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Courts and Criminal Justice in America CHAPTER 14 Sentencing, Appeals, and Habeas Corpus Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Introduction • Deciding upon the proper sentence reflects the goals of punishment • If a person is convicted, he or she may argue that an error was made at trial and file for appeal • If an appeal is filed and fails, the U.S. Constitution provides the right to habeas corpus Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Sentencing • A presentence report provides the judge information that can be relevant in deciding on the appropriate sentence Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Sentencing • Required components of a presentence report Evaluation of and prognosis for the defendant’s adjustment in the community based on factual information contained in the report Any written impact statement submitted by a victim (if requested by a victim) Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Sentencing Specific written recommendation for disposition based on the evaluation and other information as prescribed by the court Statement prepared by the prosecuting attorney as to whether any consecutive sentencing is required by law Statement that the defendant is licensed or registered if he or she is to be sentenced for a misdemeanor involving the illegal delivery, possession, or use of alcohol or a controlled substance Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Sentencing Diagnostic opinions that are available and not exempt from disclosure by state law Objective description of the offense Defendant’s version of the offense Full description of the defendant’s prior criminal record Status of all criminal charges pending against the defendant Personal profile of the defendant Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Sentencing • Optional components of a presentence report Defendant’s juvenile record if the record has not been expunged Conclusions or opinions of the probation officer Defendant’s pending charges and prior arrests without convictions (if any) Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Sentencing • SENTENCING RECOMMENDATION The presentence report must contain a specific sentence recommendation. A simple recommendation that the defendant be incarcerated or that the defendant not be placed on probation is sufficient. Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Sentencing • Goals of Sentencing There are five main goals of sentencing that have been identified: Rehabilitation • Consists of a planned intervention intended to change behavior • Examples include probation, drug treatment, and anger management Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Sentencing Retribution • Designed to punish criminals solely for what they did based on the severity of their crimes • “Just deserts” for what has been done Incapacitation • Amounts to removing criminals from society, usually through incarceration, so they cannot repeat their criminal activity • The focus is on protecting potential victims Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Sentencing General Deterrence • Designed to discourage would be criminals from committing crime • A mandatory sentencing policy could send a strong message that “crime does not pay” Specific Deterrence • Aimed at reducing the chances of recidivism • If a person is punished harshly, he or she is unlikely to repeat criminal acts Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Sentencing • Types of Sentences Monetary Penalties • Fines are the most common punishment used by the criminal justice system today • Primarily used in cases involving minor offenses Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Sentencing • One problem associated with fines is that they are often defined by law, regardless of the defendant’s financial position • Many fines go uncollected • Day fines are now being used in some jurisdictions Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Sentencing Probation • One of the most frequent sentences handed down by judges Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Sentencing • Two general types of conditions that are imposed on probationers • Reform conditions are intended to facilitate the offender’s rehabilitation • Control conditions ensure adequate monitoring and supervision of the probationer or parolee Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Sentencing Intermediate Sanctions • Tougher than probation, but less harsh than a prison sentence • Examples are shock probation, boot camps, electronic monitoring and home confinement • An unfortunate side-effect is known as the net widening problem Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Sentencing Shaming • Public exposure penalties • Debasement penalties • Apology penalties Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Sentencing Forfeiture • Ownership of property is relinquished • Most often property that was derived from or used to facilitate a crime • Two types of forfeiture • Criminal forfeiture follows criminal conviction • Civil forfeiture does not require a criminal proceeding Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Sentencing Prison Sentences • The defendant is forced to spend time in a secure facility such as a jail or prison • Four types of prison sentences: • • • • Indeterminate sentencing Determinate sentencing Mandatory sentencing Sentencing guidelines Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Sentencing The Death Penalty • 1972 Furman v. Georgia determined the death penalty was cruel and unusual punishment • 1976 Gregg v. Georgia the death penalty was reinstated Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Sentencing • Whether the death penalty should be imposed is now frequently in the hands of a jury • Aggravating circumstances • Mitigating circumstances Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Sentencing • Determining the Appropriate Sentence There are a number of factors that influence the final sentencing decision • e.g. crime seriousness and prior record Concurrent sentence Consecutive sentence The going rate for a criminal offense Victim impact statements Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Sentencing • Constitutional Rights During Sentencing The double jeopardy provisions of the Fifth Amendment applies • Solem v. Helm • Not clear what “reasonable” really means Other rights include: • Participating in the sentencing process • Having counsel present at sentencing • United States v. Tucker Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Appeals • Types of Appeals Every state and the federal government have rules providing a certain number of appeals to convicted criminals • At each of these levels convicted criminals are usually granted at least one appeal of right as well as at least one discretionary appeal • Appeals of right are limited, but discretionary appeals can be filed several times Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Appeals • Consequences of Appeals In a typical appeal, the defendant seeks to correct a decision by a lower court • An appellate court can affirm or reverse the lower court’s decision There can be a trial de novo in which a defendant requests a new, independent trial at the appellate level • Miranda v. Arizona Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Appeals Access to Trial Transcripts • In Griffin v. Illinois the Court struck down a procedure that required the defendant to produce transcripts of the trial Right to Counsel • The Court has required counsel be provided to defendants on appeal • Douglas v. California • Counsel is not constitutionally guaranteed in discretionary appeals Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Appeals Government Retaliation • North Carolina v. Pierce • Blackledge v. Perry • Colten v. Kentucky Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Appeals Timing of Appeals • An appeal can be filed prior to the reading of the verdict or following adjudication • Prior to adjudication is known as interlocutory appeal • After adjudication is known as the final judgment rule Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Appeals Prosecutorial Appeals • Appeals by prosecution are possible in certain situations, but only as authorized by state or federal law Harmless Error • These are mistakes at the trial level that have little practical consequence in terms of deciding whether the defendant is guilty or “innocent” • Two types of errors are constitutional and non-constitutional Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Habeas Corpus • Habeas Corpus is a form of collateral attack that allows one to challenge the constitutionality of one’s confinement Occurs once appeals have been exhausted, and once the individual is incarcerated Most habeas corpus petitions are filed with federal district courts Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Habeas Corpus • Is Habeas Corpus Important? On several occasions the Supreme Court has emphasized the importance of the writ • Stated that the writ is necessary to provide “adequate protection of constitutional rights” • Writs should not be liberally issued for claims arising from state courts Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Habeas Corpus • Limitations on Habeas Corpus The types of claims which can succeed Failure to submit a claim within the timeframe specified by state law All state remedies must be exhausted before federal habeas review is granted Restrictions apply in situations where prisoners file multiple habeas petitions Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Habeas Corpus Ineligible Petitions • Examples are that habeas review will only be granted if it raises a federal constitutional question and claims involving harmless errors will not be granted review Importance of Timing Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Habeas Corpus • Must generally be filed within a certain specified time period • The “actual innocence” standard • Schlup v. Delo Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved Habeas Corpus State Remedies Must Be Exhausted • Imposing such restrictions ensures that the states can correct federal constitutional violations Multiple Petitions • The petitioner must show that he or she was not given a “full or fair” hearing on the petitioner the first time around • Successive petitions making different claims each time are seriously restricted Courts and Criminal Justice in America, 2nd Edition Siegel | Schmalleger | Worrall Copyright © 2015 by Pearson Education, Inc. All Rights Reserved