Criminal Law

Criminal Law

[Author removed at request of original publisher]

UNIVERSITY OF MINNESOTA LIBRARIES PUBLISHING EDITION, 2015. THIS EDITION ADAPTED FROM A WORK ORIGINALLY PRODUCED IN 2010 BY A PUBLISHER WHO HAS REQUESTED THAT IT NOT RECEIVE ATTRIBUTION.

MINNEAPOLIS, MN

Criminal Law by University of Minnesota is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License, except where otherwise noted.

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Contents

Publisher Information viii

About the Author ix

Acknowledgments x

Dedication xi

Preface xii

Chapter 1: Introduction to Criminal Law

1.1 Introduction 2 1.2 Criminal Law and Criminal Procedure 4 1.3 The Difference between Civil and Criminal Law 6 1.4 Classification of Crimes 13 1.5 The Purposes of Punishment 16 1.6 Sources of Law 19 1.7 End-of-Chapter Material 30

Chapter 2: The Legal System in the United States

2.1 Federalism 36 2.2 The Branches of Government 43 2.3 The Court System 49 2.4 The Burden of Proof 54 2.5 End-of-Chapter Material 61

Chapter 3: Constitutional Protections

3.1 Applicability of the Constitution 67 3.2 The Due Process and Equal Protection Clauses 74 3.3 Freedom of Speech 80 3.4 The Right to Privacy 88 3.5 The Right to Bear Arms 92 3.6 Excessive Punishment 95 3.7 End-of-Chapter Material 106

Chapter 4: The Elements of a Crime

4.1 Criminal Elements 113

4.2 Criminal Intent 124 4.3 Causation and Harm 138 4.4 End-of-Chapter Material 145

Chapter 5: Criminal Defenses, Part 1

5.1 Criminal Defenses 151 5.2 Self-Defense 157 5.3 Other Use-of-Force Defenses 166 5.4 Defenses Based on Choice 176 5.5 Consent 181 5.6 End-of-Chapter Material 185

Chapter 6: Criminal Defenses, Part 2

6.1 The Insanity Defense 192 6.2 Infancy, Intoxication, Ignorance, and Mistake 210 6.3 Entrapment 217 6.4 End-of-Chapter Material 221

Chapter 7: Parties to Crime

7.1 Parties to Crime 227 7.2 Vicarious Liability 235 7.3 Accessory 239 7.4 End-of-Chapter Material 245

Chapter 8: Inchoate Offenses

8.1 Attempt 252 8.2 Conspiracy 265 8.3 Solicitation 277 8.4 End-of-Chapter Material 281

Chapter 9: Criminal Homicide

9.1 Homicide 287 9.2 Murder 292 9.3 First-Degree Murder 298 9.4 Felony Murder 304 9.5 Second-Degree Murder 311 9.6 Manslaughter 314 9.7 End-of-Chapter Material 322

Chapter 10: Sex Offenses and Crimes Involving Force, Fear, and Physical Restraint

10.1 Sex Offenses 329 10.2 Assault and Battery 347 10.3 Domestic Violence and Stalking 359 10.4 Kidnapping and False Imprisonment 367 10.5 End-of-Chapter Material 375

Chapter 11: Crimes against Property

11.1 Nonviolent Theft Crimes 381 11.2 Extortion, Robbery, and Receiving Stolen Property 395 11.3 Crimes That Invade or Damage Property 412 11.4 End-of-Chapter Material 425

Chapter 12: Crimes against the Public

12.1 Quality-of-Life Crimes 431 12.2 Crimes Targeting Group Conduct 439 12.3 Vice Crimes 453 12.4 End-of-Chapter Material 464

Chapter 13: Crimes against the Government

13.1 Crimes Involving National Security 470 13.2 Crimes Involving Terrorism 480 13.3 Perjury, Bribery, and Obstruction of Justice 485 13.4 End-of-Chapter Material 500

Chapter 14: Appendix A: Case Listings

Please share your supplementary material! 517

Publisher Information

Criminal Law is adapted from a work produced and distributed under a Creative Commons license (CC BY- NC-SA) in 2012 by a publisher who has requested that they and the original author not receive attribution. This adapted edition is produced by the University of Minnesota Libraries Publishing through the eLearning Support Initiative.

This adaptation has reformatted the original text, and replaced some images and figures to make the resulting whole more shareable. This adaptation has not significantly altered or updated the original 2012 text. This work is made available under the terms of a Creative Commons Attribution-NonCommercial-ShareAlike license.

About the Author

Criminal Law is adapted from a work produced by a publisher who has requested that they and the original author not receive attribution. This adapted edition is produced by the University of Minnesota Libraries Publishing through the eLearning Support Initiative. Though the publisher has requested that they and the original author not receive attribution, this adapted edition reproduces all original text and sections of the book, except for publisher and author name attribution.

Unnamed Author received her bachelor’s degree in Spanish from the University of California at Davis in 1985 and her juris doctorate degree from Hastings College of the Law in San Francisco in 1990. Unnamed Author has taught at the community college, four-year, and graduate levels since 1992. Currently, she is a tenured faculty member in Administration of Justice at Hartnell College, a California community college. She is also an attorney and licensed member of the California State Bar. Unnamed Author teaches Criminal Law, Criminal Procedures, Criminal Evidence, Constitutional Law, and Legal Environment of Business.

Throughout her teaching career, Unnamed Author has embraced innovation, which led her to develop the only online Degree and Certificate program at Hartnell College, as well as the only accelerated (three-semester) online degree program in Administration of Justice. Her dedication to students helped her win both campus-wide and external awards, including the Ercia Harden Teaching Excellence Award in 2006. Unnamed Author continues to pursue her commitment to student success and hopes to inspire many more students to pursue a career in law, criminal justice, or paralegal.

Acknowledgments

The author would like to thank the following colleagues who reviewed the text and provided valuable insight for improvement:

• Patti Salinas, Missouri State

• Marie Palladini, California State University Dominguez Hills

• Mark Stelter, Lonestar College, Montgomery

• Donna Nicholson, Manchester Community College

• David Weiden, Indiana University-Purdue University Indianapolis

• Rachel Singer, John Jay College of Criminal Justice

• Allan K. Butcher, University of Texas at Arlington

• Patricia Erickson, Canisius College

• Keith Logan, Kutztown University, Department of Criminal Justice

• Collin K. C. Lau, JD, Chaminade University of Honolulu

• Tracy Hearn, Tarrant County College

• Judith Fitzgerald, JD, Bowie State University

• Linda Markley, Attorney/Lecturer, Kent State University

• Dr. Chinyere Ogbonna-McGruder, Austin Peay State University Clarksville, TN

• John Overton, University of Tennessee at Martin

• Adolfo Barreto, Muskegon Community College

• Judith Revels, University of North Florida

• John M. Delaney Jr., Lewis & Clark Community College

• Gregory W. Bridgeman, Hopkinsville Community College

• Kerry Muehlenbeck, Mesa Community College

• John Claffey, JD, Western New England College

• Diane Sjuts, Metropolitan Community College

• Stephen J. Ziegler, PhD, Indiana University-Purdue University

• Dr. Anthony Schembri, University of Florida

Also, thank you to Vanessa Gennarelli for your guidance, to Denise Powell for your patience, and to Michael Boezi for inspiring the confidence and encouragement to complete this project.

Dedication

I would like to dedicate Criminal Law to my family, both immediate (Scott, Melissa, Tara, and Trent) and extended. Thank you for your unwavering support.

Preface

Welcome to Criminal Law, your guide to a fascinating yet challenging topic. This engaging and interactive textbook will enhance your ability to be successful in academics or a career in criminal justice.

Content

Criminal Law begins with the foundations of law and the legal system and then extensively explores criminal laws and defenses using general state principles, federal law, the Constitution, and the Model Penal Code as guidelines. Although it is neither possible nor desirable to discuss every criminal law, this textbook provides a basic yet thorough overview of the American criminal justice system. After completing Criminal Law, you will be familiar with the nature and sources of law, the court system, the adversarial process, the most prominent crimes, and accompanying criminal defenses.

Approach

Criminal Law uses a two-step process to augment learning, called the applied approach. First, after building a strong foundation from scratch, Criminal Law introduces you to crimes and defenses that have been broken down into separate components. It is so much easier to memorize and comprehend the subject matter when it is simplified this way. However, becoming proficient in the law takes more than just memorization. You must be trained to take the laws you have studied and apply them to various fact patterns. Most students are expected to do this automatically, but application must be seen, experienced, and practiced before it comes naturally. Thus the second step of the applied approach is reviewing examples of the application of law to facts after dissecting and analyzing each legal concept. Some of the examples come from cases, and some are purely fictional. All the examples are memorable, even quirky, so they will stick in your mind and be available when you need them the most (like during an exam). After a few chapters, you will notice that you no longer obsess over an explanation that doesn’t completely make sense the first time you read it—you will just skip to the example. The examples clarify the principles for you, lightening the workload significantly.

Features

Let’s face it, legal textbooks can be dry. This is unfortunate because law, especially criminal law, is an intrinsically compelling topic. To hold your attention and keep you alert, Criminal Law employs a variety of instructional techniques that should engage you from start to finish.

First, chapters contain embedded videos, ethical scenarios, charts, diagrams, and tables to demonstrate the legal concepts and examples provided. These enhancements break up the text and also appeal to various learning styles.

In addition, instead of wasting valuable textbook space by reprinting edited cases, Criminal Law links to cases online. You can read more cases that way, and cases are like examples—they demonstrate the application of law to facts. Also, you can read the entire case exactly the way the judge wrote it, instead of an edited version that has been shrunk to fit into a limited amount of pages.

Have you ever tried to check your answers to review questions in a textbook, only to find that the correct answers are nowhere in sight? Criminal Law gives you the answer to every question at the end of each chapter. Go ahead and check the answers first. Contrary to popular belief, this actually improves—and does not detract from—learning.

In addition, Criminal Law includes hundreds of footnotes that link to online cases and statutes; supplementary links to articles, websites, and statistics online; and plenty of reference material for a term paper or other research project. In short, Criminal Law should contain everything you need to successfully complete your course. It is also a valuable guide to which you can refer throughout your criminal justice career.

Goals

Although academic success is important, I wrote Criminal Law to increase your awareness as you read the newspaper (or read the news online), watch television, or discuss legal situations with friends and colleagues. Law is an integral part of life, yet most people lack the most fundamental understanding of legal concepts. My sincere hope is that once you have finished reading Criminal Law, you will become your own most trusted legal authority.

Preface xiii

Chapter 1: Introduction to Criminal Law

Roadsidepictures – 1st. Dodge Charger With A Police Package – CC BY-NC 2.0.

Elementary notions of fairness enshrined in our constitutional jurisprudence dictate that a person receive fair notice not only of the conduct that will subject him to punishment but also of the severity of the penalty that a State may impose.

—BMW of North America, Inc. v. Gore, cited in Section 1 “Damages”

1.1 Introduction

Learning Objective

1. Define a crime.

This textbook introduces you to our legal system in the United States, the basic elements of a crime, the specific elements of commonly encountered crimes, and most criminal defenses. Criminal law always involves the government and government action, so you will also review the pertinent sections of the United States Constitution and its principles as they apply to criminal law. By the end of the book, you will be comfortable with the legal framework that governs the careers of criminal justice professionals.

Definition of a Crime

Let’s begin at the beginning by defining a crime. The most basic definition of a crime is “an act committed in violation of a law prohibiting it, or omitted in violation of a law ordering it” (Yourdictionary.com, 2010). You learn about criminal act and omission to act in Chapter 4 “The Elements of a Crime”. For now, it is important to understand that criminal act, omission to act, and criminal intent are elements or parts of every crime. Illegality is also an element of every crime. Generally, the government must enact a criminal law specifying a crime and its elements before it can punish an individual for criminal behavior. Criminal laws are the primary focus of this book. As you slowly start to build your knowledge and understanding of criminal law, you will notice some unique characteristics of the United States’ legal system.

Laws differ significantly from state to state. Throughout the United States, each state and the federal government criminalize different behaviors. Although this plethora of laws makes American legal studies more complicated for teachers and students, the size, cultural makeup, and geographic variety of our country demand this type of legal system.

Laws in a democratic society, unlike laws of nature, are created by people and are founded in religious, cultural, and historical value systems. People from varying backgrounds live in different regions of this country. Thus you will see that different people enact distinct laws that best suit their needs. This book is intended for use in all states. However, the bulk of any criminal law overview is an examination of different crimes and their elements. To be accurate and representative, this book focuses on general principles that many states follow and provides frequent references to specific state laws for illustrative purposes. Always check the most current version of your state’s law because it may vary from the law presented in this book.

Laws are not static. As society changes, so do the laws that govern behavior. Evolving value systems naturally lead to new laws and regulations supporting modern beliefs. Although a certain stability is essential to the enforcement of rules, occasionally the rules must change.

Try to maintain an open mind when reviewing the different and often contradictory laws set forth in this book.

Law is not exact, like science or math. Also try to become comfortable with the gray area, rather than viewing situations as black or white.

Key Takeaway

• A crime is an act committed in violation of a law prohibiting it or omitted in violation of a law ordering it. In general, the criminal law must be enacted before the crime is committed.

Exercise

Answer the following question. Check your answer using the answer key at the end of the chapter.

1. Read Gonzales v. Oregon, 546 U.S. 243 (2006). Did the US Supreme Court preserve Oregon’s right to legalize physician-assisted suicide? The case is available at this link: http://www.law.cornell.edu/supct/html/ 04-623.ZS.html.

References

Yourdictionary.com, “Definition of Crime,” accessed August 15, 2010, http://www.yourdictionary.com/crime.

3 Criminal Law

1.2 Criminal Law and Criminal Procedure

Learning Objective

1. Compare criminal law and criminal procedure.

This book focuses on criminal law, but it occasionally touches on issues of criminal procedure, so it is important to differentiate between the two.

Criminal law generally defines the rights and obligations of individuals in society. Some common issues in criminal law are the elements of specific crimes and the elements of various criminal defenses. Criminal procedure generally concerns the enforcement of individuals’ rights during the criminal process. Examples of procedural issues are individuals’ rights during law enforcement investigation, arrest, filing of charges, trial, and appeal.

Example of Criminal Law Issues

Clara and Linda go on a shopping spree. Linda insists that they browse an expensive department store. Moments after they enter the lingerie department, Linda surreptitiously places a bra in her purse. Clara watches, horrified, but does not say anything, even though a security guard is standing nearby. This example illustrates two issues of criminal law: (1) Which crime did Linda commit when she shoplifted the bra? (2) Did Clara commit a crime when she failed to alert the security guard to Linda’s shoplifting? You learn the answer to issue (1) in Chapter 11 “Crimes against Property” and issue (2) in Chapter 4 “The Elements of a Crime” and Chapter 7 “Parties to Crime”.

Example of Criminal Procedure Issues

Review the example in Section 1.2.1 “Example of Criminal Law Issues”. Assume that Linda and Clara attempt to leave the store and an alarm is activated. Linda begins sprinting down the street. Colin, a police officer, just happens to be driving by with the window of his patrol car open. He hears the store alarm, sees Linda running, and begins shooting at Linda from the car. Linda is shot in the leg and collapses. Linda is treated at the hospital for her injury, and when she is released, Colin arrests her and transports her to the police station. He brings her to an isolated room and leaves her there alone. Twelve hours later, he reenters the room and begins questioning Linda. Linda immediately requests an attorney. Colin ignores this request and continues to question Linda about the reason the department store alarm went off. Whether Colin properly arrested and interrogated Linda are criminal procedure issues beyond the scope of this book. However, this example does illustrate one criminal law issue: did

Colin commit a crime when he shot Linda in the leg? You learn the answer to this question in Chapter 5 “Criminal Defenses, Part 1”.

Figure 1.1 Criminal Law and Criminal Procedure

Key Takeaway

• Criminal law generally defines the rights and obligations of individuals in society. Criminal procedure generally concerns the enforcement of individuals’ rights during the criminal process.

Exercises

Answer the following questions. Check your answers using the answer key at the end of the chapter.

1. Paul, a law enforcement officer, arrests Barney for creating a disturbance at a subway station. While Barney is handcuffed facedown on the ground, Paul shoots and kills him. Paul claims that he accidentally grabbed his gun instead of his Taser. Is this an issue of criminal law or criminal procedure?

2. Read Payton v. New York, 445 U.S. 573 (1980). In Payton, the US Supreme Court held a New York statute unconstitutional under the Fourth Amendment. Did the Payton ruling focus on criminal law or criminal procedure? The case is available at this link: http://supreme.justia.com/us/445/573.

5 Criminal Law

1.3 The Difference between Civil and Criminal Law

Learning Objectives

1. Compare civil and criminal law.

2. Ascertain the primary differences between civil litigation and a criminal prosecution.

Law can be classified in a variety of ways. One of the most general classifications divides law into civil and criminal. A basic definition of civil law is “the body of law having to do with the private rights of individuals” (Yourdictionary.com, 2010). As this definition indicates, civil law is between individuals, not the government. Criminal law involves regulations enacted and enforced by government action, while civil law provides a remedy for individuals who need to enforce private rights against other individuals. Some examples of civil law are family law, wills and trusts, and contract law. If individuals need to resolve a civil dispute, this is called civil litigation, or a civil lawsuit. When the type of civil litigation involves an injury, the injury action is called a tort.

Characteristics of Civil Litigation

It is important to distinguish between civil litigation and criminal prosecution. Civil and criminal cases share the same courts, but they have very different goals, purposes, and results. Sometimes, one set of facts gives way to a civil lawsuit and a criminal prosecution. This does not violate double jeopardy and is actually quite common.

Parties in Civil Litigation

In civil litigation, an injured party sues to receive a court-ordered remedy, such as money, property, or some sort of performance. Anyone who is injured—an individual, corporation, or other business entity—can sue civilly. In a civil litigation matter, the injured party that is suing is called the plaintiff. A plaintiff must hire and pay for an attorney or represent himself or herself. Hiring an attorney is one of the many costs of litigation and should be carefully contemplated before jumping into a lawsuit.

The alleged wrongdoer and the person or entity being sued are called the defendant. While the term plaintiff is always associated with civil litigation, the wrongdoer is called a defendant in both civil litigation and a criminal prosecution, so this can be confusing. The defendant can be any person or thing that has caused harm, including an individual, corporation, or other business entity. A defendant in a civil litigation matter must hire and pay for an attorney even if that defendant did nothing wrong. The right to a free attorney does not apply in civil litigation, so a defendant who cannot afford an attorney must represent himself or herself.

Goal of Civil Litigation

The goal of civil litigation is to compensate the plaintiff for any injuries and to put the plaintiff back in the position that person held before the injury occurred. This goal produces interesting results. It occasionally creates liability or an obligation to pay when there is no fault on behalf of the defendant. The goal is to make the plaintiff whole, not to punish, so fault is not really an issue. If the defendant has the resources to pay, sometimes the law requires the defendant to pay so that society does not bear the cost of the plaintiff’s injury.

A defendant may be liable without fault in two situations. First, the law that the defendant violated may not require fault. Usually, this is referred to as strict liability. Strict liability torts do not require fault because they do not include an intent component. Strict liability and other intent issues are discussed in detail in Chapter 4 “The Elements of a Crime”. Another situation where the defendant may be liable without fault is if the defendant did not actually commit any act but is associated with the acting defendant through a special relationship. The policy of holding a separate entity or individual liable for the defendant’s action is called vicarious liability. An example of vicarious liability is employer-employee liability, also referred to as respondeat superior. If an employee injures a plaintiff while on the job, the employer may be liable for the plaintiff’s injuries, whether or not the employer is at fault. Clearly, between the employer and the employee, the employer generally has the better ability to pay.

Example of Respondeat Superior

Chris begins the first day at his new job as a cashier at a local McDonald’s restaurant. Chris attempts to multitask and pour hot coffee while simultaneously handing out change. He loses his grip on the coffee pot and spills steaming-hot coffee on his customer Geoff’s hand. In this case, Geoff can sue McDonald’s and Chris if he sustains injuries. McDonald’s is not technically at fault, but it may be liable for Geoff’s injuries under a theory of respondeat superior.

Harm Requirement

The goal of civil litigation is to compensate the plaintiff for injuries, so the plaintiff must be a bona fide victim that can prove harm. If there is no evidence of harm, the plaintiff has no basis for the civil litigation matter. An example would be when a defendant rear-ends a plaintiff in an automobile accident without causing damage to the vehicle (property damage) or physical injury. Even if the defendant is at fault for the automobile accident, the plaintiff cannot sue because the plaintiff does not need compensation for any injuries or losses.

Damages

Often the plaintiff sues the defendant for money rather than a different, performance-oriented remedy. In a civil litigation matter, any money the court awards to the plaintiff is called damages. Several kinds of damages may be appropriate. The plaintiff can sue for compensatory damages, which compensate for injuries, costs, which repay

7 Criminal Law

the lawsuit expenses, and in some cases, punitive damages. Punitive damages, also referred to as exemplary damages, are not designed to compensate the plaintiff but instead focus on punishing the defendant for causing the injury (BMW of North America, Inc., 1996).

Characteristics of a Criminal Prosecution

A criminal prosecution takes place after a defendant violates a federal or state criminal statute, or in some jurisdictions, after a defendant commits a common-law crime. Statutes and common-law crimes are discussed in Section 1.6 “Sources of Law”.

Parties in a Criminal Prosecution

The government institutes the criminal prosecution, rather than an individual plaintiff. If the defendant commits a federal crime, the United States of America pursues the criminal prosecution. If the defendant commits a state crime, the state government, often called the People of the State pursues the criminal prosecution. As in a civil lawsuit, the alleged wrongdoer is called the defendant and can be an individual, corporation, or other business entity.

The attorney who represents the government controls the criminal prosecution. In a federal criminal prosecution, this is the United States Attorney (United States Department of Justice, 2010). In a state criminal prosecution, this is generally a state prosecutor or a district attorney (Galaxy.com, 2010). A state prosecutor works for the state but is typically an elected official who represents the county where the defendant allegedly committed the crime.

Applicability of the Constitution in a Criminal Prosecution

The defendant in a criminal prosecution can be represented by a private attorney or a free attorney paid for by the state or federal government if he or she is unable to afford attorney’s fees and facing incarceration (Alabama v. Shelton, 2001). Attorneys provided by the government are called public defenders (18 U.S.C., 2010). This is a significant difference from a civil litigation matter, where both the plaintiff and the defendant must hire and pay for their own private attorneys. The court appoints a free attorney to represent the defendant in a criminal prosecution because the Constitution is in effect in any criminal proceeding. The Constitution provides for the assistance of counsel in the Sixth Amendment, so every criminal defendant facing incarceration has the right to legal representation, regardless of wealth.

The presence of the Constitution at every phase of a criminal prosecution changes the proceedings significantly from the civil lawsuit. The criminal defendant receives many constitutional protections, including the right to remain silent, the right to due process of law, the freedom from double jeopardy, and the right to a jury trial, among others.

1.3 The Difference between Civil and Criminal Law 8

Goal of a Criminal Prosecution

Another substantial difference between civil litigation and criminal prosecution is the goal. Recall that the goal of civil litigation is to compensate the plaintiff for injuries. In contrast, the goal of a criminal prosecution is to punish the defendant.

One consequence of the goal of punishment in a criminal prosecution is that fault is almost always an element in any criminal proceeding. This is unlike civil litigation, where the ability to pay is a priority consideration. Clearly, it is unfair to punish a defendant who did nothing wrong. This makes criminal law justice oriented and very satisfying for most students.

Injury and a victim are not necessary components of a criminal prosecution because punishment is the objective, and there is no plaintiff. Thus behavior can be criminal even if it is essentially harmless. Society does not condone or pardon conduct simply because it fails to produce a tangible loss.

Examples of Victimless and Harmless Crimes

Steven is angry because his friend Bob broke his skateboard. Steven gets his gun, which has a silencer on it, and puts it in the glove compartment of his car. He then begins driving to Bob’s house. While Steven is driving, he exceeds the speed limit on three different occasions. Steven arrives at Bob’s house and then he hides in the bushes by the mailbox and waits. After an hour, Bob opens the front door and walks to the mailbox. Bob gets his mail, turns around, and begins walking back to the house. Steven shoots at Bob three different times but misses, and the bullets end up landing in the dirt. Bob does not notice the shots because of the silencer.

In this example, Steven has committed several crimes: (1) If Steven does not have a special permit to carry a concealed weapon, putting the gun in his glove compartment is probably a crime in most states. (2) If Steven does not have a special permit to own a silencer for his gun, this is probably a crime in most states. (3) If Steven does not put the gun in a locked container when he transports it, this is probably a crime in most states. (4) Steven committed a crime each time he exceeded the speed limit. (5) Each time Steven shot at Bob and missed, he probably committed the crime of attempted murder or assault with a deadly weapon in most states. Notice that none of the crimes Steven committed caused any discernible harm. However, common sense dictates that Steven should be punished so he does not commit a criminal act in the future that may result in harm.

Table 1.1 Comparison of Criminal Prosecution and Civil Litigation

Feature Criminal Prosecution Civil Litigation

Victim No Yes. This is the plaintiff.

Harm No Yes. This is the basis for damages.

Initiator of lawsuit Federal or state government Plaintiff

Attorney for the initiator US Attorney or state prosecutor Private attorney

Attorney for the defendant Private attorney or public defender Private attorney

Constitutional protections Yes No

9 Criminal Law

Figure 1.2 Crack the Code

Law and Ethics: The O. J. Simpson Case

Two Different Trials—Two Different Results

O. J. Simpson was prosecuted criminally and sued civilly for the murder and wrongful death of victims Ron Goldman and his ex-wife, Nicole Brown Simpson. In the criminal prosecution, which came first, the US Constitution provided O. J. Simpson with the right to a fair trial (due process) and the right to remain silent (privilege against self-incrimination). Thus the burden of proof was beyond a reasonable doubt, and O. J. Simpson did not have to testify. O. J. Simpson was acquitted, or found not guilty, in the criminal trial (Linder, D., 2010).

In the subsequent civil lawsuit, the burden of proof was preponderance of evidence, which is 51–49 percent, and O.

1.3 The Difference between Civil and Criminal Law 10

J. Simpson was forced to testify. O. J. Simpson was found liable in the civil lawsuit. The jury awarded $8.5 million in compensatory damages to Fred Goldman (Ron Goldman’s father) and his ex-wife Sharon Rufo. A few days later, the jury awarded punitive damages of $25 million to be shared between Nicole Brown Simpson’s children and Fred Goldman (Jones, T. L., 2010).

1. Do you think it is ethical to give criminal defendants more legal protection than civil defendants? Why or why not?

2. Why do you think the criminal trial of O. J. Simpson took place before the civil trial? Check your answers to both questions using the answer key at the end of the chapter.

Johnny Cochran Video

Johnny Cochran: If the Gloves Don’t Fit…

This video presents defense attorney Johnny Cochran’s closing argument in the O. J. Simpson criminal prosecution:

” href=”http://www.youtube.com/watch?v=jRth45yU_2Q” class=”replaced-iframe” onclick=”return replaceIframe(this)”>(click to see video)

Key Takeaways

• Civil law regulates the private rights of individuals. Criminal law regulates individuals’ conduct to protect the public.

• Civil litigation is a legal action between individuals to resolve a civil dispute. Criminal prosecution is when the government prosecutes a defendant to punish illegal conduct.

Exercises

Answer the following questions. Check your answers using the answer key at the end of the chapter.

1. Jerry, a law enforcement officer, pulls Juanita over for speeding. When Jerry begins writing Juanita’s traffic ticket, she starts to berate him and accuse him of racial profiling. Jerry surreptitiously reaches into his pocket and activates a tape recorder. Juanita later calls the highway patrol where Jerry works and files a false complaint against Jerry. Jerry sues Juanita for $500 in small claims court for filing the false report. He uses the tape recording as evidence. Is this a civil litigation matter or a criminal prosecution?

2. Read Johnson v. Pearce, 148 N.C.App. 199 (2001). In this case, the plaintiff sued the defendant for criminal conversation. Is this a civil litigation matter or a criminal prosecution? The case is available at this link: http://scholar.google.com/scholar_case?case=10159013992593966605&q= Johnson+v.+Pearce&hl=en&as_sdt=2,5.

11 Criminal Law

References

Alabama v. Shelton, 535 U.S. 654 (2002), accessed August 16, 2010, http://www.law.cornell.edu/supct/html/ 00-1214.ZO.html.

BMW of North America, Inc. v. Gore, 517 U.S. 559 (1996), accessed February 13, 2010, http://www.law.cornell.edu/supct/html/94-896.ZO.html.

Galaxy.com website, “United States’ Prosecuting Attorneys,” accessed February 15, 2010, http://www.galaxy.com/dir968533/United_States.htm.

Jones, T. L., “Justice for the Dead,” TruTV website, accessed August 18, 2010, http://www.trutv.com/library/ crime/notorious_murders/famous/simpson/dead_16.html.

Linder, D., “The Trial of Orenthal James Simpson,” UMKC website, accessed August 18, 2010, http://www.law.umkc.edu/faculty/projects/ftrials/Simpson/Simpsonaccount.htm.

United States Department of Justice, “United States Attorneys,” accessed February 15, 2010, http://www.justice.gov/usao.

Yourdictionary.com, “Definition of Civil Law,” accessed August 16, 2010, http://www.yourdictionary.com/ civil-law.

18 U.S.C. § 3006A, accessed February 15, 2010, http://www.law.cornell.edu/uscode/18/3006A.html.

1.3 The Difference between Civil and Criminal Law 12

1.4 Classification of Crimes

Learning Objectives

1. Ascertain the basis for grading.

2. Compare malum in se and malum prohibitum crimes.

3. Compare the punishment options for felonies, misdemeanors, felony-misdemeanors, and infractions.

4. Compare jail and prison.

Crimes can be classified in many ways. Crimes also can be grouped by subject matter. For example, a crime like assault, battery, or rape tends to injure another person’s body, so it can be classified as a “crime against the person.” If a crime tends to injure a person by depriving him or her of property or by damaging property, it can be classified as a “crime against property.” These classifications are basically for convenience and are not imperative to the study of criminal law.

More important and substantive is the classification of crimes according to the severity of punishment. This is called grading. Crimes are generally graded into four categories: felonies, misdemeanors, felony- misdemeanors, and infractions. Often the criminal intent element affects a crime’s grading. Malum in se crimes, murder, for example, are evil in their nature and are generally graded higher than malum prohibitum crimes, which are regulatory, like a failure to pay income taxes.

Felonies

Felonies are the most serious crimes. They are either supported by a heinous intent, like the intent to kill, or accompanied by an extremely serious result, such as loss of life, grievous injury, or destruction of property. Felonies are serious, so they are graded the highest, and all sentencing options are available. Depending on the jurisdiction and the crime, the sentence could be execution, prison time, a fine, or alternative sentencing such as probation, rehabilitation, and home confinement. Potential consequences of a felony conviction also include the inability to vote, own a weapon, or even participate in certain careers.

Misdemeanors

Misdemeanors are less serious than felonies, either because the intent requirement is of a lower level or because the result is less extreme. Misdemeanors are usually punishable by jail time of one year or less per misdemeanor, a fine, or alternative sentencing like probation, rehabilitation, or community service. Note that incarceration for a misdemeanor is in jail rather than prison. The difference between jail and prison is that cities and counties

operate jails, and the state or federal government operates prisons, depending on the crime. The restrictive nature of the confinement also differs between jail and prison. Jails are for defendants who have committed less serious offenses, so they are generally less restrictive than prisons.

Felony-Misdemeanors

Felony-misdemeanors are crimes that the government can prosecute and punish as either a felony or a misdemeanor, depending on the particular circumstances accompanying the offense. The discretion whether to prosecute the crime as a felony or misdemeanor usually belongs to the judge, but in some instances the prosecutor can make the decision.

Infractions

Infractions, which can also be called violations, are the least serious crimes and include minor offenses such as jaywalking and motor vehicle offenses that result in a simple traffic ticket. Infractions are generally punishable by a fine or alternative sentencing such as traffic school.

Figure 1.3 Diagram of Grading

Most Serious

Less Serious

Less Serious

Least Serious

Key Takeaways

• Grading is based on the severity of punishment.

• Malum in se crimes are evil in their nature, like murder. Malum prohibitum crimes are regulatory, like a failure to pay income taxes.

• Felonies are graded the highest. Punishment options for felonies include the following:

◦ Execution

◦ Prison time

◦ Fines

◦ Alternative sentencing such as probation, rehabilitation, and home confinement

• Misdemeanors are graded lower than felonies. Punishment options for misdemeanors include the following:

1.4 Classification of Crimes 14

◦ Jail time of one year or less per misdemeanor

◦ Fines

◦ Alternative sentencing such as probation, rehabilitation, and community service

• Felony-misdemeanors are punished as either a felony or a misdemeanor.

• Infractions, also called violations, are graded lower than misdemeanors and have less severe punishment options:

◦ Fines

◦ Alternative sentencing, such as traffic school

• One difference between jail and prison is that cities and counties operate jails, and the state or federal government operates prisons, depending on the crime. The restrictive nature of the confinement is another difference. Jails are for defendants who have committed less serious offenses, so they are generally less restrictive than prisons.

Exercises

Answer the following questions. Check your answers using the answer key at the end of the chapter.

1. Harrison kills Calista and is prosecuted and sentenced to one year in jail. Did Harrison commit a felony or a misdemeanor?

2. Read State v. Gillison, 766 N.W. 2d 649 (2009). In Gillison, why did the Iowa Court of Appeals rule that the defendant’s prior convictions were felony convictions? What impact did this ruling have on the defendant’s sentence? The case is available at this link: http://scholar.google.com/ scholar_case?case=8913791129507413362&q= State+v.+Gillison&hl=en&as_sdt=2,5&as_vis=1.

15 Criminal Law

1.5 The Purposes of Punishment

Learning Objective

1. Ascertain the effects of specific and general deterrence, incapacitation, rehabilitation, retribution, and restitution.

Punishment has five recognized purposes: deterrence, incapacitation, rehabilitation, retribution, and restitution.

Specific and General Deterrence

Deterrence prevents future crime by frightening the defendant or the public. The two types of deterrence are specific and general deterrence. Specific deterrence applies to an individual defendant. When the government punishes an individual defendant, he or she is theoretically less likely to commit another crime because of fear of another similar or worse punishment. General deterrence applies to the public at large. When the public learns of an individual defendant’s punishment, the public is theoretically less likely to commit a crime because of fear of the punishment the defendant experienced. When the public learns, for example, that an individual defendant was severely punished by a sentence of life in prison or the death penalty, this knowledge can inspire a deep fear of criminal prosecution.

Incapacitation

Incapacitation prevents future crime by removing the defendant from society. Examples of incapacitation are incarceration, house arrest, or execution pursuant to the death penalty.

Rehabilitation

Rehabilitation prevents future crime by altering a defendant’s behavior. Examples of rehabilitation include educational and vocational programs, treatment center placement, and counseling. The court can combine rehabilitation with incarceration or with probation or parole. In some states, for example, nonviolent drug offenders must participate in rehabilitation in combination with probation, rather than submitting to incarceration (Ariz. Rev. Stat., 2010). This lightens the load of jails and prisons while lowering recidivism, which means reoffending.

Retribution

Retribution prevents future crime by removing the desire for personal avengement (in the form of assault, battery, and criminal homicide, for example) against the defendant. When victims or society discover that the defendant has been adequately punished for a crime, they achieve a certain satisfaction that our criminal procedure is working effectively, which enhances faith in law enforcement and our government.

Restitution

Restitution prevents future crime by punishing the defendant financially. Restitution is when the court orders the criminal defendant to pay the victim for any harm and resembles a civil litigation damages award. Restitution can be for physical injuries, loss of property or money, and rarely, emotional distress. It can also be a fine that covers some of the costs of the criminal prosecution and punishment.

Figure 1.4 Different Punishments and Their Purpose

Key Takeaways

• Specific deterrence prevents crime by frightening an individual defendant with punishment. General deterrence prevents crime by frightening the public with the punishment of an individual defendant.

• Incapacitation prevents crime by removing a defendant from society.

17 Criminal Law

• Rehabilitation prevents crime by altering a defendant’s behavior.

• Retribution prevents crime by giving victims or society a feeling of avengement.

• Restitution prevents crime by punishing the defendant financially.

Exercises

Answer the following questions. Check your answers using the answer key at the end of the chapter.

1. What is one difference between criminal victims’ restitution and civil damages?

2. Read Campbell v. State, 5 S.W.3d 693 (1999). Why did the defendant in this case claim that the restitution award was too high? Did the Texas Court of Criminal Appeals agree with the defendant’s claim? The case is available at this link: http://scholar.google.com/ scholar_case?case=11316909200521760089&hl=en&as_sdt=2&as_vis=1&oi=scholarr.

References

Ariz. Rev. Stat. §13-901.01, accessed February 15, 2010, http://law.justia.com/arizona/codes/title13/ 00901-01.html.

1.5 The Purposes of Punishment 18

1.6 Sources of Law

Learning Objectives

1. Identify the three sources of law.

2. Rank the three sources of law, from highest to lowest.

3. Ascertain the purpose of the US and state constitutions.

4. Ascertain one purpose of statutory law.

5. Ascertain the purpose of case law.

6. Define judicial review.

7. Diagram and explain the components of a case brief.

Law comes from three places, which are referred to as the sources of law.

Constitutional Law

The first source of law is constitutional law. Two constitutions are applicable in every state: the federal or US Constitution, which is in force throughout the United States of America, and the state’s constitution. The US Constitution created our legal system, as is discussed in Chapter 2 “The Legal System in the United States”. States’ constitutions typically focus on issues of local concern.

The purpose of federal and state constitutions is to regulate government action. Private individuals are protected by the Constitution, but they do not have to follow it themselves.

Example of Government and Private Action

Cora stands on a public sidewalk and criticizes President Obama’s health-care plan. Although other individuals may be annoyed by Cora’s words, the government cannot arrest or criminally prosecute Cora for her speech because the First Amendment of the US Constitution guarantees each individual the right to speak freely. On the other hand, if Cora walks into a Macy’s department store and criticizes the owner of Macy’s, Macy’s could eject Cora immediately. Macy’s and its personnel are private, not government, and they do not have to abide by the Constitution.

Exceptions to the Constitution

The federal and state constitutions are both written with words that can be subject to more than one interpretation. Thus there are many exceptions to any constitution’s protections. Constitutional protections and exceptions are discussed in detail in Chapter 3 “Constitutional Protections”.

For safety and security reasons, we see more exceptions to constitutional protections in public schools and prisons. For example, public schools and prisons can mandate a certain style of dress for the purpose of ensuring safety. Technically, forcing an individual to dress a specific way could violate the right to self-expression, which the First Amendment guarantees. However, if wearing a uniform can lower gang-related conflicts in school and prevent prisoners from successfully escaping, the government can constitutionally suppress free speech in these locations.

Superiority of the Constitution

Of the three sources of law, constitutional law is considered the highest and should not be supplanted by either of the other two sources of law. Pursuant to principles of federal supremacy, the federal or US Constitution is the most preeminent source of law, and state constitutions cannot supersede it. Federal constitutional protections and federal supremacy are discussed in Chapter 2 “The Legal System in the United States” and Chapter 3 “Constitutional Protections”.

Statutory Law

The second source of law is statutory law. While the Constitution applies to government action, statutes apply to and regulate individual or private action. A statute is a written (and published) law that can be enacted in one of two ways. Most statutes are written and voted into law by the legislative branch of government. This is simply a group of individuals elected for this purpose. The US legislative branch is called Congress, and Congress votes federal statutes into law. Every state has a legislative branch as well, called a state legislature, and a state legislature votes state statutes into law. Often, states codify their criminal statutes into a penal code.

State citizens can also vote state statutes into law. Although a state legislature adopts most state statutes, citizens voting on a ballot can enact some very important statutes. For example, a majority of California’s citizens voted to enact California’s medicinal marijuana law (California Compassionate Use Act of 1996, 2010). California’s three-strikes law was voted into law by both the state legislature and California’s citizens and actually appears in the California Penal Code in two separate places (Brown, B., and Jolivette, G., 2010).

Statutory Law’s Inferiority

Statutory law is inferior to constitutional law, which means that a statute cannot conflict with or attempt to supersede constitutional rights. If a conflict exists between constitutional and statutory law, the courts must resolve

1.6 Sources of Law 20

the conflict. Courts can invalidate unconstitutional statutes pursuant to their power of judicial review, which is discussed in an upcoming section.

Administrative Laws and Ordinances

Other written and published laws that apply to individuals are administrative laws and ordinances. Administrative laws and ordinances should not supersede or conflict with statutory law.

Administrative laws are enacted by administrative agencies, which are governmental agencies designed to regulate in specific areas. Administrative agencies can be federal or state and contain not only a legislative branch but also an executive (enforcement) branch and judicial (court) branch. The Food and Drug Administration (FDA) is an example of a federal administrative agency. The FDA regulates any food products or drugs produced and marketed in the United States.

Ordinances are similar to statutes, except that cities and counties vote them into law, rather than a state’s legislature or a state’s citizens. Ordinances usually relate to health, safety, or welfare, and violations of them are typically classified as infractions or misdemeanors, rather than felonies. A written law prohibiting jaywalking within a city’s or county’s limits is an example of an ordinance.

Model Penal Code

State criminal laws differ significantly, so in the early 1960s a group of legal scholars, lawyers, and judges who were members of the American Law Institute drafted a set of suggested criminal statutes called the Model Penal Code. The intent of the Model Penal Code was to provide a standardized set of criminal statutes that all states could adopt, thus simplifying the diversity effect of the United States’ legal system. While the Model Penal Code has not been universally adopted, a majority of the states have incorporated portions of it into their penal codes, and the Model Penal Code survives as a guideline and focal point for discussion when state legislatures modify their criminal statutes.

Case Law

The third source of law is case law. When judges rule on the facts of a particular case, they create case law. Federal case law comes from federal courts, and state case law comes from state courts. Case law has its origins in English common law.

English Common Law

In Old England, before the settlement of the United States, case law was the most prevalent source of law. This was in contrast to countries that followed the Roman Law system, which primarily relied on written codes of conduct enacted by legislature. Case law in England was mired in tradition and local customs. Societal principles

21 Criminal Law

of law and equity were the guidelines when courts issued their rulings. In an effort to be consistent, English judges made it a policy to follow previous judicial decisions, thereby creating a uniform system of laws throughout the country for the first time. Case law was named common law because it was common to the entire nation (Duhaime, L., 2010).

The English system of jurisprudence made its way to the United States with the original colonists. Initially, the thirteen colonies unanimously adopted common law as the law of the land. All crimes were common-law crimes, and cases determined criminal elements, defenses, and punishment schemes. Gradually, after the Revolutionary War, hostility toward England and modern reform led to the erosion of common-law crimes and a movement toward codification. States began replacing common-law crimes with statutes enacted by state legislatures. Oxford professor Sir William Blackstone’s Commentaries on the Law of England, which interpreted and summarized English common law, became an essential reference as the nation began the process of converting common-law principles into written statutes, ordinances, and penal codes (Duhaime, L., 2010).

Limitations on Common-Law Crimes

In modern society, in many states and the federal government (United States v. Hudson & Goodwin, 2010), judges cannot create crimes. This violates notions of fairness. Making up a new crime and punishing the defendant for it does not provide consistency or predictability to our legal system. It also violates the principle of legality, a core concept of American criminal justice embodied in this phrase: “Nullum crimen sine lege, nulla poena sine crimen” (No crime without law, no punishment without crime).

In states that do not allow common-law crimes, statutes must define criminal conduct. If no statute exists to criminalize the defendant’s behavior, the defendant cannot be criminally prosecuted, even if the behavior is abhorrent. As the Model Penal Code states, “[n]o conduct constitutes an offense unless it is a crime or violation under this Code or another statute of this State” (Model Penal Code § 1.05(1)).

The common law still plays an important role in criminal lawmaking, even though most crimes are now embodied in statutes. Classification of crimes as felonies and misdemeanors is a reflection of English common law. Legislatures often create statutes out of former common-law crimes. Judges look to the common law when defining statutory terms, establishing criminal procedure, and creating defenses to crimes. The United States is considered a common-law country. Every state except Louisiana, which is based on the French Civil Code, adopts the common law as the law of the state except where a statute provides otherwise (Legal Definition, 2010).

Example of a Court’s Refusal to Create a Common-Law Crime

Read Keeler v. Superior Court, 470 P.2d 617 (1970). In Keeler, the defendant attacked his pregnant ex-wife, and her baby was thereafter stillborn. The California Supreme Court disallowed a murder charge against Keeler under California Penal Code § 187 because the statute criminalized only the malicious killing of a “human being.” The court reached its decision after examining the common-law definition of human being and determining that the definition did not include a fetus. The court reasoned that it could not create a new crime without violating the due process clause, separation of powers, and California Penal Code § 6, which prohibits the creation of common- law crimes. After the Keeler decision, the California Legislature changed Penal Code § 187 to include a fetus, excepting abortion (Cal. Penal Code, 2010).

1.6 Sources of Law 22

Powerful Nature of Case Law

Generally, if there is a statute on an issue, the statute is superior to case law, just as the Constitution is superior to statutory law. However, judges interpret constitutional and statutory law, making case law a powerful source of law. A judge can interpret a constitution in a way that adds or creates exceptions to its protections. A judge can also interpret a statute in a way that makes it unconstitutional and unenforceable. This is called the power of judicial review (Marbury v. Madison, 2010).

Example of Judicial Review

An example of judicial review is set forth in Texas v. Johnson, 491 U.S. 397 (1989). In Johnson, the US Supreme Court ruled that burning a flag is protected self-expression under the First Amendment to the US Constitution. Thus the Court reversed the defendant’s conviction under a Texas statute that criminalized the desecration of a venerated object. Note how Johnson not only invalidates a state statute as being inferior to the US Constitution but also changes the US Constitution by adding flag burning to the First Amendment’s protection of speech.

Figure 1.5 Diagram and Hierarchy of the Sources of Law

23 Criminal Law

Stare Decisis and Precedent

Cases are diverse, and case law is not really law until the judge rules on the case, so there must be a way to ensure case law’s predictability. It would not be fair to punish someone for conduct that is not yet illegal. Thus judges adhere to a policy called stare decisis. Stare decisis is derived from English common law and compels judges to follow rulings in previous cases. A previous case is called precedent. Once judges have issued a ruling on a particular case, the public can be assured that the resulting precedent will continue to be followed by other judges. Stare decisis is not absolute; judges can deviate from it to update the law to conform to society’s modern expectations.

Rules of Stare Decisis and Use of Precedent

Case precedent is generally an appeal rather than a trial. There is often more than one level of appeal, so some appeals come from higher courts than others. This book discusses the court system, including the appellate courts, in Chapter 2 “The Legal System in the United States”.

Many complex rules govern the use of precedent. Lawyers primarily use precedent in their arguments, rather than statutes or the Constitution, because it is so specific. With proper research, lawyers can usually find precedent that matches or comes very close to matching the facts of any particular case. In the most general sense, judges tend to follow precedent that is newer, from a high court, and from the same court system, either federal or state.

Example of Stare Decisis and Use of Precedent

Geoffrey is a defense attorney for Conrad, who is on trial for first-degree murder. The murder prosecution is taking place in New Mexico. Geoffrey finds case precedent from a New York Court of Appeals, dated 1999, indicating that Conrad should have been prosecuted for voluntary manslaughter, not first-degree murder. Brandon, the prosecuting attorney, finds case precedent from the New Mexico Supreme Court, dated 2008, indicating that a first-degree murder prosecution is appropriate. The trial court will probably follow the precedent submitted by Brandon because it is newer, from a higher court, and from the same court system as the trial.

Case Citation

Cases must be published to become case law. A published case is also called a judicial opinion. This book exposes you to many judicial opinions that you have the option of reading on the Internet. It is essential to understand the meaning of the case citation. The case citation is the series of numbers and letters after the title of the case and it denotes the case’s published location. For example, let’s analyze the case citation for Keeler v. Superior Court, 470 P.2d 617 (1970).

Figure 1.6 Keeler Case Citation

1.6 Sources of Law 24

As you can see from the diagram, the number 470 is the volume number of the book that published the Keeler case. The name of that book is “P.2d” (this is an abbreviation for Pacific Reports, 2d Series). The number 617 is the page number of the Keeler case. The date (1970) is the date the California Supreme Court ruled on the case.

Case Briefing

It is useful to condense judicial opinions into case brief format. The Keeler case brief is shown in Figure 1.7 “Keeler Case Brief”.

Figure 1.7 Keeler Case Brief

25 Criminal Law

Read this case at the following link: http://scholar.google.com/ scholar_case?case=2140632244672927312&hl=en&as_sdt=2&as_vis=1&oi=scholarr.

Published judicial opinions are written by judges and can be lengthy. They can also contain more than one case law, depending on the number of issues addressed. Case briefs reduce a judicial opinion to its essentials and can be instrumental in understanding the most important aspects of the case. Standard case brief formats can differ, but one format that attorneys and paralegals commonly use is explained in the following paragraph.

Review the Keeler case brief. The case brief should begin with the title of the case, including the citation. The next component of the case brief should be the procedural facts. The procedural facts should include two pieces of information: who is appealing and which court the case is in. As you can see from the Keeler case brief, Keeler brought an application for a writ of prohibition, and the court is the California Supreme Court. Following the procedural facts are the substantive facts, which should be a short description of the facts that instigated the court trial and appeal. The procedural and substantive facts are followed by the issue. The issue is the question the court is examining, which is usually the grounds for appeal. The case brief should phrase the issue as a question. Cases usually have more than one issue. The case brief can state all the issues or only the issue that is most important. The substantive holding comes after the issue, is actually the case law, and answers the issue question. If more than one issue is presented in the case brief, a substantive holding should address each issue.

Figure 1.8 Example of a Substantive Holding

1.6 Sources of Law 26

Marbury v. Madison, 5 U.S. (1 Cranch) 137 (1803), http://www.law.cornell.edu/supct/html/historics/ USSC_CR_0005_0137_ZS.html.

A procedural holding should follow the substantive holding. The procedural holding discusses what the court did procedurally with the case. This could include reversing the lower court’s ruling, affirming the lower court’s ruling, or adjusting a sentence issued by the lower court. This book discusses court procedure in detail in Chapter 2 “The Legal System in the United States”. Last, but still vital to the case brief, is the rationale. The rationale discusses the reasoning of the judges when ruling on the case. Rationales can set policy, which is not technically case law but can still be used as precedent in certain instances.

One judge writes the judicial opinion. Judges vote how to rule, and not all cases are supported by a unanimous ruling. Occasionally, other judges will want to add to the judicial opinion. If a judge agrees with the judicial opinion, the judge could write a concurring opinion, which explains why the judge agrees. If a judge disagrees with the judicial opinion, the judge could write a dissenting opinion explaining why the judge disagrees. The dissenting opinion will not change the judicial opinion, but it may also be used as precedent in a future case if there are grounds for changing the law.

Key Takeaways

• The three sources of law are constitutional, statutory, and case law.

• The sources of law are ranked as follows: first, constitutional; second, statutory; and third, case law. Although it is technically ranked the lowest, judicial review makes case law an extremely powerful source of law.

• The purpose of the US and state constitutions is to regulate government action.

• One purpose of statutory law is to regulate individual or private action.

• The purpose of case law is to supplement the law when there is no statute on point and also to interpret statutes and the constitution(s).

• The court’s power to invalidate statutes as unconstitutional is called judicial review.

27 Criminal Law

• The components of a case brief are the following:

◦ The title, plus citation. The citation indicates where to find the case.

◦ The procedural facts of the case. The procedural facts discuss who is appealing and in which court the case is located.

◦ The substantive facts. The substantive facts discuss what happened to instigate the case.

◦ The issue. The issue is the question the court is examining.

◦ The substantive holding. The substantive holding answers the issue question and is the case law.

◦ The procedural holding. The procedural holding discusses what the court did procedurally with the case.

◦ The rationale. The rationale is the reason the court held the way it did.

Exercises

Answer the following questions. Check your answers using the answer key at the end of the chapter.

1. Hal invents a new drug that creates a state of euphoria when ingested. Can Hal be criminally prosecuted for ingesting his new drug?

2. Read Shaw v. Murphy, 532 U.S. 223 (2001). Did the US Supreme Court allow prison inmates the First Amendment right to give other inmates legal advice? Why or why not? The case is available at this link: http://scholar.google.com/ scholar_case?case=9536800826824133166&hl=en&as_sdt=2&as_vis=1&oi=scholarr.

3. Read Justice Scalia’s dissenting opinion in Lawrence v. Texas, 539 U.S. 558 (2003). What is the primary reason Justice Scalia dissented to the US Supreme Court’s opinion in Lawrence? The dissenting opinion is available at this link: http://www.law.cornell.edu/supct/html/02-102.ZD.html. The judicial opinion in Lawrence v. Texas is available at this link: http://www.law.cornell.edu/supct/html/02-102.ZS.html.

References

Brown, B., and Jolivette, G., “A Primer: Three Strikes—The Impact after More Than a Decade,” Legislative Analyst’s Office website, accessed February 15, 2010, http://www.lao.ca.gov/2005/3_strikes/ 3_strikes_102005.htm.

Cal. Penal Code § 187, accessed August 23, 2010, http://codes.lp.findlaw.com/cacode/PEN/3/1/8/1/s187. California Compassionate Use Act of 1996, Cal. Health and Safety Code § 11362.5, accessed February 15,

2010, http://www.cdph.ca.gov/programs/mmp/Pages/Medical%20Marijuana%20Program.aspx. Duhaime, L., “Common Law Definition,” Duhaime.org website, accessed September 26, 2010,

http://www.duhaime.org/LegalDictionary/C/CommonLaw.aspx. Legal Definition, “Common Law,” Lectlaw.com website, accessed September 26, 2010,

http://www.lectlaw.com/def/c070.htm.

1.6 Sources of Law 28

Marbury v. Madison, 5 U.S. (1 Cranch) 137 (1803), accessed February 15, 2010, http://www.law.cornell.edu/ supct/html/historics/USSC_CR_0005_0137_ZS.html.

United States v. Hudson & Goodwin, 11 U.S. 32 (1812), accessed September 24, 2010, http://openjurist.org/11/ us/32/the-united-states-v-hudson-and-goodwin.

29 Criminal Law

1.7 End-of-Chapter Material

Summary

A crime is action or inaction in violation of a criminal law. Criminal laws vary from state to state and from state to federal.

The study of criminal law defines crimes and defenses to crimes. The study of criminal procedure focuses on the enforcement of rights by individuals while submitting to government investigation, arrest, interrogation, trial, and appeal.

A civil lawsuit or civil litigation matter resolves a dispute between individuals, called a plaintiff (the injured party) and defendant (the alleged wrongdoer). Every civil litigation matter includes a victim (the plaintiff), which has suffered harm. The goal of the civil litigation matter is to compensate the plaintiff for injury. The court can compensate the plaintiff by awarding money, which is called damages. Both parties in a civil litigation matter must represent themselves or hire private attorneys.

A criminal prosecution takes place when the government, represented by a prosecutor, takes legal action against the defendant (the alleged wrongdoer) for committing a crime. Some criminal prosecutions do not include a victim, or harm, because the goal of the criminal prosecution is punishment, not compensation. Every criminal prosecution involves the government, so the US and state constitutions provide the criminal defendant with extra protections not present in a civil lawsuit, such as free counsel when the defendant is indigent and facing incarceration.

Crimes can be classified according to the severity of punishment. The most serious crimes with the entire range of sentencing options available are felonies. Misdemeanors are less serious than felonies and have less severe sentencing options. Felony-misdemeanors can be prosecuted and punished as a felony or a misdemeanor, depending on the circumstances. Infractions, also called violations, are the least serious crimes and generally do not involve incarceration. The purposes of punishing a criminal defendant are both specific and general deterrence, incapacitation, rehabilitation, retribution, and restitution.

Law comes from three sources: the Constitution, a statute, or a case. The Constitution is the highest source of law but is only applicable when there is government action. Statutory law applies to individuals but is inferior to constitutional law. Case law is law made by judges when they rule on the facts of a case. Although case law is technically inferior to statutory law, judges must interpret statutes and the Constitution, so case law can be the most powerful source of law. When a case invalidates a statute as unconstitutional, this action is called judicial review. Case law stays consistent because judges follow previous court decisions, called precedent. This policy, called stare decisis, lends predictability to case law but is not absolute, and courts can deviate from it to update the law.

You Be the Lawyer

Read the prompt, review the case, and then decide whether you would accept or reject the case if you were the lawyer. Check your answers using the answer key at the end of the chapter.

1. You are an expert in criminal law, not civil litigation. Would you accept or reject this case? Read Cetacean Community v. Bush, 386 F.3d 1169 (9th Cir. 2004). The case is available at this link: http://scholar.google.com/ scholar_case?case=14748284771413043760&hl=en&as_sdt=2&as_vis=1&oi=scholarr.

2. You are an expert in criminal law, not criminal procedure. Would you accept or reject this case? Read

People v. Wrotten, 2010 N.Y. Slip Op 04501 (2010). The case is available at this link: http://law.justia.com/ cases/new-york/appellate-division-first-department/2010/2010-04501.html

3. You are an expert in constitutional law. Would you accept or reject this case? Read Wilson v. Layne, 526 U.S. 603 (1999). The case is available at this link: http://www.law.cornell.edu/supct/html/98-83.ZS.html.

4. Reread question 3. Change your expertise to constitutional law as it applies to criminal prosecutions. Would you accept or reject the Wilson case?

Cases of Interest

• Padilla v. Gonzales, 397 F.3d 1016 (2005), discusses malum in se and malum prohibitum crimes: http://scholar.google.com/scholar_case?case=5187582705718052419&q= malum+in+se+ malum+in+prohibitum&hl=en&as_sdt=2,5&as_ylo=2004&as_vis=1.

• Rogers v. Tennessee, 532 U.S. 451 (2001), discusses a state’s ability to create a common-law crime: http://www.law.cornell.edu/supct/html/99-6218.ZS.html.

• Roe v. Wade, 410 U.S. 113 (1973), is the case in which the US Supreme Court invalidates a state statute criminalizing abortion: http://www.law.cornell.edu/supct/html/historics/USSC_CR_0410_0113_ZO.html.

Articles of Interest

• Model Penal Code: http://legal-dictionary.thefreedictionary.com/Model+Penal+Code

• Stare decisis: http://civilliberty.about.com/od/historyprofiles/g/stare_decisis.htm

Websites of Interest

• Federal criminal statutes: http://www.law.cornell.edu/uscode/18

• State criminal statutes: http://www.legallawhelp.com/state_law/

• Government agencies in alphabetical order: https://www.usa.gov/federal-agencies/a

• Complete federal Constitution: http://topics.law.cornell.edu/constitution

• State constitutions: http://www.thegreenpapers.com/slg/links.phtml

Statistics of Interest

• State prosecutors in the United States: http://bjs.ojp.usdoj.gov/index.cfm?ty=pbse&sid=9

31 Criminal Law

• Felony convictions in the US state courts: http://bjs.ojp.usdoj.gov/index.cfm?ty=pbdetail&iid=2152

• Estimated crime statistics in the United States: http://www.ucrdatatool.gov/Search/Crime/State/ RunCrimeStatebyState.cfm

Answer to Exercise

From Section 1.1 “Introduction”

1. The US Supreme Court held that the attorney general cannot criminalize the use of drugs under Oregon’s Death With Dignity Act by enforcing the Controlled Substances Act. The Controlled Substances Act is targeted at preventing recreational drug use, and, therefore, the Court upheld Oregon’s ability to legalize assisted suicide.

Answers to Exercises

From Section 1.2 “Criminal Law and Criminal Procedure”

1. This is an issue of criminal law. Although Paul is a law enforcement officer, when he shoots Barney while he is facedown in handcuffs, he may be committing a crime. The question in this case is not whether the arrest was executed properly, but whether a crime was committed after the arrest.

2. Payton reviews a New York statute allowing law enforcement to arrest a defendant in the home without a warrant. This case focuses on law enforcement arrest, so it examines an issue of criminal procedure.

Answers to Exercises

From Section 1.3 “The Difference between Civil and Criminal Law”

1. This is a civil litigation matter. Although the incident involves Jerry, who is a law enforcement officer, and it takes place while Jerry is writing a traffic ticket, Jerry is suing Juanita for damages. Thus this is civil litigation, not criminal prosecution. If Juanita is prosecuted for the crime of filing a false police report, then this would be a criminal prosecution.

2. The Johnson case reviews an award of damages and is thus a civil litigation matter. Criminal conversation is the tort of adultery in North Carolina.

Answers to Exercises

From Section 1.4 “Classification of Crimes”

1.7 End-of-Chapter Material 32

1. This crime is probably a misdemeanor because Harrison was sentenced to one year in jail, rather than prison. Although the result, Calista’s death, is very serious, the method of killing may have been accidental. Criminal homicide is discussed in Chapter 9 “Criminal Homicide”.

2. The Iowa Court of Appeals based its ruling on New Jersey law. Although New Jersey named the offenses “high misdemeanors,” New Jersey case law indicates that any offense with a sentence of one year or more incarceration is a common-law felony. This triggered a sentencing enhancement increasing the defendant’s sentence to an indeterminate sentence of incarceration not to exceed fifteen years.

Answers to Exercises

From Section 1.5 “The Purposes of Punishment”

1. The court awards criminal restitution to the victim after a state or federal prosecutor is successful in a criminal trial. Thus the victim receives the restitution award without paying for a private attorney. A plaintiff that receives damages has to pay a private attorney to win the civil litigation matter.

2. In Campbell, the defendant entered a plea agreement specifying that he had committed theft in an amount under $100,000. The trial court determined that the defendant had actually stolen $100,000 and awarded restitution of $100,000 to various victims. The defendant claimed that this amount was excessive because it exceeded the parameters of the theft statute he was convicted of violating. The Texas Court of Criminal Appeals disagreed and held that the discretion of how much restitution to award belongs to the judge. As long as the judge properly ascertained this amount based on the facts, restitution could exceed the amount specified in the criminal statute the defendant was convicted of violating.

Answers to Exercises

From Section 1.6 “Sources of Law”

1. Hal can be prosecuted for ingesting his new drug only if he is in a state that allows for common-law crimes. The drug is new, so the state legislature will probably not have criminalized it by enacting a statute.

2. The US Supreme Court held that inmates do not have the First Amendment right to give other inmates legal advice. The Court based its ruling on the prison’s interest in ensuring prison order, security, and inmate rehabilitation. The Court stated, “We nonetheless have maintained that the constitutional rights that prisoners possess are more limited in scope than the constitutional rights held by individuals in society at large” (Shaw v. Murphy, 2010).

3. Justice Scalia criticized the US Supreme Court majority for not adhering to stare decisis. According to Justice Scalia, the Court did not follow a recent (seventeen-year-old) precedent set in Bowers v. Hardwick.

Answers to Law and Ethics Questions

1. The reason criminal defendants get special protections not extended to civil litigation defendants is the

33 Criminal Law

harshness of the punishment and the inequality of the criminal prosecution itself. Criminal defendants may lose their life or their liberty. Civil litigation defendants risk only a loss of money. In addition, criminal defendants face the intimidating prospect of fighting the government and all its vast resources. Civil litigation defendants are squaring off against another individual. As a society, we believe that there is nothing as unjust as punishing an innocent person. Thus we give criminal defendants special protections to level the playing field.

2. The criminal trial took place first because O. J. Simpson was a criminal defendant and therefore had the benefit of the Sixth Amendment right to a speedy trial. Constitutional protections are discussed in Chapter 3 “Constitutional Protections”.

Answers to You Be the Lawyer

1. In this case, the plaintiffs are seeking an injunction. The plaintiffs are not the government; they are a group of fish. They are not suing for the goal of punishment, but rather to compel the president of the United States and the secretary of defense to review the use of certain naval equipment. Thus this is a civil litigation matter and you should reject the case.

2. The Court is reviewing the Sixth Amendment right to confront accusers. In this case, a witness who was too ill to travel was permitted to testify via live, two-way video instead of testifying in the courtroom in front of the defendant. The New York Supreme Court held that under the circumstances, this testimony complied with the Sixth Amendment. This case focuses on the defendant’s constitutional rights during his criminal trial, so this is a criminal procedure issue and you should reject the case.

3. The US Supreme Court held that it is unconstitutional under the Fourth Amendment when law enforcement brings media along while executing a search. Thus this is a federal constitutional issue and you should accept the case.

4. In Wilson, the Court decided that the plaintiff was not entitled to damages when suing law enforcement under 42 U.S.C. § 1983. Thus although this case involves the Fourth Amendment, it is essentially a civil litigation matter, and you should reject the case.

References

Shaw v. Murphy, 532 U.S. 223, 229 (2001), accessed October 4, 2010, http://scholar.google.com/ scholar_case?case=9536800826824133166&hl=en&as_sdt=2&as_vis=1&oi=scholarr.

1.7 End-of-Chapter Material 34

Chapter 2: The Legal System in the United States

Brent Moore – Gordon County Courthouse – Calhoun, GA – CC BY-NC 2.0.

The requirement of proof beyond a reasonable doubt has this vital role in our criminal procedure for cogent reasons. The accused, during a criminal prosecution, has at stake interests of immense importance, both because of the possibility that he may lose his liberty upon conviction and because of the certainty that he would be stigmatized by the conviction.

—In re: Winship, cited in Section 2 “Burden of Proof in a Criminal Prosecution”

2.1 Federalism

Learning Objectives

1. Define federalism.

2. Ascertain the sections of the Constitution that give Congress regulatory authority.

3. Ascertain the basis for Congress’s authority to enact criminal laws.

4. Compare federal regulatory authority with state regulatory authority.

5. Compare federal criminal laws with state criminal laws.

6. Define federal supremacy.

The United States’ system of government is called federalism. Federalism, as set forth in the US Constitution, divides governmental power between the federal government and each of the states. This prevents a concentrated source of governmental power in one individual or small group of individuals. Because of federalism, the United States has one federal legal system, and each state has its own state legal system. Thus in the United States, a plethora of legal systems all operate harmoniously at the same time.

The Scope of Federal Law

The government’s power to regulate comes from the US Constitution. The federal government derives its authority to create law from Article I, § 8, which discusses federal Congress’s exclusive or delegated powers. These include the power to regulate currency and coin, establish a post office, promote science and art by regulating the rights to discoveries and writings, declare war and raise armies, conduct foreign affairs, regulate interstate and foreign commerce, and make laws necessary and proper to execute other powers expressly granted in the Constitution. Courts have interpreted the last two powers mentioned in the commerce clause and the necessary and proper clause to be the broadest sources of federal regulatory authority.

To simplify and summarize precedent defining federal regulatory authority, federal laws are meant to regulate in two areas. First, federal laws regulate issues that concern the country, rather than just one city, county, or state. The federal government regulates in the area of foreign affairs, for example, because this affects the United States of America, not just one particular region. Second, federal laws regulate commerce, which is economic activity, that crosses from state to state. Some common examples are television broadcasts, the Internet, and any form of transportation such as the airlines.

Federal Criminal Laws

The original intent was for the federal government to be a limited government, with the bulk of regulatory authority residing in the states. The only crimes Congress is specifically authorized to punish are piracies and felonies on the high seas, counterfeiting, and treason; however, case precedent has expanded the federal government’s power to enact criminal laws based on the commerce clause and the necessary and proper clause (McCulloch v. Maryland, 2010). Still, there must be some connection to an issue of national character and interstate commerce, or the federal government will overstep its authority. In general, federal criminal laws target conduct that occurs on federal property or conduct involving federal employees, currency, coin, treason, national security, rights secured by the Constitution, or commerce that crosses state lines. Currently, over five hundred crimes are listed in Part I, Title 18 of the United States Code, which codifies criminal laws for the federal government.

Figure 2.1 Diagram of Federal Laws

The Scope of State Law

The US Constitution designates the states as the primary regulatory authority. This is clarified in the Tenth Amendment, which reads, “The powers not delegated to the United States by the Constitution, nor prohibited to it by the States, are reserved to the States respectively, or the people.” State laws are also supposed to regulate in two areas. First, state laws regulate issues of a local character or concern. A state may regulate, for example,

37 Criminal Law

its water ownership and use because water can be scarce and is not generally provided to other states. Second, state laws regulate issues or things that remain within a state’s border. A state generally regulates, for example, the operation of a small business whose products are only sold locally and not shipped out of the state.

Federal laws are the same in every state, but state laws differ from state to state. Something that is legal in one state may be illegal in another state. This inconsistency makes our system of federalism complicated for students (and lawyers). However, with a country as large and varied as the United States, it is sensible to allow each state to choose for itself which laws will be most suitable.

State Criminal Laws

The power to enact criminal laws belongs almost exclusively to the states. This is because of the Tenth Amendment, which vests in states a police power to provide for the health, safety, and welfare of state citizens. Approximately 90 percent of all criminal laws are state, rather than federal. Often, federal crimes are also state crimes and can be prosecuted and punished by both the state and federal government without violating the principle of double jeopardy.

Example of the Diversity of State Laws

In Nevada, prostitution is legal under certain circumstances (N.R.S., 2010). An individual who engages in prostitution inside a licensed “house of prostitution” in Nevada is not exposed to criminal liability. However, if the same individual engages in prostitution in a different state, he or she may be subject to a criminal prosecution. Prostitution will be discussed in detail in Chapter 12 “Crimes against the Public”.

Figure 2.2 Crack the Code

2.1 Federalism 38

Federal Supremacy

Our legal system is divided up to conform to the principle of federalism, so a potential exists for conflict between federal law and state law. A federal law may make something illegal; a state law may insist that it is legal. Whenever a conflict occurs between federal and state law, courts must follow the federal law. This is called federal supremacy. As the Supremacy Clause of Article VI of the federal Constitution states, “This Constitution, and the Laws of the United States which shall be made in Pursuance thereof; and all Treaties made, or which shall be made, under the Authority of the United States, shall be the supreme Law of the Land; and the Judges in every State shall be bound thereby, any Thing in the Constitution or Laws of any State to the Contrary notwithstanding.”

Example of Federal Supremacy

In Washington and several other states, an individual may possess and use marijuana for medicinal purposes with a prescription (Washington State Medicinal Marijuana Act, 2010; ProCon.org, 2010). Federal law prohibits possession and use of marijuana under any circumstances (21 U.S.C., 2010). Technically, this could be a conflict that violates federal supremacy. Until the courts address the federal supremacy issue, however, medical marijuana statutes can continue to stay in effect. Read about a recent ruling regarding the constitutionality of Michigan’s medicinal marijuana law under the Supremacy Clause: http://www.pressandguide.com/articles/2011/ 04/09/news/doc4d9f557b8ab37805648033.txt.

Figure 2.3 Diagram of State Laws

39 Criminal Law

Law and Ethics: The Arizona Immigration Law

Can a State Regulate Immigration?

Arizona passed a comprehensive immigration law designed to seek out and deport illegal immigrants. This law created a national furor, and its detractors insisted it would lead to unethical racial profiling. The federal government attacked the law in Federal District Court (Archibold, R. C., 2010). Judge Susan Bolton issued a preliminary injunction that stopped enforcement of the sections of the law that required state law enforcement to check an immigrant’s status while enforcing other laws and that required immigrants to prove they were in the country legally or risk state charges (Archibold, R. C., 2010). Read the District Court’s preliminary injunction ruling, which is available at this link: http://graphics8.nytimes.com/packages/pdf/national/20100729_ARIZONA_DOC.pdf.

1. What is the basis for Judge Bolton’s decision? Check your answer using the answer key at the end of the chapter.

Read about the most recent ruling on Arizona’s immigration law by the US Court of Appeals for the Ninth Circuit: http://latindispatch.com/2011/05/10/arizonas-jan-brewer-to-appeal-immigration-law-to-u-s-supreme-court/.

Read about Utah’s immigration law: http://www.cnn.com/2011/POLITICS/05/11/utah.immigration.bill/.

Read about Alabama’s immigration law: http://www.reuters.com/article/2011/06/10/ tagblogsfindlawcom2011-freeenterprise-idUS123058502120110610.

2.1 Federalism 40

U.S. v. State of Arizona Video

10-16645 U.S. v. State of Arizona

This video is the Arizona governor’s appeal of the district court preliminary injunction:

” href=”http://www.youtube.com/watch?v=ClSk_OrHSIM” class=”replaced-iframe” onclick=”return replaceIframe(this)”>(click to see video)

Key Takeaways

• Federalism is a system of government in which power is divided between one national, federal government and several independent state governments.

• Congress gets its regulatory authority from Article I § 8 of the federal Constitution. This includes several delegated powers, the commerce clause, and the necessary and proper clause.

◦ The commerce clause gives Congress the power to regulate commerce that crosses state lines.

◦ The necessary and proper clause gives Congress the power to regulate if necessary to carry out all other powers listed in the Constitution.

• The Constitution specifically authorizes Congress to punish piracies and felonies on the high seas, counterfeiting, and treason. Case precedent has also expanded the federal government’s power to enact criminal laws based on the commerce clause and the necessary and proper clause.

• The federal government is intended to be limited, with the bulk of regulatory authority residing in the states. The federal government is restricted to regulating in the areas designated in Article I § 8 of the federal Constitution. The states can regulate for the health, safety, and welfare of citizens pursuant to their police power, which is set forth in the Tenth Amendment of the federal Constitution.

• Federal criminal laws criminalize conduct that occurs on federal property or involves federal employees, currency, coin, treason, national security, rights secured by the Constitution, or commerce that crosses state lines. State criminal laws make up 90 percent of all criminal laws, are designed to protect state citizens’ health, safety, and welfare, and often criminalize the same conduct as federal criminal laws.

• Federal supremacy, which is set forth in the Supremacy Clause of the federal Constitution, requires courts to follow federal laws if there is a conflict between a federal and state law.

Exercises

Answer the following questions. Check your answers using the answer key at the end of the chapter.

1. Congress passes a law criminalizing the posting of child pornography on the Internet. Where does Congress get the authority to pass this criminal law? If a state has a criminal law criminalizing the same conduct, can both the state and federal government prosecute a defendant for one act of downloading child pornography?

2. Read U.S. v. Morrison, 529 U.S. 518 (2000). Which part(s) of the Constitution did the US Supreme Court rely on when it held that 42 U.S.C. § 13981 is unconstitutional? The case is available at this link: http://www.law.cornell.edu/supct/html/99-5.ZS.html.

41 Criminal Law

3. Read Pennsylvania v. Nelson, 350 U.S. 497 (1956). Why did the US Supreme Court invalidate the Pennsylvania Sedition Act? The case is available at this link: http://supreme.justia.com/us/350/497/ case.html.

References

Archibold, R. C., “Judge Blocks Arizona’s Immigration Law,” The New York Times website, accessed October 1, 2010, http://www.nytimes.com/2010/07/29/us/29arizona.html.

McCulloch v. Maryland, 17 U.S. (4 Wheat.) 316 (1819), accessed August 28, 2010, http://www.law.cornell.edu/ supct/html/historics/USSC_CR_0017_0316_ZS.html.

N.R.S. § 201.354, accessed September 24, 2010, http://www.leg.state.nv.us/nrs/ NRS-201.html#NRS201Sec354.

Washington State Medicinal Marijuana Act, Chapter 69.51A RCW, accessed August 28, 2010, http://apps.leg.wa.gov/RCW/default.aspx?cite=69.51a&full=true.

ProCon.org website, see all states that legalize medicinal marijuana: “16 Legal Medical Marijuana States and DC,” accessed August 28, 2010, http://medicalmarijuana.procon.org/view.resource.php?resourceID=000881.

21 U.S.C. Ch. 13 § 801 et. seq., accessed October 1, 2010, http://www.deadiversion.usdoj.gov/21cfr/21usc/ index.html.

2.1 Federalism 42

2.2 The Branches of Government

Learning Objectives

1. Identify the three branches of government.

2. Ascertain the head of the federal and state legislative branches of government.

3. Compare the Senate and the House of Representatives.

4. Ascertain the head of the federal and state executive branches of government.

5. Ascertain the head of the federal and state judicial branches of government.

The federal Constitution was written to ensure that government power is distributed and never concentrated in one or more areas. This philosophy is served by federalism, where the federal government shares power with the states. It is also further served by dividing the government into three branches, all responsible for different government duties and all checking and balancing each other. The three branches of government are detailed in Articles I–III of the federal Constitution and are the legislative branch, the executive branch, and the judicial branch. While the federal Constitution identifies only the federal branches of government, the principle of checks and balances applies to the states as well. Most states identify the three state branches of government in their state constitution.

Each branch of government has a distinct authority. When one branch encroaches on the duties of another, this is called a violation of separation of powers. The courts decide whether a government branch has overstepped its boundaries because courts interpret the Constitution, which describes each branch’s sphere of influence. Thus the judicial branch, which consists of all the courts, retains the balance of power.

The Legislative Branch

The legislative branch is responsible for creating statutory laws. Citizens of a state can vote for some state statutes by ballot, but the federal legislative branch enacts all federal statutes. In the federal government, the legislative branch is headed by Congress. States’ legislative branches are headed by a state legislature. Congress is bicameral, which means it is made up of two houses. This system provides equal representation among the several states and by citizens of the United States. States are represented by the Senate. Every state, no matter how large or small, gets two senators. Citizens are represented by the House of Representatives. Membership in the House of Representatives is based on population. A heavily populated state, like California, has more representatives than a sparsely populated state, like Alaska. States’ legislatures are generally bicameral and have a similar structure to the federal system.

Figure 2.4 Diagram of the Legislative Branch

Examples of Legislative Branch Checks and Balances

The legislative branch can check and balance both the executive branch and the judicial branch. Congress can impeach the president of the United States, which is the first step toward removal from office. Congress can also enact statutes that supersede judicial opinions, as discussed in Chapter 1 “Introduction to Criminal Law”. Similarly, state legislature can also impeach a governor or enact a state statute that supersedes a state case law.

The Executive Branch

The executive branch is responsible for enforcing the statutes enacted by the legislative branch. In the federal government, the executive branch is headed by the president of the United States. States’ executive branches are headed by the governor of the state.

Figure 2.5 Diagram of the Executive Branch

2.2 The Branches of Government 44

Examples of Executive Branch Checks and Balances

The executive branch can check and balance both the legislative branch and the judicial branch. The president of the United States can veto statutes proposed by Congress. The president also has the authority to nominate federal justices and judges, who thereafter serve for life. State executive branches have similar check and balancing authority; a governor can generally veto statutes proposed by state legislature and can appoint some state justices and judges.

The Judicial Branch

The judicial branch is responsible for interpreting all laws, including statutes, codes, ordinances, and the federal and state constitutions. This power is all encompassing and is the basis for judicial review, referenced in Chapter 1 “Introduction to Criminal Law”. It allows the judicial branch to invalidate any unconstitutional law in the statutory source of law and also to change the federal and state constitutions by interpretation. For example, when a court creates an exception to an amendment to the constitution, it has made an informal change without the necessity of a national or state consensus. The federal judicial branch is headed by the US Supreme Court. Each state’s judicial branch is headed by the highest-level state appellate court. Members of the judicial branch include all judges and justices of every federal and state court in the court system, which is discussed shortly.

Figure 2.6 Diagram of the Judicial Branch

45 Criminal Law

Examples of Judicial Branch Checks and Balances

The judicial branch can check and balance both the legislative branch and the executive branch. The US Supreme Court can invalidate statutes enacted by Congress if they conflict with the Constitution. The US Supreme Court can also prevent the president from taking action if that action violates separation of powers. The state courts can likewise nullify unconstitutional statutes passed by the state legislature and void other executive branch actions that are unconstitutional.

Table 2.1 The Most Prominent Checks and Balances between the Branches

2.2 The Branches of Government 46

Government Branch Duty or Authority Check and Balance

Government Branch Checking and Balancing

Legislative Create statutes President can veto Executive

Executive Enforce statutes Congress can override presidential veto by 2/3majority Legislative

Judicial Interpret statutesand Constitution President nominates federal judges and justices Executive

Executive Enforce statutes Senate can confirm or reject presidentialnomination of federal judges and justices Legislative

Executive Enforce statutes Congress can impeach the president Legislative

Legislative Create statutes Courts can invalidate unconstitutional statutes Judicial

Executive Enforce statutes Courts can invalidate unconstitutional executiveaction Judicial

Judicial Interpret statutesand Constitution Statutes can supersede case law Legislative

Key Takeaways

• The three branches of government are the legislative branch, the executive branch, and the judicial branch.

• The head of the federal legislative branch of government is Congress. The head of the state legislative branch of government is the state legislature.

• The Senate represents every state equally because each state has two senators. The House of Representatives represents each citizen equally because states are assigned representatives based on their population.

• The head of the federal executive branch of government is the president. The head of each state executive branch of government is the governor.

• The head of the federal judicial branch of government is the US Supreme Court. The head of each state judicial branch of government is the highest-level state appellate court.

Exercises

Answer the following questions. Check your answers using the answer key at the end of the chapter.

1. A mayor enacts a policy that prohibits police officers in his city from enforcing a state law prohibiting the possession and use of marijuana. The mayor’s policy specifically states that within the city limits, marijuana is legal to possess and use. Which constitutional principle is the mayor violating? Which branch of government should check and balance the mayor’s behavior in this matter?

2. Read Youngstown Sheet & Tube Co. v. Sawyer, 343 U.S. 579 (1952). In Youngstown, President Truman seized control of steel mills to avert a strike, using his authority as commander in chief of the armed forces. President Truman wanted to ensure steel production during the Korean War. Did the US Supreme Court uphold President Truman’s action? Why or why not? The case is available at this link:

47 Criminal Law

http://supreme.justia.com/us/343/579/.

3. Read Hamdi v. Rumsfeld, 542 U.S. 507 (2004). In Hamdi, the US Supreme Court reviewed the US Court of Appeals for the Fourth Circuit’s decision prohibiting the release of a US citizen who was held as an enemy combatant in Virginia during the Afghanistan War. The citizen’s detention was based on a federal statute that deprived him of the opportunity to consult with an attorney or have a trial. Did the US Supreme Court defer to the federal statute? Why or why not? The case is available at this link: http://scholar.google.com/ scholar_case?case=6173897153146757813&hl=en&as_sdt=2&as_vis=1&oi=scholarr.

2.2 The Branches of Government 48

2.3 The Court System

Learning Objectives

1. Compare federal and state courts.

2. Define jurisdiction.

3. Compare original and appellate jurisdiction.

4. Identify the federal courts and determine each court’s jurisdiction.

5. Identify the state courts and determine each court’s jurisdiction.

Every state has two court systems: the federal court system, which is the same in all fifty states, and the state court system, which varies slightly in each state. Federal courts are fewer in number than state courts. Because of the Tenth Amendment, discussed earlier in Section 2.1.2 “The Scope of State Law”, most laws are state laws and therefore most legal disputes go through the state court system.

Federal courts are exclusive; they adjudicate only federal matters. This means that a case can go through the federal court system only if it is based on a federal statute or the federal Constitution. One exception is called diversity of citizenship (28 U.S.C. § 1332, 2010).If citizens from different states are involved in a civil lawsuit and the amount in controversy exceeds $75,000, the lawsuit can take place in federal court. All federal criminal prosecutions take place in federal courts.

State courts are nonexclusive; they can adjudicate state or federal matters. Thus an individual who wants to sue civilly for a federal matter has the option of proceeding in state or federal court. In addition, someone involved in a lawsuit based on a federal statute or the federal Constitution can remove a lawsuit filed in state court to federal court (28 U.S.C. § 1441, 2010). All state criminal prosecutions take place in state courts.

Jurisdiction

Determining which court is appropriate for a particular lawsuit depends on the concept of jurisdiction. Jurisdiction has two meanings. A court’s jurisdiction is the power or authority to hear the case in front of it. If a court does not have jurisdiction, it cannot hear the case. Jurisdiction can also be a geographic area over which the court’s authority extends.

There are two prominent types of court jurisdiction. Original jurisdiction means that the court has the power to hear a trial. Usually, only one opportunity exists for a trial, although some actions result in both a criminal and a civil trial, discussed previously in Chapter 1 “Introduction to Criminal Law”. During the trial, evidence is presented to a trier of fact, which can be either a judge or a jury. The trier of fact determines the facts of a dispute and decides which party prevails at trial by applying the law to those facts. Once the trial has concluded, the next

step is an appeal. During an appeal, no evidence is presented; the appellate court simply reviews what took place at trial and determines whether or not any major errors occurred.

The power to hear an appeal is called appellate jurisdiction. Courts that have appellate jurisdiction review the trial record for error. The trial record includes a court reporter’s transcript, which is typed notes of the words spoken during the trial and pretrial hearings. In general, with exceptions, appellate courts cannot review a trial record until the trial has ended with a final judgment. Once the appellate court has made its review, it has the ability to take three actions. If it finds no compelling or prejudicial errors, it can affirm the judgment of the trial court, which means that the judgment remains the same. If it finds a significant error, it can reverse the judgment of the trial court, which means that the judgment becomes the opposite (the winner loses, the loser wins). It can also remand, which means send the case back to the trial court, with instructions. After remand, the trial court can take action that the appellate court cannot, such as adjust a sentence or order a new trial.

Some courts have only original jurisdiction, but most courts have a little of original and appellate jurisdiction. The US Supreme Court, for example, is primarily an appellate court with appellate jurisdiction. However, it also has original jurisdiction in some cases, as stated in the Constitution, Article III, § 2, clause 2: “In all Cases affecting Ambassadors, other public Ministers and Consuls, and those in which a State shall be Party, the supreme Court shall have original Jurisdiction. In all the other Cases before mentioned, the supreme Court shall have appellate jurisdiction.”

Example of Original and Appellate Jurisdiction

Paulina is prosecuted for the attempted murder of Ariana. Paulina is represented by public defender Pedro. At Paulina’s trial, in spite of Pedro’s objections, the judge rules that Paulina’s polygraph examination results are admissible, but prohibits the admission of certain witness testimony. Paulina is found guilty and appeals, based on the judge’s evidentiary rulings. While Pedro is writing the appellate brief, he discovers case precedent barring the admission of polygraph examination results. Pedro can include the case precedent in his appellate brief but not the prohibited witness testimony. The appellate court has the jurisdiction to hold that the objection was improperly overruled by the trial court, but is limited to reviewing the trial record for error. The appellate court lacks the jurisdiction to admit new evidence not included in the trial record.

The Federal Courts

For the purpose of this book, the focus is the federal trial court and the intermediate and highest level appellate courts because these courts are most frequently encountered in a criminal prosecution. Other federal specialty courts do exist but are not discussed, such as bankruptcy court, tax court, and the court of military appeals.

The federal trial court is called the United States District Court. Large states like California have more than one district court, while smaller states may have only one. District courts hear all the federal trials, including civil and criminal trials. As stated previously, a dispute that involves only state law, or a state criminal trial, cannot proceed in district court. The exception to this rule is the diversity of citizenship exception for civil lawsuits.

After a trial in district court, the loser gets one appeal of right. This means that the intermediate appellate federal court must hear an appeal of the district court trial if there are sufficient grounds. The intermediate appellate court in the federal system is the United States Court of Appeals. There is less federal law than state

2.3 The Court System 50

law, so only thirteen US Courts of Appeals exist for all fifty states. The US Courts of Appeals are spread out over thirteen judicial circuits and are also referred to as Circuit Courts.

Circuit Courts have appellate jurisdiction and can review the district court criminal and civil trials for error. The Circuit Court reviews only trials that are federal in nature, with the exception of civil lawsuits brought to the district court under diversity of citizenship. As noted in Chapter 1 “Introduction to Criminal Law”, the federal Constitution governs criminal trials, so only a guilty defendant can appeal. In general, with exceptions, appeal of a not-guilty verdict (also called an acquittal) violates a defendant’s double jeopardy protection.

After a Circuit Court appeal, the loser has one more opportunity to appeal to the highest-level federal appellate court, which is the United States Supreme Court. The US Supreme Court is the highest court in the country and is located in Washington, DC, the nation’s capital. The US Supreme Court has eight associate justices and one chief justice: all serve a lifetime appointment.

The US Supreme Court is a discretionary court, meaning it does not have to hear appeals. Unlike the Circuit Courts, the US Supreme Court can pick and choose which appeals it wants to review. The method of applying for review with the US Supreme Court is called filing a petition for a writ of certiorari.

Any case from a Circuit Court, or a case with a federal matter at issue from a state’s highest-level appellate court, can petition for a writ of certiorari. If the writ is granted, the US Supreme Court reviews the appeal. If the writ is denied, which it is the majority of the time, the ruling of the Circuit Court or state high court is the final ruling. For this reason, the US Supreme Court reverses many cases that are accepted for review. If the US Supreme Court wants to “affirm” the intermediate appellate court ruling, all it has to do is deny the petition and let the lower court ruling stand.

The State Courts

For the purpose of this book, a representative state court system is reviewed. Slight variations in this system may occur from state to state.

Most states offer their citizens a “people’s court,” typically called small claims court. Small claims court is a civil court designed to provide state citizens with a low-cost option to resolve disputes where the amount in controversy is minimal. A traditional small claims court only has the jurisdiction to award money damages. This means that it cannot adjudicate criminal matters or family court matters such as granting a petition for divorce. Small claims courts also limit the amount of money damages available, typically less than $10,000.

Small claims court has special rules that make it amenable to the average individual. Attorneys cannot represent clients in small claims court, although they certainly can represent themselves just like any other individual. Small claims court proceedings are generally informal, and usually no court reporter types what is said. Therefore, no court record exits for appeal. Small claims court appeals are the exception to the general rule and are usually new trials where evidence is accepted.

States generally have a state trial court that can also be the appellate court for small claims court appeals. This trial court is usually called superior court, circuit court, or county court. State trial courts are generally all-purpose and hear civil litigation matters, state criminal trials, and nonlitigation cases including family law, wills and probate, foreclosures, and juvenile adjudications. States can, however, create “specialty courts” to hear special matters and free up the trial courts for basic criminal prosecutions and civil litigation trials. Some states divide their trial courts into lower and higher levels. The lower-level trial court adjudicates infractions

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and misdemeanors, along with civil lawsuits with a smaller amount in controversy. The higher-level trial court adjudicates felonies and civil lawsuits with a higher amount in controversy.

The intermediate appellate court for the state court system is usually called the state court of appeals, although some smaller or low-population states may have only one appellate court called the state supreme court. The state courts of appeal provide appeals of right, meaning they must hear an appeal coming from the state’s trial court if adequate grounds are present. Appeals can be of any case adjudicated in the state trial court. In state criminal prosecutions, as stated earlier in the discussion of federal appeals, only a guilty defendant can appeal without violating the protection against double jeopardy. At the appellate level, the state court of appeal simply reviews the trial court record for error and does not have the jurisdiction to hear new trials or accept evidence.

The highest appellate court for the state court system is usually called the state supreme court. In states that have both intermediate and high-level appellate courts, the state supreme court is a discretionary court that gets to select the appeals it hears, very similar to the US Supreme Court. The state supreme court generally grants a petition for writ of certiorari, or a petition for review, if it decides to hear a civil or criminal case coming out of the state court of appeal. If review is denied, the state court of appeal ruling is the final ruling on the case. If review is granted and the state supreme court rules on the case, the loser has one more chance to appeal, if there is a federal matter, to the US Supreme Court.

Figure 2.7 Diagram of the Court System

Key Takeaways

• Federal courts are exclusive and hear only federal matters or cases involving diversity of citizenship. State courts are nonexclusive and can hear state and federal matters. All federal criminal prosecutions take place

2.3 The Court System 52

in federal court, and all state criminal prosecutions take place in state court.

• Jurisdiction is either the court’s power to hear a matter or a geographic area over which a court has authority.

• Original jurisdiction is a court’s power to hear a trial and accept evidence. Appellate jurisdiction is a court’s power to hear an appeal and review the trial for error.

• Three federal courts adjudicate criminal matters: the trial court, which is called the United States District Court; the intermediate court of appeal, which is called the United States Court of Appeals or Circuit Court; and the high court of appeal, which is called the United States Supreme Court. The district court has original jurisdiction; the Circuit Court and US Supreme Court have primarily appellate jurisdiction.

• State courts are usually limited to four, and only three adjudicate criminal matters. Small claims court is a “people’s court” and hears only civil matters with a low threshold of damages. The state trial court, often called superior, circuit, or county court, is the trial court for the state system. Some states have an intermediate court of appeal, which is generally called the state court of appeals. Some states have a high court of appeal, which is generally called the state supreme court. The trial court has original jurisdiction; the state court of appeal and state supreme court primarily have appellate jurisdiction.

Exercises

Answer the following questions. Check your answers using the answer key at the end of the chapter.

1. Jenna sues Max for $25,000, based on a car accident that occurs in Indiana. Jenna loses at trial and appeals to the highest state appellate court in Indiana, where she loses again. Can Jenna appeal her case to the US Supreme Court? Why or why not?

2. Read United States v. P.H.E., Inc., 965 F.2d 848 (1992). In P.H.E., Inc., the defendant never went to trial but was indicted. The defendant challenged the indictment, which was upheld by the trial court. The government claimed that the Court of Appeals for the Tenth Circuit could not hear an appeal of the trial court’s decision, because there was never a “final judgment.” Did the Circuit Court agree? Why or why not? The case is available at this link: http://scholar.google.com/ scholar_case?case=16482877108359401771&hl=en&as_sdt=2&as_vis=1&oi=scholarr.

3. Read Hertz Corp. v. Friend, 130 S. Ct. 1181 (2010). How did the US Supreme Court determine citizenship of a corporation for the purpose of diversity jurisdiction? The case is available at this link: http://scholar.google.com/ scholar_case?case=11481058059843290042&hl=en&as_sdt=2&as_vis=1&oi=scholarr.

References

28 U.S.C. § 1332, accessed August 30, 2010, http://www.law.cornell.edu/uscode/28/1332.html. 28 U.S.C. § 1441 et. seq., accessed August 30, 2010, http://www.law.cornell.edu/uscode/28/1441.html.

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2.4 The Burden of Proof

Learning Objectives

1. Define the burden of proof.

2. Distinguish between the burden of production and the burden of persuasion.

3. Compare the civil and criminal burden of proof.

4. Compare inference and presumption.

5. Compare circumstantial and direct evidence.

The key to the success of a civil or criminal trial is meeting the burden of proof. A failure to meet the burden of proof is also a common ground for appeal. In this section, you learn the burden of proof for the plaintiff, prosecution, and defendant. You also are introduced to different classifications of evidence and evidentiary rules that can change the outcome of the trial.

Definition of the Burden of Proof

The burden of proof is a party’s responsibility to prove a disputed charge, allegation, or defense (Yourdictionary.com, 2010). The burden of proof has two components: the burden of production and the burden of persuasion. The burden of production is the obligation to present evidence to the judge or jury. The burden of persuasion is the duty to convince the judge or jury to a certain standard, such as beyond a reasonable doubt, which is defined shortly. This standard is simply a measuring point and is determined by examining the quantity and quality of the evidence presented. “Meeting the burden of proof” means that a party has introduced enough compelling evidence to reach the standard defined in the burden of persuasion.

The plaintiff or prosecutor generally has the burden of proving the case, including every element of it. The defendant often has the burden of proving any defense. The trier of fact determines whether a party met the burden of proof at trial. The trier of fact would be a judge in a nonjury or bench trial. In a criminal case, the trier of fact is almost always a jury because of the right to a jury trial in the Sixth Amendment. Jurors are not legal experts, so the judge explains the burden of proof in jury instructions, which are a common source of appeal.

Burden of Proof in a Civil Case

Burdens of proof vary, depending on the type of case being tried. The plaintiff’s burden of proof in a civil case is called preponderance of evidence. Preponderance of evidence requires the plaintiff to introduce slightly more or slightly better evidence than the defense. This can be as low as 51 percent plaintiff to 49 percent defendant. When

preponderance of evidence is the burden of proof, the judge or jury must be convinced that it is “more likely than not” that the defendant is liable for the plaintiff’s injuries. Preponderance of evidence is a fairly low standard, but the plaintiff must still produce more and better evidence than the defense. If the plaintiff offers evidence of questionable quality, the judge or jury can find that the burden of proof is not met and the plaintiff loses the case.

The defendant’s burden of proof when proving a defense in a civil case is also preponderance of evidence. For example, in the O. J. Simpson civil case discussed in Chapter 1 “Introduction to Criminal Law”, O. J. Simpson failed to meet the burden of proving the defense of alibi. The defendant does not always have to prove a defense in a civil case. If the plaintiff does not meet the burden of proof, the defendant is victorious without having to present any evidence at all.

Burden of Proof in a Criminal Prosecution

The prosecution’s burden of proof in a criminal case is the most challenging burden of proof in law; it is beyond a reasonable doubt. Judges have struggled with a definition for this burden of proof. As Chief Justice Shaw stated nearly a century ago,

[w]hat is reasonable doubt? It is a term often used, probably pretty well understood, but not easily defined. It is not mere possible doubt; because every thing relating to human affairs, and depending on moral evidence, is open to some possible or imaginary doubt. It is that state of the case, which, after the entire comparison and consideration of all the evidence, leaves the minds of jurors in that condition that they cannot say they feel an abiding conviction, to a moral certainty, of the truth of the charge (Commonwealth v. Webster, 2010).

In general, the prosecution’s evidence must overcome the defendant’s presumption of innocence, which the Constitution guarantees as due process of law (In re Winship, 2010). This fulfills the policy of criminal prosecutions, which is to punish the guilty, not the innocent. If even a slight chance exists that the defendant is innocent, the case most likely lacks convincing and credible evidence, and the trier of fact should acquit the defendant.

States vary as to their requirements for the defendant’s burden of proof when asserting a defense in a criminal prosecution (Findlaw.com, 2010). Different defenses also have different burdens of proof, as is discussed in detail in Chapter 5 “Criminal Defenses, Part 1” and Chapter 6 “Criminal Defenses, Part 2”. Some states require the defendant to meet the burden of production, but require the prosecution to thereafter meet the burden of persuasion, disproving the defense to a preponderance of evidence or, in some states, beyond a reasonable doubt. Other states require the defendant to meet the burden of production and the burden of persuasion. In these states, the defendant’s standard is typically preponderance of evidence, not beyond a reasonable doubt. The defendant does not always have to prove a defense in a criminal prosecution. If the prosecution does not meet the burden of proof, the defendant is acquitted without having to present any evidence at all.

Example of a Failure to Meet the Burden of Proof

Ann is on trial for first-degree murder. The only key piece of evidence in Ann’s trial is the murder weapon, which was discovered in Ann’s dresser drawer during a law enforcement search. Before Ann’s trial, the defense makes a motion to suppress the murder weapon evidence because the search warrant in Ann’s case was signed by a

55 Criminal Law

judge who was inebriated and mentally incompetent. The defense is successful with this motion, and the judge rules that the murder weapon is inadmissible at trial. The prosecution decides to proceed anyway. If there is no other convincing and credible evidence of Ann’s guilt, Ann does not need to put on a defense in this case. The prosecution will fail to meet the burden of proof and Ann will be acquitted.

Figure 2.8 Diagram of the Criminal Burden of Proof

Inference and Presumption

Parties can use two tools to help meet the burden of proof: inference and presumption. Jury instructions can include inferences and presumptions and are often instrumental in the successful outcome of a case.

An inference is a conclusion that the judge or jury may make under the circumstances. An inference is never mandatory but is a choice. For example, if the prosecution proves that the defendant punched the victim in the face after screaming, “I hate you!” the judge or jury can infer that the punch was thrown intentionally.

A presumption is a conclusion that the judge or jury must make under the circumstances. As stated previously,

2.4 The Burden of Proof 56

all criminal defendants are presumed innocent. Thus the judge or jury must begin any criminal trial concluding that the defendant is not guilty.

Presumptions can be rebuttable or irrebuttable. A party can disprove a rebuttable presumption. The prosecution can rebut the presumption of innocence with evidence proving beyond a reasonable doubt that the defendant is guilty. An irrebuttable presumption is irrefutable and cannot be disproved. In some jurisdictions, it is an irrebuttable presumption that children under the age of seven are incapable of forming criminal intent. Thus in these jurisdictions children under the age of seven cannot be criminally prosecuted (although they may be subject to a juvenile adjudication proceeding).

Circumstantial and Direct Evidence

Two primary classifications are used for evidence: circumstantial evidence or direct evidence. Circumstantial evidence indirectly proves a fact. Fingerprint evidence is usually circumstantial. A defendant’s

fingerprint at the scene of the crime directly proves that the defendant placed a finger at that location. It indirectly proves that because the defendant was present at the scene and placed a finger there, the defendant committed the crime. Common examples of circumstantial evidence are fingerprint evidence, DNA evidence, and blood evidence. Criminal cases relying on circumstantial evidence are more difficult for the prosecution because circumstantial evidence leaves room for doubt in a judge’s or juror’s mind. However, circumstantial evidence such as DNA evidence can be very reliable and compelling, so the prosecution can and often does meet the burden of proof using only circumstantial evidence.

Direct evidence directly proves a fact. For example, eyewitness testimony is often direct evidence. An eyewitness testifying that he or she saw the defendant commit the crime directly proves that the defendant committed the crime. Common examples of direct evidence are eyewitness testimony, a defendant’s confession, or a video or photograph of the defendant committing the crime. Criminal cases relying on direct evidence are easier to prove because there is less potential for reasonable doubt. However, direct evidence can be unreliable and is not necessarily preferable to circumstantial evidence. If an eyewitness is impeached, which means he or she loses credibility, the witness’s testimony lacks the evidentiary value of reliable circumstantial evidence such as DNA evidence.

Table 2.2 Comparison of Circumstantial and Direct Evidence in a Burglary Case

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Evidence Circumstantial Direct

Fiber from the defendant’s coat found in a residence that has been burglarized Yes

No—directly proves presence at the scene, not that the defendant committed burglary

GPS evidence indicating the defendant drove to the burglarized residence Yes No—same explanation as fiber evidence

Testimony from an eyewitness that she saw the defendant go into the backyard of the burglarized residence

Yes No—could prove trespassing because it directly proves presence at the scene, but it does not directly prove burglary

Surveillance camera footage of the defendant purchasing burglar tools Yes

No—does not directly prove they were used on the residence

Cell phone photograph of the defendant burglarizing the residence No

Yes—directly proves that the defendant committed the crime

Witness testimony that the defendant confessed to burglarizing the residence No

Yes—directly proves that the defendant committed the crime

Pawn shop receipt found in the defendant’s pocket for items stolen from the residence Yes

No—directly proves that the items were pawned, not stolen

Casey Anthony Trial Video

Casey Anthony Verdict: Found Not Guilty of Murder

In this video, the jury foreperson in the Casey Anthony trial reads the trial verdict. Casey Anthony was acquitted of murder, manslaughter, and child abuse of her daughter, Caylee Anthony. The evidence in the case was all circumstantial, and the coroner did not determine the cause of the victim’s death (Lohr, D., 2011).

” href=”http://www.youtube.com/watch?v=3H6YxAEVJdY” class=”replaced-iframe” onclick=”return replaceIframe(this)”>(click to see video)

Key Takeaways

• The burden of proof is a party’s obligation to prove a charge, allegation, or defense.

• The burden of production is the duty to present evidence to the trier of fact. The burden of persuasion is the duty to convince the trier of fact to a certain standard, such as preponderance of evidence or beyond a reasonable doubt.

• The civil burden of proof is preponderance of evidence, for both the plaintiff and the defendant. The criminal burden of proof for the prosecution is beyond a reasonable doubt.

◦ The criminal burden of proof for the defense is generally preponderance of evidence. States vary on whether they require the criminal defendant to meet both the burden of production and persuasion or just the burden of production. Different defenses also require different burdens of proof.

◦ In states that require the defendant to meet only the burden of production, the prosecution must disprove the defense to a preponderance of evidence or beyond a reasonable doubt, depending

2.4 The Burden of Proof 58

on the state and on the defense.

• An inference is a conclusion the trier of fact may make, if it chooses to. A presumption is a conclusion the trier of fact must make. A rebuttable presumption can be disproved; an irrebuttable presumption cannot.

• Circumstantial evidence indirectly proves a fact. A fingerprint at the scene of the crime, for example, indirectly proves that because the defendant was present at the scene, the defendant committed the crime. Direct evidence directly proves a fact. If the defendant confesses to a crime, for example, this is direct evidence that the defendant committed the crime.

Exercises

Answer the following questions. Check your answers using the answer key at the end of the chapter.

1. Bria is asserting the insanity defense in her criminal prosecution for murder. In Bria’s state, defendants have the burden of production and persuasion to a preponderance of evidence when proving the insanity defense. Bria offers her own testimony that she is insane and incapable of forming criminal intent. Will Bria be successful with her defense? Why or why not?

2. Read Patterson v. New York, 432 U.S. 197 (1977). In Patterson, the defendant was on trial for murder. New York law reduced murder to manslaughter if the defendant proved extreme emotional disturbance to a preponderance of evidence. Did the US Supreme Court hold that it is constitutional to put this burden on the defense, rather than forcing the prosecution to disprove extreme emotional disturbance beyond a reasonable doubt? Which part of the Constitution did the Court analyze to justify its holding? The case is available at this link: http://supreme.justia.com/us/432/197/case.html.

3. Read Sullivan v. Louisiana, 508 U.S. 275 (1993). In Sullivan, the jury was given a constitutionally deficient jury instruction on beyond a reasonable doubt. Did the US Supreme Court hold that this was a prejudicial error requiring reversal of the defendant’s conviction for murder? Which part of the Constitution did the Court rely on in its holding? The case is available at this link: http://scholar.google.com/ scholar_case?case=1069192289025184531&hl=en&as_sdt=2002&as_vis=1.

References

Commonwealth v. Webster, 59 Mass. 295, 320 (1850), accessed September 26, 2010, http://masscases.com/cases/ sjc/59/59mass295.html.

Findlaw.com, “The Insanity Defense among the States,” findlaw.com website, accessed October 1, 2010, http://criminal.findlaw.com/crimes/more-criminal-topics/insanity-defense/the-insanity-defense-among-the- states.html.

In re Winship, 397 U.S. 358 (1970), accessed September 26, 2010, http://www.law.cornell.edu/supct/html/ historics/USSC_CR_0397_0358_ZO.html.

Lohr, D., “Casey Anthony Verdict: NOT GUILTY of First-Degree Murder,” Huffingtonpost.com website, accessed August 24, 2011, http://www.huffingtonpost.com/2011/07/05/casey-anthony-trial- verdict_n_890173.html#s303265&title=Casey_Anthony_Verdict.

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Yourdictionary.com, “Definition of Burden of Proof,” accessed September 26, 2010, http://www.yourdictionary.com/burden-of-proof.

2.4 The Burden of Proof 60

2.5 End-of-Chapter Material

Summary

The United States’ system of government is called federalism and consists of one federal government regulating issues of a national concern and separate state governments regulating local issues. The bulk of criminal lawmaking resides with the states because of the police power granted to the states in the Tenth Amendment. Ninety percent of all criminal laws are state laws. Many federal crimes are also state crimes, and a defendant can be prosecuted federally and by a state without triggering double jeopardy protection. If a federal statute exists on an issue, a state statute cannot conflict with it because of the Constitution’s Supremacy Clause.

The Constitution sets forth three branches of government. The legislative branch consists of Congress and has the authority to create laws. The executive branch is headed by the president of the United States and has the authority to enforce the laws created by the legislative branch. The judicial branch is headed by the US Supreme Court and has the authority to interpret laws and the Constitution. Each branch checks and balances each other, and the judicial branch ensures that no branch oversteps its authority and violates separation of powers. State governments mimic the federal branches of government at the state level and set forth authorities in each state’s constitution.

The federal court system exclusively adjudicates federal matters and consists primarily of the US District Court, the US Court of Appeals or Circuit Court, and the US Supreme Court. Each state has its own court system consisting primarily of a trial court, intermediate court of appeal, and possibly a high court of appeal. Trial courts have original jurisdiction and can accept evidence. Appellate courts have appellate jurisdiction and are limited to reviewing the trial courts’ decisions for error.

Each party in a civil or criminal trial must meet a burden of proof, which consists of a burden of producing evidence and a burden of persuading the trier of fact. The burden of proof for a civil plaintiff or defendant is preponderance of evidence, which means that the trier of fact must be convinced it is more likely than not that a party should prevail. The burden of proof for the prosecution in a criminal case is beyond a reasonable doubt, which is a stricter standard than preponderance of evidence and consists of enough compelling evidence to rebut the defendant’s presumption of innocence. The burden of proof for a criminal defense varies but is often preponderance of evidence. Inferences, which are conclusions the trier of fact may make, and presumptions, which are conclusions the trier of fact must make, can help meet the burden of proof. The evidence presented to meet the burden of proof can be circumstantial, which indirectly proves a fact, or direct, which directly proves a fact. Circumstantial evidence leaves room for reasonable doubt, but it can be reliable and the basis of a successful criminal prosecution.

You Be the Juror

Read the prompt, review the case, and then decide whether enough evidence exists to meet the burden of proof. Check your answers using the answer key at the end of the chapter.

1. The defendant was convicted of possession of a handgun with an altered serial number. The defendant contended that he did not know the serial number had been altered. The prosecution offered evidence that the gun was “shiny” in the location of the serial number. The prosecution also proved that the defendant was in possession of the handgun for a week. Is this sufficient evidence to prove beyond a reasonable doubt that the defendant knew the serial number had been altered? Read Robles v. State, 758 N.E.2d 581 (2001). The

case is available at this link: http://scholar.google.com/scholar_case?case=7369971752262973607&q= Indiana+2001+%22Robles+v.+State%22&hl=en&as_sdt=2,5.

2. The defendant was convicted of attempted first-degree murder of a peace officer when he shot a sheriff. The defendant contended that he did not know the victim was a peace officer. The sheriff was in a vehicle with a whip antenna, was armed, and was well known as a sheriff in Angola Prison, where the defendant was incarcerated previous to the shooting incident. However, the sheriff was in an unmarked car with the red light covered, out of uniform, and his badge was obscured. Is this sufficient evidence to prove beyond a reasonable doubt that the defendant knew the victim was a peace officer? Read Donahue v. Burl Cain, 231 F.3d 1000 (2000). The case is available at this link: http://openjurist.org/231/f3d/1000/larry-donahue-v-burl- cain.

3. The defendant was convicted of third-degree robbery, which requires a threat of immediate use of physical force. The defendant entered a McDonald’s restaurant twenty minutes before closing dressed in sunglasses, a leather jacket, and a bandana that covered his hair. The defendant beckoned the clerk and thereafter demanded that she put money from different cash register drawers into his bag. The defendant did not appear armed, nor did he raise his voice or verbally threaten the clerk. Is this sufficient evidence to prove beyond a reasonable doubt that the defendant threatened immediate use of physical force? Read State v. Hall, 966 P.2d 208 (1998). The case is available at this link: http://www.publications.ojd.state.or.us/docs/ S44712.htm.

4. The defendant was convicted of possession of cocaine with intent to sell. The defendant possessed seven individual packages of white powdery substance, but only one package was tested (and it tested positive for cocaine). Is this sufficient evidence to prove beyond a reasonable doubt that the defendant possessed cocaine with intent to sell? Read Richards v. Florida, No. 4008-4216 (2010). The case is available at this link: http://www.4dca.org/opinions/June%202010/06-09-10/4D08-4216.op.w-dissent.pdf.

Cases of Interest

• Clinton v. Jones, 520 U.S. 681 (1997), discusses separation of powers: http://scholar.google.com/ scholar_case?case=1768307810279741111&q= Clinton+v.+Jones&hl=en&as_sdt=2,5.

• Gonzales v. Raich, 545 U.S. 1 (2005), discusses the reach of the commerce clause: http://scholar.google.com/scholar_case?case=15669334228411787012&q= %22criminal+burden+of+proof%22&hl=en&as_sdt=2,5&as_ylo=2000.

• Sabri v. United States, 541 U.S. 600 (2004), discusses the federal government’s ability to criminalize bribery of a local government official: http://www.law.cornell.edu/supct/html/03-44.ZS.html.

• U.S. v. Comstock, 627 F.3d 513 (2010), discusses criminal and civil burdens of proof: http://scholar.google.com/scholar_case?case=15669334228411787012&q= %22criminal+burden+of+proof%22&hl=en&as_sdt=2,5&as_ylo=2000.

Articles of Interest

• Connections between federalism and homeland security: https://www.hsaj.org/articles/163

• Video court: http://www.businessweek.com/ap/financialnews/D9N3D24G0.htm

• Burden of proof: http://law.jrank.org/pages/4927/Burden-Proof.html

2.5 End-of-Chapter Material 62

• Federal and state court systems: http://www.uscourts.gov/about-federal-courts/court-role-and-structure/ comparing-federal-state-courts

Websites of Interest

• US Supreme Court: http://www.supremecourt.gov

• Federal courts: http://www.uscourts.gov/

• Civic participation: http://www.congress.org

Statistics of Interest

• US Supreme Court: http://www.allcountries.org/uscensus/356_u_s_supreme_court_cases_filed.html

Answers to Exercises

From Section 2.1 “Federalism”

1. Congress gets the authority to criminalize conduct involving the Internet from the commerce clause because the Internet includes economic activity and crosses state lines. Both the federal and state government can prosecute the defendant under federal and state criminal statutes for one act without violating double jeopardy.

2. The US Supreme Court relied on the commerce clause and the Fourteenth Amendment. Specifically, the Court ruled that gender-motivated crimes of violence are not economic activity and do not have a national effect, so the commerce clause does not support federal legislation in this area. Furthermore, the Court held that the Fourteenth Amendment due process clause is targeted at state government action, not individual defendants, so it is likewise inapplicable.

3. The US Supreme Court held that the Pennsylvania Sedition Act is superseded by the Smith Act, 18 U.S.C. § 2385. Specifically, the Court referenced the supremacy of federal law on the same topic, thereby preempting the state statute.

Answers to Exercises

From Section 2.2 “The Branches of Government”

1. The mayor is violating separation of powers because members of the executive branch cannot invalidate or supersede laws passed by the legislative branch; only the judicial branch is entitled to do this via judicial

63 Criminal Law

review. The judicial branch should check and balance this action, if someone attacks the mayor’s policy in court.

2. The US Supreme Court did not uphold President Truman’s action and ruled that he was violating separation of powers. A statute on point already disallowed the president’s action (the Taft-Hartley Act). The president cannot supersede Congress’s authority by ignoring a constitutional statute that Congress enacted, even during wartime.

3. The US Supreme Court reversed the US Court of Appeals for the Fourth Circuit. The Court held that the judicial branch is not required to allow unconstitutional federal statutes to remain in effect during wartime because of separation of powers. The Court determined that the detainee’s constitutional right to due process allowed him access to an attorney and a court trial, in spite of the federal statute.

Answers to Exercises

From Section 2.3 “The Court System”

1. Jenna cannot appeal to the US Supreme Court because she does not appear to have a federal issue. Parties can appeal from a state’s highest level appellate court directly into the US Supreme Court, but the US Supreme Court is a federal court and only has the jurisdiction to hear federal matters. Jenna cannot meet the criteria of diversity jurisdiction or diversity of citizenship because even if she and Max are citizens of different states, the amount in controversy is too low (it needs to be at least $75,000).

2. The US Court of Appeals for the Tenth Circuit held that there was jurisdiction, in spite of the absence of a trial. The court also held that the extraordinary circumstances compelled a reversal of the district court order denying a motion to dismiss the defendants’ indictment. The court essentially ruled that the defendants had a right not to be tried.

3. The US Supreme Court held that a corporation is a citizen of its state of incorporation and the state in which its principal place of business is located. The principal place of business is the “nerve center state,” which is the state that houses the corporate headquarters.

Answers to Exercises

From Section 2.4 “The Burden of Proof”

1. Bria will not be successful with the insanity defense because she cannot meet the burden of proof, which is preponderance of evidence. Preponderance of evidence is a fairly low standard, but Bria must still convince the trier of fact that it is more likely than not she is insane. She cannot do this with her testimony, standing alone. Clearly, Bria has an important self-interest in eliminating her criminal responsibility in this case. Thus her subjective testimony regarding her own mental state is not compelling enough to meet the 51 percent to 49 percent standard.

2. The US Supreme Court held that it is constitutional to put the burden of proving extreme emotional disturbance on the defendant, reducing murder to manslaughter. The Court held that this did not relieve the prosecution of the burden of proving every element of murder beyond a reasonable doubt and thus was in compliance with the due process clause of the Constitution.

3. The US Supreme Court held that a constitutionally deficient jury instruction on the definition of beyond a

2.5 End-of-Chapter Material 64

reasonable doubt was a prejudicial error and required a reversal of the defendant’s conviction for murder. The Court determined that the improper jury instruction deprived the defendant of his Sixth Amendment right to a jury trial.

Answer to Law and Ethics Question

1. The federal judge Susan Bolton based her decision on federal preemption and an impermissible state burden on legal resident aliens. The judge reasoned that federal authority to make law in the area of immigration has been confirmed by the US Supreme Court, based on enumerated and implied powers, and the designated sections of the Arizona law conflicted with this authority and are thus preempted (Order, 2010). The judge further held that enforcement of the enjoined sections of the Arizona law would divert federal resources (Order, 2010) and also impermissibly burden legal resident aliens by restricting their liberty while their status is checked (Order, 2010).

Answers to You Be the Juror

1. The Indiana Court of Appeals held that there was sufficient evidence to prove beyond a reasonable doubt that the defendant knew the serial numbers on the gun had been altered. The appearance of the gun and the defendant’s week-long possession were enough for a reasonable juror to infer knowledge.

2. The US Court of Appeals for the Fifth Circuit held that there was insufficient evidence to prove beyond a reasonable doubt that the defendant knew the victim was a peace officer. The court held that a reasonable juror could not infer knowledge from the whip antennae and the victim’s job at Angola prison.

3. The Supreme Court of Oregon held that there was sufficient evidence to prove beyond a reasonable doubt that the defendant threatened immediate use of physical force. The court held that the defendant’s appearance, combined with the lateness of the hour and the demands for money, could be an implicit threat under the circumstances.

4. The District Court of Appeal of Florida held that there was sufficient evidence to prove beyond a reasonable doubt that the defendant possessed cocaine with the intent to sell. The court pointed out that the criminal statute at issue did not require a specified quantity of cocaine. The court also reasoned that a jury could infer from the packaging and expert testimony that the other packages also contained cocaine.

References

Order, U.S. v. Arizona, No. CV 10-1413-PHX-SRB, U.S. District Court, accessed October 1, 2010, http://graphics8.nytimes.com/packages/pdf/national/20100729_ARIZONA_DOC.pdf.

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Chapter 3: Constitutional Protections

arbyreed – Mountain Flag – CC BY-NC 2.0.

Those who wrote our constitutions knew from history and experience that it was necessary to protect against unfounded criminal charges brought to eliminate enemies and against judges too responsive to the voice of higher authority.

—Duncan v. Louisiana, cited in Section 3.2 “The Due Process and Equal Protection Clauses”

3.1 Applicability of the Constitution

Learning Objectives

1. Distinguish between the two types of constitutional protections.

2. Compare unconstitutional on its face with unconstitutional as applied.

3. Distinguish among different standards of judicial review.

4. Compare bill of attainder with ex post facto laws.

5. Ascertain the three types of ex post facto laws.

In addition to statutory and common-law defenses, a criminal defendant has extensive protections that are set forth in the United States Constitution. As stated earlier in this book, the federal Constitution is applicable in all criminal cases because the government is prosecuting. State constitutions typically mirror the federal Constitution because it sets the minimum standard of protection that is guaranteed to all citizens. States can and often do provide more constitutional protections to criminal defendants than the federal Constitution, as long as those state protections do not violate notions of federal supremacy. In this chapter, the federal Constitution is analyzed with reference to state constitutional protections when relevant.

Constitutional Protections

Generally, two types of constitutional protections exist. First, a defendant can challenge the constitutionality of a criminal statute or ordinance (from this point forward, the term statute includes ordinances unless otherwise noted). Recall from Chapter 1 “Introduction to Criminal Law” that these codified laws cannot conflict with or attempt to supersede the Constitution. An attack on the constitutionality of a statute can be a claim that the statute is unconstitutional on its face, is unconstitutional as applied, or both. A statute is unconstitutional on its face when its wording is unconstitutional. A statute is unconstitutional as applied when its enforcement is unconstitutional. The difference between the two is significant. If a statute is unconstitutional on its face, it is invalid under any circumstances. If the statute is unconstitutional as applied, it is only unconstitutional under certain circumstances.

A second type of constitutional protection is procedural. The defendant can protest an unconstitutional procedure that occurs during prosecution. Procedure during prosecution includes, but is not limited to, arrest, interrogation, search, filing of charges, trial, and appeal. The defendant can make a motion to dismiss the charges, suppress evidence, or declare a mistrial. The defendant can also appeal and seek to reverse a conviction, among other remedies.

This book concentrates on criminal law rather than criminal procedure, so the bulk of this chapter is devoted

to unconstitutional criminal statutes, rather than unconstitutional procedures. The exception is the right to a jury trial, which is discussed shortly.

Example of Constitutional Protections

Bill is on trial for obstructing a public sidewalk. Bill was arrested for standing in front of a restaurant’s entrance with a sign stating “will eat any and all leftovers.” The city ordinance Bill violated makes it a misdemeanor to “stand or sit on a public sidewalk with a sign.” To save money, the judge presiding over Bill’s trial declares that Bill will have a bench trial, rather than a jury trial. In this example, Bill can constitutionally attack the city ordinance for violating his freedom of speech because it prohibits holding a sign. The city ordinance appears unconstitutional on its face and as applied to Bill. Bill can also constitutionally attack his bench trial because he has the right to a jury trial. He could do this by making a motion to declare a mistrial, by petitioning an appellate court to halt the trial, or by appeal after a judgment of conviction.

Figure 3.1 Constitutional Protections

Judicial Review

As stated previously in this book, courts review statutes to ensure that they conform to the Constitution pursuant to their power of judicial review. Courts generally use different standards of review when constitutional protections are at stake. Typically, a court balances the government’s interest in regulating certain conduct against an individual’s interest in a constitutionally protected right. This balancing of interests varies depending on the right at stake. If a constitutional right is fundamental, the court uses strict scrutiny to analyze the statute at issue. A statute that violates or inhibits fundamental constitutional protections is presumptively invalid and can be upheld only if it uses the least restrictive means possible. The government also must prove the statute is supported by a compelling government interest. When the challenge is based on discrimination under the equal protection clause, the court may use a lower standard, called the rational basis test. The rational basis test allows a statute to discriminate if the statute is rationally related to a legitimate government interest. Most constitutional rights are considered fundamental and trigger the strict scrutiny of the courts.

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Example of Strict Scrutiny

Review the example regarding Bill, who was arrested essentially for standing and holding a sign. The US Supreme Court has held that freedom of speech is a fundamental right. Thus a court reviewing the ordinance in Bill’s case will hold the ordinance presumptively invalid, unless the government can demonstrate a compelling interest in enacting it, and that it used the least restrictive means possible. The ordinance is broadly written to include all signs, and preventing individuals from holding signs does not serve a compelling government interest, so this difficult standard will probably result in the court holding the ordinance unconstitutional.

The Legislative Branch’s Prohibited Powers

The legislative branch cannot punish defendants without a trial or enact retroactive criminal statutes pursuant to the Constitution’s prohibition against bill of attainder and ex post facto laws. Article 1, § 9, clause 3 states, in pertinent part, “No Bill of Attainder or ex post facto Law shall be passed.” The prohibition on bill of attainder and ex post facto laws is extended to the states in Article 1, § 10, clause 1: “No State shall…pass any Bill of Attainder, ex post facto Law.” Many state constitutions also prohibit ex post facto legislative action, mirroring the federal Constitution (Indiana Constitution, 2010).

Bill of Attainder

Bill of attainder is when the legislative branch of government punishes the defendant without a trial. The drafters of the Constitution wanted to ensure that criminal defendants have a full and fair adjudication of their rights before the government imposes punishment. Bill of attainder is usually accomplished by a statute that targets an individual or group of individuals for some type of government sanction. Bill of attainder protection enforces separation of powers by eliminating the ability of the legislature to impose criminal punishment without a trial conducted by the judicial branch (U.S. v. Brown, 2010).

Example of Bill of Attainder

Brianne is a member of the Communist party. Brianne applies for a job as a teacher at her local elementary school and is refused, based on this statute: “Members of any subversive group, including the Communist party, cannot hold public office nor teach for a public institution.” Brianne could attack this statute as a bill of attainder. Its provisions, targeting members of the Communist party or any other subversive group, punish by eliminating career opportunities. The members targeted are punished without a trial or any adjudication of their rights. Thus this statute allows the legislature to impose a sanction without a trial in violation of the Constitution’s prohibited powers.

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Ex Post Facto

An ex post facto law punishes an individual retroactively, and severely encroaches on notions of fairness. There are three types of ex post facto laws. First, a law is ex post facto if it punishes behavior that occurred before the law was in effect. Second, ex post facto laws may increase the punishment for the offense after the crime occurred. Third, a law can be ex post facto if it increases the possibility of conviction after the crime occurred.

Example of an Ex Post Facto Law Punishing Behavior Retroactively

A state murder statute defines murder as the killing of a human being, born alive. The state legislature amends this statute to include the killing of a fetus, with the exception of abortion. The amendment extends the application of the statute to all criminal fetus killings that occurred before the statute was changed. This language punishes defendants for behavior that was legal when committed. If the state attempts to include this language, a court can strike the statute for violating the prohibition against ex post facto laws.

Example of an Ex Post Facto Law Increasing Punishment

Retroactively

In the preceding example about amending the murder statute, the state also amends the statute to increase the penalty for murder to the death penalty. Before the amendment, the penalty for murder was life in prison without the possibility of parole. The state cannot give the death penalty to defendants who committed murder before the statute was amended. This is considered ex post facto because it increases the punishment for the offense after the crime is committed.

Example of an Ex Post Facto Law Increasing the Possibility of

Conviction Retroactively

In the preceding example, the state amends the murder statute to remove the statute of limitations, which is the time limit on prosecution. Before the amendment, the statute of limitations was fifty years. The state cannot prosecute defendants who committed murder more than fifty years ago, pursuant to the amendment. This is considered ex post facto because it increases the chance of conviction after the crime is committed.

Changes That Benefit a Defendant Retroactively

Changes that benefit a criminal defendant are not considered ex post facto and may be applied retroactively. In the preceding example, if the state amended the murder statute to shorten the statute of limitations, this

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change actually benefits defendants by making it more difficult to convict them. Thus this amendment would be constitutional.

Ex Post Facto Applies Only to Criminal Laws

Ex post facto protection applies only to criminal laws. Laws that raise fees or taxes after payment are civil rather than criminal in nature. Thus these retroactive increases do not exceed governmental authority and are constitutional.

Figure 3.2 The Constitution’s Prohibited Powers

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Key Takeaways

• The Constitution protects individuals from certain statutes and certain governmental procedures.

• A statute is unconstitutional on its face when its wording is unconstitutional. A statute is unconstitutional as applied when its enforcement is unconstitutional.

• A court reviews a statute for constitutionality using strict scrutiny if the statute inhibits a fundamental constitutional right. Strict scrutiny means that the statute is presumptively invalid, and the government must

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prove it is supported by a compelling government interest and uses the least restrictive means. Occasionally, a court reviews a statute for constitutionality under the equal protection clause using the rational basis test, which means that the statute is constitutional if rationally related to a legitimate government interest.

• A bill of attainder is when the legislative branch punishes a defendant without a trial. Ex post facto laws punish criminal defendants retroactively.

• Ex post facto laws punish defendants for acts that were not criminal when committed, increase the punishment for a crime retroactively, or increase the chance of criminal conviction retroactively.

Exercises

Answer the following questions. Check your answers using the answer key at the end of the chapter.

1. A public university raises tuition in the middle of the semester after students have already paid and sends all registered students a bill for “fees past due.” Does this violate the prohibition on ex post facto laws? Why or why not?

2. Read Smith v. Doe, 538 U.S. 84 (2003). Why did the US Supreme Court hold that Alaska’s Megan’s Law is constitutional? The case is available at this link: http://scholar.google.com/ scholar_case?case=14879258853492825339&hl=en&as_sdt=2&as_vis=1&oi=scholarr.

3. Read Stogner v. California, 539 U.S. 607 (2003). Why did the US Supreme Court hold that California’s Sex Offender statute of limitations was unconstitutional? The case is available at this link: http://supreme.justia.com/us/539/607.

References

Indiana Constitution, art. I, § 24, accessed October 4, 2010, http://www.law.indiana.edu/uslawdocs/inconst/ art-1.html.

U.S. v. Brown, 381 U.S. 437 (1965), accessed October 2, 2010, http://supreme.justia.com/us/381/437/case.html.

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3.2 The Due Process and Equal Protection Clauses

Learning Objectives

1. Define the Bill of Rights.

2. Define the principle of selective incorporation.

3. Distinguish between substantive and procedural due process.

4. Compare void for vagueness and overbreadth.

5. Ascertain the purpose of the equal protection clause as it applies to criminal laws.

Although the legislative branch’s prohibited powers are in Article I of the Constitution, the Bill of Rights contains most of the constitutional protections afforded to criminal defendants. The Bill of Rights is the first ten amendments to the Constitution. In addition, the Fourteenth Amendment, which was added to the Constitution after the Civil War, has a plethora of protections for criminal defendants in the due process and equal protection clauses.

The Bill of Rights was originally written to apply to the federal government. However, US Supreme Court precedent has held that any constitutional amendment that is implicit to due process’s concept of ordered liberty must be incorporated into the Fourteenth Amendment’s protections and applied to the states (Duncan v. Louisiana, 2010). This doctrine is called selective incorporation, and it includes virtually all the constitutional protections in the Bill of Rights. Thus although the original focus of the Bill of Rights may have been limiting the federal government, modern interpretations of the Constitution ensure that its protections also extend to all levels of state and local government.

The Meaning of Due Process of Law

The due process clause states, “No person shall…be deprived of life, liberty, or property, without due process of law.” The due process clause in the Fifth Amendment applies to federal crimes and federal criminal prosecutions. The federal due process clause is mirrored in the Fourteenth Amendment, which guarantees due process of law in state criminal prosecutions. Most states have a similar provision in their constitutions (Missouri Constitution, 2010).

Substantive due process protects individuals from an unreasonable loss of substantive rights, such as the right to speak freely and the right to privacy. Procedural due process protects individuals from being criminally punished without notice and an opportunity to be heard. Both substantive and procedural due processes ensure that individuals are not denied their life (capital punishment), liberty (incarceration), or property (forfeiture) arbitrarily.

Void for Vagueness

Void for vagueness challenges the wording of a statute under the due process clause. A statute is void for vagueness if it uses words that are indefinite or ambiguous. Statutes that are not precisely drafted do not provide notice to the public of exactly what kind of behavior is criminal. In addition, and more important, they give too much discretion to law enforcement and are unevenly enforced (U.S. v. White, 2010). With a void for vagueness challenge, the statute must be so unclear that “men of common intelligence must guess at its meaning,” (Connally v. General Construction Co., 2010) which is an objective standard.

Example of a Statute That Is Void for Vagueness

A state legislature enacts a statute that criminalizes “inappropriate attire on public beaches.” Larry, a law enforcement officer, arrests Kathy for wearing a two-piece bathing suit at the beach because in his belief, women should wear one-piece bathing suits. Two days later, Burt, another law enforcement officer, arrests Sarah for wearing a one-piece bathing suit at the beach because in his belief, women should not be seen in public in bathing suits. Kathy and Sarah can attack the statute on its face and as applied as void for vagueness. The term “inappropriate” is unclear and can mean different things to different people. Thus it gives too much discretion to law enforcement, is subject to uneven application, and does not give Kathy, Sarah, or the public adequate notice of what behavior is criminal.

Overbreadth

A statute is overbroad if it criminalizes both constitutionally protected and constitutionally unprotected conduct. This challenge is different from void for vagueness, although certain statutes can be attacked on both grounds. An overbroad statute criminalizes too much and needs to be revised to target only conduct that is outside the Constitution’s parameters.

Example of an Overbroad Statute

A state legislature enacts a statute that makes it criminal to photograph “nude individuals who are under the age of eighteen.” This statute is probably overbroad and violates due process. While it prohibits constitutionally unprotected conduct, such as taking obscene photographs of minors, it also criminalizes First Amendment protected conduct, such as photographing a nude baby.

Figure 3.3 The Due Process Clause

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The Equal Protection Clause

The Fourteenth Amendment states in relevant part, “nor shall any State…deny to any person within its jurisdiction the equal protection of the laws.” The equal protection clause applies to the state government. State constitutions generally have a similar provision (California Constitution, 2010). The equal protection clause prevents the state government from enacting criminal laws that discriminate in an unreasonable and unjustified manner. The Fifth Amendment due process clause prohibits the federal government from discrimination if the discrimination is so unjustifiable that it violates due process of law (Bolling v. Sharpe, 2010).

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The prohibition on governmental discrimination is not absolute; it depends on the class of persons targeted for special treatment. In general, court scrutiny is heightened according to a sliding scale when the subject of discrimination is an arbitrary classification. Arbitrary means random and often includes characteristics an individual is born with, such as race or national origin. The most arbitrary classifications demand strict scrutiny, which means the criminal statute must be supported by a compelling government interest. Statutes containing classifications that are not arbitrary must have a rational basis and be supported by a legitimate government interest.

Criminal statutes that classify individuals based on their race must be given strict scrutiny because race is an arbitrary classification that cannot be justified. Modern courts do not uphold criminal statutes that classify based on race because there is no government interest in treating citizens of a different race more or less harshly (Loving v. Virginia, 2010).

Criminal statutes that have a rational basis for discrimination and are supported by a legitimate government interest can discriminate, and frequently do. Criminal statutes that punish felons more severely when they have a history of criminal behavior, for example, three-strikes statutes, are supported by the legitimate government interests of specific and general deterrence and incapacitation. Note that the basis of the discrimination, a criminal defendant’s status as a convicted felon, is rational, not arbitrary like race. Thus although these statutes discriminate, they are constitutional pursuant to the equal protection clause.

Figure 3.4 The Equal Protection Clause