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Criminal Justice: A Brief Introduction Thirteenth Edition

Chapter 8 The Courtroom Work Group and the Criminal Trial

The Courtroom Work Group: Professional Courtroom Actors

• Trial – Examination in court of the issues of fact and relevant

law in a case for convicting or acquitting a defendant

• Two categories of participants in criminal trials – Professionals/courtroom work group

▪ Judges, prosecutors, defense attorneys, etc.

– Outsiders ▪ Jurors, witnesses, and victims ▪ Not familiar with trial procedures

Figure 8.1 Participants in a Criminal Trial

The Judge

• An elected or appointed public official who presides over a court of law

• The trial judge has the primary duty of ensuring justice

– Holds the ultimate authority and weighs objections from both sides

– Decides on the admissibility of evidence and sentences offenders

Judicial Selection

• Federal judges are nominated by the president and confirmed by the Senate

• State judgeships are won through either popular election or political appointment

• Missouri Plan – Combines elements of both election and

appointment – Designed to counter problems with each method – Also known as the merit plan of judicial selection

Judicial Qualifications

• Nearly all states require judges hold a law degree, be a licensed attorney, and be a member of the state bar

• Many require newly elected judges to attend state- sponsored training

• In some states, lower court judges may be elected without education or other professional requirements

– Nonlawyer or “lay” judges generally hear traffic violations, misdemeanors, small-claims actions, some civil cases

The Prosecuting Attorney

• An attorney who is responsible for presenting the state’s case against the defendant

• Also known as district attorney, state’s attorney, county attorney

• Most state prosecutors are elected and generally serve four-year terms, with the possibility of reelection

• May serve as quasi-legal advisor to local police

• Have burden of proving guilt beyond a reasonable doubt

Prosecutorial Discretion

• Prosecutorial discretion – The decision-making power of prosecutors,

based on the wide range of choices available to them

• Prosecutors have considerable discretion in charging defendants, scheduling cases, accepting negotiated pleas, and so on

• Key decision—filing separate or multiple charges

• May also make sentence recommendations to the judge

The Abuse of Discretion

• There is considerable potential for abuse of prosecutorial discretion

• Gross misconduct by prosecutors may be addressed by the state Supreme Court or state attorney general’s office

• The Professional Misconduct Review Unit is responsible for disciplining federal prosecutors who engage in intentional or reckless misconduct

The Prosecutor’s Professional Responsibility

• Prosecutors expected to abide by standards of professional responsibility

– ABA Model Rules of Professional Conduct – Individual state bar associations may have their

own standards

• Serious violations may lead to being disbarred from practice of law

The Defense Counsel

• An attorney who represents the accused before the court and ensures the defendant’s civil rights are not violated

• Three main category of defense attorneys – Private attorneys – Court-appointed counsel – Public defenders

Private Attorneys

• Either have their own practice or work for law firms in which they are partners or employees

• Can be very expensive—charge by the hour and include time involved in preparing the case and time in court

• Few law students choose to specialize in criminal law

Court-Appointed Counsel

• Sixth Amendment guarantees defendants the effective assistance of counsel

• The Supreme Court has established that defendants who cannot pay for attorneys must receive adequate representation at all stages of processing

• Types of indigent defense – Assigned counsel – Public defenders – Contractual arrangements

Court-Appointed Counsel—Cases

• Powell v. Alabama (1932)

• Johnson v. Zerbst (1938)

• Gideon v. Wainwright (1963)

• Argersinger v. Hamlin (1972)

• In re Gault (1967)

• Alabama v. Shelton (2002)

Assigned Counsel

• Usually drawn from a roster of all practicing attorneys within the jurisdiction of the trial court

• Fees are paid at a rate set by the state or local government

– Fees typically low – May affect the amount of effort the attorney

puts into the case

Public Defenders

• State-employed lawyer defending indigent defendants

• The public defender system is the primary method used to provide indigent counsel for criminal defendants

• Most public defender offices are understaffed

• Critics are concerned that they are government employees and thus not independent from judges and prosecutors

• Huge caseloads create pressure to use plea bargaining

Contractual Arrangements

• County and state officials arrange with local criminal lawyers to provide for indigent defense on a contractual basis

• The least widely used form of indigent defense, although its popularity is growing

Problems with Indigent Defense

• State systems are significantly underfunded – Results in heavy use of plea bargaining

• Federal system is not underfunded

• Defendants are not required to accept assigned counsel

– May waive their right to an attorney and defend themselves

– More difficult to obtain a new attorney if they do not like the attorney appointed to defend them

The Ethics of Defense

• Attorneys may become emotionally committed to the outcome of the trial

– May cross the line when they lose professional objectivity

• Clear ethical and procedural considerations for defense counsel

• The American Bar Association provides guidance in the areas of legal ethics and professional responsibility

The Bailiff

• Court officer whose duties are to keep order in the courtroom, secure witnesses, and maintain physical custody of the jury

• Usually an armed law enforcement officer

• Bailiffs in federal courtrooms are deputy U.S. marshals

Trial Court Administrators

• Responsible for facilitating the smooth functioning of courts in particular judicial districts or areas

• Provide uniform court management

• Relieve judges of routine and repetitive tasks

• Increasingly involved in juror management

The Court Reporter

• Also called a court stenographer or court recorder

• Role is to create a record of all that occurs during a trial

• The official trial record may later be transcribed in manuscript form and will become the basis for any appellate review of the trial

• Frequently uses computer-aided transcription (C A T) software

The Clerk of Court

• Maintains all records of criminal cases, including all pleas and motions made

• Prepares the jury pool, issues jury summons, subpoenas witnesses

• Marks physical evidence for identification during trial and maintains custody of that evidence

Expert Witnesses

• A person who has special knowledge and skills recognized by the court as relevant to the determination of guilt or innocence

– Can express opinions or draw conclusions in their testimony

– Is usually viewed by jurors as more trustworthy than other forms of evidence

Lay Witnesses

• Nonexpert witness who may be subpoenaed by either the prosecution or defense

– May be an eyewitness or character witness

• The job of witnesses is to provide accurate testimony only about things of which they have direct knowledge

• Traditionally shortchanged by the judicial process

• Many states pay witnesses for each day they spend in court

Jurors

• Juror – Citizens selected for jury duty and required to

serve as an arbiter of the facts in a court of law – Jury duty is a responsibility of citizenship

• Prospective jurors are usually drawn from tax register, motor vehicle records, or voter registration roles

• Minimum qualifications for jury service vary by jurisdiction

• Peer jury—composed of a representative cross- section of the community

The Victim (1 of 2)

• Not all crimes have clearly identifiable victims or victims who survive

• Victims are often the most forgotten people in the courtroom

– They may not even be permitted to participate directly in the trial process

• Difficulties encountered by victims in the trial process compared to a second victimization by the criminal justice system

The Victim (2 of 2)

• Key hardships experienced by victims: – Uncertainty about their role in the C J process – Lack of knowledge about the justice system,

courtroom procedure, legal issues – Trial delays – Fear of the defendant or of retaliation from the

defendant’s associates – Trauma of testifying and cross-examination

The Defendant (1 of 3)

• Generally, defendants must be present at their trials

– A defendant who is present at the start of the trial may be voluntarily absent after the trial has commenced

– This does not hold if the absence is due to escape or failure to appear

• Majority of defendants are poor, uneducated, relatively powerless

The Defendant (2 of 3)

• Defendants can influence courtroom events by exercising choice in

– selecting and retaining counsel – planning defense strategy – deciding what information to provide the

defense team – deciding what plea to enter – deciding whether to testify personally – determining whether to file an appeal if

convicted

The Defendant (3 of 3)

• Defendants suffer from several disadvantages – Tendency of others to assume that anyone on

trial must be guilty – Social and cultural differences often separating

defendants from professional courtroom staff

Spectators and the Press (1 of 2)

• Often overlooked because lack an official role

• Presence supported by 6th Amendment right to public trial

• Press reports can create problems – Pretrial publicity can bias potential jurors – News reports may influence nonsequestered

jurors

Spectators and the Press (2 of 2)

• Ways to insure fair trial and impartial jury after pretrial release of information

– Change of venue – Trial postponement – Jury selection and screening

• Caribbean International News Corporation v. Puerto Rico (1993)—extended press access to preliminary hearings

• Cameras generally allowed in state but not federal courtrooms

The Criminal Trial Procedure

• Highly formalized

• The course of the trial is determined by rules of evidence and other procedural guidelines

• Trials are also affected by informal rules and professional expectations

Nature and Purpose of the Criminal Trial

• The primary purpose of a trial is the determination of the defendant’s guilt or innocence

– Factual guilt – Legal guilt

• Adversarial system – The two-sided structure under which American

criminal trial courts operate (prosecution vs. defense)

Figure 8.3 Stages in a Criminal Trial

Trial Initiation

• Sixth Amendment provides for the right to a speedy trial

• Federal Speedy Trial Act (1974) – Allows for dismissal of federal criminal charges if

the prosecution does not seek an indictment or information within 30 days of arrest or if a trial does not begin within 70 working days after indictment or initial appearance

– Only applies to federal courts

• Most state laws set limits of 90 or 120 days

Jury Selection (1 of 2)

• Sixth Amendment right to an impartial jury

• Attorneys use challenges to ensure impartiality of jury

• Three types of challenges recognized – Challenges to the array – Challenges for cause – Peremptory challenges

• During jury selection, attorneys question potential jurors in a process known as voir dire examination

Jury Selection (2 of 2)

• Scientific jury selection – Use of social science techniques to predict if

potential jurors will vote for conviction or for acquittal

• Shadow jury – Hired court observers who assess the impact of

a defense attorney’s arguments

• Sequestered jury – Isolated from the public during the trial and

deliberation process

Jury Selection and Race

• Race alone cannot provide the basis for jury selection

• Juries may not be intentionally selected for racial imbalance

• Despite this, peremptory challenges continue to tend toward racial imbalance

Opening Statements

• The initial statement of the prosecution or the defense made in a court of law to a judge or to a judge and jury describing the facts that he or she intends to present during trial to prove the case

• Evidence is not offered during opening statements

• Attorneys may only mention evidence they believe can and will be presented during trial

Presentation of Evidence

• Presentation of evidence is the crux of the criminal trial

• First, the state has the opportunity to present evidence intended to prove the defendant’s guilt

• After the state rests its case, the defense is given the opportunity to present evidence favorable to the defendant

Types of Evidence

• Direct evidence – Proves a fact without requiring an inference

• Circumstantial evidence – Indirect evidence that requires judge or jury to

make inferences and draw conclusions

• Real evidence – Physical material or traces of physical activity

Evaluation of Evidence

• Trial judge decides which evidence can be presented to the jury

– Examines relevance of evidence to case at hand – Must also weigh probative value of evidence

▪The degree to which evidence is useful in proving something important in a trial

• Evidence may have only limited admissibility

• Harmless error rule

Testimony of Witnesses (1 of 2)

• Testimony is the oral evidence offered by sworn witness on the stand during the trial

• The chief means by which evidence is introduced at trial

• Before witness may testify, questioning attorney must establish witness’s competence to testify

• Key decision for defense attorney is whether to put the defendant on the stand

Testimony of Witnesses (2 of 2)

• Examination of witnesses – Direct examination—occurs when witness first

called to the stand – Cross-examination—examination of witness by

someone other than the direct examiner – Redirect examination – Recross examination

• Witnesses may commit perjury and intentionally make statements they know are untrue

Children as Witnesses

• Area of special concern, especially when children are also victims

• 37 states allow the use of videotaped testimony in criminal courtrooms and 32 permit the use of closed-circuit T V

– This allows the child to testify out of the presence of the defendant

The Hearsay Rule

• Hearsay – Anything not based on personal knowledge of a

witness

• Hearsay rule prohibits the use of “secondhand evidence”

– Based on Sixth Amendment’s confrontation clause

• Exceptions to the hearsay rule – Dying declaration – Spontaneous statements – Out-of-court statements

Closing Arguments

• At the conclusion of a criminal trial, both sides have the opportunity for a final narrative presentation to the jury

• States vary as to the order, but nearly all allow the defense attorney to speak first

Judge’s Charge to the Jury (1 of 2)

• Judge reminds the jury of their duty to consider evidence objectively and impartially

• Judge may review the statutory elements of the offense, the burden of proof, the reasonable doubt standard

• Some judges provide a summary of the evidence presented

Judge’s Charge to the Jury (2 of 2)

• Half the states allow judges to express their own views on witness credibility and the significance of evidence

• Other states only permit judges to summarize evidence in an objective and impartial manner

• Following the charge, the jury leaves the courtroom and begins deliberations

Jury Deliberations and the Verdict

• Deliberations may be very brief or last for days or weeks

• Many jurisdictions require juries reach a unanimous verdict

• Supreme Court has ruled that unanimous verdicts are not required in noncapital cases

• Hung jury—jury is deadlocked and cannot agree on a verdict

Problems with the Jury System (1 of 2)

• Some questions about the ability of the American jury system to do its job

– Difficult to understand modern legal complexities

– Difficult to separate emotions and fact – Jury may be dominated by members with

forceful personalities – Jurors may suffer from inattention – May be unable to understand expert witness

testimony – Jurors may fear personal retaliation

Problems with the Jury System (2 of 2)

• Alternatives – Panel of judges who would both render a verdict

and impose sentence ▪ Would require change to 6th Amendment

right to trial by jury – Professional jurors

▪ Would be paid by government like other courtroom actors

▪ Would be trained to have expertise to sit on any jury

Criminal Justice: A Brief Introduction
The Courtroom Work Group: Professional Courtroom Actors
Figure 8.1 Participants in a Criminal Trial
The Judge
Judicial Selection
Judicial Qualifications
The Prosecuting Attorney
Prosecutorial Discretion
The Abuse of Discretion
The Prosecutor’s Professional Responsibility
The Defense Counsel
Private Attorneys
Court-Appointed Counsel
Court-Appointed Counsel—Cases
Assigned Counsel
Public Defenders
Contractual Arrangements
Problems with Indigent Defense
The Ethics of Defense
The Bailiff
Trial Court Administrators
The Court Reporter
The Clerk of Court
Expert Witnesses
Lay Witnesses
Jurors
The Victim (1 of 2)
The Victim (2 of 2)
The Defendant (1 of 3)
The Defendant (2 of 3)
The Defendant (3 of 3)
Spectators and the Press (1 of 2)
Spectators and the Press (2 of 2)
The Criminal Trial Procedure
Nature and Purpose of the Criminal Trial
Figure 8.3 Stages in a Criminal Trial
Trial Initiation
Jury Selection (1 of 2)
Jury Selection (2 of 2)
Jury Selection and Race
Opening Statements
Presentation of Evidence
Types of Evidence
Evaluation of Evidence
Testimony of Witnesses (1 of 2)
Testimony of Witnesses (2 of 2)
Children as Witnesses
The Hearsay Rule
Closing Arguments
Judge’s Charge to the Jury (1 of 2)
Judge’s Charge to the Jury (2 of 2)
Jury Deliberations and the Verdict
Problems with the Jury System (1 of 2)
Problems with the Jury System (2 of 2)
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