possessing any firearms or other weapons,
and must conform to all federal, state, and local laws to which they are subject.
They are required to report any contact they have with law enforcement while in
the program.
Sanctions
Failure to comply with conditions of release or failure to meet the program
expectations may result in the Court ordering additional conditions, sanctions, or
terminated from the program. DSP has adopted the following sanction matrix to
help provide consistent but flexible, proportionate, and predictable responses to
hold participants accountable for their actions. Every effort will be made to make
sure these responses are transparent and known, so that there will be no surprises.
Level I responses will be imposed by the Court without input from the parties;
however, before the Court imposes any Level II or III sanction, the Government
and Defense Counsel will be allowed to advocate. Sanctions will be imposed during
the individual monthly meeting with the DSP Judge. The Court may also order
additional conditions or sanctions in addition to what is listed below.
Conditions/
Event Level
Requirements
Confirmed or acknowledged
unlawful activities (not resulting in 1
criminal charges)
Arrest/New criminal charges
Not violate any Federal, 1,2
(Misdemeanor)
State, Local law
Arrest/New criminal charges
1,2,3
(Driving with Suspended License)
Arrest/New criminal charges
3
(Felony)
Repeated contact with LE acting in
1
the course of their policing function
Report Contact with law
Enforcement Fail to report contact with LE acting
in the course of their policing 1
function
Possession of weapon
Do not possess firearm/ 2
(other than firearm)
weapon
Possession of a firearm 3
Failure to report as directed 1
Report as directed Failure to follow instructions 1
Late or missed meetings 1
Leave restricted area without
1
Travel restriction permission
Absconding 3
Failure to follow program rules 1
Location Monitoring Failure to follow program rules
2
(repeated/sporadic)
Persistent failure to follow program
3
rules (consistent and ongoing)
Cognitive Behavioral Failure to meaningfully participate
2
Therapy in program
Contact with victim/witness/other
No contact with
unless authorized by DSP (such as 1
victim/witness/etc.
an apology or apology letter)
Establish pro-social
Confirmed or acknowledged
interests/ 2
unlawful activities with others
relationships
Failure to advise of change in
1
employment
Maintain or actively seek
Full-time employment or Terminated because of
2
approved educational disciplinary action
alternative/vocational
Failure to comply with job
training
search/GED/vocational 1
programming
Failure to open bank account,
Establish financial demonstrate progress in paying off
1
literacy debt, make payments toward Court-
ordered obligations/fines
Possession/Use of illicit
1
drugs/alcohol (isolated)
Refrain from use of Possession/Use of illicit drugs/
2
controlled substances/ alcohol (repeated/sporadic)
illicit drugs/alcohol Possession/Use of illicit
drugs/alcohol 3
(consistent and ongoing)
Failure to submit to testing/missing
1
scheduled drug test appointments
Substance abuse testing
Tampering/adulterating/
3
diluting, or deceiving drug testing
Failure to complete evaluation 1
Failure to meaningfully participate
Participate in Treatment 2
in treatment services
Services
Failure to attend
2
programming/treatment
Maintain stable Change of residence without
1
residence advising USPO or Court
Level 1 Level 2 Level 3
Verbal Location monitoring Location monitoring home
admonishments (curfew) detention/ incarceration
Intermittent confinement
Group apology Increased reporting
(≥ 24 hours)
Intermittent Any additional response
Writing assignment
confinement (≤ 24 hours) from Levels 1 & 2
Activity logs/ Referral to treatment Termination
journaling services (out/in patient)
Written contract with
Increased drug testing Court to avoid problem
behavior
Any additional response
Increased reporting from Level 1
Deferred Sentencing Program Participant Agreement
During this program, I agree to comply with the conditions of pretrial release set
by the Court as detailed in the Order Setting Conditions of Release. I also
understand and agree that as part of this program, I will be required to establish
goals in each of the targeted program areas and attend scheduled meetings with
my officer, and the Court. I understand that I will be on pretrial release and placed
under the intensive supervision of the U.S. Probation Department for a period of
at least twelve months.
I understand that if I fail to follow my conditions of release or any of the program
rules, and wish to remain in the program, the presiding Judge or the Judge
assigned to oversee the Deferred Sentencing Program, may order additional
conditions or sanctions upon me as detailed above.
By signing this agreement, I acknowledge that the conditions of my release and
the expectations of this program have been explained to me. I also understand that
my failure to comply with the conditions of release may result in my immediate
sentencing, and that all sentencing options are available to the Court, including a
term of imprisonment. I acknowledge that I have conferred with counsel regarding
participation in the Deferred Sentencing Program. I also understand that
completion of the Deferred Sentencing Program may result in a more favorable
disposition at sentencing, which may include a non-jail sentence.
Additionally, the parties agree to waive any rights they may have under the Sixth
Amendment’s Speedy Trial Clause to the sentencing phase of this criminal
prosecution and any delay in its final disposition.
______________________________________________________ ________________
Participant Date
______________________________________________________ ________________
Defense Attorney Date
______________________________________________________ ________________
Assistant United States Attorney Date
______________________________________________________ ________________
U.S. Probation Officer Date
______________________________________________________ ________________
U.S. District Judge Date
Deferred Sentencing Program Participant Monthly Report
Participant DSP Credits (out of 24)
Judge USPO Defense Counsel
Charge
Date of Entry Term of DSP Expected Phase
Graduation
Conditions of Release
Treatment Provider/Type
UA Results
MRT Status/Step
Employment
Residence
Noncompliance & Response
Credit Recommendation
Participant Name:
Date:
Cognitions
Objective:
Current Goal:
Goals Met:
Substance Use
Objective:
Current Goal:
Goals Met:
Pro-Social Networking
Objective:
Current Goal:
Goals Met:
Work & Education
Objective:
Current Goal:
Goals Met:
Stable Housing
Objective:
Current Goal:
Goals Met:
Financial Literacy
Objective:
Current Goal:
Goals Met:
Making Amends
Objective:
Current Goal:
Goals Met:
Group Structure
Role of Staff
• Probation: Facilitators
• DSP Judge: Present in circle for support and can help present areas of
discussion
• Dr. Robert Kinscherff: Help facilitate discussions surrounding mental
health
• Lawyers: Present to observe group
Pre-Meeting
• Utilized only if needed to staff issues
Purpose of Group
• An educational group to help facilitate change with support and guidance
from the Court and fellow DSP participants
Type of Group
• Open Group - Members may enter & leave on a rolling timeframe.
Length of Group
• 12-18 months
• Meets once a month for 1 hour
o First 15 min to share updates for each month, time to discuss both
issues & how they were handled as well as successes (any goals that
were met)
Group Content
• DSP team will meet prior to each group session to set agenda
• Group content will focus on the 7 program areas of DSP and other areas
found beneficial by both staff and participants
