Conviction and Sentence Alternatives Program (CASA)

Conviction and Sentence Alternatives (“CASA”) Program Frequently Asked Questions

The CASA Program

What are the CASA Program and CASA Tracks?

The Conviction and Sentence Alternatives (“CASA”) program is a post-guilty plea diversion program for individuals charged federally in the Central District of California (“CDCA”) and whose criminal conduct was propelled by underlying causes that are amenable to modification through a period of intensive supervision and/or treatment through the program’s rehabilitative resources, including issues of substance abuse, mental health disorders, or lack of life skills. The program offers a combination of a variety of resources including education and training in structured and responsible decision-making, drug and mental health treatment, sanction alternatives, and incentives to effectively address offender behavior, rehabilitation, and the safety of the community.

All admitted participants must initially plead guilty to federal charge(s), pursuant to a CASA program-specific plea agreement (“CASA plea agreement”), before beginning the CASA program. Upon successful completion of the program, participants either have their charge(s) dismissed (Track 1) or retain their conviction(s) but receive a sentence of only probation (Track 2).

The CASA program operates through a collective partnership among the United States District Court, United States Probation and Pretrial Services Office (“USPPSO”), Federal Public Defender’s Office (“FPD”), and the United States Attorney’s Office (“USAO”).

What are the Requirements of the CASA Program?

Participants in the CASA program are subject to intensive pretrial supervision under conditions which require regular court appearances before CASA program representatives (at least two per month) and participation in programs designed to address the causes of the participant’s criminal conduct and support the participant’s rehabilitation. Such programs can include substance abuse, mental health treatment, and/or cognitive behavior therapy, employment or education programs, and community service. Many participants also undergo regular random drug testing. The program requires a minimum of 12 months’ participation but may be extended to two years depending on how efficiently a participant is able to complete the program requirements.

Defendants who fail to successfully complete the CASA program requirements and are terminated from the CASA program proceed to sentencing before their assigned CASA program judge on the federal charges to which they entered guilty pleas.

In cases in which restitution is owing to victims, a CASA participant will be expected to begin making restitution payments while in the CASA program. When restitution remains owing after the successful completion of the CASA program, the person will be ordered to continue to pay restitution after the completion of the CASA program.

Application Process and Content

Does an Applicant Need to Live in the CDCA to Participate in a CDCA CASA Program?

CASA program participants must reside in the CDCA.

An applicant charged in the CDCA, but residing outside of the district, seeking to move to the CDCA to participate in the CASA program must show that they have established ties and/or have previously lived in the CDCA to be considered for admission. Successful participation in the CASA program often requires the support and attention of immediate family members and other pro-social support conducive to recovery and reintegration into the community.

Can a Defendant Detained Pending Trial Apply to the CASA Program?

Yes. In appropriate instances, an applicant may be interviewed for the CASA program while in custody. If the CASA team, including a CASA judicial officer, determines that the applicant is appropriate for the CASA program, the USAO, USPPSO, and defendant’s counsel may coordinate to suggest bond and pretrial release conditions to be reviewed by a judicial officer.

To Which CASA Program Should an Applicant Apply?

Each CDCA Division – Western (Los Angeles), Southern (Santa Ana), and Eastern (Riverside) – operates its own CASA program. Applicants should apply to the CASA program nearest to where they reside. Residents of Los Angeles, Ventura, Santa Barbara or San Luis Obispo Counties should apply to the Los Angeles CASA program; Orange County residents should apply to the Santa Ana CASA program; and residents of Riverside and San Bernardino Counties should apply to the Riverside CASA program. Applicants who are denied admission into the CASA program to which they apply may not apply to another Division’s CASA program.

Operating procedures among the Western, Southern and Eastern division CASA courts may vary somewhat; however, the application review procedures are the same for each division.

An applicant must be able to travel to the location of the district courthouse operating the CASA program to which they apply and to any treatment-based facilities they may be required to visit as part of the program. It is not possible to participate in the CASA program via Zoom or other video teleconference.

When Should a Defendant Apply to the CASA Program?

Applicants must notify the AUSA prosecuting their case of their intent to apply to the CASA program within 60 days of the applicant’s arraignment. The CASA program evaluation process requires at least 30 days. Applicants should apply early enough to allot themselves sufficient time to resolve their federal case, or prepare for trial, in the event they are denied admission into the CASA program.

Please be aware that the pendency of a CASA application is not a basis for trial delay under the Speedy Trial Act. Judges may not be willing to continue a trial or sentencing date to allow for the consideration of a CASA application.

In circumstances where the CASA program will not have sufficient time to review and render a decision on a CASA application prior to a scheduled trial date, a defendant may elect to plead guilty in their federal case pursuant to a non-CASA plea agreement and subsequently apply to the CASA program, with the understanding that denial of admission into the CASA program will not be a basis on which to withdraw their original guilty plea. In these cases, with the agreement of the prosecuting AUSA, the non-CASA plea agreement would include language indicating that the defendant intends to apply to the CASA program, that the USAO has made no representations to the defendant as to their admissibility into the program, and that defendant is pleading guilty independent of any determination on their CASA application.

In the event an applicant is accepted into the CASA program after having already pleaded guilty pursuant to a non-CASA plea agreement but prior to sentencing, the parties will schedule a hearing at which the applicant will withdraw their non-CASA guilty plea and plead guilty pursuant to a CASA plea agreement.

What Should be Contained in the CASA Application?

The CASA program application should take the form of a letter describing:

the applicant’s background, including negative familial or peer influences that are illustrated, if possible, through descriptions of the childhood and young adult environment;
the issue the applicant believes the CASA program can address (e.g., lack of life skills and responsible decision-making, mental health disorder, substance abuse);
what the applicant’s living space and environment will be while participating in the CASA program;
the applicant’s employment status and/or whether the applicant is pursuing education;
the applicant’s ability to travel to the CASA program court on a bi-weekly basis;
facts in the applicant’s criminal history or background that may need further description and explanation;
any traumatic emotional or physical events that have impacted the applicant’s life; and,
any extenuating family, employment, post-rehabilitation or other circumstances that may be relevant to the CASA decision process.

The application should include sufficient detail to assist the CASA program in assessing the applicant’s suitability for admission. For example, if an applicant has struggled with a substance use disorder, they should include at what age the substance use disorder began, the type of drug primarily used, how long the disorder has persisted, and what efforts have been made, if any, at addressing the disorder. If the applicant has a history of poor decision-making, the application should attempt to identify factors in an applicant’s background that may have led to this deficit. The application should attach relevant supporting documents to the extent possible.

The application letter, and any supporting documents, should be emailed to the trial AUSA and to the CASA program representatives for the CASA program Division to which the applicant is applying, as identified at the end of this document. Information contained within a CASA application is generally viewed as part of the plea negotiation process and protected by Federal Rule of Evidence 410 and Federal Rule of Criminal Procedure 11(f).

What Happens After an Application is Submitted?

Following the submission of an application, the application will be reviewed by the USAO, USPPSO and FPD CASA representatives. If an application suggests the person may be suitable for the CASA program, an interview will be scheduled with the applicant and counsel. The interview focuses on, among other points, the particular issue(s) of the applicant that the CASA program can address, the applicant’s ability to meet the CASA program requirements, and the housing environment in which the applicant would live while participating in the CASA program.

If the USAO, USPPSO and FPD representatives are all supportive of an applicant’s admission into the CASA program, their application will be forwarded to a CASA judge for review and consideration. If the CASA judge concurs with the applicant’s admission into the CASA program, the CASA judge will request that the applicant’s case be transferred to the CASA judge. If the transfer is granted, the applicant will subsequently enter a guilty plea to a CASA plea agreement negotiated between defense counsel and the trial AUSA. Shortly after entering a plea, the person will begin participating in the CASA program.

For further information or questions about the CASA application review process, please contact Deputy Federal Public Defenders Neha Christerna and Nadine Hettle or AUSA Timothy Searight. Contact details for CASA representatives are at the end of this document.

Admission Criteria and Track Designation

What Underlying Issues Is the CASA Program Able to Address?

The starting point for the suitability of any applicant for the CASA program is defining the issue the applicant has for the CASA program to address. Typical issues are a substance use disorder, mental health, lack of life skills, or other underlying issues that the CASA program, with its available resources, can address.

If accepted for the CASA program, participants with a substance use disorder and/or mental health challenges would be expected to participate in any recommended treatment plan suggested by the CASA team.

The CASA program accepts individuals whose criminal conduct was motivated by a life skills deficit. Such persons will typically have limited criminal history and have existed in a fractured family and background environment where issues of drug dependency, domestic violence, and/or poor family and parental guidance existed.

What Type of Applicant is Typically Admitted to the CASA Program? What Type of Applicant Is Typically Denied?

The CASA program typically admits applicants with limited criminal history and who have substance use, mental health disorder, or a lack of life skills that contributed to the commission of either a low-level drug offense (i.e., involving relatively low quantities of non-fentanyl drugs) or a minor theft offense (e.g., mail theft, identity theft, or counterfeiting with minimal victim losses). Of relevance in the evaluation of the application are the presence of negative familial and/or peer influences present in the background of the applicant, and that may have been substantial contributing factors to the commission of the charged crimes.

For an applicant to be accepted for the CASA program, each of the CASA participating agencies must support admission. Each of the CASA participating agencies, the courts, USAO, FPD and USPPO, have the authority to object to the admission of a CASA applicant.

The USAO typically objects to the admission of applicants who have a substantial and recent criminal history or convictions for violent or sex-related crimes or firearm offenses. As to current charges, the USAO will typically object to the admission of defendants whose pending federal charges involve crimes of violence; the manufacture, trafficking or use of firearms or explosives; robbery; child exploitation; or national security and terrorism violations.

Below is additional guidance from the USAO for applicants charged with specific offenses:

Crimes of Violence

Except as set forth in this paragraph, the USAO will not support CASA for persons charged with a crime of violence, as defined in 18 U.S.C. § 16. If an applicant believes that the facts of their case demonstrate that the applicant did not actually engage in, or aid or abet, violent conduct despite being charged with a crime of violence, they may include those facts, and any supporting documentation, in their CASA application, and those facts will be considered in assessing the applicant’s suitability for the program.

Drug Offenses:

The USAO will typically object to the admission into CASA of persons engaged in large network drug distribution as principals. The role of the applicant in a drug-trafficking operation, the volume of drugs distributed, the length of time the applicant participated in the drug scheme, the type of drug distributed, whether the trafficking resulted in death or injury to others, and the extent to which the applicant served an integral and on-going role in a large-scale drug trafficking operation will all be factors for consideration. In evaluating an applicant’s role in a drug distribution operation, the order in which the applicant is listed with other defendants in a charging document will not be decisive.

The USAO typically objects to the admission of defendants with prior drug-trafficking convictions or when underlying federal charges indicate the defendant engaged in drug distribution over an extended period of time (i.e., several months). However, the program does consider for admission applicants with prior low-level drug trafficking convictions who can demonstrate that they engaged in drug dealing activities to sustain a substance use disorder and that they did not previously have access to or avail themselves of substance use disorder treatment.

Firearms Offenses:

The USAO will typically object to the admission of applicants who personally used or possessed a firearm in conjunction with their charged crime(s). For applicants charged with being a prohibited person in possession of a firearm (i.e., persons in possession of a firearm having previously been convicted of a felony or other qualifying crime), the USAO will examine the facts of the instant possession in conjunction with the nature and recency of the prior qualifying conviction in assessing the applicant’s suitability for the program.

Financial Crimes/Fraud Schemes:

The USAO will not support for admission applicants who participated as principals in ongoing fraudulent schemes involving multiple victims and substantial financial loss. For lower-level participants, the USAO will consider the number of victims, any unusually vulnerable victim characteristics, the amount of loss, and whether the applicant occupied a “position of trust” (i.e., bank teller, tax preparer, postal authority) when considering the applicant’s admission or in evaluating appropriate Track designation.

Does Immigration Status Matter?

Persons that are subject to removal from the United States may not be admitted into the CASA program. Persons who currently hold active Lawful Permanent Resident Status, Deferred Action for Childhood Arrivals (“DACA”), or other lawful status may apply.

How Does the CASA Program Determine to Which Track to Admit a Participant?

Whether an applicant will receive a Track 1 or Track 2 disposition upon successful completion of the CASA program is determined at the time of the applicant’s admission into the program. The factors the USAO considers when making the determination are the nature of the applicant’s underlying offense (e.g., the amount of drugs involved, the amount of financial loss), the applicant’s role in the charged offense, and the applicant’s criminal history including any previous criminal activity that did not result in a conviction but that can be substantiated by readily available facts.

CASA Program Representatives

Western Division

Neha Christerna, Supervising DFPD (Neha_Christerna@fd.org)

Nadine Hettle, DFPD (Nadine_Hettle@fd.org)

Joyce Delaney, Paralegal, FPD (Joyce_Delaney@fd.org)

Cassie Palmer, AUSA (cassie.palmer@usdoj.gov)

Timothy J. Searight, AUSA (timothy.searight@usdoj.gov)

MiRi Song, AUSA (miri.song@usdoj.gov)

Ruby Loesa, Paralegal, USAO (ruby.loesa@usdoj.gov)

Southern Division

Neha Christerna, DFPD (Neha_Christerna@fd.org)

Joyce Delaney, Paralegal, FPD (Joyce_Delaney@fd.org)