Rules of Criminal Evidence Test 1 Study Guide: Ch.1-4

Prima facie case

A civil or criminal case that is so strong that the opponent must respond with rebutting evidence to avoid losing the case.

Strickland versus. Washington 466 U.S. 668, 104 S.Ct. 2052-1984

A convicted defendant claiming inadequate or ineffective defense must prove: ¡the defense fell below an objective standard of reasonableness; and ¡a reasonable probability exists that the results would have been different but for the lawyer's errors.

Bousley versus. United States 523 U.S. 614-1998

A defendant's guilty plea must be "voluntarily and intelligently" made in order to be constitutionally valid. If circumstances show that the defendant was misinformed by either the court or the prosecutor, the guilty plea is invalid.

Affirmative defense

A defense that admits the defendant committed the crime charged but asserts that the defendant should not be convicted.

United States versus Kebodeaux 133 S.Ct. 2496-2013

A former military serviceman was convicted of failing to register under SORNA based on a conviction of a sex offense while in the service. The court held that Congress has the power to enact SORNA under the Necessary and Proper Clause. ¡This clause authorizes Congress to pass laws necessary to obtain the object of permissible legislation.

Alford guilty plea

A guilty plea that permits the accused to maintain innocence.

Grand jury

A jury that hears evidence presented by the prosecution and determines whether to charge persons with crimes, used in federal and many state criminal proceedings.

Ordeal

A medieval method of proof that was an appeal to God to determine guilt or innocence.

No contest or nolo contendere plea

A plea in which the accused neither contests nor admits the charges against him; treated as a guilty plea.

Insanity plea

A plea to a criminal charge of not guilty because of mental disease or defect.

Judgment NOV

A post-trial judgment made by a judge changing or reversing the jury decision; literally, non-obstante verdicto ("notwithstanding the verdict").

Motion to suppress evidence

A written or oral request to a judge to keep out evidence at a trial or hearing; often made when a party believes the evidence was unlawfully obtained.

Right to an indictment

About half of the states follow the Fifth Amendment requirement of a grand jury indictment for capital or "infamous" crimes. In other states, elected prosecutors determine whether to charge a defendant and what crimes to charge. ¡Defendants charged with a felony by a prosecutor have the right to a preliminary hearing.

Cullen vs. Pinholster 131 S. Ct. 1388-2011.

Affected review of habeas petitions by federal courts. Ninth Circuit Court of Appeals agreed with petitioner's claim that his conviction and death sentence were flawed because his mental condition was not taken into account. U.S. Supreme Court reversed, holding that evidence presented at a habeas hearing could not be considered.

Plea bargaining

Agreement to enter a guilty plea in return for a reduction in the charge or sentence. For example, first-offense shoplifters are often given the opportunity to plea to disorderly conduct in a municipal court instead of going to trial for a theft charge. First-offense drunk drivers are often permitted to enter a guilty plea in return for the dropping of one of three or four criminal charges that they face.

Impermissible evidence

An inference a fact may not draw; an example is inferring guilt because the defendant does not testify.

Competent Evidence

Any evidence that is relevant and reliable and not otherwise excludable.

Credibility

Believability.

The American Declaration of Independence

British abuses abounded in the colonies prior to the creation and signing of the Declaration. Many of these abuses concerned liberty, freedom, and the judiciary. Eventually many of these abuses were specifically corrected in the U.S. Constitution. In declaring independence from Great Britain, this U.S. document repudiated the doctrine of the divine right of kings. ¡Declared that governments derive power from the consent of the governed. ¡Stated that all men are created equal and "endowed with the rights of life, liberty, and the pursuit of happiness."

Federal Rules of Evidence

Codification in 1975 of common-law rules of evidence; applicable only in federal courts but provide the model for most state evidence codes.

The Right of a Defendant to be Present During Trial

Common law principles mandate a defendant has the right to be present during his criminal trial and cannot be trial in absentia. The Supreme Court has held that federal rules require that in felony cases the defendant must be present at the beginning of the trial.

Inferences

Conclusions that may be drawn from facts.

Crosby versus United States 506 U.S. 255-1993

Court held that Rule 43 of the Federal Rules of Criminal Procedure requires a defendant be present at the beginning of any felony criminal trial, forbidding in absentia trials for defendants who were not "initially present."

Bond versus United States 131 S.Ct. 2355-2011

Defendant argued that her actions were totally local in nature and thus were reserved to the states or the people under the Tenth Amendment. The Court of Appeals held that the defendant could not raise the Tenth Amendment as a defense. The Supreme Court disagreed, holding that in proper circumstances, one can claim the federal statute violated the Tenth Amendment.

Federalism

Division of power between state governments and the federal government; in which the federal government has specific powers delegated to it, with the remaining powers vested in the states.

Peremptory challenges and discrimination

During jury selection, both sides are given peremptory challenges to exclude potential jurors from being selected. Both sides are also given unlimited challenges for cause. Preemptory challenges are determined by state law and are not required by the U.S. Constitution. Both parties are generally entitled to strike any prospective juror for cause. ¡They may also strike a limited number of potential jury members without having to explain the reasons, called a "peremptory challenge." The peremptory challenge can be used to exclude potential jurors who might be reluctant to find the defendant guilty.

Habeas Corpus and Enemy Combatants

Enemy combatants at Guantanamo Naval Base in Cuba have appealed their detention using habeas petitions. In 2006, the U.S. Supreme Court held that detainees on U.S. military bases had habeas corpus rights. ¡Suspected enemy combatants can be tried in military tribunals as opposed to federal district court.

Presentment Juries

English forerunners to grand juries; gave information that crimes had been committed.

Reversible Error

Errors that occur at a trial that might have had a bearing on the outcome. If the outcome clearly would have been the same without the error, it is not a reversible error.

Magna Carta

Established minimum standards for arresting and imprisoning individuals accused of crimes. Required a demonstration of probable cause before a person can be arrested or held in custody. This principle influenced the drafters of the American Declaration of Independence.

Circumstantial evidence

Evidence from which proof of the fact in question may be inferred.

Relevant Evidence

Evidence that has a tendency to make a material issue before the court more or less probable.

Reliable evidence

Evidence that possesses a sufficient degree of likelihood of that it is true and accurate.

Direct evidence

Evidence that proves or disproves a fact in question with no need for inferences.

Courts and Trials in the United States

Federal and state courts. ¡These courts handle about 95 percent of all criminal trials in the United States. Military courts. ¡These courts are for members of the U.S. Armed Forces. Military commissions. ¡These courts were established in 2004 for "enemy combatants" held by the U.S. military.

Writ of Certiorari

Formal notice from the U.S. Supreme Court to a lower federal court or state court that a decision of that court has been accepted for review by the Supreme Court.

Discovery

Formal procedures used by prosecution and defense attorneys to gather documents, witnesses, and other evidence.

Preliminary hearing

Full adversarial hearing with a lawyer present.

Evidentiary Rules

Gates through which evidence flows in our criminal court system. Most have their origins in English law. Important to safeguard rights of accused persons in a fair trial and to ensure the interests of the public in the proper functioning of the criminal justice system.

Right to Assistance of counsel

If charged with a crime, a person has the Sixth Amendment right to counsel. ¡If the defendant cannot afford an attorney, one will be provided by the state or federal government. The right to effective counsel applies at all stages of a criminal prosecution.

Thaler versus Haynes 130 S. Ct. 1171-2010

Illustrates limitations to habeas petitions. The Federal Circuit Court of Appeals, which overturned a Texas homicide conviction, was reversed by the Supreme Court because the appellate court applied a legal principle that had not be clearly established by the Supreme Court.

Innocence until Proven guilty

In a criminal prosecution, the accused is considered innocent until proven guilty beyond a reasonable doubt. ¡In Taylor (1978) and Pagano (2002), the courts have consistently held the accused is innocent until proven guilty. The U.S. Supreme Court has ruled that the defendant's presumption of innocence is a basic component of a fair trial.

Law Enforcement in the American Federal System

In the United States, there are more than 17,000 law enforcement agencies. Most are at the local levels of government (city, counties, towns, etc.). ¡Local law enforcement agencies enforce city and county ordinances in addition to the criminal laws of their states. State rules of evidence are used in both municipal and state courts. Law enforcement agencies working at the state level of government are generally created by state law to enforce state criminal laws or to enforce hunting, fishing, health, sanitation, fire, and other state codes. Federal law enforcement officers work with federal law agencies created by Congress to enforce specific laws assigned to their agencies.

Fifth and Sixth Amendments

Individual rights in criminal prosecution are present in various parts of the Constitution and the Bill of Rights. ¡The Fifth and Sixth Amendments provide an extensive list of those rights.

Permissible Evidence

Inferences made from proof of facts that a fact finder may, but need not, draw.

Right to Testify or Not Testify

It is the defendant's choice whether to testify in his or her own defense. Most defendants do not testify, for a variety of tactical reasons. ¡A defendant who testifies is subject to cross-examination. ¡Many defense lawyers want to avoid this risk.

Habeas Corpus

Latin name for the writ used to compel a government official, such as a prison warden, to show cause why the official is holding a person in custody.

Common law

Legal rules that evolved over many years in English and American court opinions.

State and Federal Jurisdiction Over Crimes in the United States

Most crimes committed in the United States are violations of state criminal codes. Some crimes are federal offenses in violation of the federal criminal code. ¡A small percentage of criminal offenses are violations of both the federal criminal code and a state criminal code. The U.S. Constitution does not grant the federal government general police power, nor has there ever been federal criminal, common law. ¡Common law is the set of unwritten legal rules that have been developed over many years by courts and judges. All federal crimes have to be statutory crimes enacted by Congress. States have general police power to regulate in providing for domestic tranquility. Criminal codes and rules of evidence enacted by state legislatures and found in the codified laws of each state. Criminal laws may be enacted by the federal government in the following areas: ¡To protect itself, its officials and employees, its property, and the administration of its authorized functions; ¡To regulate interstate and foreign commerce; ¡To protect civil rights; and ¡To enact criminal laws for places beyond the jurisdiction of any state. Congress may pass criminal laws under the Commerce Clause only if a prohibited activity: ¡Uses the "channels" of interstate commerce, e.g., by taking place in more than one state; ¡Uses the "instrumentalities" of interstate commerce, e.g., telephone lines or the postal service; or ¡Has a substantial effect on interstate commerce. The Sex Offender Registration and Notification Act (SORNA), 18 U.S.C. § 2250(a), requires convicted sex offenders to register in the states where they live and to which they travel. Offenders who failed to register in another state when traveling filed federal suits claiming that Congress lacked the power to pass SORNA laws.

Witchcraft as a crime

Numerous trials charging witchcraft as a crime were held in ancient Rome and later in Europe. In Salem, Massachusetts witchcraft trials were conducted and people were executed and imprisoned. The crime of witchcraft no longer exists in the American criminal justice system and can never be resurrected.

Habeas Petitions

Prior to 1996, federal courts heard habeas petitions under "de novo" review which gave little deference to state court decisions. Since 1996, writs are limited to cases where the conviction or sentence was contrary to a clearly established federal law or based on "unreasonable determination of the facts."

Batson versus Kentucky 476 U.S. 79-1986

Prohibited the use of peremptory challenges to exclude jurors based on race of juror. Prosecution needs "race-neutral" reasons to justify the challenges during jury selection. The U.S. Supreme Court has not extended the Batson holding to include peremptory strikes based on other factors such as religion.

Fifth Amendment

Protects the accused from: ¡detention without a presentment or indictment by a grand jury; ¡double jeopardy; ¡self-incrimination; and ¡deprivation of life, liberty, or property without due process.

Sixth Amendment

Provides the accused with the right to: ¡a fair, speedy and public trial; ¡an impartial jury; ¡information about the nature and cause of the accusation; ¡the ability to confront and cross-examine witnesses; and ¡counsel for assistance in defense.

Presley versus Georgia 130 S. Ct. 721-2010

Pursuant to the Sixth Amendment the accused shall enjoy the right to a speedy and public trial. The Presley court held that "public trial" includes the voir dire (juror examination) portion of a trial. Closing the courtroom to the public requires the trial court to provide "sufficient" reasons or to consider alternatives.

Relevant Evidence

Relevant evidence is direct or circumstantial evidence that has a tendency to make a material issue before the court more or less probable. Rule 403 allows for relevant evidence to be excluded if it may: ¡Unfairly prejudice a party; ¡Confuse the jury; or Waste the court's time.

Reliable Evidence

Reliable evidence is evidence that possesses a sufficient degree of believability. ¡Evidence which is deemed unreliable is inadmissible at trial. Reliable and admissible evidence is required to justify charging a person with a crime. Each state has the authority to commence a criminal prosecution if sufficient evidence is available to justify the criminal charge.

The promptness rule

Suspects arrested without warrant must be given a probable-cause hearing within 48 hours of arrest. Further delay requires the government to demonstrate why the circumstances could not be avoided. ¡Sanctions may include preclusion of evidence collected during the delay.

Burden of Persuasion

That part of the burden of proof that requires a party to persuade the jury that a fact exists.

Burden of Production

That part of the burden of proof that requires a party to produce sufficient evidence to establish the fact at issue.

Freedom of Unreasonable search and seizures

The Fourth Amendment forbids searches without a warrant unless a justifiable exception can be shown. The historic foundation for the Fourth Amendment can be traced back to the Magna Carta and the probable cause requirement.

The Right to a Speedy Trial

The Sixth Amendment includes granting the defendant a speedy trial. ¡Courts are split as to whether this applies in situations where sentencing is delayed. A defendant may waive the right to a speedy trial with permission of the court. ¡The federal government and many states have enacted statutes that prescribe the time limit within which a case must go to trial.

Right to Confront Witnesses

The Sixth Amendment provides that "the accused shall enjoy the right ... to be confronted with the witnesses against him." ¡The famous trial of Sir Walter Raleigh in 1603 was one of the reasons the Confrontation Clause was included in the Sixth Amendment.

Right to be Informed of Charges

The Sixth Amendment provides that "the accused shall enjoy the right ... to be informed of the nature and cause of the accusation." ¡Can be an issue when a defendant later seeks to retract a guilty plea because it was not "voluntary and intelligent."

Right to Compel Witnesses

The Sixth Amendment provides that "the accused shall enjoy the right ... to have compulsory process for obtaining witnesses in his favor." ¡Witnesses can be compelled to appear through the use of subpoenas.

Public and Speedy trial

The Sixth Amendment provides that "the accused shall enjoy the right to a speedy and public trial." ¡A public trial means all court sessions must be open to the public unless the trial court gives sufficient, specific reasons for closing the courtroom.

Tenth Amendment and Individual Rights

The Tenth Amendment of the U.S. Constitution states that powers not delegated to the United States are reserved to the states or the people. ¡This distinction reinforces the basic concept of federalism.

Federalism in the United States

The United States uses a form of government called federalism, which was first presented at the 1787 Constitutional Convention in Philadelphia. Federalism means that the central government has the power and authority to handle national problems, and the states have the power to regulate local needs and problems. Federalism allows for diversity and flexibility at state and local levels of government. States are primarily responsible for public safety and can enact laws they believe are most effective in providing for public order and an efficient, effective criminal justice system.

Probable cause

The belief of guilt based on reasonable grounds made particularized evidence of the guilt of the person to be searched or seized.

Corpus Delicti

The body of the crime; the requirement that the government must prove that the crime charged has been committed.

Beyond a Reasonable doubt

The burden that the prosecution must meet in proving guilt in criminal cases; applies to every element of the crime charged.

State versus Payano 768 N.W.2d 832-Wis. 2009

The defendant was charged with drug possession. The prosecution may not introduce evidence by a witness claiming to have seen the defendant in possession of drugs on other occasions. The prosecution may introduce testimony of a witness claiming that the defendant had illegal guns and drugs in his apartment the day before the defendant discharged a gun and hit a police officer who was attempting to enter the apartment.

The U.S. Constitution

The delegates sought to write a Constitution which supported the new American democracy and would create a practical government to serve the people. ¡The concepts of habeas corpus and the right to a trial by jury were incorporated. ¡Bills of attainder and ex post facto laws were prohibited.

Sufficiency-of-evidence requirement

The demand for a reasonably substantial foundation of evidence to support a verdict or finding.

Bill of Rights

The first 10 amendments to the U.S. Constitution.

Initial Appearance

The first appearance by an accused before a judge or magistrate; a plea is entered and bail is set at this hearing.

The Bill of Rights

The first ten Amendments to the Constitution were added to "embody certain guarantees and immunities which were inherited from our English ancestors." ¡Originally, these rights were applicable only to the federal government. ¡The U.S. Supreme Court, through the Fourteenth Amendment, applied these rights to the states.

Criminal indictment

The formal charge issued by a grand jury, listing crimes believed to have been committed by the named defendant.

Criminal complaint

The formal charge made by the prosecution against a defendant, which begins criminal proceedings.

Arraignment

The formal proceeding following the indictment or information, where a plea is entered and the case is bound over for trial.

The American Adversary System

The function of the criminal trial within the American court system is to provide a venue for determining the facts upon which the guilt or innocence of the accused is based. ¡The main actors in the courtroom are the judge, the jury, the prosecutor, and the defense attorney. In the American adversary system, the prosecutor and the defense attorney seek to establish the facts in opposition to each other. During a trial, both the prosecutor and the defense attorney have two main goals: ¡To present the facts that are the most advantageous to their position, and ¡To make it difficult for their opponent to do the same. The prosecutor attempts to prove his or her case "beyond a reasonable doubt by an unanimous jury." The defense attorney's duty is to represent his or her client "zealously within the bounds of the law." The judge and jury come to the trial uncommitted. Witness testimony and physical evidence are presented within the framework of the rules of evidence and court procedure. Witnesses are questioned by each side and evidence admitted during the trial can be challenged. The trial judge presides neutrally over the trial and is responsible for safeguarding both the rights of the accused and the interests of the public. The function of the jury is to determine the truth. The rules of evidence are in place to ensure that the evidence presented to the jury by both adversaries is relevant, reliable, and competent.

Magna Carta

The great Charter signed by King John of England and his barons in 1215; created the first standards for arresting and imprisoning those accused of crimes.

Adversary system

The judicial system in which the opposing parties present evidence, and an impartial judge or jury weighs the evidence; contrasts with the inquisitorial system, where the judge actively questions the accused and witnesses.

Presumption of innocence

The legal presumption required in all criminal courts that the defendant is innocent until sufficient credible evidence is produced to carry the burden of proving guilt beyond a reasonable doubt.

Evidence

The means of establishing the truth or untruth of any fact that is alleged.

Due Process

The minimum procedural protections courts must afford those charged with crimes; guaranteed by the Fifth and Fourteenth Amendments to the U.S. Constitution.

Federalism and the Law of Evidence

The powers of the U.S. Congress, the President, and the U.S. Supreme Court are limited to those powers granted in the Constitution. Each state is sovereign, and the officials of each state have the powers granted to them by the Constitution of that state. ¡Each state has its own criminal codes and codes of criminal procedure and evidence. State codes and the ruling of state courts must conform to the requirements of the U.S. Constitution. ¡State laws and state court rulings may provide additional rights. The Federal Rules of Evidence were enacted in 1975 by Congress. ¡Most states have adopted rules of evidence almost identical to the federal rules. Each state retains the power to interpret and modify the rules of evidence. The meaning and application of the federal rules of evidence can vary between federal courts and state courts. The federal rules of evidence and most state rules of evidence apply in both civil and criminal trials.

Relevant, Reliable, and Competent evidence

The prosecution and the defense seek to present the facts that are most advantageous to its position. Evidence that is not relevant, not reliable, or not competent is not admissible and cannot be used in trial.

Probable cause

The quantum of evidence required by the Fourth Amendment to make an arrest or to issue a search warrant; greater than reasonable suspicion but can be less than proof of reasonable doubt.

Proof

The result of evidence; the evidence is means of attaining proof.

Brady Rule

The rule that requires the prosecution to disclose, upon request, evidence favorable to the accused.

Reasonable doubt

The standard of evidence that fact-finders must use in criminal cases to find a defendant guilty of the crime charged.

Right to an Impartial jury

This right is guaranteed by the Sixth Amendment. Juror challenges, either for cause or peremptory, are designed to help ensure an impartial jury. Excusing jurors for cause has been an issue in death penalty cases.

Writ of Habeas Corpus

This writ serves as a safeguard against unlawful imprisonment. The writ requires that an official must present himself to a court to show cause for holding a person in custody. The right of habeas corpus is incorporated into the U.S. Constitution in Article I, Section 9. Habeas corpus writs provide another form of review in criminal convictions and sentences in addition to the appeal process. ¡28 U.S.C. § 2254 and 28 U.S.C. § 2255 authorize federal and state courts to hear petitions for habeas corpus. The petitioner must show the normal appeal process has been exhausted.

Uttecht versus. Brown 127 S. Ct. 2218-2007

U.S. Supreme Court identified four principles that must be used to determine if a juror has been properly excused for a cause in capital cases: 1. The prosecution may not challenge for cause any juror who expresses doubt about capital punishment. 2. The state has a legitimate interest in having jurors who are willing to apply capital punishment where the law so permits. 3. Unless a juror is "substantially impaired" in his or her ability to impose the death sentence, the juror's excusal for the cause is improper. 4. The trial judge is entitled to deference in the determination of when a prospective juror is "substantially impaired."

Custody

Under police control; whether or not physically strained.

Right to a fair, not perfect,trial

Under the Due Process clauses of the Fifth and Fourteenth Amendments, the law does "not require a defendant receive a perfect trial, only a fair one." ¡If a defendant is convicted in a trial where a harmless error occurred, the defendant is not entitled to a new trial. ¡If an error during the trial is deemed harmful, reversible, or plain, the defendant is entitled to a new trial or to have the charges dropped.

Impeach

Use of evidence to challenge the credibility of a witness.

Early Methods of Determining Guilt or Innocence

Use of ordeals was common; e.g., duels in which winners were considered innocent and losers were guilty. Later, judgment was often pronounced by the clergy through oaths and oath-helpers (similar to witnesses today). ¡Presentment juries composed of community residents were also used. Petit juries were charged with not only determining guilt or innocence but also with finding facts about this determination. Rules were gradually developed to govern the introduction of facts into criminal trials.

Gonzales versus Raich 125 S.Ct. 2195-2005

Users and growers of medical marijuana brought an action to declare the federal Controlled Substances Act unconstitutional. The U.S. Supreme Court held that the Commerce Clause permits Congress to regulate local marijuana production because the activity "substantially affects" interstate commerce.