TEST BANK for America's Courts and the Criminal Justice System 13th Edition COMPLETE CHAPTERS

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Chap 01_13e Indicate whether the statement is true or false.

1. Proponents of the crime control model believe that the courts’ priority should be to protect the rights of the individual. a. True b. False 2. Federal judges are elected in district-wide elections. a. True b. False 3. One of the five major areas of civil law is domestic relations law. a. True b. False 4. Selective incorporation refers to the application of certain provisions of the Bill of Rights to the states through the Fourteenth Amendment. a. True b. False 5. The most controversial defense of justification is insanity. a. True b. False 6. The due process model emphasizes protecting the rights of the individual. a. True b. False 7. In the United States, separate systems of federal courts and state courts exist. a. True b. False 8. A law in action perspective helps us understand the dynamics of courthouse justice. a. True b. False 9. The organization of prosecutors in the United States is consistent across the state and federal criminal justice system. a. True b. False 10. The decisions of trial courts may be reviewed by appellate courts. a. True b. False

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Chap 01_13e 11. According to the due process model, the courts have hindered effective law enforcement. a. True b. False 12. The judge is generally the most influential official of the court house actors. a. True b. False 13. Necessity is not a defense recognized by law. a. True b. False 14. Approximately 2.5 million people work in the criminal justice system. a. True b. False 15. The use of precedent promotes fairness and consistency. a. True b. False 16. In the crime control model, one goal is to process defendants quickly. a. True b. False 17. The mental state required for a crime to have been committed is referred to as the actus reus. a. True b. False 18. To be criminal, an act must be voluntary. a. True b. False 19. The term “dual court system” refers to separate state and federal courts. a. True b. False 20. Democratic governments derive their powers from the law. a. True b. False 21. A law in action perspective stresses the importance of discretion. a. True b. False

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Chap 01_13e 22. The crime control and due process models were developed by Herbert Packer. a. True b. False 23. A narrow gap exists between legal theory and how that law is applied. a. True b. False 24. Media coverage can provide caricatures, not pictures, of courts and the criminal justice system. a. True b. False 25. Legislatures did not become a principal source of law in the United States until the 20th century. a. True b. False Indicate the answer choice that best completes the statement or answers the question.

26. Coercive police practices are a violation of this essential element of due process. a. equal protection b. the third degree c. self-incrimination d. fundamental fairness 27. Which of the following is not an element of a crime? a. mens rea b. actus reus c. attendant circumstances d. guilty conscience 28. Which of the following is the highest burden of proof? a. clear and convincing evidence b. preponderance of evidence c. probable cause d. proof beyond a reasonable doubt 29. Which of the following is NOT true of law in action? a. It focuses on human factors governing application of law. b. It stresses the importance of discretion. c. Strict enforcement of laws and adherence to procedures are a key feature. d. Prosecutors use discovery to encourage guilty pleas.

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Chap 01_13e 30. What is the name of a request for a judge to make a decision? a. an affidavit b. a warrant c. a motion d. a judgment 31. Much of the Bill of Rights has been made applicable to the states through the: a. Fourth Amendment. b. doctrine of precedent. c. legislative process. d. Fourteenth Amendment.

32. What is the body of rules, other than criminal law, that governs private parties? a. inheritance law b. civil law c. production law d. attempt law 33. What is the name of rules and regulations adopted by administrative agencies that have the force of law? a. statutory regulations b. constitutional regulations c. administrative regulations d. due process regulations 34. Which term emphasizes fundamental fairness insofar as a person should always be given notice of any charges brought against him or her, that a person should be provided a real chance to present his or her side in a legal dispute, and that no law or government procedure should be arbitrary or capricious? a. procedural process b. crime control c. criminal defenses d. due process of law 35. In contrast to federal judges, most state judges are: a. appointed by the governor. b. appointed by the state legislature. c. appointed by the state supreme court. d. elected.

36. The first document that establishes the underlying principles and general laws of a nation or state is: a. substantive law. b. procedural law. c. a precedent. d. a constitution.

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Chap 01_13e CASE 1.3

As a result of increased enforcement efforts, the courts and correctional facilities are inundated with mostly low-level drug offenders. Public support of the newest campaign in the war on drugs is starting to wane as increasing taxes to build new jails to house pretrial detainees is discussed 37. Which of the following is NOT part of the crime control belief system? a. Individual responsibility is at issue when considering the ramifications of drug abuse. b. Speedy trial legislation should be enacted to ensure that justice is not delayed. c. The adversarial process at trial achieves the correct result. d. Incarceration achieves the dual result of deterrence and increased public safety.

38. Mens rea refers to the: a. guilty act. b. body of the crime. c. scene of the crime. d. guilty mind.

39. Which term refers to legal obligations? a. substantive law b. procedural law c. precedent d. constitution 40. A trial by a judge without a jury is called a: a. summary trial. b. bar trial. c. bench trial. d. trial de novo.

41. The operation of two separate and distinct court systems in the United States is referred to as: a. a dual court system. b. checks and balances. c. separate but equal. d. judicial federalism.

42. Which term refers to the protection of rights of the individual? a. due process b. crime control c. criminal defenses d. due process of law

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Chap 01_13e 43. Which of the following is true of grand juries? a. They are used by all states. b. They deliberate in open hearings. c. They issue an indictment in most cases. d. They are utilized only in misdemeanor cases.

44. The primary justification for providing constitutional safeguards in the criminal justice process is to ensure that: a. innocent persons are not harassed or wrongly convicted. b. the guilty are punished. c. society administers justice to the accused. d. convictions are not overturned on appeal.

45. Which term refers to the methods of enforcing legal obligations? a. substantive law b. procedural law c. precedent d. constitution 46. Which term refers to the repression of criminal conduct? a. due process b. crime control c. criminal defenses d. due process of law 47. The three main components of the American criminal justice system are: a. federal, state, and local. b. judges, prosecutors, and defense attorneys. c. police, courts, and corrections. d. probation, prison, and parole.

48. Which of the following is not one of the justice professionals in the courthouse? a. social services personnel b. prosecutors c. judges d. police 49. Criminal justice is best viewed as a system and a: a. conglomerate. b. business. c. nonsystem. d. victim’s agency.

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Chap 01_13e 50. Which Amendment to the U.S. Constitution guarantees the right to counsel? a. Fourth Amendment b. Fifth Amendment c. Sixth Amendment d. Eighth Amendment 51. Laws created by federal and state legislatures are known as: a. ordinances. b. statutes. c. administrative regulations. d. legislation.

52. Which of the following is a characteristic of the crime control model of criminal justice? a. The process resembles an obstacle course for the prosecution and police. b. It stresses formal and court fact-finding. c. There is concern for speed and protecting society. d. It focuses on the rights of defendants.

53. Which term is derived from the way crime is defined? a. due process b. crime control c. criminal defenses d. due process of law 54. By and large, criminal defendants are: a. young, poor, uneducated, and male. b. young, poor, and female, and a member of a minority group. c. young, poor, male, and minority. d. middle-aged, male, uneducated, and a repeat offender.

55. The most influential actor in the courthouse is the: a. judge. b. defense attorney. c. clerk of court. d. prosecutor.

56. After arrest, arrestees are brought before a judge, advised of their rights and the charges against them, and given a chance to make bail at the: a. pretrial hearing. b. initial appearance. c. arraignment. d. preliminary hearing.

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Chap 01_13e 57. The party who initiates a civil suit is known as the: a. appellant. b. victim. c. appellee. d. plaintiff.

58. The key characteristics of common law include all of the following, EXCEPT: a. it is predominately judge-made. b. it is based on justice. c. it is found in multiple sources. d. it applies rules of law found in previous cases.

59. Around 90 percent of felony convictions result from a: a. plea bargain. b. trial by jury. c. bench trial. d. preliminary hearing.

60. The key goal of the crime control model is the: a. repression of criminal conduct. b. rights of defendants. c. rights of victims. d. integrity of the courts.

61. Courts can be classified according to their function (rather than jurisdiction) as: a. local, state, and federal courts. b. substantive and procedural courts. c. national and multinational courts. d. trial and appeals courts.

62. Which of the following is NOT part of the due process belief system? a. The war on drugs has a disproportionate effect on racial minorities. b. Speedy trial legislation should be enacted to ensure that justice is not delayed. c. The adversarial process at trial achieves the correct result. d. Rehabilitation achieves the dual result of deterrence and increased public safety.

63. The numerous public agencies involved in implementing public policy concerning crime are referred to as the: a. court system. b. corrections system. c. law enforcement system. d. criminal justice system.

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Chap 01_13e CASE 1.1 The creation of designer drugs is outpacing the ability of society to enact laws to prohibit them. Many of these substances have negative side effects, ranging from violent behavior to death.

64. Which of the following responses to the problem would best fit the due-process philosophy? a. Government takes steps to limit the availability of ingredients used in the manufacture of designer drugs. b. Pass legislation and increase enforcement efforts to send a message of zero tolerance to those who manufacture, sell, and use designer drugs. c. Dramatic increase in the use of drug courts to divert first-time offenders and defer prosecution. d. Design public awareness campaign to warn potential users of the serious legal ramifications if they are caught with the drugs.

65. Another word for stare decisis is: a. substantive law. b. procedural law. c. precedent. d. constitution.

CASE 1.2 Politicians have expressed their outrage at the designer drug problem by enacting legislation targeting manufacture, sale, and possession that require mandatory minimum sentences. The police across the country start making arrests based on this new legislation.

66. Which of the following aspects of the criminal justice process exemplify law on the books? a. Police Mirandize a suspect and obtain a voluntary confession. b. At initial appearance, the judge sets a low bail because the jail is overcrowded. c. The prosecutor meets with the defense attorney to discuss the terms of a plea agreement. d. Upon accepting the plea, the judge sentences the defendant based on his own discretion.

67. Which Amendment to the U.S. Constitution prohibits unreasonable searches and seizures? a. First Amendment b. Fourth Amendment c. Fifth Amendment d. Eighth Amendment 68. Which of the following aspects of the criminal justice process exemplify law in action? a. Police Mirandize a suspect and obtain a voluntary confession. b. At initial appearance, the defendant is advised of his rights and bail is set according to the bond schedule. c. The prosecutor meets with the public defender to discuss the terms of a plea agreement. d. Upon pleading guilty, the defendant is dissatisfied with the sentence and appeals.

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Chap 01_13e 69. Jurors’ expectations of forensic evidence in even the most mundane of cases have been called the: a. DNA effect. b. CSI effect. c. science effect. d. BSU effect.

70. If the grand jury finds probable cause to hold the defendant for trial, it returns a(n): a. warrant. b. no true bill. c. true bill. d. Alford bill.

Enter the appropriate word(s) to complete the statement.

71. The ____________ is the most influential of the courthouse actors.

72. The Wickersham Commission (1931) defined the ____________ as “the inflicting of pain, physical or mental, to extract confessions or statements.”

73. ____________ courts are divided into major and lower courts.

74. The public often blames ____________ for allowing guilty defendants to go free on technicalities.

75. Law is both substantive and ____________.

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Chap 01_13e 76. In ____________ courts, no trials are held, no jurors are employed, and no witnesses are heard.

77. Depending on the dramatic needs of the movie or TV show, police may be portrayed as ____________.

78. The doctrine of applying the Bill of Rights to the states through the Fourteenth Amendment is known as ____________.

79. The ____________ is the name for the first ten Amendments of the U.S. Constitution.

80. A ____________ perspective helps us understand the dynamics of courthouse justice.

81. In the ____________, social consciousness began to focus on social equality and equal justice under law.

82. The most important value in the ____________ model is the repression of criminal conduct.

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Chap 01_13e 83. A ruling in a previous case that serves as a guide in deciding subsequent cases with similar circumstances is known as a(n) ____________.

84. Most people in the United States learn about the ways in which criminal cases are processed through the courts from ____________.

85. The term “____________” refers to the exchange of information prior to trial.

86. The basis of law can be summarized in two words: ____________ conflict.

87. In every criminal case the prosecution must prove what is known as ____________, a Latin phrase meaning “body of the crime.”

88. The ____________ of a crime provide the technical definition of a crime.

89. The ____________ model emphasizes protecting the rights of the individual.

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Chap 01_13e 90. One of the most fundamental rights granted to those accused of violating the criminal law is ____________.

91. Contrast the due process and crime control models of criminal justice.

92. Explain the function of the criminal justice system from both an interdependent system perspective as well as a fragmented non-system perspective.

93. Consider that you are a deputy, and have just reviewed the following principles of contemporary criminal

procedure: a. An involuntary statement is considered to be inherently untrustworthy or unreliable, and convictions based on unreliable evidence violate due process. b. Coercive police practices are a violation of fundamental fairness, an essential element of due process; therefore, a confession coerced by the police violates due process, even if that confession is otherwise reliable. c. Free choice is an essential aspect of due process, and an involuntary confession cannot be the product of a person’s free and rational choice.

In your opinion, sometimes there are situations where force is necessary to gain confessions. With this in mind, but also considering the above prinicples, how forceful is acceptable and why? What are better alternatives? Also, what do you think should have happened to cases where force was exercised prior to the Brown v. Mississippi case? Have you heard of any cases since then that have used force to any degree either? What are your thoughts on those cases? Please fully explain.

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Chap 01_13e 94. Describe some of the key differences between the law on the books and the law in action.

95. Discuss the function and importance of the grand jury.

96. Consider you are a prosecuting attorney, reviewing a textbook about criminal justice. What would be the impost important things you would look for when the text describes what makes felonies, misdemeanors, and violations different from each other? You know that in setting penalties, the law often makes a distinction based on the serious of the offense. The most serious crimes are called felonies and in most states, they are punishable by one year or more in prison. Less serious offenses are called misdemeanors, which are typically punishable by up to a one-year sentence in a local jail. And finally, the least serious offenses are called violations, which are subject to fines or very short jail terms.

The next day you presented with a new case. What kinds of things would you take into consideration when determining what charge an offense is? Are there any things that you think could be considered more than one offense, or even could boarder one or another offense (as in, is there an offense that could be considered a felony or a misdemeanor?). How would you make your determination? Give an example and fully explain.

97. Contrast the roles of trial and appellate courts.

98. List the steps in processing a typical felony case. Briefly describe what happens at each step.

99. Identify and explain the importance of the three key characteristics of the common law.

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Chap 01_13e 100. Which amendments from the Bill of Rights are pertinent to criminal procedure? Describe what rights they affect or provide for defendants.

101. American government is based on the principle of federalism, which distributes governmental power between national (usually referred to as federal) and state governments. In turn, state governments create local units of government, such as counties and cities. Each of these levels of government has its own array of police, courts, and corrections. This decentralization adds tremendously to the complexity of the American criminal justice system. For example, depending on the nature of the law allegedly violated, several different prosecutors may bring charges against a defendant, including the following: city attorney (local), district attorney (county), attorney general (state), U.S. attorney (U.S. district court), and U.S. attorney general (national).

You are a student who is curious the different types of attorneys, but think you would be interested in looking more into being a city attorney in a large city. In your research, what do you find out about what types of cases may you be involved in? Which types of cases would you be most and least interested in, and why? Are any of them, in your opinion, easier or more difficult than another? Please fully explain.

102. Consider that you are on a case where a child is on trial for the murder of his own father. You have a son of your own and have a very close relationship with him. You realize, though, that though you cannot understand how a child could kill his father, this case could fall under a defense of excuse. These cases typically seek to excuse acts committed by defendants who should not be held criminally responsible for their actions because they were too young or because their mental state prevented them from understanding the consequences of their actions. The law recognizes youthful age as a criminal defense under certain circumstances. Knowing what you do about the case, the defense of excuse, and your own relationship with your child, what is your opinion on how a child should be charged? Does it depend on the seriousness of the case, or no? Why or why not? Fully explain.

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Chap 01_13e 103. You are a judge in New York City at the time that the George Zimmerman/Trayvon Martin case is going on.

You are familiar and have personally dealt with crimes of racial profiling in the past, but with this recent case, they have become more publicized and prominent. Claims of racial profiling in who was stopped, questioned, and frisked by New York City Police Department officers led to the federal courts adjudicating several class action civil rights lawsuits that ultimately resulted in a settlement involving judicial oversight of police stop-andfrisk activities. Because of this, and the acquittal of George Zimmerman for killing of Trayvon Martin, the Black Lives Matter movement was formed. Your viewpoint of a judge is that stop and frisk would be a helpful and necessary part of keeping the city safe. With your viewpoint as well as the above information, including recent racial profiling cases, how would you reexamine the use of force being legally justified? How do the facts about a case influence your opinion? Do you agree with the outcome of the George Zimmerman/Trayvon Martin case? Please fully explain.

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Chap 01_13e Answer Key 1. False 2. False 3. True 4. True 5. False 6. True 7. True 8. True 9. False 10. True 11. False 12. False 13. False 14. True 15. True 16. True 17. False 18. True 19. True 20. False 21. True 22. True 23. False 24. True 25. True 26. d

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Chap 01_13e 27. d 28. d 29. c 30. c 31. d 32. b 33. c 34. d 35. d 36. d 37. c 38. d 39. a 40. c 41. a 42. a 43. c 44. a 45. b 46. b 47. c 48. a 49. c 50. c 51. b 52. c 53. c 54. a Copyright Cengage Learning. Powered by Cognero.

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Chap 01_13e 55. d 56. b 57. d 58. b 59. a 60. a 61. d 62. b 63. d 64. c 65. c 66. a 67. b 68. c 69. b 70. c 71. prosecutor 72. third degree 73. Trial 74. appellate courts 75. procedural 76. appellate 77. diligent or brutal 78. selective incorporation 79. Bill of Rights 80. law in action 81. 1950s and 1960s 82. crime control

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Chap 01_13e 83. precedent 84. the media 85. discovery 86. human 87. corpus delicti 88. elements 89. due process 90. trial by jury 91. The crime control model’s key goal is the repression of criminal conduct, which is accomplished by apprehending, convicting, and punishing offenders. The crime control model advocates expeditious processing of offenders and reliance on informal fact-finding by the police and prosecutors to achieve the correct result. Crime is a breakdown of individual responsibility and self-control and that punishment acts a deterrent, as well as incapacitates offenders. The elimination of loopholes like the exclusionary rule and insanity defense are necessary to keep offenders from beating the system.

The due process model emphasizes protecting individual rights. Though concerned about crime, they believe that granting too much leeway to police will only result in loss of freedom and civil liberties of all. The due process model supports the presumption of innocence and enforces beliefs that formal fact-finding in an adversarial process will achieve the correct result. What the crime control model views as obstacles to justice are seen by due process advocates as necessary checks on unwarranted prosecutions. Emphasis is on the need to reform people through rehabilitation, which is best accomplished through increased use of community-based sentencing alternatives rather than prison sentences.

92. The interdependent system perspective to criminal justice dominates contemporary thinking. It highlights the fact that police, courts, and corrections are interdependent and interrelated. Though separate, they must interact with one another. What one part of the criminal justice system does or doesn’t do directly affects the other two. The operations of law enforcement and corrections affect the judiciary. If more felons are arrested, the workload of prosecutors increases. The more overcrowded the prisons, the more difficult it is to make sentencing decisions. The decisions that courts make also have important consequences for law enforcement and corrections. The interdependence, however, does not necessarily translate into coordination and cooperation.

The fragmented nonsystem perspective highlights the fragmentation that characterizes each component of criminal justice. There are nearly 18,000 law enforcement agencies at the local, state, and federal level that operate independently of each other. There are more than 1,820 state and federal correctional facilities and thousands of local jails. Corrections also encompass communitybased corrections such as probation, drug treatment, and halfway houses. Prosecutors and courts exist at the local, county, state, district, and national level. This complexity and fragmentation can lead to conflict between the various elements of the criminal justice system.

93. Student responses will vary.

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Chap 01_13e 94. The law on the books describes what the law should be, based on the articulated rules of American law found in constitutions, cases, judicial opinions, and administrative rules and regulations. The law on the books differs significantly from the law in action in many respects.

The law in action reveals what actually happens in criminal courts. Examples may include the realities that while there are more than 13 million arrests each year, about half actually result in filing of charges. Grand juries are groups of citizens who are given the responsibility for charging in felony cases, but they almost always indict the defendants that prosecutors want charged. Felony defendants have a right to file a motion to suppress unconstitutionally seized evidence, but those motions are rarely granted.

95. The grand jury is designed as a check on unwarranted prosecutions. All federal prosecutions and about half of the states require grand juries. The defendant and his/her attorney are not allowed to present evidence, call witnesses, or even be physically present. Grand jury proceedings are held in secret. Prosecutors must convince a majority of the grand jurors that a crime was committed and that there is probable cause that the defendant committed the crime. If the grand jury finds probable cause, it returns an indictment (true bill) that charges the defendant with the crime. If it refuses to indict the defendant, it is called a no bill or no true bill. In reality, grand juries are dominated by the prosecutor and rarely fail to indict in cases brought before them.

96. Student responses will vary.

97. Most courts are trial courts. This is where trials are held, jurors are sworn, and witnesses are questioned. Trial courts are divided into major and lower courts. In lower courts, minor offenses are tried in front of a judge and the initial stages of felony cases—first appearance, arraignment, probable cause hearings—are held. Major trial courts handle the final phases of felony prosecutions, whether the defendant enters a guilty plea or takes the case to trial. Upon conviction, the defendant is sentenced.

Appellate courts review the decisions made by trial courts when issues are raised on appeal. In appellate courts, lawyers argue whether previous decisions correctly or incorrectly followed the law.

Appellate review is not a trial. No witnesses are questioned, and no jurors are called upon to render a decision.

There are two levels of appellate courts at both the state and federal level: intermediate courts, which must hear all cases, and supreme courts, which pick and choose which cases they hear. The ultimate appellate court in the United States is the U. S. Supreme Court.

98. Crime, arrest, initial appearance, bail, preliminary hearing, prosecutors’ charging decision, grand jury review and indictment, arraignment on charges, pretrial discovery and suppression of evidence, plea negotiation, trial, sentencing, appeal.

99. The three key characteristics of common law are: judge-made law, precedent, and multiple sources of law. Until the late 19th century, no important body of statutory law existed in either England or the United States. Rather, judges organized social relationships through law. Although legislation bodies, not the courts, now define crimes, contemporary statutory definitions often reflect their common law heritage. The doctrine of precedent requires a judge to decide a case by applying the rule of law found in previous cases, provided the facts in the current case are similar to the facts in the previous cases. By following previous court decisions, the legal system promotes the twin goals of fairness and consistency. Multiple sources of law means that it is not sufficient to look only at the legislative act when defining a crime. It is also necessary to know how the courts have interpreted the statute. Depending on the issue, the applicable rules of law may be found in constitutions, statutes, state administrative regulations, or court decisions.

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Chap 01_13e 100. The Fourth Amendment provides protection against unreasonable searches and seizures and outlines warrant requirements. The Fifth Amendment provides the right against self-incrimination and against double jeopardy. The Sixth Amendment provides the right to counsel, a speedy and public trial by jury, the right to confront and crossexamine witnesses, and the right to compel witnesses to appear and testify. The Eighth Amendment prohibits cruel and unusual punishments and excessive bail and fines. These rights are the basis for the protection of defendants’ due process rights in criminal procedure. All of these Amendments in the Bill of Rights (the first ten Amendments to the Constitution) have been incorporated to apply to state criminal proceedings through the Fourteenth Amendment.

101. Student responses will vary.

102. Student responses will vary.

103. Student responses will vary.

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Chap 02_13e Indicate whether the statement is true or false.

1. The judicial council is the basic administrative unit of a circuit. a. True b. False 2. The federal courts set the parameters for the operations of the criminal justice system. a. True b. False 3. Congress does not authorize spending for anticrime programs. a. True b. False 4. A U.S. attorney is nominated by the President, confirmed by the Senate, and serves during “good behavior.” a. True b. False 5. It is likely that the number of federal judgeships will be increased in the short term. a. True b. False 6. Prior to the Civil War, the U.S. Supreme Court was required to hear every case that was appealed to it. a. True b. False 7. A basic rule of American politics is that citizens’ demands for service exceed the willingness of voters to raise taxes to pay for those services. a. True b. False 8. In misdemeanor and petty offense cases, U.S. magistrate judges may preside over trials, accept pleas of guilty, and also impose sentences. a. True b. False 9. Article III judges are nominated by the President and confirmed by the U.S. Senate. a. True b. False 10. Extradition is the automatic return of an individual accused of a crime in the United States who has fled the country and been found on foreign soil. a. True b. False

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Chap 02_13e 11. Trial courts are primarily concerned with considering evidence to resolve factual decisions within the bounds of the law. a. True b. False 12. Federal district court judges must be residents of the district in which they preside. a. True b. False 13. The Federal Judicial Center is the research and training arm of the federal judiciary. a. True b. False 14. The Judicial Conference of the United States sets national administrative policy for the federal judiciary. a. True b. False 15. U.S. magistrate judges assist U.S. district judges by hearing felony cases. a. True b. False 16. Civil lawsuits consume more of the federal courts’ time than criminal cases. a. True b. False 17. Appellate courts are considered finders of fact. a. True b. False 18. When cases are appealed, appellate court judges may call on witnesses to testify. a. True b. False 19. Article II of the U.S. Constitution established the U.S. Supreme Court. a. True b. False 20. Crime has been made a key campaign issue for elected officials for decades. a. True b. False 21. There are three primary types of jurisdiction. a. True b. False

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Chap 02_13e 22. The onset of the Industrial Revolution increased the caseload of the federal courts. a. True b. False 23. U.S. magistrate judges may try to sentence felony defendants. a. True b. False 24. The United States has one national court system plus separate court systems in each of the 50 states and the District of Columbia. a. True b. False 25. There may be as many as 28 judges who work together to make an appellate court decision. a. True b. False Indicate the answer choice that best completes the statement or answers the question.

26. In __________, Congress passed the Judges Bill. a. 1842 b. 1925 c. 1954 d. 1987 27. During the Constitutional Convention, Anti-Federalists maintained the belief that a strong national government would: a. provide political and economic unity. b. weaken individual liberties. c. abolish state courts. d. create a uniform body of federal law.

28. The U.S. Courts of Appeals is made up of how many judgeships? a. 14 b. 50 c. 98 d. 179 29. What is one of the major weaknesses of the Articles of Confederation prior to 1787? a. There is not a national supreme court. b. Each state gets only one vote in the Congress of the Confederation. c. Only the central government is allowed to declare war. d. Articles can only be altered with the approval of Congress.

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Chap 02_13e 30. Magistrate judges are: a. nominated by the president and confirmed by the Senate. b. elected by voters in their district. c. selected by the U.S. Supreme Court. d. selected by U.S. district court judges.

31. Congress created the Courts of Appeals in: a. 1776. b. 1787. c. 1891. d. 1929.

32. Which courts are tribunals created by Congress to handle specialized types of cases? a. Article III courts b. Article II courts c. State courts d. Article I courts 33. __________ percent of the research budget of the National Institute of Justice is spent on developing new technology for law enforcement and the criminal justice system. a. Ten b. Thirty c. Forty-five d. Sixty 34. The Rule of Four refers to: a. the number of justices required to vote in favor of granting certiorari to review a case. b. the number of justices required to uphold or overturn a lower court ruling. c. the maximum number of presenters allowed during oral arguments. d. the minimum number of justices required to publish a dissenting opinion.

35. In 1968, Congress created which position to alleviate the workload of U.S. District Courts and to replace the former position of U.S. commissioner? a. U.S. magistrate judges b. U.S. attorneys c. U.S. bankruptcy judges d. U.S. circuit justices

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Chap 02_13e 36. One of the principal activities of this organization is the education and training of federal judicial personnel, including judges, probation officers, clerks of court, and pretrial service officers. a. Federal Judicial Center b. Administrative Office of the Courts c. FBI Judicial Academy at Quantico d. Judicial Personnel and Training Section of the Judicial Conference 37. Which was one of the most hotly debated sections of the Constitution? a. Article I b. Article II c. Article III d. Article IV 38. Which of the following proposals would due process advocates LEAST likely support? a. Abolish federal diversity jurisdiction except in certain cases. b. Abolish concurrent jurisdiction on crimes punishable by both state and federal law. c. Create several new Article I legislative courts. d. Limit ability of prisoners to file civil rights lawsuits.

39. Who is the presiding office of the U.S. Supreme Court? a. the President b. the Attorney General c. the Senate Majority Leader d. the Chief Justice 40. The Military Trials for Enemy Combatants Act was passed in __________. a. 1925 b. 1964 c. 1989 d. 2006 41. Drug prosecutions account for approximately what percentage of all federal criminal cases? a. 11 b. 21 c. 41 d. 31 42. There are a total of how many full- and part-time magistrate judges? a. 240 b. 570 c. 350 d. 620

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Chap 02_13e 43. Heavy caseloads of the federal courts result in which problem(s)? a. burdens those who work in the courts b. delay cases for litigants c. burdens those who work in the courts and delays cases for litigants d. None of these answers is correct.

44. Most “federal question” cases present issues concerning: a. the interpretation or application of the U.S. Constitution. b. cases in which two or more states are parties. c. the application and interpretation of a statute enacted by Congress. d. securities and banking regulations relating to the housing market crash.

45. The United States has how many U.S. District Courts? a. 59 b. 78 c. 94 d. 111 46. This president’s “Great Society” programs increased the caseload of the federal courts. a. Franklin Roosevelt b. John Kennedy c. George Bush d. Lyndon Johnson 47. What does the Supreme Court issue when it agrees to hear a case on appeal? a. a writ of extradition b. a writ of jurisdiction c. a writ of stay d. a writ of certiorari 48. Which of the following gave the U.S. Supreme Court the authority to invalidate an act of Congress as unconstitutional? a. Marbury v. Madison (1803) b. Article III of the U.S. Constitution c. The Judiciary Act of 1789 d. The Judiciary Act of 1801 49. The Prison Litigation Reform Act resulted in all of the following, EXCEPT: a. requiring inmates to pay certain fees from which they had previously been exempt. b. requiring inmates to exhaust all administrative remedies before filing. c. no longer allowing inmates to proceed pro se in civil rights actions. d. barring subsequent cases if previous cases had been dismissed as frivolous.

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Chap 02_13e 50. The United States has a dual court system consisting of: a. district and superior courts. b. trial and appellate courts. c. criminal and civil courts. d. state and federal courts.

51. Which kind of jurisdiction gives a court the power to review cases that have already been decided by another court? a. appellate jurisdiction b. concurrent jurisdiction c. personal jurisdiction d. subject matter jurisdiction 52. Which of the following proposals would our Federalist founding fathers MOST likely support? a. Abolish federal diversity jurisdiction except in certain cases. b. Abolish concurrent jurisdiction on crimes punishable by both state and federal law. c. Create several new Article I legislative courts. d. Limit ability of prisoners to file civil rights lawsuits.

CASE 2.1 The founding fathers engaged in a vigorous debate over whether there should be a federal court system separate from the state systems. Those who supported a strong federal judiciary ultimately prevailed.

Subsequent expansion of the federal courts has created a contemporary controversy over how to alleviate the problem of rising caseloads within the federal court system.

53. Which of the following statements regarding proposals to reduce federal caseloads is TRUE? a. Reducing the jurisdiction of federal courts would nearly double the caseload of state courts, and states would certainly oppose such an action. b. Creating additional courts and judgeships would require additional funding of the federal judiciary, which already comprises a sizeable portion of the federal budget. c. It is unlikely that Congress will ever have the filibuster-proof majority needed to authorize additional federal judgeships. d. The antagonistic relationship between Congress and the federal judiciary is unlikely to result in any significant reforms.

54. What is the name of a court that has original jurisdiction? a. trial court b. appellate court c. legislative court d. traffic court

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Chap 02_13e 55. Which article of the U.S. Constitution established the U.S. Supreme Court and gave Congress the power to create lower courts? a. Article I b. The U.S. Constitution did not establish the U.S. Supreme Court c. Article II d. Article III 56. Which of the following is NOT true of federal district court judges? a. They are nominated by the President. b. They must be confirmed by the U.S. Senate. c. They must reside in their district. d. They are appointed for eight-year terms.

57. Which federal court has original jurisdiction over disputes between states? a. Legislative Court b. District Court c. Court of Appeals d. Supreme Court 58. An administrative task for this person/group in the Supreme Court includes regulating attorney admissions to the Supreme Court bar. a. chief justice b. Congress c. lawyer d. magistrate judge 59. Habeas corpus, motions to vacate sentence, mandamus, and Section 1983 and Bivens civil rights actions are all examples of what type of petitions? a. prisoner petitions b. jurisdiction petitions c. bankruptcy petitions d. extradition petitions 60. There are __________ separate court systems. a. 10 b. 25 c. 46 d. 51

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Chap 02_13e 61. Which Article of the U.S. Constitution provides the basis for the federal judiciary? a. Article I b. Article II c. Article III d. Article IV 62. Between __________, there was general agreement on the inadequacy of the federal judicial system. a. 1789 and 1891 b. 1900 and 1924 c. 1843 and 1862 d. 1722 and 1792 63. In 1950, Congress extended significant new due process rights in courts-martial by adopting the: a. Military Justice Act. b. U.S. Joint Service Committee Act. c. Uniform Code of Military Justice. d. Armed Forces Court of Appeals Act. 64. Which judge performs virtually all tasks carried out by district court judges, except trying and sentencing

felony defendants? a. circuit justice b. magistrate judge c. appellate court judge d. administrative judge 65. Appeals from criminal convictions in the U.S. District Courts constitute __________ of the workload of the U.S. Courts of Appeals. a. less than 10 percent b. about 22 percent c. 43 percent d. over 50 percent 66. The administrative policymaking organization of the federal judicial system, composed of 26 federal judges, is the: a. Judicial Conference of the United States. b. Administrative Office of the Courts. c. Federal Judicial Center. d. U.S. Sentencing Commission.

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Chap 02_13e 67. The Administrative Office was established in __________. a. 1901 b. 1939 c. 1952 d. 1963 68. Which cases involve suits between citizens of different states or between a U.S. citizen and a foreign country or citizen? a. diversity of citizenship cases b. mandamus cases c. en banc cases d. venue cases 69. Original and appellate jurisdiction fall under which classification of jurisdiction? a. geographical jurisdiction b. subject matter jurisdiction c. hierarchical jurisdiction d. general jurisdiction 70. In the past __________ years, district court filings have increased more than sixfold. a. 50 b. 10 c. 2 d. 100 71. Another name for the judicial council is the __________. a. administrative office b. sentencing council c. circuit council d. Federal Court 72. What is the name given to the particular location or area in which a court having geographic jurisdiction may hear a case? a. venue b. stay c. venire d. federal question

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Chap 02_13e Enter the appropriate word(s) to complete the statement.

73. The particular location or area in which a court having geographical jurisdiction may hear a case is the __________.

74. A __________ is a court order that temporarily suspends activity in a case.

75. __________ petitions are those in which inmates may collaterally challenge their convictions (after exhausting all available state remedies to do so) by arguing that their trial was constitutionally defective.

76. Today, the trial courts that primarily exercise original jurisdiction in the federal system are the United States __________ Courts.

77. Roughly __________ undocumented immigrants are removed from the United States each day.

78. Typically sitting in panels of three, __________ justices review the records in cases appealed from district courts.

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Chap 02_13e 79. The __________ of the United States is the presiding officer of the U.S. Supreme Court.

80. The Federal __________ Center provides orientation and continuing education judges and personnel of courts.

81. __________ of citizenship cases involve suits between citizens of different states or between a U.S. citizen and a foreign country or citizen.

82. Appellate courts primarily review the legal decisions made by __________ courts.

83. The __________ illustrates the interplay between judicial administration and politics.

84. The major problem facing the federal courts is __________ caseloads.

85. Article __________ of the U.S. Constitution established the U.S. Supreme Court and gave Congress the power to create lower courts.

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Chap 02_13e 86. The director of the __________ of the U.S. Courts is responsible for the day-to-day administrative tasks of the federal courts, including lobbying Congress for more funds and judgeships.

87. __________ lobby on behalf of their members for favorable government policies.

88. __________ jurisdiction means that a court has the authority to try a case and decide it.

89. The United States has a __________ court system, which means that it has one national court system plus separate court systems in each of the 50 states and the District of Columbia.

90. The __________ of the U.S. Courts has been responsible for implementing the policies established by the Judicial Conference by handling the day-to-day administrative tasks of the federal courts.

91. A writ of __________ is issued by the U.S. Supreme Court to obtain and review the proceedings of a lower court.

92. A prisoner __________ is a civil lawsuit filed by an inmate alleging violations of his or her rights.

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Chap 02_13e 93. Imagine that you are a new actor in a federal court. You are encouraged to think about all of the good you could contribute to on the state and local level. You know that by interpreting the requirements of federal law— especially the U.S. Constitution—the federal courts set the parameters for the operation of the criminal justice system so that police, prosecutors, defense attorneys, and judges honor the individual rights and liberties guaranteed in Constitution throughout all phases of the criminal justice process from the initial investigation by police to sentencing the offender.The Supreme Court, in particular, has a profound impact on the administration of criminal justice. What is an example of such an impact, and what more do you feel that you could be done in the future? As an actor in a federal court, how can your efforts make their way to the Supreme Court?

94. Imagine that you are trying to get into a federal judge position. Why would this be a positive thing for courts that have heavy caseloads? What types of things do you feel that you can offer the court to help ease its burden?

Several weeks after, you are told that, although the court could use your help, that they cannot hire you. What is the most likely reason for this? Is there any solution to this issue? What other advice could you offer to help with the court’s heavy caseload?

95. You are a law student and have begun considering your future. You are interested in being a judge and are looking at U.S. magistrate judge, district judge, circuit judge, and even Supreme Court justice. As you are doing your research, from a law student’s perspective, you know that U.S. magistrate judges assist U.S. district judges by conducting pretrial criminal matters, supervising discovery in civil cases, and making reports and recommendations concerning the disposition of motions and prisoner petitions. District court judges preside over trials and write opinions adjudicating many types of civil disputes. Typically sitting in panels of three, circuit judges review the records in cases appealed from district courts and write opinions ruling on the merits of legal arguments raised in those appealed. You feel that you really want to make a difference in whatever city you will move to after graduation, and you’re hoping to make a great and lasting impact that will change how criminal cases will be tried in the future. What role do you feel might be best to try to get into, and why?

96. Differentiate the jurisdiction and functions of Article III courts from Article I courts and other specialized federal courts.

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Chap 02_13e 97. Imagine that you have committed a very serious crime and you are given the choice of having your case appear in a trial court or in an appellate court. Consider the differences between the two types of court systems. Who is involved in each type? Would one type be better or worse to hear your case? Why?

98. Describe the differences among hierarchical jurisdiction, original jurisdiction, and appellate jurisdiction.

99. The different agencies involved in the administration of the federal court system include the Judicial Conference of the United State, the Administrative Office of the U.S. Courts, the Federal Judicial Center, and the U.S. Sentencing Commission. What are their responsibilities? How are these responsibilities hierarchical in nature?

100. Describe the Court of Appeals Act of 1891.

101. Describe the difference between geographical jurisdiction and venue.

102. How do the federal courts impact the administration of justice at the local and state levels through their federal question jurisdiction?

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Chap 02_13e 103. Imagine that you were an Anti-Federalist who was part of the talks that happened at the Constitutional Convention in 1787. What is your viewpoint? Why would you stand behind this viewpoint? You hear others speak during the convention, those who are considered Federalists. What is their opinion? Why do you think it’s wrong? Finally, consider the compromise that occurred. What did it ratify? Why? From an Anti-Federalist perspective, do you think that you got what you wanted, or do you think the Federalists got what they wanted?

Was it a good compromise? Why or why not?

104. Describe how case filings differ for U.S. Supreme Court, U.S. Circuit Courts of Appeals, U.S. District Courts, and U.S. Bankruptcy Courts, for 2002, 2007, and 2015.

105. Describe the Judiciary Act of 1789.

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Chap 02_13e Answer Key 1. True 2. True 3. False 4. False 5. False 6. True 7. True 8. True 9. True 10. False 11. True 12. True 13. True 14. True 15. False 16. True 17. False 18. False 19. False 20. True 21. False 22. True 23. False 24. True 25. True 26. b

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Chap 02_13e 27. b 28. d 29. a 30. d 31. c 32. d 33. d 34. a 35. a 36. a 37. c 38. d 39. d 40. d 41. d 42. b 43. c 44. c 45. c 46. d 47. d 48. a 49. c 50. d 51. a 52. c 53. d 54. a Copyright Cengage Learning. Powered by Cognero.

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Chap 02_13e 55. d 56. d 57. d 58. a 59. a 60. d 61. c 62. a 63. c 64. b 65. b 66. a 67. b 68. a 69. c 70. a 71. c 72. a 73. venue 74. stay 75. Habeas corpus 76. District 77. 1,000 78. circuit 79. Chief Justice 80. Judicial 81. Diversity 82. trial Copyright Cengage Learning. Powered by Cognero.

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Chap 02_13e 83. Administrative Office Act of 1939 84. heavy 85. III 86. Administrative Office 87. Interest groups 88. Original 89. dual 90. Administrative Office 91. certiorari 92. petition 93. Student responses will vary.

94. Student responses will vary.

95. Student responses will vary.

96. Article III courts are empowered to adjudicate “cases and controversies” arising under the U.S. Constitution, federal law, and certain cases between citizens of different states or different counties. Article I courts are tribunals created

by Congress to handle specialized types of cases, especially those that arise under the regulatory law of federal agencies. The decisions of Article I courts are generally reviewable in Article III courts. Article III judges are nominated by the president and confirmed to office by the U.S. Senate. Article I judges are not; they are appointed for fixed terms. Article I judges enjoy two protections to foster their independence: life-tenure (unless impeached) and a guarantee that their salaries can never be decreased. Article I judges do not have these protections.

97. Student responses will vary.

98. Hierarchical jurisdiction refers to differences in the courts’ functions and responsibilities. Original jurisdiction means that a court has the authority to try a case and decide it. Appellate jurisdiction means that a court has the power to review cases that have already been decided by another court.

99. The Judicial Conference of the United States sets national administrative policy for the federal judiciary. Under the supervision of the Judicial Conference, the Administrative Office of the U.S. Courts provides administrative support to the courts. The Federal Judicial Center provides orientation and continuing education to judges and personnel of courts, as well as research support for courts and Judicial Conference committees. The U.S. Sentencing Commission promulgates sentencing guidelines and otherwise establishes federal sentencing policies as directed by the 1984 Sentencing Reform act.

100. The landmark Court of Appeals Act of 1891 represented the climactic victory of the Nationalists’ interests. The law created new courts known as circuit courts of appeals. Under this new arrangement, most appeals of trial decisions went to a circuit court of appeals. In short, the creation of the circuit courts of appeals released the high court from hearing many types of petty cases. The high court now had much greater control over its workload and could concentrate on deciding major cases and controversies.

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Chap 02_13e 101. Geographical jurisdiction in criminal cases is primarily concerned with a sovereign’s power to punish conduct that violates its criminal laws. Thus, the courts of California have no jurisdiction to try a person accused of committing a crime in Oregon; Oregon has such power, since the accused is alleged to have violated its criminal law. But which courts within the state of Oregon would hear the case? That is a matter of venue.Venue is the particular location or area in which a court having geographic jurisdiction may hear a case. Proper venue is based on statutorily defined geographic subdivisions. These subdivisions are often determined by city or county boundaries, although other boundaries can be set that are unrelated to city or county lines.

102. By interpreting the requirements of federal law—especially the U.S. Constitution—the federal courts set the parameters for the operation of the criminal justice system so that police, prosecutors, defense attorneys, and judges honor the individual rights and liberties guaranteed in the Constitution.

103. Student responses will vary.

104.

U.S. Supreme Court U.S. Circuit Courts of Appeals U.S. District Courts U.S. Bankruptcy Courts

2002 8,255 57,555

2007 8,241 58,410

2015 7,033 52,698

341,841 1,547,669

325,920 801,269

340,238 860,182

105. The Judiciary Act of 1789 established separate U.S. District Courts, which are the trial courts of original jurisdiction in the federal system. Although the creation of these courts strengthened the federal judiciary, the Act also allayed Anti-Federalists’ fears in several ways. Federal district courts were given limited jurisdiction, U.S. District Courts are “state contained”—the boundaries of the District Courts are drawn along state lines, and federal district court judges must be residents of their districts. A century later, the Courts of Appeals Act of 1891 created intermediate federal appellate courts.

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Chap 03_13e Indicate whether the statement is true or false.

1. Therapeutic drug courts operate in all 50 states. a. True b. False 2. The court of last resort is generally referred to as the local high court of last resort. a. True b. False 3. Citizens are more likely to have contact with a trial court of limited jurisdiction than with any other type of court. a. True b. False 4. A justice of the peace court is an example of a trial court of general jurisdiction. a. True b. False 5. The major trial courts decide felony cases. a. True b. False 6. In domestic violence courts, a single judge handles multiple criminal, family court, and divorce cases involving the same defendant. a. True b. False 7. Nowhere is the policy-making role of state high courts of last resort more apparent than in deciding death penalty cases. a. True b. False 8. Intermediate courts of appeals must hear all properly filed appeals. a. True b. False 9. The first drug court was created in New York. a. True b. False 10. One of the problems facing lower courts is inadequate financing. a. True b. False

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Chap 03_13e 11. There are four essential elements that characterize therapeutic jurisprudence. a. True b. False 12. In states without intermediate appellate courts, the supreme court has discretion regarding the cases it hears. a. True b. False 13. Most criminal cases do not go to trial. a. True b. False 14. Most of the nation’s judicial business takes place at the state level. a. True b. False 15. County courts stood at the heart of American colonial government. a. True b. False 16. Recent studies show that drug courts have a positive impact. a. True b. False 17. Initial evaluations of early drug courts found favorable rates of success. a. True b. False 18. Some states have no trial courts of limited jurisdiction. a. True b. False 19. Family court is the third leading type of drug court. a. True b. False 20. There are five layers in a typical state court system. a. True b. False 21. A decision made by a state’s intermediate appellate court is appealed to the U.S. Supreme Court for most cases. a. True b. False

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Chap 03_13e 22. Intermediate courts of appeals handle the bulk of the caseloads in the appellate system. a. True b. False 23. A century ago, state courts systems included only a single appellate body—the state court of last resort. a. True b. False 24. Corrupt local officials are often prosecuted by their peers. a. True b. False 25. The organization of courts in the United States impacts case processing. a. True b. False Indicate the answer choice that best completes the statement or answers the question.

26. What are the urban counterparts of the justice of the peace courts? a. major trial courts b. supreme courts c. appellate courts d. municipal courts 27. Lower courts handle what stages of felony cases? a. the final stages b. the intermediate stages c. the appeal stages d. the preliminary stages 28. In the colonial courts, each colony modified its court system according to what? a. local customs b. patterns of commercial trade c. different religious practices d. Each colony modified its court system in all of these ways.

29. What is the emphasis in domestic violence courts? a. integration b. separation c. segregation d. punishment

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Chap 03_13e 30. Intermediate courts of appeals do which of the following? a. These courts carefully review evidence presented at a trial. b. These courts determine whether technical violations of the law were committed at trial and release affected defendants. c. These courts review trial proceedings to make sure the law was followed and that the defendant received a fair trial. d. All of these answers are correct.

CASE 3.2 At the second level of state courts are the trial courts of general jurisdiction, usually referred to as major trial courts. An estimated 3,109 major trial courts in the 50 states and the District of Columbia are staffed by nearly 10,740 judges (Strickland et al., 2015). The term general jurisdiction means that these courts have the legal authority to decide all matters not specifically delegated to lower courts.

31. Which of the following is NOT one of the most common names for trial courts of general jurisdiction? a. district court b. superior court c. circuit court d. supreme court 32. Which of the following courts embody the concept of therapeutic jurisprudence? a. drug courts b. domestic violence courts c. mental health courts d. drug, domestic violence, and mental health courts 33. Violent offenses are __________ times more likely to occur in urban as opposed to rural areas. a. two b. three c. four d. five 34. In states without intermediate appellate courts, state supreme courts: a. have complete discretion over the cases placed on their dockets. b. have no power to choose which cases will be placed on their dockets. c. hear only civil cases. d. hear only criminal cases.

35. In states without intermediate appellate courts, state courts of last resort: a. must hear all criminal appeals. b. have discretion to hear only the cases they decide are the most important. c. hear only the most notorious cases. d. None of these answers is correct Copyright Cengage Learning. Powered by Cognero.

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Chap 03_13e 36. Which event following the Civil War produced fundamental changes in the structure of the American judiciary? a. decreases in population b. rapid industrialization c. lower volumes of litigation d. decreases in urban populations 37. By the end of the __________ century, the nation had to respond to a new type of social problem—crimes committed by juveniles. a. 17th b. 18th c. 19th d. 20th 38. What is the principal objective of a unified court system? a. centralized management b. local control c. reduced caseloads d. independent judges 39. In 2014, marijuana law violations accounted for __________ percent of all drug arrests in the United States. a. 10 b. 20 c. 40 d. 60 40. Which of the following statements is true about drug courts? a. The first drug court was in New York City. b. These courts assume that treatment will reduce the likelihood that convicted drug offenders will reoffend. c. Judges who oversee these courts take a hands-off approach to offender monitoring. d. These courts emphasize the speedy administration of punishment.

41. Most of the nation’s judicial business takes place at what level? a. city b. state c. county d. federal 42. About __________ cases are filed each year in the major trial courts of the states. a. 5.2 b. 16.8 c. 31.9 d. 59.2

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Chap 03_13e 43. Which judges typically authorize search warrants? a. lower court judges b. major trial court judges c. appellate court judges d. supreme court judges 44. Which of the following represents a clear disadvantage of localized control of justice? a. Local courts are closely linked to the people they serve. b. The application of “state” law often has a local flavor. c. The officials who staff these courts are recruited from the local community they serve and thus reflect the sentiments of that community. d. Local control has been an incubator of corruption and injustice.

45. Which type of case had the most filings in state trial courts in 2013? a. traffic b. criminal c. civil d. domestic relations 46. Lower courts constitute __________ percent of all judicial bodies in the United States. a. 10 b. 25 c. 55 d. 85 47. Which of the following states does not have any trial courts of limited jurisdiction? a. California b. New York c. Texas d. Ohio 48. What is the name of courts that use therapeutic jurisprudence? a. problem-solving courts b. intermediate appellate courts c. supreme courts d. lower courts 49. Which type of cases do major trial courts decide? a. misdemeanors b. violations c. traffic tickets d. felonies

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Chap 03_13e 50. In Ewing v. California (2002), the U.S. Supreme Court enacted what State of California law? a. capital punishment b. civil commitment for sex offenders c. legalized medical marijuana d. three strikes 51. The United States has more than __________ trial courts of limited jurisdiction. a. 3,208 b. 8,325 c. 11,880 d. 15,250 52. What is a form of settling disputes, such as unruly children and annoying neighbors, through less adversarial means than the traditional court system? a. alternative dispute resolution b. domestic court c. drug court d. civil court 53. Which kind of court system has a coherent hierarchy with authority concentrated in the state capital? a. structured b. systematic c. complex d. unified 54. Which of the following is NOT a problem confronting lower courts? a. inadequate financing b. unbalanced caseloads c. inadequate facilities d. strict court procedures 55. Which kind of crimes do state courts primarily decide? a. major drug distribution b. terrorist crimes c. white-collar crimes d. street crimes

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Chap 03_13e CASE 3.1 Just as American law borrowed heavily from English common law, the organization of American courts reflects their English heritage. But the colonists and later the citizens of the fledgling new nation that called itself the United States of America adapted this English heritage to the realities of the emerging nation. Issues such as the clash of opposing economic interests, the debate over state versus national power, and outright partisanship have shaped America’s 50 diverse state court systems.

56. Which of the following is true of the early colonial courts? a. They were rather simple. b. They replicated English courts completely. c. They were rather complex. d. They replicated English courts in substance but not in form.

57. Which of the following is consistent with court unification? a. centralized jury selection b. integration of federal and state judicial systems c. localized budgeting d. statewide financing 58. Which type of case had the least filings in state trial courts in 2013? a. traffic b. civil c. domestic relations d. juvenile 59. The state court systems are most often structured in what way? a. locally b. centrally c. logically d. evenly 60. Which of the following is NOT true of the highest state courts? a. All of these answers are true. b. All the judges on the court participate in rendering a decision about a particular case. c. All state supreme courts have a limited amount of original jurisdiction. d. Some states have more than one court of last resort.

61. How many layers exist in a typical court system? a. two b. three c. four d. five

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Chap 03_13e 62. A person cited for a misdemeanor would most likely appear before: a. a court of limited jurisdiction. b. a court of general jurisdiction. c. a circuit court. d. a court of common pleas.

63. Litigants in state courts are most often: a. large and small businesses. b. individuals and small businesses. c. large businesses and governmental bodies. d. individuals and governmental bodies.

64. Which type of panels are typically used by intermediate courts of appeals? a. rotating three-judge panel b. rotating five-judge panel c. nine-judge panel d. single-judge panel 65. Which of the following is NOT an essential element of therapeutic jurisprudence? a. immediate intervention b. hands-on judicial involvement c. treatment programs d. adversarial adjudication 66. What is another name for a trial court of limited jurisdiction? a. inferior court b. district court c. superior court d. circuit court 67. Caseloads of lower courts is more than __________ a year. a. 3 million b. 25 million c. 62 million d. 113 million 68. Which state leads the nation in terms of the number of traffic cases each year? a. Texas b. New York c. California d. Florida

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Chap 03_13e 69. To be eligible for drug treatment by drug courts, defendants: a. must have no prior felony convictions. b. must have no prior misdemeanor or felony convictions. c. may be charged with drug possession or drug sale. d. must request drug treatment, but are not required to admit that they have a drug problem.

Enter the appropriate word(s) to complete the statement.

70. The first MHC was established in __________.

71. Local control of justice has often been an incubator of corruption and __________.

72. One of the key components of court unification is __________ administration.

73. In domestic violence courts, the emphasis is on __________.

74. A court system includes lower courts, major trial courts, __________ appellate courts, and a court of last resort.

75. Landlord–tenant disputes involving unpaid rent are likely to end up in small-__________ court.

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Chap 03_13e 76. Explain and describe California’s Three Strikes Law by making reference to the Ewing case from California.

Explain the rationale for the law and why Ewing appealed his conviction to the U.S. Supreme Court. Explain the Supreme Court’s ruling in the case and your thoughts about the decision rendered.

77. Unified court systems and specialized courts are two different types of court reform that have emerged.

Compare and contrast these two types of reform. In which direction have contemporary court reformers gone?

78. Describe traffic offenses and their punishment.

79. Imagine that you are a police officer who has just moved and has just transferred from a small town in Virginia to the large city of Chicago. What kinds of changes do you expect to find in terms of court organization? How would the “community feel” of one court be different in each place? Also, how could a locally administered criminal justice system be different in terms of injustice? Based on your personal beliefs, which location do you think would better fit with your values? Which area do you feel you can have a greater impact? Why?

80. Most studies have reported that juvenile drug court participation reduced __________.

81. You are a guest speaker from a community court who has come to talk to law students about your job. What do you tell the students about community mediation programs and what their goals are? What do you tell students about why this type of court is important, not only for the people involved in the case, but in the bigger picture for the lower courts?

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Chap 03_13e 82. It is estimated that as many as __________ percent of those in jail suffer from serious mental illness.

83. Compare and contrast justice of the peace courts and municipal courts.

84. You are involved in court financing and believe that it’s terribly uneven in nature. You have a friend in another court, and when you bring up this topic, he feels that it’s actually quite even. How do you two differ in your reasoning? Why do you feel that, ultimately, you are right? Is your friend’s reasoning enough to get you to agree with him at all? Explain.

85. The principal objective of a(n) __________ court system is a shift in judicial administration from local control to centralized management.

86. Describe the differences between a misdemeanor and a violation.

87. Trial courts of __________ jurisdiction are commonly referred to as major trial courts.

88. Both justice of the peace courts and __________ courts are considered lower courts.

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Chap 03_13e 89. Describe the four problem areas facing the lower courts in the United States, and explain why they represent problems for the judiciary.

90. More than __________ specialized domestic violence courts have been created across the nation.

91. How the courts are organized and administered has a profound effect on the way cases are processed and on the type of __________ that results.

92. The court that the average citizen is most likely to come in contact with is a court of __________ jurisdiction, such as a traffic court.

93. For one to be able to appeal a decision made by a state court of last resort to the U.S. Supreme Court, the case must involve an important question of __________ law.

94. The modern agenda of court reform includes topics such as reducing __________ court delay.

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Chap 03_13e 95. The major trial courts decide __________ case and civil cases, including domestic relations, estate, personal injury, and contract cases.

96. List and briefly describe the jurisdiction of the four levels of state courts. Be sure to provide examples of the types of cases each level hears.

97. Imagine that you are teaching high school students about basic law principles, and the topic of intermediate courts of appeals (ICAs) is brought up. One student is having a difficult time understanding the point of why intermediate courts of appeals were created. What would you say to him? Another student jumps in and asks how this type of court is structured differently. How would you answer her? Finally, you wrap up your discussion, hoping to clear everything up for students, by describing how the court system is different in states with and without ICAs. What would you tell them?

98. Trial courts of __________ jurisdiction are sometimes referred to as inferior courts or lower courts.

99. What are the key components of court unification? Why are these components important?

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Chap 03_13e 100. Imagine that you are an actor in a problem-solving court that is involved with a therapeutic jurisprudence case.

You are feeling run down and defeated due to heavy caseloads and the discouraging types of cases that you have come across lately. To keep fresh and rejuvenate, you decide to review the basics. What are the five essential elements of therapeutic jurisprudence that you are reviewing? You decide to have a talk with a friend about the trouble you’ve been having at work. He asks what kinds of cases you typically see. How do you answer him?

101. One type of problem-solving court is the __________ violence court.

102. In states without intermediate appellate courts, state courts of last resort __________ hear all criminal appeals.

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Chap 03_13e Answer Key 1. True 2. False 3. True 4. False 5. True 6. False 7. True 8. True 9. False 10. True 11. False 12. False 13. True 14. True 15. True 16. True 17. True 18. True 19. True 20. False 21. False 22. True 23. True 24. False 25. True 26. d

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Chap 03_13e 27. d 28. d 29. a 30. c 31. d 32. d 33. c 34. b 35. a 36. b 37. c 38. a 39. c 40. b 41. b 42. c 43. a 44. d 45. a 46. d 47. a 48. a 49. d 50. d 51. c 52. a 53. d 54. d Copyright Cengage Learning. Powered by Cognero.

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Chap 03_13e 55. d 56. a 57. d 58. d 59. a 60. a 61. c 62. a 63. b 64. a 65. d 66. a 67. c 68. a 69. a 70. 1997 71. injustice 72. centralized 73. integration 74. intermediate 75. claims

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Chap 03_13e 76. California’s Three Strikes Law was passed in response to citizen frustration with crimes committed by repeat offenders. The California law allows for increased penalties for defendants convicted of a third felony; only one of these convictions must be for a violent crime. Gary Ewing was prosecuted under the law for stealing three golf clubs that were hidden up his pants leg. He had previously been convicted of two other felony offenses. Ewing received a 25-year prison sentence. In Ewing v. California (2002), the U.S. Supreme Court upheld California’s law by stating that the seemingly harsh punishment was not disproportionate to the crime committed and that it did not violate the Eighth Amendment’s prohibition against cruel and unusual punishment. The Court further noted that offenders who repeatedly engage in serious or violent crime may be isolated from the rest of society and, thus, California’s deliberate policy choice was justified. Critics of the law, including Ewing’s attorneys, argued that 25-year prison sentence was grossly disproportionate to the offense committed. Under normal circumstances, Ewing would have been prosecuted for a misdemeanor offense, but his criminal record marked the case as unusual. Moreover, prosecutors routinely exercise discretion as to when the law will be applied, which gives them an advantage in forcing a guilty plea among defendants who may be facing a lengthy sentence connected to a third felony.

77. Those who advocate for a unified court system seek to create a more centralized court system, with authority concentrated in the state capital. This would allow for centralized administration, rule making, and budgeting. Under such a model, minor and specialized courts would be consolidated; variations between county courts would be eliminated and replaced by a similar court structure throughout the state. Critics of such an approach argue that a unified court system does not allow for a consideration of the realities of the local courthouses or their unique offender populations. These critics argue that court reform should focus on problem solving; thus, specialized courts at the local level have been created to deal with specific types of offenders. Included among these courts are drug courts, domestic violence courts, and mental health courts, to name a few. These specialized courts rely on therapeutic jurisprudence, and preliminary evaluations have been generally positive. In short, while the idea of a unified court system has been debated, individual jurisdictions use specialty courts to meet their needs. Contemporary court reform is often identified with problem-solving courts (Boldt, 2014; Wolf, 2007).

78. Traffic offenses refer to a group of offenses involving self-propelled motor vehicles. These violations range from parking violations to improper equipment. Speeding is the most common traffic offense, followed by driving without a license, and driving while a license is suspended or revoked. Traffic offenses are typically punishable by fines. But because the volume of these cases is quite large, traffic tickets can be big moneymakers for local governments.

Indeed, traffic fines and fees are a multibillion-dollar business in the United States. The money a driver pays for a typical traffic ticket includes both fines and fees.

79. Student responses may vary.

80. recidivism 81. Student responses may vary.

82. 31

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Chap 03_13e 83. Justice of the peace (JP) courts are found in rural areas. Many JPs are not trained lawyers and often fail to abide by the rules that are supposed to bind them (Mansfield, 1999; Newton, Welch, & Hamilton, 2012). Critics argue that the JP system has outlived its purpose, that it is out of step with the modern era and should be abolished. A major defect is that JP courts are controlled only by the local government bodies that create and fund them, and their activities are not subject to appellate scrutiny. When a defendant appeals, the appeal is heard by a trial court of general jurisdiction. Today, many of the JPs have been replaced with magistrates. Magistrates are more likely to be appointed than elected and tend to have better training than JPs. Overall, the issues facing rural courts are qualitatively different from those faced by urban courts (Baehler & Mahoney, 2005; Nugent-Borakove, Mahoney, & Whitcomb, 2011). Compared to their big-city counterparts, rural courts exhibit three special features: lower caseload, lack of resources, and greater familiarity (Bartol, 1996; see also McKeon & Rice, 2009; Nugent-Borakove et al., 2011). The urban counterparts of the justice of the peace courts are municipal courts. The overriding reality of municipal courts in the nation’s big cities is the press of cases. Accordingly, “obstacles” to speedy disposition— constitutional rights, lawyers, trials—are neutralized. In a process some have labeled an assembly line, shortcuts are routinely taken to keep the docket moving. Defense attorneys constitute another potential obstacle to the speedy disposition of cases. The general absence of defense attorneys reinforces the informality of the lower courts and the lack of attention to legal rules and procedures. In municipal courts, the defendant’s initial appearance is usually the final one. Realistically, a defendant charged with crimes such as public drunkenness and disorderly conduct probably cannot raise a valid legal defense. What has struck all observers of the lower courts is the speed with which the pleas are processed. Few trials are held in the lower courts. The courtroom work group often works together to keep cases moving quickly. Some courts manipulate bail to pressure defendants into an immediate disposition. The routines of the lower courts are threatened, however, by uncooperative defendants.

84. Student responses may vary.

85. unified 86. A misdemeanor is a crime punishable by a fine, imprisonment (usually in a local jail, for a period of less than one year), or both. Misdemeanors are enacted by state legislative bodies and cover the entire state. Most legislatures also designate certain minor offenses as violations (referred to as infractions or petty offenses in some states). Violations are usually punishable only by a fine, although some jurisdictions authorize short jail sentences of fewer than 10, 15, or 30 days for certain violations. In most states, violations are quasi-criminal, meaning that they are not considered true crimes for the purposes of a criminal record.

87. general 88. municipal 89. The four problem areas facing the lower courts in the United States are inadequate financing, inadequate facilities, lax procedures, and unbalanced caseloads. In general, lower courts are funded locally. Sparsely populated counties and small municipalities often lack funds to staff and equip their courts adequately. Lower-court courtrooms are often crowded and noisy, with 100 or more people forced to spend hours waiting for their minute before the judge. Some are makeshift, hastily created in the side of a store or the back of a garage. Courtroom conditions lack dignity and leave a bad impression, suggesting that the judiciary is more interested in collecting the fine for speeding than in bothering to do justice. Such inadequate facilities are detrimental to the attitudes of the defendant, prosecutor, judge, and all others involved in the justice process. Many trial courts of limited jurisdiction do not have written rules for the conduct of cases. Conventional bookkeeping methods are often ignored. Many lower courts are characterized by moderate to heavy caseloads, but others appear to have little to do. Wide discrepancies exist in the quality of justice rendered.

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Chap 03_13e 91. justice 92. limited 93. federal 94. trial 95. felony 96. Most state courts have the following four levels of courts: trial courts of limited jurisdiction, trial courts of general jurisdiction, intermediate appellate courts, and a court of last resort. State trial courts of limited jurisdiction hear misdemeanors and other small matters and may also conduct the preliminary stages of felony case processing (e.g., preliminary hearings). State trial courts of general jurisdiction have the legal authority to decide all matters not specifically delegated to the lower courts. Felony cases, for example, are heard in trial courts of general jurisdiction.

Courts of intermediate appeals usually must hear all properly filed appeals. Decisions made at this level are often final for most cases. Unlike their appellate counterparts, state courts of last resort usually exercise a great deal of discretion in deciding which appeals will be heard; very few appeals are accepted.

97. Student responses may vary.

98. limited 99. The principal objective of a unified court system is to shift judicial administration from local control to centralized management. The loose network of independent judges and courts is replaced by a coherent hierarchy with authority concentrated in the state capital. Although court reformers differ about the exact details of a unified court system, their efforts reflect five general principles: a simplified court structure; centralized administration, rule making, and budgeting; and statewide financing (Berkson & Carbon, 1978). Court reformers stress the need for a simplified, unified, court structure for the entire state. This would mean that variations between counties would be eliminated and replaced by a similar court structure throughout the state. Reformers envision centralized administration. A centralized state office would supervise the work of judicial and nonjudicial personnel. The state high courts of last resort would have the power to adopt uniform rules and judges could be temporarily assigned to other courts to alleviate backlogs and reduce delay. Centralized judicial budgeting would provide for a single budget for the entire state judiciary. Lower courts would be dependent on the state high court of last resort for their monetary needs and unable to lobby local representatives directly. Thus, decisions about allocating funds would be made at the state and not the local level. Along with centralized judicial budgeting, reformers argue for the adoption of statewide financing of the judiciary. State government has more money and could better support necessary court services.

100. Student responses may vary.

101. domestic 102. must

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Chap 04_13e Indicate whether the statement is true or false.

1. There are three primary mechanisms for juvenile transfers to adult criminal courts. a. True b. False 2. Juveniles accused of serious offenses, or who have a history of repeated offenses, may be tried as adults. a. True b. False 3. The three major categories of juvenile court cases are delinquency, status offenses, and children in need of supervision. a. True b. False 4. In the juvenile justice system, parents are considered to have sole and exclusive legal responsibility over their children. a. True b. False 5. The child-saving movement believed that juveniles needed treatment. a. True b. False 6. Judges are the central authority in the juvenile court system. a. True b. False 7. With regard to juvenile proceedings, juveniles have the right against self-incrimination. a. True b. False 8. Juveniles accused of serious offenses may be tried as adults. a. True b. False 9. Shared norms are the hallmark of courtroom work groups. a. True b. False 10. About ten states have enacted laws that grant exclusive jurisdiction over certain crimes to adult court regardless of the age of the offender. a. True b. False

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Chap 04_13e 11. All states use the same ages to establish juvenile court jurisdiction. a. True b. False 12. In status offenses, the child is charged with violation of a criminal law that is not based on age. a. True b. False 13. In juvenile court, petition cases are handle formally. a. True b. False 14. The number of juveniles transferred to criminal court peaked in 1994, but has since declined. a. True b. False 15. Less serious juvenile cases are petitioned and handled formally. a. True b. False 16. The most important case with respect to juvenile justice is In re Winship. a. True b. False 17. The Supreme Court held that juveniles are entitled to all of the same due process rights of adults. a. True b. False 18. Proceedings in juvenile court are more formal than in adult court. a. True b. False 19. Historically, those 8-years-old and older were considered adults in the eyes of the law, prosecuted as adults, convicted as adults, and served their sentences in the same prison cells as adults. a. True b. False 20. In child-victim cases, the child has committed no crime. a. True b. False 21. Defense attorneys dominate the intake-processing stage in most jurisdictions. a. True b. False

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Chap 04_13e 22. Prosecutors play a secondary role in the juvenile court. a. True b. False 23. Parental rights may be terminated altogether if a juvenile court judge determines that the parents failed in their responsibility to raise a child properly. a. True b. False 24. Generally speaking, juvenile courts do not utilize jury trials. a. True b. False 25. In the juvenile court, juveniles do not have the right to confront and cross-examine complaints and other witnesses. a. True b. False Indicate the answer choice that best completes the statement or answers the question.

26. One of the states that has the oldest age of juvenile court jurisdiction over delinquency matters is __________, at age 24. a. Vermont b. Kansas c. California d. Texas 27. The Progressive and juvenile court movements began around: a. 1825 b. 1890 c. 1930 d. 1950

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Chap 04_13e CASE 4.1 Beginning around 1890, members of the Progressive movement advocated a variety of political, economic, and social reforms. They were genuinely concerned about the economic disparities, social disorders, and excesses of industrialization, particularly as they affected children. Progressives denounced the evils of child labor and pushed for legislation banning the practice. They were likewise appalled by the violent and exploitive conditions of reform schools. The fact that orphans were thrown into reform schools for the uncontrollable circumstance of having no parents shocked the Progressives’ moral values. Taking up the plight of the children of the urban immigrant poor, they argued that these children were not bad but were corrupted by the environment in which they grew up.

28. Which doctrine allowed the Progressives to use the juvenile court to help children? a. res ipsa loquitir b. stare decisis c. parens patriae d. patriae familiae 29. The shift in thinking at the end of 19th century regarding children meant that parents: a. were no longer considered to have sole and exclusive legal responsibility over their children. b. were considered to have sole and exclusive legal responsibility over their children. c. were legally responsible for their children’s behavior. d. were required to provide for their children.

30. Juvenile court statutes set forth two standards for deciding the appropriate disposition for a child: the best interests of the child, and the best interests of: a. the family. b. the community. c. the court. d. the victim.

31. The largest category of juvenile cases is: a. delinquency. b. status offenses. c. children in need of supervision. d. None of these answers is correct.

32. Which state supreme court ruled that juveniles have the constitutional right to a trial by jury? a. California b. Iowa c. Missouri d. Kansas

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Chap 04_13e 33. Which of the following is NOT considered a delinquency offense? a. theft b. burglary c. possession of drugs d. possession of alcohol 34. Approximately how many delinquency cases are heard in juvenile court each year? a. 100,000 b. 385,000 c. 1.4 million d. 2.2 million 35. The state that has the youngest age of juvenile court jurisdiction over delinquency matters is __________, at age 6. a. North Carolina b. Connecticut c. Arizona d. Arkansas 36. Within a generation, many of the social forces unleashed by the Progressives would lead to: a. Prohibition. b. World War I. c. a new era in corrections. d. None of these answers is correct.

37. Which case held that the death penalty may not be imposed on offenders who commit crimes before they are 18? a. In re Gault b. In re Winship c. Thompson v. Oklahoma d. Roper v. Simmons 38. By the last third of the 19th century, the population of the United States __________. a. doubled b. tripled c. plateaued d. decreased 39. The largest percentage of caseloads of the juvenile courts is: a. status offenses. b. dependency. c. delinquency. d. other.

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Chap 04_13e 40. Which kind of offense is a violation of criminal law that would be a crime if committed by an adult? a. status offense b. delinquent act c. transgression d. dereliction 41. The terminology in juvenile court reflects that it is based on: a. civil law. b. common law. c. civil law. d. family law.

42. The absence of jury trials in juvenile court reinforces what about the proceedings? a. the formal nature of the proceedings b. the family nature of the proceedings c. the informal nature of the proceedings d. the restorative nature of the proceedings 43. What was the charge against Gerald Gault? a. making a lewd phone call b. murder c. stealing a car d. armed robbery 44. Court reformers recommend that juvenile court be part of: a. family court. b. civil court. c. trial court. d. adult court.

45. In contrast to the criminal courtroom work group, in the juvenile courtroom work group: a. the judge has less discretion. b. the prosecutor has little power. c. defense attorneys have more power. d. probation officers play a greater role.

46. Juvenile courts’ interventions in the lives of children and families was based on the legal doctrine of: a. res ipsa loquitur. b. ipse dixit. c. parens patriae. d. patriae familiae.

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Chap 04_13e 47. An increase in the public’s fear of juvenile crime has led to what? a. more treatment for juveniles b. a get-tough attitude toward juveniles c. a movement toward restorative justice for juveniles d. a rehabilitative attitude toward juveniles 48. The due process model starts with the premise that crime is a reflection of: a. social problems. b. family problems. c. moral problems. d. religious problems.

49. __________ states and the District of Columbia have authorized family courts on a statewide basis. a. Three b. Six c. Twenty-five d. Fifty 50. Juveniles were denied the right to a jury trial by the Supreme Court in 1971 in which case? a. McKeiver v. Pennsylvania b. O’Connor v. Pennsylvania c. Pittman v. Pennsylvania d. Solis v. Pennsylvania 51. Juveniles courts today blend which two types of law? a. criminal and family law b. civil and family law c. criminal and civil law d. child and family law 52. Juvenile court matters fall into how many different categories of supervision? a. one category b. four categories c. two categories d. three categories 53. About __________ percent of all juvenile delinquency cases are waived to criminal court. a. 1 b. 5 c. 15 d. 25

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Chap 04_13e 54. Juvenile courts are a distinctly __________ century development. a. 18th b. 19th c. 20th d. 21st 55. Automatic waivers are built on what premise? a. Some juveniles need to go to jail. b. Juveniles prosecuted as an adult are now always considered an adult. c. Some juveniles who have been waived deserve a second chance. d. Some juveniles should not be waived to adult court.

56. Which of the following is NOT a traditional aspect of juvenile court proceedings? a. informal proceedings b. proceedings that are open to the public c. proceedings that are based on civil law d. a lack (or absence) of jury trials 57. __________ states have juvenile courts. a. Thirteen b. Twenty-seven c. Forty-one d. All 58. Juvenile courts frequently deal with: a. waived or certified children. b. transferred and indicted children. c. children in need of supervision. d. forfeited or mandated children.

59. Which type of sentence offers some of the benefits of juvenile and adults courts but also allows for rehabilitation and redemption? a. reverse sentencing b. minimum mandatory sentencing c. automatic sentencing d. blended sentencing 60. Which 1967 U.S. Supreme Court case held that juvenile courts must provide due process protections? a. Robinson b. Cramer c. Altgelt d. Gault

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Chap 04_13e 61. Which act mandated deinstitutionalization of juvenile offenders? a. the Juvenile Justice and Delinquency Prevention Act b. the Juvenile Justice Care and Protection c. the Parens Patriae Act d. the Juvenile Assistance Act 62. The crime control model begins with the premise that crime is the product of: a. moral breakdown. b. justice breakdown. c. divorce. d. family breakdown.

CASE 4.2

The nature of the juvenile court process remained unchanged until the 1960s. When the Warren Court began to scrutinize procedures in adult criminal courts, its attention turned also to juvenile courts. In a groundbreaking decision, the Supreme Court held in In re Gault (1967) that the due process clause of the Fourteenth Amendment applied to juvenile court proceedings. The court emphasized that “under our Constitution the condition of being a boy does not justify a kangaroo court 63. Gault and subsequent cases signaled that the juvenile court must become a real court and its procedures must be regularized in accordance with: a. constitutional requirements. b. parens patriae. c. civil law. d. criminal rules of procedure.

64. Most states consider children to be juveniles until they reach which birthday? a. 17 b. 18 c. 19 d. 21 65. Truancy and curfew violations are examples of: a. delinquent acts. b. status offenses. c. minor infractions. d. violations.

66. Which Court was responsible for the landmark decision In re Gault? a. the Warren Court b. the Burger Court c. the Rehnquist Court d. the Roberts Court Copyright Cengage Learning. Powered by Cognero.

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Chap 04_13e 67. Historically, children under age __________ were presumed to be incapable of criminal intent. a. 3 b. 7 c. 14 d. 18 Enter the appropriate word(s) to complete the statement.

68. The age at which a child becomes an adult is called the upper age of __________.

69. Explain how the juvenile court differs from the adult court. Provide at least four examples of how proceedings differ.

70. In most jurisdictions, it is __________ for law enforcement personnel or juvenile court officials to release the names of juveniles to the media.

71. Consider that you are a “child-saver.” What is your official role, and what is your opinion on juvenile courts compared to adult courts? In what ways are they different? Do you ever feel there is reason that a juvenile should be transferred to an adult court? Do you feel, as a child-saver that the principles you use with children should be used with adults, or is the situation too different for that to work? Explain.

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Chap 04_13e 72. You are the probation officer of a 16-year-old male who has committed his second robbery since he was 12.

Would you believe that the case should be petitioned or a non-petitioned? Despite what you believe, what is most likely to happen? You believe that this boy is not very mature in intelligence, not just for his actions but in the way he speaks and the logic he uses. Do you feel this should have any bearing on how he is sentenced?

How would you like to see this play out? Explain.

73. Laws that grant exclusive jurisdiction over certain crimes to adult court are called __________ waivers.

74. Describe the steps of the juvenile court process from the perspective of law on the books.

CASE 4.2

The nature of the juvenile court process remained unchanged until the 1960s. When the Warren Court began to scrutinize procedures in adult criminal courts, its attention turned also to juvenile courts. In a groundbreaking decision, the Supreme Court held in In re Gault (1967) that the due process clause of the Fourteenth Amendment applied to juvenile court proceedings. The court emphasized that “under our Constitution the condition of being a boy does not justify a kangaroo court 75. The single most important Supreme Court case with respect to juvenile justice is In re Gault. Briefly describe the case and its impact on the juvenile justice system.

76. Juvenile courts emphasize __________ the child.

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Chap 04_13e 77. Delinquency cases begin with a __________.

78. Imagine that you are a judge in the case described in question 8 above. Using the child’s history as well as information from his probation officer, what types of things would you consider for appropriate disposition for a child? How would you be looking out for the best interests of the child and also the best interests of the community? You firmly believe in due process, although you know others around you feel that the courts need to be more strict with juveniles. How would you respond to those people? At what point do juveniles obtain benefits from the special procedures applicable to them that offset the disadvantage of denial of due process?

79. Juvenile courts are based on __________ law.

80. Imagine that you and a friend, who are both involved as prosecutors in the court system, sit down to talk about your work. During your conversation, you bring up a touchy subject. You are a firm believer in the crime control model, while your friend is a believer in the due process model. How is your opinion different than his? You two begin talking about the future of juvenile courts. With your belief in mind, and his belief in his, how would you both describe the future of juvenile courts?

81. Describe the child-saving movement and its relationship to the doctrine of parens patriae.

82. Describe the three major types of cases that may be heard in juvenile court. Provide examples of each type of case.

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Chap 04_13e 83. Juveniles are __________ times as likely as adults to be victims of serious violent crime.

84. Discuss the doctrine of parens patriae and its relevance to the juvenile court.

85. __________ involve acts that are illegal only for juveniles.

86. List and describe four key developments concerning juvenile courts.

87. Some states set no __________ age for transfer of juveniles to adult court.

88. Reverse waivers allow a juvenile to __________ the criminal court to transfer jurisdiction to a juvenile court.

89. In the juvenile court, the __________ is roughly the equivalent to a preliminary hearing in an adult proceeding.

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Chap 04_13e 90. You are a college professor teaching an introductory law class. The topic you are discussing today is juvenile and adult courts, specifically waivers for transferring juveniles to adult court. What are the four primary mechanisms you describe, and how are they different? You also describe exclusive jurisdiction laws, which you firmly disagree with. What kinds of questions would you ask you students to see if they would also disagree with it, or if they agree with the nearly 30 states that have already enacted such laws? How may they disagree with that, but agree with automatic waivers? Explain.

91. The juvenile court is a continuing legacy of the __________ movement.

92. Describe the steps of the juvenile court process from the perspective of law in action.

93. In the case In re __________, the U.S. Supreme Court ruled that the due process clause of the 14th

Amendment applied to juvenile court proceedings.

94. Crimes against juveniles are __________ likely to be reported to the police.

95. Juveniles accused of __________ offenses, or who have a history of repeated offenses, may be tried as adults.

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Chap 04_13e 96. A __________ is a legal document requiring an individual to appear in court at a certain time and on a certain date.

97. The __________ is roughly equivalent to a preliminary hearing in an adult proceeding.

98. A juvenile court trial is referred to as a(n) __________ hearing.

99. Prosecutions of adults are based on criminal law. By contrast, juvenile court proceedings are based on __________ law.

100. The doctrine of parens __________ authorizes the state to act as a parent.

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Chap 04_13e Answer Key 1. False 2. True 3. True 4. False 5. True 6. True 7. True 8. True 9. True 10. False 11. True 12. False 13. True 14. True 15. False 16. False 17. False 18. False 19. True 20. True 21. False 22. False 23. True 24. True 25. False 26. c

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Chap 04_13e 27. b 28. c 29. a 30. b 31. a 32. d 33. d 34. c 35. a 36. a 37. d 38. a 39. c 40. b 41. a 42. c 43. a 44. a 45. d 46. c 47. b 48. a 49. b 50. a 51. c 52. d 53. a 54. c Copyright Cengage Learning. Powered by Cognero.

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Chap 04_13e 55. b 56. b 57. d 58. c 59. d 60. d 61. a 62. a 63. a 64. b 65. b 66. a 67. b 68. jurisdiction 69. There are many ways in which juvenile court proceedings differ from those in the adult court. First, at least in theory, the emphasis in juvenile court is on helping the child. In adult court, in contrast, the focus is on punishment. Second, juvenile courts stress informal proceedings. In the adult court, in contrast, there is greater emphasis placed on the rules of evidence and formal procedures. Third, juvenile proceedings are based on civil, rather than criminal, law.

This is why the language is different, why the juvenile record is not admissible in adult court, and why proceedings seem to blend both civil and criminal law. Fourth, secret proceedings are still the norm in juvenile court. This theoretically protects the child. Whereas members of the public may walk into almost any courtroom in the country and watch proceedings for adult offenders, members of the public are not allowed to watch juvenile court proceedings. Fifth, there are rarely jury trials in juvenile court, which reinforces the non-adversarial nature of the proceedings.

NOTE: Other acceptable answers may describe the rehabilitative focus of the juvenile system and that different terminology and procedures are used in order to lessen the stigmatizing effect of the criminal process as compared to the adult process.

70. illegal 71. Student responses will vary.

72. Student responses will vary.

73. statutory/legislative 74. See table: “Law on the Books vs. Law in Action Steps of the Juvenile Court Process”

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Chap 04_13e 75. The nature of the juvenile court process remained unchanged until the 1960s. When the Warren Court began to

scrutinize procedures in adult criminal courts, its attention turned also to juvenile courts. In a groundbreaking decision, the Supreme Court held in In re Gault (1967) that the due process clause of the Fourteenth Amendment applied to juvenile court proceedings. The court emphasized that “under our Constitution the condition of being a boy does not justify a kangaroo court.” The opinion specified that juveniles have: (1) the right to notice, (2) the right to counsel, (3) the right to confront witnesses, and (4) privilege against self-incrimination.

(See Case Close-Up: In re Gault and Due Process in Juvenile Courts.) Three years later, the Court ruled that when a juvenile is charged with an act that would be a crime if committed by an adult, then every element of that criminal act must be proved beyond a reasonable doubt (In re Winship 1970). Gault and Winship signaled that the juvenile court must become a real court and its procedures must be regularized in accordance with constitutional requirements. Juvenile courts, however, afford far fewer due process rights than their adult counterparts.

76. helping 77. referral 78. Student responses will vary.

79. civil 80. Student responses will vary.

81. Under the legal doctrine of parens patriae (state as parent) the government can intervene to protect the child if the

parents are failing in their responsibilities. The child-saving movement, which began around 1890, believed that juvenile offenders required treatment, not punishment.

82. Juvenile court matters fall into three major categories: delinquency, status offenses, and child in need of supervision (sometimes called child-victims). Delinquency is a violation of a criminal law that would be a crime if the act were committed by an adult. Common examples include theft, burglary, sale or possession of drugs, and criminal damage to property. Status offenses involve acts that are illegal only for juveniles. Common examples include running away from home, truancy, possession of alcohol, incorrigibility/ungovernability, and curfew violations. Juvenile courts also deal with children in need of supervision, sometimes referred to as child-victims. Such children are before the court through no fault of their own. These types of cases generally involve issues of child abandonment, child abuse (such as battered children), or child neglect (such as children who are not receiving proper education or medical care).

83. 2.2 84. The juvenile court emerged in the late 1800s when the conception of children as miniature adults was fading. Over

time, children were seen as persons with less than fully developed moral and cognitive capacities. This shift in thinking was reflected in the legal doctrine of parens patriae (state as parent) that provided a foundation for juvenile court intervention. No longer were parents considered to have sole and exclusive legal responsibility over their children. If the parents failed in their responsibility to raise the child properly, the state could intervene in order to protect the child’s welfare. In extreme circumstances parental rights over their children were terminated altogether. The doctrine of parens patriae explains why juvenile court matters fall into three categories— delinquency, status offenses, and child-victim (i.e., children who have been abused and neglected).

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Chap 04_13e 86. See table “Key Developments Concerning Juvenile Courts” 87. lower 88. petition 89. conference 90. Student responses will vary.

91. Progressive 92. See table: “Law on the Books vs. Law in Action Steps of the Juvenile Court Process” 93. Gault 94. less 95. serious 96. summons 97. conference 98. adjudicatory 99. civil 100. patriae

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Chap 05_13e Indicate whether the statement is true or false.

1. Delay is a problem because it wastes court resources. a. True b. False 2. The most effective approaches to the problem of court delay are law on the books approaches. a. True b. False 3. The clerk of court is responsible for overseeing jury selection. a. True b. False 4. The clerk of court is also referred to as a prothonotary, register of probate, and clerk. a. True b. False 5. Interactions between members of the courtroom work group strictly follow the adversarial model. a. True b. False 6. Legal ethics seek to ensure clients that their lawyers are working in their best interests. a. True b. False 7. The bailiff is responsible for transporting detained defendants from jail to the courthouse. a. True b. False 8. The shared decision making of the courtroom work group helps to diffuse responsibility. a. True b. False 9. Speedy-trial laws are limited because they do not deal with discretion. a. True b. False 10. The concept of assembly-line justice stresses the mutual interdependence of the courtroom workgroup. a. True b. False 11. Courts are paperwork bureaucracies. a. True b. False

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Chap 05_13e 12. The clerk of court is responsible for maintaining order in the courtroom. a. True b. False 13. The courtroom workgroup includes all who appear in the courtroom at any trial. a. True b. False 14. Law in action approaches to solving the problem of delay are ineffective because they focus on coordinating the activities of the key actors in the courthouse. a. True b. False 15. Metal detectors and surveillance are modern technologies. a. True b. False 16. Plea bargaining predates any of the modern problems of the courthouse. a. True b. False 17. Judges are mostly ineffective managers. a. True b. False 18. The same differences of opinion about crime that characterize society as a whole likewise divide courthouse actors. a. True b. False 19. In some courthouses, civil and criminal cases are heard in the same courtroom during the same court session. a. True b. False 20. Bailiffs are not often present in the courtroom. a. True b. False 21. In front of the bench are two tables for the defense and prosecution, respectively. a. True b. False 22. Bail bondsmen have their offices outside of courtrooms. a. True b. False

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Chap 05_13e 23. Discretion is exercised at every key decision point within the criminal justice system. a. True b. False 24. Most cases end in a plea of guilty. a. True b. False Indicate the answer choice that best completes the statement or answers the question.

25. The problems in prosecuting and convicting Barker indicate __________ is often needed in interpreting the law. a. discretion b. rigidity c. rule d. humility 26. Women make up approximately what percentage of judges in the United States? a. 10 percent b. 20 percent c. 40 percent d. 30 percent 27. A discretionary decision based on decision makers’ values and attitudes reflects: a. legal judgments. b. policy priorities. c. personal philosophies. d. judicial restraints.

28. The text refers to rewards as a: a. pat on the back. b. high five. c. carrot. d. stick.

29. Most state speedy trial laws are designed to protect: a. defendants. b. the state. c. the prosecutor. d. judicial integrity.

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Chap 05_13e

CASE 5.2 The regular participants in the day-to-day activities of a courtroom include the judge, prosecutor, and defense attorney. There, actors in the courtroom often make decisions without reference to specific rules or facts. The decisions made by these actors allow the courtroom process to flow smoothly and enable the speedy processing of defendants.

30. What is the name of the concept that describes the network of ongoing relationships among courthouse actors? a. courtroom security b. courtroom work group c. courtroom personnel d. courtroom ethics 31. The text refers to sanctions as a: a. pat on the back. b. high five. c. carrot. d. stick.

32. Which concept stresses the importance of the patterned interactions of judges, prosecutors, and defense attorneys? a. the courthouse dynamics concept b. the courtroom workgroup concept c. the plea bargaining concept d. the assembly-line justice concept 33. The Speedy Trial Act of 1974 (amended in 1979) allows how many days from arrest to indictment in federal courts? a. 30 days b. 45 days c. 60 days d. 75 days 34. Each of the following are actors in “court personnel” EXCEPT: a. judge. b. probation officer. c. law clerk. d. court reporter.

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Chap 05_13e CASE 5.1

Sixteen times Willie Barker’s murder case was set for trial, and 16 times it was continued. At first the defense readily agreed, gambling that Barker’s codefendant would be found not guilty. Thus, some of the continuances were caused by the six separate trials before the codefendant was finally convicted. Other continuances were granted because of the illness of the police investigator. It was not until five years after arrest that Barker was convicted of murder 35. Which right did Barker’s lawyer argue was violated? a. Sixth Amendment right to a speedy trial b. Seventh Amendment right to a speedy trial c. Eighth Amendment right to a speedy trial d. Fourth Amendment right to a speedy trial 36. Roughly what percentage of courts were found to have less-than-adequate or no exterior CCTV cameras? a. 10 percent b. 30 percent c. 50 percent d. 90 percent 37. The court case Barker v. Wingo is concerned with what constitutional guarantee? a. the right to an attorney b. freedom from unreasonable search and seizure c. free speech d. the right to a speedy trial 38. Which 13th-century document attempted to address the problem of delay in justice? a. Declaration of the Rights of Man b. Magna Carta c. English Constitution d. Code of Wales 39. Maverick defense attorneys: a. most often get the best plea bargains for their clients. b. work cooperatively with prosecutors to resolve cases quickly. c. generally have few sanctions imposed on them. d. are seldom able to negotiate the most lenient sentences.

40. __________ percent of felony defendants in large urban counties have their cases disposed within one year. a. Ten b. Seventeen c. Fifty-eight d. Eighty-five

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Chap 05_13e 41. Although a prosecutor may believe that a given defendant violated the law, s/he may decide against moving forward with prosecution based on a belief that no jury would come back with a guilty verdict. This represents a discretionary decision based on: a. legal judgment. b. policy priority. c. personal philosophy. d. judicial restraint.

42. __________ crimes represent a group sense of justice. a. Social b. Normal c. Relational d. Passionate 43. A judge who accepts a guilty plea agreement reached by the defense attorney and the prosecutor provides an example of: a. discretion. b. mutual interdependence. c. routine administration of justice. d. assembly-line justice.

44. The claim that increasing plea bargains and declining trials are a recent phenomenon is a weakness of what explanation? a. assembly-line justice b. discretion c. courtroom work group d. None of these is correct.

45. Assembly-line justice, discretion, and the courtroom work group are all concepts used to explain what? a. the difference between law in action and law on the books b. courthouse discretion c. the difference between judges and magistrates d. legal ethics 46. Which of the following is NOT a member of the courtroom work group? a. prosecutor b. defendant c. judge d. defense attorney

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Chap 05_13e 47. Each of the following are actors in “corrections” EXCEPT: a. pretrial services representative. b. diversion program representative. c. bail agent. d. probation officer.

48. The American Bar Association recommends that all felony cases reach disposition within: a. six months of arrest. b. six months of filing. c. one year of arrest. d. one year of filing.

49. Which of the following courtroom actors works mostly behind the scenes? a. law clerks b. bailiffs c. lawyers d. court administrators 50. The Speedy Trial Act of 1974 (amended in 1979) allows how many days from indictment to trial? a. 20 days b. 30 days c. 50 days d. 70 days 51. Each of the following are actors in “law enforcement” EXCEPT: a. court security staff. b. sheriff’s deputy. c. bailiff. d. prosecutor.

52. Which concept is directly related to the reality that the criminal courthouse is not a single organization but rather a collection of separate institutions that gather in a common workplace? a. discretion b. mutual interdependence c. assembly-line justice d. legal ethics 53. In Barker v. Wingo, the Court held that the right to a speedy trial: a. was violated by a five-year delay. b. is a relative, not an absolute, right. c. was an absolute constitutional mandate. d. is a right of the prosecution but not the defense.

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Chap 05_13e 54. According to the chapter, which of the following BEST explains why few cases receive individual treatment? a. discretion b. speedy-trial laws c. assembly-line justice d. the dynamics of the courtroom work group 55. How are newcomers to a courtroom taught formal requirements of the job and informal rules of behavior? a. training b. mutual interdependence c. discretion d. socialization 56. At the high end, approximately how many people are arrested each year? a. 1.5 million b. 7 million c. 14 million d. 23 million 57. Which amendment provides for the right to a speedy and public trial? a. Fourth Amendment b. Fifth Amendment c. Sixth Amendment d. Seventh Amendment 58. The right to a speedy trial: a. was violated by a five-year delay. b. is a relative, not an absolute, right. c. was an absolute constitutional mandate. d. is a right of the prosecution but not the defense.

59. A problem common to all organizations, courts included, is the need to break in new members, a process known as: a. socialization. b. normalizing. c. discretion. d. fraternize.

60. Which of the following is NOT a major subcomponent of discretion? a. legal judgments b. policy priorities c. judicial restraints d. personal philosophies

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Chap 05_13e 61. What happens with most complaints about attorney misconduct? a. The complainant receives a settlement. b. The defendant loses in court. c. The attorney is disbarred. d. They are dismissed due to insufficient evidence.

62. The __________ is responsible for transporting detained defendants from the jail to the courthouse. a. bailiff b. bail bondsman c. sheriff’s deputy d. clerk of court 63. Various researchers have found that the passage of speedy-trial laws in many states has led to: a. a much more rapid handling of cases. b. a decrease in the speed of case flow. c. little change in disposition time. d. the hiring of considerably more judges and attorneys.

64. The law on the books approach to delay focuses on: a. courthouse dynamics. b. the courtroom work group. c. plea bargaining. d. resources and procedures.

65. Who is the record keeper for the court, often responsible for summoning potential jurors? a. law clerk b. clerk of court c. court reporter d. secretary 66. What is it called when the courthouse justice has the authority to make decisions without reference to specific rules or facts? a. delay b. socialization c. ethics d. discretion Enter the appropriate word(s) to complete the statement.

67. What is assembly-line justice? Discuss the strengths and weaknesses of the assembly-line justice explanation.

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Chap 05_13e 68. What are legal ethics, and why are they important to the legal system?

69. __________ lies at the heart of the criminal justice process.

70. In a general sense, the term __________ suggests abnormal or unacceptable time lapses in the processing of cases.

71. Over __________ of the states have adopted their own case-disposition targets.

72. Imagine that you were a city over from downtown Oklahoma City in 1995 when it was bombed. A couple years later, you resigned. From what you’ve seen, why do you believe it’s a risky business to operate a court building?

In addition to the safety of the building, how did you feel for your personal safety with the types of people who came into the court building? In the years since you’ve resigned, you’ve noticed increased security measures taking place in courthouses and other places, such as airports. How do you feel like the security in courthouses is lacking in comparison to places like airports?

73. Historically, court __________ was considered a problem because it jeopardized the defendant’s right to a speedy trial.

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Chap 05_13e 74. Because criminal laws are so broad and general, they must be __________ enforced.

75. Describe the behind the scenes actors.

76. State task forces consistently find evidence of __________ bias in four areas of the legal system: domestic violence, sexual assault, divorce, and behavior toward female workers.

77. To one side of the bench sits the court __________, whose machine mysteriously makes a shorthand record of the proceedings.

78. Imagine that you are a prosecutor, and you are frustrated with a case that falls into typical court delay. Why is court delay a problem for you? Even though you are most concerned about how court delay will affect you and your job, you can see where it is a problem for the defendant too. What is this reason? Also, what is another reason that court delay is a problem? Despite all of this, you come at this case with the perspective that crime control is the most important, which, in your opinion, makes it the biggest disadvantage. Why?

79. Describe the locations of courthouses.

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Chap 05_13e 80. Identify the different people who work in the courthouse, and describe their duties. How have changes in courtroom security changed the workplace for these people?

81. Newcomers to a job learn the formal and informal rules of behavior through __________.

82. Compare and contrast the law on the books and the law in action approaches to court delay. Which approach do you think is the most effective at addressing the problem of delay in courts? Why?

83. Imagine that you worked with the woman who resigned from the courts after the Oklahoma City bombing.

After she resigned, the courthouse discussed the various stresses that the people who worked in the courthouse were dealing with, and how to make everyone feel safer. One person described the victimization she had dealt with the year before. During a conference, the group went over the leading recommendations to reduce the chances of victimization. What recommendations would the group have discussed? Which of these do you feel are the most and least effective? Is there anything you would have personally added?

84. Clerks of court and court __________ work behind the scenes.

85. The hallmark of work groups is regularity of __________.

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Chap 05_13e 86. The typical remedy for legal mistakes during the trial is a(n) __________ court reversal.

87. Imagine you are a judge who has a law on the books approach to problem solving. Would you believe that speedy trial laws reflect your beliefs in problem solving? Why? Do you believe that the provisions for speedy trials should occur all the time, or only when the delay has been “extensive”? Explain. Consider also that you are a judge who used to work in state law but now works in federal law. How are the rights to a speedy trial different in the different courts?

88. In some states, __________ have duties such as serving court orders, preparing bond forms, and even conducting some security duties.

89. The courtroom work group refers to the __________ participants.

90. __________ is best defined as the lawful ability of an agent of government to exercise choice in making a decision.

91. The __________ is the officer who presides in a court of law.

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Chap 05_13e 92. The criminal courthouse is a single organization.

93. Explain why discretionary decision making occurs in the criminal courts, and provide some specific examples of prosecutorial discretion.

94. The __________ is responsible for maintaining order in the courtroom.

95. Assistant prosecutors are often judged not on how many cases they win, but on how few they __________.

96. __________ justice explains why few cases receive individual treatment.

97. Who are the courtroom work group members?

98. Speedy-trial laws are not based on an analysis of why __________ occurs.

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Chap 05_13e 99. Legal ethics is an example of applied and __________ ethics.

100. You are an actor in a courtroom work group and are dealing with a member who cares only of his personal goals, but less about the common interests he has with the other members in disposing of cases. He’s not a team player. Why would he be better able to achieve his goals if he worked with you and the rest of your work group? What would be the mutual benefits? How do time and resources play into it?

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Chap 05_13e Answer Key 1. True 2. False 3. True 4. True 5. False 6. True 7. False 8. True 9. True 10. False 11. True 12. False 13. False 14. False 15. False 16. True 17. True 18. True 19. True 20. False 21. True 22. True 23. True 24. True 25. a 26. d

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Chap 05_13e 27. c 28. c 29. a 30. b 31. d 32. d 33. a 34. b 35. a 36. d 37. d 38. b 39. d 40. d 41. a 42. b 43. b 44. a 45. a 46. b 47. c 48. d 49. d 50. d 51. d 52. b 53. b 54. c Copyright Cengage Learning. Powered by Cognero.

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Chap 05_13e 55. d 56. c 57. c 58. b 59. a 60. c 61. d 62. c 63. c 64. d 65. b 66. d

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Chap 05_13e 67. The most commonly advanced reason that criminal courts do not administer justice according to the textbook image is assembly-line justice. Not only judges but also prosecutors, defense attorneys, and probation officers are in short supply. The deluge of cases is reflected in every aspect of the courts’ work, from overcrowded corridors and courtrooms to the long calendars that judges, prosecutors, and defense attorneys face each day. The court system remains grossly underfunded and understaffed today (Berman & Feinblatt, 2015; Broccolina & Zorza, 2008). The assembly-line justice explanation highlights some important features of the contemporary courthouse. Because of the large volume of cases, overworked officials are often more interested in moving the steady stream of cases than in individually weighing each case on the scales of justice. Particularly in large cities, tremendous pressures exist to move cases and keep the docket current lest the backlog becomes worse and delays increase. Law on the books suggests a justice process with unlimited resources, whereas law in action stresses an administrative process geared toward disposing of a large volume of cases.

To cope with large caseloads, prosecutors, defense attorneys, and judges often apply several mass-production techniques such as specialization. Another mass-production technique is group processing. During the initial appearance, felony defendants are often advised of their rights in one large group rather than individually. In the lower courts, sentences are often fixed on the basis of the defendant’s membership in a given class rather than detailed consideration of the individual case.

Weaknesses of the explanation. This orthodox explanation stresses that excessive caseloads are a modern problem. However, American courts have been faced with caseload pressures for more than a century. Plea bargaining predates any of the “modern” problems of the courthouse. The historical evidence must be ignored if one tries to explain how justice is administered in the courthouse simply in terms of too many cases resulting from the growth of big cities. Emphasizing excessive caseloads also fails to consider the types of cases trial courts must decide. Most trial court cases present no disputed questions of law or fact. Rather, most case dispositions reflect routine administration requiring only processing or approving. Most cases end with a plea of guilty not because the courthouse has too many cases but because the courts are confronted routine cases where the only major decision necessary is the sentence to be imposed. Case studies clearly suggest that the criminal court process cannot be understood solely on the basis of excessive caseloads, because such an explanation omits too many important considerations— most especially organizational relationships and local legal culture (Heumann, 1975; Lynch, 1994; Nardulli, 1979; Roach-Anleu, 2009).

68. Lawyers often suffer from a negative public image, which is one reason the legal profession places considerable emphasis on legal ethics. Ethics refers to the study and analysis of what constitutes good or bad conduct (Pollock, 2012). Legal ethics represents a specific type of ethics. First, it is an example of applied ethics, in which ethical principles are applied to specific issues. Legal ethics is also an example of professional ethics, because it involves the behavior of a profession, in this case the legal profession. All ethical systems, legal ethics included, have a moral component. But morality and ethics are different. Whereas morality emphasizes a set of moral absolutes, legal ethics involves the difficult task of helping lawyers sort out the best option when perhaps no good options exist. Legal ethics is of critical importance because the American legal system is based on the adversarial system, which stresses verbal combat. At its basis, this system represents a fight between opposing viewpoints, and the use of legal ethics is one way to regulate this verbal combat to ensure a fair fight. Legal ethics emphasizes protecting clients by ensuring that they have competent attorneys to forcefully present their cases. Legal ethics also seeks to promote public respect for the legal system.

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Chap 05_13e 71. ¾; three-quarters 72. Student responses will vary.

73. delay 74. selectively 75. Courts are paperwork bureaucracies. Even the simplest case requires sheets and sheets of paper: the initial charge, and later, the indictment, bail release forms, pretrial motions, notice of appearance of counsel, and so on. Most of the behind-the-scenes people process this paperwork. Their actions are almost never visible, but their inaction can make headlines.

Other behind-the-scenes actors are managers. A constant complaint is that the courts are mismanaged. Alas, the definition of management in a court setting is elusive. Part of the difficulty is that in many jurisdictions, three distinct sets of court managers—clerks of court, chief judges, and court administrators—are often in competition. Just as important, it is difficult to define what the managers should be doing. A fundamental conflict exists between management (standardized work processes and standard outputs) and the profession of law (individual attention to cases that are fundamentally different). Thus, at the heart of the problem of managing the courthouse is the tension between the rationality of bureaucracy and the anti-bureaucratic philosophies of judges (DuPontMorales, Hooper, & Schmidt, 2000; Lens, 2015; Saari, 1982).

76. gender 77. stenographer 78. Student responses will vary.

79. In some cities, courthouses are landmarks in the center of downtown areas. Such courthouses have served as anchors “for many commercial and community activities” (Sahoo, 2006, p. 9). In sharp contrast, for security reasons, criminal courts of other cities were purposefully constructed near pretrial detention facilities in isolated and inconvenient locations. Clustered nearby are older buildings, occupied by bail agents and defense attorneys. Garish neon signs proclaiming “Bail Bonds, 24-Hour Service” compete with unpainted wooden structures to provide a general sense of urban decay. The courthouse building likewise often has a haggard and unkempt look about it. Beneath the veneer of decades of grime, though, one sees a once grand building built during an era when citizens took great pride in their public buildings. Although criminal court buildings are constructed in a variety of architectural styles, they nevertheless all seem to present an image of solidity and unyielding strength.

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Chap 05_13e 80. Law enforcement personnel include court security staff who provide security throughout the courthouse, sheriff’s deputies transport prisoners and the bailiff who maintains order in the courtroom and handles evidence. A number of lawyers can be found in the courthouse including the prosecutor who prosecutes cases for the government, the public defender who represents indigent defendants, and private defense attorneys. Court personnel include the judge who presides over the courtroom, law clerks who perform research for the judge, clerk of court is the record keeper, court reporters make transcripts of the proceedings, secretaries handle routine work for the judge’s office, language translators, court administrators, and docket clerks who deals with case file management and distribution and maintains files and record. In addition to these individuals there are representatives who may be present in the courtroom from both corrections (probation officers, pretrial services representatives, and diversion representatives) and the public (bail agents, reporters, defendants, witnesses, and victims for example). Changes in courthouse security mean that entering the courthouse is similar to airport security and certain items are not allowed in the courthouse. This means added time to the day of anyone who works in a courthouse. Additionally, such security is a reminder that courthouse employees are at risk, adding stress to their lives.

81. socialization 82. The law on the books approach to court delay focuses on resources and procedures. A common response is to supplement resources although budget realities often prevent doing so today. Emphasis is also placed on streamlining procedures. Research has, however, indicated that the level of court resources was not associated with court delay (Church et al., 1978). Such findings explain why the law on the books approach is often ineffective in speeding up case dispositions and reducing excessive caseloads. Speedy-trial laws are a case in point. Speedy trial laws are federal or state statutes that specify time limits for bringing a case to trial after arrest. They do not provide for any additional resources to aid the courts in complying. Potential difficulties arise because not all cases fit easily into the mandated time frames. Various studies find that such laws have had limited impact on court delay (Church et al., 1978; Hamburg, 2015; Mahoney et al., 1988; Nimmer, 1978). This is primarily because most state laws fail to provide the court with adequate and effective enforcement mechanisms. The federal speedy-trial law has proven effective.

Researchers stress that law in action approaches to reducing court delay are ultimately more effective. Delay is related to the number of cases and the choices made by court actors in processing cases. Law in action approaches to court delay seek to alter practitioners’ attitudes regarding proper case disposition times. Improving case scheduling and coordination among courtroom work group members are two such approaches. The variability in courtroom workgroups has major consequences for how long it takes courts to dispose of cases. Research has found that some courts were characterized as hierarchical because there was a clear chain of command among judges, administrative staff, and courtroom staff. Courts with a hierarchical culture processed felony cases significantly faster than other courts (Ostrom et al., 2007).

83. Student responses will vary.

84. administrators 85. behavior 86. appellate 87. Student responses will vary.

88. bailiffs 89. regular 90. Discretion 91. judge Copyright Cengage Learning. Powered by Cognero.

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Chap 05_13e 92. F 93. Discretion is exercised at every key decision point within the criminal justice system. After an arrest is made, a prosecutor may decide not to file charges. If charges are filed, a judge has discretion in terms of the amount of bail that may be set. If a case goes to trial, the jury will have discretion over whether to find a defendant guilty. These are just a few examples of discretionary decision making that may occur within the criminal courts. Choices are made on the basis of legal judgments, policy priorities, and the values and attitudes of the actors involved.

For example, although a prosecutor may believe that a given defendant violated the law, s/he may decide against moving forward with prosecution based on a supposition that no jury would come back with a guilty verdict. Other discretionary decisions may reflect policy choices; all crimes cannot be prosecuted because resources are limited. More serious crimes will likely be prosecuted because they are considered a priority, while less serious offenses, such as disorderly conduct, may not.

94. bailiff 95. lose 96. Assembly-line 97. Judges, prosecutors, and defense attorneys are representatives from separate, independent sponsoring institutions.

They are drawn together by a common task. As a result, courthouse regulars work together cooperatively on a daily basis in ways not envisioned by the formal adversary model (Jacob, 1991; Lichtenstein, 1984; Lynch & Evans, 2002; Metcalfe, 2016). Indeed, in problem-solving courts, such cooperation forms the philosophical backbone for the courts’ existence (Berman & Feinblatt, 2015; Worrall & Nugent-Borakove, 2008). To understand the extent as well as the limits of this cooperation, you need to examine why courtroom work groups form in the first place and their impact on the administration of justice. Each of the courthouse regulars is a representative of a sponsoring institution, which hires and fires them, monitors their activities, and rewards their performance. None of these actors can perform his or her tasks independently; they must work together. These interactions are critical because none of the courthouse regulars can make decisions independently; each must consider the reactions of others.

98. delay 99. professional 100. Student responses will vary.

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Chap 06_13e Indicate whether the statement is true or false.

1. The role of the prosecutor involves little discretion. a. True b. False 2. Some states still permit private criminal prosecutions. a. True b. False 3. The office of the solicitor general is in essence a small, elite, very influential law firm whose client is the U.S. government. a. True b. False 4. In law on the books, trials are very successful in gaining convictions. a. True b. False 5. Programs aimed at improving police–prosecutor relationships and community prosecution are two contemporary examples of the expanding domain of the prosecutor. a. True b. False 6. Prosecutors enjoy absolute immunity from civil lawsuits when acting as courtroom advocates. a. True b. False 7. Law schools provide an overview of the law on the books, but give their students very little exposure to the law in action. a. True b. False 8. Compared to their counterparts in England and in other European countries, American prosecutors enjoy unmatched independence and discretionary powers. a. True b. False 9. An officer of the court has a duty to see that justice is done. a. True b. False 10. U.S. attorneys and their assistants prosecute the vast majority of criminal cases in federal courts. a. True b. False

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Chap 06_13e 11. In the federal courts, the U.S. Attorneys enjoy considerable autonomy from the U.S. Justice Department. a. True b. False 12. The U.S. attorney general is a member of the president’s cabinet. a. True b. False 13. Decentralization and local autonomy characterize prosecution in state courts. a. True b. False 14. A state attorney general typically exercises great authority over local criminal proceedings. a. True b. False 15. More so than judges and defense attorneys, the prosecutor is the most powerful official in the criminal courts. a. True b. False 16. The three major agencies involved in prosecution in state courts are the state attorney general, the chief prosecutor, and the local prosecutor. a. True b. False 17. The great majority of the nation’s prosecutors’ offices are large ones. a. True b. False 18. The U.S. attorney general was the prosecutor in the Oklahoma City bombing case. a. True b. False 19. Appellate courts cannot place restrictions on the exercise of prosecutorial power during the trial itself. a. True b. False 20. Most modern prosecutors in the United States hold a public office. a. True b. False 21. The turnover rate among assistant district attorneys is relatively low. a. True b. False

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Chap 06_13e 22. U.S. Attorneys enjoy full authority and control in the areas of personnel management, financial management, and procurement. a. True b. False 23. Prosecution in the United States is highly centralized. a. True b. False 24. Local prosecutors are also called city attorneys. a. True b. False Indicate the answer choice that best completes the statement or answers the question.

25. The Solicitor General’s office generally requests Supreme Court review only in cases with a high degree of significance and in which: a. the government is a party. b. the government has a reasonable legal argument. c. a violation of the U.S. Constitution is believed to have occurred. d. a federal employee is involved.

26. How many statutory responsibilities do U.S. Attorneys have? a. one b. two c. four d. three 27. Which of the following decisions is the exclusive domain of the prosecutor? a. bail b. charging c. arraignment d. sentencing 28. What is the title of the head of the Department of Justice? a. the U.S. Solicitor General b. the U.S. Attorney c. the Assistant U.S. Attorney d. the U.S. Attorney General

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Chap 06_13e CASE 6.2

Ethical issues facing prosecutors are very different from those confronting defense attorneys because prosecutors do not represent individual clients. Prosecutors often define their jobs as representing victims of crime and the police, but these are not typically considered to fit under the attorney–client relationship.

Rather, the client of the prosecutor is the government, and for this reason prosecutors are given special responsibilities 29. Prosecutors enjoy which kind of immunity from civil liability for everything they do with regard to the core prosecutorial functions of initiating criminal charges and pursuing criminal convictions as the government's advocate? a. absolute immunity b. comprehensive immunity c. partial immunity d. qualified immunity 30. The office of the prosecutor is in which branch of government? a. executive b. legislative c. judicial d. administrative 31. Small prosecutors’ offices generally employ which type of prosecution? a. horizontal b. streamlined c. vertical d. directed 32. When prosecutors are not acting as the government's advocate in some judicial phase of the criminal justice process, which kind of immunity do they enjoy? a. absolute immunity b. comprehensive immunity c. partial immunity d. qualified immunity 33. Which of the following is NOT a name given to the prosecutor? a. district attorney b. commonwealth attorney c. prosecuting attorney d. chief attorney

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Chap 06_13e 34. Which of the following is the exclusive domain of the prosecutor? a. charging b. arraignment c. arrest d. bail 35. U.S. attorneys serve: a. life terms. b. four-year terms. c. ten-year terms. d. at the discretion of the president.

36. Who is the prosecutor’s client? a. the defendant b. the judge c. the government d. the victim 37. How many offices are involved in prosecution in state courts? a. one b. three c. two d. four 38. Researchers find that attempts by supervisors to control the work of assistant district attorneys tend to: a. reduce stress, especially among newly hired assistant district attorneys. b. increase morale because such efforts lead to fewer differences in the handling of cases among assistant district attorneys. c. lead to greater respect for the district attorney because a clear policy is articulated. d. erode the morale of the office.

39. Prosecutors spend most of their time working with members of what group? a. the community prosecution work group b. the prosecutors’ work group c. the courtroom work group d. the President’s prosecutors’ work group 40. In which case did the Supreme Court rule that prosecutors enjoy only qualified immunity from civil lawsuits for actions taken during criminal investigations and statements made during news conferences? a. Berger v. United States b. Buckley v. Fitzsimmons c. Burns v. Reed d. Kalina v. Fletcher Copyright Cengage Learning. Powered by Cognero.

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Chap 06_13e CASE 6.1 The U.S. attorneys serve as the nation’s principal litigators under the direction of the attorney general. One U.S. attorney is assigned to each of the judicial districts, with the exception of Guam and the Northern Mariana Islands, where one serves both districts. Each U.S. attorney is the chief federal law enforcement officer of the United States within his or her particular jurisdiction.

41. How many U.S. attorneys are stationed throughout the United States, Puerto Rico, the Virgin Islands, Guam, and the Northern Mariana Islands? a. 83 b. 73 c. 63 d. 94 42. The role of the prosecutor involves two major characteristics: decentralization and what else? a. deference b. commitment c. broad discretion d. willingness to compromise 43. __________ percent of chief prosecutors are locally elected. a. Twenty-five b. Forty-five c. Sixty-five d. Ninety-five 44. Which of the following is among the ethical issues faced by prosecutors? a. how much evidence to disclose to the defense b. how much information to release to the public c. whether to prosecute a given defendant d. All of these answers are among the ethical issues faced by prosecutors.

45. The role of prosecutor involves each of the following EXCEPT: a. broad discretion. b. decentralization. c. socialization. d. None of these options are correct.

46. The __________ is the most important member of the work group. a. witness b. prosecutor c. judge d. defense attorney

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Chap 06_13e 47. In what case was it determined that a district attorney’s office may not be held liable under Section 1983 for failure to train prosecutors based on a single Brady violation? a. Connick v. Thompson (2011) b. Kalina v. Fletcher (1997) c. Buckley v. Fitzsimmons (1993) d. Burns v. Reed (1991) 48. There are more than __________ federal, state, county, municipal, and township prosecution agencies. a. 1,500 b. 5,000 c. 8,000 d. 14,000 49. Most big city prosecutors’ offices use __________ prosecution, in which prosecutors are assigned to specific functions. a. horizontal b. vertical c. circular d. alternating 50. Who are U.S. attorneys appointed by? a. the President b. the Senate c. the Vice President d. the Congress 51. Of the following, who is the only official who works closely with police officers? a. prosecutor b. defense attorney c. judge d. victim advocate 52. Prosecutors consider both legal and extra-legal focal concerns when making a charging decision. Which of the following is an extra-legal focal concern? a. degree of harm caused by the offense b. degree of cooperation by the defendant c. socioeconomic status of the victim d. likelihood of prosecution in another jurisdiction

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Chap 06_13e 53. Which framework maintains that sentencing decisions are made by standards of blameworthiness, protection of the community, and the practical constraints and consequences of the sentencing decisions? a. focal concerns theory b. qualified sentencing c. absolute sentencing theory d. prosecutorial sentencing theory 54. About __________ percent of rapes reported to police are cleared by arrest. a. 10 b. 25 c. 40 d. 65 55. When they first begin working as prosecutors, rookie assistant attorneys learn important unwritten rules, legal practices, and appropriate penalties: a. primarily through personal experience with informal awards and sanctions. b. at law school. c. under direct, close supervision of the district attorney. d. by asking questions of experienced prosecutors, court clerks, and police officers.

56. All federal agencies must receive permission from who to appeal an adverse lower court decision to the U.S. Supreme Court? a. the U.S. Solicitor General b. the U.S. Attorney General c. a U.S. Attorney d. the Senate Judiciary Committee 57. Large prosecutors’ offices generally employ which type of prosecution? a. horizontal b. streamlined c. vertical d. directed 58. Which of the following is the primary reason for high turnover among assistant district attorneys? a. little formal on-the-job training b. low salaries c. high stress d. little opportunity for promotion

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Chap 06_13e 59. Complete freedom from civil liability is known as: a. qualified immunity. b. partial immunity. c. immunity. d. absolute immunity.

60. The FBI, DEA, U.S. Marshals Service, and the Federal Bureau of Prisons are all part of which entity? a. Department of Justice b. the U.S. Attorney General c. the Federal Judiciary d. Homeland Security 61. What is the title given to the state’s chief legal officer? a. lead attorney b. state attorney c. district attorney d. attorney general 62. All of the following are states where chief prosecutors are appointed or are members of the state attorney general’s office EXCEPT: a. Rhode Island. b. California. c. New Jersey. d. Connecticut.

63. Which of the following is NOT a term used to refer to chief prosecutors? a. district attorney b. county attorney c. prosecuting attorney d. attorney general 64. Roughly __________ percent of all state prosecutors fall into the category of being “junior” enough to exhibit young prosecutors’ syndrome. a. 10 b. 25 c. 40 d. 50 65. Which of the following is billed as the world’s largest law firm? a. Federal Bureau of Investigation b. U.S. Department of Justice c. U.S. State Department d. U.S. Attorney’s Office Copyright Cengage Learning. Powered by Cognero.

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Chap 06_13e 66. The __________ is the third highest ranking official in the Justice Department. a. chief prosecutor b. local prosecutor c. solicitor general d. U.S. attorney Enter the appropriate word(s) to complete the statement.

67. Under the __________ model, the jurisdiction might contract with a nongovernmental lawyer in private practice or a law firm to prosecute cases on behalf of the state.

68. The U.S. Solicitor General is sometimes referred to as the __________ Justice.

69. A key characteristic of the American __________ is broad discretion.

70. A state __________ provides legal advice to state agencies and represents the state in court when state actions are challenged.

71. In __________ prosecution, separate prosecutors are assigned to specific court functions, such as initial appearance, charging, grand jury, trial, or appeal.

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Chap 06_13e 72. State attorneys general have chosen to emphasize their __________ responsibilities because they typically have limited authority over criminal matters.

73. A prosecutor is a lawyer as well as a(n) __________ of the court, whose primary responsibility is to see that justice is served.

74. The office of the prosecutor is part of the __________ branch of government.

75. The office of the prosecutor is characterized by __________ organization.

76. Most assistant district attorneys are hired __________ after graduation from law school.

77. The collection of certain debts owed the federal government is one of the responsibilities of __________.

78. In __________ prosecution, a prosecutor is assigned a case from intake to appeal.

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Chap 06_13e 79. Under the __________ model, lawyers are hired or elected to serve as part-time government prosecutors, but are also allowed to maintain a private law practice.

80. The reality of law__________ is that prosecutors are not insulated against pressure from politicians, the media, and the public at large.

81. Assistant district attorneys spend most of their time not in the central office but in the __________.

82. The three major agencies involved in prosecution in state courts are the state attorney general, the chief prosecutor, and the __________ prosecutor.

83. __________ concerns about organizational efficiency require prosecutors to evaluate the consequences of their charging decisions with the contexts of media scrutiny and its accompanying political consequences, their relationship with law enforcement, their relationships with other members of the courtroom work group, and the limitations of budgets, personnel, and time.

84. The Duke lacrosse team rape case has become the contemporary poster child for prosecutorial __________.

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Chap 06_13e 85. With few exceptions, all government agencies must first receive authorization from the __________ to appeal an adverse lower court ruling to the U.S. Supreme Court.

86. Most district attorneys serve at least nine years.

87. U.S. attorneys are appointed by, and serve at the discretion of, the __________, with the advice and consent of the Senate.

88. Imagine that you are teaching a college course in criminal justice and are on topic to discuss the ethical duties of prosecutors. You tell the class that prosecutors have a number of specific ethical obligations, such as disclosing exculpatory evidence, avoiding conflicts of interest, and refraining from any behavior that would interfere with fair administration of justice. You then go on to give examples of how these duties affect the day-to-day job of prosecutors. What examples would you give? A student asks if ethics can sometimes “get in the way” of a prosecutor doing his or her job. What do you say? Explain.

89. Imagine you are a prosecutor who is used to horizontal case assignment, talking to a friend who is also a prosecutor in a small office, and who is used to vertical case assignment. You each feel that you do can do your job best with your type of case assignment and wouldn’t like how the other has to do it. How would you explain why horizontal case assignment is effective? Your friend explains why he feels vertical case assignment is effective—what would he say? Why do you two conclude that each type of case assignment is best for particular situations? Explain.

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Chap 06_13e 90. Identify the three agencies involved in prosecution in state courts. What are the differences and similarities of these agencies?

91. Compare law on the books vs. law in action for the role of the prosecutor in steps of criminal procedure.

92. You are a prosecutor trying a man on battery charges. You truly believe the man is guilty and feel there are ways to get the truth out of the man. A coworker friend asserts his feelings about the case, which are the same as yours. He then develops a plan to get the man to confess, but it is a less than ideal method. What would you do and why? What does the law say about this kind of situation? Is it more important to get the answers you need, no matter the method? Explain.

93. Explain the difference between the solicitor general and a U.S. attorney.

94. Describe the role of the prosecutor.

95. Describe state court prosecutors’ offices.

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Chap 06_13e 96. Explain the difference between absolute immunity and qualified immunity for prosecutors.

97. Imagine you are a prosecutor who is speaking to a classroom about your job. You bring up the topic of community prosecution. You tell them that community prosecution is a problem-oriented and proactive approach to crime taken by prosecutors who respond to a wide variety of social problems that plague their communities.

Such programs allow prosecutors to better the community. Because prosecutors have much power and are in an ideal position to encourage coordination among many government agencies, they are able to respond to various large and small problems that communities face. What are some of the examples that you can provide?

How do these examples help the community? Do you personally feel that the community is benefitting from these programs? Explain.

98. Describe focal concerns theory.

99. Imagine you are a recently transferred police officer dealing with a narcotics case. In your last department, there was a pretty terrible police–prosecutor relationship. Here, however, efforts seem to be made to improve this relationship. What kinds of things may you expect to find when dealing with a positive police–prosecutor relationship? Do you feel that it helps in dealing with cases or hinders your efforts? How would the relationship be able to improve even more? Explain.

100. Identify and explain the various political styles of prosecutors within the courtroom work group.

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Chap 06_13e Answer Key 1. False 2. True 3. True 4. False 5. True 6. True 7. True 8. True 9. True 10. True 11. True 12. True 13. True 14. False 15. True 16. True 17. False 18. False 19. False 20. True 21. False 22. True 23. False 24. True 25. b 26. d

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Chap 06_13e 27. b 28. d 29. a 30. a 31. c 32. d 33. d 34. a 35. d 36. c 37. b 38. d 39. c 40. b 41. d 42. c 43. d 44. d 45. c 46. b 47. a 48. c 49. a 50. a 51. a 52. c 53. a 54. c Copyright Cengage Learning. Powered by Cognero.

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Chap 06_13e 55. d 56. a 57. a 58. b 59. d 60. a 61. d 62. b 63. d 64. d 65. b 66. c 67. prosecution outsourcing 68. Tenth 69. prosecutor 70. attorney general 71. horizontal 72. civil 73. officer 74. executive 75. decentralized 76. immediately 77. U.S. Attorneys 78. vertical 79. part-time prosecutor 80. in action 81. courtroom 82. local 83. Focal Copyright Cengage Learning. Powered by Cognero.

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Chap 06_13e 84. misconduct 85. solicitor general 86. F 87. President 88. Student responses will vary.

89. Student responses will vary.

90. The three major agencies involved in prosecution in state courts are the state attorney general, the chief prosecutor,

and the local prosecutor. The position of the state attorney general is usually described in the state constitution.

Among the most important duties are providing legal advice to other state agencies and representing the state in court when state actions are challenged. State attorneys general have, in recent years, focused on civil responsibilities through activities such as protecting consumers from fraud. The American prosecutor enjoys independence and discretionary power that is unique in the world. The United States is the only country in the world where voters elect prosecutors. Because chief prosecutors are elected, their position is set within the larger political process. The chief prosecutor’s office is often a launching pad for a political career. Local prosecutors represent the government in the early stages of the criminal court process and minor criminal offenses dealt with in lower criminal courts.

91. See table “Law on the books vs. law in action” 92. Student responses will vary.

93. The solicitor general argues all cases that involve the U.S. government before the U.S. Supreme Court. Appeals to

the Court are coordinated by the Office of the Solicitor General; with few exceptions, all government agencies must get authorization from the solicitor general before an appeal to Court may be filed. U.S. attorneys, in contrast, are the prosecutors in cases where defendants are charged with criminal offenses at the federal level.

They also work on civil cases where the U.S. government is a party to a lawsuit (i.e., as either the defendant or the plaintiff).

94. The prosecutor is of critical importance because of the office’s central position in the criminal justice system. Whereas police, defense attorneys, judges, and probation officers specialize in specific phases of the criminal justice process, the duties of the prosecutor bridge all of these areas. This means that on a daily basis, the prosecutor is the only official who works with all actors of the criminal justice system. As Justice Robert Jackson (1940, p. 18) once remarked, “The prosecutor has more control over life, liberty, and reputation than any other person in America.”

Prosecutors stand squarely in the middle of the fragmented nonsystem of criminal justice discussed in Chapter 1.

Naturally, the various actors have conflicting views about how prosecutorial discretion should be used—the police push for harsher penalties; defense attorneys, for giving their clients a break; and judges, to clear the docket. Thus, prosecutors occupy a uniquely powerful and highly visible position in a complex and conflict-filled environment. Amid the diffusion of responsibility that characterizes the criminal justice system, power has increasingly been concentrated in the hands of the prosecutor (Misner, 1996; Sklansky, 2016; Worrall & Borakove, 2008). The “Law on the Books vs.

Law in Action” feature provides an overview of the role of the prosecutor throughout the criminal justice process.

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Chap 06_13e 95. See Table 6.2 96. Prosecutors enjoy absolute immunity—complete freedom from civil liability—for everything they do with regard to

the core prosecutorial functions of initiating criminal charges and pursuing criminal convictions as the government's advocate (Imbler v. Pachtman, 1976).

Such absolute immunity extends to all actions, even those motivated by ill will or bad faith, concerning filing or declining to file criminal charges, plea bargaining, and presenting arguments or evidence in court. For example, a defendant whose conviction is overturned on appeal (and is later found not guilty) cannot sue the prosecutor for malpractice. The appellate court reversal is viewed as a sufficient remedy. In contrast, when prosecutors are not acting as the government's advocate in some judicial phase of the criminal justice process, they enjoy only qualified immunity for their actions. Qualified immunity shields prosecutors from civil liability for acts beyond those associated with courtroom advocacy, but still within the scope of their professional duties (such as when advising the police or speaking to the media), but only if they are acting in good faith that they are not violating any law or ethical rule of which a reasonable person in his or position would be aware.

97. Student responses will vary.

98. Steffensmeier (1980) originated focal concerns theory as a way of explaining judicial decision making, primarily as it relates to criminal sentencing (Steffensmeier, Ulmer, & Kramer, 1998; Ulmer, 1997). This framework maintains that sentencing decisions are shaped by three primary focal concerns: blameworthiness, protection of the community, and the practical constraints and consequences of the sentencing decision.

99. Student responses will vary.

100. A prosecutor may choose one of several political styles in working within a courtroom workgroup. The choice

depends on the satisfaction or dissatisfaction of the prosecutor with office’s status in the courthouse community and the prosecutor’s perception of the value of conflict. Prosecutors satisfied with the status of the office adopt the office-conservator style. Officer conservators accept the status quo and seek continuity. Prosecutors who are dissatisfied with the status quo may choose the courthouse insurgents-style, using conflict as a tool for change.

Policy reformers are also dissatisfied with the status quo but seek change through more conciliatory means.

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Chap 07_13e Indicate whether the statement is true or false.

1. The criminal lawyer’s most important commodity in securing clients is his or her reputation. a. True b. False 2. Unassigned council systems involve the appointment by the court of private attorneys from a list of available attorneys on an as-needed basis. a. True b. False 3. There are few appellate court reversals on the grounds of ineffective assistance of counsel. a. True b. False 4. A mentally ill defendant may never represent himself in criminal court. a. True b. False 5. Getting along with clients is one of the easiest parts of being a public defender. a. True b. False 6. Defense attorneys are not allowed to be present during grand jury hearings. a. True b. False 7. The public defender is the 19th century response to the problem of providing legal representation for the indigent. a. True b. False 8. Law offices of duo practitioners are a permanent feature of urban architecture. a. True b. False 9. Lawyers must always do what their clients ask them to do. a. True b. False 10. One of the most important tasks of defense attorneys is counseling. a. True b. False

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Chap 07_13e 11. Defense attorneys are the most powerful members of the courtroom work group. a. True b. False 12. Despite the legal presumption of innocence, once defendants are arrested, the public assumes they are guilty. a. True b. False 13. Indigent defendants sentenced to death must rely on voluntary counsel in pursuing post-conviction discretionary appeals, including appeals to the U.S. Supreme Court. a. True b. False 14. To defense attorneys, winning a case rarely means an acquittal. a. True b. False 15. Legal ethics seek to ensure that lawyers will zealously advocate for their clients. a. True b. False 16. Public clients are skeptical about the skills of their lawyers. a. True b. False 17. Legal ethics place no limits on attorneys in defense of clients. a. True b. False 18. The Sixth Amendment provides for the right to counsel in “all criminal prosecutions,” so it is not limited to the trial itself. a. True b. False 19. Prosecutors assess a defense attorney in terms of “reasonableness.” a. True b. False 20. Defendants may view their public defender as similar to the prosecutor. a. True b. False 21. Criminal lawyers are more concerned than other lawyers with collection of the fee—after all, their clients are mostly criminals. a. True b. False Copyright Cengage Learning. Powered by Cognero.

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Chap 07_13e 22. Prosecutors prefer to deal with inexperienced defense attorneys. a. True b. False 23. As written by the framers of the U.S. Constitution more than 200 years ago, the right to counsel meant only that a judge could not prevent a defendant from bringing a lawyer to court. Thus, it affected only those who could afford to hire their own lawyers. a. True b. False 24. Self-representation is a rare occurrence. a. True b. False Indicate the answer choice that best completes the statement or answers the question.

25. Obtaining clients is only half of the problem facing private attorneys who represent criminal clients. The second half is: a. winning the case. b. getting clients to cooperate. c. collecting evidence. d. getting paid.

26. What is the term for protected statements between an attorney and client? a. pro bono b. pro se c. assigned counsel d. privileged communication 27. Argersinger v. Hamlin (1972) affected what kind of criminal defendants? a. nonfelony defendants b. capital punishment defendants c. juveniles d. statutory defendants 28. Which U.S. Supreme Court decision acknowledged a defendant’s right to self-representation? a. Argersinger v. Hamlin b. Strickland v. Washington c. Powell v. Alabama d. Faretta v. California

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Chap 07_13e 29. Which U.S. Supreme Court decision limited the right of nonfelony defendants to have court-appointed counsel? a. Argersinger v. Hamlin b. Faretta v. California c. Strickland v. Washington d. Gideon v. Wainwright 30. In which of the following cases was it decided that juveniles are covered by the Sixth Amendment’s right to counsel? a. Johnson v. Zerbst b. Betts v. Brady c. In re Gault d. Faretta v. California 31. __________ states have a state public defender program that oversees the policies and practices of the 427 public defender offices located in these states. a. Five b. Sixteen c. Twenty-two d. Thirty-six 32. Which issue related to the right to counsel did Padilla v. Kentucky involve? a. ineffective assistance of counsel b. plea bargains c. mental illness d. self-representation 33. Which factor(s) affect the availability of lawyers to represent defendants in major cities? a. low status b. difficulty in securing clients c. low fees d. All of these answers are correct.

34. At which of the following stages in the criminal justice process is an indigent defendant provided counsel paid by the government? a. at the time of arrest b. during a preliminary hearing c. during a grand jury hearing d. when filing a discretionary appeal

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Chap 07_13e 35. In which case did the U.S. Supreme Court hold that indigent defendants charged with a felony are entitled to the services of a lawyer paid for by the government? a. Miranda v. Arizona b. Gideon v. Wainwright c. Plessey v. Ferguson d. U.S. v. Wade 36. More than __________ percent of defendants are described by their attorneys as passive participants in the overall defense. a. 10 b. 25 c. 35 d. 50 37. Which of the following is a serious problem that public attorneys face in dealing with their clients? a. refusal to cooperate b. dishonesty c. deception d. All of these are serious problems public attorneys face in dealing with their clients.

38. In which of the following cases was it decided that indigent felony defendants in federal court are entitled to court-appointed counsel? a. Johnson v. Zerbst b. Betts v. Brady c. In re Gault d. Faretta v. California 39. __________ percent of defendants are described by their attorneys as recalcitrant. a. Ten b. Twenty-five c. Thirty-five d. Fifty 40. Public defenders represent approximately __________ percent of all indigents nationwide. a. 30 b. 45 c. 65 d. 70

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Chap 07_13e 41. The public defender system was started where in 1914? a. Chicago b. Los Angeles c. New York City d. Seattle 42. Many defendants view the public defender as similar to what other courtroom actor? a. judge b. bailiff c. victim d. defendant 43. At the high end, what is the average number of active cases lawyers have? a. 10 cases b. 68 cases c. 120 cases d. 240 cases 44. Because of the numerous sanctions that may be applied to defense attorneys, they are forced to take which kind of posture? a. proactive b. neutral c. complacent d. reactive 45. Which Amendment provides the right to counsel? a. Fourth Amendment b. Fifth Amendment c. Sixth Amendment d. Seventh Amendment 46. The method by which defense attorneys seek to reach the best possible solution for their clients is directly related to their relationships with other members of: a. the prosecutor’s office. b. the police department. c. their law office. d. the courtroom work group.

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Chap 07_13e 47. Which method of providing legal representation for indigent defendants has been found to violate the Fifth and Sixth Amendments to the U.S. Constitution by at least one state supreme court? a. assigned counsel system b. contract system c. public defender system d. pro bono system 48. What is one of the most important tasks of defense attorneys? a. relating to their client b. knowing the whole story c. making sure they get paid d. counseling 49. At which of the following stages in the criminal justice process is an indigent defendant not guaranteed counsel paid for by the government? a. plea bargaining b. trial c. first appearance d. discretionary appeal

CASE 7.1 Like many other provisions of the U.S. Constitution, the Sixth Amendment has a different meaning today than it did when it was first ratified. In a landmark decision, the U.S. Supreme Court held that, based on the Sixth Amendment’s provision of right to counsel, indigent defendants charged with a felony are entitled to the services of a lawyer paid for by the government (Gideon v. Wainwright, 1963). Later, the Sixth Amendment right to counsel was extended to juvenile court proceedings as well (In re Gault, 1967). But as so often happens, answering one question raised several new ones.

50. Which of the following issues did the court wrestle with following the Gideon decision? a. nonfelony criminal prosecutions b. stages of the criminal process c. self-representation d. The court wrestled with all of these issues following the Gideon decision.

51. __________ percent of felony defendants cannot afford to hire their own lawyer. a. Twenty-five b. Forty-three c. Sixty-eight d. Eighty-two

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Chap 07_13e CASE 7.2 Is it enough to have a lawyer? Must the lawyer also be competent and effective? The U.S. Supreme Court has recognized the effective assistance of counsel as essential to the Sixth Amendment guarantee (McMann v.

Richardson, 1970).

52. The Court’s most significant holding regarding the effective assistance of counsel came in 1984 in which case? a. Strickland v. Washington b. Miranda v. Arizona c. United States. v. Wade d. Brady v. United States 53. Which type of law do most lawyers practice? a. environmental law b. civil law c. criminal law d. nonprofit law 54. The right to self-representation is also referred to by the Latin term: a. pro se. b. mala in se. c. pro bono. d. mens rea.

55. The three major ways of providing indigents with court appointed attorneys are: (1) assigned counsel, (2) contract systems, and (3) public defender. Which of the following is true about these differing ways of providing indigents with court appointed attorneys? a. Studies find no major differences between these three systems in results achieved. b. Studies find assigned counsel is better in results achieved. c. Studies find contract systems are better in results achieved. d. Studies find public defenders are better in results achieved.

56. In which of the following cases was it decided that indigent defendants in a noncapital case in state court have no right to appointed counsel? a. Johnson v. Zerbst b. Betts v. Brady c. In re Gault d. Faretta v. California

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Chap 07_13e 57. In regard to ineffective assistance of counsel, appellate courts must reverse only if the proceedings were fundamentally unfair and the outcome would have been __________ if counsel has not been ineffective. a. different b. worse c. better d. same 58. Which of the following statements is true regarding the U.S. Supreme Court’s decision in Gideon v.

Wainwright? a. The decision was highly controversial. b. The Court focused on the need for a lawyer at all stages of the criminal justice system. c. The Court decided that judges could not prevent a defendant from bringing a lawyer to court. d. The Court declared that lawyers in criminal courts are necessities, not luxuries.

59. In which of the following cases was it decided that defendants have the right to self-representation? a. Johnson v. Zerbst b. Betts v. Brady c. In re Gault d. Faretta v. California 60. In what decision did the U.S. Supreme Court rule that a defendant in a nonfelony case is guaranteed the right to legal counsel, paid by the state if necessary, only in cases that actually lead to imprisonment, not in all cases in which imprisonment is a potential penalty? a. Faretta v. California b. Strickland v. Washington c. Scott v. Illinois d. Gideon v. Wainwright 61. The term pro bono means that: a. indigent defendants are entitled to court-appointed counsel. b. attorneys work free of charge. c. defendants may represent themselves. d. an attorney will be selected from a list of practicing attorneys in a jurisdiction.

62. Which of the following U.S. Supreme Court decisions held that defendants have the right to court-appointed counsel during custodial interrogations? a. Gideon v. Wainwright b. Terry v. Ohio c. Miranda v. Arizona d. Plessey v. Ferguson

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Chap 07_13e 63. Which standard was applied in the Court’s most significant holding in 1984 as the proper criterion to be applied in making a determination of the ineffectiveness of counsel? a. an “objective standard of reasonableness” b. a “subjective standard of reasonableness” c. a “partial standard of reasonableness” d. a “qualified standard of reasonableness” 64. An advantage to the public defender system is that: a. it likely provides more experienced counsel. b. excellent private attorneys may be appointed. c. legal fees are kept down because attorneys compete for clients. d. the due process model is more likely to be followed.

65. Which method of providing legal representation for indigent defendants is the most common in large cities? a. assigned counsel b. contract c. public defender d. pro bono 66. Which of the following statements is FALSE about criminal defense attorneys? a. Most have a regular clientele. b. Some defense attorneys rely on police officers, bail agents, and court clerks to give their names to defendants who need counsel. c. The private attorney’s fee in a criminal case is generally a flat fee paid in advance. d. Most earn a modest, middle-class living.

Enter the appropriate word(s) to complete the statement.

67. Defense attorneys are the __________ powerful members of the courtroom work group.

68. The __________ Amendment states that “in all criminal prosecutions the accused shall enjoy the right… to have assistance of counsel for his defense.”

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Chap 07_13e 69. Defending unpopular clients is the basis for a great deal of __________ of lawyers.

70. Legal ethics places professional limits on how far __________ may go, including not using perjured or misleading testimony.

71. Defense attorneys who have active criminal cases and maintain __________ relationships with the prosecutor’s office are commonly referred to as “gamblers.”

72. Lawyers who work within the parameters of the courtroom work group receive __________ for their clients.

73. Most lawyers practice civil law because it is more __________.

74. __________ are defendants who cannot afford to pay a lawyer and are entitled to a lawyer for free.

75. Lawyers must assert valid defense and ensure __________.

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Chap 07_13e 76. Like prosecutors, defense attorneys are __________ of the court, who must fulfill their responsibilities within the framework established by legal ethics.

77. __________ have limited investigative resources.

78. One of the most important tasks of defense attorneys is __________.

79. The public defender is a 20th-century response to the problem of providing legal representation for the __________.

80. The U.S. Supreme Court has ruled that the effective assistance of counsel is a right protected by the __________ Amendment.

81. __________ are the least powerful members of the courtroom work group.

82. In 1970, __________ unsuccessfully represented himself in his infamous trial for the killings of Sharon Tate and Leno and Rosemary LaBianca.

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Chap 07_13e 83. Statements made by a client to his or her attorney are considered privileged communication.

84. Attorneys in the personal client sector are often referred to as __________ practitioners because they practice alone or share an office with another attorney.

85. __________ involve bidding by private attorneys to present all criminal defendants found indigent during the term of the contract in return for a fixed payment.

86. Gideon v. Wainwright established a right to counsel for indigent __________ defendants.

87. The __________ counsel system is used in over half of all U.S. counties, but serves less than one third of the nation’s population.

88. Describe the merits of public defenders.

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Chap 07_13e 89. Imagine you are a member of a courtroom work group. You notice there is a general lack of cooperation for a particular defense attorney working there. You know that every court community can point to an attorney who has suffered sanctions, with the result that the attorney either no longer practices criminal law in the area or has mended his or her ways. Because the defense attorney is the least powerful member of the courtroom work group, such sanctions force them into a reactive posture. Hoping to help this attorney, you decide to talk to her one day, and explain how her cooperation would get her further in her case objectives. What kinds of things can you tell her that would be helpful? Who can help her in particular, and how?

90. Imagine you are a public defender and dealing with a difficult client. There is a lot of tension between you two.

The client is rude, disrespectful, and often fails to cooperate. This is a common occurrence in your field; you’ve been through it often and have witnessed it with others. Defendants’ lack of trust and confidence in their lawyers is a major force in shaping the dynamics of courthouse justice. Defendants try to con their attorneys, and the lawyers respond by exhibiting disbelief when defendants state unrealistic expectations or invent implausible alibis. What can you do to try to ease tensions? Is it worth sticking with, or do you feel that sometimes it’s a good idea for public defenders to leave their position? Explain.

91. Imagine you are a student in a class at law school learning about the options that you may have if you decided to be an attorney. You are interested in helping people and want to earn a respectable salary. You learn that payment to court-appointed counsel is dramatically lower than payment to privately retained attorneys. In many instances, payments to court-appointed counsel are capped at a specific dollar amount despite the amount of work that a given attorney may put into a case. With this information in mind, but also wanting to help people but earn a decent salary, would you rather be a public defender or a private attorney? Explain.

92. Describe the limits courts place on defendants who want to represent themselves.

93. Explain why ethics important to the defense of criminal defendants.

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Chap 07_13e 94. You and a friend from law school sit down to have coffee and talk about how your new jobs are going. You are a lawyer who represents large organizations, and your friend is a lawyer who mainly represents individuals.

How do your jobs differ in terms of appearing in court and how most lawyers view the types of cases you and your friend take? Which of you have more problems in your work? What kinds of problems are common, and why are they difficult? After having this discussion with your friend, do you feel that what you do is preferred over what he does? Explain.

95. Describe how prosecutors assess a defense attorney in term of reasonableness and three categories of attorneys.

96. Describe the key developments in the right to counsel.

97. Discuss how the courtroom work group affects how defense attorneys represent their clients.

98. The Sixth Amendment provides the right to effective assistance of counsel. Discuss cases related to this right and what standard is used to make a determination of the ineffectiveness of counsel.

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Chap 07_13e 99. You are a professor talking to a law student who is reviewing different methods used in the United States by people who wish to receive an attorney. You tell her that there are three primary methods used in the United States to provide indigents with attorneys—the assigned counsel system, the contract system, and the public defender system. The assigned counsel system appoints attorneys from a list of available private attorneys in a given jurisdiction. It is used in half of the counties in the United States, but serves less than one-third of the population. Contract systems, in contrast, involve bidding by private attorneys to represent all indigents during the term of a contract for a fixed price. Contract systems are found in counties with populations of less than 50,000 and where there is an absolute budgetary limit on defense services for indigent defendants. The third type of system—the public defender system—uses attorneys who are employed by private or by government organizations for the purpose of representing indigent defendants.

You then ask her to think about the reasons each method might be used—what particular situation could be best suited to each method? Why?

100. Choose several U.S. Supreme Court decisions that pertain to the right to court-appointed counsel for indigent defendants, and explain the significance of each.

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Chap 07_13e Answer Key 1. True 2. False 3. True 4. False 5. False 6. True 7. False 8. False 9. False 10. True 11. False 12. True 13. True 14. True 15. True 16. True 17. False 18. True 19. True 20. True 21. True 22. False 23. True 24. True 25. d 26. d

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Chap 07_13e 27. a 28. d 29. a 30. c 31. c 32. a 33. a 34. b 35. b 36. d 37. d 38. a 39. a 40. d 41. b 42. d 43. c 44. d 45. c 46. d 47. b 48. d 49. d 50. d 51. d 52. a 53. b 54. a Copyright Cengage Learning. Powered by Cognero.

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Chap 07_13e 55. a 56. b 57. a 58. d 59. d 60. c 61. b 62. c 63. a 64. a 65. c 66. a 67. least 68. Sixth 69. criticism 70. advocacy 71. hostile 72. benefits 73. lucrative 74. Indigents 75. confidentiality 76. officers 77. Defense attorneys 78. counseling 79. indigent 80. Sixth 81. Defense attorneys 82. Charles Manson 83. T Copyright Cengage Learning. Powered by Cognero.

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Chap 07_13e 84. solo 85. Contract systems 86. felony 87. assigned 88. The National Center for State Courts drew the following conclusions from the nine jurisdictions it studied:

1.Appointed counsel resolved the cases of their indigent defendants more expeditiously than did privately retained counsel.

2.Appointed criminal defense counsel gained as many favorable outcomes (acquittals, charge reductions, and short prison sentences) for their indigent clients as privately retained attorneys did for their clients.

3.Appointed criminal defense counsel prosecuting attorneys were equally experienced (Hanson, Hewitt, & Ostrom, 1992).

89. Student responses may vary.

90. Student responses may vary.

91. Student responses may vary.

92. Defendants who want to represent themselves must show the trial judge that they have the ability to conduct the trial.

The defendant need not have the skills and experience of a lawyer, and the judge may not deny self-representation simply because the defendant does not have expert knowledge of criminal law and procedure (Faretta v.

California, 1975). This decision has been qualified by the Court’s recognition that the trial judge may appoint standby counsel when defendants choose to represent themselves (McKaskle v. Wiggins, 1984). Standby counsel is available during the trial to consult with the defendant, but it is the defendant, not the standby lawyer, who makes the decisions.

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Chap 07_13e 93. Lawyers occupy an ambiguous position in American society. They are admired and respected and at the same time distrusted. Discussions of good lawyers and bad lawyers invariably focus on legal ethics. More so than the other lawyers in the criminal justice process, defense attorneys are most often identified as having ethical issues.

Defending unpopular clients is the basis for a great deal of criticism of lawyers. At the core of legal ethics is the notion that every party is entitled to legal representation, even unpopular defendants who have committed heinous crimes or defendants whose guilt is overwhelming. Each state has adopted its own code of professional responsibility for lawyers licensed within it. All 50 U.S. states, however, have adopted some variation of the American Bar Association's Model Rules of Professional Conduct. These rules impose ethical obligations on lawyers to their clients, as well as to the courts since all attorneys are officers of the court.

The duty of candor to the tribunal is the most important responsibilities that all lawyers owe to the courts. This ethical rule prohibits lawyers from knowingly making false statements to the court, failing to disclose adverse legal precedents, obstructing access to or tampering with witnesses or evidence, making frivolous discovery requests, and offering any evidence known to be false— including perjurious or misleading testimony. Another key responsibility all lawyers owe to the court, including prosecutors and criminal defense attorneys, is refraining from making any out-of-court statements that an attorney knows or reasonably should know will be disseminated to the public that would have a substantial likelihood of prejudicing any judicial proceeding. The duties that defense attorneys owe to their clients include: zealously representing the client's interests within the bounds of the law; abiding by a client's decisions concerning the objectives of representation; avoiding providing any counsel that would encourage or assist a client, in conduct that the lawyer knows is criminal or fraudulent; acting with reasonable diligence and promptness in representing a client; keeping the client reasonably informed about the status of his or her case; maintaining client confidentiality; avoiding conflicts of interest. The duty of zealous advocacy formulates the bedrock of legal ethics. Lawyers are expected to be diligent in asserting valid defenses for their clients.

Confidentiality is another key component of legal ethics. Potential conflict of interest is a key ethical issue facing lawyers. Lawyers who fail to properly represent their clients may be sued for civil damages (Chapter 1). It is important to stress, though, that lawyers are liable only in very limited situations. Just because a lawyer loses a case does not mean that the lawyer is incompetent.

94. Student responses may vary.

95. Prosecutors assess a defense attorney in terms of reasonableness—that is, the ability to “discern a generous offer of settlement and to be willing to encourage his client to accept such an offer” (Skolnick, 1967, p. 58). Based on this criterion, Skolnick put attorneys into three categories. One category consisted of defense attorneys who handled few criminal cases. One might suppose that prosecutors would prefer dealing with such inexperienced attorneys, but they did not. Because these attorneys did not know the ropes, they were too unpredictable and often caused administrative problems. In another category were attorneys who had active criminal practices and maintained a hostile relationship with the prosecutor’s office. Known as gamblers, these attorneys exemplified the aggressive, fighting advocate, but because they either won big or lost big, they also served to show the other attorneys the disadvantage of this posture. The final category of attorneys consisted of public defenders and private attorneys who represented large numbers of defendants. These attorneys worked within the system.

96. See table titled “Key Developments in the Right to Counsel.”

97. Lawyers who work within the parameters of the courtroom work group receive benefits for their clients, including more case information from prosecutors and perhaps better plea bargains. Lawyers who are less cooperative find that they do not get favorable case-scheduling considerations and get less favorable plea bargains.

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Chap 07_13e 98. The Supreme Court has recognized the effective assistance of counsel as essential to the Sixth Amendment

guarantee (McMann v. Richardson, 1970). The Court’s most significant holding came in 1984 in Strickland v.

Washington, in which an “objective standard of reasonableness” was set forth as the proper criterion to be applied in making a determination of the ineffectiveness of counsel. It is important to note that an attorney’s decisions regarding trial strategy and tactics—such as the order of presentation of evidence; whether to crossexamine an adverse witness; whether to make an objection—all carry a strong presumption of competent performance. Indeed, the Supreme Court has said, “Strategic choices made after thorough investigation of law and facts relevant to plausible options are virtually unchallengeable” (Knowles v. Mirzayance, 2009). In short, appellate courts must reverse only if the proceedings were fundamentally unfair and the outcome would have been different if counsel had not been ineffective.

99. Student responses may vary.

100. Gideon v. Wainwright (1963) is the landmark decision where the Supreme Court stated that indigent defendants

facing felony prosecution in state courts have a right to appointed counsel. The Supreme Court has further ruled, in the case of Douglas v. California (1963), that indigents have the right to appointed counsel for the first appeal.

The Court has wrestled with issues involving the right to counsel in nonfelony criminal prosecutions. The ruling in Argersinger v. Hamlin (1972) limited the right of nonfelony defendants to have court-appointed counsel; however, in the more recent decision rendered in Alabama v. Shelton (2002), the Court ruled that indigents are entitled to a court-appointed attorney even if facing only a suspended jail term for a minor charge.

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Chap 08_13e Indicate whether the statement is true or false.

1. If a complaint against a state judge is serious, the state judicial commission may remove the judge from office. a. True b. False 2. In operation, the Missouri Bar Plan increases the power and role of the legal profession in judicial selection. a. True b. False 3. Most U.S. Supreme Court justices attended Ivy League universities. a. True b. False 4. The Senate is the entity that votes on articles of impeachment. a. True b. False 5. There are three major was that judges are selected in the United States. a. True b. False 6. Research indicates that whether elected by voters, appointed by the governor, or selected through merit plans, state judges are more alike than different. a. True b. False 7. If state judicial conduct commissions find merit to a complaint about a judge, they often implement formal sanctions immediately. a. True b. False 8. Incumbent judges are very likely to be voted out of office. a. True b. False 9. When the executive or the legislature selects judges, fewer district attorneys become judges. a. True b. False 10. Judges are controlled by the courtroom work group. a. True b. False

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Chap 08_13e 11. “Judge shopping” rarely occurs in large urban courts. a. True b. False 12. Judges may award jobs to friends, relative, campaign workers, and party members. a. True b. False 13. Judges are under pressure to move their docket. a. True b. False 14. Judges are the most prestigious members of the courtroom work group. a. True b. False 15. Most judges are newcomers to political life; most have little (if any) political experience. a. True b. False 16. Judges are never elected. a. True b. False 17. All of the original 13 states elected its judges. a. True b. False 18. Critics of judicial elections assert that they are fundamentally inconsistent with the principle of judicial independence. a. True b. False 19. A judge may decide that a case cannot continue on to trial because s/he believes there is no probable cause that an offense was committed. a. True b. False 20. Formal selections of lawyers to be judges are far less important than informal methods. a. True b. False 21. Judges who fail to move their docket may be transferred to less desirable duties. a. True b. False

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Chap 08_13e 22. Sanctions cannot be applied against judges who deviate from the consensus of the courtroom work group. a. True b. False 23. Over the past several decades, the composition of the bench has become less diverse. a. True b. False 24. Campaigns for American judgeships are not usually low-key or low-visibility affairs. a. True b. False Indicate the answer choice that best completes the statement or answers the question.

25. Judges in __________ that use judicial elections are barred from making personal solicitations for money. a. 10 states b. 15 states c. 29 states d. 42 states 26. According to news reports, at least __________ federal judges are openly gay. a. 2 b. 5 c. 7 d. 12 27. Most judges return to the bench by receiving __________ of the vote. a. 52 percent b. 65 percent c. 70 percent d. 90 percent 28. Which term means allegations of judicial wrongdoing? a. removal b. impeachment c. conviction d. none of these 29. How many states currently use election by legislature to choose judges? a. none b. one c. two d. three

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Chap 08_13e 30. In which case did the U.S. Supreme Court announce that candidates for judicial office are free to announce their views on key issues? a. Republican Party v. White (2002) b. Clark v. Edwards (1988) c. Chisom v. Roemer (1991) d. Gregory v. Ashcroft (1991) 31. Which state was the first to adopt a modern and practical system for disciplining its judges? a. Missouri b. Connecticut c. Florida d. California 32. Each of the following states allows for nonpartisan election in the high court of last resort EXCEPT: a. Iowa. b. Kentucky. c. Michigan. d. Minnesota.

33. About __________ of Supreme Court justices had been judges on lower courts prior to being nominated to the U.S. Supreme Court. a. a quarter b. a third c. two-thirds d. three-quarters 34. Almost __________ of state high court judges have held a nonjudicial political office. a. 25 percent b. 50 percent c. 75 percent d. 95 percent 35. What is one of the most frustrating aspects of being a judge? a. heavy caseloads b. administrative problems c. heavy caseloads and corresponding administrative problems d. working with the courtroom work group

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Chap 08_13e 36. What happened to three Iowa Supreme Court justices who ruled that a state law banning same-sex marriage violated the state constitution? a. They were impeached. b. They were found guilty of ethical violations. c. They were removed from office. d. Nothing happened to the judges.

37. All states that have altered judicial selection techniques in recent years have adopted some form of: a. merit selection. b. legislative appointment. c. election. d. executive appointment.

CASE 8.1 In evaluating which judicial selection system is best, it is important to determine if one system produces better judges than another. Judicial folklore has long held that particular systems may produce superior judges. Several studies have systematically analyzed this folklore. Researchers use measurable judicial credentials, such as education and prior legal experience, as indicators of judicial quality.

38. Which of the following statements is true? a. Some methods of judicial selection produce much better judges than others. b. Methods of judicial selection make a difference, but not much. c. Methods of judicial selection make no difference. d. None of these statements is true.

39. The U.S. Constitution specifies that the President of the United States has the power to nominate judges with the advice and consent of the: a. Judicial Conduct Commission. b. U.S. Senate. c. U.S. Supreme Court. d. U.S. Department of Justice.

40. If the proceedings went to trial, who would conduct the trial? a. the House of Representatives b. the Senate c. the Supreme Court d. the judicial commission 41. Which of the following statements is true about judicial conduct commissions? a. The hearings are open to the public. b. The commission has the authority to remove judges from the bench. c. The commission investigates all complaints brought to its attention. d. None of these are true about judicial conduct commissions.

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Chap 08_13e 42. What is a common practice in large courts? a. courtroom work group shopping b. judge shopping c. courtroom shopping d. bail shopping 43. In carrying out responsibilities in court, judges mainly react to the work of prosecutors and: a. interpreters. b. court reporters. c. defense attorneys. d. stenographers.

44. What percent of federal judges are African-American? a. approximately 11 percent b. approximately 31 percent c. approximately 21 percent d. approximately 41 percent 45. Which form of judicial selection is supported as a way to sift out unqualified applicants? a. partisan election b. appointment c. nonpartisan election d. merit selection 46. About __________ of federal judges had prior government experience. a. 25 percent b. 50 percent c. 80 percent d. 90 percent 47. Merit selection is commonly referred to as the: a. California System. b. New York Bar System. c. Delaware Selection Method. d. Missouri Bar Plan.

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Chap 08_13e CASE 8.2 A U.S. district judge pled guilty to obstruction of justice for lying to judges who investigated sexual misconduct complaints. Sentenced to 33 months in federal prison in May 2009, the judge attempted to retire from the bench, thereby allowing him to draw his salary. He was impeached and resigned from the bench in disgrace, effectively ending his impeachment trial.

48. Who impeached the U.S. district judge? a. the House of Representatives b. the Senate c. the Supreme Court d. the judicial commission 49. A recent study of judicial voting in thousands of cases showed that in most areas of law the decisions of female and male judges: a. are always different. b. are never different. c. are often different. d. are rarely different.

50. Formal methods for removing unfit judges include which of the following? a. impeachment proceedings b. recall elections c. impeachment proceedings and recall elections d. impeachment proceedings, recall elections, and judicial conduct commissions 51. Federal judges are appointed for how long? a. four-year terms b. six-year terms c. ten-year terms d. life 52. Which minority has the largest representation on benches of state court? a. African American b. Asian American c. Hispanic d. Native American 53. With regard to judicial elections, the U.S. Supreme Court has ruled that: a. race is a permissible consideration in drawing congressional voting districts. b. judges cannot be elected in ways that place minority candidates at an unfair disadvantage. c. it is legal to elect judges from an entire judicial district, which may unfortunately dilute black voting strength. d. those who draw election districts must consider whether white voters are likely to vote for minority candidates.

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Chap 08_13e 54. Approximately what percentage of state court judges in the United States are women? a. less than 10 percent b. 31 percent c. 42 percent d. 50 percent 55. According to Sally Kenney (2012), what does having women on the bench add to the institution? a. legitimacy b. ethnic diversity c. intelligence d. All of these are added.

56. An increasing number of federal court vacancies have been filled by women since whose presidency? a. Bill Clinton b. Ronald Reagan c. George W. Bush d. Jimmy Carter 57. Which minority has the smallest representation on benches of state court? a. African American b. Asian American c. Hispanic d. Native American 58. The U.S. Constitution specifies that all Article III federal judges are to be chosen by which form of selection? a. executive appointment b. partisan elections c. bipartisan elections d. merit selection 59. Which of the following is NOT a characteristic of the traditional American judge? a. female b. upper-middle-class background c. Protestant d. better educated than the average American 60. The average salary of general jurisdiction trial judges is approximately: a. $115,000. b. $140,000. c. $175,000. d. $200,000.

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Chap 08_13e 61. Which form of judicial selection requires judges to face a retention ballot after a short time in office? a. partisan election b. gubernatorial appointment c. merit selection d. legislative appointment 62. What do senators influence through senatorial courtesy? a. state judicial selections b. Supreme Court Justice selections c. state judicial conduct commission d. federal judicial selections 63. Prior to the 1980s, how many federal judges were removed from office? a. 4 judges b. 25 judges c. 40 judges d. 75 judges 64. What percentage of federal judges had prior government experience? a. less than 10 percent b. 33 percent c. 50 percent d. 80 percent 65. Which system is likely to produce judges who have held political office? a. the appointment system b. the merit system c. the Missouri system d. the election system CASE 8.3 For most Americans, the judge is the symbol of justice. Of all the actors in the criminal justice process, the public holds the judge most responsible for ensuring that the system operates fairly and impartially. And most certainly the trappings of office—the flowing black robes, the gavel, and the command “All rise!” when the judge enters the courtroom—reinforce this mystique. As important as these symbols are, they sometimes raise obstacles to understanding what judges actually do and how they influence the criminal justice process.

66. The formal powers of judges extend: a. throughout the criminal court process. b. from arrest throughout the criminal court process. c. from the time an offender commits a crime to prison. d. None of these answers is correct.

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Chap 08_13e Enter the appropriate word(s) to complete the statement.

67. Lawyers address the judge as “__________.”

68. __________ plans are actually hybrid systems incorporating elements from other judicial selection methods.

69. A judge’s office is commonly referred to as __________.

70. The three major methods of judicial selection include __________, judicial elections, and merit selection.

71. Judicial-__________ program helps beginning judges learn their new roles.

72. Judges are __________ by other members of the courtroom work group.

73. For most people in the United States, the __________ is the symbol of justice.

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Chap 08_13e 74. The formal __________ of judges extend throughout the criminal court process.

75. The Senate __________ Committee holds a hearing on Presidential judicial nominees before the full Senate votes to confirm the nomination.

76. The U.S. __________ specifies that the President of the United States has the power to nominate judges with the advice and consent of the Senate.

77. Barack Obama demonstrated his commitment to judicial __________ by nominating the first Latina to the U.S. Supreme Court.

78. Judicial __________ Evaluations are an important tool for maintaining judicial accountability.

79. Because of the special role that judges occupy in the adversary system, they are subject to additional __________ constraints beyond those imposed on lawyers.

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Chap 08_13e 80. A critical issue in judging the judges is how to devise a system for removing unfit judges while at the same time guaranteeing judicial __________.

81. In recent years, judicial elections have become nastier, nosier, and costlier.

82. When legislators appoint __________, it is quite clear that former legislators are more likely to be selected than in other systems.

83. In __________ elections, the candidate’s political party is listed on the ballot.

84. The American Bar Association is the national __________ association.

85. __________ consist of questionnaires completed by an array of different respondents, including lawyers, jurors, fellow judges, court litigants, other members of the courtroom work group, and even a self-assessment by the judge.

86. A __________ was created as an arm of the state’s highest court.

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Chap 08_13e 87. Judges selected via __________ generally react to public opinion.

88. Imagine that you are a judge, speaking with another judge about judicial independence and accountability. You are of the mindset that balance is important between the two, but the judge you are speaking with believes that, although balance is a nice thing in theory, that independence is far more important. How would you respond to his position? How can you argue that the balance is important to strive for? Explain.

89. Imagine that you are a judge speaking to a class at Harvard Law School. The students, just beginning their first year, are under the impression that the judge is the principal decision maker in courts. You know, however, that they are not. How would you explain your role and others’ roles in the court? You are a particularly active leader in the courtroom work group, but you know other judges have a laissez-faire attitude. Why do you feel that your approach serves the whole courtroom work group better? Explain.

90. Describe the role of judges in the criminal procedure process.

91. Describe two of the “key developments” concerning judges as described in the text.

92. Describe the racial and ethnic composition of the federal judiciary.

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Chap 08_13e 93. Describe the process of impeachment for a federal judge from the complaint stage to the dismissal stage.

94. Describe the diversity of state court benches.

95. Judges are appointed by executives, elected by the voters, or appointed through a merit selection process. The various selection systems produce judges with very similar backgrounds, including local ties and past political involvement. No evidence exists that one selection system systematically produces better or worse judges than another, although research does reveal some differences in judicial approaches to decision making. Describe the system you believe is best and provide support for your argument.

96. Imagine you are a judge, speaking with a lawyer going through his first year on the job. He is discussing the ethical constraints that are put on him in his job, and of course you in yours. He seems to think that you two are on the same level in terms of those ethical constraints. As he is a new lawyer, you choose to remind him about the additional constraints put on you versus him. What kinds of examples can you give him? He brings up judicial conduct he has witnessed that violates these constraints. How do you respond?

97. Imagine you are a female judge. You have only been in your position for a handful of years. You are talking to an older male judge about the “old times,” when it was rare to see a female judge. He makes a comment about how female judges have added a lot more liberalism to the courts. Explain his viewpoint. What do you think of his argument? How has the increase in female judges affected the court over recent years? Explain.

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Chap 08_13e 98. You are a firm believer in and stand behind the American judicator’s belief in merit selection. You have colleagues, on the other hand, who belief that the merit system is an outdated practice and results in qualified candidates being sifted out because they are somehow deemed unqualified. Attempt to persuade your colleague of your opinion, or at least point out its merits. Do you think that it’s possible that qualified candidates are being filtered out? Explain.

99. For a few states, describe the methods of judicial selection and retention.

100. Explain the three main methods of judicial selection.

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Chap 08_13e Answer Key 1. False 2. True 3. True 4. False 5. True 6. True 7. False 8. False 9. True 10. False 11. False 12. True 13. True 14. True 15. False 16. False 17. False 18. True 19. True 20. True 21. True 22. False 23. False 24. False 25. c 26. d

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Chap 08_13e 27. c 28. b 29. c 30. a 31. d 32. a 33. c 34. c 35. c 36. c 37. a 38. b 39. b 40. b 41. d 42. d 43. c 44. a 45. d 46. c 47. d 48. a 49. d 50. c 51. d 52. a 53. b 54. b Copyright Cengage Learning. Powered by Cognero.

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Chap 08_13e 55. a 56. d 57. d 58. a 59. a 60. b 61. c 62. d 63. a 64. d 65. d 66. a 67. your honor 68. Merit 69. chambers 70. executive appointment 71. education 72. constrained 73. judge 74. powers 75. Judiciary 76. Constitution 77. diversity 78. Performance 79. ethical 80. independence 81. T 82. judges 83. partisan Copyright Cengage Learning. Powered by Cognero.

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Chap 08_13e 84. lawyers’ 85. JPEs; Judicial performance evaluations 86. judicial conduct commission 87. partisan elections 88. Student responses may vary.

89. Student responses may vary.

90. See Table 8.1.

91. See table labeled “Key Developments Concerning Judges.”

92. See Table 8.3.

93. Judicial councils initially hear and investigate complaints against federal judges and take necessary action in most cases. Serious cases with substantial evidence are reported to the Judicial Conference, which may recommend that the U.S. House of Representatives start impeachment procedures. If the House votes articles of impeachment that specify the specific charges, evidence and testimony are heard by the Senate Impeachment Committee prior to trial on the Senate floor. Conviction requires a two-thirds vote of the Senate and carries with it the removal from office and disqualification from holding any further office.

94. See Table 8.4.

95. There are three main methods of judicial selection—executive or legislative appointment, judicial election, and merit selection. Executive appointments entail the appointment of judges by the President or by state governors, while legislative appointments entail the selection of judges by state legislators. Judges may also be selected via partisan or nonpartisan elections in states. The third method of selection at the state level is the merit system, which is also known as the Missouri Bar Plan. It is a hybrid system that incorporates elements of the other methods of selection.

With merit selection, a nominating commission made up of lawyers and laypersons suggests a list of qualified nominees (usually three), from which the governor selects a judge. This person is put on the bench and, after a short period of time in office, will be considered for retention. A retention ballot is brought before the public to determine whether or not the judge should be retained.

Following a description of one of these types of judicial selection the student should make a reasoned argument for their choice of one as the best.

96. Student responses may vary.

97. Student responses may vary.

98. Student responses may vary.

99. See Table 8.2.

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Chap 08_13e 100. There are three main methods of judicial selection—executive or legislative appointment, judicial election, and merit selection. Executive appointments entail the appointment of judges by the President or by state governors, while legislative appointments entail the selection of judges by state legislators. All federal judges are appointed by the President of the United States. At the state level, however, very few states select judges by appointment. Judges may also be selected via partisan or nonpartisan elections in states. Elections are used in many states. The third method of selection at the state level is the merit system, which is also known as the Missouri Bar Plan. It is a hybrid system that incorporates elements of the other methods of selection. With merit selection, a nominating commission made up of lawyers and laypersons suggests a list of qualified nominees (usually three), from which the governor selects a judge. This person is put on the bench and, after a short period of time in office, will be considered for retention. A retention ballot is brought before the public to determine whether or not the judge should be retained.

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Chap 09_13e Indicate whether the statement is true or false.

1. Lack of trust in governmental authorities is one reason Latinos often do not report crimes to the police. a. True b. False 2. Some studies focusing on victims have identified ways in which the courts have ignored the interests of victims and witnesses. a. True b. False 3. In roughly half the crimes of violence, defendant and victim had a prior relationship. a. True b. False 4. Witness-related problems result in a significant number of cases being dropped by the prosecutor or the judge. a. True b. False 5. The most important victim characteristic that influences case processing is the prior relationship between defendants and victims. a. True b. False 6. Because of the problems and frustrations that many experience in the handling of their cases, victims and witnesses express little overall support for the court process. a. True b. False 7. Most victims and witnesses are dissatisfied with the handling of their cases by the police, district attorney, and judge. a. True b. False 8. The criminalization of domestic violence has not greatly increased the workload of the courts. a. True b. False 9. Victims and witnesses are generally eager to work with the criminal justice system. a. True b. False 10. Homicides are usually committed by someone the victim knows by sight; in fact, the victim and the perpetrator are strangers in less than 15 percent of all murders. a. True b. False Copyright Cengage Learning. Powered by Cognero.

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Chap 09_13e 11. Lack of cooperation on the part of victims of crime is referred to by scholars as indigent cynicism. a. True b. False 12. Members of the courtroom work group generally enjoy interacting with victims and witnesses. a. True b. False 13. Researchers estimate that over 70 percent of all serious offenses are committed by roughly seven percent of offenders. a. True b. False 14. Some see the victim’s movement as manipulating victims by providing symbols but no substance. a. True b. False 15. When victims cooperate with the prosecution, the odds that a case will be prosecuted increase dramatically. a. True b. False 16. Witnesses generally feel that the police, prosecutor, and judge explain witnesses’ rights and duties properly. a. True b. False 17. The more poverty in a community, the higher the amount of crime. a. True b. False 18. Some see the victim’s movement as providing needed support for victims of crime. a. True b. False 19. Conviction of a parent is not correlated with the likelihood of a child offending and being convicted. a. True b. False 20. After cross-examination, witnesses and victims often report feeling as if they have been put on trial. a. True b. False 21. Arrests do not always lead to prosecutions. a. True b. False

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Chap 09_13e 22. As prosecutorial dominance increased in the United States, the power of victims declined. a. True b. False 23. Today, very few jurisdictions of any size have programs aimed at helping crime victims cope with the hardships of victimization. a. True b. False 24. Rates of female involvement in the criminal justice system have been increasing in recent years, but their absolute numbers still fall well below those of males. a. True b. False Indicate the answer choice that best completes the statement or answers the question.

25. In crimes of violence such as assaults, robberies, and rapes, Hispanic women report what percentage of these crimes to the authorities? a. 10 percent b. 25 percent c. 35 percent d. 50 percent 26. Which statements consist of written or oral information about the impact of crime on the victim and the victim’s family? a. victim impact statements b. victim testimony c. eyewitness testimony d. circumstantial evidence 27. In which decade was attention seriously devoted to the problems faces by victims and witnesses in court? a. 1950s b. 1970s c. 1980s d. 1960s 28. Less than __________ of victims and witnesses said they were dissatisfied with how their cases was handled. a. 15 percent b. 25 percent c. 50 percent d. 75 percent

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Chap 09_13e 29. Of the following options, which offenses are felony defendants most likely to be charged with? a. public order offense b. violence offense c. property offense d. drug offense 30. Members of the courtroom work group become frustrated when victims and witnesses: a. do not cooperate. b. are intimidated by the defendant’s friends. c. are intimidated by the defendant. d. All of these answers are correct.

31. Felony defendants are most likely to be in which rough age bracket? a. younger than 35 b. older than 50 c. younger than 18 d. in the range of 35 to 50 32. Which of the following is a function of legal cynicism? a. lack of cooperation b. disliking victims c. believing victims get what they deserve d. witness intimidation 33. Victims and witnesses face frustrations in coping with the court process: a. but overall exhibit surprising support for the system. b. and almost never show up for court. c. and overall resent the system as a result. d. None of these answers is correct.

34. Concerning __________, victims are unlikely to appear in sentencing. a. law on the books b. law in action c. both law on the books and law in action d. neither law on the books nor law in action 35. Compared to the average citizen, a felony defendant is more likely to be: a. younger. b. male. c. a racial minority. d. All of these answers are correct.

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Chap 09_13e 36. Which race of defendants is mostly like to be imprisoned? a. White b. Hispanic c. Asian d. Black 37. African Americans are incarcerated in state prisons at a rate that is __________ the rate of imprisonment of Whites. a. 2 times b. 3 times c. 4 times d. 5 times 38. Which annual event focuses on the plight of crime victims? a. National Crime Victims’ Week b. National Crime Victims’ Month c. Crime Victim Awareness Month d. Crime Victim Awareness Day 39. The most important victim characteristic that influences case processing is the victim’s: a. race. b. age. c. social class. d. relationship with the offender.

40. Which participants in the criminal justice system have traditionally been forgotten? a. defendants b. victims and witnesses c. defense attorneys d. members of juries 41. Which of the following court participants is supposed to stand at the center of the criminal court drama? a. prosecutor b. defendant c. defense attorney d. judge 42. Nationwide, approximately what percentage of violent crimes are committed by relatives, friends, or acquaintances of the victim? a. 5 percent b. 20 percent c. 50 percent d. 90 percent Copyright Cengage Learning. Powered by Cognero.

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Chap 09_13e 43. Prior relationships are most notable in what kind of crime? a. homicide b. domestic violence c. assault d. theft 44. The three most prominent defendant characteristics used in the discussion of crime and crime policy are: a. age, race, and marital status. b. race, education, and income. c. family background, sex, and age. d. sex, poverty, and race.

45. Most victim compensation programs: a. reimburse victims for lost or damaged property. b. provide for the recovery of medical expenses and some lost wages. c. ensure that defendants pay restitution. d. All of these answers are correct.

46. Felony defendants are most likely to be: a. male. b. female. c. White. d. charged with public order offenses.

47. It is estimated that career criminals commit what percentage of crimes? a. over 40 percent b. over 50 percent c. over 60 percent d. over 70 percent 48. Concerning __________, VRA provides that victims may be heard and may submit a statement during sentencing. a. law on the books b. law in action c. both law on the books and law in action d. neither law on the books nor law in action 49. What is the lack of cooperation by victims and witnesses in low-income, high crime neighborhoods often called? a. legal cynicism b. witness cynicism c. victim cynicism d. victim/witness cynicism

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Chap 09_13e 50. Historically, police officers made an arrest only as a last resort in which crime? a. assault b. prostitution c. homicide d. intimate-partner violence 51. Roughly __________ of all violent crimes are committed by relatives, friends, or acquaintances of the victim. a. 10 percent b. 25 percent c. 50 percent d. 75 percent 52. Felony defendants are most likely to be: a. White. b. African American. c. Latino. d. Asian.

53. What are victim/witness assistance programs designed to do? a. Help navigate the court process. b. Provide economic assistance. c. Provide rights for victims. d. All of these answers are correct.

54. Which types of organizations are involved in the victims’ rights movement? a. local organizations b. state organizations c. national organizations d. local, state, and national organizations 55. What is the surname of the first Hispanic justice appointed to the U.S. Supreme Court? a. Scalia b. Breyer c. Kagan d. Sotomayor 56. The jury in the Ravi case decided that the evidence __________ the crime. a. elevated b. reduced c. mitigated d. waived

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Chap 09_13e 57. The first victim compensation program in the United States began in which state? a. California b. Michigan c. New York d. Wisconsin CASE 9.1 Dharun Ravi, a freshman at Rutgers University, used a webcam to spy on his gay roommate’s dorm-room sexual encounters and streamed the video (Shallwani, 2012; Slane, 2015). A few days later, his roommate Tyler Clementi, a talented young musician, committed suicide. These events quickly became the subject of intense national interest, and Ravi was charged under New Jersey law with hate crime, invasion of privacy, witness intimidation, and bias intimidation (but not murder).

58. What was the basis of the government’s case? a. Twitter feeds, Facebook posts, text messages, emails, and other chatter b. eyewitness testimony and forensic evidence c. forensic evidence and confession d. eyewitness testimony and circumstantial evidence CASE 9.2 The criminal courts confront a double bind with regard to victims. On the one hand, victims are valued for the cases they bring to the system; their misfortunes become the raw material of the court process. On the other hand, individual victims represent a potential source of irrationality in the process. The personal and often emotional involvement of victims in the crime experience can generate particular demands for case outcomes that have little to do with the public interest.

59. Members of the courtroom work group know that the same individual may, at different times, be: a. a victim, a witness, and an offender. b. a victim and an offender. c. a witness and an offender. d. an offender.

60. Members of the courtroom work group may perceive that the victim’s demands for public justice actually mask a desire for: a. private vengeance. b. private regret. c. public vengeance. d. public vindication.

61. Most members of the courtroom work group are essentially part of what class? a. urban underclass b. lower class c. middle class d. upper class

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Chap 09_13e 62. The case of Thurman v. Torrington involved what crime? a. rape b. domestic violence c. assault d. homicide 63. Which of the following is NOT a requirement of victim compensation fund programs? a. Victims must assist in the prosecution of the defendant. b. Victims must be “innocent victims.” c. Victims living in the same household as the offender are ineligible. d. The defendant must be found guilty in court.

64. Felony defendants are most likely to: a. be charged with violence offenses. b. not be on probation or parole at the time of arrest. c. be charged with drug offenses. d. have at least five prior convictions.

65. Most of what we know about the ordeal of testifying in court comes from research on victims of: a. rape. b. robbery. c. assault. d. burglary.

66. What percentage of all major crimes are never reported to the police? a. more than half b. less than half c. more than one-fourth d. less than one-third Enter the appropriate word(s) to complete the statement.

67. __________ is a cultural orientation in which laws or justice system actors are viewed as illegitimate, unresponsive, and ill equipped to ensure public safety.

68. As __________ dominance increased, the power of the victim decreased.

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Chap 09_13e 69. In Payne v. Tennessee, it was decided that characteristics of the victim are irrelevant during death penalty deliberations.

70. Three characteristics of defendants—sex, poverty, and __________—figure prominently in discussions of crime and crime policy.

71. At times members of the courtroom work group perceive that the victim’s demands for public justice actually mask a desire for private __________.

72. Witness __________ may take the form of threats of violence or actual violence itself against the person in question or his or her friends and family members.

73. One of the hardships victims and witnesses face while participating in the criminal court process is trial __________.

74. In roughly __________ of the crimes of violence, the defendant and victim had a prior relationship.

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Chap 09_13e 75. Defendants are overwhelmingly __________, mostly economically underclass, and racial minorities are overrepresented.

76. Many victims and witnesses are __________ to become involved in the criminal justice process.

77. Victims’ Bill of Rights seeks to provide rights for victims because __________ already have rights.

78. More and more court litigants elect to act __________, meaning they speak on their own behalf by serving as their own attorneys.

79. Victims of domestic violence may request a civil __________ order.

80. Researchers estimate that over 70 percent of all serious offenses are committed by roughly seven percent of offenders, a group commonly referred to as __________.

81. Typical felony defendants possess few of the __________ needed to compete successfully in an increasingly technological society.

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Chap 09_13e 82. Victim/witness __________ programs are designed to help better navigate the court process.

83. The Victim and Witness __________ Act, a federal law passed in 1982, required greater protection of victims and witnesses and also mandated guidelines for the fair treatment of victims and witnesses in federal criminal cases.

84. The __________ is supposed to stand at the center of the criminal court drama.

85. In 1996, the __________ (VRA) was proposed in the U.S. Congress.

86. Victim cooperation with the prosecution dramatically __________ the odds that a case will be prosecuted.

87. Women are __________ likely than men to experience violence committed by an intimate partner.

88. Name and describe three of the key developments in law relating to victims.

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Chap 09_13e 89. Imagine you need to help a woman who is the victim of rape. She has had some medical expenses and lost wages as a result of the trauma. What type of program would you suggest to her when considering the programs available to aid victims in coping with the criminal justice process? How would this program be helpful? Explain.

90. Domestic violence laws began to change as society started to view domestic violence as an important social issue. Discuss the impact of such changes.

91. Imagine that you are on a domestic violence case. The victim is reluctant to talk about the case to most people, and you are worried that she may not get justice if she doesn't give you information. You think about telling her about the incidences of violence against women, including rape, assault, robbery, and homicide. What can you tell her about these things? You also want to encourage her to be open about her case and seek justice. How can you be encouraging but firm about the importance of this? Why would it be in her best interest to be forthcoming? Explain.

92. What prompted the passage of the Victim and Witness Protection Act? In what way(s) did the Act help victims and witnesses?

93. Describe the notable changes that have altered the modern criminal justice system.

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Chap 09_13e 94. Imagine you are the same prosecutor from question three. You are again having a conversation with your wife about the same trial as described previously. Now, you are becoming frustrated with the victims and witnesses because they are being uncooperative. Your wife doesn’t see how this is the case. “Don’t they have to cooperate?” But she’s not considering legal cynicism or intimidation. Explain what this is and how it affects your ability to do your job.

95. Describe the differences of law on the books vs. law in action in regard to the court process.

96. Imagine you are a prosecutor who is talking to his wife about his new career. The trial you are working on has had some significant delays, and you are feeling sympathetic for everyone involved as a result. Your wife doesn't understand why a delay in trial is a big deal for the court actors or the victims and witnesses. How do you explain that the issue with a trial delay can affect everyone and that it can be a significant hardship over time? Why is this frustrating to you as a prosecutor?

97. According to the Sentencing Project, how often are minorities imprisoned?

98. Describe what a pro se action is. Is it a good idea?

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Chap 09_13e 99. Imagine you are a university professor teaching a criminal justice class to a classroom of mostly minority students. You approach a topic about the characteristics of a typical felony defendant. A student asks you to describe typical work group members. What do you say? How do you approach the subject of comparing the two groups, especially when you are speaking to minority students? How do you answer their question and address the topic without making any student feel uncomfortable?

100. The victims’ movement is seen as providing much needed support for victims of crime by some but as manipulating victims by providing symbols but no substance by others. Explain the arguments on each side of this issue. Which side do you support? Why?

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Chap 09_13e Answer Key 1. True 2. True 3. True 4. True 5. True 6. False 7. False 8. False 9. False 10. True 11. False 12. False 13. True 14. True 15. True 16. False 17. True 18. True 19. False 20. True 21. True 22. True 23. False 24. True 25. c 26. a

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Chap 09_13e 27. d 28. a 29. d 30. d 31. a 32. a 33. a 34. b 35. d 36. d 37. d 38. a 39. d 40. b 41. b 42. c 43. c 44. d 45. b 46. a 47. d 48. a 49. a 50. d 51. c 52. b 53. a 54. b Copyright Cengage Learning. Powered by Cognero.

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Chap 09_13e 55. d 56. a 57. a 58. a 59. a 60. a 61. c 62. b 63. d 64. b 65. a 66. a 67. Legal cynicism 68. prosecutorial 69. F 70. race 71. vengeance 72. intimidation 73. delays 74. half 75. male 76. reluctant 77. defendants 78. pro se 79. protection 80. career criminals 81. skills 82. assistance 83. Protection Copyright Cengage Learning. Powered by Cognero.

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Chap 09_13e 84. defendant 85. Victims’ Rights Amendment 86. increases 87. more 88. See the box titled “Key Developments in Law Relating to Victims.”

89. Student responses may vary.

90. Historically, police officers made an arrest in a domestic violence situation only as a last resort. In the late 1970s

through the 1980s, however, this attitude began to change as domestic violence can to be understood a serious social problem. As a result, there have been significant changes in how the criminal justice system responds to domestic violence. The police have been urged to make more arrests, and prosecutors to file charges, no matter what the wishes of the victim. Mandatory-arrest policies clearly produce higher arrest rates (Hirschel et al., 2007).

Whether these mandatory arrest policies are effective in reducing intimate-partner violence has been questioned, however (Hirschel et al., 1992). Arrests, however, do not always lead to prosecutions. Many women call the police to stop the violence but later have a change of heart and refuse to sign a complaint. The criminalization of domestic violence has also greatly increased the workload of the courts. In response to the growing awareness of domestic violence as a serious social problem, many courts in the United States have created domestic violence courts that emphasize a problem-solving approach. An evaluation of one such court found significantly lower rates of re-arrests among defendants processed through the domestic violence court (Gover, MacDonald, & Alpert, 2003; Tutty & Babins-Wagner, 2016). A growing number of courts rely on batterer programs as the mandate of choice. Legal sanctions against domestic violence are not limited to criminal law. Victims of domestic violence may request a civil protection order. However, civil protection orders are not self-enforcing; there is even a danger that a civil protection order may induce a false sense of security among some women who are at risk of continued battery from a former intimate. Conversely, some are concerned that protection orders can be abused.

91. Student responses may vary.

92. Public and governmental concern over the plight of victims has prompted numerous pieces of legislation. The Victim

and Witness Protection Act, a federal law passed in 1982, required greater protection of victims and witnesses and also mandated guidelines for the fair treatment of victims and witnesses in federal criminal cases. The Victims of Crime Act of 1984 authorized federal funds for state victim programs. Spurred by these concerns, every state has passed comprehensive legislation protecting the interests of victims. In short, a wide variety of programs have been adopted in recent years to improve the treatment crime victims receive from the criminal justice system. The four most common types of initiatives are: victim/witness assistance programs; victim compensation programs; a victims’ bill of rights; and victim impact statements.

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Chap 09_13e 93. Notable changes include:

Better and more consistent enforcement of criminal laws against assault and battery in which perpetrators of such offenses against intimate partners are treated as having committed serious crimes Changes to sexual assault laws to encompass marital rape and to reduce or even eliminate the requirements of physical resistance (which previously had served to increase victimization) The recognition of legal defenses for victims of intimate-partner violence who fight back under circumstances that limit the applicability of the traditional defense of self-defense Increased police professionalism and sensitivity to intimate-partner violence such that nonintervention is no longer viewed as an acceptable response Increased availability of civil orders of protection and more consistent enforcement of them after issuance Improvement of a range of victims’ services 94. Student responses may vary.

95. See the Law on the Books vs. Law in Action box titled “Major Activities of Victims in the Steps of the Court Process.”

96. Student responses may vary.

97. African Americans are incarcerated in state prisons at a rate that is 5.1 times the imprisonment of Whites. In five states (Iowa, Minnesota, New Jersey, Vermont, and Wisconsin), the disparity is more than 10 to 1.

Latinos are imprisoned at a rate that is 1.4 times the rate of Whites. Hispanic/White disparities in incarceration rates are particularly high in states Massachusetts (4.3 to 1), Connecticut (3.9 to 1), Pennsylvania (3.3 to 1), and New York (3.1 to 1).

Altogether, one out of three people in the United States is a member of a racial or ethnic minority group, with Hispanics having recently become the largest minority.

98. In spite of the legal maxim that only a fool has himself as a client, more and more court litigants elect to act pro se, meaning they speak on their own behalf by serving as their own attorneys. Pro se litigants are far more numerous in civil cases, especially in family law cases, largely because of the high costs of legal assistance and the general unavailability of appointed counsel in most civil cases. And although legal representation is provided free of charge to indigent criminal defendants facing incarceration (see Chapter 7), not all defendants avail themselves of this right.

99. Student responses may vary.

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Chap 09_13e 100. After a long period of neglect, aiding victims has become good politics. Victim advocacy groups have become a

powerful political voice. These grassroots operations function loosely under the national umbrella organization, the National Organization of Victim Assistance. Today, the victims’ rights movement involves a loose coalition of local, state, and national organizations with wide-ranging interests. These differing goals explain why victims’ rights laws and constitutional amendments are so contradictory. Everyone agrees that victims and witnesses should be treated better during the court process. Although enthusiasm for helping victims is clearly growing, the willingness to pay for the necessary services is not always present. Moreover, it is unclear how much aid victims and witnesses receive from these programs. When enacted, programs do not always work as intended. Victim/witness assistance programs appear to be important first steps in providing better services to citizens who find themselves thrust into the criminal court process, but not all agree that these programs actually benefit the victim. Some victims do not want to become involved. An important question is, at whose expense should victims be compensated? Some versions emphasize protecting the rights of victims by denying privileges and benefits to suspects, defendants, and prisoners. Other versions emphasize improving the welfare of victims at the expense of the privileges and options enjoyed by members of the courtroom work group (Karmen, 2016).

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Chap 10_13e Indicate whether the statement is true or false.

1. During a preliminary hearing, the state must provide clear and convincing evidence of the defendant’s guilt. a. True b. False 2. The standard of proof at a preliminary hearing is probable cause. a. True b. False 3. Only a fraction of the number of crimes committed are actually reported to the police. a. True b. False 4. Use immunity provides more protection for the potential witness than transactional immunity. a. True b. False 5. The bail agent makes a profit by specializing on high-risk offenders. a. True b. False 6. Drug crimes are categorized as Type I offenses in the Uniform Crime Reporting. a. True b. False 7. Grand juries are used extensively in jurisdictions where the constitution requires a grand jury indictment for all felonies. a. True b. False 8. Release on recognizance is one way to secure pretrial release. a. True b. False 9. Sometimes, the police exercise considerable influence by pressuring prosecutors to overcharge defendants or to file charges even though the evidence is weak. a. True b. False 10. A complaint must be supported by oath or affirmation of either the victim or the arresting officer. a. True b. False

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Chap 10_13e 11. One of the major reasons for case attrition is policy priorities. a. True b. False 12. If a prosecutor refuses to file charges in a case, there may be a review of this decision by the judge on appeal. a. True b. False 13. Most defendants appear without counsel during an initial appearance. a. True b. False 14. The strength of the evidence police provide to prosecutors is one of the most important factors influencing whether prosecutors file criminal charges. a. True b. False 15. Other than criminal prosecutions as a result of a grand jury investigation, arrests are the overwhelming source of work for the criminal courts. a. True b. False 16. Most appearances last approximately three minutes during an initial appearance. a. True b. False 17. As a general rule, the Supreme Court expects an initial appearance to occur within 24 hours of a warrantless arrest. a. True b. False 18. Most felony crimes are for nonviolent offenses. a. True b. False 19. Grand juries have the power to grant witnesses immunity from prosecution. a. True b. False 20. There are three types of charging documents. a. True b. False 21. Most cases in the criminal justice system are celebrated cases. a. True b. False Copyright Cengage Learning. Powered by Cognero.

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Chap 10_13e 22. The second layer of the criminal justice wedding cake consists of fewer felonies. a. True b. False 23. Law in action expresses a strong preference for bail. a. True b. False 24. Grand juries decide the guilt or innocence for defendants charged with felony offenses. a. True b. False Indicate the answer choice that best completes the statement or answers the question.

25. Which of the following is one of the three major reasons for case attrition? a. jail overcrowding b. overabundance of evidence c. personal standards of justice d. poorly written laws 26. Which Amendment to the U.S. Constitution states: “No person shall be held to answer for a capital or otherwise infamous crime, unless on a presentment or indictment of a grand jury”? a. First Amendment b. Fourth Amendment c. Fifth Amendment d. Sixth Amendment CASE 10.2 The United States experienced a dramatic increase in crime at the beginning of the 1960s. For almost two decades, the number of crimes known to the police increased much faster than the growth in population. The crime rate plateaued in the beginning of the 1980s and has decreased considerably since the early 1990s.

Despite these decreases, the public continues to perceive that crime is on the increase. These fears are reinforced by extensive media coverage, particularly of violent crime.

27. How many official measures of crime exist in the United States? a. two b. three c. four d. five 28. Of the following, which is one of the official measures of crime in the United States? a. UCR b. DEA c. NCVS d. NIBRDS Copyright Cengage Learning. Powered by Cognero.

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Chap 10_13e 29. Which of the following are index crimes? a. robbery b. embezzlement c. drug offenses d. forgery 30. All of the crimes cleared by police each year result in approximately __________ million arrests for nontraffic offenses. a. 1.5 b. 4.7 c. 10.8 d. 14.2 31. Which of the following forms of criminal arrest has the lowest rate? a. Type I violent crimes b. Type II property crimes c. driving under the influence d. juvenile status offenses 32. The leading advocate for federal grand jury reform is the: a. American Bar Association. b. National Association of Criminal Defense Attorneys. c. National Center for State Court. d. U.S. Supreme Court.

33. Which of the following property crimes has the highest clearance rate? a. burglary b. larceny c. motor vehicle theft d. arson 34. Which of the following violent crimes has the lowest clearance rate? a. murder b. forcible rape c. robbery d. aggravated assault 35. What do bail agents provide? a. a specialized form of insurance b. cases to the courts c. loans to defendants d. collateral to the courts

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Chap 10_13e 36. How many forms of bail are available to a defendant? a. two b. three c. four d. five 37. If a person is indicted, s/he is: a. convicted of a crime. b. found guilty of contempt of court. c. exonerated. d. charged with a crime.

CASE 10.1 A careful reading of the Eighth Amendment reveals that the Constitution does not specifically provide that all citizens have a right to bail. Rather, if bail is granted, it must not be “excessive,” as defined by the Supreme Court in Stack v. Boyle (1951), as an amount higher than reasonably calculated to ensure the defendants presence at trial. A right to bail, however, was recognized in common law and in statutes as early as 1789 for all those accused of committing noncapital crimes. In 1966, Congress enacted the Bail Reform Act, thereby creating a statutory presumption favoring pretrial release of federal arrestees.

38. In most communities, the lower-court judges have adopted which kind of bail schedule? a. a fixed bail schedule b. a sliding bail schedule c. a fee bail schedule d. a day fines bail schedule 39. Which of the following is a major weakness of the Uniform Crime Reporting system? a. The data are only available for some states. b. It is based only on crimes reported to the police. c. It provides information only for serious, violent offenses. d. It only reports federal crimes.

40. Findings from the National Crime Victimization Survey indicate that what percentage of violent crimes are reported to the police? a. about 30 percent b. about 50 percent c. about 70 percent d. about 90 percent

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Chap 10_13e 41. Which approach to criminal justice emphasizes that during the preliminary hearing the judge decides if there is probably cause to hold the defendant? a. the law on the books approach b. the law in action approach c. neither approach d. both approaches 42. Which type of crime is found on the bottom layer of the criminal justice wedding cake? a. celebrated cases b. serious felonies c. misdemeanors d. lesser felonies 43. Which of the following is NOT included as a “Part II: Other Crimes” crime under property crimes? a. burglary b. embezzlement c. fraud d. vandalism 44. In this situation, the suspect’s mental condition is taken into consideration. a. risk of flight b. risk to self and others c. situational justice d. other nonappearance 45. Which of the following reasons for case attrition directly involves the courtroom work group? a. legal judgments b. policy priorities c. personal standards of justice d. None of these involve the courtroom work group.

46. The burden of proof required at a preliminary hearing is: a. preponderance of the evidence. b. proof beyond a reasonable doubt. c. reasonable suspicion. d. probable cause.

47. How do arrests by police impact the criminal court process? a. Failure to gather enough evidence may make it difficult for the prosecutor to gain a conviction. b. Arrests by police do not impact the criminal court process. c. The increase in the number of arrest has swollen the court docket. d. Arrests by police may make it difficult to gain a conviction and swell the court docket.

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Chap 10_13e 48. Which of the following court members dominates the grand jury? a. judge b. defense attorney c. prosecutor d. court clerk 49. The two primary duties of the grand jury have been summarized in the phrase: a. duck and run. b. cover and conceal. c. shield and sword. d. pen and sword.

50. Which of the following is NOT included as an index crime under the “violent crimes” category? a. forcible rape b. robbery c. simple assault d. aggravated assault 51. Which criminal justice actors are most likely to file a bill of information? a. judge b. prosecutor c. grand jury d. defense attorney 52. On any given day, approximately __________ of the nearly 744,600 persons in jail have not been convicted of any crime. a. 10 percent b. 30 percent c. 60 percent d. 90 percent 53. In some jurisdictions, misdemeanor defendants enter a plea of guilty and are sentenced at which stage? a. arraignment b. initial appearance c. preliminary hearing d. trial 54. Which jurisdictions use grand juries extensively? a. jurisdictions where they are required by the constitution b. conservative jurisdictions c. jurisdictions with aggressive prosecutors d. liberal jurisdictions

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Chap 10_13e 55. Which Amendment states: “In all criminal prosecutions, the accused shall enjoy the right to be informed of the nature and cause of the accusation”? a. Fourth Amendment b. Fifth Amendment c. Sixth Amendment d. Eighth Amendment 56. How many layers are there on the criminal justice wedding cake? a. two b. three c. four d. five 57. In a __________ bond, the arrestee hires a bail agent who posts the amount required and charges a fee for services rendered. a. cash b. property c. bail d. personal 58. Which of the following forms of criminal arrest has the highest rate? a. Type I violent crimes b. Type II property crimes c. driving under the influence d. juvenile status offenses 59. The Uniform Crime Reporting’s Type I offenses are also referred to as: a. index crimes. b. felony crimes. c. serious crimes. d. violent crimes.

60. During which phase of the criminal justice process is the felony defendant formally accused of a crime and called upon to enter a plea? a. initial appearance b. preliminary hearing c. arraignment d. sentencing phase

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Chap 10_13e 61. According to the FBI’s Uniform Crime Reporting system, property crimes outnumber violent offenses by a ratio of: a. 4 to 1. b. 8 to 1. c. 10 to 1. d. 20 to 1.

62. The return of a grand jury indictment is also referred to as: a. a true bill. b. an information. c. a complaint. d. an injunction.

63. Which of the following is a power of the grand jury? a. granting witness immunity b. subpoenaing witnesses c. indicting defendants d. All of these are powers of the grand jury.

64. Which of the following is NOT one of the four types of charging documents? a. arrest warrant b. complaint c. indictment d. writ of certiorari 65. Which of the following methods of estimating crime in the United States is based on household self-reports? a. UCR b. NIBRS c. SPSS d. NCVS 66. What must be supported by oath or affirmation of either the victim or the arresting officer? It is most commonly used in prosecuting misdemeanor offenses or city order violations. a. complaint b. subpoena c. information d. arrest warrant

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Chap 10_13e Enter the appropriate word(s) to complete the statement.

67. Of all the members of the courtroom work group, through the charging decision, the __________ controls the doors to the courthouse.

68. The bail agent provides a __________ form of insurance.

69. The Constitution does not specifically provide that all citizens have a right to __________.

70. The Uniform Crime Reporting’s Type I offenses are also referred to as __________ crimes.

71. The strength of the __________ provided by police to prosecutors is one of the most important factors influencing whether charges are filed or not.

72. When bail has been set, a defendant can gain pretrial release in __________ basic ways.

73. For most street crimes, the police must have an arrest warrant before they arrest the suspect.

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Chap 10_13e 74. __________ is incident-based and tracks all of the same offenses covered in the tradition UCR Type I and Type II categories, plus a few others.

75. Type II offenses are __________ serious than Type I offenses.

76. In the United States, there are __________ main methods of estimating the amount of crime.

77. Grand juries generally indict whomever the __________ wants indicted.

78. A(n) __________ is the charging document most commonly used for misdemeanor and ordinance violations.

79. Discretion of judges in setting bail is often guided by __________ of flight.

80. The most publicized and widely used measure of crime the FBI’s __________ Program.

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Chap 10_13e 81. The American Bar Association has recommended the __________ of commercial bail.

82. A(n) __________ is defined as the physical taking into custody of a suspected law violator.

83. Beginning in the early 1960s, the United States experienced a dramatic __________ in crime.

84. During a preliminary hearing, the prosecutor only has to establish that a crime has been committed and that the __________ committed it.

85. The preliminary hearing is a formal judicial proceeding presided over by a judge or __________.

86. According to law on the __________, crime is any violation of the criminal law.

87. Pretrial release without monetary bail is release on __________.

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Chap 10_13e 88. Describe the difference between Type I and Type II UCR offenses.

89. What are two methods used to estimate the amount of crime in the United States? In what way do they differ?

90. Describe the clearance rates for UCR Type I offenses.

91. Imagine you are a college professor speaking to an undergraduate criminal justice class. You are discussing the need for initial appearance without unnecessary delay. How do you explain what this is to the class? A student does not believe that these reasons are necessary—she thinks that because someone committed a crime, the inconvenience of the length of time the process takes is something that they should have to deal with. Do you agree? Why or why not? Explain.

92. How do arrests made by the police impact the criminal court process?

93. Imagine you are a defense attorney talking to your client about the preliminary hearing. The client doesn’t see the point in it and doesn’t want to do it. How would you describe the process of the preliminary hearing, and why it’s important? Do you think it’s more important for you, the defense attorney, or for the client? Explain.

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Chap 10_13e 94. List the information National Incident-Based Reporting System (NIBRS) gathers about an incident.

95. Compare and contrast law on the books and law in action approaches to bail setting. What effects does the bail system have on criminal defendants and their cases?

96. Imagine you are a member of a courtroom work group, and you are dealing with heavy caseloads. You need to filter out a lot of the felony arrests that you are coming across, but you are having trouble with discretion. How do you decide which cases should make it to trial or disposition? Explain.

97. Discuss the four types of charging documents.

98. Imagine you are representing a defendant who is unfamiliar with the system. You believe that your client can receive a pretrial release. What options do you go over with her? Regardless of what you think about your client and her particular case, do you believe that pretrial release should be an option? Explain, including if you think there are situations where pretrial release should not be allowed where it already it allowed, or where it should be allowed where it is not currently.

99. You are a police officer who is off duty at the time that you are speaking with your neighbor. He called you over to discuss his recent car break in. He is unsure what to do; he wants to report the crime, but he doesn't think he should bother. He asks, “What’s the point? I’m not going to get my stuff back.” As an officer and friend of the victim, but also understanding of where your neighbor is coming from, what advice would you give, and why?

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Chap 10_13e 100. Describe the wedding cake model of the criminal justice system. Be sure to provide examples of the types of offenses that may be found in each layer.

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Chap 10_13e Answer Key 1. False 2. True 3. True 4. False 5. False 6. False 7. True 8. True 9. True 10. True 11. True 12. False 13. True 14. True 15. True 16. True 17. False 18. True 19. True 20. False 21. False 22. False 23. False 24. False 25. c 26. c

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Chap 10_13e 27. a 28. a 29. a 30. c 31. d 32. b 33. d 34. c 35. a 36. c 37. d 38. a 39. b 40. b 41. a 42. c 43. a 44. b 45. d 46. d 47. d 48. c 49. c 50. c 51. b 52. c 53. b 54. a Copyright Cengage Learning. Powered by Cognero.

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Chap 10_13e 55. c 56. c 57. c 58. c 59. a 60. c 61. b 62. a 63. d 64. d 65. d 66. a 67. prosecutor 68. specialized 69. bail 70. index 71. evidence 72. four 73. F 74. National Incident-Based Reporting System (NIBRS) 75. less 76. two 77. prosecutor 78. complaint 79. risk 80. Uniform Crime Reporting 81. abolition 82. arrest 83. increase Copyright Cengage Learning. Powered by Cognero.

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Chap 10_13e 84. defendant 85. magistrate 86. books 87. recognizance 88. See Table 10.1, “A Comparison of Type I and Type II UCR Offenses.”

89. In the United States the two methods of estimating the amount of crime are the Uniform Crime Reporting, based on crimes reported to the police, and the National Crime Victimization Survey, based on self-reports from households.

They are different because the UCR is based on reports to police and the NCVS is based on self-report data.

90. See Table 10.2, “Clearance Rates for UCR Type I Offenses.”

91. Student responses may vary.

92. Collectively, all of the crimes cleared by police each year result in approximately 10.8 million arrests for nontraffic offenses, about 1.97 million of which are for UCR index crimes. Other than a handful of criminal prosecutions as a result of a grand jury investigation that results in an indictment, these arrests are the overwhelming source of work for the criminal courts. The police have a lot to do with what happens in court after arrest. The strength of the evidence police provide to prosecutors is one the most important factors influencing whether prosecutors file criminal charges (Holleran, Beichner, & Spohn, 2009; O’Neil, Tellis, & Spohn, 2015). Thus, when police are able to secure tangible evidence and cooperative witnesses for the prosecution (while honoring suspects’ constitutional rights), the prosecutor is not only more likely to file charges, but also more likely to win a conviction (Albonetti, 1987; Forst, Lucianovic, & Cox, 1977; Worrall, Ross, & McCord, 2006). Conversely, when police conduct incomplete investigations, or improperly seize, mark, or store the items they do gather, prosecutors find themselves without sufficient evidence to prosecute a case successfully, a situation that often puts stress on the relationship between police and prosecutors (Dantzker, 2005; Pattavina, Morabito, & Williams, 2015).

Of course, the quality of law enforcement investigations varies greatly. Not only do individual police officers differ in particular investigatory skills, but also, some police departments, as units, function better than others when conducting investigations because of differences in management, training, resources, procedures, and analytical processes (Keel, Jarvis, & Muirhead, 2009; Jarvis, Mancik, & Regoeczi, 2016).

93. Student responses may vary.

94. The information NIBRS can gather about an incident include:

The location of the crime Whether the crime was completed or attempted The type of weapon used (if any) The type and value of properly damaged or stolen The personal characteristics of both the offender and the victim (age, sex, race/ethnicity, marital status, and socioeconomic status)

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Chap 10_13e 95. Law on the books expresses a strong preference for bail unless clear and convicting evidence establishes that there is a serious risk that the person will flee; the person may obstruct justice or threaten, injure, or intimidate a prospective witness or juror; or the offense is one of violence or one punishable by life imprisonment or death. In contrast, law in action affects bail setting in terms of uncertainty, risk, jail overcrowding, and situational justice. How these factors coalesce in a bail decision affects the processing of criminal defendants in terms of jail conditions, disparate impact on racial and ethnic minorities, the failure of some defendants to appear in court as promised, and case disposition.

96. Student responses may vary.

97. The four types of charging documents include complaint, information, arrest warrant, and indictment. Complaints must be supported by oath or affirmation by an officer or a victim and are generally used for misdemeanors and ordinance violations. Information is similar to a complaint, except that it is signed by the prosecutor. The filing of information is required in states that do not use grand juries. In states with grand juries, the document is used to initiate the grand jury investigation. The third type of charging document is the arrest warrant, which is issued by a judge, usually for street crimes. An indictment represents a fourth type of charging document. An indictment is a finding of probable cause by the grand jury, which means that the trial will commence for the defendant.

98. Student responses may vary.

99. Student responses may vary.

100. Samuel Walker’s criminal justice wedding cake model (2011) consists of four layers that represent different kinds of crime. The top and smallest layer is made up of celebrated cases that attract media attention and that are not representative of how the court system works. The second layer consists of serious felonies such as murders, rapes, and other felonies taken in the context of the defendant’s criminal record, victim-offender relationship, and the seriousness of the crime. The third layer is made up of less serious felonies, and the forth layer is made up of the more numerous, but less serious, misdemeanors. Within each layer, there is much consistency; the disparities are found between cases in different layers. In general, the wedding cake model describes how the criminal justice system differentially handles different types of cases; more attention is given to cases at the top of the wedding cake than at the bottom.

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Chap 11_13e Indicate whether the statement is true or false.

1. The most controversial of the U.S. Supreme Court’s criminal justice decisions have concerned how the police gather evidence. a. True b. False 2. The Miranda decision created new rights for defendants and suspects. a. True b. False 3. Before a suspect in police custody is interrogated, the suspect must be informed of his/her rights under the Fifth Amendment’s Self-Incrimination Clause. a. True b. False 4. All potentially exculpatory evidence must be disclosed to the defense. a. True b. False 5. Brady material consists of any exculpatory material that the prosecutor has and must be turned over to the defense prior to trial. a. True b. False 6. If a search warrant is issued, the police must execute the warrant immediately. a. True b. False 7. Rejection of search warrant applications by magistrates is a common occurrence. a. True b. False 8. The exclusionary rule prohibits the prosecutor from using illegally obtained evidence during a trial. a. True b. False 9. Because of Jencks v. United States, requiring the defense to disclose an alibi defense prior to trial does not violate the defendant’s privilege against self-incrimination. a. True b. False 10. If the defense had to disclose evidence to the prosecution, the privilege against self-incrimination would be rendered meaningless. a. True b. False Copyright Cengage Learning. Powered by Cognero.

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Chap 11_13e 11. The independent source doctrine holds that a court may admit illegally obtained evidence if it would have been discovered anyway through independent, lawful means. a. True b. False 12. The rules relating to pretrial discovery are uniform in all jurisdictions. a. True b. False 13. Discovery is designed to give only the defense in a legal dispute a good idea about the evidence that will be presented at trial. a. True b. False 14. The exclusionary rule bars evidence from being used in the prosecution’s case-in-chief if it was obtained in violation of a defendant’s constitutional rights. a. True b. False 15. If a police lineup is improperly conducted, the identification of the suspect may be excluded from evidence during trial pursuant to the exclusionary rule. a. True b. False 16. Reciprocal disclosure by the defense during discovery is limited because the Constitution affords certain fundamental protections to the defendant. a. True b. False 17. After a police officer decides that a search warrant is necessary, the officer usually goes back to the station house to prepare the application, affidavit, and warrant. a. True b. False 18. Traditionally, English common law routinely admitted all confessions, even those produced by torture. a. True b. False 19. Exculpatory evidence is any evidence that may be favorable to the defendant. a. True b. False 20. The fruit of the poisonous tree doctrine always bars derivative evidence found as a result the violation of a defendant’s constitutional right. a. True b. False Copyright Cengage Learning. Powered by Cognero.

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Chap 11_13e 21. The exclusionary rule is commonly associated with the search and seizure of physical evidence under the Fourth Amendment. a. True b. False 22. Generally, when prosecutors adopt open discovery policies, pleas of guilty are entered more quickly. a. True b. False 23. Because of United States v. Bagley, there is no general constitutional right to discovery in criminal cases. a. True b. False 24. Informal discovery occurs frequently because it often facilitates a prompt resolution of a dispute without the need for trial. a. True b. False Indicate the answer choice that best completes the statement or answers the question.

25. The __________ Amendment provides that “in all criminal prosecutions, the accused shall enjoy the right… to have the Assistance of Counsel for his defense.” a. Fourth b. Fifth c. Sixth d. Seventh 26. Which of the following has to do with “abandoned property”? a. California v. Greenwood b. Donovan v. Dewey c. New York v. Burger d. Florida v. Riley 27. What is the name of automatic discovery for certain types of evidence, without the necessity for motions and court orders? a. reciprocal disclosure b. informal disclosure c. formal disclosure d. imperfect disclosure 28. Which of the following actors would be in favor of broader discovery laws? a. prosecutors b. judges c. defense attorney d. police officers Copyright Cengage Learning. Powered by Cognero.

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Chap 11_13e 29. The exclusionary rule applies to __________. a. coerced confessions b. unnecessarily suggestive police lineups c. seizures of items during an unconstitutional search d. All of these are correct.

30. Which of the following cases deals with “stop and frisk”? a. Mapp v. Ohio b. Terry v. Ohio c. Wolf v. Colorado d. Miranda v. Arizona 31. Which of the following has to do with “aerial searches”? a. California v. Greenwood b. Donovan v. Dewey c. New York v. Burger d. Florida v. Riley 32. In which of the following U.S. Supreme Court decisions was the exclusionary rule developed? a. Miranda v. Arizona b. Weeks v. U.S. c. U.S. v. Miller d. U.S. v. Salerno 33. Which types of evidence must always be turned over by the prosecutor to the defense in virtually all jurisdictions? a. all open files of any type b. all exculpatory evidence and all impeachment evidence c. all witness statements d. all statements made by the defendant 34. The informal and formal exchange of information between the prosecutor and the defense attorney prior to trial is called __________. a. reciprocity b. prosecutorial disclosure c. discovery d. Brady exchange 35. Discovery in federal cases is governed primarily by sections of each of the following rules EXCEPT: a. Rule 12. b. Rule 16. c. Rule 20. d. Rule 26.

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Chap 11_13e 36. Discovery rules are vitally important to: a. prosecutors. b. defense attorneys. c. judges. d. juries.

37. Closed discovery encourages __________. a. plea-bargains b. jury trials c. trials without a jury d. guilty pleas CASE 11.1 Smith is sleeping when the police knock on his door to question him regarding a kidnapping and rape. The police take him to the station because he doesn’t want to talk in front of his wife. He is put in a lineup, but the victim is unable to identify him. In the interrogation room, Smith asked how he did, and the detective replied, “You flunked.” After two hours of questioning, he signed a written confession admitting guilt. At his subsequent trial, the only prosecution exhibit was the signed confession. The jury quickly returned guilty verdicts for kidnapping and rape.

38. Why might Smith’s conviction be overturned? a. His constitutional rights were violated. b. He confessed due to duress. c. His conviction would not be overturned. d. He was not given advice about his constitutional rights.

39. The Miranda warnings do not have to be given before law enforcement obtains __________. a. breath or blood samples b. handwriting samples c. fingerprints d. Miranda warnings are not required for any of these.

40. Which U.S. Supreme Court case held that police must inform suspects of their rights prior to custodial interrogation? a. U.S. v. Miller b. Texas v. Cobb c. Miranda v. Arizona d. Mapp v. Ohio

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Chap 11_13e CASE 11.2 A search warrant is a written document, signed by a judge or magistrate, authorizing a law enforcement officer to conduct a search. The Fourth Amendment specifies that “no Warrants shall issue, but upon probable cause, supported by Oath or affirmation, and particularly describing the place to be searched and the Persons or things to be seized.” In light of the plain language of the Fourth Amendment, search warrants issued by a neutral judicial officer are the preferred mechanism for authorizing and conducting searches and seizures in the United States.

41. The vesting of warrant-issuing power in a neutral and detached judicial officer stems from the Supreme Court’s mandate that warrants can be issued only by people who are not involved in the: a. activities of law enforcement. b. activities of the court. c. activities of justice officials. d. activities of legal affairs.

42. The first part of the __________ Amendment is referred to as the reasonableness clause. a. Fourth b. Fifth c. Sixth d. Seventh 43. In __________, if a defendant exercises his or her right to silence, the prosecutor may not ask the jury to draw an inference of guilt from the defendant’s refusal to testify in his own defense. a. Griffin v. California b. Miranda v. Arizona c. Michigan v. Mosley d. North Carolina v. Butler 44. The particularity requirement means that __________ should be as detailed as possible. a. warrants b. applications for warrants c. arrest warrants d. search warrants 45. What is a key issue in the ongoing debate regarding the exclusionary rule? a. costs of the rule b. difficulty in implementing the rule c. gains of the rule d. There is no debate regarding the exclusionary rule.

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Chap 11_13e 46. Which constitutional amendment(s) are important in Smith’s case? a. Fourth and Fifth Amendments b. Fourth Amendment c. Fifth Amendment d. Eighth Amendment 47. Those who want to see the exclusionary rule abolished argue that __________ should be enough to deter police misconduct. a. judicial sanctions b. departmental sanctions c. the threat of criminal prosecutions d. the threat of civil lawsuits 48. The traditional legal rule regarding confessions is that confessions: a. may be physically coerced. b. must be free and voluntary. c. may be psychologically coerced. d. may be obtained by any means necessary.

49. What legal doctrine was established to control police misconduct? a. exclusionary rule b. rules related to exculpatory evidence c. writ of habeas corpus d. stare decisis 50. What effect can the exclusionary rule have on the prosecutor when questions of the constitutionality of a search and seizure arise in a case? a. Such questions have no effect on the prosecutor. b. Such questions put the prosecutor on the offensive. c. Such questions alter the role of the judge, not the prosecutor. d. Such questions put the prosecutor on the defensive.

51. All of the following are warrantless search EXCEPT __________. a. search with consent b. search incident to lawful arrest c. hidden view d. plain view

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Chap 11_13e 52. Supporters of the exclusionary rule argue that the rule is the only effective deterrent against which of the following? a. judicial misconduct b. prosecutor misconduct c. courtroom misconduct d. police misconduct 53. Which Amendment to the U.S. Constitution prohibits unreasonable searches and seizures? a. First Amendment b. Fourth Amendment c. Fifth Amendment d. Sixth Amendment 54. The __________ Amendment says that “no person shall be compelled in any criminal case to be a witness against himself.” a. Fourth b. Fifth c. Sixth d. Seventh 55. In __________, a suspect’s assertion of Miranda rights must be clear and unambiguous. a. Dickerson v. United States b. Minnick v. Mississippi c. Davis v. United States d. Arizona v. Fulminate 56. Evidence appears to suggest that the exclusionary rule has what effect on the criminal court system? a. a marginal effect b. no effect c. a significant effect d. a small but significant effect 57. In __________, a coerced confession does not automatically overturn a conviction. Rather, Miranda violations must be reviewed for a determination of harmless or harmful error. a. Dickerson v. United States b. Minnick v. Mississippi c. Davis v. United States d. Arizona v. Fulminate

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Chap 11_13e 58. Which of the following U.S. Supreme Court cases extended the exclusionary rule to the states? a. Mapp v. Ohio b. Terry v. Ohio c. Marbury v. Madison d. Burns v. Reed 59. The U.S. Supreme Court’s ruling in Brady v. Maryland prevents the suppression of what type of evidence? a. incriminating b. exclamatory c. exculpatory d. confessions 60. Based on research, which of the following is true regarding pretrial motions to suppress evidence? a. They rarely filed. b. They are often filed but rarely successful. c. They are often filed and generally succeed. d. They have a major impact on case attrition.

61. In __________, the suspect’s Fifth and Fourteenth Amendment rights were violated because he had not first been advised of his right to remain silent and have an attorney present during a custodial interrogation. a. Griffin v. California b. Miranda v. Arizona c. Michigan v. Mosley d. North Carolina v. Butler 62. If Smith appealed his conviction, which U.S. Supreme Court case would most likely apply? a. Weeks v. United States (1914) b. Miranda v. Arizona (1966) c. Mapp v. Ohio (1961) d. Katz v. United States (1967) 63. Some states require the defense to file a notice if this type of evidence will be used. a. evidence for an alibi defense b. None of these answers is correct. c. exculpatory evidence d. lab reports 64. Which Amendment to the U.S. Constitution provides for protection against self-incrimination? a. First Amendment b. Fourth Amendment c. Fifth Amendment d. Sixth Amendment

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Chap 11_13e 65. Which rule prohibits the prosecutor from using illegally obtained evidence during a trial? a. exclusionary rule b. discovery rule c. alibi rule d. suppression rule 66. Searches fall into which two broad categories? a. warrant and probable cause b. warrantless and reasonable suspicion c. warrant and warrantless d. bench warrant and affidavit Enter the appropriate word(s) to complete the statement.

67. In __________, the U.S. Supreme Court held that the suppression by the prosecution of evidence favorable to an accused upon request violates due process where the evidence is material either to guilt or punishment, irrespective of the good faith or bad faith of the prosecution.

68. The informal and formal exchange of information between prosecution and defense is referred to as __________.

69. The __________ rule bars evidence from being used in the prosecution’s case-in-chief if it was obtained in violation of a defendant’s constitutional rights.

70. __________ is any evidence that would cast doubt on the credibility of a witness.

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Chap 11_13e 71. Police may conduct __________ searches when incident to a lawful arrest.

72. __________ requires exclusion of evidence indirectly obtained as a result of a constitutional violation.

73. The exclusionary rule requires exclusion of evidence obtained as a result of a __________ violation.

74. __________ evidence is any evidence that may be favorable to the defendant at trial either by tending to case doubt on the defendant’s guilt or tending to mitigate the defendant’s culpability, thereby potentially reducing the defendant’s sentence.

75. Before a suspect in police custody is interrogated, the suspect must be informed of his/her rights under the __________ Amendment’s Self-Incrimination Clause.

76. __________ is any evidence that may be favorable to the defendant at trial either by tending to cast doubt on the defendant’s guilt or by tending to mitigate the defendant’s culpability, thereby potentially reducing the defendant’s sentence.

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Chap 11_13e 77. A(n) __________ defense means that the defendant claims the crime was committed while the s/he was somewhere else, and thus could not have been the perpetrator.

78. Supporters of the exclusionary rule argue that the rule is the only effective __________ against police misconduct.

79. Searches conducted at any __________ border do not require a warrant.

80. The Fourth Amendment does not prohibit the __________ search and seizure of abandoned property.

81. Search warrants must be executed in a(n) __________ manner to prevent the information that established probable cause from going stale.

82. Miranda applies only to __________ interrogations.

83. The __________ doctrine bars derivative evidence unless the evidence is so far attenuated from the constitutional violation that its use would not offend due process.

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Chap 11_13e 84. In Ashcraft v. Tennessee, the suspect was interrogated for 36 hours with virtually no break, thereby depriving him of any rest.

85. Because pretrial motions to suppress evidence are relatively __________, the exclusionary rule does not generally impact the operations of the courtroom work group in most cases.

86. __________ is automatic discovery for certain types of evidence, without the necessity for motions and court orders.

87. All potentially __________ evidence must be disclosed to the defense.

88. Describe how Title III provides greater privacy protects than the Fourth Amendment.

89. Imagine you are a judge on a case where questions about the constitutionality of a search or seizure arise, so the defense attorney filed a motion to suppress. In somewhat of a role reversal, these motions have the effect of putting the prosecution on the defensive. They ultimately cause you to have to rule on the credibility of testimony offered by law enforcement officers. Depending on the evidence presented to you, how would you decide what to believe? The situation the relationships within the courtroom work group can be significantly strained. How would that weigh in to your decision? Explain.

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Chap 11_13e 90. Describe three key developments in interrogation law.

91. Imagine that you are involved as a prosecutor in a homicide case. You are unsure how you want to proceed in the case, because the discovery has information in it that may make your case more difficult in proving guilt, and it also would probably protect the defendant from self-incrimination. How do you decide if the information in the discovery is worth the possibility of dealing with above-mentioned limitations? Explain.

92. Imagine you are the chief of police and just had a police officer working under you report information he found in a suspect’s car. The man is a suspect in his wife’s murder, but has not been brought in yet due to lack of evidence. The police officer decided to break into the suspect’s vehicle without a warrant and explained that he did not think he would have time to run it past you, but that he thought it would be okay because it was in plain view. The suspect is asserting that the evidence the officer found was in a glove box, so it was not in plain view.

How do you react, and what do you decide? Explain.

93. Define, compare, and contrast formal and informal discovery.

94. Describe three key developments in criminal discovery law.

95. Describe the requirements for the application for search warrants, the issuance of search warrants, and the execution of search warrants.

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Chap 11_13e 96. Imagine that you are a judge who is reviewing the exclusionary rule. The exclusionary rule was controversial when it was adopted in 1961 and remains so today. In a 1981 speech, President Reagan argued that it is absurd to throw an entire case out of court just because of a law enforcement error. You are having trouble because there is a case that you think may need to get thrown out due unconstitutional conduct, but the evidence that was previously admitted is important, and you are considering tolerating it the violation. How would you decide what to do, and why?

97. Compare and contrast the exclusionary rule and the fruit of the poisonous tree doctrine. Provide a history of both in your answer.

98. List and describe the exceptions to the warrant requirement.

99. Imagine you are a chief of police, and one of the officers in your department did not follow protocol when executing a search warrant. According to the standard steps in executing a search warrant, search warrants must be executed at a reasonable time of day. This search warrant did not allow for nighttime search. Your officer went at midnight to a house and did not find what he was looking for at this time. How would you respond to this? Explain.

100. What specific rights are covered in the reading of the Miranda warnings? What was the U.S. Supreme Court’s rationale in handing down this decision?

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Chap 11_13e Answer Key 1. True 2. False 3. True 4. True 5. False 6. False 7. False 8. True 9. False 10. True 11. False 12. False 13. False 14. True 15. True 16. True 17. True 18. True 19. True 20. False 21. True 22. True 23. False 24. True 25. c 26. a

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Chap 11_13e 27. a 28. c 29. d 30. b 31. d 32. b 33. b 34. c 35. c 36. b 37. c 38. d 39. d 40. c 41. a 42. a 43. a 44. a 45. a 46. a 47. d 48. b 49. a 50. d 51. c 52. d 53. b 54. b Copyright Cengage Learning. Powered by Cognero.

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Chap 11_13e 55. c 56. a 57. d 58. a 59. c 60. a 61. b 62. b 63. a 64. c 65. a 66. c 67. Brady v. Maryland 68. discovery 69. exclusionary 70. Impeachment evidence 71. warrantless 72. Derivative evidence 73. Constitutional 74. Exculpatory 75. Fifth 76. Exculpatory evidence 77. alibi 78. deterrent 79. international 80. warrantless 81. timely 82. custodial 83. fruit of the poisonous tree Copyright Cengage Learning. Powered by Cognero.

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Chap 11_13e 84. T 85. rare 86. Reciprocal disclosure 87. exculpatory 88. 1. Limiting who may apply for wiretaps.

2. Requiring multiple levels of administrative and judicial review of wiretap applications.

3. Mandating that the wiretap procedures minimize the interception of communications not subject to the wiretap order.

4. Requiring law enforcement officers who learn information by listening to intercepted communications to keep the content of what they hear confidential.

5. Requiring that, immediately upon the expiration of a wiretap order, both the interception order and all recordings made pursuant to it be delivered to the judge who issued the order to be sealed. (Putting material under seal means it is not accessible to anyone without a special court order.)

89. Student responses may vary.

90. See box titled “Key Developments in Interrogation Law.” 91. Student responses may vary.

92. Student responses may vary.

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Chap 11_13e 93. The informal and formal exchange of information between prosecution and defense is referred to as discovery.

Laboratory reports, statements of witnesses, defendants’ confessions, and police reports are examples of information that prosecutors often gather and defense attorneys want to know about before trial. Discovery seeks to ensure that the adversary system does not give one side an unfair advantage over the other. In contrast to the very broad power of discovery in civil proceedings, “there is no general constitutional right to discovery in a criminal case” (Weatherford v. Bursey, 1977, p. 559). However, a series of court decisions, statutes, and court rules provide the framework for the criminal discovery process. Discovery in federal cases is governed primarily by sections of Rules 12, 16, and 26 of the Federal Rules of Criminal Procedure. Collectively, these rules provide a defendant, upon motion, rights to discovery concerning tangible objects; tape recordings; books, papers and documents that are relevant to the case; the defendant’s prior criminal record, if any; the results or reports of physical examinations, scientific tests, experiments, and forensic comparisons; and summaries of any expert testimony that the government intends to offer in its case-in-chief. The rules often afford the government similar reciprocal discovery upon its compliance with the request of the defendant. In state courts, the type of information that is discoverable varies considerably from state to state. Some jurisdictions allow only limited discovery where other jurisdictions take a middle ground allowing discovery of confessions and physical evidence is a matter of right, but discovery of other items is more difficult.

Finally, a few states have adopted liberal discovery rules: A presumption strongly in favor of prosecutorial disclosure exists, with only certain narrow exceptions. Because of growing discontent with the discovery system, American courts have cautiously expanded mandatory disclosure by the prosecutor, especially with respect to disclosures of exculpatory evidence and impeachment material. Exculpatory evidence is any evidence that may be favorable to the defendant at trial either by tending to cast doubt on the defendant’s guilt or by tending to mitigate the defendant’s culpability, thereby potentially reducing the defendant’s sentence. Impeachment evidence is any evidence that would cast doubt on the credibility of a witness. Some prosecutors have an office policy prohibiting assistant prosecutors from disclosing any information not required by law. But it is more usual that assistant DAs voluntarily disclose certain aspects of the state’s case to defense attorneys. Such informal discovery operates within the norms of cooperation of courtroom work groups. Defense attorneys who maintain good relationships with prosecutors and are viewed as trustworthy receive selected information about the case. Conversely, defense attorneys who maintain hostile relationships with the prosecutor, who represent clients who are viewed as troublemakers, or both find the prosecutors holding the cards as tightly to the vest as the law allows. Informal prosecutorial disclosure does not stem from sympathy for the defendant, but rather from a long-held courthouse theory that an advance glimpse at the prosecutor’s case encourages a plea of guilty. From the perspective of the prosecutor, defendants often tell their lawyers only part of what happened; therefore, the defense attorney who learns what evidence the prosecutor possesses can use it to show the defendant that contesting the matter may be hopeless. Informal prosecutorial discovery greatly encourages pleas of guilty, at least when the prosecution has a strong case.

94. See box titled “Key Developments in Criminal Discovery Law.”

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Chap 11_13e 95. A search warrant is a written document, signed by a judge or magistrate, authorizing a law enforcement officer to conduct a search. After a police officer decides that a search warrant is necessary, the officer usually goes back to the station house to prepare the application, affidavit, and warrant. Three alternative procedures are used. In a few jurisdictions, search-warrant applications are prepared by a deputy prosecutor on the basis of information provided by the officer. In other localities and in the federal system, the law enforcement officer prepares all the documentation and then submits them to a prosecutor, who systematically reviews them before they are presented to the magistrate. Regardless of who actually prepares the documentation, the application must provide sufficient information to a neutral judicial officer to determine that there is “a fair probability that contraband or evidence of a crime will be found in a particular place” (Illinois v. Gates, 1983, p. 238). This information is usually provided in an affidavit, a sworn written statement of facts sworn to before the magistrate. Law enforcement officers must be careful to include all the relevant information on which probable cause may be based in their written affidavits so that a complete record exists for courts to evaluate the magistrate’s decision if the warrant is challenged. Only judicial officers who have been specifically authorized to do so may issue search warrants. Next, the applicant must contact a neutral judicial officer to approve the warrant based on the application and the affidavit detailing the facts that establish probable cause. This is traditionally done in person at a courthouse; however, if court is not in session, it may occur at the home of a judge or even by telephone. As the text of the Fourth Amendment makes clear, warrants must describe with particularity “the place to be searched and the persons or things to be seized.” This requirement means that warrants should be as detailed as possible. The final step is the execution of the warrant.

The officer serves the warrant, conducts the search, and seizes evidence. Regardless of the area or persons to be searched, a few general rules must be followed during the execution of a search warrant. (1) Search warrants must be executed in a timely manner to prevent the information that established probable cause from going stale. (2) The scope of law enforcement activities during the execution of the warrant must be strictly limited to achieving the objectives that are set forth with particularity in the warrant. 3).Search warrants must be executed at a reasonable time of day. (3) Law enforcement officers are generally required to knock-and-announce their presence, authority, and purpose before entering premises to execute a search warrant (Wilson v. Arkansas, 1995). Courts are also concerned with the amount of time it takes law enforcement personnel to perform a search once it is initiated pursuant to a valid warrant. The police may remain on premises only for as long as it is reasonably necessary to conduct the search. Also because of the Fourth Amendment’s reasonableness requirement, officers executing a search warrant must be careful to use only a reasonable amount of force when conducting a search, such a breaking down a door. After a search is completed, statutory law generally requires that the officer file a “return” in court, indicating what items were seized, if any. Courts generally hold that these post-search duties are ministerial acts.

Thus, a failure to perform them will usually not result in suppression of any evidence.

96. Student responses may vary.

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Chap 11_13e 97. The exclusionary rule prohibits the prosecutor from using illegally obtained evidence during a trial. The exclusionary rule was first developed in Weeks v. United States (1914). Weeks, however, was limited to a prohibition on the use of evidence illegally obtained by federal law enforcement officers. Not until Wolf v. Colorado (1949), did the U.S. Supreme Court take the first step toward applying the exclusionary rule to the states by ruling that the Fourth Amendment was applicable to the states through the Due Process Clause of the Fourteenth Amendment. Wolf v.

Colorado, however, left enforcement of Fourth Amendment rights to the discretion of the individual states. It wasn't until the landmark decision of Mapp v. Ohio (1961) that states were required to apply the exclusionary rule. With Mapp, the exclusionary rule became the principle method to deter Fourth Amendment violations by law enforcement officials. The exclusionary rule applies to physical evidence, interrogations; however, the rule applies differently depending on the type and severity of the underlying constitutional violation. As the U.S. Supreme Court stated in Dickerson v. United States (2000), “unreasonable searches under the Fourth Amendment are different from unwarned interrogation under the Fifth Amendment.” Finally, it should be noted that the exclusionary rule also applies to the pretrial confrontations between witnesses and suspects that were either unreliable or that occurred in violation of the accused’s Sixth Amendment right to counsel. The exclusionary rule is not limited to evidence that is the direct product of illegal police behavior. The rule also requires exclusion of evidence indirectly obtained as a result of a constitutional violation. The exclusionary rule operates to exclude derivative evidence because it is considered to be fruit of the poisonous tree. Under this doctrine’s metaphors, the poisonous tree is evidence directly obtained as a result of a constitutional violation; the fruit is the derivative evidence obtained because of knowledge gained from the first illegal search, arrest, confrontation, or interrogation.

98. See Table 11.1, “Exceptions to the Warrant Requirement.”

99. Student responses may vary.

100. The right to remain silent and the fact that anything said can be used against a defendant are derived from the Fifth Amendment right/privilege against self-incrimination. The right to have an attorney present or a court-appointed attorney for indigents comes from the Sixth Amendment right to counsel. The rationale for the Court was that police interrogation is inherently coercive; therefore, certain protections must be in place for the defendant in such circumstances. The court argued that these Constitutional protections apply not just to the trial phase of criminal justice processing; they also apply to custodial interrogations.

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Chap 12_13e Indicate whether the statement is true or false.

1. Defendants will opt for a trial if a potential prison sentence is high. a. True b. False 2. Plea bargaining did not become well established in the United States until the 1960s. a. True b. False 3. In the courtroom work group, the judge generally knows less about the case than the attorneys. a. True b. False 4. Even though a judge or jury is not likely to return a verdict of not guilty, the defendant may still decide that the slim possibility of acquittal is worth the risk of the trial penalty. a. True b. False 5. The decision-making process for defense attorneys involves four phases. a. True b. False 6. A nolo contendere plea has all the same criminal and civil consequences as a guilty plea. a. True b. False 7. The judge knows relatively little about each case. a. True b. False 8. Bargaining is possible because each of the legal actors in the courtroom work group understands the realities of law in action. a. True b. False 9. Sentences for defendants who are found guilty after trial are generally less severe than the expected sentence for the same offense after a guilty plea. a. True b. False 10. Most defendants plead not guilty. a. True b. False

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Chap 12_13e 11. The overwhelming majority of all state and federal felony convictions are obtained as a result of a defendant entering a negotiated plea of guilt. a. True b. False 12. When entered, a guilty plea pursuant to a plea bargain can never be withdrawn. a. True b. False 13. Researchers consistently find that jurisdictions with larger caseloads have higher rates of plea bargaining than jurisdictions with smaller caseloads. a. True b. False 14. A guilty plea requires a defendant’s waiver of a number of important rights. a. True b. False 15. In Boykin, the Court held that a plea of guilty was more than an admission of guilt and also involved the waiver of important constitutional rights. a. True b. False 16. Judges engage in plea bargaining to move cases. a. True b. False 17. Judges are reluctant to intrude on prosecutorial discretion. a. True b. False 18. Convincing clients to accept a plea is not always easy. a. True b. False 19. The prosecutor proceeds from a position of strength in plea bargaining. a. True b. False 20. Three major factors influence bargaining and discretion. a. True b. False 21. There is no research supporting the existence of a jury trial penalty. a. True b. False Copyright Cengage Learning. Powered by Cognero.

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Chap 12_13e 22. Cases go to trial when the parties cannot settle a case through negotiation. a. True b. False 23. Murder, rape, and robbery defendants are less likely to plead guilty than those charged with less serious offenses. a. True b. False 24. A victim’s preference for a trial is among the most important factors that a prosecutor considers when deciding whether to offer a defendant a plea bargain. a. True b. False 25. The Alford plea is not an express admission of guilt by a defendant. It serves as a consent by the defendant that he may be punished as if he were guilty and a prayer for leniency. a. True b. False Indicate the answer choice that best completes the statement or answers the question.

26. The main difference between a guilty plea and a no contest (nolo contendere) plea is that the latter: a. cannot be used in a civil proceeding against the defendant. b. results only in a conditional conviction. c. cannot be entered in felony cases. d. cannot be entered by defendants charged with violent offenses.

27. All members of the courtroom work group have a common interest in: a. collecting fees. b. avoiding unnecessary trials. c. appearing tough on crime. d. reducing jail overcrowding.

28. Is the following considered law on the books or law in action: the defendant pleads guilty to some, but not all, of the counts contained in the charging document? a. law on the books b. law in action c. both law on the books and law in action d. neither answer is correct

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Chap 12_13e 29. In which of the following forms of bargaining has the defendant plead guilty to some, but not all, of the counts contained in the charging document? a. plea b. charge c. court d. sentence 30. In this type of plea agreement, the defendant pleads guilty to a charge in the indictment in exchange for other charges in the indictment being dropped. a. charge bargain b. count bargain c. reduction bargain d. nolo contendere 31. An Alford plea is one in which the: a. defendant pleads on the nose. b. defendant pleads guilty but maintains innocence. c. prosecutor makes no sentence recommendation. d. defendant denies that there has been a plea bargain.

32. What is one of the major factors influencing bargaining and discretion? a. lack of cooperation between members of the courtroom work group b. the presumption of factual guilt c. difficulties with defendants d. the presumption of innocence 33. In __________, when a defendant enters a plea of guilty, the judge must determine whether the plea is knowingly entered and completely voluntary. a. Boykin v. Alabama b. Brady v. United States c. Alford v. North Carolina d. Santobello v. New York 34. To gain a potential advantage in plea bargaining, prosecutors sometimes: a. overcharge deliberately. b. waive grand jury review. c. demand a preliminary hearing. d. refuse to take Alford pleas.

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Chap 12_13e 35. How many different types of plea agreements are there? a. one b. four c. three d. two 36. A defendant is charged with aggravated assault. The prosecutor will accept a plea to simple assault. This is an example of which kind of bargain? a. count b. charge c. reduction d. indictment 37. Judges can accept which of the following pleas? a. guilty b. nolo contendere c. Alford d. guilty, nolo contendere, and Alford 38. Throughout a case, decisions on bail, indictment, and screening are based on what knowledge? a. Most defendants are guilty. b. Most defendants end up pleading. c. Most defendants are innocent. d. Most defendants go to trial.

CASE 12.1 Some people within the court system are concerned that plea bargaining reduces the courthouse to a place where guilt or innocence is negotiated like prices in a flea market. Primarily, though, opposition to plea bargaining reflects different ideological preferences. What is particularly interesting is that civil libertarians as well as spokespersons for law and order see plea bargaining as a danger, but often for different reasons.

39. Which of the following is NOT one of the reasons supporters of the values of the due process model are concerned about plea bargaining? a. Plea bargaining undercuts the protections afforded individuals. b. Plea bargaining may lead to the conviction of innocent defendants. c. Plea bargaining produces few tangible benefits for defendants. d. Plea bargaining degrades the human spirit.

40. A defendant’s guilty plea must be: a. intelligent and voluntary. b. exculpatory and sensate. c. inculpatory and cognitive. d. volitional and exculpatory.

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Chap 12_13e 41. In __________, given the defendant’s desire to avoid the death penalty and the existence of substantial evidence of guilt, the plea of guilty was valid even though the defendant denied guilt. a. Boykin v. Alabama b. Brady v. United States c. Alford v. North Carolina d. Santobello v. New York 42. Which of the following felonies has the highest trial rate? a. murder b. rape c. assault d. robbery 43. In __________, even though the defendant pled guilty to avoid the possibility of a death penalty, the plea was voluntary and intelligently made and therefore not coerced. a. Boykin v. Alabama b. Brady v. United States c. Alford v. North Carolina d. Santobello v. New York 44. Plea bargaining is arguably contrary to the concept of a(n): a. presumption of guilt. b. defendant’s free will. c. adversary system of justice. d. impartial judge.

45. In Santobello v. New York, the U.S. Supreme Court ruled that which amendment’s right to effective assistance of counsel applies during plea bargaining? a. Eighth Amendment b. Fifth Amendment c. Fourteenth Amendment d. Sixth Amendment 46. What is the primary benefit of a plea for a defendant? a. going home b. no jail time c. a guaranteed lighter sentence d. the possibility of a lenient sentence

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Chap 12_13e 47. Why do adherents of the crime control model oppose plea bargaining? a. They believe prosecutors are lazy. b. They believe judges are lazy. c. They believe defendants get off too lightly. d. They believe defendants are forced to give up constitutional rights.

CASE 12.2 Guilty pleas are the bread and butter of the American criminal courts. Between 85 and 95 percent of all state and federal felony convictions are obtained by a defendant entering a negotiated plea of guilt (Covey, 2008; Hashimoto, 2008; United States Sentencing Commission, 2015). Plea bargaining can best be defined as the process through which a defendant pleads guilty to a criminal charge with the expectation of receiving some consideration from the state.

48. What are the three most common types of plea bargains? a. charge bargaining, count bargaining, and sentence bargaining b. charge bargaining, limit bargaining, and sentence bargaining c. limit bargaining, count bargaining, and sentence bargaining d. charge bargaining, count bargaining, and limit bargaining 49. When agreeing in open court to a plea deal, a defendant agrees to waive the right to remain silent, the right to confront witnesses, and: a. the right to a lawyer for an appeal. b. the right to confront witnesses. c. the right against excessive punishment. d. the right to an interest in liberty.

50. Most unexpected events at a trial work to the detriment of which member of the courtroom work group? a. defense attorney b. prosecutor c. judge d. None of these are members of the courtroom work group.

51. If the defendant wants to enter an Alford plea, the judge: a. cannot lawfully accept it. b. may accept the plea only if the defense attorney agrees. c. may accept it only if there is a substantial evidence of guilt or a strong factual basis for the plea. d. may accept it only if the defendant is not able to understand the meaning of factual guilt.

52. A defendant who pleads guilty is generally required to read and sign which form? a. Boykin form b. Crockett form c. Reeves form d. Santobello form

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Chap 12_13e 53. In what hearing does the defendant, in open court, admit to the conduct central to the criminality of crimes charged? a. allocution b. Boykin c. disposition d. sentencing 54. In which case did the Court hold that defendants could withdraw a guilty plea if the prosecutor did not keep the promise made in the agreement? a. Santobello v. New York b. Alford v. North Carolina c. Bordenkircher v. Hayes d. Boykin v. Alabama 55. A count bargain means the: a. defendant’s top charge was reduced to something less severe. b. defendant agrees to plead guilty to fewer charges. c. defendant agrees to plead guilty in exchange for a lesser sentence. d. defendant gets one sentence for multiple charges, instead of consecutive sentences.

56. What do due process adherents advocate regarding plea bargaining? a. abolishing bargaining and increasing the number of trials b. abolishing bargaining c. increasing the number of trials d. None of these answers is correct.

57. In ___________, when a plea rests in any significant degree on a promise or agreement of the prosecutor, so that it can be said to be a part of the inducement or consideration, such promise must be fulfilled. a. Boykin v. Alabama b. Brady v. United States c. Alford v. North Carolina d. Santobello v. New York 58. Advocates of abolishing plea bargaining ignore what reality of criminal courts? a. In most cases, the participants do not substantially disagree over the facts. b. In most cases, the defendants do not want a trial. c. In most cases, the prosecutors are difficult to work with. d. In most cases, the judges are difficult to work with.

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Chap 12_13e 59. Which of the following felonies has the lowest trial rate? a. murder b. rape c. assault d. robbery 60. Defendants and their lawyers may opt for a trial if they think the case factually presents a reasonable doubt, or if: a. the prison sentence will be high. b. the defendant is guilty. c. they are likely to be convicted. d. the judge in the case is known to be a soft touch.

61. What plea has the same consequences in criminal court as a guilty plea? a. de jure b. de facto c. non compos mentos d. nolo contendere 62. Rule __________ requires a judge to “address the defendant personally in open court and determine that the plea is voluntary and did not result from force, threats, or promises.” a. 5 b. 7 c. 11 d. 15 63. The principal weakness of the excessive caseload hypothesis, in plea bargaining, is which assumption? a. purely mechanical process b. stagnant process c. dynamic process d. courtroom work group process 64. With a “plea on the nose,” a defendant: a. pleads guilty to the original charge. b. pleads guilty only to the top charge. c. avoids later prosecution for possibly related offenses. d. accepts the maximum sentence.

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Chap 12_13e 65. Which of the following is a key consideration for prosecutors when deciding whether to offer a defendant a plea deal? a. a defendant’s willingness to avoid incarceration b. a victim’s desire to have the case go to trial c. the strength of the case d. a defendant’s willingness to testify in another case 66. When the prosecutor allows the defendant to plead guilty to a less serious charge than the one originally filed, this is called: a. charge bargaining. b. count bargaining. c. sentence bargaining. d. limit bargaining.

67. The case of Boykin v. Alabama requires a judge to determine what? a. whether the plea is knowing and voluntary b. whether the defendant is guilty c. what the sentence should be d. the statutory maximum for the crime before accepting a plea Enter the appropriate word(s) to complete the statement.

68. Pursuant to Boykin v. Alabama, when a defendant enters a guilty plea, it must be intelligent and __________.

69. An Alford plea technically does not require __________.

70. To a prosecutor, a plea bargain represents the certainty of __________ without the risks of trial.

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Chap 12_13e 71. Many courts require defendants to read and sign a __________ form before pleading guilty.

72. The jury trial __________ is a theory that defendants who demand a jury trial will receive extra punishment if convicted because they did not agree to enter a guilty plea.

73. A guilty plea involves __________ of many constitutional rights.

74. A defendant must __________ waive his or her constitutional rights before a plea of guilty is accepted.

75. Following __________, the plea process has become more formalized.

76. In __________ v. New York, the U.S. Supreme Court ruled that prosecutors must keep their side of the plea bargain.

77. Trials are a __________ and time-consuming means of establishing guilt.

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Chap 12_13e 78. __________ is Latin for “I will not contest it.”

79. Defendants and their lawyers will opt for a(n) __________ if they think the prison sentence will be high.

80. To the __________, a plea bargain represents the certainty of conviction without the risks of trial.

81. In __________ bargaining, in return for the defendant’s plea of guilt to one or more charges, the prosecutor dismisses the remaining charges.

82. A common form of a plea agreement is called __________ bargaining. A plea of guilty is entered in exchange for leniency in sentencing.

83. __________ is possible because each of the legal actors understands the realities of action in law: the presumption of guilty, the costs and uncertainties of trial, and the concern with arriving at an appropriate sentence.

84. The primary benefit of a __________ is the possibility of a lenient sentence.

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Chap 12_13e 85. A plea of __________ is the criminal equivalent of a guilty plea.

86. In __________ bargaining, the prosecutor allows the defendant to plead guilty to a less serious charge than the one originally filed.

87. __________ can best be defined as the process through which a defendant pleads guilty to a criminal charge with the expectation of receiving some benefit from the state.

88. Describe the four basic patterns of state trial court judges.

89. List and describe three key developments involving plea bargaining.

90. Describe the different forms of plea bargaining for law on the books vs. law in action.

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Chap 12_13e 91. Imagine you are the defense attorney from the previous case (question 1). You and your client have decided to move forward with the case, but now you have to assess a variety of things, including the likely outcome at trial; the offer presented by the prosecutor; and a defendant’s possible willingness to accept a plea deal. You believe that it is in your client’s best interest, after going over new evidence presented, to take the plea deal that he is offered. However, your client does not want to accept the plea deal. You have been warned already not to take “garbage cases” to trial because they may incur the wrath of the judge, and the client may be given a jury trial penalty. How do you advise your clients of this possibility? What do you say and how do you help him decide what to do? Explain.

92. What is a Boykin form, and what does it ask defendants?

93. Imagine you are a judge in a case where the defendant has just presented an Alford plea. You dislike these types of please because you believe the defendant should have to acknowledge guilt on his record. You believe that Alford pleas rob society and the victim of justice. However, you are dealing with a heavy caseload and would like to be done with this case. How do you decide what to do? Do you accept the Alford plea? Explain.

94. Explain the reasons that some defendants plead guilty.

95. Imagine you are defendant and fully stand behind your case that you are not guilty. Your attorney is under heavy pressure though to push for plea bargaining because of the heavy caseload the court has. He is also new to his position, but you feel strongly about your innocence. The other courthouse actors the defense attorney is involved with strongly believe your guilt and are frustrated with attorney’s insistence to move this case forward.

How do you respond? How do you think your attorney would respond? Is there any way for you and your attorney to get what you want but appease the people your attorney is working with, especially the judge?

Explain.

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Chap 12_13e 96. Imagine you are a law student and a firm believer in the crime control process; you believe that defendants tend to get off too lightly when they take a plea bargain. Your professor, a former lawyer, believes that the due process model is the reason that plea bargaining should be avoided. He puts you on the spot in a class discussion, asking you to defend your reasoning, despite your lack of experience. How do you respond?

97. What are no contest pleas?

98. Describe Rule 11.

99. Explain the difference between a count bargain, a charge bargain, and a sentence bargain. Which do you think best benefits a defendant? Why?

100. Imagine you are a defense attorney and you’d like to recommend that your client go to trial. You believe strongly in his innocence and your client does not want to submit an Alford plea. The judge on the case, however, strongly believes the case has nothing to gain by going to trial and he is under pressure from a heavy caseload. This judge already has had to reprimand you in the past for “wasting his time,” and you would rather not push it any more. Maybe he is right. But you already talked to your client about moving forward and that is what you two believe is best. What do you do? Why?

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Chap 12_13e Answer Key 1. True 2. False 3. True 4. True 5. False 6. False 7. True 8. True 9. False 10. False 11. True 12. False 13. False 14. True 15. True 16. True 17. True 18. True 19. True 20. True 21. False 22. True 23. True 24. False 25. False 26. a

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Chap 12_13e 27. b 28. a 29. c 30. b 31. b 32. b 33. a 34. a 35. c 36. b 37. d 38. b 39. d 40. a 41. c 42. a 43. b 44. c 45. d 46. d 47. c 48. a 49. b 50. b 51. c 52. a 53. a 54. a Copyright Cengage Learning. Powered by Cognero.

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Chap 12_13e 55. b 56. a 57. d 58. a 59. d 60. a 61. d 62. c 63. d 64. a 65. c 66. a 67. a 68. voluntary 69. allocution 70. conviction 71. Boykin 72. penalty 73. waiver 74. knowingly 75. Santobello 76. Santobello 77. costly 78. Nolo contendere 79. trial 80. prosecutor 81. count 82. sentence 83. Bargaining Copyright Cengage Learning. Powered by Cognero.

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Chap 12_13e 84. plea 85. no contest (or nolo contendere) 86. charge 87. Plea bargaining 88. The four basic patterns are:

· A few judges are actively involved in plea negotiations, offering recommendations about case disposition. · Some judges are indirectly involved, reviewing the recommendations made by defense and prosecutor. · A small percentage of judges attend plea discussions but do not participate. · The majority of judges do not attend plea-negotiating sessions. Thus, their role is limited to ratifying agreements reached by others.

89. See box titled “Key Developments Involving Plea Bargaining.”

90. See box titled “Law on the Books vs. Law in Action: Forms of Plea Bargaining.”

91. Student responses may vary.

92. A Boykin form is given to someone who enters a plea of guilty in order to assure that the plea is “intelligent and voluntary.” Questions are asked to make sure the defendant understands the implications of a guilty plea.

Specifically, the defendant is asked if he/she understands that a guilty plea means that he/she gives up the right to a trial by jury, the right to remain silent, and the right to cross-examine witnesses and to present witnesses in their defense. They are also asked if they are entering the plea intelligently and voluntarily, and have not been coerced or provided anything in exchange for the plea. Questions must be answered and a form must be signed before the plea is accepted.

93. Student responses may vary.

94. To understand plea bargaining, it is important to recognize that it is often in the defendant’s best interest to give up the right to be presumed innocent at a trial. The primary benefit of a plea is the possibility of a lenient sentence. Around the courthouse, it is a common perception that defendants who refuse to plead guilty receive harsher sentences. For defendants who are unable to post bail, a guilty plea can mean an immediate release. Ultimately, defendants must decide whether to go along with the plea bargain or to take their chances at trial. Few defendants are in a position to make a reasoned choice between the advantages of a plea and those of a trial; most are poor, inarticulate, and have little formal education. For these defendants, the experience in the courts is like their life on the streets: They learn to go along. Often softened up by the experience in jail awaiting trial, many defendants find that entering a plea is the best way to go along and avoid the possibility of even harsher penalties.

95. Student responses may vary.

96. Student responses may vary.

97. A no contest plea is sometimes referred to as a plea of nolo contendere—Latin for “I will not contest it.” A nolo contendere plea is not an express admission of guilt by a defendant. Rather, it serves “as a consent by the defendant that he may be punished as if he were guilty and a prayer for leniency” (North Carolina v. Alford, 1970, p. 35 n.8).

Although a plea of nolo contendere has the same results in criminal proceedings as a plea of guilty, it cannot be used in a subsequent civil proceeding as a defendant’s admission of guilt. Thus, this plea is usually entered when civil proceedings and liabilities may result.

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Chap 12_13e 98. In light of Boykin, Rule 11 of the Federal Rules of Criminal Procedure and similar state provisions bars courts from

accepting a plea of guilty in felony proceedings unless the court is satisfied, after inquiry, that: 1. the plea is made knowingly, intelligently, and voluntarily; 2. the defendant committed the crime charged; and 3. the defendant is mentally competent to enter the plea and thereby waives important constitutional rights.

99. A count bargain is when the defendant has more than one charge and the prosecutor agrees to drop one or more of the charges in exchange for a guilty plea. A charge bargain is when a defendant pleads guilty to a less serious offense.

For example, a person may have initially been charged with drug trafficking but pleads guilty to intent to sell. A third type of plea agreement is called a sentence bargain. With this type of bargain, the defendant typically pleas to the original charge or charges (i.e., termed a “plea on the nose”) in exchange for a promise of leniency in sentencing.

Often times the three types of bargains work in conjunction with each other.

100. Student responses may vary.

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Chap 13_13e Indicate whether the statement is true or false.

1. For law in action, voir dire is when lawyers use questioning to predispose jurors in their favor. a. True b. False 2. Researchers find that many jurors make a preliminary decision with regard to the outcome of a case after hearing opening statements. a. True b. False 3. Little attention is devoted to reducing inconvenience of jury duty. a. True b. False 4. A gag order prohibits anyone involved in a case—police, prosecutor, defense attorney, defendant—from talking to the press. a. True b. False 5. The Federal Jury Selection and Service Act of 1968 was designed to ensure that no citizen shall be excluded from service as a grand or petit juror in the district courts of the United States on account of race, color, religion, sex, national origin, or economic status. a. True b. False 6. A petit jury is the jury that hears a criminal trial. a. True b. False 7. Alternative jurors replace regular jurors who disagree with the majority during deliberations. a. True b. False 8. The U.S. Supreme Court has ruled that master jury lists must reflect a representative and impartial cross section of the community. a. True b. False 9. The venire is the master jury list. a. True b. False 10. An attorney’s use of peremptory challenges cannot be scrutinized by the courts. a. True b. False Copyright Cengage Learning. Powered by Cognero.

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Chap 13_13e 11. The primary purpose of the jury is to prevent oppression by the government. a. True b. False 12. All persons charged with an offense for which any amount of incarceration is possible have a right to a jury trial. a. True b. False 13. In Batson v. Kentucky, the Supreme Court restricted the ability of prosecutors who used preemptory challenges to keep African-Americans off the jury in any case involving an African-American defendant. a. True b. False 14. Secondhand evidence is called hearsay. a. True b. False 15. The U.S. Supreme Court has ruled that juries do not have to consist of 12 members. a. True b. False 16. The voir dire process provides a way for prosecutors and defense attorneys to begin developing rapport with potential jurors. a. True b. False 17. In federal courts, defendants are entitled to a 12-person jury unless the parties agree in writing to a smaller jury. a. True b. False 18. A jury that is unable to reach a verdict is called a hung jury. a. True b. False 19. Both the adult criminal justice system and the juvenile justice system provide defendants a right to a trial by jury. a. True b. False 20. The U.S. Supreme Court has approved six-member juries in criminal cases. a. True b. False 21. The requirement that a jury reach a unanimous decision became a firm rule in England during the 15th century. a. True b. False Copyright Cengage Learning. Powered by Cognero.

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Chap 13_13e 22. The First Amendment limits the power of judges to control media coverage of a trial. a. True b. False 23. Attorneys in criminal trials have an unlimited number of peremptory challenges. a. True b. False 24. Most citizens who actually serve on a jury express overall dissatisfaction with their jury service. a. True b. False 25. For law on the books, venire is when judges vary in their willingness to excuse potential jurors because of hardship. a. True b. False Indicate the answer choice that best completes the statement or answers the question.

26. Lupe is exercising her right to a jury trial in state court for attempted murder. Which of the following rights does she most like have during the trial? a. the right to a supermajority verdict b. the right to a unanimous verdict c. the right to a simple majority verdict d. the right to have no media coverage during the trial 27. Criminal trials start with two presumptions: the presumption of innocence and the presumption of ________. a. sanity b. fairness c. reasonable doubt d. justice CASE 13.1 Throughout most of our nation’s history, the three broad constitutional provisions dealing with trial by jury had little applicability in state courts. The U.S. Constitution applied only to trials in federal courts. These practices changed dramatically, however, when the Supreme Court decided Duncan v. Louisiana (1968), ruling that the jury provisions of the Sixth Amendment were incorporated by the Due Process Clause of the Fourteenth Amendment to apply to state courts, as well. Subsequent decisions grappled with the problem of defining the precise meaning of the right to trial by jury. The most important issues concerned the scope of the right to a jury trial, the size of the jury, and unanimous versus nonunanimous verdicts.

28. Stefanie is caught shoplifting at her local pharmacy. Which of the following is most likely true? a. She will have to testify if her case goes to trial. b. She does not have a right to a jury trial. c. She has a right to a jury trial. d. Her jury trial must have nine members.

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Chap 13_13e 29. In which of the following crime labs have significant error in laboratory testing been documented? a. federal crime labs b. members of larger juries more accurately recall evidence c. federal, state, and local crime labs d. local crime labs 30. The minimum size criminal jury approved by the U.S. Supreme Court is __________. a. 6 persons b. 8 persons c. 10 persons d. 12 persons 31. The __________ Amendment guarantees that people should be secured against unreasonable searches and seizures. a. Fourth b. Fifth c. Sixth d. Seventh 32. In __________, it was found that state juries are not required by the U.S. Constitution to consist of 12 members. a. Duncan v. Louisiana b. Sheppard v. Maxwell c. Griffin v. California d. Williams v. Florida 33. What type of evidence is used to infer the existence of some fact in a dispute? a. circumstantial evidence b. demonstrative evidence c. direct evidence d. testimonial evidence 34. The jury selection when each side seeks to select jurors who are biased in its favor is found in which of the following? a. Law on the books b. Law in action c. a hung jury d. jury bias

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Chap 13_13e 35. What happens immediately prior to a jury beginning deliberations? a. The judge instructs the jury. b. The judge sequesters the jury. c. The judge begins voir dire. d. The judge summons the venire.

36. Which of the following is NOT a state in which juries of fewer than 12 are authorized for select felony cases? a. Arizona b. Connecticut c. New York d. Utah 37. In __________, the privilege against self-incrimination was found to prohibit the prosecutor from commenting on the defendant’s failure to testify during trial. a. Duncan v. Louisiana b. Sheppard v. Maxwell c. Griffin v. California d. Williams v. Florida 38. During the __________ century, the size of the English juries became fixed at 12. a. 14th b. 15th c. 16th d. 17th 39. What is the term indicating that a prosecutor in a criminal case must produce some evidence to justify moving a case forward? a. burden of proof b. burden of evidence c. burden of production d. burden of instructions 40. Individuals cannot serve on juries in any state if: a. they are not citizens of the United States. b. they have been convicted of a felony. c. they understand English, but are illiterate. d. All of these answers are correct.

41. What case replaced Frye regarding the admissibility of scientific testimony? a. Daubert v. Merrill-Dow Pharmaceuticals b. J.E.B. Petitioner v. Alabama c. Kumho Tire v. Carmichael d. Snyder v. Louisiana Copyright Cengage Learning. Powered by Cognero.

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Chap 13_13e 42. Which Amendment guarantees that “in all criminal prosecutions, the accused shall enjoy the right to a speedy and public trial, by an impartial jury”? a. Fourth Amendment b. Fifth Amendment c. Sixth Amendment d. Seventh Amendment 43. What is another name for trial juries? a. grand juries b. petit juries c. bench juries d. non juries 44. Failing to respond to a jury summons can result in a warrant being issued for arrest; punishments include ________. a. 30 days in jail b. $150 fine c. fines or jail sentences d. none of these answers is correct 45. How many challenges for cause may be made by the prosecution and the defense in a felony criminal trial? a. five b. ten c. fifteen d. an unlimited number 46. Under the Daubert standard, what is the lynchpin to admissibility? a. probability b. validity c. circumstance d. reliability 47. Challenges to jurors that do not require reasons are termed __________. a. automatic challenges b. discretionary challenges c. peremptory challenges d. ministerial challenges 48. In England, the concept of a jury functioning as an impartial fact-finding body was first formalized in 1215 in the: a. English Bill of Rights. b. Assize of Clarendon. c. Declaration of the Rights of Man. d. Magna Carta.

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Chap 13_13e 49. A trial before a judge without a jury is called a(n) __________. a. informal trial b. justice trial c. magistrate trial d. bench trial 50. In a high-profile case, what might be necessary to find a pool of potential jurors who could render a fair and impartial verdict, free from the taint of pretrial publicity? a. a change in custody b. a rebuttal c. jury consultants d. a change in venue 51. A defendant charged with a serious offense has the right to a jury trial only if the offense is punishable by a term of incarceration of more than __________. a. 30 days b. 90 days c. six months d. one year 52. In __________, the due process clause of the Fourteenth Amendment incorporates the Sixth Amendment’s right to a jury trial. a. Duncan v. Louisiana b. Sheppard v. Maxwell c. Griffin v. California d. Williams v. Florida 53. Included among those who are not covered by statutory exemption from serving on a jury panel are __________. a. police officers b. firefighters c. emergency medical personnel d. caregivers 54. Challenges to jurors that require a justification are called challenges __________. a. per se b. for cause c. by reason d. at law

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Chap 13_13e 55. During a bench trial, the defense prefers when the issues are either highly technical or very emotional. This is an example of __________. a. law on the books b. law in action c. a hung jury d. jury bias 56. Which of the following provides the best example of hearsay evidence? a. “As best as I can recall…” b. “Mary told me she saw…” c. “I told my wife…” d. “I don’t remember hearing anyone say…”

57. Which of the following types of evidence is generally NOT admissible at trial? a. DNA b. fingerprint c. hair analysis d. polygraph 58. Neither prosecutors nor defense attorneys may use peremptory challenges to eliminate potential jurors on the basis of __________. a. race or sex b. attitude or appearance c. unwillingness to follow the law d. refusal to answer questions 59. The questioning of potential jurors is called __________. a. voir dire b. venire c. sequester d. inquiry 60. Calvin is arrested for breaking and entering and assault with a weapon. If convicted, he faces a potential sentence total of five years in prison or ten years on probation. His attorney recommends he take a plea bargain offering him one year in prison. If he goes to trial, which of the following rights does he have? a. Jurors at his trial must reach a unanimous verdict. b. The jury at his trial must have at least eight members. c. The media will not be allowed in the courtroom. d. He has the right to a jury trial.

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Chap 13_13e 61. Pretrial publicity can taint a jury pool. Which process is supposed to screen out potential jurors who have been tainted? a. venire b. objections c. voir dire d. venue 62. What might happen to a jury if a judge is concerned about publicity in a trial? a. They might be nullified. b. They might be summoned. c. They might be venire. d. They might be sequestered.

CASE 13.2 Before the first word of testimony, trials pass through the critical stage of jury selection. Juries are chosen in a process that combines random selection with deliberate choice. Jury selection occurs in three stages: compiling a master list, summoning the venire, and conducting voir dire. Whether these processes actually produce fair and impartial juries has been the subject of much concern.

63. Basing the master jury list on voter registration tends to exclude which of the following? a. the poor b. the young c. racial minorities d. All of these answers are correct.

64. The jury selection is the process of selecting a fair and impartial jury in which of the following? a. Law on the books b. Law in action c. a hung jury d. jury bias 65. In __________, it was found that a criminal defendant’s Sixth Amendment right to a fair trial is violated when prejudicial pretrial publicity unfairly taints the trial process. a. Duncan v. Louisiana b. Sheppard v. Maxwell c. Griffin v. California d. Williams v. Florida 66. Which type of evidence serves as an auditory or visual aid to assist the fact-finder in understanding the evidence? a. scientific evidence b. real evidence c. testimonial evidence d. demonstrative evidence Copyright Cengage Learning. Powered by Cognero.

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Chap 13_13e 67. What type of research do jury consultants use to profile jurors? a. social scientific research b. legal research c. biological research d. historical research Enter the appropriate word(s) to complete the statement.

68. A trial before a judge without a jury is a(n) __________ trial.

69. The final step in jury selection is the ___________.

70. When citizens are selected to be in a jury pool, they will be notified via a(n) __________, a document that commands these selected citizens to appear at the courthouse for jury duty.

71. Before jury deliberations, the judge __________ the jury with regard to the applicable law.

72. The most frequently used source for compiling a master jury list are __________ lists.

73. Describe the different state provisions on the size of criminal juries, and a state that is classified in each.

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Chap 13_13e 74. The second step in jury selection is the drawing of the __________.

75. __________ challenges are the second method used by the prosecution and the defense in influencing who will sit on the jury.

76. __________ challenges involve strikes of potential jurors because they have some relationship to one of the “principals” or participants in the case.

77. Describe the differences in trials for law on the books vs. law in action.

78. What is the process for summoning jurors? What constitutional limitations have been established for this process?

79. The __________ Amendment guarantees that “in all criminal prosecutions, the accused shall enjoy the right to a speedy and public trial, by an impartial jury.”

80. Jury __________ uses social science research to __________ jurors.

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Chap 13_13e 81. Testimony that involves a witness stating that some else told them something is usually not admissible at trial because such testimony is __________.

82. Describe the differences in jury selection for law on the books vs. law in action.

83. The standard of proof in a criminal case is proof beyond a __________ doubt.

84. The first step in jury selection is the compilation of the __________ jury list.

85. __________ challenges involve strikes of potential jurors because the subject matter of the dispute presents issues on which the potential juror is biased, prejudiced, or predisposed to a particular outcome because of their belief system or experiences.

86. List the possible problems with forensic scientific evidence, and describe one of them.

87. The prejudicial effects of pretrial publicity can sometimes be overcome by a change of __________.

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Chap 13_13e 88. Summarize some of the basic rules of evidence.

89. In what ways do special limitations on expert witnesses affect the litigation of criminal cases? Discuss the cases that helped determine limitations on expert witnesses. Include a discussion of Frye and Daubert.

90. The minimum size of a jury approved by the U.S. Supreme Court (at least for noncapital cases) is __________ persons.

91. List and describe three of the key developments concerning the right to trial by jury after the adoption of the bill of rights.

92. The defense has the opportunity to __________ each of the prosecution’s witnesses.

93. Someone with a(n) __________ exemption may be a political office-holder or a paramedic.

94. The prosecution has the responsibility to overcome the presumption of __________.

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Chap 13_13e 95. A judicial order that prohibits persons involved with the case from providing information to the media is called a(n) __________ order.

96. Imagine that you are an attorney in a high-profile case. You want to do everything you can to make sure the jury selection is in your favor. You are considering using scientific jury selection to aid in this, but are concerned that this might be “working the system.” You believe in things being as fair as possible, but if you win this case, it could really help your career. There is nothing illegal about scientific jury selection, but you feel slightly wrong doing it. What would you do, and why?

97. Imagine you are a judge about to start a trial where the suspect is a former high-profile baseball player accused of rape and battery. You have reviewed the case and feel strongly that this man committed the acts. You have the option of trying to manage prejudicial pretrial publicity, but you believe that the extra publicity could shine light on the suspect’s guilt and would give him a better chance of getting what he deserves. What would you do? Is it fair to let him get negative pretrial publicity? Explain.

98. Imagine you are a defense attorney and your client is being tried for murder. After reviewing the case with your client, you tell him that you believe it’s in his best interest not to testify to avoid self-incrimination. Your client wants to testify though. You believe that, during cross-examination, there may be evidence brought forward that would work against your client. He says he’s innocent, though, so there is nothing that can work against him.

You think that his story may not sound believable. At this point, what would you do, and why?

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Chap 13_13e 99. Imagine you are a defense attorney in the middle of jury selection. Your client is a Black male who is being charged with the murder of a White female. You notice that the prosecution has eliminated two potential jurors who are Black males. Based on the prosecution’s questioning, you believe they have eliminated these jurors for good reason (from their standpoint). However, you are considering making a Brady challenge, because you think, based on those juror’s responses, would help your case. It could look like the prosecution was eliminating them due to race, even though you don’t really believe that’s what happened. What do you do, and why?

100. You are a judge on a felony trial. You have been asked to allow for a six-member jury selection. What kinds of questions would you need to ask in order to allow this? Or would you not allow this under any circumstance?

Do you believe six-member juries help or hurt the defendant more? Explain.

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Chap 13_13e Answer Key 1. True 2. True 3. False 4. True 5. True 6. True 7. False 8. True 9. False 10. False 11. True 12. False 13. True 14. True 15. True 16. True 17. True 18. True 19. False 20. True 21. False 22. True 23. False 24. False 25. False 26. b

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Chap 13_13e 27. a 28. b 29. b 30. a 31. a 32. d 33. a 34. b 35. a 36. c 37. c 38. a 39. c 40. a 41. d 42. c 43. b 44. c 45. d 46. d 47. c 48. d 49. d 50. d 51. c 52. a 53. d 54. b Copyright Cengage Learning. Powered by Cognero.

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Chap 13_13e 55. b 56. b 57. d 58. a 59. a 60. d 61. c 62. d 63. d 64. a 65. b 66. d 67. a 68. bench 69. voir dire 70. summons 71. instructs 72. voter registration 73. See Table 13.1, “State Provisions of the Size of Criminal Juries.”

74. venire 75. Peremptory 76. Principal 77. See box titled “Law on the Books vs. Law in Action: Going to Trial.”

78. Potential jurors are summoned to court using master jury lists, generally compiled from voter registration lists. The

people summoned are called the venire. The people in the venire participate in voir dire, the process designed to select a fair and impartial jury by asking members of the venire about potential biases related to the case.

Potential jurors who cannot be impartial and fair are excused for cause. Other members of the venire may be excused by either party by peremptory challenges as long as they are not used in a discriminatory manner that violates the constitutional guarantee of equal protection.

79. Sixth Copyright Cengage Learning. Powered by Cognero.

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Chap 13_13e 80. consultants; profile 81. hearsay 82. See box titled “Law on the Books vs. Law in Action: Jury Selection.”

83. reasonable 84. master 85. Fact-partial 86. See Table 13.4, “Problems with Forensic Scientific Evidence under Daubert.”

87. venue 88. The basic rules of evidence include the best-evidence, chain of custody, competency to testify, hearsay, relevancy, cumulative or unduly prejudicial evidence, privilege, and lay opinions. The best-evidence rule means that to provide the content of a writing, recording, or photograph, the original is generally required, because a copy is too easily altered. Chain of custody is the chronological documentation of the seizure, control, transfer, analysis, and disposition of evidence before it can be admitted into evidence at a trial. Competency to testify means that a witness must have personal knowledge about the matter about which he/she is testifying; must be capable of understanding the duty to tell the truth; and must be capable of expressing himself or herself so as to be understood by the jury either directly or indirectly through an interpreter. Hearsay is secondhand evidence. Evidence is relevant if it shows the existence of any fact that is of consequence to the determination of the action by making that fact more probable or less probable than it would be without the evidence. Cumulative or unduly prejudicial evidence is a waste of waste of time because it duplicates other evidence or it could unfairly prejudice, confuse, or mislead the jury. Privilege protects confidential discussion in certain relationships that are protected such as communications between attorney and client, clergy and penitent; physician and patient; psychotherapist ad patient; or husband and wife. Lay opinions are general opinion rationally based on common perceptions.

89. In contrast to lay witnesses, expert witnesses are permitted to give opinions on matters about which they have no

personal knowledge. Before someone is permitted to give opinions in court, the person must be qualified as an expert witness based on their knowledge, skill, experience, training, or education. But even the opinions of properly qualified experts are not admissible unless they meet other standards for admissibility, such as those specified in Federal Rule of Evidence 702. For much of the 20th century, the Frye test governed the admissibility of scientific testimony. In Frye v. United States (1923), a federal appeals court refused to allow an expert to testify about the results of a lie-detector test because the instrument had not gained general acceptance in the scientific community. The purpose behind the Frye test was to prevent unfounded scientific principles or conclusions based on such principles from being used at trial. Shortcomings of the Frye test, however, caused the drafters of the federal rules of evidence to replace Frye with rules that the U.S. Supreme Court fleshed out in Daubert v. Merrill-Dow Pharmaceuticals, Inc. (1993). Daubert established that trial court judges are supposed to act as gatekeepers who have a special obligation to ensure the reliability of scientific evidence.

Daubert suggested several factors that might be used in evaluating whether a particular scientific theory, study, or test is both valid and reliable, including whether it: is empirically testable and capable of replication; has been published and/or subjected to peer review; has a known or potential rate of error that is acceptably low; is logical, avoids bias, and has construct validity; adheres to recognized research methods and, if applicable, to proper sampling and statistical procedures for data analysis; and is generally accepted in the relevant scientific community.

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Chap 13_13e 90. six 91. See box titled “Key Developments Concerning the Right to Trial by Jury after the Adoption of the Bill of Rights.”

92. cross-examine 93. statutory 94. innocence 95. gag 96. Student responses may vary.

97. Student responses may vary.

98. Student responses may vary.

99. Student responses may vary.

100. Student responses may vary.

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Chap 14_13e Indicate whether the statement is true or false.

1. When a crime is perceived to be less serious, individual factors such as prior record are given relatively less weight than when the crime is more serious. a. True b. False 2. A sentencing guidelines grid allows for upward and downward departures from the guidelines. a. True b. False 3. One reason for high rate of imprisonment is the length of sentences. a. True b. False 4. New York has led the nation in downsizing its prison population. a. True b. False 5. The results of the most recent and methodologically sophisticated studies provide evidence that the contemporary sentencing process is not racially neutral. a. True b. False 6. Disparities refer to inconsistencies resulting from the decision-making process. a. True b. False 7. Because of evidence of racial discrimination, the U.S. Supreme Court struck down Georgia’s capital punishment statute in McCleskey v. Kemp. a. True b. False 8. Legislatively altered sentencing structures have had a minimal effect on prison populations across the United States. a. True b. False 9. The race of the offender and victim is less important in sentencing than the race of the offender alone. a. True b. False 10. Jail and prison overcrowding is the dominant reality of criminal justice policy. a. True b. False

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Chap 14_13e 11. Discrimination refers to legitimate influences on the sentencing processes. a. True b. False 12. Judges generally follow the sentencing recommendation provided in a probation officer’s presentence investigation report. a. True b. False 13. Imprisonment has become the dominant form of punishment only during the past three centuries. a. True b. False 14. Traditionally, courts have had a very hands-on policy regarding correctional institutions. a. True b. False 15. The finding that poor, young, minority males are disproportionately represented in prison populations provides proof of discrimination. a. True b. False 16. In United States v. Booker (2005), the Supreme Court held that the federal sentencing guidelines are unconstitutional but judges may use them as advisory. a. True b. False 17. The trend since the 1970s has been to reduce judicial discretion in sentencing. a. True b. False 18. A law on the books approach to mandatory minimum sentences stresses nullification by discretion, whereas a law in action approach stresses certainty of punishment. a. True b. False 19. The nation’s highest court has limited the conditions under which federal courts will recognize violations of a prisoner’s rights. a. True b. False 20. Evidence of racial imbalance in prison populations is not evidence of racial discrimination in the sentencing process. a. True b. False

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Chap 14_13e 21. Since Cunningham, it is clear that Blakely applies to state sentencing laws. a. True b. False 22. Researchers find that urban courts make greater use of probation and shorter prison terms than their rural counterparts. a. True b. False 23. Spending money for more prisons is not a high priority for the general public. a. True b. False 24. Seriousness of offense and prior record of the defendant are the most important factors in determining normal penalties. a. True b. False 25. Many judges say that sentencing is the most difficult part of the job. a. True b. False Indicate the answer choice that best completes the statement or answers the question.

26. In ancient societies, the primary purpose of punishment was __________. a. rehabilitation b. deterrence c. incapacitation d. retribution CASE 14.1

No consensus exists on how the courts should punish the guilty, perhaps due to the fact that five different philosophical principles guide sentencing in the United States: retribution, incapacitation, deterrence, rehabilitation, and restoration. These sentencing philosophies differ in important ways. Some focus on past behavior, whereas others are future-oriented. Some stress that the punishment should fit the crime, whereas others emphasize that punishment should fit the criminal. These issues influence contemporary thinking about sentencing.

27. Which sentencing philosophy encompasses the idea that offenders deserve punishment? a. retribution b. incapacitation c. deterrence d. rehabilitation

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Chap 14_13e 28. The Prison Litigation Reform Act severely limited the federal courts’ supervisory powers over what? a. state probation programs b. city prisons c. city probation programs d. state prisons 29. In __________, it was decided that prisoners can sue correctional officials in federal court under 42 U.S.C. 1983. a. Ex Parte Hull b. Robinson v. United States c. Cooper v. Pate d. Procunier v. Martinez 30. __________ has led the nation in downsizing its prison population through its public safety realignment efforts. a. California b. Texas c. New York d. Illinois 31. The Court has narrowed the list of death-eligible offenders by striking down death penalty provisions for most crimes. Which of the following crimes remains an open question? a. rape b. child rape c. homicide d. treason 32. Advocates of the due process model believe the death penalty is __________. a. immoral b. moral c. appropriate d. effective 33. Adults in which of the following conditions are under the most correctional supervision in the United States? a. jail b. prison c. probation d. parole 34. Which Amendment to the Constitution prohibits cruel and unusual punishments? a. Fourth Amendment b. Fifth Amendment c. Sixth Amendment d. Eighth Amendment Copyright Cengage Learning. Powered by Cognero.

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Chap 14_13e 35. What branch of government has the authority to choose among sentencing options? a. judicial branch of government b. executive branch of government c. judicial and the legislative branches of government d. legislative branch of government 36. A prison sentence that ranges from one to five years is a(n) __________. a. parole sentence b. indeterminate sentence c. mandatory minimum sentence d. determinate sentence 37. What concept dominated thinking about sentencing throughout much of the 20th century? a. retribution b. rehabilitation c. incapacitation d. deterrence 38. In ___________, the Eighth Amendment’s probation against cruel and unusual punishment applies to the states as well as the federal government. a. Ex Parte Hull b. Robinson v. United States c. Cooper v. Pate d. Procunier v. Martinez 39. Conditions of confinement lawsuits primarily involve which Amendment to the Constitution? a. Fifth Amendment b. First Amendment c. Second Amendment d. Eighth Amendment 40. What sentence specifically states the exact number of years to be served in prison? a. determinate sentence b. indeterminate sentence c. definite sentence d. predetermined sentence 41. Lawsuits by inmates contending that local, county, or state officials have deprived them of their constitutional rights are often termed __________ lawsuits. a. conditions of confinement b. correctional conditions c. corrections conditions d. conditions of corrections confinement Copyright Cengage Learning. Powered by Cognero.

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Chap 14_13e 42. Incapacitation that focuses on offenders with a high risk of serious recidivism is termed __________. a. focused incapacitation b. special incapacitation c. selective incapacitation d. restricted incapacitation 43. Of the 21 states that adopted sentencing guidelines, how many required judges to sentence within the presumptive sentencing guidelines? a. 5 states b. 8 states c. 11 states d. 20 states 44. A sum of money paid to the government by a person convicted of an offense as punishment is called __________. a. a fine b. restitution c. community service d. compensation 45. In what type of punishment does the offender directly compensate the victim for the harm caused by the criminal offense? a. restitution b. electronic monitoring c. a fine d. community service 46. Advocates of the due process model of criminal justice see the death penalty as __________. a. unfairly administered b. a deterrent c. appropriate d. none of these answers is correct 47. Of the 21 states that adopted sentencing guidelines, how many made judicial compliance with sentencing guidelines voluntary? a. 4 states b. 7 states c. 10 states d. 19 states

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Chap 14_13e 48. Executive branch influence on punishment is exercised through __________. a. mandatory minimum and determinate sentencing schemes b. restorative justice programs c. parole boards and pardons d. common law writs 49. What is the best known example of shock incarceration? a. probation b. intensive supervision probation c. parole d. boot camp 50. In 1994, __________ voters approved Measure 11, which imposed long mandatory prison terms for 16 designated violent and sex-related offenses. a. New Mexico b. Oregon c. California d. Florida 51. Advocates of the crime control model believe the death penalty is __________. a. moral b. immoral c. inappropriate d. ineffective 52. “An eye for an eye” is an example of a punishment based on __________. a. retribution b. rehabilitation c. incapacitation d. deterrence 53. In which 1972 case did the U.S. Supreme Court strike down all capital punishment laws? a. Furman v. Georgia b. Thomas v. Georgia c. Clark v. Georgia d. Gregory v. Georgia 54. In which 1976 case did the U.S. Supreme Court uphold guided discretion death penalty laws? a. Thurman v. Georgia b. Granger v. Georgia c. Tinsley v. Georgia d. Gregg v. Georgia

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Chap 14_13e 55. In __________, the U. S. Supreme Court struck down sentencing guidelines in the State of Washington, holding that the Sixth Amendment gives juries the power to make a finding of fact beyond a reasonable doubt. a. 1968 b. 1982 c. 1998 d. 2004 56. Prevention of crime through the physical restraint of offenders is an idea incorporated in which of the following sentencing philosophies? a. retribution b. incapacitation c. deterrence d. rehabilitation 57. Symbolic restitution usually involves some form of __________. a. community service b. direct payment to the victim c. imprisonment d. a fine 58. The 19th century British criminologist who popularized deterrence theory was __________. a. August Comte b. John Stuart Mill c. Isaac Newton d. Jeremy Bentham 59. What branch of government typically carries out sentences? a. judicial branch b. executive branch c. legislative branch d. correctional branch 60. In __________, the U.S. Supreme Court greatly altered how federal guidelines are used. a. United States v. Booker b. Mistretta v. United States c. Kimbrough v. United States d. Pepper v. United States 61. In __________, it was decided that prisoners retain First Amendment free speech rights while incarcerated. a. Ex Parte Hull b. Robinson v. United States c. Cooper v. Pate d. Procunier v. Martinez Copyright Cengage Learning. Powered by Cognero.

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Chap 14_13e 62. “Only by ‘locking him up and throwing away the key’ can we assure that he won’t be able to rape another woman.” That statement best matches which of the following purposes of punishment? a. retribution b. incapacitation c. general deterrence d. specific deterrence 63. “He got what he deserved! I feel better knowing that wife beaters must make public apologies.” That statement best matches which of the following purposes of punishment? a. retribution b. incapacitation c. general deterrence d. specific deterrence CASE 14.2

During the late 1960s and early 1970s, an unusual political coalition developed between liberals and conservatives. Both sides found considerable fault in existing sentencing practices. Although their reasons reflected fundamentally different concerns, liberals and conservatives defined the problem in similar terms: The criminal laws permitted too much latitude in sentencing, providing judges with little or no guidance on how to determine the proper sentence for each individual case.

64. Which of the following is true for both liberals and conservatives regarding changes to sentencing structures? a. They sought greater predictability in sentencing. b. They sought harsher sentencing. c. They sought more lenient in sentencing. d. They sought to take sentencing away from judges and give it to legislators.

65. The idea that the sentence of one offender should be a warning to others is inherent in which sentencing philosophy? a. retribution b. incapacitation c. deterrence d. rehabilitation 66. The most commonly used punishment in the United States is __________. a. restitution b. imprisonment c. an intermediate sanction d. probation

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Chap 14_13e 67. Adherents of the due process model were concerned about a __________. a. lack of fairness in sentencing b. lack of harshness in sentencing c. failure to keep offenders in prison long enough d. failure to release offenders from prison soon enough Enter the appropriate word(s) to complete the statement.

68. Structured sentencing schemes target sentencing decisions by __________.

69. __________ is concerned with how severe the punishment is.

70. Juries and not judges have the __________ to decide on important facts (other than prior record) that determine sentencing.

71. The idea of __________ justice under the law means that all persons convicted of the same offense should receive identical sentences.

72. According to __________, the purpose of punishment is the prevention of future crimes.

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Chap 14_13e 73. The concepts of __________ and discrimination highlight unwarranted variations in sentencing but point to different types of factors.

74. Judges sometimes consider __________ investigation reports when deciding on a sentence.

75. The __________ goal of criminal punishment postulates that those for whom the general deterrent of law was insufficient to prevent them from having engaged in the proscribed conduct should be subjected to punishment so that they will be personally discouraged from engaging in the proscribed conduct again.

76. The __________ goal of criminal punishment presumes that the threat of punishment will prevent the general population from engaging in the proscribed conduct.

77. The offender–victim __________ refers to the race of the defendant and the race of the victim.

78. A(n) __________ prison sentence is one in which the judge imposes a minimum and a maximum term of incarceration.

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Chap 14_13e 79. A law on the books approach to mandatory minimum sentences stresses __________ of punishment.

80. The __________ is concerned with how likely the actor is to get away with the crime as opposed to being caught.

81. The federal government and many states use sentencing __________ to limit judicial discretion in sentencing.

82. __________ circumstances may lead to a higher penalty.

83. True __________ sentencing schemes control release decisions, usually by abolishing parole boards in addition to other measures.

84. An example of a(n) __________ factor in sentencing may be use of a weapon and personal injury to the victim.

85. Sentencing __________ refers to inconsistencies in sentencing resulting from the decision-making process.

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Chap 14_13e 86. Sentencing guidelines direct the __________ to specific actions that should be taken.

87. Research suggests that the death penalty is most likely to be inflicted in cases involving a black offender and a __________ victim.

88. Imagine that you are a defense attorney. Over the years, you have noticed that a particular judge seems to be associated with several death-eligible offender cases. Do you feel that the judge has any sort of bias in against certain offenders, or is it a coincidence? How would you determine that? Also, do you think that judges should be limited in the sentences they are allowed to impose? Explain.

89. You are a judge who has been around the criminal justice system for decades. You remember the changes in sentencing structures that began during the 1960s and 1970s. You are wondering if, again, change needs to be made. After all this time, do you think that the current criminal justice system works? If so, why? If not, what changes do you think could be made? Explain.

90. Define, discuss, compare, and contrast deterrence, incapacitation, rehabilitation, and retribution.

91. List and describe three key developments concerning imprisonment from this chapter.

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Chap 14_13e 92. What are the responsibilities of the three different branches of government (legislative, judicial, and executive) regarding sentencing?

93. Summarize the two U.S. Supreme Court rulings that led to the bifurcated process for death penalty sentence.

94. You are a prison official who, last year, was unsuccessfully sued by a prisoner for “deliberate indifference.” A colleague of yours is facing threats of a similar situation. You believe that part of the problem that can lead to such threats, and even the possibility that such threats are true, is the lack of money spent on criminal justice.

Why do you think this could be the case? What advice would you give to your colleague? Explain.

95. How has the U.S. Supreme Court limited sentencing guidelines?

96. What are normal crimes? What are the two most important factors in determining normal penalties?

97. Imagine that you are a public defender working with a client who you think will be subject to mandatoryminimum sentencing. You do believe, however, that the high publicity that this case is receiving might be aiding the prosecution in receiving this mandatory-minimum sentencing, as they are not presenting a balanced picture of the crime. How can you fight for your client against the minimum sentencing and against the publicity that this case is seeing? Do you believe that the media is obligated to present both sides of the picture? Why or why not? Explain.

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Chap 14_13e 98. Define, discuss, compare, and contrast sentencing disparity and sentencing discrimination.

99. You have been a defense attorney for a decade and strive to see clients receive sentences that are alternatives to imprisonment. You feel they not only have more of their lives back but feel it can be a better way to lower prison overcrowding. You have wondered over time, though, if the criminal justice system is a strong institution of social control. What do you think? You think about other institutions, such as the family, schools, and organized religion. Do you think those are better institutions of social control that the criminal justice system?

Which ones, and why? Knowing this, how could you help make positive suggestions for prison alternatives?

Explain.

100. Describe the statutes that allow for probation.

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Chap 14_13e Answer Key 1. False 2. True 3. True 4. False 5. True 6. True 7. False 8. False 9. False 10. True 11. True 12. True 13. False 14. False 15. False 16. True 17. True 18. True 19. True 20. True 21. True 22. True 23. True 24. True 25. True 26. d

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Chap 14_13e 27. a 28. d 29. c 30. a 31. d 32. a 33. c 34. d 35. a 36. b 37. b 38. b 39. d 40. a 41. a 42. c 43. c 44. a 45. a 46. a 47. c 48. c 49. d 50. b 51. d 52. a 53. a 54. d Copyright Cengage Learning. Powered by Cognero.

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Chap 14_13e 55. d 56. b 57. a 58. d 59. b 60. a 61. d 62. b 63. a 64. a 65. c 66. d 67. a 68. judges 69. Severity of punishment 70. authority 71. equal 72. deterrence theory 73. disparity 74. presentence 75. specific deterrence 76. general deterrence 77. dyad 78. indeterminate 79. certainty 80. certainty of punishment 81. guidelines 82. Aggravating 83. determinate Copyright Cengage Learning. Powered by Cognero.

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Chap 14_13e 84. aggravating 85. disparity 86. judge 87. white 88. Student responses may vary.

89. Student responses may vary.

90. Deterrence theorists assume that the fear of punishment keeps individuals from engaging in crime. Crimes may also be prevented when offenders are incapacitated. Punishments that incapacitate physically eliminate or reduce an offender’s ability to commit crime. It may also be possible to reduce crime via rehabilitative programming.

Rehabilitative efforts aim to restore an offender to a constructive (i.e., law abiding) place in society through education, vocational, or therapeutic treatment. Unlike deterrence, incapacitation, or rehabilitation, crime prevention is not the focus of retribution. Instead, retribution merely requires that offenders be punished in a manner proportionate to the harm they have inflicted.

91. See box titled “Key Developments Concerning Imprisonment.”

92. The legislative branch of government defines the range of possible punishment for a given crime. The judicial branch of government has discretion in choosing the specific sentence for the individual criminal. The executive branch of government is responsible for carrying out the actual sentence, including running prisons, pardons, and parole.

93. The two 1970s death penalty cases that led to the bifurcated sentencing process for death penalty cases are Furman v.

Georgia (1972) and Gregg v. Georgia (1976). In Furman, the Court declared that most U.S. death penalty sentences were unconstitutional because of their arbitrary nature. In Gregg, the Court upheld death penalty laws that specified aggravating and mitigating circumstances for application of the death penalty and provided for separate guilt and sentencing phases of the trial.

94. Student responses may vary.

95. Beginning in 2000, the U.S. Supreme Court raised serious constitutional doubts about the constitutionality of state sentencing guidelines. In particular, the Court has held that juries and not judges have the authority to decide on important facts (other than prior record) that determine sentencing. Cunningham v. California (2007) made it clear that the Blakely decision applied not just to federal but to state sentencing schemes as well.

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Chap 14_13e 96. The scales of justice are the starting point in examining sentencing. First, we need to know what factors judges and other members of the courtroom work group weigh in deciding between prison and probation. Normal penalties are the most important consideration in sentencing. Based on the seriousness of the offense and the defendant’s prior record, courthouses have developed going rates, which are used as parameters in fine-tuning a sentence for a given offender. Sentencing involves a two-stage decision-making process. After conviction, the first decision is whether to grant probation or to incarcerate the defendant. If incarceration is chosen, the second decision is determining how long the sentence should be. Courtroom work groups must sentence real defendants found guilty of actual crimes.

Each defendant and crime is somewhat different. Sentences are expected to be individualized—to fit the penalty to the crime and the defendant. In seeking individualized sentences, courtroom work groups use normal penalties (Spohn, 2009; Sudnow, 1965). Based on the usual manner in which crimes are committed and the typical backgrounds of the defendants who commit them, courtroom work groups develop norms of what penalties are appropriate for given categories. The normal sentences are not used mechanically; rather, they guide sentencing. It is within the context of these normal penalties that individualization occurs. Upward and downward adjustments are made. Normal penalties governing appropriate sentences for defendants take into account the seriousness of the crime, the prior criminal record, and any aggravating or mitigating circumstances. The most important factor in setting normal penalties is the seriousness of the offense (Doerner & Demuth, 2014; Kim, Spohn, & Hedberg, 2015; Spohn, 2009; Spohn & DeLone, 2000; Steffensmeier, Ulmer, & Kramer, 1998). The more serious the offense, the less likely the defendant will be granted probation. Also, the more serious the offense, the longer the prison sentence.

After the seriousness of the offense, the next most important factor in sentencing is the defendant’s prior record (Albonetti, 1997; Doerner & Demuth, 2014; Spohn, 2009; Ulmer, 1997). As the prior record increases, so does the sentence. In choosing between probation and imprisonment, the courtroom work group carefully considers the defendant’s previous criminal involvement. How courts assess prior records varies. Some consider only previous convictions, whereas others look at arrests as well. In addition, courtroom work groups often consider the length of time between the current offense and the previous one. Finally, the prior record is assessed within the context of the severity of the crime itself. When the crime is perceived as being less serious, individual factors such as prior record seem to be given relatively more weight than when the crime is more serious.

97. Student responses may vary.

98. Discriminatory sentencing arises due to discretionary decision making based on extralegal considerations such as race, ethnicity, gender, and social class. Numerous studies have probed the extent to which these extralegal variables improperly influence sentencing outcomes. The results from these studies are mixed. Disparity refers to inconsistencies in sentencing resulting from the decision-making process. There is disparity in the sentences given to defendants in different states due to differences in state laws. In addition, researchers also acknowledge that differences in judicial backgrounds and attitudes contribute to disparate sentencing outcomes.

99. Student responses may vary.

100. State and federal laws grant judges wide discretion in deciding whether to place a defendant on probation. In general, statutes allow probation when it appears that:

1. The defendant is not likely to commit another offense.

2. The public interest does not require that the defendant receive the penalty provided for the offense.

3. The rehabilitation of the defendant does not require that he or she receive the penalty provided for the offense.

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Chap 15_13e Indicate whether the statement is true or false.

1. Defendants convicted of violent offenses and sentenced to lengthy prison terms are less likely to win on appeal than those convicted of less serious offenses. a. True b. False 2. The Roberts Court appears to be slightly more conservative than the Rehnquist Court. a. True b. False 3. After a notice of appeal is filed, the next step in the process is for the appellate court to hear oral arguments in the case. a. True b. False 4. When a jury imposes a sentence of death, the case must be appealed regardless of the defendant’s wishes. a. True b. False 5. The same eight justices sat on the Supreme Court for 11 years, until 2005. a. True b. False 6. All errors are subject to the harmless error rule except plain errors. a. True b. False 7. After a “not guilty” verdict is returned, the prosecutor cannot appeal the acquittal, even if the original trial was littered with serious mistakes. a. True b. False 8. The current U.S. Supreme Court is highly polarized. a. True b. False 9. Scholars refer to Court eras according to the chief justice. a. True b. False 10. Collateral attacks on criminal convictions are civil proceedings. a. True b. False

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Chap 15_13e 11. Differences in how state courts of last resort respond to death penalty appeals are random. a. True b. False 12. Oral argument provides an opportunity for face-to-face contact between the appellate judges and lawyers. a. True b. False 13. A consensus exists that everyone who loses in a trial court should have the right to appeal to a higher court. a. True b. False 14. No typical state court of last resort exists. a. True b. False 15. Appeals courts hear evidence at trials. a. True b. False 16. False confessions occur when people confess to crimes they did not commit. a. True b. False 17. The most common type of postconviction relief is mandamus. a. True b. False 18. Appeals are started when the prosecutor files a notice of appeal. a. True b. False 19. The losing party in the lower court has an unlimited amount of time to file an appeal. a. True b. False 20. Postconviction reviews collaterally attack convictions in civil court. a. True b. False 21. The judge who disagrees with the majority opinion in an appeal may write a dissenting opinion. a. True b. False

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Chap 15_13e 22. The two primary functions of appeals are error correction and policy formation. a. True b. False 23. In appeals cases, lawyers for both sides appear before a panel of judges to argue about the law applicable to the case. a. True b. False 24. The jurisdiction of the U.S. Supreme Court is almost completely discretionary. a. True b. False 25. The bulk of trial court filing is never appealed because the case is settled without a trial. a. True b. False Indicate the answer choice that best completes the statement or answers the question.

CASE 15.2

Criminal appeals are generally routine because they seldom raise meritorious issues (Primus, 2007; Wold & Caldeira, 1980). Current standards of effective assistance of counsel often force lawyers to appeal, no matter how slight the odds of appellate court reversal. As a result, a significant number of criminal appeals lack substantial merit. For example, of the roughly 10,000 written dispositions in criminal appeals filed by defendants in the California Court of Appeals between 2013 and 2014, the court reversed only about 880 (9 percent) convictions (Judicial Council of California, 2015). Why do criminal appeals rarely succeed? First, the appellate standards of review applicable to most decision-making during criminal trials are highly deferential to trial court outcomes (Primus, 2007). Second, appellate courts often find that no reversible error was committed during the trial court proceedings.

26. Given the information provided, which of the following statements is true? a. The rules of appeals are designed not to disturb the results of a criminal trial unless a serious, reversible error has occurred. b. The rules of appeals are designed not to disturb the results of a criminal trial unless any error has occurred. c. The rules of appeals are designed not to disturb the results of a criminal trial unless no error has occurred. d. The rules of appeals are designed to disturb the results of a criminal trial.

27. During trials, attorneys must make timely objections to judge’s rulings on points of law, or the objection will be deemed waived. What is the name of the rule? a. contemporaneous objection rule b. on-the-record objection rule c. relinquished objection rule d. concurrent objection rule Copyright Cengage Learning. Powered by Cognero.

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Chap 15_13e 28. For __________ years, the same nine justices sat on the Supreme Court; however, this changed in 2005. a. 5 b. 7 c. 11 d. 16 29. A legal error that requires the lower court’s ruling to be overturned is called a __________. a. fatal error b. reversible error c. primary error d. consequential error 30. What percentage of defendants who are sentenced to death in the United States are later shown to be innocent? a. 1.2 percent b. 2.5 percent c. 4.1 percent d. 6.2 percent 31. This is the reason for a new trial by a different tribunal: a. de novo b. for reasonableness c. for clear error d. for abuse of discretion 32. Which Act, passed in 1996, greatly restricted access to habeas corpus actions? a. Innocence Protection Act b. Prosecutorial Misconduct Act c. Antiterrorism and Effect Death Penalty Act d. Judicial Act 33. Defects seriously affecting substantial rights that are so prejudicial to a jury’s deliberations “as to undermine the fundamental fairness of the trial and bring about a miscarriage of justice” are called __________. a. consequential errors b. plain errors c. critical errors d. primary errors 34. Most intermediate courts decide most cases in rotating panels of how many judges? a. three b. five c. seven d. nine Copyright Cengage Learning. Powered by Cognero.

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Chap 15_13e 35. How do postconviction remedies differ from appeals? a. They may be filed only by those actually in custody. b. Postconviction petitions may bring up issues not raised during trial. c. Many state courts allow unlimited postconviction remedies. d. All of these answers are correct.

36. What is the appellate standard for questions of law? a. clear error b. harmless error c. deference d. de novo 37. A court that must hear an appeal has what kind of appellate jurisdiction of that appeal? a. compulsory b. contingent c. mandatory d. presumptive 38. The party who lost in the lower court and files the first appeal is called the __________. a. respondent b. appellee c. appellant d. complainant 39. Oral arguments involve face-to-face contact between __________. a. appellate judges and lawyers b. appellate judges and defendants c. appellate judges and prosecutors d. appellate judges and witnesses 40. __________ percent of wrongful convictions come from exonerated murder and rape cases. a. 15 b. 35 c. 65 d. 95 41. The error-correction function of appellate review protects against arbitrary, capricious, or mistaken legal decisions by a trial court __________. a. judge b. prosecutor c. defense attorney d. work group

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Chap 15_13e 42. Criminal defendants are guaranteed the right to have an appellate court directly examine their convictions for all types of alleged errors as long as they do what? a. File a writ of habeas corpus. b. File a notice of appeal within the specified time limits. c. Request a hearing with the judge. d. File a request for de novo review.

43. New Jersey abolished the death penalty in __________. a. 1963 b. 1977 c. 1998 d. 2007 44. A legal error by a lower court that does not require reversal is called a(n) __________. a. harmless error b. moot error c. frivolous error d. undisrupted error 45. High courts of last resort help to set justice policy through their exercise of their __________. a. discretionary appellate jurisdiction b. mandatory appellate jurisdiction c. concurrent appellate jurisdiction d. recurrent appellate jurisdiction 46. A court that has a choice as to whether or not to hear the appeal is said to have what kind of appellate jurisdiction? a. discretionary b. optional c. prescient d. elective 47. Which of the following is true of many state court systems regarding postconviction remedies? a. They are unlimited. b. They are strictly limited. c. Prisoners can only file them pro se. d. Attorneys for filing are provided.

48. Discretionary decisions made by a judge will receive which kind of deference in the appellate review process? a. none b. moderate c. high d. very high Copyright Cengage Learning. Powered by Cognero.

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Chap 15_13e 49. The written legal arguments filed with the appellate court are called __________. a. notices b. action documents c. briefs d. contentions 50. Of the exonerations in 2016, __________ percent involved official misconduct by criminal justice system actors. a. 25 b. 42 c. 68 d. 74 51. Since __________, over 349 inmates have been exonerated by DNA evidence. a. 1956 b. 1962 c. 1979 d. 1989 52. Appellate courts often find no reversible error was committed during the trial court proceedings in large part because of the __________. a. harmless error doctrine b. plain error doctrine c. reversible error doctrine d. deferential error doctrine 53. What is an amicus curiae brief? a. a friend of the court brief b. an appellate brief c. a request for the U.S. Supreme Court to hear an appeal d. a request for a state high court to hear an appeal 54. What is the name of the situation where a case is heard by all the judges on the appellate court? a. de facto b. corpus delicti c. mandamus d. en banc

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Chap 15_13e 55. During the __________, the Supreme Court for the first time attempted to exercise strong policy control over the administration of criminal justice. a. 1950s b. 1960s c. 1970s d. 1980s 56. Severe defects in trial proceedings that require reversal of a conviction and remand for a new trial in order to avoid a miscarriage of justice are called __________. a. plain errors b. harmless errors c. reversible errors d. None of these answers is correct.

57. Which U.S. Supreme Court era is known for being a benchmark in civil liberties and civil rights? a. Warren Court b. Rehnquist Court c. Burger Court d. Roberts Court 58. Questions of fact decided by a judge will receive which standard of appellate review? a. de novo b. reasonableness c. clear error d. abuse of discretion CASE 15.1

Appeals courts approach appellate decision making in different ways, depending on the types of questions presented for review on appeal. Sometimes appellate courts are very deferential to what happened in lower courts, whereas other times they give no deference at all. How much deference or scrutiny an appellate court will afford to the decisions of a judge, jury, or administrative agency in an appeal is referred to as the standard of review.

59. The least deferential standard of appellate review in criminal cases is __________. a. de novo b. reasonableness c. clear error d. abuse of discretion

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Chap 15_13e 60. The __________ Amendment to the U.S. Constitution prevents the prosecution from seeking to have a “not guilty” verdict overturned on appeal. a. Fifth b. Fourth c. Eighth d. Sixth 61. The most common type of postconviction relief is __________. a. habeas corpus b. mandamus c. de novo d. emeritus 62. What is the last of the six customary phases in the appeals process? a. filing a notice of appeal b. briefing the cases c. designating the record on appeal d. writing the opinion 63. The District of Columbia and about __________ other states have created intermediate courts of appeals. a. 11 b. 19 c. 32 d. 40 64. The practice of state courts using state constitutions to reinvigorate rights and make policy is called the new judicial __________. a. federalism b. activism c. directive d. pronouncement 65. Of the exonerations in 2016, __________ percent occurred in cases in which no crime actually occurred. a. 28 b. 57 c. 47 d. 92

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Chap 15_13e 66. Of the exonerations in 2016, __________ percent occurred in cases where defendants had pled guilty even though they were innocent. a. 18 b. 28 c. 45 d. 78 67. Which of the following is a primary purpose of the appellate process? a. error correction b. enforcing court orders c. enforcing judgments d. controlling discretion Enter the appropriate word(s) to complete the statement.

68. The two primary functions of __________ are error correction and policy formation.

69. When lawyers think an error is being made at trial, they must object to give the trial court __________ the opportunity to correct the error.

70. The most obvious function of appellate courts is __________ correction.

71. The term __________ refers to the movement in the state supreme courts to reinvigorate state constitutions as sources of individual rights over and above the rights granted by the U.S. Constitution.

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Chap 15_13e 72. During trial, attorneys must make timely objections to the judge’s rulings on points of law, or the objection will be deemed waived. This is called the __________ objection rule.

73. __________ are attempts to avoid the effects of a prior court decision by bringing a different action in new court proceedings.

74. The amount of deference afforded by an appellate court is referred to as the __________ of review.

75. When a not guilty verdict is returned, the prosecutor cannot __________ the acquittal.

76. An appellate court’s written decision and explanation is called a(n) __________.

77. The party who initiates or files the first appeal is called the __________.

78. __________ appellate jurisdiction concerns the cases that an appeals court may elect to hear, but is not required to adjudicate.

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Chap 15_13e 79. Most of the U.S. Supreme Court’s jurisdiction is __________.

80. The __________ standard allows an appellate court to consider any legal question without regard or deference to the decision made by a lower court.

81. Unlike trial courts, appellate courts do not hear __________ at trials.

82. Questions of fact are reviewed for __________ error.

83. __________ removed all claimed of Fourth Amendment search and seizure violations from the scope of federal habeas review.

84. __________ overruled Brown v. Allen by requiring federal courts to afford deference to state court findings of fact.

85. If the lower court made a substantial legal error, the appellate court deems it a(n) __________ error.

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Chap 15_13e 86. The Fifth Amendment ban on __________ generally prohibits retrial of a person who has already been convicted of the same crime.

87. The __________ Court officially began when William Rehnquist was elevated from associate justice to chief justice.

88. Describe the Antiterrorism and Effective Death Penalty Act.

89. You are a law student faced with a project involving some intrinsically motivated questions. Follow the prompt outlined by your professor: Based on the Warren Court decisions, you know that defendants are entitled to a court-appointed lawyer, even if they cannot afford one. This occurred in the 1960s. Do you feel this was a fair decision? Further, should all lawyers be affordable and available to all defendants? Or should lawyers be allowed to set their own rates, so that some may not be able to afford a particular lawyer? Do you that the Warren Court decisions were necessary? Should defendants have to accept that they cannot file for appeal because they cannot afford the expense? Explain.

90. You have been tasked with an assignment in researching and reporting about the incidence of people appealing after losing in court. While in the midst of your research, you begin to wonder if there are ways to get more people to appeal. How do you think this could happen? Explain.

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Chap 15_13e 91. Describe three key developments in federal habeas corpus law from 1953 to 1996.

92. Imagine that you are a judge faced with receiving an oral argument on a recent appeals case. You have the opportunity to eliminate oral arguments, as some judges have deemed them to not be very helpful. You are undecided in this case. You have a heavy caseload and don’t particularly have time to hear the oral argument, but wonder if it’s still in your duty to hear it. What would help you decide whether to hear the argument or not?

Does it matter what type of case it is, or is it more a matter of personal preference? Explain.

93. As the instructor at a law university, you go over the important qualities that lawyers need to have. What ideas do you give to and receive from the students? Do you think that formal education is important for future lawyers, or would it be more important to have more time spent on internship opportunities and hands on experience? How would more formal education or more internship experience better serve defendants?

Explain.

94. Describe the steps in the appellate process for law on the books vs. law in action.

95. What are the different standards of appellate review? What impact do they have on criminal appeals?

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Chap 15_13e 96. You are a researcher exploring how to reduce people’s fear of crime and those who cause it. In your research, you could not find a correlation between the people who fear crime and those who are most likely to be victims of crime. What do you suppose are the factors that contribute to people’s fear of crime? Why do you think that certain types of people are more likely to become crime victims than others are? Do you think that the fact that people have the right to appeal, after they have lost a case, has anything to do with victims being afraid of crimes being repeated? Explain.

97. Define, compare, and contrast plain error, reversible error, and harmless error.

98. Why are most criminal cases affirmed by appellate courts?

99. Outline the standard of appellate review in criminal cases.

100. Outline the state appellate court structure.

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Chap 15_13e Answer Key 1. True 2. True 3. False 4. True 5. False 6. True 7. True 8. True 9. True 10. True 11. False 12. True 13. True 14. True 15. False 16. True 17. False 18. False 19. False 20. True 21. True 22. True 23. True 24. True 25. True 26. a

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Chap 15_13e 27. a 28. c 29. b 30. c 31. a 32. c 33. b 34. a 35. d 36. d 37. c 38. c 39. a 40. d 41. a 42. b 43. d 44. a 45. a 46. a 47. a 48. d 49. c 50. b 51. d 52. a 53. a 54. d Copyright Cengage Learning. Powered by Cognero.

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Chap 15_13e 55. b 56. a 57. a 58. c 59. a 60. a 61. a 62. d 63. d 64. a 65. b 66. c 67. a 68. appeals 69. judge 70. error 71. new judicial federalism 72. contemporaneous 73. Collateral attacks 74. standard 75. appeal 76. opinion 77. appellant 78. Discretionary 79. discretionary 80. de novo 81. evidence 82. clear 83. Stone v. Powell Copyright Cengage Learning. Powered by Cognero.

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Chap 15_13e 84. Patton v. Yount 85. reversible 86. double jeopardy 87. Rehnquist 88. In terms of habeas corpus actions filed in federal courts, the act:

•Imposed a strict deadline for filing a habeas petition within one year of the underlying state court judgment becoming final •Limited successive petitions •Restricted the review of petitions by state prisoners if the claim was adjudicated on the merits in state courts •Required a “certificate of appealability” before a habeas petition could be appealed to a federal court of appeals •Provided that decisions of a federal appellate panel are not appealable by writ of certiorari to the Supreme Court 89. Student responses may vary.

90. Student responses may vary.

91. See box titled “Key Developments in Federal Habeas Corpus Law, 1953–1996.”

92. Student responses may vary.

93. Student responses may vary.

94. See Law in Action vs. Law on the Books box titled “Steps in the Appellate Process.”

95. Appeals courts approach appellate decision making in different ways, depending on the types of questions presented for review on appeal. Sometimes appellate courts are very deferential to what happened in lower courts, while other times they give no deference at all. How much deference or scrutiny an appellate court will afford to the decisions of a judge, jury, or administrative agency in an appeal is referred to as the standard of review. The most frequently used standards of review in criminal cases include de novo, mixture of de novo and clear error, clear error, reasonableness/substantial evidence, and abuse of discretion. Given these standards of review, criminal appeals rarely involve questions of fact decided by a judge or jury. Because they have not been directly exposed to the evidence, appellate courts are reluctant to second-guess findings of fact made in lower courts. “Factual findings, whether by the trial court judge or the jury, are rarely a basis for reversal. Absent certain types of error, it is improper for the reviewing court to substitute its judgment for that of the jury; having guilt or innocence decided by the community is a central tenet of the American legal system. The rationale for the principle that it is the exclusive province of the fact-finder to determine credibility is that the fact-finder had the opportunity to see the witness(es) testify at trial, and is therefore in a much better position to determine credibility issues. Equally cogent is the idea of judicial economy—that the already overburdened judicial system simply cannot afford to retry every case on appeal” (TerBeek, 2007, p. 36). In contrast to the highly referential appellate review of factual issues, questions of law are reviewed without deference on appeal. Questions of law (or mixed questions of fact and law) that are commonly raised on appeal include defects in jury selection, improper admission of evidence during the trial, and mistaken interpretations of the law. The appellant may also claim constitutional violations, including illegal search and seizure or improper questioning of the defendant by the police. Finally, some defendants who have pled guilty may seek to set aside the guilty plea because of ineffective assistance of counsel or because the plea was not voluntary.

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Chap 15_13e 96. Student responses may vary.

97. Appellate courts modify, reverse, remand, or reverse and remand only if they find error—that is, a mistake made during the trial. If the error is substantial, it is called reversible error by the higher court. If the error is minor, it is called harmless error. This distinction means that an appellate court may find error, but may nonetheless affirm the lower court decision anyway if the mistake was not significant enough to have had a prejudicial effect on the ultimate outcome of the case. Although the contemporaneous objection rule bars an appellate court from considering any claim on appeal to which a timely objection was not made there is one exception to this rule for mistakes that constitute plain error. Plain errors are defects seriously affecting substantial rights that are so prejudicial to a jury’s deliberations “as to undermine the fundamental fairness of the trial and bring about a miscarriage of justice” (United States v. Polowichak, 1986, p. 416).

Even when an appellant preserves a claim by timely objection and the appellate court finds that the trial court erred, the appellate court may still affirm the conviction if it finds that the error was harmless. This harmless error rule avoids the “setting aside of convictions for small errors or defects that have little, if any, likelihood of having changed the result of the trial” (Chapman v. California, 1967). If the error was of constitutional dimensions, the appellate court must determine “beyond a reasonable doubt that the error complained of did not contribute to the verdict obtained” (p. 23). If the error was not of constitutional dimensions, the appellate court must determine with “fair assurance after pondering all that happened without stripping the erroneous action from the whole that the judgment was not substantially swayed by the error” (Kotteakos v. United States, 1946, p.

765). Most types of error are subject to harmless error analysis, including classic trial errors involving the erroneous admission of evidence (Arizona v. Fulminante, 1991). Some types of error, however, involve rights so basic to a fair trial that they can never be considered harmless, such as conflicts of interest in representation (Holloway v. Arkansas, 1978); denial of the right to an impartial judge (Chapman v. California, 1967); racial, ethnic, or sex discrimination in grand jury or petit jury selection (Vasquez v. Hillery, 1986; Batson v. Kentucky, 1986; J.E.B. v. Alabama ex rel. T.B., 1994); and a failure to inquire whether a defendant’s guilty plea is voluntary (United States v.

Gonzalez, 1987).

98. Current standards of effective assistance of counsel often force attorneys to appeal even if the chances of success are small and, thus, many appeals lack substantial merit. There are two main reasons that most criminal cases are affirmed on appeal. First, appellate courts are highly deferential to trial courts and, therefore, the rules of appeal are designed not to disturb cases unless a serious, reversible error has occurred. Second, appellate courts rarely find a reversible error.

99. See Table 15.2, “Standard of Appellate Review in Criminal Cases (From Least Deferential to Most Deferential.”

100. See Table 15.1, “State Appellate Court Structure.”

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