CRIMINAL PROCEDURE CONSTITUTIONAL LIMITATIONS IN A NUTSHELL Fifth Edition By JEROLD H. ISRAEL Alene and Allan E Smith Professor of Law, University of Michigan Ed Rood Eminent Scholar in Trial Advocacy and Procedure, University of Florida, College of Law WAYNE R. LaFAVE Professor Emeritus in the College of Law and in the Center for Advanced Study, University of Illinois ST. PAUL, MINN. WEST PUBLISHING CO. 1993
PREFACE TABLE OF CASES ill xxill Chapter 1. The Constitutionalization of Criminal Procedure 1 1.1 Introduction 1 (a) The "criminal justice revolution" 1 (b) The Constitution and criminal procedure 3 (c) Constitutionalization and judicial interpretation 4 1.2 Application of Bill of Rights Guarantees to the States 10 (a) Introduction 10 (b) The fundamental rights interpretation 11 (c) The total incorporation interpretation 14 (d) The shift to selective incorporation 16 (e) Subsequent developments 21 1.3 Expansive Interpretations of Individual Guarantees 25 (a) Judicial protection of civil liberties 26 (b) The priority of reliability guarantees 29 VII
1.3 Expansive Interpretations of Individual Guarantees Continued (c) Historical acceptance 32 (d) The desirability of a per se analysis 36 (e) The desirability of prophylactic requirements 40 (f) Administrative burdens 42 1.4 The Doctrine of Limited Retroactive Application 44 (a) The Linkletter approach 44 (b) Restricting Linkletter: Full retroactivity prior to conviction finality 50 (c) Rejecting Linkletter: The Teague standards for finalized convictions 52 Chapter 2. Arrest, Search and Seizure. 57 2.1 Introduction 57 (a) The Fourth Amendment 57 (b) Seizure of the person 58 (c) The major issues 59 2.2 Protected Areas and Interests 60 (a) Property interests vs. privacy interests 60 (b) Plain view, smell and hearing 62 (c) Residential premises 64 (d) Other premises and places 65 (e) Vehicles 67 (f) Effects 67 VIII
2.2 Protected Areas and Interests Continued (g) Surveillance of relationships and movements 70 2.3 "Probable Cause" and Related Problems 71 (a) When and why "probable cause" in issue 71 (b) Degree of probability 75 (c) Information which may be considered 77 (d) Information from informants 77 (e) Information from other sources -- 82 (f) Unconstitutional statute 83 2.4 Search Warrants: Issuance 83 (a) Who may issue 83 (b) Passage of time since facts gathered 84 (c) Particular description of place or person to be searched 86 (d) Particular description of things to be seized 87 2.5 Search Warrants: Execution 89 (a) Time of execution 89 (b) Entry without notice 90 (c) Detention and search of persons on the premises to be searched 91 (d) Seizure of items not named in the warrant 92 DC
2.6 Warrantless Searches and Seizures of Persons 93 (a) Arrest 93 (b) Search incident to arrest 96 (c) Time of search; inventory 98 (d) "Subterfuge" arrests 100 (e) The significance of booking 101 2.7 Warrantless Searches and Seizures of Premises 102 (a) Entry to arrest 102 (b) Entry without notice 105 (c) Search incident to and after arrest 106 (d) Plain view 109 (e) Search to prevent loss of evidence 109 2.8 Warrantless Searches and Seizures of Automobiles 112 (a) Search incident to arrest 112 (b) Search on probable cause 113 (c) Search of containers and persons therein 115 (d) Inventory 116 2.9 Stop-and-Frisk and Other Brief Detention 118 (a) Background 118 (b) Temporary seizure for investigation 120 (c) No seizure and arrest distinguished 124 (d) Protective search 126 (e) Brief detention at the station 128 2.10 Grand Jury Subpoenas 129 X
2.11 Inspections; Regulatory Searches 131 (a) Inspection of premises 131 (b) Border searches 133 (c) Driver's license, vehicle registration and DWI checks 135 (d) Airport inspections 135 (e) Supervision of prisoners, probationers and parolees 136 (f) Supervision of students 137 (g) Supervision of employees 137 2.12 Consent Searches 138 (a) Background 138 (b) Warning of rights 139 (c) Consent subsequent to a claim of authority 140 (d) Other relevant factors 141 (e) Scope of consent 142 (f) Consent by deception 143 2.13 Third Party Consent 144 (a) Background 144 (b) Relationship of third party to defendant and place searched 145 (c) Apparent authority 148 (d) Exclusive control 149 Chapter 3. Wiretapping, Electronic Eavesdropping, and the Use of Secret Agents 150 3.1 Historical Background; Application of Fourth Amendment 150 (a) The Olmstead case 150 XI
3.1 Historical Background; Application of Fourth Amendment Continued (b) Section 605 151 (c) Non-telephonic electronic eavesdropping 152 3.2 Constitutionality of Title III of the Crime Control Act 153 (a) Background 153 (b) Summary of Title III 154 (c) Continued surveillance 158 (d) Lack of notice 161 (e) Other considerations 162 3.3 The Use of Secret Agents to Obtain Incriminating Statements 165 (a) "Wired" agents: On Lee and Lopez 165 (b) Without "bugging": Lewis and Hoffa 166 (c) The impact of Katz 168 3.4 Disclosure of Electronic Surveillance Records 170 (a) The "fruits" of surveillance 170 (b) The Alderman disclosure requirement 170 (c) The statutory limitation 172 3.5 The Use of Secret Agents to "Encourage" Criminal Conduct 173 (a) Entrapment.' 173 (b) Possible constitutional bases... 174 XII
Chapter 4. Police Interrogation and Confessions 177 4.1 Introduction 177 (a) The confession dilemma 177 (b) The Supreme Court's response... 179 4.2 The "Voluntariness" "Totality of Circumstances" Test 181 (a) Objectives of the test 181 (b) The relevant circumstances 185 (c) Administration of the test 186 4.3 The Right to Counsel 187 (a) Pre-Escobedo developments 187 (b) The Escobedo case 189 (c) The meaning of Escobedo 190 (d) The Williams case 191 (e) When the right attaches 192 (f) Waiver of counsel 194 (g) Infringement of the right 196 4.4 The Privilege Against Self-Incrimination 198 (a) The privilege in the police station 198 (b) The Miranda rules 200 (c) Criticism of Miranda 202 (d) The Crime Control Act 203 4.5 Miranda: What Offenses Are Covered? 205 (a) Traffic and other minor offenses - 205 (b) Tax investigations 205 (c) Proceeding at which confession offered 205 XIII
4.6 Miranda: When is Interrogation "Custodial"? 206 (a) "Custody" vs. "focus" 206 (b) Purpose of the custody 207 (c) Subjective vs. objective approach - 207 (d) Presence at station 209 (e) Presence elsewhere 209 4.7 Miranda: What Constitutes "Interrogation"? 210 (a) "Volunteered" statements 210 (b) Follow-up questioning 211 (c) The "functional equivalent" of questioning 212 (d) Purpose of the questioning 215 (e) Questioning by non-police 217 4.8 Miranda: What Warnings Are Required? 218 (a) Adequacy of the warnings 218 (b) "Cutting off' the warnings 219 (c) Multiple interrogation sessions 220 (d) Additional admonitions 220 4.9 Miranda: What Constitutes Waiver? - 222 (a) Express or implied 222 (b) Facts bearing on the waiver 222 (c) Waiver after assertion of rights - 224 4.10 Self-Incrimination and the Grand Jury Witness 227 (a) Application of the privilege 227 (b) Need for self-incrimination warnings 228 XIV
4.10 Self-Incrimination and the Grand Jury Witness Continued (c) Subpoenas for documents 230 (d) Immunity 233 Chapter 5. Lineups and Other Pretrial Identification Procedures 236 5.1 The Privilege Against Self-Incrimination 236 (a) The Schmerber case 236 (b) Application to pretrial identification 237 (c) Consequences of failure to cooperate 238 (d) Change in appearance 238 5.2 The Right to Counsel and Confrontation: Lineups 239 (a) Procedures required 239 (b) Waiver of counsel 241 (c) Consequences of violation 242 (d) Role of counsel 244 (e) Pre-indictment identifications 246 5.3 The Right to Counsel and Confrontation: Other Identification Procedures 248 (a) The use of pictures 248 (b) Scientific methods 249 5.4 Due Process: "The Totality of the Circumstances" 250 (a) Generally 250 (b) Lineups 252 XV
5.4 Due Process: "The Totality of the Circumstances" Continued (c) The use of pictures 252 (d) One-man showups 253 (e) In-court identifications 255 Chapter 6. The Exclusionary Rules and Their Application 256 6.1 Introduction 256 6.2 Fifth Amendment, Sixth Amendment, and Due Process Exclusion 258 (a) Fifth Amendment exclusion 258 (b) Sixth Amendment exclusion 259 (c) Due process exclusion 262 6.3 Fourth Amendment Exclusion 264 (a) From Weeks to Mapp - 264 (b) Rejected theories 266 (c) The "imperative of judicial integrity" 270 (d) The deterrence rationale 271 6.4 The "Good Faith" Exception 274 (a) A Fourth Amendment doctrine 274 (b) Police reliance upon a warrant 275 (c) Police reliance upon a statute. 278 6.5 Application to Proceedings Other Than the Trial 280 (a) Introduction 280 (b) Grand jury proceedings 280 (c) Related civil or quasi-criminal proceedings 281 XVI
6.5 Application to Proceedings Other Than the Trial Continued (d) Administrative proceedings 282 (e) Habeas corpus 284 6.6 Derivative Evidence 286 (a) Fruits of the poisonous tree 286 (b) The "independent source" limitation 288 (c) The "inevitable discovery" limitation 292 (d) The "purged taint" limitation... 294 (e) The illegal arrest as the poisonous tree 296 (f) The tainted witness 301 (g) Multiple confessions 303 (h) Guilty pleas as the fruit of the poisonous tree 305 (i) Miranda violations and the fruits doctrine 306 6.7 Impeachment 311 (a) Fourth Amendment violations - 311 (b) Fifth Amendment evidence 314 (c) Sixth Amendment violations 315 (d) Defendant's silence 317 (e) Third party impeachment 319 6.8 Standing 320 (a) "Personal rights" analysis 320 (b) Identifying the issue 324 (c) Legitimate presence at the site of the search 326 XVII
6.8 Standing Continued (d) Possessory interest in the premises 328 (e) Property interest in the item seized 329 (f) Establishing standing 332 6.9 Burden of Proof 333 (a) Allocation of the burden 333 (b) Quantum of proof 335 Chapter 7. Right to Counsel 338 7.1 Sixth Amendment Right 338 (a) Right to retained counsel 338 (b) Right to appointed counsel 338 (c) The misdemeanor, non-incarceration limitation 340 (d) Scope of the "criminal prosecution" 343 (e) The "critical stage" requirement - 345 7.2 Additional Constitutional Rights to Counsel and Other Assistance 345 (a) Due process/fair hearing right to counsel 345 (b) Due process right to retained counsel 347 (c) Derivative right to counsel 349 (d) Equal protection and appointed counsel 350 (e) Assistance other than counsel - 354 7.3 Right to Counsel: Stages of the Process 357 (a) Police investigation 357 XVIII
7.3 Right to Counsel: Stages of the Process Continued (b) Grand jury proceedings 357 (c) Initial appearance 359 (d) Preliminary hearing 360 (e) Arraignment 361 (f) Trial 362 (g) Sentencing, probation and parole. 362 (h) Appeals 365 (i) Collateral proceedings 367 7.4 Waiver of Counsel and the Right to Proceed Pro se 369 (a) The "knowing and intelligent" requirement 369 (b) Waiver prior to the entry of a guilty plea 372 (c) The right to proceed pro se 372 (d) Waiver in the pro se situation... 374 (e) Standby counsel 375 7.5 Lawyer-Client Relationship 376 (a) Selection of appointed client 376 (b) Choice of retained counsel 377 (c) Counsel's control over defense strategy 379 7.6 State Interference With Counsel 380 (a) Restrictions upon counsel's assistance 380 (b) Defective appointment 382 (c) State invasion of the lawyer-client relationship 384 (I. & L) Crim.Proc. 5th Ed. NS 2 XDC
7.7 Effective Assistance of Counsel 385 (a) Constitutional foundation 385 (b) The Strickland standards 387 (c) Application of the Strickland standards 391 (d) Multiple representation and conflicts of interest 394 (e) Trial court duty to inquire 397 (f) Disqualification of potentially conflicted counsel 399 Chapter 8. The Post-Investigatory Process: From Bail to Appellate Review 401 8.1 Pretrial Release 401 (a) Eighth Amendment 401 (b) Due process 403 8.2 Decision to Charge 404 (a) Limitations upon the charging decision 404 (b) Grand jury or preliminary hearing review of the charge 406 8.3 Scope and Timing of the Prosecution - 408 (a) Joinder of offenses 408 (b) Joinder of parties 412 (c) Timing of the prosecution 413 8.4 Notice, Discovery and Disclosure 418 (a) Notice 418 (b) Defense discovery 419 (c) Prosecution discovery 420 XX
8.5 Guilty Pleas 423 (a) Voluntariness requirement 423 (b) Acceptance of a guilty plea 424 (c) Negotiated pleas 426 (d) Broken bargains 429 (e) Collateral challenges 431 8.6 Impartial Jury and Judge 433 (a) Right to a jury trial 433 (b) Equal protection 435 (c) The "fair cross-section" requirement 440 (d) Jury impartiality 442 (e) Prejudicial publicity and jury selection 447 (f) The right to an impartial judge.. 449 8.7 Fair Trial and Free Press 450 (a) "Gag orders" 450 (b) Public right of access 452 (c) Media interference 454 8.8 The Trial 455 (a) Right to a public trial 455 (b) Right of presence 456 (c) Right of confrontation 458 (d) Access to Evidence 460 (e) Right to present evidence 465 (f) Defendant's right not to testify - 466 (g) Defendant's right to testify 467 (h) Prosecutorial misconduct 469 8.9 Post-Trial Procedures 470 (a) Sentencing 470 XXI
8.9 Post-Trial Procedures Continued (b) Appeals 474 (c) Retrials 476 8.10 Harmless Error 480 (a) Application to constitutional errors 480 (b) The reasonable doubt standard.. 483 (c) Automatic reversal 485 XXII