Ch08bCourtroom

© Prentice Hall 2008
Pearson Education, Inc
Upper Saddle River, NJ 07458
Criminal Justice: A Brief Introduction, 7E
by Frank Schmalleger
1
The Courtroom
Work Group and
the Criminal Trial
CHAPTER
8

2
The Courtroom Work
Group: Professional
Courtroom Actors

3
Courtroom Participants
Professional (the
courtroom workgroup)
 Judge
 Prosecuting attorney
 Defense attorney
 Bailiff
 Court reporter
 Clerk of the court
 Expert witnesses
Non-Professional
 Lay witnesses
 Jurors
 Defendant
 Victim
 Spectators
 Press

4
Primary duty  to ensure justice
Responsibilities include:
 Ruling on most matters of the law
 Weighing objections
 Deciding the admissibility of evidence
 Sentencing offenders
 Disciplining disorderly courtroom
attendees
 Deciding guilt or innocence (for bench
trials)
The Judge

5
The chief judge handles administrative
responsibilities if there is no court
administrator. The chief judge:
 Hires staff
 Ensures adequate training of new judges
and staff
 Generally manages court operations
The Judge

6
Judicial Selection
Federal Judges
 Nominated by
President
 Confirmed by
senate
State Judges
 Popular election
 Gubernatorial
appointment
 Missouri Plan
(combines
appointment and
election)

7
 Non-partisan committee creates a list
of possible candidates.
 The governor appoints from the list.
 After a specified time period, the
appointed judge stands for election.
Missouri Plan

8
Judges: Qualifications
At general and appellate levels, judges
must:
 Be a member of the state bar
 Be a licensed attorney
 Hold a law degree (in most
states)
 Attend professional training
In some lower courts, judges may be
elected without educational or other
professional requirements.

9
Prosecuting Attorney
Prosecutors are also referred to as:
solicitor, district attorney, state’s
attorney, county attorney, or
commonwealth attorney.
Federal prosecutors are called U.S.
Attorneys.

10
Prosecutors can be elected or
appointed.
 All but five states elect prosecutors.
Prosecutors are elected for four-year
terms.
 Five states and the federal government
appoint their prosecutors.
Prosecutor

11
 Present the state’s case against the
defendant
 State has the burden of proof
 Supervise staff of assistant district
attorneys
 Serve as quasi-legal advisor to police
 Files appeals on behalf of the state
 Makes presentations to parole boards
Prosecutor’s Responsibilities

12
…decision-making power, based on
the wide range of choices available
to them.
Prosecutorial Discretion

13
Prosecutor decides:
 Whether or not to charge someone with a crime
 Which charges are to be filed against the
defendant
 Whether multiple charges should be filed together
or separately
 When to schedule cases for trial
 Whether or not to accept a negotiated plea
 What evidence to present, including witnesses
 What sentencing recommendations to make
Prosecutorial Discretion

14
Brady v. Maryland (1963)
The U.S. Supreme Court held that the
prosecution is required to disclose to the
defense any exculpatory evidence in its
possession that directly or indirectly relates
to claims of either guilt or innocence.
Disclosure of Evidence

15
U.S. v. Bagley (1985)
The Court ruled that the prosecution must
disclose any evidence in its possession that
the defense requests.
To withhold evidence, even when it does not
directly relate to issues of guilt or
innocence, may mislead the defense into
thinking that such evidence does not exist.
Disclosure of Evidence

16
Imbler v. Patchman (1976)
“State prosecutors are absolutely immune
from liability…for their conduct in initiating
a prosecution and in presenting a State’s
case.”
Burns v. Reed (1991)
A “state prosecuting attorney is absolutely
immune from liability for damages…for
participating in a probable cause hearing,
but not for giving legal advice to the police.”
Prosecutorial Liability

17
Abuse of Discretion
 Not prosecuting friends
 Accepting guilty pleas or reduced charges for
personal consideration
 Overzealous prosecution to gain visibility for
possible re-election
 Scheduling activities to make life difficult for
defendants, in an attempt to put pressure on
them to plead guilty
 Discrimination against minorities
 Withholding exculpatory evidence
Prosecutors may abuse their discretion by

18
The Prosecutor’s
Professional Responsibility
Prosecutors are expected to abide by various
standards of professional responsibility, such
as those found in the American Bar
Association (ABA) Model Rules of
Professional Standards.
Prosecutors are barred from advocating any
fact or position they know is untrue.

19
The defense counsel is a lawyer who:
 Represents the accused
 Participates in plea negotiations
 Prepares a defense
 Calls witnesses
 Refutes cases presented by prosecutor
 Presents arguments at time of sentencing
 Files appeals
Defense Counsel

20
Three Major Categories of Defense
Counsel
1. Private attorney
(retained
counsel)
Have their own legal practices or work
for law firms
Fees can be high
2. Court-assigned
counsel
(assigned
counsel)
Lawyers drawn from a roster of all
practicing attorneys
Fees are paid at a rate set by the
government
3. Public defender Relies on full-time salaried government
staff

21
Criminal Defense
of the Poor
The Sixth Amendment to the U.S.
Constitution guarantees criminal
defendants the effective assistance of
counsel.
Defendants who are unable to pay for
private defense attorneys will receive
adequate representation at all stages of
criminal justice processing.

22
The Court required that states
provide defense counsel for those
defendants who are unable to employ
their own counsel and are charged
with a capital offense.
Powell v. Alabama (1932)

23
The U.S. Supreme Court established
the right of indigent offenders to
have legal counsel appointed for
them in all federal cases.
Johnson v. Zerbst (1938)

24
This case extended the right to
appointed counsel for indigents in all
felony cases.
Gideon v. Wainwright (1963)

25
The U.S. Supreme Court extended
the right of indigent offenders to
have legal representation
in any case where they could lose
their liberty (including misdemeanor
cases).
Argersinger v. Hamlin (1972)

26
The U.S. Supreme Court extended
the right to legal counsel for
juveniles charged with a delinquent
act.
In re Gault (1967)

27
Defendants in state courts who are
facing relatively minor charges must
be provided with an attorney at
government expense even when they
face only the slightest chance of
incarceration.
Alabama v. Shelton (2002)

28
Criminal Defense
of the Poor
1. Court-assigned counsel
2. Public defender
3. Contract attorney
Three Types of Programs

29
 Fee paid based on state rate (most
widely used).
 Fee is usually low, raising questions
about the level of commitment of
defense attorneys.
 Roster of local attorneys who are
willing to take cases under established
fees.
Court-Assigned Counsel

30
 Uses full-time salaried attorneys.
 28% of counties nationwide use
this system exclusively.
 64% of counties nationwide use
public defenders as part of their
system.
Public Defender Program

31
 Local attorneys are maintained on
contract to handle all cases.
 This is the least widely used form
of indigent defense.
Contract Attorneys

32
Criticisms relate to funding,
caseload, and quality of defense.
Criticisms of Indigent
Defense System

33
 1% of federally charged
defendants and 3% of state level
defendants represent themselves.
 Faretta v. California (1975)
 Indigents are not required to accept counsel.
They may waive their right and represent
themselves.
Waiving the Right to an
Attorney

34
Defendants who are not pleased with
their provided lawyer can request a
new one, but the court must
determine that there is a “clear
reason” for reassignment.
Requesting a Different
Attorney

35
State-supported indigent defense
systems may also be called on to
provide representation during
appeals. If an attorney believes that
such an appeal would be frivolous,
he or she can request to be
withdrawn from the case.
Appeals and Indigent
Defense

36
The Ethics of Defense
 Canons of Professional Ethics
 Model Code of Professional
Responsibility
 Model Rules of Professional
Conduct
 Standards for Criminal Justice
ABA Ethical Guidelines

37
The bailiff is a law enforcement officer who:
 Ensures order in the courtroom
 Announces the judge’s entry
 Calls witnesses
 Maintains control over the defendant if the
person has not been released on bail
 Maintains physical custody of and
supervises jury during deliberations and
sequestering
Bailiff

38
Many states employ court
administrators:
 Facilitate the smooth running of courts in
particular judicial districts
 Provide uniform court management
Local Court Administrators

39
The court reporter, also called the
stenographer or court recorder,
creates a written record of all court
proceedings.
Transcripts are necessary for
appeals.
Court Reporter

40
The duties of the clerk of court include:
 Maintaining all records of criminal cases
and verdicts
 Preparing the jury pool and issuing jury
summonses
 Subpoenaing witnesses
 Marking physical evidence for
identification at trial
 Swearing in witnesses
Clerk of Court

41
Expert Witness
Expert witnesses have special
knowledge and skills in an established
profession or technical area. Usually,
this person is paid to testify.
Unlike lay witnesses, they may express
opinions and draw conclusions in their
testimony.

42
Outsiders:
Nonprofessional
Courtroom
Participants

43
 Non-expert witnesses are called lay
witnesses. They may be:
 Eyewitnesses
 Character witnesses
 Victim
 Lay witnesses are subpoenaed to
testify to that which they have
direct knowledge of.
Lay Witness

44
Article III of the U.S. Constitution
 “trial of all crimes…shall be by jury”
 States determine the number of jurors.
Most use 12, plus 2 alternates.
 Jury duty…a civic responsibility
Jurors

45
 Defendants have the right to have
their cases heard before a jury of
their peers.
 Peer juries are those composed of a
representative cross-section of the
community.
Peer Juries

46
 In 2005, the American Bar
Association released a set of 19
principles intended to guide jury
reform…to improve treatment of
jurors and modernize the system.
Jury Reform

47
 Not all crimes have clearly
identifiable or surviving victims.
 Victims often face hardships as
they participate in the court
process.
The Victim

48
 Generally, they must be present at
trial.
 Defendants exercise choice in:
 Selecting and retaining counsel
 Planning a defense strategy with counsel
 Deciding what information to provide counsel
 Deciding what to plea
 Deciding whether or not to testify
 Determining whether or not to file an appeal
The Defendant

49
 Spectators and the press may be
present at trial; with more at higher-
profile cases.
 The right of reporters to be there is
supported by the Sixth Amendment’s
requirement of a public trial.
 Most state courts allow cameras in the
courtroom…for television coverage.
Spectators and the Press

50
The Criminal Trial

51
The Nature and Purpose
of the Criminal Trial
 The trial process is highly
formalized and governed by rules
of evidence and other procedural
guidelines, as well as informal
rules and professional
expectations.
 The purpose is to determine the
defendant’s guilt or innocence.

52
Factual vs. Legal Guilt
Factual Guilt
The defendant is
actually
responsible for
the crime of which
he is accused.
Legal Guilt
The defendant is
found guilty as
charged.

53
The philosophy of the adversarial
system is that the most just outcomes
will occur when both sides are
allowed to argue their cases
effectively and vociferously before a
fair and impartial jury.
Adversarial System

54
There are eight stages of a criminal trial.
1. Trial initiation
2. Jury selection
3. Opening statements
4. The presentation of evidence
5. Closing arguments
6. The judge’s charge to the jury
7. Jury deliberations
8. The verdict
Stages in a Criminal Trial

55
Stages in a Criminal Trial

56
Trial Initiation
and the Speedy Trial
The Sixth Amendment guarantees
that in “all criminal prosecutions,
the accused shall enjoy the right
to a speedy and public trial.”

57
The Speedy Trial:
Supreme Court Cases
Klopfer v. North Carolina (1967)
 A speedy trial is a fundamental
guarantee of the U.S. Constitution.
Baker v. Wingo (1972)
 The Sixth Amendment can be violated
even if the defendant does not object to
delays.
Strunk v. U.S. (1973)
 Denial of a speedy trial should result in
dismissal of all charges.

58
Federal Speedy Trial Act (1974)
 Prosecution must seek indictment or
information within 30 days of arrest.
 Trial must begin within 70 days after
indictment.
 Trial start can extend to 180 days if the
defendant is not available or if
witnesses cannot be called within the 70-
day limit.

59
U.S. v. Taylor (1988)
 Court ruled that when delay is the result of
actions by the defendant, the 70-day rule does
not apply.
Doggett v. U.S. (1992)
 “Even delay occasioned by the Government’s
negligence creates a prejudice that compounds
over time, and at some point, as here, becomes
intolerable.”
Federal Speedy Trial Act Cases

60
State Speedy Trial Acts
 Many states have enacted their own
speedy trial legislation.
 Most set a limit of 90 or 120 days as a
reasonable period of time for a trial to
begin.

61
 The Sixth Amendment guarantees
the right to an impartial jury.
 Jurors are expected to be
unbiased and free of preconceived
notions about guilt or innocence.
 Prosecution and defense attorneys
question potential jurors during
the process of voir dire.
Jury Selection

62
Jury Selection: Ensuring
Impartiality
 Challenge to the array
 Challenge for cause
 Peremptory challenge
Both the prosecution and defense
can use challenges to remove
prospective jurors from the jury pool.

63
Challenge to the Array
 Claims that the pool from which
potential jurors are to be selected
is not representative of the
community.
 Argued in a motion before voir
dire.

64
Challenge for Cause
 Claims that a prospective juror
cannot be impartial or fair.
 Typically, each side has an
unlimited number of such
challenges.

65
Peremptory Challenge
… removes potential jurors without
the need to give a reason. Typically,
each side has a limited number of
such challenges.
Federal government and states vary in the
number of such challenges allowed.

66
Scientific Jury Selection
…seeks to take advantage of
peremptory challenges by using
social science research techniques
to select members of a jury.
 Focus groups and surveys are used to
assess the likelihood that an individual
will be predisposed to a particular
outcome.
 Some people criticize this.

67
Sequestered Jury
Judges decide whether or not a jury
should be sequestered—isolated
from the public during the course of
a trial and throughout the
deliberation process.

68
Jury Selection and Race
Batson v. Kentucky (1986)
 The use of peremptory challenges
for purposeful discrimination
constitutes a violation of the
defendant’s right to an impartial
jury.

69
The presentation of information to
the jury begins with opening
statements—the initial statements
of the attorneys, describing the
facts that he or she intends to
present during trial to prove the
case.
Opening Statements

70
 Evidence—anything useful to a
judge or jury in deciding the facts
of a case.
 First, prosecution presents its
evidence. The defense follows.
The Presentation of
Evidence

71
Types of Evidence
Direct evidence Facts that need not be
interpreted (photographs,
testimony)
Circumstantial
evidence
Requires judge or jury to make
inferences or draw conclusions
Real evidence Physical material or traces of
activity, introduced by means of
“exhibits”

72
Judges decide which evidence can be
presented to the jury.
 Evidence must be relevant.
 The probative value must be weighed against
the potential inflammatory or prejudicial
qualities of the evidence.
The Evaluation of
Evidence

73
Testimony—oral evidence presented by
witnesses, including victims, police officers,
the defendant, and specialists.
 Witnesses must be competent to testify.
 The defendant has the Fifth Amendment
right not to take the stand.
 Witnesses are subject to direct and cross
examination.
 Witnesses who lie under oath commit
perjury.
The Testimony of
Witnesses

74
37 states allow the use of videotaped
testimony.
32 states allow the use of closed
circuit television.
Children as Witnesses

75
 Hearsay is anything that is not based on
the personal knowledge of a witness.
 The hearsay rule prohibits the use of
“secondhand evidence.”
 Exceptions to the hearsay rule:
 Dying declarations
 Spontaneous statements
 Out-of-court statements (“past recollection
recorded”)
The Hearsay Rule

76
At the conclusion of the trial, both
sides provide the jury with closing
arguments—a narrative summation
of a case presented to a judge or
jury.
Closing Arguments

77
 After closing arguments, the judge
charges the jury to:
 Select a foreperson
 Deliberate
 Return with a verdict
 Judge may remind juries of statutory
laws and requirement of impartiality.
Judge’s Charge to the Jury

78
 Deliberations may take minutes;
some take weeks.
 Many jurisdictions require a
unanimous verdict.
 Some juries are unable to reach a
verdict. These deadlock juries are
called hung juries.
Jury Deliberations and the
Verdict

79
 Many jurors are ignorant of the law
and legal precedent.
 Some jurors personal opinions, biases,
and emotions interfere with
objectivity.
 Some jurors fear personal retaliation.
Some critics of the jury system call for
professional juries.
Problems with the Jury System

80
Improving the process may involve:
 Greater unification and reducing the
number of jurisdictions.
 A growing number of court-watch
citizen groups.
 More accurate statistical
measurement of court performance.
Improving the Adjudication
Process

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