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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.
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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.
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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.
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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.
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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.
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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.
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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.
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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