Transcription
TRIAL MANUAL 6FOR THE DEFENSEOF CRIMINAL CASESAnthony G. Amsterdam and Randy Hertz
TRIAL MANUAL 6FOR THE DEFENSEOF CRIMINAL CASESAnthony G. Amsterdam and Randy Hertz 2016 by The American Law Institute. All rights reservedFirst Edition 1967. Sixth Edition 2016Nothing in this publication should be considered as the rendering of legal advice. Non-lawyersshould seek the advice of a licensed attorney in all legal matters. Readers should assurethemselves that the material in this publication is still current and applicable at the time it isread. 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 verifystatements before relying on them. The materials In this publication reflect the viewpoints of theauthors and do not necessarily express the opinion of The American Law Institute or ALI CLE.
Trial Manual 6 - Citing to the Online-Only VersionThis 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, thiselectronic edition will be replaced online with the document that corresponds to theprinted book.
PART ONE: INTRODUCTION AND OVERVIEWChapter 1Introduction1.1.The Nature and Purpose of the Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11.2.The Structure of the Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21.3.The Attorney-Client Relationship . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2Chapter 2Outline and Flow-Chart of a Criminal Case2.1.Different Procedures for Offenses of Differing Seriousness . . . . . . . . . . . . . . . . . . . . . . . 62.2.Summary Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62.2.1. Complaint and Warrant or Summons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62.2.2. Arrest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72.2.3. Stationhouse Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72.2.4. Trial. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82.2.5. Disposition and Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92.3.Misdemeanor Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102.3.1. Complaint and Warrant or Summons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102.3.2. Arrest and Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112.3.3. First Court Appearance: The Preliminary Hearing . . . . . . . . . . . . . . . . . . . . . . . . 112.3.4. Preliminary Arraignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12i
2.3.4.1.Procedure in Jurisdictions That Do Not Afford a FullPreliminary Hearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122.3.4.2.Procedure in Jurisdictions That Afford a FullPreliminary Hearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132.3.5. Preliminary Examination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142.3.6. Information and Arraignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152.3.7. Trial; Disposition; Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162.4.Felony Procedure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162.4.1. Arrest and Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162.4.2. Preliminary Hearing; The Role of the Prosecutor. . . . . . . . . . . . . . . . . . . . . . . . . 172.4.3. The Grand Jury . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172.4.4. Relation of the Grand Jury to Preliminary Hearing . . . . . . . . . . . . . . . . . . . . . . . 182.4.5. Arraignment; Trial; Disposition; Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182.5.Flow-Chart of Summary, Misdemeanor, and Felony Procedures. . . . . . . . . . . . . . . . . . . 20PART TWO: INITIAL STAGES OF THE CASE THROUGH ARRAIGNMENTChapter 3The Lawyer’s Entrance into the Case – First Steps3.1.Introduction: Stages at Which the Lawyer May Enter the Case; The Need to MoveQuickly . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21A. Representing Clients Who Have Been Arrested and Are Still at the Police Station. . . . 223.2.Police Practices Following Arrest. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223.2.1. Logging in. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22ii
3.2.2. Interrogation and Other Investigative Procedures. . . . . . . . . . . . . . . . . . . . . . . . . 233.2.3. Defendant’s Rights of Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233.2.4. Booking or Slating; Fingerprinting; and Photographing. . . . . . . . . . . . . . . . . . . . 243.3.Responding to a Phone Call from a Recently Arrested Client Who Is at the Police Stationor from a Relative or Friend of the Client. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253.3.1. A Phone Call from a Client Who Is At the Police Station: Ascertaining theClient’s Whereabouts; Assuring the Privacy of the Conversation . . . . . . . . . . . . 253.3.2. A Phone Call from a Relative or Friend of a Client WhoIs At thePolice Station: Locating the Client and Gaining Access to the Client ByTelephone . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263.4.3.3.2.1.The Matters to Cover in the Phone Conversation with theClient’s Relative or Friend . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263.3.2.2.Locating the Client . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273.3.2.3.Keeping Records of Calls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 283.3.2.4.Persuading a Police Officer to Allow Counsel to Speak with aRecently Arrested Client on the Telephone . . . . . . . . . . . . . . . . . 28Matters to Cover in a Telephone Conversation With A Client Who is Presentlyin Police Custody . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293.4.1. Preliminary Matters to Discuss with the Client . . . . . . . . . . . . . . . . . . . . . . . . . . 293.4.2. Protecting the Client from Police Interrogation . . . . . . . . . . . . . . . . . . . . . . . . . . 303.4.3. Cautioning the Client Against Speaking with Cellmates or Visitors . . . . . . . . . . 313.4.4. Advising the Client About Lineups, Show-ups, and OtherPolice Investigative Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 323.4.5. Advising the Client How to Deal with News Reporters . . . . . . . . . . . . . . . . . . . . 333.4.6. Concluding the Telephone Conversation with the Client in Police Custody . . . . 34iii
3.5.Telephone Conversations with the Police on Behalf of a Client Who IsPresently in Police Custody . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 353.6.Counsel’s Activities on the Client’s Behalf at the Police Station. . . . . . . . . . . . . . . . . . . 383.7.Actions That Can Be Taken to Protect the Client’s Rights in Lieu of aTrip to the Police Station . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 423.8.Securing the Client’s Release on Bail or Own Recognizance or By Habeas Corpus . . . . 423.8.1. Release on the Client’s Own Recognizance (“O.R.”). . . . . . . . . . . . . . . . . . . . . . 423.8.2. Stationhouse Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 433.8.3. Seeking O.R. or a Lower Bail From a Magistrate or Court . . . . . . . . . . . . . . . . . 433.8.4. Habeas Corpus . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45B. The “Wanted” Client: Representing Clients Who Have Not Yet Been ArrestedBut Who Are Being Sought by the Police . . . . . . . . . . . . . . . . . . . . . . . . 463.9.The Initial Phone Call from the “Wanted” Client or from Someone Concernedabout the Client . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 463.10.Making Inquiries of the Police and Prosecutor. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 473.11.The Follow-up Conversation with the Client . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 483.11.1. Counseling the Client on the Advisability of Surrender . . . . . . . . . . . . . . . . . . . . 483.11.2. Other Matters to Discuss with the Client . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 493.12.Arranging the Surrender . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 493.13.The Surrender . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50C. Appointment or Retainer at Preliminary Arraignment. . . . . . . . . . . . . . . . . . . 513.14.Preliminary Arraignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 513.15.Insistence on Adequate Time . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 513.16.Preliminary Examination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51iv
3.17.Pleas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 523.18.Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52D. 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 thePolice Station . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 533.19.Counsel’s Expanded Opportunities and Responsibilities if the Client is At Large Prior toPreliminary Arraignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53E. Considerations Relating to the First Interview with the Client . . . . . . . . . . . . 543.20.Pressures on the First Interview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 543.21.The Client in Custody . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 543.21.1. Preparing to Address the Client’s Concerns and Questions . . . . . . . . . . . . . . . . . 543.21.2. Matters to Cover in the Interview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 553.21.3. “Rights Card” to Give to a Client in Custody. . . . . . . . . . . . . . . . . . . . . . . . . . . . 563.22.The Wanted Client. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 573.23.Client at Preliminary Arraignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 583.23.1. Ensuring That There Is Sufficient Time for An Adequate Interview . . . . . . . . . . 583.23.2. Essential Information to Obtain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 593.23.3. Request for a Continuance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59Chapter 4Bail4.1.Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 614.2.Arrest and Conditional Release . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61v
4.3.The Right to Bail. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 624.3.1. State Constitutional and Statutory Guarantees of Bail . . . . . . . . . . . . . . . . . . . . . 624.3.2. Federal Constitutional Rights to Bail in State Criminal Cases . . . . . . . . . . . . . . . 664.3.3. Capital Cases. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 684.4.Amount of Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 704.5.Questionnaire for Obtaining Information Pertinent to Bail from Criminal . . . . . . . . . . . 71Defendants4.6.Bail and the Indigent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 834.7.Procedures for Setting Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 844.8.Types of Bail Allowable . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 844.9.Choice Among the Types of Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 854.10.Additional Conditions Imposed Upon Defendants Released on Bail or O.R. . . . . . . . . . 864.11.Procedures for Posting Bail. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 874.12.Problems in Getting Bail Set or Posting Bond . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 874.12.1. Problems in Locating the Defendant or Identifying the Charges . . . . . . . . . . . . . 874.12.2. Problems in Locating Officials to Set or Receive Bond . . . . . . . . . . . . . . . . . . . . 884.12.3. “Hold” Orders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 894.13.Review and Renewal of Efforts to Have Bail Set . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 904.14.Federal Habeas Corpus to Secure Release on Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 914.15.Judicial Modification of the Amount of Bail or Conditions of Release;Revocation of Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 924.15.1. Reduction of the Amount of Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 924.15.2. Increase in the Amount of Bail; Revocation of Bail . . . . . . . . . . . . . . . . . . . . . . . 93vi
4.16.Duration of Bail; Effect of Additional or Superseding Charges . . . . . . . . . . . . . . . . . . . . 934.17.Legal Obligations and Consequences of the Bond Contract and Bail Status . . . . . . . . . . 944.18.Forfeiture. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 954.19.To Bail or Not to Bail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95Chapter 5State-Paid Assistance for the Defense: ObtainingState Funding for Counsel’s Time and for Defense Services5.1.Availability of State Funding Under Local Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 975.1.1. Funding for Counsel’s Time . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 975.1.2. Funding for Defense Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 985.2.Rights Under the Equal Protection Clause . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 995.3.Rights Under the Due Process Clause. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1025.4.Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103Chapter 6Interviewing the Client6.1.Establishing the Lawyer-Client Relationship . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1066.2.Preparing for the Interview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1066.3.Putting the Client at Ease and Establishing a Relationship of Trust. . . . . . . . . . . . . . . . 1076.4.Giving the Client a Business Card . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1086.5.Explaining the Attorney-Client Relationship . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108vii
6.6.Settling the Roles of Attorney and Client and Explaining the Need for a TruthfulRendition of the Facts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1096.7.Note-taking During the Interview: Explaining the Need for Taking Notes; Techniques forTaking Notes in the Least Disruptive Manner . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1106.8.Interviewing the Client About the Facts of the Offense . . . . . . . . . . . . . . . . . . . . . . . . . 1136.9.Interviewing the Client About Facts Needed for Suppression Motions . . . . . . . . . . . . . 1146.10.Complaints of Brutality or Mistreatment; Other Custodial Complaints . . . . . . . . . . . . . 1156.11.Fee-setting. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1166.12.Advice to the Client at the Conclusion of the Interview. . . . . . . . . . . . . . . . . . . . . . . . . 1176.13.Offering to Contact the Client’s Family . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1196.14.Subsequent Interviews with the Client . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1206.15Interview Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121Chapter 7Case Planning7.1.Evolving a General Strategy for Defending the Case: Reaching and Refining aSet of Aims and Objectives. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1517.2.Developing a Theory of the Case and Using It to Guide Case Planning . . . . . . . . . . . . 1527.2.1. Developing the Defense Theory of the Case. . . . . . . . . . . . . . . . . . . . . . . . . . . . 1527.2.1.1.Defense Theories That Refute the Prosecution’sAssertion That a Crime Was Committed . . . . . . . . . . . . . . . . . . 1537.2.1.2.Defense Theories That Refute the Prosecution’sAssertion That the Defendant Was the Perpetrator. . . . . . . . . . . 1547.2.1.3.The Building Blocks for Constructing a DefenseTheory of the Case . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 157viii
7.2.1.4.Implications of the Choice of Defense Theory forTrial Preparation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1597.2.2. Gathering the Facts Needed to Support the Defense Theory of the Case . . . . . . 1607.2.3. Filing Motions That Are Consistent with the Theory of the Case . . . . . . . . . . . 1627.2.4. Setting in Motion the Process Needed to Prepare for Sentencing in theEvent of Conviction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1627.3.The Role of Narrative Theory in Case Planning. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1637.3.1. The Nature of Narrative and Its Importance in Litigation. . . . . . . . . . . . . . . . . . 1637.3.2. The Specific Uses that a Litigator Can Make of Narrative. . . . . . . . . . . . . . . . . 1667.3.3. The Basic Structure and Process of Narrative. . . . . . . . . . . . . . . . . . . . . . . . . . . 1707.3.4. The Special Features of Narrative in a Jury-Trial Setting. . . . . . . . . . . . . . . . . . 172Chapter 8Dealings with the Police and Prosecutor8.1.General Considerations in Dealing with the Police and Prosecutor . . . . . . . . . . . . . . . . 1748.1.1. Counsel’s Goals in Contacts with the Police and Prosecutor . . . . . . . . . . . . . . . 1748.1.2. The Importance of Amiability and Honesty . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1748.1.3. Discussions With the Police Generally. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1748.1.4. Discussions With the Prosecutor Generally . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1758.2.Navigating a Criminal Justice System in Which the Police and ProsecutorTypically Exercise Discretion on Many Important Issues . . . . . . . . . . . . . . . . . . . . . . . 1758.2.1. The Exercise of Discretion by the Police . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1758.2.2. The Exercise of Discretion by the Prosecutor. . . . . . . . . . . . . . . . . . . . . . . . . . . 1768.2.3. Factors Influencing Discretion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177ix
8.2.4. The Role of Defense Counsel in Navigating theDiscretion-Riddled System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1788.3.Early Dealings with the Police . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1798.3.1. Initial Discussions with the Arresting and Investigating Officers . . . . . . . . . . . 1798.3.2. Protecting the Client from Police Investigative Activity . . . . . . . . . . . . . . . . . . 1798.3.3. Lobbying the Police to Drop or Reduce the Charges or to Agree to aDiversion Arrangement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1828.4.Early Dealings with the Prosecutor. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1838.5.Talking with a Complainant About Dropping the Charges . . . . . . . . . . . . . . . . . . . . . . 1848.6.Offers to Cooperate with the Police or Prosecution . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185Chapter 9Defense InvestigationA. General Aspects of Defense Investigation . . . . . . . . . . . . . . . . . . . . . 1879.1.Introduction: Scope of the Chapter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1879.2.Using the Defense Theory of the Case to Guide the Investigation . . . . . . . . . . . . . . . . . 1879.3.Starting Promptly and Preserving Perishable Evidence . . . . . . . . . . . . . . . . . . . . . . . . . 1889.4.Use of an Investigator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1899.5.The Importance of Personally Observing the Scene of the Crime andOther Relevant Sites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1909.6.Enlisting the Aid of the Client’s Family . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191B. Locating and Interviewing Defense Witnesses . . . . . . . . . . . . . . . . . 1929.7.The Need to Interview Any Witnesses Whom the Defendant Wishes to Call . . . . . . . . 1929.8.Locating Witnesses. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192x
9.9.Keeping Track of Witnesses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1939.10.Interviewing Defense Witnesses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1949.11.Refraining from Taking Written Statements of Defense Witnesses orTaking Verbatim Interview Notes in Jurisdictions Where They AreDiscoverable by the Prosecution. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 196C. Interviewing and Taking Statements from Adverse Witnesses . . . . . . . . . . . 1969.12.The Unique Aspects of Interviewing Adverse Witnesses. . . . . . . . . . . . . . . . . . . . . . . . 1969.13.Taking Statements from Adverse Witnesses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1979.13.1. The Reasons for Taking Statements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1979.13.2. Arranging To Be Accompanied to Interviews of Adverse Witnesses . . . . . . . . 1989.13.3. Techniques for Taking a Written Statement; Contents of the Statement . . . . . . 1989.13.4. Alternatives to a Signed Statement When the Witness Is Unwilling ToSign a Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1999.14.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. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2009.15.Interviewing Police Officers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2029.16.Interviewing Co-defendants and Uncharged Co-perpetrators. . . . . . . . . . . . . . . . . . . . . 203D. Gathering Police Reports, Other Documents, and Physical EvidenceThat May Be Needed as Defense Exhibits at a Motions Hearing or at Trial . . . . . . 2039.17.The Need to Gather the Materials, and the Timetable . . . . . . . . . . . . . . . . . . . . . . . . . . 2039.18.Methods for Gathering the Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2049.19.Preserving Real Evidence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2059.20.Types of Materials to Gather or Generate. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206xi
Chapter 10Summary of Things to Do Before First Court Appearance10.1.Checklist of Things to Do for an Arrested Client Between the Time ofArrest and the Client’s First Court Appearance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21510.2.A Note on the Coroner’s Inquest and Similar Institutions . . . . . . . . . . . . . . . . . . . . . . . 217Chapter 11Preliminary Hearing11.1.Nature and Functions of the Preliminary Hearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21911.1.1. The Formal Functions of the Preliminary Hearing . . . . . . . . . . . . . . . . . . . . . . . 21911.1.2. The Trend Toward Bifurcation of the Preliminary Hearing . . . . . . . . . . . . . . . . 22011.2.The Federal Constitutional Rights to a Prompt Post-arrest Determination ofProbable Cause and to a Prompt Preliminary Appearance . . . . . . . . . . . . . . . . . . . . . . . 22111.3.The State-Law Right to a Full Preliminary Examination . . . . . . . . . . . . . . . . . . . . . . . . 22311.4.Challenging the Prosecutor’s Use of a Supervening Indictment to Foreclose aPreliminary Examination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22411.5.Defense Rights at the Preliminary Hearing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22711.5.1. Right to Counsel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22711.5.2. Right To Cross-Examine Prosecution Witnesses and To Present DefenseWitnesses; Right To Subpoena Witnesses; Right to Disclosure ofExculpatory and Impeaching Evidence. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22711.5.3. Right to Transcription of the Proceedings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22911.6.Procedures To Challenge Denial of Rights to or at a Preliminary Hearing . . . . . . . . . . 22911.6.1. Before the Hearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229xii
11.6.2. After the Hearing or Bind-over . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23011.7.Defensive Conduct of the Preliminary Arraignment . . . . . . . . . . . . . . . . . . . . . . . . . . . 23111.7.1. Pleading. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23111.7.2. Technical Objections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23211.7.3. The Decision Whether to Demand or Waive Preliminary Examination. . . . . . . 23211.8.Defensive Conduct of the Preliminary Examination . . . . . . . . . . . . . . . . . . . . . . . . . . . 23311.8.1. The Nature of the Proceedings at Preliminary Examinat
Anthony G. Amsterdam & Randy Hertz, Trial Manual 6 for the Defense of Criminal Cases § 28.1.2 (6th ed. 2016). Anthony G. Amsterdam & Randy Hertz, Trial Manual 6 for the Defense of Criminal 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 .
