TRIAL MANUAL 6 FOR THE DEFENSEOF CRIMINAL CASESAnthony G. Amsterdam and Randy Hertz

TRIAL MANUAL 6 FOR THE DEFENSEOF CRIMINAL CASESAnthony G. Amsterdam and Randy Hertz

© 2016 by The American Law Institute. All rights reservedFirst Edition 1967. Sixth Edition 2016

Nothing in this publication should be considered as the rendering of legal advice. Non-lawyers should seek the advice of a licensed attorney in all legal matters. Readers should assure themselves that the material in this publication is still current and applicable at the time it is read. Neither ALI CLE nor the authors can warrant that the material will continue to be accurate, nor do they warrant it to be completely free of error when published. Readers should verify statements before relying on them. The materials In this publication reflect the viewpoints of the authors and do not necessarily express the opinion of The American Law Institute or ALI CLE.

Trial Manual 6 - Citing to the Online-Only Version

This electronic edition of Trial Manual 6 for the Defense of Criminal Cases by Anthony G.Amsterdam and Randy Hertz is made available for use prior to the publication of the printedbook. In the printed book, page numbers will change from those in this document; thesubstantive contents will not change.

Therefore, when citing to this work, please cite using section numbers instead of using pagenumbers.

Please note the sample citations below.

Full citation:

Anthony G. Amsterdam & Randy Hertz, Trial Manual 6 for the Defense of CriminalCases § 15.4 (6th ed. 2016).

Anthony G. Amsterdam & Randy Hertz, Trial Manual 6 for the Defense of CriminalCases § 28.1.2 (6th ed. 2016).

Anthony G. Amsterdam & Randy Hertz, Trial Manual 6 for the Defense ofCriminal Cases § 42.5 (4)(i) (6th ed. 2016).

Short-form citation used after the first full citation:

Amsterdam & Hertz, supra, § 28.5.4.

Law review article style (small caps):

ANTHONY G. AMSTERDAM & RANDY HERTZ, TRIAL MANUAL 6 FOR THEDEFENSE OF CRIMINAL CASES § 15.1 (6th ed. 2016).

The printed book will be made available soon. When the printed book is available, this electronic edition will be replaced online with the document that corresponds to the printed book.

PART ONE: INTRODUCTION AND OVERVIEW

Chapter 1

Introduction

1.1. The Nature and Purpose of the Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

1.2. The Structure of the Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

1.3. The Attorney-Client Relationship . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

Chapter 2

Outline and Flow-Chart of a Criminal Case

2.1. Different Procedures for Offenses of Differing Seriousness . . . . . . . . . . . . . . . . . . . . . . . 6

2.2. Summary Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

2.2.1. Complaint and Warrant or Summons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

2.2.2. Arrest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

2.2.3. Stationhouse Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

2.2.4. Trial. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

2.2.5. Disposition and Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

2.3. Misdemeanor Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

2.3.1. Complaint and Warrant or Summons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

2.3.2. Arrest and Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

2.3.3. First Court Appearance: The Preliminary Hearing . . . . . . . . . . . . . . . . . . . . . . . . 11

2.3.4. Preliminary Arraignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

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2.3.4.1. Procedure in Jurisdictions That Do Not Afford a FullPreliminary Hearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

2.3.4.2. Procedure in Jurisdictions That Afford a Full

Preliminary Hearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

2.3.5. Preliminary Examination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

2.3.6. Information and Arraignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

2.3.7. Trial; Disposition; Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

2.4. Felony Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

2.4.1. Arrest and Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

2.4.2. Preliminary Hearing; The Role of the Prosecutor. . . . . . . . . . . . . . . . . . . . . . . . . 17

2.4.3. The Grand Jury . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

2.4.4. Relation of the Grand Jury to Preliminary Hearing . . . . . . . . . . . . . . . . . . . . . . . 18

2.4.5. Arraignment; Trial; Disposition; Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

2.5. Flow-Chart of Summary, Misdemeanor, and Felony Procedures. . . . . . . . . . . . . . . . . . . 20

PART TWO: INITIAL STAGES OF THE CASE THROUGH ARRAIGNMENT

Chapter 3

The Lawyer’s Entrance into the Case – First Steps

3.1. Introduction: Stages at Which the Lawyer May Enter the Case; The Need to MoveQuickly . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

A. Representing Clients Who Have Been Arrested and Are Still at the Police Station. . . . 22

3.2. Police Practices Following Arrest. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

3.2.1. Logging in . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

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3.2.2. Interrogation and Other Investigative Procedures. . . . . . . . . . . . . . . . . . . . . . . . . 23

3.2.3. Defendant’s Rights of Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

3.2.4. Booking or Slating; Fingerprinting; and Photographing. . . . . . . . . . . . . . . . . . . . 24

3.3. Responding to a Phone Call from a Recently Arrested Client Who Is at the Police Stationor from a Relative or Friend of the Client. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

3.3.1. A Phone Call from a Client Who Is At the Police Station: Ascertaining theClient’s Whereabouts; Assuring the Privacy of the Conversation . . . . . . . . . . . . 25

3.3.2. A Phone Call from a Relative or Friend of a Client WhoIs At the Police Station: Locating the Client and Gaining Access to the Client ByTelephone . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

3.3.2.1. The Matters to Cover in the Phone Conversation with the Client’s Relative or Friend . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

3.3.2.2. Locating the Client . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

3.3.2.3. Keeping Records of Calls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28

3.3.2.4. Persuading a Police Officer to Allow Counsel to Speak with aRecently Arrested Client on the Telephone . . . . . . . . . . . . . . . . . 28

3.4. Matters to Cover in a Telephone Conversation With A Client Who is Presently in Police Custody . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

3.4.1. Preliminary Matters to Discuss with the Client . . . . . . . . . . . . . . . . . . . . . . . . . . 29

3.4.2. Protecting the Client from Police Interrogation . . . . . . . . . . . . . . . . . . . . . . . . . . 30

3.4.3. Cautioning the Client Against Speaking with Cellmates or Visitors . . . . . . . . . . 31

3.4.4. Advising the Client About Lineups, Show-ups, and Other Police Investigative Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32

3.4.5. Advising the Client How to Deal with News Reporters . . . . . . . . . . . . . . . . . . . . 33

3.4.6. Concluding the Telephone Conversation with the Client in Police Custody . . . . 34

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3.5. Telephone Conversations with the Police on Behalf of a Client Who Is Presently in Police Custody . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

3.6. Counsel’s Activities on the Client’s Behalf at the Police Station. . . . . . . . . . . . . . . . . . . 38

3.7. Actions That Can Be Taken to Protect the Client’s Rights in Lieu of a Trip to the Police Station . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42

3.8. Securing the Client’s Release on Bail or Own Recognizance or By Habeas Corpus . . . . 42

3.8.1. Release on the Client’s Own Recognizance (“O.R.”). . . . . . . . . . . . . . . . . . . . . . 42

3.8.2. Stationhouse Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

3.8.3. Seeking O.R. or a Lower Bail From a Magistrate or Court . . . . . . . . . . . . . . . . . 43

3.8.4. Habeas Corpus . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

B. The “Wanted” Client: Representing Clients Who Have Not Yet Been ArrestedBut Who Are Being Sought by the Police . . . . . . . . . . . . . . . . . . . . . . . . 46

3.9. The Initial Phone Call from the “Wanted” Client or from Someone Concernedabout the Client . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46

3.10. Making Inquiries of the Police and Prosecutor. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47

3.11. The Follow-up Conversation with the Client . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48

3.11.1. Counseling the Client on the Advisability of Surrender . . . . . . . . . . . . . . . . . . . . 48

3.11.2. Other Matters to Discuss with the Client . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

3.12. Arranging the Surrender . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

3.13. The Surrender . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50

C. Appointment or Retainer at Preliminary Arraignment. . . . . . . . . . . . . . . . . . . 51

3.14. Preliminary Arraignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

3.15. Insistence on Adequate Time . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

3.16. Preliminary Examination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

iv

3.17. Pleas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

3.18. Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52

D. Representing Clients Who Are at Large Prior to Preliminary Arraignment: Clients Who Have Been Served with a Summons or Notice to Appear;Clients Who Have Been Released on Stationhouse Bail or O.R.’d at the Police Station . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53

3.19. Counsel’s Expanded Opportunities and Responsibilities if the Client is At Large Prior toPreliminary Arraignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53

E. Considerations Relating to the First Interview with the Client . . . . . . . . . . . . 54

3.20. Pressures on the First Interview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54

3.21. The Client in Custody . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54

3.21.1. Preparing to Address the Client’s Concerns and Questions . . . . . . . . . . . . . . . . . 54

3.21.2. Matters to Cover in the Interview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55

3.21.3. “Rights Card” to Give to a Client in Custody. . . . . . . . . . . . . . . . . . . . . . . . . . . . 56

3.22. The Wanted Client . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57

3.23. Client at Preliminary Arraignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58

3.23.1. Ensuring That There Is Sufficient Time for An Adequate Interview . . . . . . . . . . 58

3.23.2. Essential Information to Obtain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59

3.23.3. Request for a Continuance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59

Chapter 4

Bail

4.1. Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61

4.2. Arrest and Conditional Release . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61

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4.3. The Right to Bail. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62

4.3.1. State Constitutional and Statutory Guarantees of Bail . . . . . . . . . . . . . . . . . . . . . 62

4.3.2. Federal Constitutional Rights to Bail in State Criminal Cases . . . . . . . . . . . . . . . 66

4.3.3. Capital Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68

4.4. Amount of Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70

4.5. Questionnaire for Obtaining Information Pertinent to Bail from Criminal . . . . . . . . . . . 71Defendants

4.6. Bail and the Indigent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83

4.7. Procedures for Setting Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84

4.8. Types of Bail Allowable . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84

4.9. Choice Among the Types of Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85

4.10. Additional Conditions Imposed Upon Defendants Released on Bail or O.R. . . . . . . . . . 86

4.11. Procedures for Posting Bail. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87

4.12. Problems in Getting Bail Set or Posting Bond . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87

4.12.1. Problems in Locating the Defendant or Identifying the Charges . . . . . . . . . . . . . 87

4.12.2. Problems in Locating Officials to Set or Receive Bond . . . . . . . . . . . . . . . . . . . . 88

4.12.3. “Hold” Orders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89

4.13. Review and Renewal of Efforts to Have Bail Set . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90

4.14. Federal Habeas Corpus to Secure Release on Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91

4.15. Judicial Modification of the Amount of Bail or Conditions of Release; Revocation of Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92

4.15.1. Reduction of the Amount of Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92

4.15.2. Increase in the Amount of Bail; Revocation of Bail . . . . . . . . . . . . . . . . . . . . . . . 93

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4.16. Duration of Bail; Effect of Additional or Superseding Charges . . . . . . . . . . . . . . . . . . . . 93

4.17. Legal Obligations and Consequences of the Bond Contract and Bail Status . . . . . . . . . . 94

4.18. Forfeiture. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95

4.19. To Bail or Not to Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95

Chapter 5

State-Paid Assistance for the Defense: ObtainingState Funding for Counsel’s Time and for Defense Services

5.1. Availability of State Funding Under Local Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97

5.1.1. Funding for Counsel’s Time . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97

5.1.2. Funding for Defense Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98

5.2. Rights Under the Equal Protection Clause . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99

5.3. Rights Under the Due Process Clause. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102

5.4. Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103

Chapter 6

Interviewing the Client

6.1. Establishing the Lawyer-Client Relationship . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106

6.2. Preparing for the Interview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106

6.3. Putting the Client at Ease and Establishing a Relationship of Trust. . . . . . . . . . . . . . . . 107

6.4. Giving the Client a Business Card . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108

6.5. Explaining the Attorney-Client Relationship . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108

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6.6. Settling the Roles of Attorney and Client and Explaining the Need for a TruthfulRendition of the Facts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109

6.7. Note-taking During the Interview: Explaining the Need for Taking Notes; Techniques forTaking Notes in the Least Disruptive Manner . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110

6.8. Interviewing the Client About the Facts of the Offense . . . . . . . . . . . . . . . . . . . . . . . . . 113

6.9. Interviewing the Client About Facts Needed for Suppression Motions . . . . . . . . . . . . . 114

6.10. Complaints of Brutality or Mistreatment; Other Custodial Complaints . . . . . . . . . . . . . 115

6.11. Fee-setting. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116

6.12. Advice to the Client at the Conclusion of the Interview. . . . . . . . . . . . . . . . . . . . . . . . . 117

6.13. Offering to Contact the Client’s Family . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119

6.14. Subsequent Interviews with the Client . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120

6.15 Interview Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121

Chapter 7

Case Planning

7.1. Evolving a General Strategy for Defending the Case: Reaching and Refining a Set of Aims and Objectives. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151

7.2. Developing a Theory of the Case and Using It to Guide Case Planning . . . . . . . . . . . . 152

7.2.1. Developing the Defense Theory of the Case. . . . . . . . . . . . . . . . . . . . . . . . . . . . 152

7.2.1.1. Defense Theories That Refute the Prosecution’s Assertion That a Crime Was Committed . . . . . . . . . . . . . . . . . . 153

7.2.1.2. Defense Theories That Refute the Prosecution’s Assertion That the Defendant Was the Perpetrator. . . . . . . . . . . 154

7.2.1.3. The Building Blocks for Constructing a Defense Theory of the Case . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157

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7.2.1.4. Implications of the Choice of Defense Theory for Trial Preparation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159

7.2.2. Gathering the Facts Needed to Support the Defense Theory of the Case . . . . . . 160

7.2.3. Filing Motions That Are Consistent with the Theory of the Case . . . . . . . . . . . 162

7.2.4. Setting in Motion the Process Needed to Prepare for Sentencing in the Event of Conviction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162

7.3. The Role of Narrative Theory in Case Planning. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163

7.3.1. The Nature of Narrative and Its Importance in Litigation. . . . . . . . . . . . . . . . . . 163

7.3.2. The Specific Uses that a Litigator Can Make of Narrative. . . . . . . . . . . . . . . . . 166

7.3.3. The Basic Structure and Process of Narrative. . . . . . . . . . . . . . . . . . . . . . . . . . . 170

7.3.4. The Special Features of Narrative in a Jury-Trial Setting. . . . . . . . . . . . . . . . . . 172

Chapter 8

Dealings with the Police and Prosecutor

8.1. General Considerations in Dealing with the Police and Prosecutor . . . . . . . . . . . . . . . . 174

8.1.1. Counsel’s Goals in Contacts with the Police and Prosecutor . . . . . . . . . . . . . . . 174

8.1.2. The Importance of Amiability and Honesty . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174

8.1.3. Discussions With the Police Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174

8.1.4. Discussions With the Prosecutor Generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175

8.2. Navigating a Criminal Justice System in Which the Police and Prosecutor Typically Exercise Discretion on Many Important Issues . . . . . . . . . . . . . . . . . . . . . . . 175

8.2.1. The Exercise of Discretion by the Police . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175

8.2.2. The Exercise of Discretion by the Prosecutor. . . . . . . . . . . . . . . . . . . . . . . . . . . 176

8.2.3. Factors Influencing Discretion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177

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8.2.4. The Role of Defense Counsel in Navigating the Discretion-Riddled System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 178

8.3. Early Dealings with the Police . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179

8.3.1. Initial Discussions with the Arresting and Investigating Officers . . . . . . . . . . . 179

8.3.2. Protecting the Client from Police Investigative Activity . . . . . . . . . . . . . . . . . . 179

8.3.3. Lobbying the Police to Drop or Reduce the Charges or to Agree to a Diversion Arrangement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182

8.4. Early Dealings with the Prosecutor. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183

8.5. Talking with a Complainant About Dropping the Charges . . . . . . . . . . . . . . . . . . . . . . 184

8.6. Offers to Cooperate with the Police or Prosecution . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185

Chapter 9

Defense Investigation

A. General Aspects of Defense Investigation . . . . . . . . . . . . . . . . . . . . . 187

9.1. Introduction: Scope of the Chapter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187

9.2. Using the Defense Theory of the Case to Guide the Investigation . . . . . . . . . . . . . . . . . 187

9.3. Starting Promptly and Preserving Perishable Evidence . . . . . . . . . . . . . . . . . . . . . . . . . 188

9.4. Use of an Investigator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189

9.5. The Importance of Personally Observing the Scene of the Crime and Other Relevant Sites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190

9.6. Enlisting the Aid of the Client’s Family . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191

B. Locating and Interviewing Defense Witnesses . . . . . . . . . . . . . . . . . 192

9.7. The Need to Interview Any Witnesses Whom the Defendant Wishes to Call . . . . . . . . 192

9.8. Locating Witnesses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192

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9.9. Keeping Track of Witnesses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193

9.10. Interviewing Defense Witnesses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 194

9.11. Refraining from Taking Written Statements of Defense Witnesses or Taking Verbatim Interview Notes in Jurisdictions Where They Are Discoverable by the Prosecution. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 196

C. Interviewing and Taking Statements from Adverse Witnesses . . . . . . . . . . . 196

9.12. The Unique Aspects of Interviewing Adverse Witnesses. . . . . . . . . . . . . . . . . . . . . . . . 196

9.13. Taking Statements from Adverse Witnesses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197

9.13.1. The Reasons for Taking Statements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197

9.13.2. Arranging To Be Accompanied to Interviews of Adverse Witnesses . . . . . . . . 198

9.13.3. Techniques for Taking a Written Statement; Contents of the Statement . . . . . . 198

9.13.4. Alternatives to a Signed Statement When the Witness Is Unwilling To Sign a Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199

9.14. Overcoming Prosecution Witnesses’ Unwillingness to Talk with an Adversary; Steps to Take If the Witness Says That S/he Has Been Advised by the Prosecutorto Refuse to Talk with the Defense. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200

9.15. Interviewing Police Officers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202

9.16. Interviewing Co-defendants and Uncharged Co-perpetrators. . . . . . . . . . . . . . . . . . . . . 203

D. Gathering Police Reports, Other Documents, and Physical Evidence That May Be Needed as Defense Exhibits at a Motions Hearing or at Trial . . . . . . 203

9.17. The Need to Gather the Materials, and the Timetable . . . . . . . . . . . . . . . . . . . . . . . . . . 203

9.18. Methods for Gathering the Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 204

9.19. Preserving Real Evidence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205

9.20. Types of Materials to Gather or Generate. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206

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Chapter 10

Summary of Things to Do Before First Court Appearance

10.1. Checklist of Things to Do for an Arrested Client Between the Time of Arrest and the Client’s First Court Appearance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215

10.2. A Note on the Coroner’s Inquest and Similar Institutions . . . . . . . . . . . . . . . . . . . . . . . 217

Chapter 11

Preliminary Hearing

11.1. Nature and Functions of the Preliminary Hearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 219

11.1.1. The Formal Functions of the Preliminary Hearing . . . . . . . . . . . . . . . . . . . . . . . 219

11.1.2. The Trend Toward Bifurcation of the Preliminary Hearing . . . . . . . . . . . . . . . . 220

11.2. The Federal Constitutional Rights to a Prompt Post-arrest Determination of Probable Cause and to a Prompt Preliminary Appearance . . . . . . . . . . . . . . . . . . . . . . . 221

11.3. The State-Law Right to a Full Preliminary Examination . . . . . . . . . . . . . . . . . . . . . . . . 223

11.4. Challenging the Prosecutor’s Use of a Supervening Indictment to Foreclose a Preliminary Examination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224

11.5. Defense Rights at the Preliminary Hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227

11.5.1. Right to Counsel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227

11.5.2. Right To Cross-Examine Prosecution Witnesses and To Present DefenseWitnesses; Right To Subpoena Witnesses; Right to Disclosure of Exculpatory and Impeaching Evidence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227

11.5.3. Right to Transcription of the Proceedings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229

11.6. Procedures To Challenge Denial of Rights to or at a Preliminary Hearing . . . . . . . . . . 229

11.6.1. Before the Hearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229

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11.6.2. After the Hearing or Bind-over . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 230

11.7. Defensive Conduct of the Preliminary Arraignment . . . . . . . . . . . . . . . . . . . . . . . . . . . 231

11.7.1. Pleading. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 231

11.7.2. Technical Objections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 232

11.7.3. The Decision Whether to Demand or Waive Preliminary Examination. . . . . . . 232

11.8. Defensive Conduct of the Preliminary Examination . . . . . . . . . . . . . . . . . . . . . . . . . . . 233

11.8.1. The Nature of the Proceedings at Preliminary Examination. . . . . . . . . . . . . . . . 233

11.8.2. Cross-examining for Discovery and Impeachment. . . . . . . . . . . . . . . . . . . . . . . 234

11.8.3. Resisting Limitations on Cross-examination . . . . . . . . . . . . . . . . . . . . . . . . . . . 235

11.8.4. Calling Adverse Witnesses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 236

11.8.5. Calling Favorable Defense Witnesses. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 237

11.8.6. Objecting to Inadmissible Evidence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 238

11.8.7. Obtaining a Transcript . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 238

11.9. Continuances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 239

11.10. Bind-over; Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 240

11.11. Discharge; Rearrest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241

Chapter 12

Defensive Procedures Between Bind-over andthe Filing of the Charging Paper

A. Matters Relating to the Grand Jury . . . . . . . . . . . . . . . . . . . . . . . 242

12.1. Introduction to Grand Jury Requirements and Procedures . . . . . . . . . . . . . . . . . . . . . . . 242

12.1.1. Constitutional Protections Against Discrimination in Grand Jury Selection . . . 243

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12.1.2. Grand Jury Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 244

12.1.3. Grounds for Challenging Defects in Grand Jury Proceedings . . . . . . . . . . . . . . 245

12.2. Deciding Whether to Waive Indictment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 246

12.2.1. Advantages to Proceeding By Means of Indictment . . . . . . . . . . . . . . . . . . . . . . 246

12.2.2. Considerations Affecting Waiver . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 247

12.3. Challenge to the Array or to the Polls. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248

12.4. Motions to Suppress . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250

12.5. Requesting Recording of Grand Jury Proceedings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250

12.6. Advising and Protecting Defendants Subpoenaed by the Grand Jury. . . . . . . . . . . . . . . 252

12.6.1. Rights of Defendants Subpoenaed by the Grand Jury. . . . . . . . . . . . . . . . . . . . . 252

12.6.2. Steps to Take if Counsel Enters a Case After the Client Has Already Testified Before a Grand Jury. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 254

12.6.3. Steps to Take if Counsel Enters a Case Before Service of a Grand Jury Subpoena Upon the Client . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 254

12.6.4. Advising a Client Under Grand Jury Subpoena . . . . . . . . . . . . . . . . . . . . . . . . . 255

12.6.4.1. Immunity Statutes and Their Relationship to the Fifth Amendment Privilege. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 255

12.6.4.2. Mechanisms by Which Immunity Is Conferred . . . . . . . . . . . . . 257

12.6.4.3. Instructions to Give the Client . . . . . . . . . . . . . . . . . . . . . . . . . . 258

12.7. Advising Defense Witnesses Subpoenaed by the Grand Jury. . . . . . . . . . . . . . . . . . . . . 261

12.8. Resisting Grand Jury Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 262

12.9. Advocacy to the Grand Jury . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266

12.10. Identifying Grand Jury Witnesses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266

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B. Other Defense Activity During the Pre-filing Stage . . . . . . . . . . . . . 267

12.11. Checklist of Additional Steps to Consider Taking during the Pre-filing Stage . . . . . . . 267

12.12. Matters Looking Backward to the Preliminary Hearing . . . . . . . . . . . . . . . . . . . . . . . . . 268

12.13. Discussions with the Prosecutor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269

12.14. Defense Investigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269

12.15. Commitment for Mental Examination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269

12.16. The Timetable of Proceedings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270

12.17. Anticipation of a Bench Warrant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270

12.18. Anticipation of Possible Conviction and Sentencing; Assisting the Client to Make a Favorable Appearance at the Time of Sentence . . . . . . . . . . . . . . . . . 271

Chapter 13

Defense Procedures After the Filing of the Charging Paper and BeforeArraignment

13.1. Checklist of the Steps To Take During the Period Between the Filing of the Charging Paper and Arraignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273

13.2. Entering Counsel’s Appearance for the Defense; Guarding Against a Bench Warrant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 275

13.3. Motions to Quash or Dismiss the Charging Paper . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276

13.4. Raising the Question of the Defendant’s Competency to Plead or to Be Tried . . . . . . . 276

13.5. Discussions with the Prosecutor — Negotiation and Discovery . . . . . . . . . . . . . . . . . . 276

13.6. Defense Investigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276

13.7. Defense Discovery: Motion for a Bill of Particulars, Motion for a List of Witnesses, and Other Devices. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277

13.8. Motions for the Suppression of Illegally Obtained Evidence . . . . . . . . . . . . . . . . . . . . . 279

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13.9. Motion for a Change of Venue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279

13.10. Challenges to the Venire of Trial Jurors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279

13.11. Matters Relating to the Timetable for Proceedings . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279

13.12. Conferring with the client . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 280

Chapter 14

Arraignment and Defensive Pleas

14.1. Arraignment Procedure Generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 282

14.2. Rushed Proceedings; Making the Record Clear; Continuances . . . . . . . . . . . . . . . . . . . 284

14.3. Appointment of Counsel at Arraignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 284

14.4. Continuances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 285

14.5. Special Pleas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 286

14.6. Checklist of Special Pleas and Other Matters That must Be Presented at Arraignment. 287

14.7. General Pleas — the Plea of Not Guilty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 289

14.8. The Guilty Plea . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 289

14.9. Nolo Contendere or Non Vult. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292

14.10. Standing Mute. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293

14.11. Pleading to Priors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293

14.12. Dismissal of Charges on Motion of the Prosecution . . . . . . . . . . . . . . . . . . . . . . . . . . . 294

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Chapter 15

Guilty Pleas: Preparing for and Conducting PleaNegotiations; Counseling the Client About a Plea Offer

A. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 296

15.1. Overview of the Chapter. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 296

15.2. The Roles of Client and Counsel in Deciding Whether to Accept a Guilty Plea . . . . . . 296

B. The Decision Whether To Plead Guilty or Go to Trial; Factors to Consider in Developing and Evaluating a Potential Plea Bargain . . . . . . . . . . . 297

15.3. Overview of the Cost-Benefit Analysis Involved in Deciding Whether to Plead Guilty or Go to Trial . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297

15.4. Assessing the Likelihood of Winning at Trial . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 299

15.4.1. The Strength of the Case for the Prosecution . . . . . . . . . . . . . . . . . . . . . . . . . . . 299

15.4.2. The Strength of the Case for the Defense . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301

15.4.3. Circumstances That May Prejudice the Trier of Fact Against the Defendant. . . 302

15.4.4. Relative Ability, Experience, and Personableness of the Lawyers . . . . . . . . . . . 304

15.4.5. The Possibility of a Divided Jury . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 304

15.5. Assessing the Likelihood That the Judge Will Penalize the Defendant at SentencingBecause the Defendant Opted in Favor of a Trial Instead of a Guilty Plea . . . . . . . . . . 304

15.6. Assessing Whether a Guilty Plea Would Produce Any Significant Advantages atSentencing and/or By Averting Collateral Consequences of a Conviction . . . . . . . . . . 305

15.6.1. Identifying the Possible Consequences of a Conviction . . . . . . . . . . . . . . . . . . . 306

15.6.2. Determining the Concessions that Could be Obtained from a Prosecutor to Avert or Reduce the Consequences of a Conviction . . . . . . . . . . 310

15.7. Other Factors That May Bear on the Advisability of a Guilty Plea . . . . . . . . . . . . . . . . 315

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15.7.1. The Presence or Absence of Debatable or Dubious Legal Points Relating to Substantive or Evidentiary Matters on Which the Judge MightCommit Reversible Error in a Pretrial Ruling or in the Course of a Trial . . . . . 315

15.7.2. The Possibility of Using a Guilty Plea to Steer the Case Before a FavorableSentencing Judge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 316

15.7.3. Considerations That May Arise in a Cases in Which the Defendant Is DetainedPending Trial . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 316

15.7.4. The Potential Advantages of a Guilty Plea in a Case in which the Prosecutor HasUnder-Charged the Defendant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 317

15.7.5. Cases in Which a Client Manifests Strong Discomfort With One or the Other ofthe Options of a Entering a Guilty Plea or Going to Trial . . . . . . . . . . . . . . . . . 318

C. Plea Negotiations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 318

15.8. Defense Counsel’s Obligations in Plea Negotiations . . . . . . . . . . . . . . . . . . . . . . . . . . . 318

15.9. Opening Discussions with the Prosecutor. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319

15.10. When Negotiation Should Begin . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319

15.11. The Conditions Precedent for Effective Defense Negotiation — Things to Know about the Law, the Case, and the Motivations of the Prosecutor. . . . . 321

15.12. Techniques of Plea Negotiation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 324

15.13. The Plea Agreement with the Prosecutor. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326

D. Counseling the Client. . . . . . . . . . . . . . . . . . . . . . . . . . . 329

15.14. Advising the Client Whether to Plead Guilty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 329

15.15. Making a Record of the Advice Given to the Client. . . . . . . . . . . . . . . . . . . . . . . . . . . . 330

15.16. Special Problems in Counseling the Client Whether to Plead Guilty. . . . . . . . . . . . . . . 331

15.16.1. The Guilty Plea and the Innocent Client . . . . . . . . . . . . . . . . . . . . . . . . . 331

15.16.2. Clients Who Are Unrealistic About the Chances of Winning at Trial . . 332

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15.17. Preparing the Client for the Entry of the Plea in Court. . . . . . . . . . . . . . . . . . . . . . . . . . 333

Chapter 16

Representing Clients Who Are Mentally Ill or Intellectually Disabled

A. Introduction and Overview . . . . . . . . . . . . . . . . . . . . . . . . . . 335

16.1. Stages at Which a Defendant’s Mental Problems May Be Relevant . . . . . . . . . . . . . . . 335

16.1.1. The Initial Interview and Subsequent Client Counseling . . . . . . . . . . . . . . . . . . 336

16.1.2. Considering the Possibility of a Mental Examination Prior to Arraignment . . . 336

16.1.3. Defense Investigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 337

16.1.4. Arraignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 337

16.1.5. Pretrial Motions and Other Pretrial Pleadings . . . . . . . . . . . . . . . . . . . . . . . . . . 338

16.1.6. Plea Negotiations with the Prosecutor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 338

16.1.7. Trial . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 339

16.1.8. Sentencing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 339

B. Retention of a Defense Psychiatrist or Psychologist . . . . . . . . . . . . . 339

16.2. Reasons for Retaining a Mental Health Expert: The Many Functions a Defense Expert Can Perform in a Criminal Case . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 339

16.2.1. Using a Mental Health Expert as a Witness at a Pretrial Hearing or Trial . . . . . 339

16.2.2. Potential Functions of a Mental Health Expert Other Than Testifying at a Pretrial Hearing or Trial . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340

16.3. Retaining a Mental Health Expert. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 342

16.4. Selecting a Mental Health Expert: Choosing Between Psychiatrists and Psychologists;Choosing Among Specialties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 344

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C. Mental Health Examinations . . . . . . . . . . . . . . . . . . . . . 345

16.5. Opposing a Court-Ordered Mental Health Examination . . . . . . . . . . . . . . . . . . . . . . . . 345

16.6. Procedural Protections at a Mental Health Examination . . . . . . . . . . . . . . . . . . . . . . . . 348

16.6.1. Fifth Amendment Protections Against Self-Incrimination . . . . . . . . . . . . . . . . . 348

16.6.2. State Law Prohibitions Against Using Statements Made During a Mental Health Examination as Proof of Guilt at Trial . . . . . . . . . . . . . . . . . . . . . . . . . . 351

D. Incompetency To Stand Trial . . . . . . . . . . . . . . . . . . . . . . 352

16.7. The Standard for Determining Competency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 352

16.8. Results of a Finding of Incompetency. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 353

16.9. Strategic Considerations in Deciding Whether to Raise a Claim of Incompetency . . . . 355

16.10. Procedures for Raising and Litigating a Claim of Incompetency . . . . . . . . . . . . . . . . . . 358

E. Insanity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 360

16.11. The Standard for Acquittal on the Ground of Insanity at the Time of the Crime (a/k/a the Verdict of Not Guilty by Reason of Insanity, Colloquially Called NGI) . . . . 360

16.12. Strategic Considerations in Deciding Whether to Raise an Insanity Defense . . . . . . . . 360

16.13. Defending Against the Judicial Interposition of an Insanity Defense. . . . . . . . . . . . . . . 360

PART THREE: PROCEEDINGS BETWEEN ARRAIGNMENT AND TRIAL

Chapter 17

Defense Procedures and Considerations Between Arraignment and Trial

A. Checklist of Matters for Counsel to Consider Between Arraignment and Trial. . . . . 363

17.1. Matters Looking Backward to Arraignment and Prearraignment Proceedings: ConsideringWhether to Change the Plea Entered at Arraignment . . . . . . . . . . . . . . . . . . . . . . . . . . . 363

17.1.1. Changing a Previously Entered “Not Guilty” Plea . . . . . . . . . . . . . . . . . . . . . . . 363

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17.1.2. Vacating or Withdrawing a Guilty Plea . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 363

17.2. Matters Looking Forward to Trial. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 365

B. Selecting and Drafting Pretrial Motions: Strategic and Practical Considerations. . . . . . . . . . . . . . . . . . . . . 366

17.3. The Importance of Motions Practice; The Objectives to Be Sought . . . . . . . . . . . . . . . 366

17.4. The Motions That Counsel Should Consider . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 366

17.5. Deciding Whether to Raise an Issue in a Pretrial Motion or at Trial . . . . . . . . . . . . . . . 368

17.5.1. Reasons for Litigating an Issue by Pretrial Motion. . . . . . . . . . . . . . . . . . . . . . . 368

17.5.2. Reasons for Litigating an Issue at Trial Rather Than in a Pretrial Motions Forum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 369

17.5.3. Casting the Issue in the Form of a Pretrial Motion When the Pretrial Forum Is Preferable . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 370

17.6. Choosing Between Oral and Written Motions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 371

17.7. Timely Filing of the Motion: Methods for Extending the Filing Deadline and forObtaining Relief from Forfeitures Entailed as a Consequence of Untimely Filing . . . . 371

17.8. The Form of the Motion; The Need for Affidavits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373

17.9. Deciding Whether to Seek an Evidentiary Hearing for Claims That Can Be Proven withAffidavits Alone . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373

17.10. Drafting the Motion So as to Gain Relief Without Unduly Disclosing the Defense Case . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 374

17.11. Invoking State Constitutional Provisions in the Motion. . . . . . . . . . . . . . . . . . . . . . . . . 375

C. Resisting Prosecution Attempts to Freeze a Defendant’s Assets . . . . . . . . . . 378

17.12. Statutory and Sixth Amendment Bases for Opposing Government Applications for AssetFreezing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 378

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Chapter 18

Pretrial Discovery; The Pretrial Conference

A. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 379

18.1. Scope and Organization of the Chapter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 379

18.2. The General Position of the Defense on Discovery . . . . . . . . . . . . . . . . . . . . . . . . . . . . 380

18.3. The Advisability of Pursuing Informal Discovery Methods Before Resorting to Formal Discovery Devices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 382

B. Informal Discovery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 382

18.4. Designing a Strategy for Informal Discovery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 382

18.5. The Discovery Letter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 383

18.6. The Discovery Conference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 385

C. Formal Discovery: Mechanisms and Legal Bases . . . . . . . . . . . . . . . . . . . . . 386

18.7. Types of Formal Discovery Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 386

18.7.1. Motion for a Bill of Particulars. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 388

18.7.2. Motion for a List of Prosecution Witnesses . . . . . . . . . . . . . . . . . . . . . . . . . . . . 388

18.7.3. Discovery Motions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 388

18.7.4. Other Discovery-Related Motions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 390

18.7.5. Depositions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 390

18.7.6. Freedom of Information Laws (FOILs). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 392

18.8. General Strategy When Employing Formal Discovery Procedures . . . . . . . . . . . . . . . . 392

18.9. Constitutional Doctrines That Can Be Invoked in Support of Defense Discovery. . . . . 393

18.9.1. The Brady Doctrine: The Right to Prosecutorial Disclosure of Evidence Helpful to the Defense . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 394

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18.9.2. Other Bases for Constitutional Contentions of Rights to Discovery . . . . . . . . . 397

18.9.2.1. The Sixth Amendment Right to Counsel . . . . . . . . . . . . . . . . . . 397

18.9.2.2. The Right to Fair Notice of Charges. . . . . . . . . . . . . . . . . . . . . . 398

18.9.2.3. The Sixth Amendment Right to Confrontation. . . . . . . . . . . . . . 399

18.9.2.4. The Right To Present Defensive Evidence . . . . . . . . . . . . . . . . . 400

18.9.2.5. The Right Against Concealment of Evidence That ImpeachesProsecution Testimony . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400

18.9.2.6. The Right Against Prosecutorial Suppression of EvidenceFavorable to the Defense. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 401

18.9.2.7. The Right Against an Unfair Balance of Advantage Favoring theProsecution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 402

18.9.2.8. The Obligation of the Equal Protection Clause That a State Not Permit an Indigent Defendant To Be Deprived of “The Basic Tools of an Adequate Defense” by Reason of Poverty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 404

18.10. Responses to Prosecutorial Assertions That the Information That the Defense Is Seeking Is Privileged. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 404

18.10.1. The “Informer’s Privilege” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 404

18.10.2. Work Product . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 406

18.10.3. Other Claims of Governmental Privilege . . . . . . . . . . . . . . . . . . . . . . . . 406

D. Discovery by the Prosecution Against the Defense . . . . . . . . . . . . . . 407

18.11. The Prosecution’s Right to Discovery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 407

18.12. Fifth Amendment Limitations Upon Prosecutorial Discovery . . . . . . . . . . . . . . . . . . . . 408

18.13. “Work Product” Protections Against Prosecutorial Discovery. . . . . . . . . . . . . . . . . . . . 411

E. The Pretrial Conference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 412

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18.14. Defense Uses of the Pretrial Conference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 412

18.15. Memorializing the Pretrial Conference. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 414

Chapter 19

Motions Practice in General

A. Motions Hearings . . . . . . . . . . . . . . . . . . . . . . . . . . . . 416

19.1. Evidentiary and Non-evidentiary Motions Hearings . . . . . . . . . . . . . . . . . . . . . . . . . . . 416

19.2. Scope of the Chapter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 417

B. Non-Evidentiary Motions Arguments . . . . . . . . . . . . . . . . . . . . . . . . 418

19.3. Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 418

19.4. Guarding Against Undue Disclosures of Defense Trial Evidence and Trial Strategy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 418

19.5. The Extent to Which Counsel Should Orally Recite Facts and Law Already Set Forth in the Motion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 419

19.6. The Inadvisability of String-citing Cases or Analyzing Court Decisions at Length. . . . 420

19.7. The Importance of Being Responsive to the Judge’s Questions. . . . . . . . . . . . . . . . . . . 421

Chapter 20

Motions to Quash or Dismiss the Charging Paper

20.1. Overview of the Grounds for Quashing or Dismissing the Charging Paper. . . . . . . . . . 423

20.2. Motions to Quash or Dismiss an Information or Indictment on GroundsRelating to the Preliminary Hearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 423

20.3. Motions to Quash or to Dismiss an Indictment on Grounds Relating to Defects in the Composition or Functioning of the Grand Jury . . . . . . . . . . . . . . . . . . . . 424

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20.3.1. Challenges to the Composition or Procedures of the Grand Jury . . . . . . . . . . . . 424

20.3.2. Challenges to the Sufficiency of the Evidence Presented to the Grand Jury . . . 425

20.3.3. Challenges to the Admissibility of Evidence Presented to the Grand Jury. . . . . 425

20.3.4. Deadlines for Filing Motions to Quash an Indictment Due to Defects in theComposition or Functioning of the Grand Jury . . . . . . . . . . . . . . . . . . . . . . . . . 428

20.3.5. Strategic Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 429

20.4. Challenges to an Information or Indictment for Failure to Charge an Offense . . . . . . . 429

20.4.1. Failure to Charge Acts That Are Criminal in Nature . . . . . . . . . . . . . . . . . . . . . 429

20.4.2. Failure to Allege Facts That Make Out Every Element of Each of theCharged Offenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 430

20.4.3. Lack of Specificity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 431

20.5. Challenges to an Information or Indictment for Failure to Establish Venue . . . . . . . . . 432

20.6. Technical Defects in the Indictment or Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . 433

20.7. Statutes of Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 434

20.8. Challenges to the Indictment or Information on Double Jeopardy Grounds . . . . . . . . . 434

20.8.1. Introduction: The General Rules Governing Double Jeopardy Challenges . . . . 434

20.8.2. Definitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 435

20.8.2.1. “Attachment of Jeopardy”. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 435

20.8.2.2. “Same Offense”. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 435

20.8.3. Reprosecution After An Acquittal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 437

20.8.4. Reprosecution After Conviction in the First Trial . . . . . . . . . . . . . . . . . . . . . . . 438

20.8.5. Reprosecution After the First Trial Ends in a Mistrial . . . . . . . . . . . . . . . . . . . . 439

20.8.6. Collateral Estoppel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 439

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20.8.7. Reprosecution by a Different Sovereign . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 440

20.9. Misjoinder . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 441

Chapter 21

Motions for Diversion, ACD, Stetting

21.1. The Nature of the Motion; Defense Counsel’s Responsibilities. . . . . . . . . . . . . . . . . . . 441

21.2. Invoking the Prosecutor’s Discretion in the First Instance . . . . . . . . . . . . . . . . . . . . . . . 444

21.3. Seeking a Judicial Order of Pretrial Diversion in Jurisdictions In Which Prosecutorial Consent to Diversion Is Not Required . . . . . . . . . . . . . . . . . . . . . . . . . . . 444

21.3.1. Addressing the Circumstances of the Crime. . . . . . . . . . . . . . . . . . . . . . . . . . . . 445

21.3.2. Addressing the Circumstances of the Defendant’s Life . . . . . . . . . . . . . . . . . . . 445

21.4. Seeking Judicial Relief Despite a Statute or Rule Requiring Prosecutorial Consent to Diversion. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 448

21.5. Developing and Implementing a Proposed Diversion Plan . . . . . . . . . . . . . . . . . . . . . . 450

21.6. Guilt, Penitence and Future Promise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 450

Chapter 22

Motions for a Change of Venue or for Disqualification of the Judge

A. Motions for a Change of Venue . . . . . . . . . . . . . . . . . . . . . . . 452

22.1. Initial Venue and Change of Venue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 452

22.2. Motions for a Change of Venue on the Ground That a Fair Trial Cannot Be Had in theCourt in Which the Charge Is Pending . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 452

22.2.1. Grounds for the Motion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 452

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22.2.2. Timing of the Motion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 454

22.2.3. Evidence that Can Be Presented in Support of the Motion. . . . . . . . . . . . . . . . . 454

22.2.4. Steps to Take if the Motion is Denied . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 456

22.3. Other Grounds for a Motion for a Change of Venue . . . . . . . . . . . . . . . . . . . . . . . . . . . 457

B. Motions for Recusal or Disqualification of the Judge. . . . . . . . . . . . 457

22.4. The Right to an Impartial Judge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 457

22.5. Grounds for Recusal or Disqualification of the Judge . . . . . . . . . . . . . . . . . . . . . . . . . . 459

22.6. Procedures for Seeking Recusal or Disqualification. . . . . . . . . . . . . . . . . . . . . . . . . . . . 464

22.7. Tactical Considerations in Deciding Whether to Seek Recusal and in Framing the Recusal Request . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 465

Chapter 23

Motions for Severance or for Consolidation of Counts or Defendants

A. Motions Challenging the Joinder of Counts or Seeking Consolidation of Counts . . 467

23.1. Introduction: The Problem of Joined Counts; Overview of the Possible Remedies. . . . 467

23.2. Deciding Whether to Oppose a Trial on Multiple Charges . . . . . . . . . . . . . . . . . . . . . . 468

23.3. Motions Challenging the Charging Paper for Misjoinder or an Insufficient Showing of the Basis for Joinder . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 470

23.4. Motions for a Severance of Charges on the Ground of Prejudicial Joinder . . . . . . . . . . 471

23.5. Consolidation of Counts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 472

B. Motions Challenging the Misjoinder of Defendants or Seeking Severance of Defendants . . . . . . . . . . . . . . . . . . . . . . . . . . 472

23.6. Introduction: The Problem of Joined Defendants; Overview of the Possible Remedies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 472

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23.7. Deciding Whether to Oppose a Joint Trial of Defendants . . . . . . . . . . . . . . . . . . . . . . . 473

23.8. Motions Challenging Misjoinder of Defendants. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 475

23.9. Motions for a Severance of Defendants on the Ground of Prejudicial Joinder . . . . . . . 475

23.9.1. Severance on the Basis of a Co-defendant’s Confession Implicating the Defendant. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 476

23.9.2. Severance on the Basis of the Defendant’s Need To Call the Co-defendant as a Witness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 478

23.9.3. Severance on the Basis of the Defendants’ Conflicting and IrreconcilableDefenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 479

23.9.4. Severance on the Basis of the Disparity of the Evidence Against the Defendants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 480

23.10. Defense Motions for Consolidation of Defendants. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 480

Chapter 24

Suppression Hearings

24.1. The Timing of the Suppression Hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 481

24.2. Defense Goals and Strategies at a Suppression Hearing. . . . . . . . . . . . . . . . . . . . . . . . . 481

24.3. Procedural Aspects of the Suppression Hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 483

24.3.1. The Defense Response When a Prosecution or Defense Witness Fails To Appear. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 483

24.3.2. Waiving the Defendant’s Presence in Suppression Hearings That Involve anIdentification Suppression Claim . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 485

24.3.3. Enforcing the “Rule on Witnesses” in a Suppression Hearing . . . . . . . . . . . . . . 486

24.3.4. Who Proceeds First in the Suppression Hearing: The Burdens of Production and Persuasion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 487

24.3.5. The Admissibility of Hearsay Testimony in Suppression Hearings . . . . . . . . . . 491

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24.3.6. The Defense Right to Disclosure of Prior Statements of Prosecution Witnesses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 492

24.4. Techniques for Cross-examining Prosecution Witnesses at a Suppression Hearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 493

24.4.1. Examination Techniques When Counsel’s Primary Goal Is To Win theSuppression Hearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 493

24.4.2. Examination Techniques When Counsel’s Primary Goal in Litigating theSuppression Motion Is To Obtain Discovery . . . . . . . . . . . . . . . . . . . . . . . . . . . 495

24.4.3. Examination Techniques When Counsel’s Primary Goal Is To Lay a Foundationfor Impeachment at Trial. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 497

24.4.4. Examination Techniques When Counsel Has a Mixture of Goals at theSuppression Hearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 500

24.4.5. Using Diagrams in Cross-Examination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 501

24.5. Determining Whether to Present the Testimony of the Defendant and Other Defense Witnesses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 501

24.5.1. Testimony by the Defendant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 502

24.5.2. Testimony by Defense Witnesses Other Than the Defendant. . . . . . . . . . . . . . . 504

24.6. Arguing the Motion. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 506

24.6.1. Timing of the Argument; Reasons for Seeking a Continuance. . . . . . . . . . . . . . 506

24.6.2. Order of the Parties’ Arguments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 507

24.6.3. Using Burdens of Production and Persuasion. . . . . . . . . . . . . . . . . . . . . . . . . . . 507

24.6.4. Factors to Consider in Constructing Legal and Factual Arguments . . . . . . . . . . 507

24.7. The Prospect of Appellate Review; Obtaining or Avoiding Findings by the Motions Judge in Order to Improve the Defendant’s Chances on Appeal . . . . . . . . . . . 510

24.8. After the Suppression Hearing: Protecting the Defendant’s Rights at Trial and Preserving Appellate Remedies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 511

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Chapter 25

Motions To Suppress Tangible Evidence

A. Introduction: Tools and Techniques for Litigating Search and Seizure Claims . . . . 514

25.1. Overview of the Chapter and Bibliographical Note . . . . . . . . . . . . . . . . . . . . . . . . . . . . 514

25.2. Constitutional and Statutory Restraints on Searches and Seizures . . . . . . . . . . . . . . . . . 514

25.2.1. General Principles of Fourth Amendment Law . . . . . . . . . . . . . . . . . . . . . . . . . 514

25.2.2. State Constitutional Protections Against Searches and Seizures . . . . . . . . . . . . 516

25.2.3. Statutory Provisions Relating to Searches and Seizures. . . . . . . . . . . . . . . . . . . 516

25.3. Analyzing Search and Seizure Issues: The Questions to Ask. . . . . . . . . . . . . . . . . . . . . 517

B. On-the-Street Encounters with the Police: Arrests, Searches Incident to Arrest, Terry Stops, Terry Frisks, and Other Encounters . . . . . . . . . . . . . . . . . . . . . . . . 522

25.4. The Spectrum of On-the-street Encounters Between Citizens and the Police: Contacts; Terry Stops; Arrests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 522

25.4.1. Contacts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 522

25.4.2. The Dividing Line Between Contacts and “Seizures” Within the Meaning of the Fourth Amendment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 523

25.4.3. Terry Stops . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 525

25.4.4. Arrests. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 526

25.4.5. “Custody” for Purposes of the Miranda Doctrine. . . . . . . . . . . . . . . . . . . . . . . . 527

25.5. Tactical Reasons for Seeking a Categorization of Police Conduct as an Arrest or as a Terry Stop. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 527

25.6. Criteria for Categorizing a Restraint (That Is, Any Seizure of the Person) as a Terry Stop on the One Hand or an Arrest on the Other . . . . . . . . . . . . . . . . . . . . . . . . . 528

25.6.1. The Length of the Restraint . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 529

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25.6.2. Whether the Police Transported the Defendant from the Location of the Stop. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 531

25.6.3. The Nature of the Setting in Which the Detention Takes Place . . . . . . . . . . . . . 532

25.6.4. Whether the Detention Was for the Purpose of Interrogation. . . . . . . . . . . . . . . 534

25.7. Circumstances Justifying an Arrest. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 534

25.7.1. Authorization by Statute or Common Law. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 534

25.7.2. Arrest warrants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 535

25.7.3. Arrests Without a Warrant: The Basic Authorizations for Warrantless Arrest in Felony and Misdemeanor Cases Respectively. . . . . . . . . . . . . . . . . . . 535

25.7.4. The Probable Cause Requirement for Arrest . . . . . . . . . . . . . . . . . . . . . . . . . . . 537

25.8. Searches Incident to Arrest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 539

25.8.1. The “Search Incident to Arrest” Doctrine. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 539

25.8.2. Searches of Containers in the Possession of Arrested Persons. . . . . . . . . . . . . . 541

25.8.3. “Inventory” Searches Incident to Incarceration . . . . . . . . . . . . . . . . . . . . . . . . . 545

25.8.4. Search Prior to the Point of Arrest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 546

25.9. Circumstances Justifying a Terry Stop . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 547

25.10. Circumstances Justifying a Terry Frisk; The Plain Touch Doctrine. . . . . . . . . . . . . . . . 549

25.11. Factors Commonly Relied on by the Police to Justify an Arrest or a Terry Stop or Frisk . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 551

25.11.1. “High Crime Neighborhood” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 551

25.11.2. Failure To Respond to Police Inquiry; Flight . . . . . . . . . . . . . . . . . . . . . 552

25.11.3. Furtive Gestures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 554

25.11.4. Arrests and Terry Stops Based on Tips from Informants . . . . . . . . . . . . 555

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25.12. Police Seizures of Objects from the Defendant’s Person; Police Demands That aDefendant Hand Over an Object in His or Her Possession. . . . . . . . . . . . . . . . . . . . . . . 555

25.13. The Defendant’s Alleged Abandonment of Contraband Upon the Arrival of the Police:The “Dropsie” Problem. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 556

25.14. Post-arrest Custodial Treatment of the Defendant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 558

C. Police Entry and Search of Dwellings or Other Premises . . . . . . . . . . . . . . . 562

25.15. The Threshold Issue: Defendant’s Expectation of Privacy. . . . . . . . . . . . . . . . . . . . . . . 562

25.15.1. Introduction to the Concepts of Constitutionally Protected Interests and“Standing” To Raise Fourth Amendment Claims. . . . . . . . . . . . . . . . . . 562

25.15.2. Expectation of Privacy; Areas in Which a Defendant Will Ordinarily BeDeemed To Have the Requisite Expectation . . . . . . . . . . . . . . . . . . . . . 562

25.15.3. “Curtilage” and “Open Fields”; Multifamily Apartment Complexes . . . 565

25.15.4. Police Search or Seizure of an Object Belonging to the Defendant fromPremises in Which the Defendant Has No Privacy Interest . . . . . . . . . . 568

25.15.5. “Automatic Standing”. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 569

25.16. Police Entry of Premises: General Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 569

25.17. Entry of Premises Pursuant to a Search Warrant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 570

25.17.1. “Bare Bones” Affidavits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 572

25.17.2. Improper Multi-unit Warrant Applications. . . . . . . . . . . . . . . . . . . . . . . 573

25.17.3. Affidavits Containing “Deliberate Falsehoods” or Statements Manifestinga “Reckless Disregard for the Truth” . . . . . . . . . . . . . . . . . . . . . . . . . . . 573

25.17.4. Warrants Based on Tainted Evidence . . . . . . . . . . . . . . . . . . . . . . . . . . . 574

25.17.5. A Neutral and Detached Magistrate . . . . . . . . . . . . . . . . . . . . . . . . . . . . 574

25.17.6. The Particularity Requirement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 575

25.17.7. Scope of the Search Permitted in Executing a Warrant . . . . . . . . . . . . . 576

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25.18. Warrantless Entries of Buildings and Searches on Consent . . . . . . . . . . . . . . . . . . . . . . 578

25.18.1. Voluntariness of the Consent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 578

25.18.2. Authority To Consent: Consent by a Party Other Than the Defendant. . 581

25.18.3. Application of the “Private Search” Doctrine to Home Entries by LawEnforcement Officers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 583

25.19. Warrantless Entry for the Purpose of Making a Valid Arrest . . . . . . . . . . . . . . . . . . . . . 584

25.20. Warrantless Entry Under “Exigent Circumstances” . . . . . . . . . . . . . . . . . . . . . . . . . . . . 587

25.21. “Knock and Announce” Requirements: Restrictions upon the Manner of Police Entry. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 591

25.22. Scope of Permissible Police Activity after Entering the Premises . . . . . . . . . . . . . . . . . 593

25.22.1. The Requisite Relationship Between Police Activity Inside the Dwelling and the Purpose of the Entry . . . . . . . . . . . . . . . . . . . . . . . . . . 593

25.22.2. Police Officers’ Search and Seizure of Objects While Searching thePremises; The “Plain View” Exception to the Warrant Requirement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 594

25.22.3. Detention and Searches of Persons Found on the Premises . . . . . . . . . . 597

25.22.4. “Protective Sweep” of the Premises . . . . . . . . . . . . . . . . . . . . . . . . . . . . 599

D. Automobile Stops, Searches, Inspections, and Impoundments . . . . . . . . . . . 600

25.23. The Threshold Issue: Defendant’s Interest in the Automobile or Expectation of Privacy Inside It . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 600

25.24. Evidentiary Searches of Automobiles: The “Automobile Exception” to the Warrant Requirement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 602

25.25. Inventory Searches of Impounded Vehicles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 604

25.26. Searches of Automobiles Incident to the Arrest of the Driver or Occupants . . . . . . . . . 606

25.27. “Terry Stops” of Automobiles and Attendant Searches . . . . . . . . . . . . . . . . . . . . . . . . . 608

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25.28. Traffic Stops and Attendant Searches. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 608

25.29. License Checks; Stops of Automobiles at Roadblocks and Checkpoints. . . . . . . . . . . . 611

25.30. Border Searches of Automobiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 615

E. Surveillance by Law Enforcement Agents . . . . . . . . . . . . . . . . . . . . . 616

25.31. Electronic Eavesdropping and Wiretapping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 616

25.32. Telephone Wiretapping. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 620

25.33. Other Forms of Electronic and Nonelectronic Surveillance . . . . . . . . . . . . . . . . . . . . . . 621

F. Probable Cause or Articulable Suspicion Based on Information Obtained from Other Police Officers or Civilian Informants . . . . . . . . . . . . . . . 624

25.34. Police Action Based on Information Learned from Other Police Officers . . . . . . . . . . . 624

25.35. Police Action Based on Information Learned from a Civilian Informant. . . . . . . . . . . . 625

25.35.1. The General Standard . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 625

25.35.2. “Veracity” of the Informant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 627

25.35.3. The Informant’s “Basis of Knowledge” . . . . . . . . . . . . . . . . . . . . . . . . . 629

25.35.4. Partial Corroboration of the Informant’s Statement Through PoliceInvestigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 630

25.35.5. Disclosure of the Informant’s Name at the Suppression Hearing. . . . . . 631

G. Settings Governed by Specialized Fourth Amendment Standards. . . . . . . . . 631

25.36. “Administrative” Searches of Commercial Premises . . . . . . . . . . . . . . . . . . . . . . . . . . . 631

25.37. Searches of a Probationer’s or Parolee’s Residence . . . . . . . . . . . . . . . . . . . . . . . . . . . . 632

25.38. Searches and Seizures of Students in School . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 634

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H. Derivative Evidence: Fruits of Unlawful Searches and Seizures. . . . . . . . . . . . . 638

25.39. The Concept of “Derivative Evidence”: Evidence That Must Be Suppressed as the Fruits of an Unlawful Search or Seizure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 638

25.40. Prosecutorial Burden of Disproving “Taint” of Unlawful Search and Seizure . . . . . . . 641

25.41. Relevance of the “Flagrancy” of the Police Conduct in Ascertaining “Taint” . . . . . . . . 643

25.42. Unavailability of “Tainted” Evidence as Justification for Any Subsequent Police Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 645

Chapter 26

Motions To Suppress Confessions, Admissions, and Other Statements of theDefendant

A. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 641

26.1. Strategic Reasons for Seeking Suppression of the Defendant’s Statements, WhetherInculpatory or Exculpatory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 647

B. Involuntary Statements. . . . . . . . . . . . . . . . . . . . . . . . . . . . 647

26.2. General Standard for Assessing Voluntariness. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 647

26.3. Police Coercion Rendering a Statement Involuntary . . . . . . . . . . . . . . . . . . . . . . . . . . . 650

26.3.1. Physical Force or Threat of Force. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 651

26.3.2. Intimidating or Overbearing Circumstances of Interrogation or Detention . . . . 651

26.3.3. Promises of Leniency or Threats of Adverse Governmental Action . . . . . . . . . 652

26.3.4. Tricks or Artifices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 654

26.4. Characteristics of the Defendant That Are Relevant to the Assessment of Voluntariness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 657

26.4.1. Youth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 658

26.4.2. Mental Illness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 660

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26.4.3. Intellectual Disability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 660

26.4.4. Limited Education. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 661

26.4.5. Effects of Drugs or Alcohol . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 661

26.4.6. Lack of Prior Experience With the Police . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 661

26.4.7. Combination of Factors. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 662

C. Miranda Violations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 662

26.5. The Miranda Doctrine Generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 662

26.6. The Precondition for Applicability of Miranda Protections: “Custodial Interrogation” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 664

26.6.1. “Custody” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 664

26.6.2. “Interrogation” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 667

26.7. Validity of the Miranda Warnings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 670

26.8. Validity of the Defendant’s Waiver of Miranda Rights . . . . . . . . . . . . . . . . . . . . . . . . . 672

26.8.1. The Requirement That Miranda Waivers Be Voluntary. . . . . . . . . . . . . . . . . . . 673

26.8.2. The Requirement That Miranda Waivers Be “Knowing and Intelligent” . . . . . 674

26.9. Statements Taken after the Defendant Has Asserted His or Her Miranda Rights to Silence or Counsel. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 678

26.9.1. Sufficiency of the Language Used in Asserting the Right . . . . . . . . . . . . . . . . . 679

26.9.2. Assertion of the Right to Silence . . . . . . . . .