Chapter 9: The Criminal Trial & Sentencing

Housekeeping

Guest speaker Alexandra McCullum (Guardian ad Litem) will be presenting. Arrive 5 minutes early.

Learning Objectives

Describe the purpose and process of criminal trials, including the sequential steps, types of evidence, and the role of juries.
Summarize historical changes in sentencing practices, evaluating advantages and disadvantages of different sentencing methods and their impact on justice outcomes.
Examine the role of the victim and discuss their rights in criminal cases.

Fundamentals of the Criminal Trial

The singular purpose of a criminal trial is to ascertain the legal guilt or innocence of a person charged with a criminal act.
Difference between legal and factual guilt:
- Legal guilt: Established when a prosecutor persuades the judge or jury that the defendant is guilty beyond a reasonable doubt.
  - Beyond a reasonable doubt: A reasonable person having no reasonable doubt that the defendant is guilty as charged.
- Factual guilt: Whether the defendant actually committed the crime.

Jury Versus Bench Trials

Most criminal cases are adjudicated by a jury.
Adjudicate: To render a formal judgment about a disputed matter.
Bench Trials: Judge(s) acts as the fact finder, weighs evidence, and renders a judgment.
- Criteria:
  - Defendant voluntarily and knowingly waives right to a jury trial in writing.
  - Prosecution consents.
  - Court must approve.
- Why opt for a bench trial?
  - May benefit defendant in complicated technical or stigmatizing events.
  - Often faster than jury trials (no jury selection).
  - Some jurisdictions use a panel of judges instead of just one.

Evidence in a Trial

Strict rules guide what is evidence and how it may be presented during trial.
All evidence must meet three criteria:
1. Relevant: Must have the ability to prove or disprove a fact in the trial.
2. Material: Must be offered to prove a fact in dispute in the trial.
3. Competent: Must be reliable.
If there is a legal question concerning a rule of evidence, the court may look towards state appellate courts or federal courts.

Types of Evidence

Evidence takes many forms including:
- Witness Testimony
- Written or electronic documents
- DNA
- Ballistics
- Photographs
Two Major Classifications for Evidence:
1. Direct Evidence: Offers proof of something without requiring the judge/jury to interpret its meaning.
2. Circumstantial Evidence: Requires the judge/jury to interpret the meaning of the evidence.
  - Example: A ballistics report or DNA test presented by an expert witness linking the defendant’s firearm to the crime.

Hearsay

Hearsay is defined as, “an out-of-court statement introduced to prove the truth of the matter asserted” (Article VIII, Federal Rules of Evidence).
Why is hearsay usually inadmissible in court?
- People may misstate what they heard or seen (malicious or not).
- Human memory is not perfect, especially after a significant amount of time has passed.
- Excludes possibility of cross examination on the hearsay statement.
Almost 30 exceptions to hearsay exist (e.g., Dying declaration, excited utterance, reputation concerning character).

Sequential Presentation of Evidence

Prosecution direct examinations
Defense cross examinations
Prosecution rests case
Defense direct examination
Prosecution cross examinations
Defense rests case

Reaching a Verdict

Judge instructs jury on the legal aspects of reaching a verdict.
- Judge’s Charge to the Jury (a.k.a. jury instructions)
- Pattern jury instructions: Language template to be used when charging the jury (Example: Florida Bar).
- May include reminders to jury regarding:
  - Defendant is innocent until proven guilty
  - Beyond a reasonable doubt: Level of proof required for a criminal case conviction
  - Duty to impartiality.
Research shows many jurors have poor understanding of the complex and technical details of the pattern jury instructions.

Jury Deliberation

Jury is taken to a private room to deliberate.
Deliberation: Jury process of determining guilt.
- Sequestered: Jury may be isolated to prevent outside influences from affecting verdict.
- OJ Simpson Trial: Jury was sequestered for 265 days (or eight and a half months).
What impact could sequestered juries have on the results?

Jury Deliberation: Outcomes

Jury deliberation may result in several outcomes such as:
1. Defendant is found guilty.
  - State court:
    - 12 jurors – 9 must find defendant guilty.
    - 6 jurors – all must find defendant guilty (i.e., unanimous verdict).
  - Federal court:
    - Unanimous verdict always required.
2. Defendant is found not guilty.
  - Acquit: To free someone from a criminal charge following N.G. verdict.

Jury Nullification

The concept that juries have the power to disregard the law and acquit a defendant they believe to be factually guilty because they disagree with the law.
Courts have upheld that while juries have the right to nullify laws, they do not allow either party to argue guilt/not guilt based on this notion.
U.S. v. Moylan (1969): Confirmed the right of nullification but the court was not allowed to inform the jury to this effect.
“…by clearly stating to the jury that they may disregard the law, telling them that they may decide according to their prejudices or consciences (for there is no check to ensure that the judgment is based upon conscience rather than prejudice), we would indeed be negating the rule of law in favor of the rule of lawlessness. This should not be allowed.”

Hung Juries

Jury deliberation may result in several outcomes such as:
1. Hung Jury (deadlocked): Unable to agree on guilt or innocence of defendant, often resulting in a mistrial.
  - Allen Charge (Allen v. United States, 1896): Judges may provide additional jury instructions to give a deliberating jury to discourage a mistrial.
2. Mistrial: A courtroom trial that ends prior to its normal conclusion.
  - Usually, double-jeopardy does not apply, meaning a retrial can occur at the prosecutor’s discretion (exception: judicial or prosecutorial misconduct).
Exceptions to double jeopardy:
- Different jurisdiction (e.g., federal v. state court OR criminal v. civil).
- Same facts, different elements of the crime.

Sentencing

Sentencing: Application of criminal sanction to a legally guilty individual.
- Punishment can include any combination of fines, restitution, probation, intermediate punishments, imprisonment, hospital commitment, or death.
Three principles of punishment:
1. Proportionality: Severity of sentence matches crime.
2. Equity: Similar crimes should be punished similarly.
3. Social debt: Accounts for criminal past in sentencing.

Goals of Sentencing

Five primary goals of sentencing:
- Retribution
- Incapacitation
- Deterrence
- Rehabilitation
- Restoration
Presentence investigation: background info (history and extenuating circumstances) to consider in sentencing.
Sentencing has drastically changed over the past several decades.

Indeterminate Sentencing

Indeterminate sentencing: A system of sentencing that allowed greater judicial discretion, with an emphasis on rehabilitation.
- Sentenced to a range of years with a stated minimum and maximum.
- Example: A sentence of no less than five years, but no more than twenty years.
- Parole Boards: Reviews prior acts and behavior to determine when a prisoner is ready for release within sentencing parameters.
Allowed for individualization but resulted in racial inequities in sentencing outcomes.
- Disproportionately impacted young, male, unemployed, Black/Hispanic defendants.

Structured Sentencing

Structured sentence: Generally given in the form of fixed terms with an anticipated date of release.
- Limits judicial discretion; most parole boards disbanded.
- Greater emphasis on retribution.
- Unintended consequence: Removes an offender’s motivation to participate in programs as a means to shorten a sentence.
Elements of indeterminate sentencing still in use: Parole (less often) & good time served.
- Good time: Sentence reductions given to prisoners for good behavior, completion of programs, etc.

Good Time Policies in Florida

Florida statutes (§944.275 & 944.801):
- 10 days per month served for each sentence imposed (pro rata for any portion) awarded for participation in training, working diligently, using time constructively, or other positive activities.
  - E.g., 60 days for completion of GED.
- No more than 160 days “good time” in total may be earned in 365 days.

Federal Sentencing Guidelines Act of 1984

Eliminated federal parole release for prisoners and abolished almost all good time earned.
Congress replaced parole with supervised release (i.e., post-incarceration probation) by U.S. Probation Office.
- Unintended consequence of structured sentencing is the large population of nonviolent offenders who may benefit from alternative sanctions.
Currently, federal inmates can earn up to 54 days of “good time” credits for each year of their imposed sentence (18 U.S.C. § 3624(b)).

Determinate Sentencing

Determinate sentencing: a type of structured sentencing where prisoners are given fixed sentences, determined by legislature.
Violent Crime Control and Law Enforcement Act of 1994
- Requires prisoners to serve at least 85% of their sentence in order for states to qualify for federal financial aid.
- 1990s violent offending decrease, prison population continued increasing.
As offending decreases, prison population is increasing.

Mandatory Minimum

Mandatory minimums: Element of structured sentencing whereby certain sanctions are mandated based on the crime (e.g., drunk driving) and/or elements of the crime (e.g., firearm).
- Example: Florida’s 10-20-Life Law for firearms (775.087).
Three-strikes laws: Example of mandatory minimum mandating long sentences without parole for those convicted of a third felony offense.

Diversity in Sentencing

Due to the prison overcrowding impact that three-strikes laws have had, some states have abolished them.
- Example: Louisiana dropped mandatory minimums for many nonviolent offenses involving drugs.
Unfortunately, research continues to show that young, male, unemployed, Black and Hispanic offenders are more likely to be sentenced to prison and to be sentenced to longer prison terms, compared to their counterparts.
The United States Sentencing Commission published a 2023 report on “The Demographic Differences in Federal Sentencing” over a five-year period (2017-2021):
- Specifically, Black males received sentences 13.4 percent longer, and Hispanic males received sentences 11.2 percent longer, than White males.
- Hispanic females received sentences 27.8 percent longer than White females.
- Black males were 23.4 percent less likely, and Hispanic males were 26.6 percent less likely, to receive a probationary sentence compared to White males.
- Similar trends were observed among females, with Black and Hispanic females less likely to receive a probation sentence than White females (11.2% percent less likely and 29.7% less likely, respectively).

Sentencing Guidelines

Sentencing guidelines: Often a grid which provides a range of sanctions based on offender’s crime severity and criminal history.
- Considered advisory, though generally followed.
- Example: Florida’s sentencing guidelines.

Integration of the Victim into the Process

In the past, victims were not informed about the status of the case and not alerted as to the whereabouts of the defendant.
In 1988, the federal government established the Office for Victims of Crime: Established goals to assist crime victims through funding, leadership, policies, and practices.
In 2004, Crime Victims’ Rights Act: Established victim rights in federal criminal cases.
- Victim bill of rights: Offers similar rights to crime victims on a state level.

Victim Impact Statements

Allows the victim to tell the judge how the crime affected the victim. It ensures the victim’s right to be heard.
Trigger warning: Larry Nassar Case.

Special Criminal Trial: Capital Case

Capital cases may include: Premeditated or first-degree murder, treason, murder of federal agents and politicians, and some crimes against children.
- Defendant may face execution if convicted.
Important differences:
- Prosecutors are required to file a notice of their intent to seek the death penalty in a case.
- During voir dire, attorneys ascertain if prospective jurors are death qualified.
  - Death qualified: Suitable to serve on a case in which the punishment might be execution.
- Juries are more likely to be sequestered.
- Requires unanimous verdict from the jury (12 people).
- Bifurcated trials: First trial determines guilt and second establishes the sentence.
- For the “sentence trial” juries review aggravating and mitigating circumstances and makes a recommendation to the judge.
- Mandatory appeals process almost always characterizes capital cases.