First Step Act and Post-Conviction Proceedings Explained | Chapter 5

Chapter Summary – Why Post-Conviction Planning Matters More Than Defendants Think

This chapter explains the key steps after conviction — from PSR and sentencing to prison classification, transfer, and possible relief under the First Step Act. Understanding how Post-Conviction Proceedings work can help defendants and their counsel prepare defensively for prison, supervised release or appeals. Knowledge and careful planning often matter as much as legal arguments.

What Happens After Conviction in the Federal System

In the United States, we like to say that a person is presumed innocent until there has been a finding of guilt. But once convicted, everything changes — and Post-Conviction Proceedings become central to a defendant’s future. Defendants may already suffer collateral damage long before that point: ostracism, lost employment, even loss of housing. A formal conviction often magnifies those consequences and triggers processes that reshape one’s life.

In many cases, a criminal defendant moves through “pre-trial services” before conviction. During this pre-trial phase a judicial officer or probation staff may apply only light supervision — perhaps requiring permission before traveling outside a jurisdiction. Once convicted, however, the process becomes far more formal. For felony cases, the next major step is typically a pre-sentence investigation followed by sentencing.

Pre-Sentence Investigation & Report

Once a defendant pleads guilty or is convicted by jury, he becomes a convicted felon. At that point the court usually orders the probation department to conduct a pre-sentence investigation. The result is a Pre-Sentence Investigation Report (PSI or PSR) — a document that can influences the defendant’s sentence and program eligibility in federal prison.

The PSR begins by summarizing the prosecution’s version of the offense. But the probation officer also interviews the defendant and gives him an opportunity to submit a personal statement. In addition, the probation officer investigates the defendant’s background: family, friends, employers, associates — anyone who might provide relevant information. In major cases the investigation tends to be more extensive.

The goal of the report is simple: to give the sentencing judge and the prison system a full snapshot of the offense and the defendant’s history. That snapshot becomes a point of reference when sentencing, and later when prison or supervised release decisions are made. Anyone facing prison time should treat the PSR as a essential document. Most people are unprepared for the probation interview and receive a report that hurts rather than helps them. That’s why we devote a full chapter to how we help people prepare for it.

Sentencing Decisions

After the PSR is completed, the court moves to sentencing. The judge typically has three options:

• Impose a term of imprisonment (for serious crimes).
  
• Order probation under specific conditions (for less severe offenses).
  
• Impose financial sanctions such as fines or restitution.
  

For federal crimes the sentencing judge consults the sentencing guidelines, though these guidelines are not mandatory (listen to our interview with Judge Bough). Judges also consider personal factors — which can allow a sentence below or above the guideline range. ussc.gov+1

The guidelines weigh multiple factors: role in the offense, acceptance of responsibility, aggravating or mitigating circumstances, criminal history, and more. ussc.gov Anyone facing a federal sentence should read the applicable Guidelines Manual thoroughly.

In our work, we have interviewed federal judges who emphasize certain things when considering sentencing:

• Whether the defendant understands the victims’ harm.
  
• What led the defendant into wrongdoing.
  
• What the defendant has learned since the offense.
  
• What steps the defendant has taken to begin reconciling with society.
  

Beyond a legal defense, we advise people to build a multi-part preparation:

1. A sentencing narrative.
   
2. A release plan with a comprehensive timeline.
   
3. A package of character-reference letters.
   
4. A mitigation package.
   

In some cases — depending on bond status and timing — defendants may even delay reporting to federal prison, or remain out on bond while appealing. Whether delaying surrender makes sense depends on individual circumstances.

Becoming a Prisoner & Impact of the First Step Act

Once a judge imposes a sentence, the transition to federal prison begins. The trial court loses jurisdiction within days; the judgment and PSR are forwarded to the administrative office of the Bureau of Prisons (BOP), which uses a Custody and Classification Manual to assign a security and custody level.

With the passage of the First Step Act, federal prisoners may receive benefits — the BOP keep making improvements to the First Step Act. These may include access to self-help, education, vocational training, fitness, substance-abuse treatment, spiritual development, and more.

Under the law, inmates described as “low- or minimal-risk” who complete programs may earn “Earned Time” credits — sometimes significant. That is distinct from traditional “Good Time” credits, which are awarded for simply avoiding disciplinary infractions (up to 54 days per year).

“Earned Time” may allow a qualifying prisoner to earn reductions in time served, or transition earlier to a Residential Reentry Center or home confinement — depending on BOP policy.

For example, a hypothetical 100-month sentence might, under certain assumptions, allow a qualifying individual to reach a reentry center or home confinement in 37–42 months — instead of 61–67 months under older rules. While not guaranteed, the First Step Act offers a tangible mechanism for reducing time in federal prison.

Not all people in federal prison qualify: many violent offenses, or certain disqualifying statutory categories, may preclude earning the credits.

Getting to Prison, Appeals & Post-Conviction Remedies

Once sentenced, most people are taken into custody and transferred under the federal prisoner transfer system — a difficult, often humiliating process. Short-term sentences, like mine, may allow surrender directly to a designated facility; others go through the transfer system. Later chapters describe what to expect during those transfers.

What happens if a defendant believes there was error — procedural or constitutional — in trial? Those who went to trial, rather than pled guilty, may seek direct appeal, challenging due process violations or oversight by the trial court. Some also raise newly discovered evidence.

But success on appeal is rare: studies show fewer than 11 percent of defendants succeed on appeal. (Kamisar, et al., Modern Criminal Procedure, 9th ed.) Once direct appeals are exhausted, a prisoner may pursue post-conviction relief — such as a habeas corpus petition (e.g., a §2255 motion) — within statutory time limits.

It is difficult to undo a full record once it is established. The courts heavily defer to the doctrine of “stare decisis”— let the decision stand.

Final Word

If you are facing federal criminal exposure, you should understand how Post-Conviction Proceedings work. Study the elements of the statute that triggered the charges. Know the potential penalties before ever interacting with law enforcement. If you choose to speak, tell the truth — lying can trigger additional charges, such as making a false statement or obstruction of justice.

Once involved in the system, treat every stage seriously. Work with your attorney — but also take responsibility to understand how sentencing, prison placement, and possible relief under laws like the First Step Act and RDAP may influence the outcome of your case.

If you have questions about your own case, you’re welcome to join our weekly webinar or schedule a personal call to discuss your situation in more detail.

Thank You,

Justin Paperny is an ethics and compliance speaker and founder of White Collar Advice, a national crisis management firm that prepares individuals and companies for government investigations, sentencing, and prison. He is the author of Lessons From Prison, Ethics in Motion, and the upcoming After the Fall. His work has been featured on Dr. Phil, Netflix, CNN, CNBC, Fox News, The Washington Post, and The New York Times.

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