UNDERSTANDING CRIMINAL PROCEDURE

Transcription

1 UNDERSTANDING CRIMINAL PROCEDURE Volume 2: Adjudication Fourth Edition JOSHUA DRESSLER Frank R. Strong Chair in Law Michael E. Moritz College of Law The Ohio State University ALAN C. MICHAELS Edwin M. Cooperman Designated Professor of Law Michael E. Moritz College of Law The Ohio State University

2 ISBN # Library of Congress Cataloging-in-Publication Data Understanding criminal procedure / Joshua Dressler, Alan C. Michaels. 4th ed. p. cm. ISBN (soft cover) 1. Criminal procedure United States. I. Michaels, Alan C. II. Title. KF9619.D '05 dc This publication is designed to provide accurate and authoritative information in regard to the subject matter covered. It is sold with the understanding that the publisher is not engaged in rendering legal, accounting, or other professional services. If legal advice or other expert assistance is required, the services of a competent professional should be sought. LexisNexis and the Knowledge Burst logo are trademarks of Reed Elsevier Properties Inc., used under license. Matthew Bender is a registered trademark of Matthew Bender Properties Inc. Copyright 2006 Matthew Bender & Company, Inc., a member of the LexisNexis Group. All Rights Reserved. No copyright is claimed in the text of statutes, regulations, and excerpts from court opinions quoted within this work. Permission to copy material exceeding fair use, 17 U.S.C. 107, may be licensed for a fee of 10 per page per copy from the Copyright Clearance Center, 222 Rosewood Drive, Danvers, Mass , telephone (978) Editorial Offices 744 Broad Street, Newark, NJ (973) Mission St., San Francisco, CA (415) East Water Street, Charlottesville, VA (434) (Pub.3219)

3 DEDICATION To Dottie: You Make Life Possible J.D. To Heather, Tyler & Sharon: For Your Constant Support and Inspiration A.C.M.

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5 PREFACE The fourth edition of UNDERSTANDING CRIMINAL PROCEDURE is new in many respects. Most significantly, it has been enlarged to two volumes. The first volume is intended for use in criminal procedure courses focusing primarily or exclusively on police investigatory process. Such courses are variously titled: Criminal Procedure I; Criminal Procedure: Investigation; Criminal Procedure: Police Practices; Constitutional Criminal Procedure; etc. Because some such courses also cover the defendant s right to counsel at trial and appeal, the first volume includes a chapter on this non-police-practice issue. (The latter chapter is also included in Volume Two.) The second volume of UNDERSTANDING CRIMINAL PROCEDURE covers the criminal process after the police investigation ends, and the adjudicative process commences. This book is useful in criminal procedure courses (variously entitled Criminal Procedure II; Criminal Procedure: Adjudication; etc.) that follow the criminal process through the various stages of adjudication, commencing with pretrial issues such as counsel, charging, pretrial release and discovery and continuing with the trial itself and then post-conviction proceedings: sentencing and appeals. UNDERSTANDING CRIMINAL PROCEDURE is primarily designed for law students. We have written the Text so that students can use it with confidence that it will assist them in course preparation, and professors can recommend or assign the volumes to students with confidence that they will improve classroom dialogue. Based on comments we have received in the past from students and professors alike, we feel comfortable in predicting that this new, expanded edition of UNDERSTANDING CRIMINAL PROCEDURE will serve the needs of students and professors even better. Also, based on the experience of prior editions, including citations to this Text in scholarly literature and judicial opinions, we are confident that the two volumes will prove useful to scholars, practicing lawyers, and courts. The Text covers the most important United States Supreme Court cases in the field. Where pertinent, the Federal Rules of Criminal Procedure, federal statutes, and lower federal and state court cases are considered. The broad overarching policy issues of criminal procedure are laid out; and some of the hottest debates in the field are considered in depth and, we think, objectively. Readers should find the Text user-friendly. Students who want a thorough grasp of a topic can and should read the relevant chapter in its entirety. However, each chapter is divided into subsections, so that readers with more refined research needs can find answers to their questions efficiently. We also include citations to important scholarship, both classic and recent, into which readers may delve more deeply regarding specific topics. And, because so many of the topics interrelate, cross-referencing footnotes are included, so that readers can easily move from one part of the Text to another, if necessary. v

6 vi PREFACE Gender policy of the Text. Obviously, women as well as men fill all the roles in the criminal justice system: lawyer, judge, police officer, legislator, criminal suspect, and victim. Accordingly, in even-numbered chapters, we use the male pronoun to describe hypothetical and generic parties in the criminal justice system; in odd-numbered chapters, women get equal time. Based on comments we have received about the policy, most readers like the approach or, at worst, find it only temporarily distracting. Acknowledgments. Many persons helped make these volumes possible. We can name only a few here. Professors Lee Lamborn and the late Joseph Grano read and commented on every page of every chapter of the manuscript for the first edition. Professor George Thomas did the same with the second edition. Many people commented on drafts of chapters of the third edition. The text is much better because of their generous assistance. Mistakes and omissions are the result of our stubborn refusal to listen to advice. For this fourth edition, we are also grateful for the research assistance of a great bunch of law students at The Ohio State University s Moritz College of Law: Ian Best ( 06), Courtney Cook ( 07); Jennifer Dutcher ( 06); Joshua Maggard ( 06); Nicole VanderDoes ( 05); and Leigh Anne Williams ( 07). We thank our families for their love and support. Joshua Dressler Alan C. Michaels May, 2006

7 CHAPTER 1 INTRODUCTION TO CRIMINAL PROCEDURE 1.01 The Relationship of Criminal Law to Criminal Procedure Sources of Procedural Law [A] Formal Sources [B] Informal Sources: A Taste of Reality Stages of a Criminal Prosecution [A] In General [B] Investigatory Stage [1] Search and Seizure [2] Interrogation [3] Identification Procedures [4] Arrest [C] Adjudicatory Stage [1] Issuance of a Complaint [2] Probable Cause (Gerstein) Hearing [3] First Appearance Before the Magistrate [4] Preliminary Hearings and Grand Jury Proceedings [5] Arraignment [6] Pretrial Motions [7] Trial [8] Sentencing and Post-Trial Proceedings [a] Sentencing [b] Appeal [c] Collateral Attack of a Conviction: Habeas Corpus CHAPTER 2 OVERARCHING POLICY ISSUES IN CRIMINAL PROCEDURE 2.01 Norms of the Criminal Process Alternative Models of Criminal Justice [A] Overview [B] Crime Control Model of Criminal Justice [C] Due Process Model of Criminal Justice The Role of Truth in the Criminal Justice System Accusatorial versus Inquisitorial Systems of Justice Race, Gender, and Economic Class in the Law Who Should Devise the Rules of Criminal Procedure? Formulating Rules of Criminal Procedure: Bright-Line Rules versus Case-by-Case Adjudication vii

8 viii CHAPTER 3 INCORPORATION OF THE BILL OF RIGHTS 3.01 Incorporation: Overview [A] Nature of the Issue [B] Importance of the Debate Incorporation Theories [A] Full Incorporation [B] Fundamental Rights [C] Full-Incorporation-Plus [D] Selective Incorporation The Incorporation Debate [A] Overview of the Debate [B] What Did the Framers Intend? [C] Textual Claims: What Does Due Process Mean? [D] Which Doctrine Is More Libertarian? [E] Which Theory Is Structurally Preferable? Which Theory Has Won the Debate? CHAPTER 4 THE RIGHT TO COUNSEL: AT TRIAL AND ON APPEAL 4.01 Overview: The Importance of Defense Lawyers in the Adversary System When the Right to Counsel Applies The Right to Counsel: At Trial [A] The Right to Employ Counsel [B] Indigents: The Right to Appointed Counsel [1] Overview [2] The Road to Gideon [a] Powell v. Alabama [b] Johnson v. Zerbst [c] Betts v. Brady [3] Gideon v. Wainwright [4] Post-Gideon Law: The Misdemeanor Cases [a] Argersinger v. Hamlin [b] Scott v. Illinois [c] Alabama v. Shelton [d] Two More Cases: Nichols and Gagnon [5] Implementing the Right to Appointed Counsel The Right to Counsel: On Appeal [A] Inapplicability of the Sixth Amendment [B] First Appeal (as of Right) [1] In General [2] Special Problem: Frivolous Appeals [C] Subsequent (Discretionary) Appeals

9 ix [D] First (Discretionary) Appeal After a Guilty Plea The Right of Self-Representation [A] The Defense: Who Is in Charge? [B] Faretta v. California [1] Recognition of the Right [2] Reflections on Faretta [C] Procedural Issues [1] Making the Choice of Self-Representation [2] Timeliness of the Request [3] Hybrid Representation [4] Standby Counsel [5] Legal Significance of Poor Self-Representation [6] Legal Effect of an Erroneous Denial of the Right The Right to Representation by One s Preferred Attorney [A] In General [B] Special Problem: Seizing Lawyers Fees Interference With the Right to Counsel Effective Assistance of Counsel: General Principles [A] Nature of the Issue [B] Ineffective Assistance : The Strickland Test [1] Overview [2] The First Prong: Deficiency of Representation [a] The Standard [b] Deficiency: Supreme Court Case Law [i] Failure to Perform Ordinary Tasks Not Unreasonable [ii] Failure to Perform Ordinary Tasks Held Unreasonable [iii] Ignorance of Relevant Law [3] The Second Prong: Prejudice [a] The Standard [b] Prejudice: Supreme Court Case Law [c] Prejudice: Special Problems [i] The Factually Guilty Defendant [ii] The Sleeping Lawyer Effective Assistance of Counsel: Conflicts of Interest [A] Nature of the Issue [B] Pretrial Procedures to Avoid Conflicts [C] Post-Trial Proof of a Conflict [D] Waiver of the Right to Conflict-Free Representation Effective Assistance: The Role of Ethical Canons CHAPTER 5 PRETRIAL RELEASE AND PRETRIAL DETENTION 5.01 Pretrial Release: Procedural Context and Overview

10 x 5.02 Pretrial Release: Interests at Stake [A] The Community s Interest [B] The Arrestee s Interest Pretrial Release: Eighth Amendment Pretrial Release: Statutory Law [A] Pre-Reform [B] Federal Bail Reform Act of 1966 and Other Reforms [C] Further Reform: The Alternative of Detention Preventive Detention [A] Federal Bail Reform Act of [1] Overview [2] Impact of the 1984 Act [3] The 1984 Act: Procedures [B] The Policy Debate [1] Criticisms [2] Defenses [C] The Constitutional Debate: U.S. v. Salerno [1] The Holding [2] Due Process [a] Substantive [b] Procedural [3] Eighth Amendment [4] Dissenting Opinions CHAPTER 6 CHARGING DECISIONS 6.01 The Scope and Exercise of Prosecutorial Discretion [A] The Scope of Discretion [B] The Exercise of Prosecutorial Discretion [1] Factors Influencing Charging Decisions [2] Channeling the Exercise of Discretion Prosecutorial Discretion: The Policy Debate [A] Criticisms of Prosecutorial Discretion [B] Defenses of Prosecutorial Discretion Constitutional Limits on Prosecutorial Discretion [A] Selective Prosecution [B] Vindictive Prosecution [1] Overview [2] Blackledge v. Perry [3] Limitations on the Vindictiveness Presumption: United States v. Goodwin Felony Charging Procedures: Overview Preliminary Hearings [A] Preliminary Hearing Procedures [B] Functions of the Preliminary Hearing

11 xi 6.06 Grand Juries [A] Overview [B] The Screening Function [1] Constitutional Requirement [2] Procedures [3] Grand Jury Screening: The Policy Debate [C] The Investigatory Function Joinder and Severance: Offenses [A] Overview [1] Terminology [2] The Parties Interests [a] The Prosecution [b] The Defense [B] Joinder Rules [C] Severance Rules [D] Multiplicity and Duplicity Joinder and Severance: Defendants [A] Overview [B] The Federal Rules [1] Joinder [2] Severance CHAPTER 7 DISCOVERY 7.01 Constitutional Discovery Rights of the Defendant: Overview Elements of the Brady Rule [A] Nature of the Evidence [B] Suppression of the Evidence by the State [C] Prejudice The Materiality Standard [1] Agurs [2] Bagley [3] Implications of a Materiality Standard Brady and Plea Bargains The State s Duty to Preserve Evidence Statutory Discovery by the Defense: Overview What the Defense May Discover [A] Statements by Defendant and Co-defendants [B] Physical Evidence [C] Witness Information [D] The Defendant s Criminal Record [E] Scientific Tests and Examinations [F] Brady Material Discovery by the Defense Policy Considerations Discovery by the Prosecution [A] Discovery by the Prosecution Constitutional Issues

12 xii [1] Self-Incrimination [2] Due Process [3] Compulsory Process [B] Rules Governing Discovery by the Prosecution [1] Significance of Defense Discovery Request [2] What the Prosecution Can Discover CHAPTER 8 SPEEDY TRIAL 8.01 Defendant s Right to a Speedy Disposition: Overview Constitutional Right to a Speedy Trial [A] Overview [B] When the Right Attaches [C] Determining Speedy Trial Right Violations: Barker v. Wingo [1] Overview [2] The Barker Factors [a] Length of the Delay [b] Reason for the Delay [c] Defendant s Assertion of the Right [d] Prejudice [3] Application of the Barker Test [D] Remedy Statutory Speedy Trial Rights [A] Time Limits [B] Tolling Provisions [C] Remedy Unconstitutional Preaccusation Delay Statutes of Limitation [A] Overview [B] Justifications CHAPTER 9 PLEA BARGAINING AND GUILTY PLEAS 9.01 Guilty Pleas: Overview [A] Procedural Context [B] Constitutional and Policy Context Validity of a Guilty Plea: Constitutional Principles [A] Overview [B] Voluntariness of the Plea [C] Knowing (Intelligent) Nature of the Plea [1] In General [2] Nature of the Charges [3] Penal Consequences of the Plea [4] Nature of the Rights Being Waived

13 xiii [5] Incorrect or Incomplete Legal Advice: How It Affects the Intelligence of the Plea [D] Factual Basis of the Plea: Alford Pleas Obtaining a Valid Guilty Plea: Federal Procedures [A] Ensuring Voluntariness [B] Ensuring An Intelligent Plea [C] Determining the Factual Basis of the Plea Effect of a Guilty Plea on Prior Constitutional Claims [A] General Rule [B] Exceptions to the General Rule [C] Conditional Pleas Plea Bargaining: General Principles [A] Overview [B] Types of Plea Agreements [C] Federal Plea Agreement Procedures [D] Judicial Participation In Plea Negotiations Plea Bargaining: Policy Debate [A] Is Plea Bargaining Inevitable? [B] Is Plea Bargaining Good in Principle? [1] In Support of Plea Bargaining [2] In Opposition to Plea Bargaining [a] Overview: Serving the Interests of the Powerful? [b] Sentencing Differential [c] Prosecutorial Overcharging [d] Inadequate Representation [e] Conviction of the Innocent Plea Bargaining: Broken Deals and Withdrawn Offers [A] Broken Deals [1] Consequences of Breach [2] Definition of Breach [B] Withdrawn Offers CHAPTER 10 THE RIGHT TO TRIAL BY JURY Overview When the Right to Trial by Jury Applies [A] What Crimes the Right Applies To [1] Offenses with Defined Penalties [a] The Rule [b] Comparison to Right to Counsel [2] Offenses without Defined Penalties: Contempt [3] Aggregation of Multiple Offenses [B] What Issues the Right Applies To: Juries and Sentencing [1] The Apprendi Rule [2] Prior Convictions

14 xiv [3] Mandatory Minimum Sentences [C] Special Issue: Jury Waivers and Bench Trials Jury Size Fair Cross-Section Requirement Voir Dire and Challenges for Cause Peremptory Challenges [A] Overview [B] The Road to Batson [C] Batson v. Kentucky [1] The Batson Decision [2] The Batson Framework [3] Extensions of Batson [a] African-American Juror/White Defendant [b] Race Based Use of Peremptories by the Defendant [c] Peremptory Strikes Based on Gender [d] Peremptory Strikes Based on Religion or Other Factors [4] Evaluating Batson [a] Batson Claims in Practice [b] Batson Goes Too Far [c] Batson Does Not Go Far Enough CHAPTER 11 CONFRONTATION CLAUSE Overview Out-of-Court Statements Barred by the Confrontation Clause [A] Background [1] Hearsay Rules and Confrontation [2] Ohio v. Roberts [B] Crawford v. Washington [1] The Decision [2] The Crawford Exception: Unavailability and Prior Cross-Examination [C] Crawford and the Future [1] The Meaning of Testimonial [2] The Confrontation Clause and Non-testimonial Hearsay The Confrontation Clause and the Manner of Testimony: Child Witnesses [A] Overview [B] Coy v. Iowa [C] Maryland v. Craig [D] Craig and Crawford

15 xv Special Rule: Bruton and the Statements of Codefendants [A] The Issue [B] Bruton v. United States [C] Richardson v. Marsh [D] Gray v. Maryland CHAPTER 12 THE PRIVILEGE AGAINST COMPELLED SELF-INCRIMINATION: ISSUES IN ADJUDICATION Fifth Amendment Self-Incrimination Clause: Overview The Origins of the Privilege Against Self-Incrimination Is the Privilege a Good Idea?: The Controversy [A] In General [B] The Modern Debate [1] The Cruel Trilemma Thesis [2] Compelled Self-Accusation as a Moral Wrong [3] The Privilege as a Critical Component of the Adversary System [4] Protection of the Innocent The Fifth Amendment Privilege: The Elements [A] No Person [B] Shall Be Compelled [C] In Any Criminal Case [D] To Be a Witness Against Himself [1] What Makes a Person a Witness [a] Testimonial or Communicative Evidence: The Rule [b] Application of the Rule [c] A Closer Look at the Rule: Pennsylvania v. Muniz [2] Seriousness of the Threat of Incrimination Invoking and Overcoming the Privilege [A] Invoking the Privilege [B] Overcoming the Privilege: Grants of Immunity Documents and the Privilege Against Self-Incrimination [A] The Content of Documents [1] Overview [2] Required-Records Doctrine [B] The Act-of-Production Doctrine [1] In General [2] United States v. Hubbell Reference at Trial to the Defendant s Silence [A] Griffin v. California [B] Scope of the Griffin Rule [C] Prearrest Silence

16 xvi CHAPTER 13 BURDEN OF PROOF AND VERDICT ISSUES Burden of Proof [A] Meaning of Beyond a Reasonable Doubt [B] What the Burden Applies To Unanimous and Nonunanimous Verdicts [A] Overview [B] Twelve-Member Juries: Apodaca v. Oregon and Johnson v. Louisiana [1] Unanimity and the Right to a Trial by Jury [2] Unanimity and Proof Beyond a Reasonable Doubt [C] Six-Member Juries: Burch v. Louisiana Multi-Theory Verdicts: Elements vs. Means Inconsistent Verdicts Deadlocked Juries Jury Nullification [A] The Issue [B] The Debate [C] The Law [D] Race-Based Nullification CHAPTER 14 DOUBLE JEOPARDY General Principles [A] Constitutional Text [1] In General [2] In Jeopardy [3] Of Life or Limb [a] Generally [b] Civil versus Criminal Proceedings and Penalties [B] Dual Sovereignty Doctrine [C] Guarantees of the Double Jeopardy Clause [D] Values Underlying the Double Jeopardy Clause Reprosecution After a Mistrial [A] General Principles [B] Mistrials Over the Defendant s Objection [1] The Manifest Necessity Standard [2] Manifest Necessity : The Case Law [a] The Early Cases [b] The Temporary Radical Transformation [c] The Supreme Court Turns Direction Again [3] Making Sense of the Case Law [C] Mistrials With the Defendant s Consent [1] General Rule

17 xvii [2] Exception: Intent to Provoke a Mistrial Motion Reprosecution After an Acquittal [A] Rule [1] In General [2] Appealing an Acquittal [B] Should the Rule Be Modified? Reprosecution After a Dismissal [A] Nature of a Dismissal [B] General Rules [1] Dismissal on the Defendant s Motion [2] Dismissal Without the Defendant s Consent Reprosecution After a Conviction [A] General Rule [B] When Reprosecution Is Barred [1] Insufficiency of the Evidence [a] The Burks Principle [b] When Burks Does Not Apply [2] Prosecutorial Misconduct [C] Special Problem: Convictions With Implied Acquittals [1] Verdict Acquittal [2] Sentence Acquittal Government Appeals of Criminal Sentences Multiple Prosecutions of the Same Offense [A] An Overview to the Problems Ahead [B] Same Offense : The Blockburger Rule [C] Same Offense : Beyond Blockburger [1] Harris v. Oklahoma: A Minor Variation on the Blockburger Theme [2] Grady v. Corbin: A Broad (but Temporary) Addition to Blockburger [3] United States v. Dixon: Back to Harris? [D] Exceptions to the General Rule Excessive or Multiple Punishments for the Same Offense [A] Excessive Punishment [1] In General [2] Credit for Time Served [B] Multiple Punishments [1] In General [2] Sentence Enhancement for Uncharged Criminal Conduct Collateral Estoppel [A] Nature of the Doctrine [B] Limits on Application of the Doctrine

18 xviii CHAPTER 15 SENTENCING Overview [A] The Subject of Sentencing [B] The Purposes of Punishment [1] The Role of the Purposes of Punishment [2] Retribution [3] Deterrence [4] Incapacitation [5] Rehabilitation [6] Mixed Theories of Punishment [C] Types of Sentences [1] In General [2] Indeterminate vs. Determinate Sentences [3] Mandatory vs. Discretionary Sentences Constitutional Limits on Sentencing Procedures [A] Overview [B] Williams v. New York [C] Trial Rights Held Inapplicable at Sentencing [1] Burden of Proof Beyond a Reasonable Doubt [2] Confrontation [3] Double Jeopardy [4] Jury [D] Trial Rights Held Applicable at Sentencing [1] Counsel [2] Disclosure of Exculpatory Evidence [3] Privilege Against Self-Incrimination The Federal Sentencing Guidelines [A] The Sentencing Guidelines: A Brief History [B] How the Guidelines Work [C] Criticisms of the Sentencing Guidelines [1] Real-Offense Sentencing [2] Prosecutorial Control [3] Sentence Severity [4] Racial Disparity Constitutional Limits on Guidelines Systems: Apprendi and Its Progeny [A] Overview [B] Apprendi v. New Jersey [C] Blakely v. Washington [D] United States v. Booker [1] Issue 1: Constitutionality of the Federal Sentencing Guidelines [2] Issue 2: Remedy for the Constitutional Problem [E] Apprendi and Mandatory Minimums

19 xix [F] The Prior-Conviction Exception Judicial Vindictiveness [A] The Pearce Principle [B] The Supreme Court Narrows the Vindictiveness Rules [1] Pearce Becomes a Rebuttable Presumption [2] When Does the Presumption Apply? [3] How May the Presumption Be Rebutted? CHAPTER 16 APPEALS In General Proof of Guilt [A] Sufficiency of the Evidence [B] Weight of the Evidence Plain Error [A] Background to the Plain Error Exception [B] Elements of the Plain Error Exception Harmless Error [A] Overview [B] Non-Constitutional Errors [C] Constitutional Errors [1] Direct Appeals [a] Structural Error v. Trial Error [b] Constitutional Trial Errors: Standard of Harmlessness [2] Collateral Appeals (Habeas Corpus Proceedings) [D] Criticisms of Harmless-Error Doctrine Retroactivity [A] Explanation of the Issue [B] Common Law of Retroactivity [C] The Linkletter Doctrine [D] Abandonment of Linkletter [1] In General [2] Current Retroactivity Law [a] Cases Not Yet Final: Direct Review [b] Cases Already Final: Collateral Review [i] General Rule [ii] Meaning of New Rule Index I-1 Table of Criminal Rules FRC-1 Table of Evidence Rules FRE-1 Table of Statutes TS-1 Table of Cases TC-1

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