Federal Criminal Practice
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Table of Contents
Abbreviated Table of Contents
Chapter 1
General Principles
Chapter 2
Bringing Defendant Before the Court
Chapter 3
Initial Appearance and Choice of Counsel
Chapter 4
Pretrial Release or Detention
Chapter 5
Removal Proceedings
Chapter 6
Preliminary Examination
Chapter 7
Alternatives to Prosecution
Chapter 8
Grand Jury Proceedings
Chapter 9
Indictment and Information
Chapter 10
Pretrial Discovery
Chapter 11
Pretrial Motions and Notice of Defenses
Chapter 12
Pleas
Chapter 13
Guilty Plea Agreements and Plea Bargaining
Chapter 14
Trial
Chapter 15
Sentencing
Chapter 16
Termination, Modification and Revocation of Probation and Supervised
Release
Table of Contents
Chapter 1
General Principles
I. Laws Governing Federal Criminal Practice
§1:1
Recognize Governing Rules
§1:2
Coverage of Book
II. Federal and Local Rules
A.
Application
§1:3
Federal Rules of Criminal Procedure
§1:4
Federal Rules of Evidence
§1:5
Local Rules
§1:6
Standing Orders or Other Internal Directives
B.
Purpose and Construction
§1:7
Federal Rules of Criminal Procedure
§1:8
Federal Rules of Evidence
C.
Enactment and Amendment
§1:9
Understand How Rules Are Enacted
§1:10
Use Advisory Committee Notes
§1:11
Use Legislative History
§1:12
Participate in Rule and Amendment Process
§§1:13 – 1:14
[Reserved]
III. Appellate Review
A.
Build Record
§1:15
Always Keep Possibility of Appeal in Mind
§1:16
Object
§1:17
Demonstrate Prejudice
§1:18
Renew Motions
B.
Standards of Review
1. Harmless
Error
§1:19
Definition
§1:20
Application
§1:21
Burden of Persuasion
§1:22
Non-Constitutional Error
§1:23
Constitutional Error
2. Plain
Error
§1:24
Definition
§1:25
Burden of Persuasion
§1:26
Examples
§1:27
Plain Error After Booker
§1:28
Citation of Unpublished Opinions
§1:29
[Reserved]
IV. Classification of Crimes
A.
In General
§1:30
Importance
B.
Definitions and Methods of Prosecution
§1:31
Felonies
§1:32
Misdemeanors
§1:33
Infractions
§1:34
Petty Offenses
Chapter 2
Bringing Defendant Before the Court
I. Arrest or Summons
A.
General Concepts
§2:1
Methods
§2:2
Effect of Speedy Trial Act
§2:3
Contact Arresting Agency and Prosecutor
§2:4
Negotiate Surrender or Summons in Lieu of Arrest
B.
Arrest on Warrant
1.
Obtaining and Executing Warrant
§2:5
Issuance
§2:6
Invalidation
§2:7
Execution
2. Place of
Arrest
§2:
§2:9
Suspect’s Home
§2:10
Third Party’s Home
C.
Arrest Without Warrant
§2:
§2:12
Suspect’s Home
§2:13
Third Party’s Home
§2:14
Appearance Before Judicial Officer —
Gerstein Review
D.
Summons
§2:15
Issuance
§§2:16 - 2:24
[Reserved]
II. Contact With Pretrial Services Officer
A.
Interview
1. General
Principles
§2:25
Reason for Interview
§2:26
Subject Matter
§2:27
Questions About Pending Offenses
2. Presence
of Counsel
§2:28
Notice of Right by Officer
§2:29
Give Notice to Agency
§2:30
Arrange to Be Present
B.
Officer’s Report
§2:31
Available to Court and Counsel
§2:32
Available to Probation Officer After Conviction
C.
Potential Uses of Information
§2:33
Evidence of Guilt
§2:34
Impeachment
§2:35
Sentencing
Chapter 3
Initial Appearance and Choice of Counsel
I. Overview
A.
In General
§3:1
Arrest or Summons
§3:2
Statements by Defendant Before Initial Appearance
B.
What to Expect
1.
Indictment or Information
§3:3
Proceedings Generally
2.
Complaint
§3:4
Proceedings Generally
§3:5
Felonies
§3:6
Misdemeanor or Petty Offense
§3:6.1
Proceedings Generally
§3:6.2
Pleas
§3:7
[Reserved]
II. Timing
A.
Time Requirements
§3:8
Bringing Arrested Person Before Court
§3:9
Filing Complaint
B.
Delay in Bringing Arrested Person Before Court
§3:10
Consequences Generally
§3:11
Statement Within Six Hours of Arrest
§3:12
Statement More Than Six Hours After Arrest
§§3:13 – 3:14
[Reserved]
III. Informing Defendant of Complaint
§3:15
Examine Complaint for Probable Cause
§3:16
Move to Dismiss for Lack of Probable Cause
§§3:17 – 3:19
[Reserved]
IV. Appointment and Appearance of Counsel
A.
Right to Counsel
1. When
Attaches
§3:20
Initiation of Proceedings
2. Choosing
Retained Counsel
§3:21
Right of Accused
§3:22
Substitution
§3:23
Waiver of Conflict
B.
Self-Representation
§3:24
Nature of Right
§3:25
Disadvantages
§3:26
Stand-By Counsel
C.
Effective Assistance of Counsel
1. Nature
of Right
§3:27
Test
§3:28
Remedy
2. Conflict
of Interest
§3:29
Nature of Right
§3:30
Objection in Trial Court
§3:31
No Objection
§3:32
Actual Conflict
§3:33
Examples Related to Trial
§3:34
Examples Related to Plea Negotiations and Sentencing
§3:35
Burden
§3:36
Court Inquiry
§3:37
Waiver
§3:38
Interference With Right to Counsel
§3:39
[Reserved]
D.
Retained Counsel
§3:40
Immediately Notify Pretrial Services Agency
§3:41
Contact Prosecutor
§3:42
Enter Appearance
§§3:43 – 3:44
[Reserved]
E.
Appointed Counsel
1. Basis
for Right
a.
Constitution and Statute
§3:45
Sixth Amendment
§3:46
Criminal Justice Act
b.
Federal Rules of Criminal Procedure
§3:47
FRCrP 44
§3:48
FRCrP 5
§3:49
FRCrP 58
c.
Other Aspects of Right to Appointed Counsel
§3:50
No Right to Choose Particular Attorney
§3:51
More Than One
§3:52
Death Penalty Litigation
2.
Eligibility
§3:53
Determining
§3:54
Spouse or Parent Willing to Pay
§3:55
Later Determination of Available Assets
§3:56
Partial Eligibility
§3:57
Conflict Between Privilege Against Self-Incrimination and Right
to Counsel
3.
Compensation and Expenses
§3:58
Non-Death Penalty Cases
§3:59
Death Penalty Cases
§3:60
Interim Compensation
§3:61
Expert and Other Services
V. Forms
Form 3A:
Notice of Appearance
Form 3B:
CJA Voucher—Appointment of/Authority to Pay Counsel (CJA 20)
Form 3C:
CJA Voucher—Financial Affidavit (CJA 23)
Form 3D:
CJA Voucher—Appointment of/Authority to Pay Counsel: Death
Penalty Proceeding (CJA 30)
Form 3E:
CJA Voucher—Experts (CJA 21)
Chapter 4
Pretrial Release or Detention
I. Statutory Procedure
§4:1
Governing Authority
§4:2
Effect
§4:3
Who May Order Release or Detention
§4:4
Procedure Overview
§4:5
Danger to Another Person or Community Defined
II. Release
A.
Obtaining Release at Initial Appearance
§4:6
Importance
§4:7
Temporary Release to Prepare Defense
§4:8
Procedure
§4:9
Role of Counsel
§4:10
Contents of Order
§4:11
Request Comprehensive Release Order
B.
Release Without Conditions
§4:12
Personal Recognizance and Unsecured Appearance Bond
C.
Release on Conditions
§4:13
Procedure
§4:14
When Court Must Consider Imposing Conditions
§4:15
Least Restrictive Conditions
§4:16
Committing New Crime
§4:17
Money or Bail Bond
§4:18
Source of Money or Collateral for Bond —
Nebbia Hearing
D.
Appeal
1. Review
by District Court
§4:19
Authority
§4:20
Procedure
2. Review
by Court of Appeals
§4:21
Authority
§4:22
Procedure
§4:23
Standard of Review
§§4:24 – 4:30
[Reserved]
III. Temporary Detention
A.
District Court Proceedings
§4:31
Requirements
§4:32
Notice to Supervising Agency
§4:33
Government’s Motion for Detention Hearing
B.
Review
§4:34
Challenge at Detention Hearing Within Period of Temporary
Detention
§4:35
Challenge When Detention Hearing Not Held During Temporary
Detention
§§4:36 – 4:39
[Reserved]
IV. Detention
A.
Introduction
§4:40
Governing Authority and Purpose
§4:41
Obtain Access to Detained Client
B.
Hearing Requirements
§4:42
Cases in Which Court Will Hold Hearing
§4:42.1
Crimes of Violence
§4:42.2
Other Offenses Rendering Defendant Eligible for Pretrial
Detention
§4:42.3
Personal Characteristics Rendering Defendant Eligible for
Detention
§4:43
Timing
§4:44
Continuances
§4:45
Waiving Hearing
§4:46
Object to Lengthy Detention
C.
Burden of Proof and Presumptions
§4:47
Procedure
§4:48
Clear and Convincing Evidence — No Conditions Will Assure Safety
§4:49
Preponderance of Evidence — No Conditions Will Assure Appearance
§4:50
Government Need Not Prove Both
§4:51
Rebuttable Presumptions
§4:51.1
Presumption #1: No Release Conditions Will Assure Safety
§4:51.2
Presumption #2: No Release Conditions Will Assure Appearance and
Safety
§4:52
Proof of Probable Cause
§4:53
Defendant’s Burden to Produce Credible Evidence to Rebut
Presumptions
§4:54
Government’s Burden of Persuasion
§§4:55 – 4:59
[Reserved]
D.
Hearing Procedure
§4:60
Evidence Rules Do Not Apply
§4:61
Government’s Presentation
§4:62
Defendant’s Presentation
§4:63
Subpoenaing Witnesses
§4:64
Produce and Obtain Witness Statements
§4:65
Obtain Written Findings and Reasons
E.
Post-Hearing Procedure
1. Before
Magistrate Judge
§4:66
Reopening Hearing
2. Appeal
a.
Review by District Court
§4:67
Who May Seek Motion
§4:68
Prompt Determination
§4:69
De Novo Review
§4:70
Format Motion Like Appeal
§4:71
Denial of Motion
b.
Review by Court of Appeals
§4:72
Who May Appeal
§4:73
Standard of Review
§4:74
Prompt Determination; Expedited Appeals
V. Forms
Form 4A:
Motion to Modify Conditions of Release—Permit Travel, Continue
Preliminary Hearing
Form 4B:
Motion to Amend Conditions of Release—Transfer Pretrial
Supervision, Change Residence
Form 4C:
Motion for Temporary Modification of Release
Form 4D:
Motion to Amend Conditions of Release—Reduce Cash Bond
Form 4E:
Motion to Revoke Pretrial Detention Order
Form 4F:
Motion to Review Detention Order After Appeal of Magistrate Order
Form 4G:
Worksheet for Proposed Third-Party Custodian
Chapter 5
Removal Proceedings
§5:1
Appearance Before Magistrate Judge in Arresting or Adjacent
District
§5:2
Preliminary Proceedings
§5:3
Preliminary Examination
§5:4
Identity Hearing
§5:5
Production of Arrest Warrant
II. Arrest in Other District for Failure to Appear or violating Conditions of release
§5:6
Scope of Rule 40: Effect of Failure to Appear
§5:7
Appearance Before Nearest Magistrate Judge
§5:8
Preliminary Examination
§5:9
Identity Hearing
§5:10
Revocation of Pretrial Release in Charging District
III. Release or Detention When Criminal Offense Charged
A.
Role of Magistrate Judge in District of Arrest
§5:11
Detention Determination
§5:12
Bail Endorsement
§5:13
Entering Plea
B.
Pretrial Release or Detention
§5:14
Move to Establish Conditions of Release
§5:15
Request Travel and Subsistence Expenses
§5:16
Oppose Pretrial Detention
IV. Complaints for Unlawful Flight to Avoid Prosecution
§5:17
Authority for Arrest and Prosecution
§5:18
No Intention to Prosecute
§5:19
Intention to Prosecute
Chapter 6
Preliminary Examination
I. Defendant’s Right
§6:1
Offenses Other Than Petty Offenses
§6:2
Petty Offenses
§6.3
Choice of Venue for Hearing
II. Purpose
§6:4
Establishing Probable Cause
§6:5
Conducting Discovery
III. Procedure
A.
In General
§6:6
Timing
§6:7
Get Transcript
§6:8
Discover Government Witness Statements
§6:9
Move to Have Government Preserve Agents’ Notes
§6:10
Subpoenaing Witnesses
§6:11
Defeating Prosecutor’s Motion to Quash
§6:12
Subpoenas by Appointed Counsel
B.
Introducing Evidence
§6:13
Rules of Evidence
§6:14
Hearsay
§6:15
Illegally Obtained Evidence
§6:16
Cross-Examine Government Witnesses
§6:17
Disadvantages of Broad Cross-Examination
§6:18
Calling Witnesses
Chapter 7
Alternatives to Prosecution
I. In General
§7:1
Discretion to Prosecute
§7:2
Alternatives
II. Pretrial Diversion
A.
Overview
§7:3
Definition
§7:4
Statutory Authority
§7:5
Timing
§7:6
Effect
§7:7
Contractual Nature
§7:8
Divertable Offenses
§7:9
Diversion Candidates
B.
Proposing Diversion
§7:10
Obtain Operations Agreement
§7:11
Confer With Pretrial Services Officer
§7:12
Review Sample Agreement With Client
§7:13
Contact Prosecutor or Obtain Referral by Pretrial Services Agency
§7:14
Helpful Factors
C.
Eligibility
§7:15
Department of Justice
§7:16
D.
Consent and Waiver of Rights
1.
Requirements
§7:17
Consent in Writing
§7:18
Rights Waived Before Charges Filed
§7:19
Rights Waived After Charges Filed
2.
Admitting Wrongdoing
§7:20
Determine if Required in Advance
§7:21
Department of Justice Policy
§7:22
Get Agreement on Use of Statements
E.
Supervision
1.
Parameters
§7:23
Length
§7:24
Conditions
2.
Violation of Conditions
§7:25
Effect
§7:26
Notice
§7:27
Challenging Termination
F.
Completion
§7:28
Effect
§7:29
Future Sentencing
§§7:30 – 7:39
[Reserved]
III. Cooperation with Investigation or Prosecution of Others
A.
Overview
§7:40
Prosecutorial Discretion
§7:41
Factors to Consider
B.
Proffer
§7:42
Requirement
§7:43
Made in Person
§7:44
Proffer Letter
C.
Uses of Information
1. General
Principles
§7:45
Governing Standards
2. Direct
Use
§7:46
Informal Use Immunity
§7:46.1
Prohibit in Proffer Letter
§7:46.2
Binding Contract
§7:47
Formal Use Immunity
§7:48
Transactional Immunity
3.
Derivative Use Immunity
§7:49
Definition
§7:50
Advantages
§7:51
Prosecutor’s Reluctance to Grant
§7:52
Effect
§7:53
Discuss in Proffer Letter
4.
Sentencing
§7:54
Advisory Guidelines
§7:55
Federal Rules
§7:56
Prosecutor’s Agreement
§7:57
[Reserved]
5. Other
Uses
§7:58
Impeachment
§7:59
Prosecution For False Statements
§7:60
Breach
§7:60.1
Defendant’s Breach Releases Government from Agreement
§7:60.2
Burden of Proof
D.
Quid Pro Quo for Cooperation
1.
Nonprosecution Agreement
§7:61
Department of Justice Policy
§7:62
Requirements
2. Guilty
Plea to Reduced Charges
§7:63
Benefits
3.
Sentencing Concessions
§7:64
Downward Departure
§7:65
Extent of Downward Departure
§7:66
§7:67
Modification After Sentencing
IV. Forms
Form 7A:
Pretrial Diversion Operations Agreement
Form 7B:
Prosecutor’s Referral Letter to Pretrial Services
Form 7C:
Letter to Alleged Offender
Form 7D:
Candidate’s Approval to Institute Pretrial Diversion
Investigation
Form 7E:
Recommendation for Pretrial Diversion
Form 7F:
Pretrial Diversion Agreement
Form 7G:
Certification of Completion of Pretrial Diversion Program
Form 7H:
Sample Proffer Letter
Chapter 8
Grand Jury Proceedings
I. Introduction
A.
Overview
§8:1
Members; Term of Service
B.
Functions of Grand Jury
1. Bring
Indictments
§8:2
Governing Law
§8:3
When Required
§8:4
Determination
§8:5
Scope of Inquiry
2.
Investigate Criminal Conduct
§8:6
Powers
§8:7
Exercise of Power
C.
Role of Prosecutor
1. In
General
§8:8
Initiating Action
§8:9
Investigation
§8:10
Indictment
§8:11
Presenting Evidence
2.
Department of Justice Guidelines
§8:12
Provisions Regulating Conduct of Grand Jury
§8:13
Judicial Enforcement
D.
Role of District Court
§8:14
General Powers
§8:15
Evidence Gathering
E.
Disclosure of Proceedings
§8:16
Grand Jury Secrecy and Witnesses
§8:17
Persons Other Than Witnesses
§8:18
In Connection With Judicial Proceedings
§8:19
Move for Disclosure
§8:20
Show Particularized Need
§8:20.1
Case Examples: Particularized Need Not Shown
§8:20.2
Case Examples: Particularized Need Shown
§8:21
Disclosure Relating to Terrorism
§§8:22 – 8:30
[Reserved]
II. Defense Counsel
A.
Role Generally
1.
Introduction
§8:31
Types of Clients
§8:32
Right of Witness to Counsel
2. Prepare
Client to Testify
§8:33
Assert Fifth Amendment Privilege When Applicable
§8:34
Recognize Other Privileges
§8:35
Leave Room to Consult With You
B.
Clients Under Subpoena
1. Reach of
Subpoenas
§8:36
Anywhere in the World
2.
Appointment of Counsel
§8:37
Authority
§8:38
Request by Witness
3.
Determine Witness Status
a.
Importance
§8:39
Criminal Exposure
b.
Targets and Subjects
§8:40
Definitions
§8:41
Similarities
§8:42
Differences
§8:43
Government’s Role
§8:44
Determine Status Yourself
4. Explore
Alternatives to Grand Jury Appearance
§8:45
Why?
§8:46
Criteria for Subpoena
§8:47
Notify Prosecutor of Refusal to Testify
5. Move to
Quash or Modify Subpoena
§8:48
Subpoena Duces Tecum
§8:49
Subpoena for Testimony
§§8:50 – 8:59
[Reserved]
C.
Targets Not Under Subpoena
§8:60
Problems
§8:61
Presenting Exculpatory Evidence
§8:62
Client’s Cooperation in Investigation or Prosecution of Others
§§8:63 – 8:69
[Reserved]
D.
Resisting Production of Evidence
1. In
General
a.
Background
§8:70
Why?
§8:71
How?
b.
Grounds
§8:72
Privilege Against Self-Incrimination
§8:73
Other Grounds
2. Business
Records
§8:74
Who May Assert Privilege Against Self-Incrimination
§8:74.1
Personal Right Afforded Natural Persons
§8:74.2
Custodians of Records
§8:75
Privileged Act of Production
3. Private
Papers
§8:76
Privileged Contents
§8:77
Privileged Act of Production
4. Other
Evidence
§8:78
Nontestimonial Evidence
§§8:79 – 8:84
[Reserved]
III. Rights of Witnesses
A.
Privileges
1.
Protection Against Self-Incrimination
a.
In General
§8:85
Protection Afforded
§8:86
Showing Required
§8:87
Court Determination
§8:88
Waiver
§8:89
Testimonial Evidence
b.
Advice of Rights
§8:90
Requirements
§8:91
Use of Unwarned Testimony at Trial
§8:92
Prepare Client to Assert Privilege
§§8:93 – 8:95
[Reserved]
2. Others
a.
In General
§8:96
Strict Construction
§8:97
Burden on Asserting Party
§8:98
Holder of Privilege
§8:99
Applicability of Federal Rules of Evidence
§8:100
Researching Privileges
§8:101
Raise New Privileges
b.
Lawyer-Client
§8:102
Definition
§8:103
Holder
§8:104
Explain to Client
§8:105
Joint-Defense Agreements and Common Interest Privilege
§8:106
Crime-Fraud Exception
§8:107
Work Product Doctrine
§8:107.1
Documents Compiled in Anticipation of Litigation
§8:107.2
Crime-Fraud Exception
c.
Marital
§8:108
Types
§8:109
Confidential Communications
§8:110
Adverse Spousal Testimony
d.
Psychotherapist-Patient
§8:111
Nature
§8:112
Holder
§8:113
Scope
§§8:114 – 8: 119
[Reserved]
B.
Government’s Use of Illegally Obtained Evidence to Question
Witness
§8:120
In General
§8:121
Wiretap Evidence
§§8:122 – 8:125
[Reserved]
IV. Recalcitrant Witnesses
A.
Forcing Compliance; Punishing Refusal
§8:126
Prerequisites to Punishment
§8:127
Civil and Criminal Contempt
B.
Civil Contempt
1. General
Principles
§8:128
Nature and Purpose
§8:129
Duration
2.
Resubpoena
§8:130
General Prohibition
§8:131
Exceptions
§8:132
Authorization Required
§8:133
Fines
3.
Procedure
§8:134
Scope of Hearing
§8:135
Notice and
§8:136
Representation by Counsel
§8:137
Standard of Proof
§8:138
Witness’ Rights
4. Appeal
§8:139
How to Obtain Review
§8:140
Time Requirements
§8:141
Review Without Contempt Finding
§8:142
Bail or Stay Pending Appeal
§§8:143 – 8:149
[Reserved]
C.
Criminal Contempt
§8:150
Nature and Purpose
§8:151
Civil Contempt Is Prerequisite
§8:152
Hearing
§8:153
Appeal
V. FORMS
Form 8A:
Opposition to Motion to Compel Saliva, Hair and Handwriting
Exemplar
Chapter 9
Indictment and Information
I. Introduction
A.
Definitions
§9:1
Pleadings
§9:2
Indictment
§9:3
Information
B.
Filing
1. In
General
§9:4
Information
§9:5
Indictment
§9:6
Assignment; Relation to Pending Case
§9:7
Post-Filing Procedure
2.
Deadlines
§9:8
In General
§9:9
Failure to Timely File
§9:10
Excludable Delay
§9:11
Continuance
§9:12
Pre-Accusatory Delay
3. Move to
Dismiss
§9:13
With or Without Prejudice
§9:14
Factors
§9:15
With Prejudice
§9:16
Without Prejudice
§§9:17 – 9:20
[Reserved]
II. Indictment
A.
In General
1. When
Required
§9:21
Felonies
§9:22
Misdemeanors and Petty Offenses
§9:23
Contempt of Court
2.
Amendment
§9:24
Effect
§9:25
General Prohibition
§9:26
Misdemeanors
§9:27
Constructive Amendment
3.
Superseding Indictments
§9:28
Authority
§9:29
Statute of Limitations
B.
Waiver
§9:30
Authority and Purpose
§9:31
Plea Bargaining
§9:32
Procedure
§9:33
Form
§9:
C.
Purpose and Component Parts
§9:35
Required Components
§9:35.1
Notice of Essential Offense Elements
§9.35.2
Sentencing Enhancements
§9:36
Means of Committing Offense
§9:37
Date: On or About
§9:38
Allegations in Conjunctive
§9:39
Aiding and Abetting
§9:40
Criminal Forfeiture
§§9:41 – 9:49
[Reserved]
D.
Objections
1.
Procedure
§9:50
Motion
§9:51
Timing
§9:52
Good Cause for Late Motion
§9:53
Failure to Show Jurisdiction or Charge Offense
§9:54
Prejudicial Surplusage
§9:55
[Reserved]
2. Grounds
a.
In General
§9:56
Failure to State Offense
§9:57
Failure to State Jurisdiction
§9:58
Nature of Evidence Presented to Grand Jury
b.
Duplicity
§9:59
Definition and Effect
§9:60
Move to Dismiss or for Government to Elect
§9:61
Examples
§9:61.1
Duplicitous Counts
§9:61.2
Not Duplicitous Counts
§9:62
Government Election
§9:63
Jury Instructions or Special Interrogatories
§9:64
Appeal
c.
Multiplicity
§9:65
Definition
§9:66
Tests
§9:67
Effect
§9:68
Examples
§9:69
Time for Objecting; Government Election
§9:70
Government’s Appeal
E.
Variance
§9:71
Definition
§9:72
Other Crimes Evidence
§9:73
Examples
§9:73.1
Prejudicial
§9:73.2
Nonprejudicial
§§9:74 – 9:84
[Reserved]
III. Information
§9:85
Contents and Pleading
§9:86
Amendment
§§9:87 – 9:89
[Reserved]
IV. Joinder
A.
Types
§9:90
Joinder of Offenses
§9:91
Joinder of Defendants
§9:92
Multiple Defendants and Counts
B.
Challenging Misjoinder
§9:93
Relief Available
§9:94
Spill-Over of Evidence
§9:95
How and When
§9:96
Appeal
§§9:97 – 9:99
[Reserved]
V. Severance
A.
Procedure
§9:100
Definition
§9:101
Timing
§9:102
When to Consider Motion
§9:103
Prejudice
§9:104
Appeal
B.
Grounds
§9:105
Irreconcilable Defenses
§9:106
Co-Defendant’s Implicating Statement –
Bruton Problems
§§9:107 – 9:110
[Reserved]
VI. Dismissal for Delay
A.
Pre-Accusatory Delay
§9:111
Definition; Effect
§9:112
Show Prejudice
§9:113
Statute of Limitations
B.
Speedy Trial
1.
Constitutional Grounds
§9:114
Authority
§9:115
Factors
2. Speedy
Trial Act
§9:116
Time for Trial Generally
§9:117
Excludable Periods
§9:118
Early Trial
§9:119
Waivers
§9:120
Continuance
§9:121
Multi-Defendant Cases
3.
Dismissal
§9:122
Motion
§9:123
Dismissal Under FRCrP 48(b)(3)
VII. Forms
Form 9A:
Motion to Dismiss/Bill of Particulars
Form 9B:
Motion to Dismiss Count as Duplicitous
Form 9C:
Motion to Compel Election Between Multiplicitous Counts
Form 9D:
Motion to Dismiss—Lack of Jurisdiction Over Local Offense
Form 9E:
Motion for Relief From Misjoinder
Form 9F:
Motion to Sever Defendants
Form 9G:
Motion to Dismiss for Violation of Speedy Trial Act
Form 9H:
Motion to Strike as Surplusage Sentencing Allegations in
Indictment
Chapter 10
Pretrial Discovery
I. Overview
A.
In General
§10:1
Scope of Chapter
§10:2
Purpose and Necessity
B.
Governing Rules
§10:3
FRCrP 16
§10:4
Government’s Obligations
§10:5
Defendant’s Obligations
§10:6
Discovery Involving Third Parties
C.
Other Authority and Sources
§10:7
Statutes
§10:8
Case Law
§10:9
Preliminary Hearing and Other Pretrial Proceedings
§§10:10 – 10:14
[Reserved]
II. Obtaining and Preventing Discovery
A.
Request
1.
Procedure
§10:15
FRCrP 16
§10:16
Timing Your Request
§10:17
Timing of Government’s Compliance
2.
Discovery Letters
§10:18
Contents
§10:19
Continuing Disclosure
§10:20
Sentence-Related Requests
3. Written
Discovery Agreements
§10:21
Content
§10:22
Enforcement
B.
Motion
§10:23
Necessity
§10:24
Timing
C.
Discovery by Government
§10:25
Reciprocal Rights
§10:26
Alibi, Insanity and Public Authority Defenses
§10:27
Work Product
D.
Protective Orders
§10:28
Motion
§10:29
Grounds
§10:30
Required Showing
§10:31
Sealing After In Camera Review
E.
Sanctions
§10:32
Circumstances Justifying
§10:33
Available Sanctions
§§10:34 – 10:39
[Reserved]
III. Material The Government And You Must Produce
A.
Defendant’s Statements
§10:40
In General
§10:41
Statements by Agents or Employees of Organizational Defendants
§10:42
Written or Recorded Statements
§10:43
Grand Jury Testimony
§10:44
Oral Statements
§10:45
Discovery Letter Request
B.
Defendant’s Criminal Record
§10:46
Obtain Record
§10:47
Pretrial Detention
§10:48
Impeachment at Trial
§10:49
Sentencing
§§10:50 – 10:54
[Reserved]
C.
Documents and Tangible Objects
1. In
General
§10:55
What Government Must Produce
§10:56
Voluminous Writings, Data or Recordings
2. Material
to Preparation of Defense
§10:57
Demonstrate Materiality
§10:58
Successfully Use “Material to Defense” Clause
§10:59
Weigh Danger of Disclosing Defense
§10:60
Reciprocal Discovery
3. Intended
for Use as Evidence In-Chief
§10:61
In General
§10:62
Rebuttal Evidence
§10:63
Reciprocal Discovery
4. Obtained
From or Belonging to Defendant
§10:64
In General
§10:65
Reciprocal Discovery
§§10:66 – 10:69
[Reserved]
D.
Reports of Scientific Tests and Physical and Mental Examinations
§10:70
In General
§10:71
Material to Preparation of Defense
§10:72
Necessity of Written Report
§10:73
Reciprocal Discovery
E.
Summaries of Expert Witness Testimony
§10:74
Get Summaries
§10:75
Types of Experts Covered
§10:76
Law Enforcement Officers
§10:77
Contents
§10:78
Timing
§10:79
Reciprocal Discovery
§10:79.1
Prompted by Your Request
§10:79.2
Prompted by Your FRCrP 12.2(b) Notice
F.
Grand Jury Transcripts
§10:80
Government Witnesses
§10:81
Defendant’s Grand Jury Testimony
G.
Witness Statements
§10:82
Defendant’s Rights
§10:82.1
Exceptions to Jencks Act
§10:82.2
Hearsay Declarant Statements
§10:83
Pretrial Suppression Hearings
§10:84
Pretrial Detention Hearings
§10:85
“Other Offense” Evidence in Sexual Assault and Child Molestation
Cases
§10:86
Particularized Need
§10:87
Seek Early Production
§10:87.1
Voluntary Production
§10:87.2
Written Discovery Agreements
§10:87.3
Court-Ordered Production
§§10:88 – 10:94
[Reserved]
H.
Brady Material
§10:95
Government’s Obligation Under
Brady
§10:96
Exculpatory or “Material” Evidence: Post-Trial
§10:96.1
Brady Applied Pretrial
§10:96.2
Brady Applied During
Trial: Sanctions
§10:96.3
Brady Trumps
Jencks Act — Timing of
Disclosure
§10:96.4
Potentially Useful Evidence
§10:97
Nature of Request
§10:97.1
In General
§10:97.2
Giglio Information
§10:98
Non-Jencks Act Material
§10:99
Using Brady Material at
Sentencing
I.
Notice of Government’s Intention to Use Evidence
§10:100
Evidence Subject to Motion to Suppress
§10:101
Timing Your Motion to Suppress
§10:102
Evidence of Other Crimes, Wrongs or Acts
§10:103
Getting Notice From Government
§10:104
Failure to Give Notice
§10:105 Get
More Detailed Notice
§10:106
Rebuttal
§10:107
Timing of Notice
§10:108
Other Notices Government Must Give
§§10:109 – 10:114
[Reserved]
IV. Other Discovery Requests and Motions
A.
Names of Government Witnesses
§10:115
Capital Cases
§10:116
Noncapital Cases
B.
Informant’s Identity
§10:117
Request Names of Witnesses to Material Events
§10:117.1
Informants Who Are Not Witnesses to Material Events
C.
Co-Conspirator Statements
§10:118 Use
at Trial
§10:119
Discoverability Pretrial
§10:120
Moving In Limine
§§10:121 – 10:124
[Reserved]
V. Depositions
A.
In General
§10:125 Use
§10:126
Overcoming Obstacles
B.
Applying for Authorizing Order
§10:127
Showing Required
§10:128
Showing Exceptional Circumstances
C.
Use
§10:129
Effect of Restrictions
§10:130
Trial
D. Special
Witness Depositions
§10:131
Child Witnesses
§10:132
Foreign Witnesses — Proposed Amendment to FRCrP 15
§§10:133 – 10:134
[Reserved]
VI. Subpoenas for Documents, Data and Tangible Objects In Possession of Third Party Prior to Trial
A.
Requirements
§10:135
Authority and Use
§10:136
Required Showing
§10:137
Governmental Entities
B.
Motion
§10:138
Defendant Unable to Pay Costs
§10:139
Defandant Able to Pay
§10:140
Moving Ex Parte
§10:140.1
Subpoena Other Than for Personal or Confidential Records
of Victim
§10:140.2
Subpoena for Personal or Confidential Records of Victim
§10:140.3
Check Local Rules
§§10:141 – 10:144
[Reserved]
VII. Bill of Particulars
§10:145 Why
and When to File Motion
§10:146
Grounds
§10:147 New
Facts Added
§10:148
Conspiracy Counts
VIII. Forms
Form 10A:
Discovery Letter
Form 10B:
Notice of Filing Discovery Letter
Form 10C:
Reciprocal Discovery Agreement
Form 10D:
Motion to File Additional Motions
Form 10E:
Legal Memorandum re: Early Production of
Brady/Jencks Material
Form 10F:
Motion for Disclosure of
Brady/Giglio Information and for Early Production of
Jencks Material
Form 10G:
Motion for Bill of Particulars
Form 10H:
Motion for Notice by the Government of its Intention to Use
Evidence
Form 10I:
Motion to Disclose Contact Between Government Agents and
Potential Informants
Form 10J:
Motion for Pretrial Production of Evidence Admissible to Impeach
Declarants
Chapter 11
Pretrial Motions and Notice of Defenses
I. Pretrial Motions Generally
§11:1
Governing Rules
§§11:2 – 11:3
[Reserved]
§11:4
Time Requirements: Generally
§11:4.1
Deferred Rulings
§11.4.2
Renewing Objection or Proffer at Trial
§11:5
Format
§11:6
Service
§11:7
Scheduling Hearings
§11:8
Referrals to Magistrate Judge
§§11:9 – 11:10
[Reserved]
II. Motion to Suppress
A.
Substantive Grounds
§11:11
Scope of Chapter
B.
Procedure
1. Timing
§11:12
Before Trial
§11:13
Renewal
§11:14
Good Cause for Filing Untimely Motion
2.
Discovery
§11:15
Government’s Required Notice of Intent to Use Evidence
§11.15.1
FRCrP 12(b)(4)(B)
§11:15.2
Send Letter
§11:16
Request Witness Statements
§11:17
Statements and Reports of Law Enforcement Officers
§11:18
Reciprocal Obligations
3. Contents
a.
Facts and Law
§11:19
Assert Specific Facts
§11:20
Cite Authority and State Grounds
§11:21
Avoid Boilerplate
b.
Standing
§11:22
Defendant’s Burden
§11:23
Prosecutor May Waive
§11:24
Grounds, Examples
§11:24.1
Fourth Amendment
§11:24.2
Fifth Amendment
§11:24.3
Sixth Amendment
§§11:25 – 11:29
[Reserved]
C.
Hearing
1. In
General
§11:30
Showing Needed to Obtain Hearing
§11:31
Request Hearing Be Held Well in Advance of Trial
§11:32
Timing of Decision
§11:33
Burden of Going Forward and Persuasion
§11:33.1
Burden on Government
§11:33.2
Burden on Defendant
§11:34
Rules of Evidence
§11:35
Defendant’s Testimony
§11:36
Request Essential Findings
2. Referral
to Magistrate Judge
§11:37
Nondispositive Motions
§11:37.1
In General
§11:37.2
Review
§11:38
Dispositive Motions
§11:38.1
In General
§11:38.2
Objections
§11:38.3
Review
D.
Appeal
1.
Defendant
§11:39
No Right to Interlocutory Appeal
§11:40
Conditions for Review
2.
Government
§11:41
Interlocutory Appeal Allowed
§11:42
Timing and Certification
§§11:43 – 11:49
[Reserved]
III. Motion In Limine
§11:50
Definition
§11:51
Authority
§11:52
Examples
§11:53
Use by Government
§11:54
Timing
§11:55
Renewing Motion During Trial
§11:55.1
When Required
§11:55.2
Related Issues
§§11:56 – 11:59
[Reserved]
IV. Notice of Defenses
A.
Generally
§11:60
Requirement
§11:61
Government Motion In Limine
§11:62
Government Interview of Defense Witnesses
B.
Alibi
§11:63
When Required
§11:64
Timing
§11:64.1
Within Ten Days of Demand
§11:64.2
Withdrawn Notice
§11:65
Contents
§11:66
Witness Statements
§11:67
Government’s Reciprocal Obligation
§11:67.1
Witnesses Other Than Victim
§11:67.2
Victim Witnesses
§11:68
Timing of Government’s Reciprocal Disclosure
§11:69
Do Not Fail to Give Notice
§11:69.1
Court May Exclude Testimony
§11:69.2
Remedy for Defendant’s Failure to Give Notice
§11:69.3
Remedy for Government’s Failure to Give Notice
§11:69.4
Jury Instruction
§§11:70 – 11:74
[Reserved]
C.
Insanity and Mental Condition
1. Basic
Points
§11:75
Insanity Defense
§11:75.1
Elements
§11:75.2
Notice
§11:75.3
Jury Instructions, Verdict
§11:75.4
Dangerousness Hearing
§11:75.5
Commitment
§11:76
Mental Condition
§11:76.1
Bearing on Issue of Guilt or Punishment
§11:76.2
Notice
§11:76.3
Examples
§11:77
Identifying Your Expert Witnesses
§11:77.1
By Giving Notice Under FRCrP 12.2(b)
§11:77.2
By Giving Notice Under FRCrP 16
2. Mental
Examination of Defendant
§11:78
Basic Points
§11:79
Place of Examination
§11:79.1
Insanity at Time of Offense and Competency to Stand Trial
§11:79.2
Mental Condition Relevant to Guilt and Punishment in Capital
Cases
§11:80
Disclosure of Examination Results
§11:80.1
Non-Capital Cases
§11:80.2
Capital Cases
§11:81
Defendant’s Statements
3.
Withdrawn and Untimely Notices
§11:82
Withdrawn Notice of Defense Not Admissible
§11:83
Late Filing
§11:84 - §11:89
[Reserved]
D.
Exercise of Public Authority
1.
Procedure
§11:90
When Notice Required
§11:91
Timing
§11:92
Government’s Demand and Obligations
§11:93
Defendant’s Obligations
§11:94
Withdrawn Notice
§11:95
Failure to Provide Notice or Identify Witnesses
2. Elements
of Defense
a.
Public Authority
§11:96
Elements — Overview
§11:97
Actual Public Authority
§11:98
Believed or Apparent Public Authority
b.
Entrapment by Estoppel
§11:99
Elements — Overview
§11:100
Notice of Entrapment by Estoppel
V. Forms
Form 11A:
Motion to Preclude Impeachment of Defendant With Evidence of
Prior Convictions
Form 11B:
Motion In Limine to Preclude Admission of Hearsay Statements
Form 11C:
Admissibility of “Other Offense” Evidence Against Government
Witnesses
Form 11D:
Impeachment of Government Witnesses by Omission
Form 11E:
Motion In Limine to Have Statements Made by the Government Admitted into
Evidence
Chapter 12
Pleas
I. General Considerations
A.
Choosing Pleas
1. Factors
§12:1
Permissible Pleas
§12:2
Weigh Factors
§12:3
Risk of Trial
2. Assist
Client in Choosing Plea
§12:4
Help Client Make Informed Decision
§12:5
Likely Sentence
B.
Entering Pleas
§12:6
When?
§12:7
How?
§12:8
Before Whom?
§12:9
Nonappearing Defendant
§§12:10 – 12:14
[Reserved]
II. Types of Pleas
A.
Advantages and Disadvantages
§12:15
Guilty Plea Without Agreement
§12:16
Guilty Plea After Agreement
§12:17
Conditional Guilty Plea
B.
Not Guilty
§12:18
Effect
§12:19
Procedure
§§12:20 – 12:24
[Reserved]
C.
Guilty
1. Effect
§12:25
Ends Prosecution
§12:26
Relinquishes Attack Based on Constitutional Rights
§12:27
Waives Non-Constitutionally-Based Defects
§12:28
Does Not Waive Jurisdictional Challenges
§12:29
Does Not Waive Challenge Based on Defects on Plea Entry
2.
Requirements
a.
In General
§12:30
Procedure
§12:31
Knowing and Voluntary
§12:32
Mental Competency
b.
Effective Assistance of Counsel
§12:33
Showing Required
§12:34
Prejudice
§12:35
Competence
§12:36
Procedure
3.
Conditioned on Right to Appeal (Conditional Plea)
§12:37
How Plea Works
§12:38
Effect
§12:39
Advantages
§12:39.1
Avoid Trial
§12:39.2
More Lenient Sentence
§12:39.3
No Trial Record for Appellate Court
§12:39.4
Preserve Non-Constitutionally-Based Errors
§12:40
Disadvantages
§12:41
Government and Court Consent Required
§12:42
Stipulated Trial as Alternative
§12:43
Case-Dispositive Issues
§12:44
Examples of Dispositive Issues
§12:45
Procedure Before Appeal
§12:46
Get Agreement in Writing
§12:47
Consequences of Appeal
§12:48
Sentence Appeal
§§12:49 – 12:50
[Reserved]
4. Without
Admission of Guilt: Alford
Pleas
§12:51
In General
§12:52
Expect Prosecutor’s Objection
§12:53
Court’s Acceptance or Rejection
§12:54
Advantages
§12:55
Disadvantages
§12:56
Role of Counsel
D.
Nolo Contendere
§12:57
Generally
§12:58
Effect
§12:59
Advantages and Disadvantages
§12:60
Expect Government Opposition
§12:61
Court Consent Required
§12:62
Procedure
§§12:63 – 12:65
[Reserved]
III. Guilty Plea Procedure
A.
Consider Preplea Presentence Report
1. In
General
§12:66
Nature
§12:67
Authority
§12:68
Why Obtain?
§12:69
Advantages
§12:70
Disadvantages
2.
Procedure
§12:71
Defendant’s Consent
§12:72
Information Needed From Government
§12:73
Expect Government Resistance
§12:74
Convincing Prosecutor
3.
Providing Defense Information
§12:75
Strategy
§12:76
Do Not Allow Probation Officer to Interview Defendant
§12:77
Create Personal History Profile
B.
Prepare Client
§12:78
Introduction
§12:79
Checklist
§12:80
Independently Collect Criminal History Score Information
§12:81
Caution Client About Admitting Relevant Conduct
§12:82
Describe Personal Consequences
§12:83
Specify Legal Consequences in Addition to Imprisonment
§12:84
Describe Plea Colloquy
§§12:85 – 12:89
[Reserved]
C.
Enter Plea
1.
Foundation
§12:90
Disclose Plea Agreement
§12:91
Establish Factual Basis of Guilt
2. Colloquy
Between Judge and Defendant
§12:92
Nature and Purpose
§12:93
Core Subjects
§12:94
Rights Defendant Gives Up
§12:95
Knowing and Voluntary
§12:96
Nature of Charge
§12:97
Minimum Penalty
§12:98
Drug Cases
§12:99
Maximum Penalty
§12:99.1
Maximum Statutory Term and Fine
§12:99.2
Supervised Release
§12:99.3
Restitution
§12:100
Departure from Advisory Sentencing Guidelines
§12:101
Direct Consequences Resulting From a Conviction
§12:102
Court’s Failure to Follow Plea Requirements
§12:102.1
Harmless, Unless Affecting Substantial Rights
§12:102.2
Examples of Variances Affecting Substantial Rights
§12:102.3
Examples of Variances Not Affecting Substantial Rights
§12:102.4
Factors Reviewing Court Will Consider
§12:103
Rejection
§§12:104 – 12:105
[Reserved]
D.
Vacating Plea
1. Avenues
for Relief
§12:106
Attacking Plea
2.
Withdrawal
§12:107
Procedure
§12:108
Before Sentencing
§12:109
After Sentencing
IV. Forms
Form 12A: Motion to Withdraw Guilty Plea
Chapter 13
Guilty Plea Agreements and Plea Bargaining
I. General Principles
A.
Introduction: Post-Booker
Landscape
§13:1
Entering Plea Without Agreement
§13:2
Nature of Agreements
§13:3
Official Recognition
§13:4
Get Agreement in Writing
§13:5
Agreements to Cooperate
B.
Timing
§13:6
Reaching Agreement
§13:7
Before Charges Filed
§13:8
After Charges Filed
§13:9
Before Trial Preparation
§13:10
Acceptance by Court
§13:11
Entry of Plea
§13:12
Sentencing
§§13:13 – 13:15
[Reserved]
II. Negotiations
A.
Preparations
§13:16
When?
§13:17
Initiation
§13:18
Prepare to Meet With Prosecutor
§13:19
Negotiate All Terms
§13:20
Prosecutor’s Guiding Principle
§13:21
Court Participation
B.
Statements During Plea Discussions
1.
Admissibility
§13:22
Inadmissible Statements
§13:23
Definition of “Plea Discussions”
§13:24
Statements to Probation Officer
§13:25
Statements to Law Enforcement Officers
2. Use
§13:26
New Indictment or Evidence
§13:27
Impeachment
§13:28
Subsequent Perjury Prosecution
§13:29
Fairness
C.
Agreement
§13:30
Contents
§13:31
Objectives
§13:32
Waiving Right to Appeal Sentence
§13:33
Victim Involvement in Plea Negotiations
§§13:34 – 13:39
[Reserved]
III. Types of Agreements
A.
Generally
§13:40
Possible Types
§13:41
Cooperation
§13:42
Agreements Requiring Insulating Statements
B.
Charge Agreements
§13:43
Authority
§13:44
Prosecutor’s Ability to Negotiate
§13:45
Court’s Acceptance or Rejection
§13:46
Effect of “Relevant Conduct” Sentencing Guideline
§13:47
Determine Potential Exposure Before Client Enters Charge
Agreement
§§13:48 – 13:49
[Reserved]
C.
Sentence Agreements
1. Overview
§13:50
Government’s Positions
2. Policy
Statements
§13:51
Application
§13:52
Not Binding
§13:53
Post-Booker Acceptance
of Sentencing Agreements
3. Specific
Types of Agreements
a.
Agreed-Upon Sentence
§13:54
In General
§13:55
Effect of Government Agreement
§13:56
Elect Agreed-Upon Sentence
§13:57
When to Consider Withdrawing Plea
b.
Government Recommends Particular Sentence
§13:58
In General
§13:59
Demonstrate That Sentence Is Consistent With Guidelines
§13:60
Sentence Departs From
§13:61
Court Warning Regarding Inability to Withdraw Plea
§13:62
When Defendant Can Withdraw Plea
c.
Prosecutor Will Not Oppose Request
§13:63
In General
§13:64
Effect on United States Attorney’s Bargaining Policy
d.
Government Makes No Recommendation
§13:65
In General
§13:66
Factual Statements
§13:67
Withdrawal of Plea
4.
Stipulations of Fact
§13:68
Affecting Sentencing Guidelines
§13:
§13:70
Guideline and Non-Guideline Factors Susceptible to Stipulation
§13:71
Bases
§13:72
Nonexistence of or Inability to Prove Facts
§13:73
Do Not Increase Sentence
§13:74
Challenge Inconsistent Presentence Report
§§13:75 – 13:79
[Reserved]
IV. Breach
A.
In General
§13:80
Burden of Proof
B.
By Government
§13:81
Construction of Agreement
§13:82
Remedies
§13:83
Examples
§13:84
How and When to Raise
§13:85
Remedy to Request
C.
By Defendant
§13:86
Effect
§13:87
Examples
§13:88
Have Court Review Government Determination
§13:89
Remedies
§§13:90 – 13:94
[Reserved]
V. Court’s Rejection
§13:95
Reasons
§13:96
Procedure
§13:97
Effect on
VI. Forms
Form 13A:
Plea Agreement
Form 13B:
Agreement Regarding Sentencing
Form 13C:
Agreement to Dismiss or Not Prosecute Offenses (Charge Agreement)
Form 13D:
Fact Stipulation
Form 13E:
Cooperation Plea Agreement
Form 13F:
11(C)(1)(C) Plea Agreement
Form 13G:
Motion for Specific Performance
Form 13H:
Reply to Opposition to Motion for Specific Performance
Form 13I:
Summary of Plea Agreement
Form 13J:
Ashcroft Sentencing Memorandum
Form 13K:
Comey Sentencing Memorandum
Chapter 14
Trial
I. Introduction
1. In
General
§14:1
District in Which Offense Committed
2.
Defendant’s Request for Change of Venue
§14:2
Motion
§14:3
Grounds — Overview
§14:4
Prejudice
§14:5
Convenience
§14:6
Transfer for Guilty Plea and Sentence
B.
Presiding Judicial Officer
§14:7
Judge
§14:8
Magistrate Judge
C.
Time
§14:9
Commencement
§14:10
Continuance
§§14:11 – 14:14
[Reserved]
II. Jury Trial
A.
In General
1.
Requirement
§14:15
Imprisonment Greater Than Six Months
§14:16
Imprisonment Six Months or Less
§14:17
Trial Before Magistrate Judge
2. Waiver
§14:18
Requirement
§14:19
Form
§14:20
Colloquy
§14:21
Government and Court Consent
§14:22
When to Consider
§14:23
Balance Disadvantages: Evidentiary Rulings
§§14:24 – 14:25
[Reserved]
B. Juror
Selection
1. In
General
§14:26
Number Required
§14:27
Excusing After Deliberations Begun
§14:27.1
No Just Cause for Excusing Juror
§14:27.2
Just Cause for Excusing Juror
§14:28
Alternates
2. Voir
Dire
a.
In General
§14:29
Purposes
§14:30
Information to Be Elicited
b.
Who Conducts
§14:31
Judge
§14:32
Magistrate Judge
§14:33
Counsel
§14:34
Filing Motion Requesting Participation
c.
How
§14:35
Questionnaires
§14:36
Submit Questions
§14:37
Follow-Up Questions
§§14:38 – 14:40
[Reserved]
C.
Challenges
1. For
Cause
a.
District Court
§14:41
Definition
§14:42
Procedure
§14:43
Number Allowable
b.
Appellate Review
§14:44
Manifest Error Standard
§14:45
Examples of No Manifest Error
§14:46
Examples of Manifest Error
2.
Peremptory
a.
In General
§14:47
Definition
§14:48
Learn Local Practices
§14:49
Number Allowable
b.
Grounds
§14:50
In General
§14:51
Race; Gender
§14:52
Challenging Discriminatory Strike
§§14:53 – 14:54
[Reserved]
D.
Instructions
1. Prepare
§14:55
Prepare Early
2. Specific
Instructions
a.
In General
§14:56
Resources
b.
Theory of Case
§14:57
When Defendant Entitled to Instruction
§14:58
Inconsistent Defenses
§14:
§14:60
Language
§14:61
Appellate Review
c.
Lesser Included Offense
§14:62
When Warranted
§14:63
Make Necessary Showing
§14:64
Strategic Considerations
§14:64.1
Probability of Conviction
§14:64.2
Relevant Conduct
§14:64.3
Upward Departure
§14:65
Unavailable With Certain Defenses
§14:66
Content
d.
Allen Charge
§14:67
When Given
§14:68
Components
§14:69
Object Specifically
3. Request
Instructions
§14:70
Procedure
§14:71
Timely File
4. Object
§14:72
Outside Presence of Jury
§14:73
Object Distinctly
§14:74
Request Conference
5.
Procedure
§14:75
Timing
§14:76
Furnishing Written Copies to Jurors or Using Demonstrative Aids
6. Standard
of Review
§14:77
Failure to Adequately Instruct Jury
§14:78
No Objection Made Waives Errors
§§14:79 – 14:89
[Reserved]
III. Producing Witness Statements
A.
General Considerations
1. Writings
Subject to Production
§14:90
In General
§14:91
Written Statements by Witnesses
§14:92
Substantially Verbatim, Recorded Statements
2.
Procedure
§14:93
Move for Production
B.
Government Production
§14:94
Before Completion of Direct Examination
§14:95
Government Possession
§14:96
Cross Examine About Prior Statements
§14:97
Move Under Brady
§14:98
Review of Failure to Produce
C.
Defense Production
§14:99
Fifth Amendment Privilege Against Self-Incrimination
§§14:100 – 14:104
[Reserved]
IV. Cross-Examination and Impeachment of Witnesses
A.
In General
§14:105
Scope
§14:106
Methods
§14:107
Hearsay Declarants
B.
Show Bias
1.
Introductory Principles
a.
In General
§14:108
Definition
§14:109
Authority
§14:110
Rehabilitation Not Permitted
b.
Conduct Discovery
§14:111 In
General
§14:112
What to Request
§14:112.1
Plea or Charging Agreements or Understandings
§14:112.2
Information Regarding Criminal Conduct
§14:112.3
Benefits to Witness
2. Showing
Bias on Cross-Examination
§14:113
Scope
§14:114 Use
Extrinsic Evidence
§14:115
Prior Illegal Conduct
§14:116 Use
“Other Offense” Evidence Permitted by FRE 404(b)
§14:117
Appellate Review
§§14:118 – 14:119
[Reserved]
C.
Inconsistent Statements
1. General
Principles
§14:120
Definition
§14:121
Authority
§14:122
Statement as Substantive Evidence
2. Use
Extrinsic Evidence
§14:123
Foundation Required
§14:124
Introduction During Defense Case
§14:125
Collateral Issues
3. Conduct
Discovery
§14:126 Get
Your Client’s Statements
§14:127
Government Witnesses
§14:128
Hearsay Declarants
4.
Government’s Impeachment of Defendant
§14:129 In
General
§14:130 Due
Process
§14:130.1
Post-Arrest, Pre-Miranda Silence
§14:130.2
Post-Arrest, Post-Miranda Silence
§14:130.3
Post-Arrest Statements
§14:131
Self-Incrimination
§14:132
Right to Counsel
§14:132.1
Right to Counsel During Defendant’s Testimony
§14:133
FRCrP and FRE
5.
Rehabilitation
§14:134
Prior Consistent Statement
§14:135
Opinion or Reputation Evidence
§§14:136 – 14:139
[Reserved]
D.
Character or Untruthfulness — Opinion and Reputation Evidence
§14:140 In
General
§14:141
Foundation
§14:142
Rehabilitation
§14:143
Cross-Examine Impeaching Character Witness
E.
Specific Instances of Conduct
1. General
Principles
§14:144
Behavior Related to Truthfulness
§14:145
Extrinsic Evidence
§14:146
Balancing Probative Value and Prejudicial Effect
§14:147
Appellate Review
§14:148
Conduct Discovery Regarding Specific Behavior
2.
Conviction of Crime
a.
In General
§14:149 Use
Generally
§14:150
Rehabilitation Under FRE 608(a)
§14:151
Discover Your Client’s Criminal Record
b.
Dishonesty or False Statements
§14:152
Admissibility Generally
§14:153
Convictions Per Se Admissible
§14:154
Convictions Not Per Se Admissible
c.
Other Felonies
§14:155
Witness Other Than Defendant
§14:156
Defendant
F.
Contradiction
§14:157 In
General
§14:158
Impeachment on Collateral Issues
§14:159
Rehabilitation
§§14:160 – 14:169
[Reserved]
V. Motion for Judgment of Acquittal
A.
In General
§14:170
Purpose
§14:171
Sufficiency of Government’s Evidence
§14:172
Make Motion in Trial Court to Get Broad Appellate Review
B.
Timing
1. At Close
of Government’s Case
§14:173
Motion
§14:174
Motion Granted
§14:175
Motion Denied
§14:176
Reserving Ruling
2. At Close
of All Evidence
§14:177
Renew Motion
§14:178
Effect of Putting on Defense
§14:179
Basis for Decision
3. After
Verdict
§14:180
Within Seven Days of Verdict or Discharge of Jury
§§14:181 – 14:184
[Reserved]
VI. Mistrial
§14:185
Prerequisites
§14:186
Defendant’s Response
§14:187
Motion to Dismiss and Interlocutory Appeal
§14:188
Appellate Review
B.
Defendant’s Motion
§14:189
Defendant May Be Subject to Retrial
§14:190
Standard for Decision
§§14:191 – 14:194
[Reserved]
VII. Motion for New Trial
A.
In General
§14:195
Interest of Justice
B.
Grounds
§14:196
Errors
§14:197
Newly Discovered Evidence
C.
Timing
§14:198 On
Grounds Other Than Newly Discovered Evidence
§14:199
Based on Newly Discovered Evidence
D.
Appeal
§14:200
Effect of Motion on Notice of Appeal
§14:201
Motion During Pendency of Appeal
§14:202
Standard of Review
VIII. Forms
Form 14A:
Motion for Attorney Participation in
Voir Dire
Form 14B:
Defendant’s Proposed Theory of the Case Instruction
Form 14C:
Motion In Limine re:
Introduction of Evidence During Government’s
Case-in-Chief
Form 14D:
Defendant’s Objection to the
Allen Charge
Form 14E:
Motion to Identify Witnesses Pursuant to
Chapter 15
Sentencing
I. GOVERNING LAW
A. Changing
Landscape: Blakely v.
§15:1
Introduction
§15:2
Court’s Holding in Blakely v. Washington and
United States v. Booker
§15:3
The Decisions in Rita, Gall, and
Kimbrough
§15:4
Federal Sentencing Scheme Post-Booker
§15:5
Proper Sentencing Procedure Post-Gall
§15:5.1
Guideline Range Must Be Correctly Calculated
§15:
§15:5.3
The Sentencing Court Must Adequately Explain Its Sentence,
Resolve all Non-Frivolous Issues Raised by a Party and Provide Reasons
Justifying Sentences Outside Applicable Guideline Range
§15:5.4
Alternative Sentences May or May Not be Procedurally Unsound
§15:5.5
Disagreeing With the Guidelines
§15:6
Below Guideline Sentences; Departures and Variances
§15:7
Grounds for Variation From Guidelines Under 18 U.S.C. §3553(a)
§15:7.1
Substantial Assistance Without Government Motion
§15:7.2
Guideline Disparity Between Crack and Powder Cocaine
§15:7.3
Disparity Between Co-Defendants and Other Federal Defendants
§15:7.4
Disparity Between State and Federal Defendants
§15:7.5
Absence of a Fast-Track Program
§15:7.6
Post-Sentence Rehabilitation
§15:8
Long-Term Implications for Defendants
§15:9
Retroactivity
§15:9.1
Pipeline Cases
§15:9.2
Cases Already Final as of January 12, 2005
§15:9.3
Appellate Waivers
§15:9.4
The Application of Booker to Proceedings Under 18 U.S.C. §3582(c)(2)
§15:10
Ex Post Facto
B. FRCrP 32
§15:11
Purpose
§15:12
Procedure and Timetable
C. Advisory
Sentencing Guidelines
1.
Definitions
§15:13
Sentencing
§15:14
Total Offense Level Including Upward and Downward Adjustments
§15:15
Criminal History
§15:16
Guideline Range
§15:17
Sentencing Worksheet
§15:18
Policy Statement
§15:19
Commentary
§15:20
Relevant Conduct
§15:20A Acquitted
and Dismissed Conduct
2.
Guidelines In General
§15:21
Purpose and Non-Binding Nature
§15:22
Enactment
§15:23
Amendment
§15:24
Guidelines Manual
§15:25
Ex Post Facto
Violations
3.
Resources
§15:26
Books and Periodicals
§15:27
USSC Online
§15:28
Defenders Services Division Training Branch
4. Policy
Statements
§15:29
Binding Nature
§15:30
Sentencing Procedure
5.
Commentary
§15:31
Binding Effect
§§15:32 – 15:34
[Reserved]
6.
Guideline Departures
a. Grounds
§15:35
In General
b.
Procedure
§15:36
Advise Prosecutor and Probation Officer
§15:37
File Motion
§15:38
Court’s Statement of Reasons
§15:39
Appellate Review
c.
Aggravating or Mitigating Circumstances
§15:40
What Court May Consider
§15:41
Departure Policy Statements
§15:41.1
Departure Discouraged
§15:41.2
Departure Encouraged
§15:41.3
Departure Forbidden
§§15:42 – 15:44 [Reserved]
d.
Substantial Assistance
§15:45
Government Motion
§15:46
Government’s Obligation Under Plea Agreement
§15:47
Judicial Review of Refusal to File Motion
§15:
§15:49
Court May Not Defer Ruling
§15:50
Refusal to Depart Downward Not Appealable
§15:51
Can Only Depart Based on Defendant’s Assistance
§15:52
Departure Starts from Mandatory Minimum Term
§§15:53 – 15:54
[Reserved]
D. Other
§15:55
Statutes
§15:56
Cases
§§15:57 – 15:59
[Reserved]
II. SENTENCE OPTIONS
A. In General
§15:60
Determining Factors
§15:61
Authorized Sentences
§15:62
Abolition of Parole; Time to Be Served
§15:63
Supervised Release
§15:64
Restitution
§15:64.1
Discretionary (18 U.S.C. §3663)
§15:64.2
Mandatory (“MVRA”) (18 U.S.C. §3663A)
§15:64.3
Determining the Amount of Restitution
§15:64.4
Crime Victims’ Rights Act (CVRA)
§15:64.5
Title 26 (Tax) Cases
§15:64.6
Appeal Waivers
§15:64.7
Attorneys’ Fees and Related Expenses Incurred During the Course
of the Investigation
B. Minimum or
Maximum Sentence
§15:65
Maximum Fine or Imprisonment Generally
§15:66
Mandatory Minimum Terms
§15:67
“Safety Valve” for First Time Drug Offenders
§15:68
Mandatory Life Imprisonment for Serious Felonies
§§15:69 – 15:74
[Reserved]
III. JUDICIAL DISCRETION
§15:75
Pre-Guidelines
§15:76
Under Guidelines
§15:77
Post-Booker, Under
Advisory Guidelines
§§15:78 – 15:84
[Reserved]
IV. PROCEDURE
A. Presentence
Investigation and Report
1. In
General
§15:85
Definition
§15:86
Probation Officer’s Role
§15:87
Time Requirements
§15:88
Cases in Which Report Required
§15:89
Waiver
§15:90
Information from Government
2.
Information from Defendant
§15:91
Extent of Information to Provide
§15:92
Get Advance Notice of Contact With Defendant
§15:93
Defendant Interview
§15:94
Be Present During Interview
§15:95
Offense of Conviction
§15:96
Discussing Offense After Trial
§15:97
Relevant Conduct
§15:98
Substance Abuse
§15:99
Grounds for Downward Departure
3.
Application of Guidelines
§15:100
Probation Officer’s Calculation
§15:101
Review Case Law and Statutes
4. Sentence
Recommendation
§15:102
Possible Recommendations
§15:103
Disclosure Before Sentencing
5.
Objections
§15:104
Procedure
§15:105
Send to Probation Officer
§15:106
Object to Preserve Issue for Appeal
§15:107
Untimely Objection
§15:108 Be
Specific
§15:109
Burden of Production
§15:110
Have Probation Officer Attach Objections to Report
§§15:111 – 15:114
[Reserved]
B. Discovery
§15:115
Unavailable Exclusively for Sentencing
§15:116
Local Rules
§15:117
Exculpating Defendant or Undermining Credibility of Government Witness
§15:118
Hearsay Declarants
§§15:119 – 15:120
[Reserved]
C. Hearing
1.
Procedure
§15:121
When Held
§15:122
Resolving Disputes
§15:123
Right to Present Evidence
§15:124
Obtain Witness Statements
§15:125 Use
of Confidential Information
§15:126
Emphasize Guideline Factors Established by Evidence
§15:127
Appellate Review of Findings of Fact
2. Burden
of Proof
§15:128
Government’s Burden to Establish Aggravating Guideline Factors
§15:129
Defendant’s Burden to Establish Mitigating Guideline Factors
§15:129.1
Government and Defendant’s Burden to Establish §3553(a) Factors
3.
Evidentiary Rules
§15:130
Federal Rules of Evidence
§15:131
Hearsay
§15:132
Guideline Factor Dramatically Increasing Sentence
§§15:133 – 15:135
[Reserved]
D. Imposing
Sentence
1.
Allocution
§15:136
Definition
§15:137
Defendant and Defense Counsel
§15:138
Government
§15:139
Victim
§15:140
Address Victim Allocution
2.
Resolving Disputed Guideline Factors
§15:141
When Court Must Resolve
§15:142
When Court Not Required to Resolve
3.
Statement of Reasons
§15:143
Requirement
§15:144
Sentence Outside Range
§15:145
Restitution
4.
Notification of Appeal Rights
§15:146 In
General
§15:147
Indigent Defendant
§§15:148 – 15:154
[Reserved]
V. POST-SENTENCING PROCEEDINGS
A. Correction
1. In
General
§15:155
Methods
2. Clear
Error [FRCrP 35(a)]
§15:156
7-Day Window
§15:156.1
Basic Points
§15:156.2
Begins to Run After Sentencing
§15:156.3
Practical Effect of 7-Day Window
§15:157
Examples of Clear Errors
§15:158 No
Grounds Other Than Clear Error
3. Clerical
Mistakes [FRCrP 36]
§15:159
Timing
§15:160
Examples
§15:161
Does Not Apply to Judicial Errors
4.
Collateral Attack
§15:162
Limited Applicability
§15:163
Standard for Collateral Attack
§§15:164 – 15:165
[Reserved]
B. Modification
or Reduction
1. In
General
§15:166
Grounds
§15:167 New
Information Not Grounds
§15:168
Sentences Other Than Imprisonment
§15:169
Government Motion
§15:170
Timing of Motion and Ruling
§15:170.1
General Rule: Motion Within One Year of Imposition of Sentence
§15:170.2
Court May Delay Ruling
§15:170.3
Motion During Pendency of Appeal
§15:171
Court’s Discretion
§15:172
Appeal
§15:173 Two
Bites of the Apple
§15:174
[Reserved]
C. Appeal
1. In
General
§15:175
Appealable Sentences
§15:176
Review for Reasonableness After
Booker
§15:177
Approval for Government Appeal
§15:178
Affirmance of Sentence
§15:179
Reversal and Remand
§15:180
Judicial Retaliation
2. Sentence
Imposed in Violation of Law
§15:181 In
General
§15:182
Constitutional Error
§15:183 In
Violation of Statute or Rule
3.
Guidelines
a.
Incorrect Application
§15:184
Authority; Remand by Court of Appeals
§15:185
Deference to
§15:186
De Novo Review
b.
Departures
§15:187
Sentences Within Guidelines
§§15:188 – 15:189
[Reserved]
§15:190
Refusal to Depart Downward
§15:190.1
No Appeal When Court Chooses Not to Depart
§15:190.2
Appeal Available When Court Erroneously Concludes No Discretion to
Depart
§15:191
Review of Departure Decisions
§15:191.1
Overview — Factors Considered by Appellate Court
§15:191.2
Identified Ground for Departure
§15:191.3
Sufficiently Unusual Circumstances
§15:191.4
Record Supports Departure
§15:191.5
Reasonableness
§15:192
Multiple Grounds
§15:193
Post-Booker Review of
Below-Guideline Sentences
§15:194
Post-Booker Review of
Guideline Sentences
§15:195 Post-Booker
Review of Above-Guideline Sentences
4. Avoid
Moot Appeal
a. Methods
§15:196
Release on Bail Pending Appeal or Expedited Appeal
b. Release
Pending Appeal
§15:197
Move for Bail in District Court First; Standard
§15:198
Timing; Contents
§15:199
District Court’s Disposition
§15:200
Appellate Review
§15:201
Mandate; Seek to Continue Bail on Affirmance
c.
Expedited Appeal
§15:202
When to Seek
§15:203
Effect of Grant
D. Expungement
VI. Forms
Form 15A:
Sentencing Commission’s Worksheet
Form 15B:
Sentencing Table
Form 15C:
Legal Argument re: Authority to Permit Self-Surrender
Form 15D:
Notice of Filing Objections to Presentence Investigation Report
Form 15E:
Financial Affidavit for Presentence Investigation Report
Form 15F:
Defendant’s Memorandum in Support of Government’s Motion for
Downward Departure
Chapter 16
Termination, Modification and Revocation
of Probation and Supervised Release
I. Nature and Terms
A.
Probation
§16:1
Definition
§16:2
When Permitted
§16:3
Statutory Length of Terms
§16:4
When Prohibited by Statute
§16:5
When Authorized in Guidelines
B.
Supervised Release
§16:6
Definition
§16:7
When Required
§16:7.1
By Statute
§16:7.2
Under Guidelines
§16:8
Length of Term
§16:8.1
By Statute
§16:8.2
Under Guidelines
§16:9
Factors Considered
§16:10
Effect of Booker
§§16:11 – 16:14
[Reserved]
II. Early Termination
§16:15
Probation
§16:16
Supervised Release
§16:17
Sentencing Guidelines Policy
§16:18
Hearing
§§16:19 – 16:24
[Reserved]
III. Extension of Length of Term or Modification of Conditions
A.
Extension of Term
§16:25
Probation
§16:26
Supervised Release
§16:27
Requirements
§16:28
Sentencing Guidelines Policy
§§16:29 – 16:30
[Reserved]
B.
Nature and Modification of Conditions
1. In
General
§16:31
Nature of Conditions
§16:31.1
Notice
§16:32
When
§16:33
Requirements
§16:34
Sentencing Guidelines Policy
2.
Procedure
§16:35
Modification in Defendant’s Favor
§16:36
Modification Unfavorable to Defendant
§§16:37 – 16:38
[Reserved]
IV. Revocation
A.
Principles
1.
Authority
§16:39
In General
§16:40
Booker Implications
§16:40.1
Revocation Guidelines: Advisory Only
§16:40.2
Standard of Review: Reasonableness
§16:40.3
Retroactivity
2.
Discretionary Revocation
a.
In General
§16:41
2-Step Process
b.
Probation
§16:42
What Court May Do
§16:43
Statutory Sentences Upon Revocation
§16:44
Retroactive Applications and Ex Post Facto Clause
§16:45
Supervised Release Following Revocation and Imprisonment
c.
Supervised Release
§16:46
What Court May Do
§16:47
Supervised Release Following Revocation
3.
Mandatory Revocation
§16:48
In General
§16:49
Substance Abuse Treatment Programs
4.
Sentencing Commission Policy Statements
a.
General Principles
§16:50
In General
§16:51
Policy Statements Not Binding
§16:52
Grades of Violations
b.
Revocation Table Sentences
§16:53
In General
§16:54
Consecutive Sentences
§16:54.1
Statute
§16:54.2
Chapter Seven Policy Statements
§16:55
Revocation Table
§16:56
§§16:57 – 16:64
[Reserved]
B.
Procedure
1.
Initiation
§16:65
Government Motion
§16:66
Delayed Revocation
§16:67
Notice
2.
Preliminary Proceedings
§16:68
Initial Appearance
§16:69
Preliminary Hearing
§16:69.1
Basic Points
§16:69.2
Consequences of Court’s Finding
§16:69.3
Jurisdiction – Arrest in Another District
§16:70
Bail Pending Final Revocation Proceedings
3. Final
Revocation Hearing
§16:71
Governing Law
§16:72
Requirements
§16:73
Right of Allocution
§16:74
Final Revocation Hearing Before Magistrate Judge
§16:74.1
Probation Violations
§16:74.2
Supervised Release Violations
§16:75
Rules of Evidence
§16:75.1
General Rule — FRE Do Not Apply
§16:75.2
Hearsay
§16:76
Exclusionary Rule
§16:77
Discovery
§16:77.1
Pre-Hearing
§16:77.2
During Hearing
§16:78
Standard of Proof
§16:78.1
Probation Revocation
§16:78.2
Supervised Release Revocation
§16:79
Findings by District Court Required
4. Appeal
§16:80
Jurisdiction
§16:81
Standard of Review
§16:82
Bail Pending Appeal
V. Forms
Form 16A:
Revocation Table
Table of Cases
Index
Updated 04/06/12
