Ethics in 2020 Federal Criminal Law Update - Western District ...
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Ethics in 2020 Federal Criminal Law Update August 18, 2020 Presented by: CYNTHIA EVA HUJAR ORR GOLDSTEIN & ORR 310 S. ST. MARY’S STREET 29TH FLOOR TOWER LIFE BUILDING SAN ANTONIO, TEXAS 78205 (210) 226–1463 whitecollarlaw@gmail.com Advisory: Readers should exercise discretion when reading the portion of this paper concerning our clients’ perception of justice since it cites artistic rap lyrics containing explicit language.
Table of Contents I. Public Discourse ..................................................................................................4 A. “If It Bleeds, It Leads” ....................................................................................... 4 B. Duty to Maintain Technological Competency ............................................. 5 C. Public Comment to Correct Publicity Prejudicing an Adjudicative Proceeding ............................................................................................................... 5 D. The Supreme Court Recognizes Our Duty to Speak.................................. 9 E. Vouching for Clients is a Dangerous Game ............................................... 11 F. Not Being Blinded by the Glare of Your Rolex.......................................... 12 G. Commenting on Cases That Aren’t Yours .................................................. 13 H. Are Lawyer’s Always Lawyers? .................................................................... 13 I. Press Releases by the Government ............................................................... 14 J. Judicial Gag Orders—When Should They Be Issued?.............................. 17 II. Implicit and Other Biases ...............................................................................20 III. Conflicts of Interest ........................................................................................21 IV. Attorney-Client Privilege ................................................................................23 V. Federal Prosecutors’ Duty to Disclose Relevant Favorable Evidence Under the Texas Rules ..........................................................................................24 VI. Conclusion ........................................................................................................26 3
is broadcast over Twitter, I. Public Discourse Facebook, Snapchat, TikTok, Instagram, YouTube, WeChat A. “If It Bleeds, It Leads” and even instant messaging apps, such as WhatsApp and Kik. The The media is not what it pervasive dissemination of once was. Gone are the days information provides even the when neighbors and families least technologically advanced gathered around a tv screen at citizens real time pushed updates home, the local diner, or bar to regarding the political, social, hear breaking news or catch up and cultural climate. These on recent developments. 1 The advances in technology and American public receives this online media over the years have information on multiple made it easier for the public to be platforms instantaneously and informed and voice their opinions daily, whether or not they intend regarding crucial issues that to. From the Varsity Blues affect our daily lives. Social scandal2 to Michael Cohen’s media has been recognized by the testimony before Congress on United States Supreme Court as February 27, 2019 3, such content the new public square. 4 It has 1 Richard A. Marini, Cohen Testimony (Apr. 4, 2019, 3:33 AM), on San Antonian’s Minds—and https://abcnews.go.com/US/breaking- Computers, TVs, Phones, SAN ANTONIO accusations-parents-varsity-blues- EXPRESS-NEWS (last updated Feb. 27, cheating-scandal/story?id=62121159. 2019, 6:08 PM), 3 Michael Cohen, President Trump’s https://www.expressnews.com/entertai former lawyer openly testified about nment/movies-tv/article/Cohen- attorney-client privileged information testimony-on-San-Antonian-s-minds- and client confidences before Congress. and-13650437.php. Michael D. Cohen Congressional Testimony, N.Y. TIMES (Mar. 5, 2019), 2 Actresses Lori Loughlin and Felicity https://www.nytimes.com/interactive/2 Huffman were among others in 019/02/27/us/politics/michael-cohen- Hollywood charged for alleged testimony.html. involvement in a massive college entrance scandal. Aaron Katersky & 4Packingham v. North Carolina, 582 Bill Hutchinson, Actresses Felicity U.S. ___ (2017).“With one broad Huffman and Lori Loughlin Face stroke, North Carolina bars access to what for many are the principal Judge in Massive ‘Varsity Blues’ sources for knowing current events, College Entrance Scam, ABC NEWS checking ads for employment, 4
also allowed almost any technology. While the most influencer to try a case in the obvious application of this rule in court of public opinion. With the the criminal context will involve advent of Zoom, now civil district competence in computer and cell courts in Bexar County were phone technology with regard to invaded with porn by hyjackers. search warrants, subpoenas and And a criminal speeding ticket motions to suppress; it also jury trial took place in JP Court, includes competence in public but not without significant discourse and the extent that problems. See Criminal Court client’s cases are publicized on Reopening and Public Health in social media. the COVID 19 Era. C. Public Comment to B. Duty to Maintain Correct Publicity Technological Competency Prejudicing an Adjudicative Proceeding The Rules of Ethics require Counsel must be aware of counsel to maintain technological the extent to which a client’s case competency. Whether it concerns is covered on social media sites state and federal electronic filing, that disperse immediate and efficient word processing and sometimes harmful information. document editing tools, the There is no longer a big or small security of cloud data, virtual case. Every case has the meeting platforms, or the niceties potential to “break the internet;” of cellular communication; or receive such widespread counsel must have adequate coverage that your client may be technological knowledge to convicted before even faced with competently represent clients. formal charges. Entire shows are Rule 1.01 of the Texas dedicated to hour long Disciplinary Rules of Professional documentaries on pending Conduct requires counsel to be cases—20/20, Dateline, and competent. Commentary Discovery ID are only a few expressly mentions this includes examples. Innumerable podcasts competence in relevant cover every detail of pending speaking and listening in the modern media altogether thus prevents users public square, and otherwise exploring from engaging in the legitimate the vast realms of human thought and exercise of First Amendment rights. knowledge. Foreclosing access to social 5
cases as well. This type of media The phenomenon of can “go viral”, publicizing your pervasive electronic client’s case world-wide; 24/7. In dissemination of case information this environment, counsel must raises important questions consider whether the silent and regarding attorneys’ ethical stoic response, that once assured duties while advocating for their that a story would not have clients in the public realm. For “legs,”5 is any longer effective. instance, what actions may an Allowing such pervasive media attorney take when attempting to coverage to go unanswered may, correct false information in fact, be ineffective. A lawyer disseminated about their client? may not make a public statement Do public pre-trial statements by that will have a substantial the prosecution violate the Fair likelihood of materially Trial vs. Free Discourse prejudicing an adjudicative dichotomy? Is it appropriate for proceeding. The goal of this rule attorneys to publicly vouch for is to prevent a lawyer from their clients? Do we, as attorneys, influencing a trial’s outcome or have a duty to wage a public prejudicing the jury venire. 6 A defense in addition to the one we lawyer cannot make a present in the courtroom? Are extrajudicial statement that a attorneys allowed to provide reasonable person would expect opinions regarding cases in which to be dispersed by means of public they are not counsel? Should they communication. But this is be allowed? When should judges counter balanced by the fact the issue gag orders in this rule recognizes that a lawyer can environment? When does a client make a statement for public effectuate a waiver of attorney- dissemination of it is made to client privilege in a statement to counter the “unfair prejudicial the media? These are just some effect of another public of the ethical issues counsel faces statement.” 7 in the electronic media rich environment. We will also cover the broader Texas attorney-client 5 A reference to the length of time a v. State Bar of Nevada, 501 U.S. 1030 story remains in the media. (1991). 6 Rule 3.07 of the Texas Disciplinary 7 Rule 3.07 of the Texas Disciplinary Rules of Professional Conduct. Gentile Rules of Professional Conduct, comment 3. 6
privilege, the ethical rules that respect to public comments by govern conduct of lawyers in attorneys involved in criminal Texas federal courts, conflicts of proceedings, ABA Rule 3.6 is even interest both in multiple more instructive: representation and regarding professional self-interests, and “A lawyer who is the disclosure required of federal participating or has prosecutors in Texas under the participated in the ethical rules. In addition, we will investigation or litigation of consider whether how we treat a matter shall not make an counsel who are women, extrajudicial statement minorities, or who are differently that the lawyer knows or abled or oriented is governed by reasonably should know the Texas Rules. This will be disseminated by presentation constitutes one means of public attorney’s view on these crucial communication and will issues, and how we as criminal have a substantial defense attorneys, can best likelihood of materially advocate for our clients’ interests prejudicing an adjudicative while protecting our own proceeding in the matter.” 9 professional integrity. The rule identifies types of public American Bar Association communication that do not Model Rule (Model Rule) 1.3 constitute a violation of this rule: serves as a starting point in the analysis: “A lawyer shall act with “Notwithstanding reasonable diligence and paragraph (a), a lawyer may promptness in representing a state: (1) the claim, offense client.”8 Sounds easy enough to or defense involved and, follow—provide zealous except when prohibited by representation, and don’t slack law, the identity of the off. But just how far this persons involved; (2) underlying rule allows attorneys information contained in to go in their representation has public record; (3) that an been highly contested. With investigation of a matter is 8 MODEL RULE OF PROF’L CONDUCT R. 9 MODEL RULE OF PROF’L CONDUCT R. 1.3 (2018). 3.6(a)(2018)[emphasis added]. 7
in progress; (4) the substantial undue scheduling or result of any prejudicial effect of recent step in litigation; (5) a publicity not initiated by request for assistance in the lawyer or the lawyer’s obtaining evidence…; [and] client.”12 (6) a warning of danger concerning the behavior of a This exception opens the door to person involved….” 10 any response necessary to neutralize the prejudice. In Additional permitted disclosures almost every federal case, the in criminal cases are: U.S. Attorney’s Office or Department of Justice will issue “(i) the identity, residence, a press release. These press occupation and family releases seldom are limited in status of the accused; (ii) if scope to the exceptions for public the accused has not been comments. Coming from such an apprehended, information authoritative source, they appear necessary to aid in to be a violation of the rule apprehension of that prohibiting a statement in the person; (iii) the fact, time media that has a substantial and place of arrest; and (iv) likelihood of prejudicing an the identity of investigating adjudicatory proceeding. They and arresting officers or are guaranteed to lead the news. agencies and the length of the investigation.”11 Recognizing that public opinion is often shaped by media heads and Finally, 3.6 allows a lawyer to outlets that persistently analyze make statements that will the actions of public officials, protect the client from prejudice attorneys, and the like, it is caused by publicity: imperative to ensure prosecuting attorneys don’t “cross the line” “a reasonable lawyer would when issuing public commentary. believe is required to Counsel should correct any protect a client from misimpression these press 10 MODEL RULE OF PROF’L CONDUCT R. 12 MODEL RULE OF PROF’L CONDUCT R. 3.6(b)(2018). 3.6(c)(2018). 11 MODEL RULE OF PROF’L CONDUCT R. 3.6(b)(7) (2018). 8
releases foster and attempt to cure the prejudice they cause.13 “When this case goes to Thus, in the current trial, and as it develops, environment, counsel may need you’re going to see that the to issue a statement to level the evidence will prove not only playing field after a prosecution that [Defendant] is an press release. It is notable that in innocent person and had Special Counsel Robert Mueller’s nothing to do with any of tenure as Independent counsel he the charges that are being issued factual press releases in leveled against him, but his indictment, conviction, or that the person that was in guilty pleas of thirty-four people the most direct position to and three.14 have stolen the drugs and money, the American D. The Supreme Court Express Travelers’ checks, Recognizes Our Duty to is Detective Steve Scholl…. Speak There is far more evidence that will establish that In Gentile v. State Bar of Detective Scholl [was Nevada, the Supreme Court held responsible] than any other that attorneys are allowed to living human being.” 16 comment on a case in order to correct false.15 Dominic Gentile, Justice Kennedy, writing a Nevada attorney, held a press for the majority, first conference after his client was characterized Gentile’s speech as indicted. He alleged that a classic political speech—speech member of the Las Vegas that lies at the very heart of the Metropolitan Police Department First Amendment. 17 He next was responsible for the offenses, noted that attorneys’ not his client. responsibilities do not begin at 13 Ira H. Raphaelson, Convictions from Robert Mueller’s “Press….Press…Pull”: When “No Investigation, Time, March 24, 2019, Comment” No Longer Serves the by Ryan Teague Beckwith. Client’s Interests, 33RD ANNUAL 15 501 U.S. 1030 (1991). NATIONAL INSTITUTE ON WHITE COLLAR 16 Id. at 1059. CRIME (2019). 17 Id. at 1034. 14 Muller Investigation: All of the Indictments, Guilty Pleas, and 9
court, and suggests that our authorized to make public duties extend far beyond that, statements about the nature of a both in time and location: criminal case, it should be attorneys who are trained, well- “[Attorneys] cannot ignore informed, credible, and qualified the practical implications of to speak about the intricacies of a legal proceeding for the the case. 18 This analysis is right client. Just as an attorney in line with the American Bar may recommend a plea Association’s Criminal Justice bargain or civil settlement Standards for Fair Trial and to avoid the adverse Public Discourse which espouse consequences of a possible the view that an open and loss after trial, so too an transparent criminal justice attorney may take system is crucial to democracy, reasonable steps to defend a and that attorneys and other client’s reputation and officials involved in the criminal reduce the adverse justice system must ensure consequences of indictment, proceedings are conducted especially in the face of a fairly. 19 prosecution deemed unjust or commenced with At the very center of the improper motives. A Gentile opinion is the notion that defense attorney may public comment is often times pursue lawful strategies to necessary to safeguarding our obtain dismissal of an client’s rights and mitigating use indictment or reduction of of the courts for improper charges, including an purposes.20 Dominic Gentile felt attempt to demonstrate in his commentary was imperative, the court of public opinion due to concerns that repetitive that the client does not pre-trial publicity from the state deserve to be tried.” and law enforcement would affect potential jurors. In other words, Justice Kennedy further explains “he sought only to counter that if anybody should be 18 Id. at 1056. 20 Id. at 1058. 19 ABA CRIM. JUST. STAND. ON FAIR TRIAL AND PUBLIC DISCOURSE 8.1.1(a)(b)(i)-(ii)(2016). 10
publicity already deemed same position as the prejudicial.” 21 attorney referred to in the Gentile case—an insider Gentile is one instance privy to facts, and a public where an attorney’s press status removing him from statements properly protected his the leagues of common client’s interests. observers or uninvolved attorneys. He was not What if a former lawyer merely a lawyer with a discusses his client’s case. In passing interest in the United States v. Scarfo, the Third case.”24 Circuit considered whether a heightened reason for restricting Applying the Gentile attorney speech needed to be framework in this case, the shown when the attorney court determined that the involved no longer represented former attorney’s statements the criminal defendant who was to the press did not jeopardize the subject of the speech. 22 The the fairness of the trial or Court determined that the fact materially prejudice or impair that the attorney no longer the court’s judicial power. 25 represented Scarfo did not Where the Court had issued a prevent them from applying the gag order in the Scarfo case, Supreme Court’s reasoning in the Court of Appeals found it Gentile.23 The attorney in was improper. question was not just an ordinary citizen. E. Vouching for Clients is a Dangerous Game “[He] was the beneficiary of extensive client Herman Cain was a 2012 communication, and his Republican presidential statements were received candidate who faced multiple by the press as especially allegations of sexual assault. authoritative…. [the After a fourth woman made attorney here] was, for all allegations against him, Cain and intents and purposes, in the 21 Id. at 1042. 24 Scarfo, 263 F.3d at 93 (2001). 22 263 F.3d 80, 93 (3d Cir. 2001). 25 Scarfo, 263 F.3d at 95 (2001). 23 Scarfo, 263 F.3d at 92-93 (2001). 11
his attorney, Lin Wood, decided should limit their comments only to attempt to put the accusations to remarks based on their own to rest. 26 Multiple news outlets indisputable observations, rather weighed in on the veracity of his than information from a client or counterclaims, one source going information that could change in as far as suggesting that Cain the future. would “go down in flames because he failed to learn the first rule of F. Not Being Blinded by the political scandal: Don’t make Glare of Your Rolex statements that can be falsified.” 27 Another issue attorneys who choose to speak publicly Vouching essentially must be cautious regarding is involves, to some degree, their motive or perceived motive revelation of client confidences. for public exposure. On one end As demonstrated by the Herman of the spectrum is damage Cain case, vouching for a client control—shielding your client’s can backfire, especially when freedom and reputation from information given to the press harmful information media subsequently turns out to be attention that carries the false. Attorneys who have to potential of infecting the jury retract their statements not only pool.28 On the other end of the risk losing credibility, but they spectrum, there is the desire to be may also make their clients look in the limelight at all costs. like liars. This is so even if the client didn’t ask their attorney to Michael Avenatti, the make the public statement in the former attorney representing first place. Attorneys who do Stormy Daniels, has been a decide to make public statements 26 A Fourth Woman Accuses Herman politics/2011/11/herman-cain-sexual- Cain of Sexual Harassment, ATLANTIC harassment-press-conference-his- (Nov. 07, 2011), falsifiable-statements-will-destroy- https://www.theatlantic.com/politics/ar him.html. chive/2011/11/a-fourth-woman- 28 See Skilling v. United States, 561 accuses-herman-cain-of-sexual- U.S. 358 (2010) [Defendant alleging harassment/248050/. pretrial publicity and prejudice 27 William Saletan, Cain of Denial, prevented him from a fair trial had to SLATE (Nov. 09, 2011, 8:51 AM), show a presumption of juror prejudice https://slate.com/news-and- or that actual bias so infected the jury]. 12
frequent figure in the national to hold entities who engage in media in high-profile cases. He is misconduct accountable, or is it known for making public claims really about one’s own public that he has damaging image and recognition? information about public figures, which garners mass media G. Commenting on Cases attention. 29 More recently, That Aren’t Yours Avenatti was indicted for extortion arising out of a meeting The ABA in its Standards with attorneys for Nike in which on Fair Trial and Public he allegedly threatened to release Discourse recognized that harmful information about the lawyers will comment on others’ brand, unless he was paid cases as news commentators. millions of dollars. 30 These They advise that, in this allegations among others have circumstance, counsel should be put Avenatti in the public eye, competent to provide information but at what cost? Were his about the law, legal procedure, entreaties to Nike settlement and information that enhances negotiations? Did every press the public understanding of conference about President criminal matters. However, the Trump advance Ms. Daniel’s rules caution that counsel should case? not express opinions on the Immediately talking to the performance of counsel or predict cameras and social media each outcomes.31 time could detract from one’s credibility as an attorney. Even H. Are Lawyer’s Always assuming revelations of public Lawyers? interest have some credence, one might question counsel’s motive We have seen Rudy Giuliani to appear before the public. Is it comment on news and talk shows 29 Brennan Weiss et al., Meet Michael ael-avenatti-bio-lawyer-representing- Avenatti, the Former Professional stormy-daniels-2018-3. Sports Car Driver Who Represented 30 Criminal Complaint at 3, United Stormy Daniels and Was Just Charged States v. Avenatti, No. 19MAG2927 for Attempting to Extort More Than (S.D. N.Y. March 24, 2019). $20 Million from Nike, BUS. INSIDER 31 Standard 8-2.4, Criminal Justice (Mar. 25, 2019, 4:22 PM), Standards on Fair Trial, Public Discourse. https://www.businessinsider.com/mich 13
about President Trump almost The preamble to the ABA every day in a manner that Model Rules suggest that the appears more intended to appeal rules of ethics and professional to the President’s base from the conduct still apply. 33 standpoint of an election I. Press Releases by the campaign than aimed at a Government defense against accusations of criminal wrongdoing. When a Prosecutors often make pre- person is a lawyer, is the trial press statements regarding individual always bound by the investigations. An interesting rules of ethics? Or can a lawyer question is to what degree do wear another hat and perform the these statements violate Model functions of a political adviser or Rule 3.6 and its state a legislator without being bound counterpart, Rule 3.06 of the by attorney rules of conduct. Texas Disciplinary Rules of Congressman Matthew Gaetz Professional Conduct, which sent a tweet threatening Michael prohibit a lawyer from seeking to Cohen before his Congressional influence jurors concerning the testimony about President merits of a pending case by Trump. Was he acting as a means prohibited by law or other legislator, promoting the rules of procedure. 34 Republican party and its leader? Or was he obstructing Congress Ethics rules and standards and tampering with a witness in any given jurisdiction provide before Congress? special guidance regarding such In both cases, the speaker statements. The American Bar claims to have been acting as a Association’s Criminal Justice political or media flack.32 Do the Section Standards on Fair Trial rules of ethics and professional and Public Discourse is one such conduct apply to us in every role in which we appear as a representative? 32 One who provides publicity like a press practice of law or to practicing lawyers agent or public relations professional. even when they are acting in a 33 Preamble to ABA Model Rules of nonprofessional capacity.” See eg Rule Professional Conduct provides that 8.4. “[T]here are rules that apply to 34 Tex. Disciplinary R. of Prof. Conduct lawyers who are not active in the 3.06(a)(2). 14
source. 35 They identify topics since their statements are likely that pose a risk of prejudicing the to be received as especially criminal proceeding such that authoritative.” 37 Limitations on they should generally be avoided such speech are necessary to by prosecutors. Those areas ensuring Defendants are not include: (1) the defendant’s prior condemned by negative publicity criminal record; (2) character, arising from prosecutorial credibility or reputation; (3) race, statements. As the ultimate goal ethnicity, creed, religion, or of a prosecutor is to serve justice, sexual orientation; (4) personal even when that means dismissing opinion as to guilt or innocence, a case, we hope that prosecutors (5) existence or contents of any abide by these standards, and confession or statement, or value the presumption of failure to make a statement; (6) innocence. results of or failure to submit to any examination or test; (7) As discussed above, when nature of physical evidence; (8) the government is in the initial race, ethnicity, creed, religion, or phases of pre-trial investigations sexual orientation, expected of a high-profile case, and the testimony, criminal record, and grand jury has returned an reputation of a witness or victim; indictment, a press conference (9) the possibility of a plea; and will often follow. We see no (10) information the prosecutor commentary however, when the knows or has reason to know defense prevails and obtains an would be inadmissible.36 acquittal after trial. The Supreme Court in When prosecutors do decide Gentile recognized that to make a press statement after “extrajudicial statements [by an unfavorable disposition, it is attorneys] pose a threat to a usually to stand behind their pending proceeding’s fairness, initial investigation and decisions since they have special access to made before and during the trial, information through discovery if any. Seldom do these and client communication, and subsequent statements contain ABA CRIM. JUST. STAND. ON FAIR 35 36 ABA CRIM. JUST. STAND. ON FAIR TRIAL AND PUBLIC DISCOURSE (2016). TRIAL AND PUBLIC DISCOURSE 8-2.2 (a)(i)-(ix)(2016). 37 501 U.S. 1030 (1991). 15
apologies or an acknowledgement decision to drop charges was just that justice has been done. that—not an exoneration. Magat further made clear: “[a]n Jussie Smollett was alternative disposition does not recently charged with filing a mean that there were any false police report claiming he problems or infirmities with the was a victim of a hate crime. Law case or the evidence. We stand enforcement involved in the behind the Chicago Police investigation gave lengthy press Department’s investigation and conferences, detailing their our decision to approve charges in investigation prior to him being this case. We did not exonerate charged. The press responded Mr. Smollett. The charges were with wonderment at how guilty dropped in return for Mr. Smollett was and speculated how Smollett’s agreement to do much jail time he could be community service and forfeit his expected to serve. When his case $10,000….” 38 was resolved in a manner consistent with other false report After a jury acquitted East cases (by a diversion), the news Pittsburgh Police Officer Michael and outrage spread via public Rosfeld of the shooting of 17-year- comments by the police old Antwon Rose, 39 Alleghany department handling the case, County District Attorney the Mayor of Chicago, and even Stephen A. Zappala Jr. issued a the President of the United statement to the cameras, in light States. of the immediate demonstrations that erupted locally following the After the Cook County verdict: State’s Attorney’s office dismissed charges against actor “While I respectfully Smollett, prosecutor Joseph disagree with their verdict, Magats explained that the it is the people of this 38 Prosecutors on Dropping Smollett 39P.R. Lockhart, Officer Who Shot Charges: ‘We Did Not Exonerate’ Him, Antwon Rose is Accused of Past Civil NBC CHI., Rights Violations, VOX (July 5, 2018), https://www.nbcchicago.com/news/loca https://www.vox.com/identities/2018/7/ l/jussie-smollett-charges-dropped- 5/17537150/antwon-rose-police- reaction-507673291.html (last updated shooting-pittsburgh-michael-rosfeld- Mar. 26, 2019, 4:53 PM). civil-rights-lawsuit. 16
commonwealth who decide have refrained from guilty or not guilty, and disagreeing with the jury’s they have spoken to this verdict and placing those matter…. In the interest of jurors in the public eye and justice, we must continue to exposing them to harassment. do our job of bringing Such statements threaten to charges in those situations intimidate future jurors and where charges are discourages them from voting appropriate, regardless of their honestly held beliefs in the role an individual holds deliberations. in the community.” 40 George Floyd, Breonna Taylor, This statement was issued Sandra Bland, and Eric Garner among demonstrators who and many other and cases have called for the DA’s ouster: “Hey caused us to reexamine our hey, ho ho, [DA] Steve Zappala charging, sentencing, and trial has got to go!” decisions. We must do better and we must do more. In both instances the statements of the Chicago J. Judicial Gag Orders— police before charge and after When Should They Be resolution tainted the jury pool Issued? for the Smollett and other cases. In contrast, the Trial judges presiding over statements of DA Zappala criminal cases have an fostered respect for the law affirmative duty to safeguard and the criminal justice against potentially prejudicial process. However, he should pretrial publicity. 41 This 40 Megan Guza & Renatta Signorini, News–Journal Corporation v. Foxman, Not Guilty Verdict in Rosfeld Trial 939 F.2d 1499, 1512 (11th Cir. 1991)]; Sparks Demonstrations in Downtown, ABA CRIM. JUST. STAND. ON FAIR TRIAL East Liberty, TRIB LIVE (Mar. 22, 2019, AND PUBLIC DISCOURSE 8- 4:000 AM), 4.1(a)(2016)[“[J]udges…should not https://triblive.com/local/pittsburgh- make, cause to be made, or condone or allegheny/what-to-expect-on-day-4-of- authorize the making of any public the-michael-rosfeld-trial/. extrajudicial statement about a criminal matter other than one 41Pedini v. Bowles, 940 F.Supp. 1020, concerning the processing of the 1023 (N.D. Tex. 1996) [citing The case.”]. 17
safeguard can be manifested in would effectively prevent the form of “gag” orders which the threatened danger.” 44 restrict attorneys, parties, and witnesses from making extra- Gag orders might provide judicial statements about a case. protection and assurance that our The United States Supreme clients receive a fair trial. But, Court and Courts of Appeal follow when existing prejudice different standards when threatens a fair trial, gag orders reviewing gag orders, depending acrt as a barrier to protecting on the subject of the order.42 In clients’ interests and reputations. the Fifth Circuit, “gag” orders Gag orders have become more targeting attorneys are only prevalent and may be excessive permitted where there is a when applied to the media. When substantial likelihood that applied to individual citizens extrajudicial commentary will involved in the proceedings, they undermine a fair trial.43 The may also be excessive based on Northern District of Texas has the scope of the order. 45 “Because further analyzed that standard. a gag order on the parties does “Gag” orders will issue when: not affect the media’s rights, and is narrower than a blanket gag “(1) there is a clear or order on all the media, it’s serious threat to the considered a less restrictive fairness of the trial; (2) less means of protecting fair trial restrictive alternatives are rights.”46 not adequate to mitigate the harm; and (3) the order In United States v. Brown, the district court imposed a gag 42 United States v. Scarfo, 263 F.3d 80, (last visited Apr. 7, 2019). 92 (3d. Cir. 2001). 46 Isabel Farhi, When Silence Isn’t 43 United States v. Brown, 218 F.3d Golden: How Gag Orders Can Evade 415 (5th Cir. 2000). First Amendment Protections, YALE L. 44 Pedini v. Bowles, 940 F.Supp. 1020, SCHOOL, MEDIA FREEDOM & INFO. 1024 (N.D. Tex. 1996) [citing Nebreska ACCESS CLINIC (Oct. 24, 2017), Press Ass’n v. Stuart, 427 U.S. 539, https://law.yale.edu/mfia/case- 563 (1976)]. disclosed/when-silence-isnt-golden- 45 Ruth Ann Strickland, Gag Orders, how-gag-orders-can-evade-first- FIRST AMENDMENT, amendment-protections. https://www.mtsu.edu/first- amendment/article/961/gag-orders 18
order on the parties and speaking to the press was witnesses mandating that they unconstitutional. 49 Scarfo’s refrain from initial defense attorney was disqualified from representation “any public and subsequently revealed to the communications media press that he expected the filing about the case which could of a motion to suppress arising interfere with a fair trial, from the government’s including statements questionable surveillance intended to influence public methods. 50 The district court opinion regarding the rendered the order preventing merits of this case, with “anybody from talking to the exceptions for matters of press about the motion that [the public record and matters court hadn’t] seen and…[knew] such as assertions of nothing about.” 51 As an issue of innocence.”47 first impression, Scarfo was unique, because it examined the On review, the Fifth Circuit held ability of the court to “gag” a that “gag” orders may be issued criminal defendant’s former when there is a substantial attorney, rather than the current likelihood that extrajudicial attorney or the defendant.52 In commentary will threaten a fair support of its holding, the court trial and that the “gag” order in reasoned that the former defense question did not violate the First counsel’s comments posed no Amendment. 48 threat to the fairness of the trial nor to the jury pool.53 Conversely, in United States v. Scarfo, the Third Circuit Roger Stone, “[r]epublican held that a gag order prohibiting operative and longtime Trump former defense counsel from friend,” was faced with trouble 47 United States v. Brown, 218 F.3d 50 United States v. Scarfo, 263 F.3d 80, 415, 418 (5th Cir. 2000)[internal 83 (3d. Cir. 2001). quotations omitted]. 51 United States v. Scarfo, 263 F.3d 80, 48 United States v. Brown, 218 F.3d 83 (3d. Cir. 2001). 415 (5th Cir. 2000). 52 United States v. Scarfo, 263 F.3d 80, 49 United States v. Scarfo, 263 F.3d 80, 91 (3d. Cir. 2001). 83 (3d. Cir. 2001). 53 United States v. Scarfo, 263 F.3d 80, 95 (3d. Cir. 2001). 19
after a judge learned that the bond.” That they will support the book he was planning to publish constitution, demean themselves carried the potential of violating in the practice of law, discharge a “gag” order to which Stone was duties to clients to the best of subject. Although Stone is not an their abilities, and conduct attorney, and the court merely themselves with integrity and issued a warning, U.S. District civility when dealing or Judge Jackson stated that she communicating with all courts had “‘serious doubts whether and parties. Under the Creed, [Stone] learned any lesson at all,’ counsel should treat all and warned she would order him differently abled and persons to jail for future violations.”54 different from themselves with Clearly, Stone cannot be the same respect and courtesy prevented from publishing a book counsel desire for themselves. he had written before he was Recent studies show that charged with any offense. He has women lawyers are dismissed, a First Amendment right to harassed, and treated in a engage in free speech. It may paternalistic manner in courts. have been wise to advise the Long standing statistics show Court of the impending that more African Americans are publication at the time the gag sentenced to prison than expected order issued. However, a gag in light their percentage of the order should not extend so far. population and commission of similar crimes by white defendants. And disabled II. Implicit and Other Biases persons are overlooked or The Texas Lawyers Creed is incorrect assumptions are made one all counsel swear to uphold about their abilities. An example when they become lawyers. is my observation during the time Under the Creed, lawyers that I was wheel chair bound that promise that their “word is [their] persons would stand in front of 54Spencer S. Hsu & Manuel Roig- legal-issues/judge-orders-roger-stone- Franzia, Judge Orders Roger Stone to to-explain-imminent-release-of-book- Explain Imminent Release of Book that-may-violate-gag- That May Violate Gag Order, WASH. order/2019/03/01/c5302c0e-3c80-11e9- POST (Mar. 3, 2019), aaae- https://www.washingtonpost.com/local/ 69364b2ed137_story.html?utm_term=. 46778db7d62c. 20
me, blocking my view or egress, able to represent more than one and would speak to me loudly as person in a case because of if I were hearing disabled as well. counsel’s duty of loyalty to the The Texas Lawyers Creed client and the competing requires that we treat all court interests of each client. For participants well. We should be example, in Wheat v. U.S., 486 mindful of our own implicit U.S. 153 (1988) case, Eugene biases. Once we become aware of Iredale sought to represent them, we self-correct. Becoming Wheat after previously aware of implicit biases is simple representing a co-defendant. The with readily available through United States Supreme Court internet testing (IAT tests)55 and upheld the disqualification of recognition of current Iredale because his position stereotypes. representing both co-defendants would become “untenable” particularly because he could not III. Conflicts of Interest cross-examine his former client, one of the co-defendants, in any We are all familiar with the meaningful way57 conflict of interest created by An additional conflict of multiple representation. Where interest arises because of the one lawyer (or one firm)56 placement of Criminal Justice endeavors to represent two Act (CJA) vouchers under the persons in one case. Each client authority of federal district has different interests and judges and the Fifth Circuit criminal exposure. It is the rare case in which the lawyer would be Implicit Association Test available online through favor of his current client. Please note 55 Harvard. that the Wheat v. U.S., 486 U.S. 153 56 If one lawyer in a firm has a conflict 1988) has been overruled in part by of interest, all lawyers in that firm U.S. v. Gonzales-Lopez, 548 U.S. 140 share the same conflict of interest. In (2006), which held that one’s right to such situation, when the lawyer is counsel of choice is not satisfied by the disqualified, the entire firm is fact that other competent counsel is disqualified. available to try the case. Depriving 57 This is because he could not use any one of their counsel of choice is information that he learned by virtue structural error. U.S. v. Gonzales- of representing his former client to Lopez, 548 U.S. 140, 151 (2006). assist his current client and could not act adversely to his former client in 21
Court of appeals to regulate.58 government to its proof in The Cardone Report noted that assuring that no one is unjustly unwarranted voucher cutting convicted of a crime” … “in takes place in Texas and that criminal cases, a defense lawyer placement of CJA regulation may…put the government to its under the judiciary creates a proof in every case and require conflict of interest. If counsel are the prosecutor to prove every neglecting to ask for expert element of the offence to assure witnesses, immigration counsel, that no one is unjustly convicted.” or investigative assistance in This means that Lawyers can ask cases where it is needed because for the government to prove its a judge disfavors such requests; case and lawyers have a duty to then counsel is functioning with zealously act to make sure their an actual conflict of interest. client is not wrongfully convicted. Because a judge disfavors such Judges that restrict the necessary requests or will voucher cut fees resources of appointed counsel in cases where such requests are undercut this principle and made, the lawyer under these undermine justice when they do circumstances is looking out for so to save money. Attorneys, by their own reputational or folding to the authority of such economic best interests with the judges, violate their duty of judge and, thus, are acting loyalty. Because the accused in a adversely to the client. criminal case is entitled to This is because the voucher counsel to represent his or her cutting process is preventing the interest “single-mindedly” lawyer from zealously without loyalty divided between representing his client. Rule 9.3 the client and another that might of the ABA Model Rules of restrain or interfere with the Professional Responsibility states lawyer’s judgement or actions on that “A lawyer shall represent a behalf of the client.” Counsel client zealously within the should always request the bounds of the law.” “The duty of necessary resources regardless of zealousness is a duty not just to the popularity of such requests. the client, but to the system of Our clients have little faith justice as well in putting the in the justice system and justice 58See generally 2017 Report of the Ad Report) pages xviii-xix; The Crisis in Hoc Committee to Review the Federal Criminal Law Criminal Justice Act (the Cardone 22
perceived is as important and criminal case, a client has a justice received. Recent rap lyrics privilege to prevent a lawyer or show the public popular lawyer’s representative from impression that justice is only disclosing any other fact that available to those with came to the knowledge of the substantial assets. Jay Z raps lawyer or the lawyer’s that when he is stopped by the representative by reason of the police he has “99 problems but attorney-client relationship.” the bitch ain’t one, hit me.” “Plus Tex. R. E. 503(b)(2). This rule I got a few dollars, I could fight broadens the attorney-client the case.” Reflecting that because privilege, which protects he has money, Jay Z does not feel information relating to the he will be convicted of an offense representation, to include client or given an enhanced penalty. In confidences. Client confidences addition, Ice Cube raps “Public are any information learned by Defender, Public Pretender” virtue of the representation. For indicating his lack of confidence example, when Michael Cohen, in an attorney who is not paid. President Trump’s attorney, And TayK47 raps that he needs testified before Congress that the “a hunnit bands” [lots of money], President was a bigot, he violated to “tryna beat a case” but that “I the Texas attorney-client ain’t beat a case, bitch, I did the privilege. The specific instances race,” indicating that he had to that Mr. Cohen mentioned to flee because he did not have the support his claim that President funds to defend himself. Trump is a racist, he learned To begin to engender while spending time with the confidence in our criminal justice President as his attorney. system, we must address these Any other legal advice or popular fears. work that Mr. Cohen testified regarding, that did not fall under the crime/fraud exception, was IV. Attorney-Client Privilege also a betrayal of client confidences and the privilege. The attorney-client There is a video in the privilege in Texas is much presentation where President broader than the privilege in Trump denies knowledge of a other states. Texas Rule of payment made to Stormy Daniels Evidence 503 states, “In a and directs the press to speak to 23
his lawyer, Michael, about it. his testimony about those other This relayed to the press and the matters (the auction of a portrait) public that Trump had not and confidences (that Trump is a engaged Cohen as counsel to racist) revealed client confidences arrange a non-disclosure and privileged communications. agreement in exchange for consideration. Thus, Trump was V. Federal Prosecutors’ Duty to advising the public and Special Disclose Relevant Favorable Counsel Robert Mueller that any Evidence Under the Texas Rules information Michael Cohen had The Michael Morton Act is a about the Stormy Daniels unique law designed to prevent payment was his own information and combat prosecutorial and not subject to the attorney misconduct in the discovery client privilege. Was that waiver process.60 The Texas legislature of the attorney-client privilege, enacted the Michael Morton Act does this example fall under the to radically change the criminal crime /fraud exception 59, or does discovery process in Texas, which it merely indicate that Cohen’s previously disadvantaged Stormy Daniels records were not defendants by placing a burden privileged in the first place? on defense counsel to show good Either way, Cohen’s cause why extremely limited testimony violated the attorney- information might be ordered client privilege. The crime/fraud disclosed by a court. 61 Prior exception did not extend to all discovery in Texas was similar to matters in which Cohen discovery under the federal rules. represented the President. Thus, 59 The crime/fraud exception applies when a client or evidence regardless of materiality lawyer seeks to use a lawyer’s services or advice to [Francis v. State, 428 S.W.3d 850, 856 commit a crime or fraud. 60Codified in amended article 39.14, n.12 (Tex. Crim. App. 2014) (noting the Michael Morton Act shifts the the prior version of article 39.14 was prosecution’s duty to disclose evidence in effect at the time of trial)]; See also in Texas from a discretionary decision Cynthia E. Hujar Orr & Robert G. based on good cause to a relevance- Rodery, The Michael Morton Act: based decision based on counsel’s Minimizing Prosecutorial Misconduct, request [TEX. CODE CRIM. PROC. 46 ST. MARY'S L.J. 407, 419 (2015). 61 See Cynthia E. Hujar Orr & Robert ANN. §39.14 (West 2014)]. The victory in the Michael Morton case places the G. Rodery, The Michael Morton Act: prosecution under a statutory duty to Minimizing Prosecutorial Misconduct, continually disclose exculpatory 46 ST. MARY'S L.J. 407, 409 (2015). 24
See Rule 16 of the Federal Rules ethical rule is to impose on the of Criminal Procedure. But the prosecutor the professional Michael Morton Act, codified in obligation to “see that the Rule 39.14 of the Texas Rules of defendant is accorded procedural Criminal Procedure now requires justice, that the defendant’s guilt relevance-based discovery of is decided upon the basis of favorable matters relevant to the sufficient evidence, and that any matter. It is very broad, far sentence imposed is based on all reaching, and requires only a unprivileged information known request by defense counsel. to prosecutor.” Tex. Disciplinary Following the Texas discovery Rules Prof’l Conduct R. 3.09(d) rule, Rule 3.09(d) of the Texas cmt. 1. Unlike Brady, this Rules of Professional Conduct obligation is regardless of the requires prosecutors in criminal anticipated impact. While the cases to timely disclose “all purpose of disclosure under the evidence or information known to Brady constitutional duty is to the prosecutor that tends to merely assure a fair trial under negate the guilt of the accused or the due process clause and mitigates the offense[.]” requires materiality. Materiality is not a component of All prosecutors practicing in this test. Texas courts, both state and Rule 3.09(d) encompasses a federal, are subject to Rule prosecutor’s duty to disclose 3.09(d). The Texas Disciplinary exculpatory evidence imposed Rules of Professional Conduct under Brady v. Maryland, 373 provide this in its jurisdictional U.S. 83 (1963) but it goes much rule. Rule 8.05(a): Jurisdiction further than that. In Shultz v. states “[a] lawyer is subject to the Comm’n. for Law. Discipline, OP. disciplinary authority of this 55649 (Tex. Bd. Disp. App. 55649, state, if admitted to practice in Dec. 17, 2015) the Texas Board of this state or if specifically Disciplinary Appeals held that admitted by a court of this state rule 3.09(d) is broader than for a particular proceeding.” And Brady based on the plain the United States District Court language of the rule and the for the Western District of Texas, different purpose of the duty to as well as other districts in Texas, disclosure favorable evidence requires “[m]embers of the Bar of under the disciplinary rule. The this court and any attorney purpose for disclosure under the permitted to practice before this 25
court [to] comply with the pervasive public discourse. And standards professional conduct they should consider that set out in the Texas Disciplinary avoiding conflicts of interest Rules of Professional Conduct” in include not only avoiding Rule 7 Discipline of Attorneys. multiple representation, but also What this means is that obtaining necessary resources regardless of where a lawyer is despite the fact that judges may licensed, they are bound by the disfavor such request. broad disclosure requirements contained in Rule 3.09 that reflects the disclosure scheme set out in the Michael Morton Act. I have included a motion and order acknowledging this in your materials for your use from one of my cases in the Southern District of Texas. VI. Conclusion While ethical rules provide no affirmative duties on prosecutors to act in a given case and Department of Justice Policies create no rights for defendants, they do provide incentive for prosecutors to provide broad discovery. Each prosecutor seeks to avoid an encounter with the Office of Professional Responsibility or the State Bar of Texas if they are licensed here. In addition, counsel should be mindful that their areas of required competence and effective practice have changed with advance technology and 26
Criminal Court Reopening and Public Health in the COVID-19 Era NACDL Statement of Principles and Report Photo credit: CDC Alissa Eckert, MS; Dan Higgins, MAMS June 2020
Contents Summary of Core Principles for Reopening Courts ....................................................................... 1 Introduction ..................................................................................................................................... 2 The Inherent Tension ...................................................................................................................... 3 Explication of Core Principles for Reopening Courts .................................................................... 3 Discussion ....................................................................................................................................... 6 I. Reopening Must Be Based on Science, Must Be Made Under Independent Medical Supervision, and Must Be Limited to the Duration of the Pandemic (Principles 1, 2, and 3). ........................................................................................................ 6 II. Measures Designed to Facilitate Reopening Cannot Be Implemented Unless Conditions Are Restored for Defense Counsel to Fulfill Their Sixth Amendment Functions (Principles 4 and 5). ............................................................................................................. 8 III. Measures Designed to Facilitate Reopening Must Not Abridge Fundamental Constitutional, Statutory, or Customary Rights (Principles 6, 7, and 8). ........................................................................................................ 9 IV. Measures Designed to Facilitate Reopening Must Not Exacerbate the Historic Failures of the Criminal Legal System (Principles 9 and 10). ......................................................................................................... 12 Appendix A ................................................................................................................................... 13 Appendix B ................................................................................................................................... 18 Appendix C ................................................................................................................................... 21
Summary of Core Principles for Reopening Courts I. In-Person Proceedings Must Be Certified by Independent Medical Experts to Present Minimal Risk of COVID-19 Transmission II. High-Risk Individuals Should Not be Required to Participate in In-Court Proceedings in Which There is a Risk of Infection in the Courthouse, Nor Should That Person or the Accused Suffer Any Penalty or Loss of Rights for Declining to Participate III. Any Measures Implemented to Address the Pandemic Must Be Limited to the Duration of the Pandemic and Tailored to Meet an Articulated Public Health Need IV. Criminal Proceedings Require That Conditions Are Restored That Ensure Defense Counsel Can Meet Their Sixth Amendment Obligations, Including the Conditions Necessary for Robust, Ethical Attorney-Client Relationships V. Criminal Proceedings Require That Conditions Are Restored That Ensure Effective Representation by Conflict-Free Defense Counsel VI. Constitutional Rights Must Not Be Abridged VII. Use of Virtual Mechanisms Must Be Temporary, Limited, and Consistent with Constitutional Rights VIII. Use of Virtual Mechanisms Requires the Informed and Voluntary Consent of the Accused Based on a Robust Attorney-Client Relationship IX. Any Measures Implemented to Address the Pandemic Must Not Exacerbate the Well-Recognized Historic Failures of the Criminal Legal System X. Courts Should Use Pre-Trial Release and Other Mechanisms to Minimize the Pressures on the Accused During the Pandemic, Including Affording an Accused the Unilateral Right to Elect a Bench Trial Where that Right Does Not Already Exist 1
Introduction NACDL recognizes that the unprecedented public health risks caused by the COVID-19 pandemic present enormous challenges for court operations especially in criminal matters where liberty, and in some venues, life are at stake.1 There is an inherent conflict between core constitutional rights and public safety. A highly infectious and potentially deadly disease, which experts in the medical profession have concluded spreads most virulently when people are in close proximity in enclosed spaces for extended periods, makes business as usual in the nation’s courthouses impossible.2 From a legal perspective, there can be no justice when fundamental constitutional rights are suspended or curtailed.3 NACDL members have reacted with care and courage by seeking release for incarcerated individuals who face increased risk of COVID-19 infection by virtue of age, race, pre-existing medical conditions, conditions of confinement, or other factors. Despite personal risk of exposure and adverse economic circumstances, NACDL members have remained steadfastly committed to their clients and to the Constitution to ensure that the fear and panic caused by this pandemic does not undermine our shared values of liberty and fairness.4 While the medical profession is reporting evidence of a resurgence of the virus and warning that a second wave of deadly infection is expected for autumn 2020, the nation’s courts press forward with tentative reopening. It is imperative that leadership of the judiciary and other stakeholders understand the implications for the criminal legal system and adhere to core principles going forward. 1 NACDL has issued several statements to address the impact of the COVID-19 pandemic on the criminal justice system. See March 4, 2020, NACDL Statement: Nation’s Criminal Defense Bar Calls for Prompt Implementation of Comprehensive, Concrete, and Transparent COVID-19 Coronavirus Readiness Plans for Nation’s Prisons, Jails, and Other Detention Facilities; March 19, 2020, NACDL Statement of Principles and Further Call to Action Concerning COVID-19 and America's Criminal Justice System; May 9, 2020, NACDL Supplemental Statement of Principles and Further Call to Action Concerning COVID-19 and America’s Criminal Justice System: Avoiding Criminalization in Confronting COVID-19 (via May 11, 2020, NACDL News Release); May 27, 2020, Joint Statement: Proposed Public Health and Public Safety Pathways for Criminal Justice System Responses to COVID-19 (May 27, 2020) (“The principles below represent pathways for institutionalizing approaches that maintain high levels of health and safety during this unprecedented public health crisis and beyond.”) (Read the joint news release here.) 2 https://nypost.com/2020/04/28/coronavirus-in-ny-3-judges-die-almost-170-court-workers-infected/; https://www.nydailynews.com/coronavirus/ny-coronavirus-pandemic-unprepared-nyc-courts-20200526- fe2zknj7cbgutpjdn3vtfruiiq-story.html; https://www.latimes.com/california/story/2020-05-28/los-angeles-county-public-defender-dies-from-covid-19 3 https://eji.org/news/covid-19s-impact-on-people-in-prison/ 4 As Attorney General William Barr stated in his memorandum of April 27, 2020, “[T]he Constitution is not suspended in times of crisis. We must therefore be vigilant to ensure its protections are preserved, at the same time that the public is protected.” 2
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