FIRST DISTRICT APPELLATE PROJECT TRAINING … Checklist for...FIRST DISTRICT APPELLATE PROJECT TRAINING SEMINAR January 11, 2013 PRACTICE CHECKLIST FOR ADULT CRIMINAL AND JUVENILE

FIRST DISTRICT APPELLATE PROJECT

TRAINING SEMINARJanuary 11, 2013

PRACTICE CHECKLIST FOR ADULT CRIMINAL

AND JUVENILE DELINQUENCY APPEALS

RICHARD BRAUCHERStaff Attorney

First District Appellate ProjectJanuary 2013

Table of Contents

I. Introduction and Overview...................................................p. 1

A. Goal of this Document.................................................p. 1

B. Why Use a Checklist?..................................................p. 1

II. The Home Office..................................................................p. 2

A. Tool Kit........................................................................p. 2

1. Primary Sources...................................................p. 2

a. Paper............................................................p. 2b. Computer.....................................................p. 2c. Misc.............................................................p. 3

2. Secondary Sources ..............................................p. 3

a. Appellate and Post Conviction....................p. 3b. Criminal Law..............................................p. 3c. Evidence.....................................................p. 4d. Jury Instructions..........................................p. 4e. Search and Seizure......................................p. 4f. Collateral Consequences.............................p. 5g. Three Strikes...............................................p. 6h. Brief Banks.................................................p. 5i. Project Websites: FDAP, CCAP, SDAP,

CAPLA, ADI..............................................p. 5

i

B. Your Extended Family ................................................p. 6

C. Your Daily Routine .....................................................p. 7

III. Your Case.............................................................................p. 8

A. Notice of Appeal .........................................................p. 8

B. Getting Started ............................................................p. 8

1. Expedited or Special Relief Necessary?..............p. 82. Bail or Stay on Appeal .......................................p. 93. Know Your Deadlines and Calendar Them ........p. 9

C. Communicating with Your Client .............................p. 10

1. Best Practices for Communication with Clients .......................................................p. 10

2. The Introductory Letter .....................................p. 103. Following Through ...........................................p. 124. The Closing Letter ............................................p. 12

D. Communicating with Trial Counsel ..........................p. 13

E. Read the Record.........................................................p. 14

F. Assembling the Record..............................................p. 15

G. Superior Court File and Exhibits................................p. 15

ii

H. Transmit Exhibits to the Court of Appeal..................p. 16

I. Settled Statement........................................................p. 16

J. Strategize and Assemble the Issue List......................p. 16

K. The Opening Brief.....................................................p. 17

L. Supplemental Brief....................................................p. 19

M. Reply Brief.................................................................p. 19

N. Amicus Brief..............................................................p. 20

O. Habeas........................................................................p. 20

P. Oral Argument...........................................................p. 22

1. Things to Consider When Deciding Whetherto Request Oral Argument.................................p. 22

2. Preparation.........................................................p. 223. Argument...........................................................p. 23

a. When Your Case is Called.........................p. 24

Q. After Oral Argument..................................................p. 24

R. The Opinion...............................................................p.24

S. Petition for Rehearing................................................p. 25

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T. Petition for Review....................................................p. 25

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PRACTICE CHECKLIST FOR ADULT CRIMINAL

AND JUVENILE DELINQUENCY APPEALS (BETA VERSION)

I. Introduction and Overview

A. Goal of this Document

G To encourage everyday use of checklists in all aspects of yourpractice.

G To assist you in developing your own checklists that work foryou.

B. Why Use a Checklist?

G Forgetting to execute a single necessary task may result in totalfailure of your project.

G Use a checklist, and you will never forget a necessary task.

G Improves your performance by providing new insights andideas about how to improve your practice.

G Keeps you organized.

G Promotes confidence.

G Relieves stress!

II. The Home Office

A. Tool Kit

1. Primary Sources

a. Paper

G Cal. Penal Code (West or LEXIS-NEXIS)

G Cal. Evidence Code (West or LEXIS-NEXIS)

G Cal. Rules of Court (West or LEXIS-NEXIS)

G Cal. Juvenile Laws and Rules (West)

G Cal. Style Manual

G CALCRIM (West or LEXIS-NEXIS)

G

b. Computer

G Searchable Database (Westlaw or LEXIS)

G Opinions: California, Ninth Circuit, US Supreme Court:(The Recorder, The Daily Journal or FDAP Free Law Library)

G

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c. Misc.

G Online Dockets: California, Fed. Dist. Court, Ninth Circuit,US Supreme Court: FDAP Practice Tools

G Bills, Statutes, Cal. Rules of Court, Rules of ProfessionalConduct, Cal. State Bar Ethics Opinions: FDAP Free LawLibrary

G Practice Forms: FDAP Practice Tools

G

2. Secondary Sources

a. Appellate and Post-Conviction

G CEB, Appeals and Writs in Criminal Cases (3d Ed. 2012)

G Liebman and Hertz, Federal Habeas Corpus Practice andProcedure (6th Ed.) *optional

G

b. Criminal Law

G CEB, California Criminal Law Procedure and Practice(Annual Ed.)

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G Witkin and Epstein, California Criminal Law (4th Ed. 2012)

G California Center for Judicial Education and Research (CJER),Publications and Online Resources, Bench Handbooks andBenchguides (various topics, e.g., probation revocation,restitution, competence to stand trial, search and seizure)*

G

c. Evidence

G Jefferson, California Evidence Benchbook (4th Ed.)

G Witkin, California Evidence (4th Ed.)*

G

d. Jury Instructions

G Forecite, Latest Developments in Criminal Jury Instructions

G CJER, Mandatory Criminal Jury Instructions Handbook

G CALCRIM

G CALJIC

e. Search and Seizure

G Bell’s Compendium on Search and Seizure

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f. Collateral Consequences

G Pacific Juvenile Defender Center (PJDC), CollateralConsequences of Juvenile Delinquency Proceedings inCalifornia

g. Three Strikes

G “Three Strikes” Issues Outline and Index (updated in 2007)

G Couzens and Bigelow, California Three Strikes Sentencing* (* = optional)

h. Brief Banks

G CCAP Website

G CADC Website

G PJDC Website

G

i. Project Websites: FDAP, CCAP, SDAP,CAPLA, ADI

G Articles and Outlines on Substantive and Practice Issues

G Sample letters, motions, and briefs

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G Project news

G Procedural tips and guidelines (e.g., EOTs, claims, Wendeprocedures, etc.)

G Contact information re courts, attorneys, professionalorganizations, prisons/jails

G ADI, California Criminal Appellate Practice Manual (on-lineat ADI website)

B. Your Extended Family

G Join a supportive professional organization: CaliforniaAttorneys for Criminal Justice (CACJ); California AppellateDefense Counsel (CADC); Pacific Juvenile Defender Center(PJDC) Appellate Section; National Association of CriminalDefense Lawyers (NACDL).

G Join a listserv and use it: CADC, PJDC (juvenile delinquency).

G Form a group with other appellate attorneys to discuss casesand review drafts.

G Find a mentor.

G Be a mentor.

G Attend appellate seminars and workshops.

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G Present at appellate seminars and workshops.

GC. Your Daily Routine

G Read opinions (The Recorder, The Daily Journal or FDAPFree Law Library) for “good stuff” (e.g., error and/or prejudicediscussion) and make and save snippet for later use in folder.

G Sign up for automatic email notification about pending cases(e.g., Cal. Supreme Ct, 9th Cir., etc.).

G Read local newspapers or online news outlets for crime/policelegislative news (e.g., sfgate.com; sac.bee.com).

G

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III. Your Case

A. Notice of Appeal (NOA)

G Is NOA timely–60 days from final judgment or challengedorder (Cal. Rules of Ct., rule 8.308(a))? If not, file motion forconstructive filing under In re Benoit (1973) 10 Cal.3d 72?

G Any defects in the NOA requiring attention? If so, is theretime to file an amended NOA? If not, is Benoit reliefavailable?

G If NOA is from a guilty plea with no certificate of probablecause (CPC), is a CPC required (e.g., challenges to the validityof the plea, incl. agreed sentence, denial of motion to withdrawplea)? Is there time to request CPC?

G

B. Getting Started

1. Expedited or Special Relief Necessary?

G Writ of supersedeas if irreparable harm and appeal has merit.

G Writ of habeas corpus if direct appeal is not a sufficientlyspeedy remedy.

G Motion to expedite the appeal (Cal. Rules of Ct., rules 8.54,8.240.)

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G Request for recall and resentencing (Pen. Code, § 1170(d)) ifwithin 120 days of sentence.

G Motion for modification of disposition (Welf. & Inst. Code, §778) in a juvenile delinquency case.

G Motion for compassionate release (Pen. Code, § 1170(d)).

2. Bail or Stay on Appeal

G Does client want or qualify (Pen. Code, § 1272.1) for releasepending appeal?

3. Know Your Deadlines and Calendar Them

G Appellant’s Opening Brief.

G Respondent’s Brief.

G Reply Brief.

G Use Google or Outlook calendar, employing automaticreminders.

G Monitor all court filings: sign up for on-line automatic emailnotification.

G

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C. Communicating with Your Client

1. Best Practices for Communication with Clients

G Determine if client’s age, native language, education, ormental disability present a challenge for effective writtencommunication (check probation report, minute orders fortranslators, etc.) If so, make necessary adjustments (checkletter with word processing readability software, useinterpreter, obtain permission for confidential phone call, visitclient (get permission from project buddy first)).

G Avoid using legal terms unless necessary; explain all legal andspecialized terms.

G Use simple sentences.

G Be respectful, helpful, and patient.

G Ask client for input.

G

2. The Introductory Letter

G Inform client of your appointment, your role, what an appealis, and the differences between a trial and appeal.

G Briefly describe the appellate process and warn that theappellate process takes a long time.

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G If background information from the client and/or trial counselis already available, convey your understanding of what theclient and/or counsel believe requires consideration on appeal(evidentiary issues, sentencing, restitution, credits, etc.).

G If the case involves sensitive matters (sex offenses, gangs,domestic violence, etc.), do not discuss the charges or facts ofthe case before determining it is ok.

G Encourage client to write or call you about any matterimportant to his case.

G Teach client how to ensure confidential attorney-clientcommunications (if letter, write: “Attorney-ClientCommunications” on the envelope) and why it is important.

G Advise client not to talk to anyone about the facts of the case.

G Include an authorization for release of records (Note: this maynot be sufficient for many purposes, and you may need to use aspecial form that complies with HIPAA).

G Ask the client to inform you immediately of his new address ifhe moves.

G Include change of address form.

G Include stamped, self-addressed envelope.

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G Before mailing letter, confirm client’s address.

G Ensure confidentiality of your letter.

3. Following Through

G Inform and explain important developments as they occur(e.g., filing of briefs, setting of oral argument, opinion, etc.),and promptly respond to his inquiries.

G Advise client immediately of adverse consequences to theappeal.

4. The Closing Letter

G Explain that state appointment has concluded.

G Advise client of possible additional steps for relief (e.g.,petition for review, federal relief) and their respectivedeadlinesG Petition for review in Cal. Supreme Court: 10 days after

decision final as to court of appeal (rule 8.500(e)(1); rules8.366(b) [final 30 days after filing of opinion in criminalappeal]; 8.387(b) [final 30 days after filing of opinion inhabeas]; 8.264(b) and 8.470 [final 30 days after filing ofopinion in juvenile appeal]); 8.264(b) [denial of writ ofsupersedeas and dismissal final on filing].)

G Petition for writ of certiorari in U.S. Supreme Court: 90days after entry of denial of petition for review in the Cal.Supreme Court or the judgment on the merits by the Cal.

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Supreme Court. (Sup. Ct. Rule 13.1.) G Federal habeas corpus petition in Federal Dist. Court:

generally one year and 90 days of the denial of review bythe Cal. Supreme Court or expiration of the time forseeking review. (28 U.S.C. § 2244(d)(1).)

G Offer to provide client with forms.

G Return transcripts (or advise you are storing them for him).

G

D. Communicating with Trial Counsel

G Make preliminary call to introduce yourself and to establishworking relationship.

G Communicate as often as necessary about issues in the case.

G Maintain regular contact with trial counsel (e.g., for changes injudgment and new orders, and as needed) and mail copies ofall documents filed in the court of appeal.

G Obtain trial file.*

G

G

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E. Read the Record

G Scan the record.*

G Well before 40 days of receiving record, skim clerk’s andreporter’s transcripts for missing items.

G Set aside block of time to read the record.

G Avoid interruptions.

G Read transcripts carefully, taking notes with record page citesof charges, motions, verdict, sentence.

G Download map of the scene (Google) to help understandgeography and action.

G Google case “players” (i.e., witnesses, victims, prosecutors,etc.) for information.

G Make preliminary issue list: issues that, at least, initiallyappear to have merit. Review “Checklist of Some CommonIssues Raised on Appeal” in ADI’s California CriminalAppellate Practice Manual, pp. 56-73.

G

G

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F. Assembling the Record

G Rule 8.340(b) request to correct omissions from normal record(if missing normal part of the record)

G Normal record: adult (Cal. Rules of Ct, rule 8.320(b) & (c));juvenile (Cal. Rules of Ct, rule 8.407(a) & (b)).

G Motion to augment, if not a part of the normal record (Cal.Rules of Court, rule 8.155(a) & (c)) (request EOT if briefingwill be delayed).

G Motion to correct record (Cal. Rules of Court, rule 8.155(b)).

G Motion for judicial notice (Cal. Rules of Court, rule 8.252).

G

G. Superior Court File and Exhibits

G Call clerk to ascertain court file is available for inspection.

G Call exhibits clerk to arrange for inspection of exhibits.

G Bring appointment order to show clerk.

G Inspect superior court file to ascertain that clerk’s transcript iscomplete.

G View exhibits.

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G Copy paper exhibits.

G Take note of exhibits that may need to be ordered transmittedto the court of appeal (e.g., exhibits you want the court ofappeal to view that cannot be copied and attached to a brief.)

G

H. Transmit Exhibits to the Court of Appeal

G For exhibits that cannot be attached to a brief, file a requestunder California Rules of Court, rule 8.224 (within 10 days ofrespondent’s brief) that the exhibit be transmitted to the courtof appeal (adult: Cal. Rules of Court, rule 8.320(e); juvenile:rule 8.407(f).)

I. Settled Statement

G Unavailable or loss of part of record, then file application toserve settled statement (Cal. Rules of Court, rule 8.346).

J. Strategize and Assemble the Issue List

G Conduct preliminary research to determine issue viabilitytaking into account cognizability, forfeiture, standard ofreview, and prejudice.

G List all issues.G Appellate issues.

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G Habeas issues.

G Discuss issues with others.

G Select and determine order of issues.

G Write argument list.

G Do outline of argument.

G Consider enlisting amicusG to file briefG to file motion for publication of favorable unpublished

case or motion for depublication of unfavorable publishedcase

G

K. The Opening Brief

G Introduction?

G Statement of Appealability

G Statement of the Case

G Includes relevant proceedings only?G Concise?

G Statement of Facts

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G Include significant facts only?G Sufficient information to assess issues raised?G Concisely presented?G Facts stated in light most favorable to the judgment?G Tailor facts to the issue?G Readable and interesting?G Persuasive?G Tone ok?

G Argument

G Introduction and background?G Standard of review?G Address forfeiture? G Legal Analysis

G explain what the law is, its rationale, and how itapplies to your case?

G address bad law and obvious counter-arguments?G Federalize issue?G Prejudice

G Select correct standard of prejudice?G Demonstrate prejudice?

G ConclusionG Use correct citation form?

G Conclusion (specifying relief sought)

G Certificate of Word Count

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G Review, revise, edit?

G Attach exhibits?

G Tables

G Binding

G Proof of service (include trial counsel)

G

L. Supplemental Brief

G File at earliest possible opportunity (no later than 10 daysbefore oral argument. (Cal. Rules of Ct., rule 8.520(d).)

M. Reply Brief

G Read the respondent’s brief.

G Reread opening brief.

G Address significant points in respondent’s brief that need to beaddressed.

G Address significant omissions and weaknesses in respondent’sbrief.

G Certificate of Word Count

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G Tables

G Binding

G Proof of service (include trial counsel)

G Check tone

G Edit

G

N. Amicus Brief

G Due with application (application may be combined with brief)within 14 days after the last appellant’s reply brief is filed orcould have been filed under rule 8.212, whichever is earlier.(Cal. Rules of Court, rule 8.200(c)(1)).

O. Habeas

G Appeal is inadequate remedy because the facts necessary toresolve the issue do not appear on the record or because thetime for appeal is past.

G In custody, either actual or constructive? (Pen. Code, § 1473,subd. (a)).

G Determine best venue for the claim (Superior Court, Court of

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Appeal, Supreme Court).

G If filed in the court of appeal, file promptly so that appeal andhabeas will be addressed together.

G Seek investigator or expert, if needed (don’t forget to contactbuddy for funds request).

G Facts and law sufficient to state a prima facie case? (People v.Duvall (1995) 9 Cal.4th 464)

G Formal petition (Cal. Rules of Ct., rule 8.384) or use JudicialCouncil form MC-275.G Facts and law?G Conclusion and prayer for relief?G Verification?G Points and Authorities?G Declarations, Exhibits?

G Certificate of Word Count

G Tables

G Binding

G Proof of service

G Check tone

G Edit

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P. Oral Argument

1. Things to Consider When Deciding Whether toRequest Oral Argument

G Argument complex or novel?

G Lengthy sentence?

G Division and/or composition of panel

G Respondent’s briefing defective or inadequate?

G

2. Preparation

G Review briefs.

G Focus on most important issues.G does issue provide maximum benefit to client?G is it of likely interest to the court?G is the issue complex requiring further explication?

G OutlineG know strengths and weaknesses of argument.G target points to communicate.

G order them in importance.G prepare lead point. G make it interesting.

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GG prepare responses to problem areas.G have citations (cases and transcript pages) ready.G keep it shortG prepare strong conclusion.G

G Moot courtG round up “justices”G circulate briefs G prepare hard questions for justices to askG ask them to interrupt youG get feedback and suggestions (note them, and incorporate

them into your preparation).G

G Check authorities G if new authorities, alert court by letter, if timely; if not,

bring to argument copies of cases for court and counsel.

3. Argument

G Bring outline, briefs, and selected transcripts, exhibits.

G Arrive early.

G Check calendar for your case.

G Check in with clerk.

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a. When your case is called...

G Introduce self and reserve time for rebuttal.G Address justices directly.G Be helpful, pleasant, and collegial.G Listen to their questions carefully, and answer them frankly.G Assess direction and focus of the court (if possible), and make

adjustments as necessary.G If surprised by authority or theory, ask for leave to submit

supplemental briefing.G Watch the clock.G Listen carefully to respondent’s argument and court’s

questions, taking notes for rebuttal.G In rebuttal, correct respondent’s mistakes, highlight salient

omissions, and conclude with strongest point.

Q. After Oral Argument

G Need for supplemental brief made apparent during oralargument?

G Need for habeas made apparent during oral argument?

R. The Opinion

G Read carefully, taking note ofG incorrect or omitted material factsG errors or omissions of relevant lawG failure to address argumentG reliance on theory not briefed by the parties

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S. Petition for Rehearing

G Must file a petition for rehearing if a petition for review will besought on the ground the court of appeal opinion containserrors or omissions of issues or facts (Cal. Rules of Ct., rule8.500(c)).

G Consider if any elements listed in R.1, ante, are present and itwould benefit client.

G Must file within 15 days after filing of the court of appealopinion (Cal. Rules of Court, rule 8.268(b)(1)) (note:publication order after opinion is issued or order modifiyingopinion and changing judgment restarts the 15-day period (Cal.Rules of Court, rule 8.268(b)(1)(B) & (C)).

T. Petition for Review

G File petition for review if grounds for review are present:G “When necessary to secure uniformity of decision or to

settle an important question of law” (Cal. Rules of Ct.,rule 8.500(b)(1).

G “For the purpose of transferring the matter to the Court ofAppeal for such proceedings as the Supreme Court mayorder” (Cal. Rules of Ct., rule 8.500(b)(4)).

G Client desires petition for review be filedG Review is necessary to exhaust federal claim

G Must file petition for review within 10 days after decision finalas to court of appeal (Cal. Rules of Ct., rule 8.500(e)(1); rules

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8.366(b) [final 30 days after filing of opinion in criminalappeal]; 8.264(b) and 8.470 [final 30 days after filing ofopinion in juvenile appeal]); 8.387(b) [final 30 days after filingof opinion in habeas]; (note: the date of finality is not extendedif it falls on a day on which the clerk’s office is closed(8.500(e)(1)).

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NOTES