WPC O0lwr2Lr2I?4DrjM9<'0nyS@͈ᠮ+/3LMs?$p{Wb`)<|x1DX-V\4yx˒]'hl M )v 3~V;FAh{ l7(nL/Z\@ZC:#MAmG{ &L q 㔦Nbjc5\TTfxCL,50LiZ PE.{ܵRTo8GqCAUV gb-4M H +CNo=t&+lKC_$Et<1".|۶GmXeK̥W}6! c\[@m3_7,%7sk䁃pF7F;F珮 %ąTNCO?v# UN %% 0+ U: b  1u 72 N ^ w 4   m B* 0w:: 1 0c88888888fafafafa B faf&a(((((((((( ^<<<<<<<<<<<fafaHP LaserJet 6L/LAPTOP-FDAP/Session 24,,,,0(9 Z6Times New Roman RegularX(M$  XXX(XXXX(XXX(USUS.,,@E Z"Book Antiqua - -3#37=CIQYag1.a.i.(1)(a)(i)1)a)i)*2 wf2W2O0Backup3|xU&0 d d(O;$0  2#  a  .3  0` (#(# jsCEKQW]cioAutoList1IVA.1.IVIVIVIVIV(;3$2#  0  .3  0  ึTABLE APTABLE BPTABLE BTABLE A dPTABLE BPTABLE BIV COMMON ISSUE CATEGORIES AND CORRESPONDINGTABLE APTABLE B M!  XXXXXXXXXUSUS.,  _! ! 7(js03 % r   8XXdd8  FederalizationTable%rd   FirstDistrictAppellateProject  February24,2005  qThetablesbelowlistseveralcategoriesofcommonappellateissues(e.g.,juryinstructions,evidentiary  error,etc.)andcorrespondingfederalconstitutionalclaims.Thisdoesnot,byanymeans,representa v comprehensivecatalogueofalltheopportunitiesfor federalizingtraditionalstatelawclaims.The b t citedcasesareintendedsimplyasentrypointstorelevantfederalcaselawinthefield.Someidentify N ` theleadingU.S.SupremeCourtcases;otherssimplylistedoneormorehandyexamplesoffederal : L  circuitcases. & 8  Explicitlypresentaclaimasafederalclaimbyreferencetofederalconstitutionalprovisionsorfederal    caselaw.Relyingonlyonstatelawmaynotbesufficienttopreserveafederalclaim,basedonthe   sameerrorasthestatelawclaim,forstateappellatecourtreview(&%XXe.g.,Peoplev.Barnett(1998)17   Cal.4th1044,1119fn.54#XX%&J#)andtopreventadefaultofthefederalclaiminfederalhabeasproceedings(see   Petersonv._Lampert_Ԁ(9thCir.2002)277F.3d1073).  "5;"  5;0  2js  A  .3  0p$$  JuryInstructions 5;݌p$p$ Ќ  Mostpotentialfederalconstitutionalclaimsinvolvingjuryinstructionsrestuponacombinationofthe ^p  righttojurytrial (6thAmend.)and dueprocess (5th&14thAmends.)Thefederalconstitutional J\ magnitudeofaninstructionaldefectismostclearwhereitconcernstheelementsoftheoffense,the :L theoriesofcriminalliability,ordefensetheoriessuchasaffirmativedefensesandlesserincluded &8 offenses.xXX $ *A[Bddd Xdd Xdd X$$,dd ,*dd +  +' +Error    =',!&8' =FederalClaim -#!&8' - Errorsandomissionsinelementsoftheoffense | ortheoriesofliability.  >P _Neder_Ԁv.UnitedStates(1999)527U.S.1;UnitedStatesv._Gaudin_ | (1995)515U.S.506.  @R   Othererrorsthatremoveelementsfromthe ! jury, includinginstructionsorjudicialcomments Zl" thataparticularelementisestablished asamatter  2# oflaw.   $ ЀPowellv._Galaza_(9thCir.2003)328F.3d558(judgescomment % thatdefendantstestimonyestablishedanelementofoffense \n& tantamounttoadirectedverdictor mandatorypresumption).   2'  Submissionofunauthorizedtheoriesofliability  <"N( (e.g.,improperpredicateoffenseforfelony " ) murderliability).  # * E.g.,_Suniga_Ԁv._Bunnell_(9thCir.1993)998F.2d664;Keatingv. <"N+ Hood(9thCir.1999)191F.3d1053.  # ,  Errorsinthedefinitionofthe reasonable %,"- doubtstandard orotherinstructionsthatdilute %". the reasonabledoubtrequirement.  &#/ Sullivanv.Louisiana(1993)508U.S.275.  %,"0  Improper presumptions andothererrorsthat ' %1 relaxtheprosecutionsburdentoestablisheach (%2 elementbeyondareasonabledoubt.  )&3 _Yates_Ԁv._Evatt_(1991)500U.S.391.  ' %4  Erroneousomissionoflesserincludedoffense Rd instructionsormisstatementofthegroundsfor & lesseroffenses.     Theory(1) :denialofadequateinstructionsonelementsof Rd chargedoffense.E.g.failuretoinstructonagroundthatnegates * maliceorsomeotherelementofthechargedoffense (e.g.,heatof  passion,imperfectselfdefense).  _Mullaney_Ԁv.Wilbur(1975)421  U.S.684;seeJustice_Kennard_sdissentinPeoplev._Breverman_ hz (1998)19Cal.4th142(note:_Breverman_majoritydidnotreach ,>  _Mullaney_issue).    Theory(2) :asdenialofinstructionsondefensetheory. _Conde_Ԁv. x   Henry(9thCir.1999)198F.3d734.  > P   Denialofinstructionsonaffirmativedefenses    (e.g.,selfdefense)ormisstatementofthose X j  defenses.   .  Righttoadequateinstructionsonthe defensetheoryofthecase.   Mathewsv.UnitedStates485U.S.58;Bradleyv.Duncan(9th Z l  Cir.2002)315F.3d1091;e.g.,Barkerv._Yukins_(6thCir.1999)  0  199F.3d867.     Other defensetheories?  :L  Righttoinstructionson defensetheoryisnotrestrictedtoformal :L   affirmativedefenses,butshouldalsoapplytoothertheories,like   thirdpartyculpability,alibi,etc.Butsee_Duckett_Ԁv._Godinez_(9th   Cir.1995)67F.3d734(though9thCir.requiresspecificalibi  instructionsinfederalcriminaltrials,denialofalibiinstructionin J\ statetrialdidntviolatedueprocess,whereoverallinstructions   adequatelycommunicatedprosecutionsdutytoprovedefendants  presenceatthescene).    Instructionson otheroffensesevidence.   Dueprocess.See_Garceau_Ԁv._Woodford_(9thCir.2001)275F.3d  769,775776,_revd_Ԁonothergrounds(2003)538U.S.202   (remandpending);(useof otheroffensesevidenceasproofof v! criminalpropensityviolateddueprocess). :L"   "5;"  5;0  2js  B  .3  0p$$  &  EvidentiaryErrors 5;݌#p$p$ Ќ  *}[~d ddd *dd *A[B$$,dd ,*dd +  +'x%x +Error    =',!&' =FederalClaim -#!'' - Admissionofnontestimonialhearsay not 2D( satisfyingawellestablishedhearsayexception.   ) Confrontationclause.Idahov.Wright(1990)497U.S.805.'5   2D* Admissionoftestimonialhearsaywhereno Pb+ adequateopp.forcross.   &, Confrontationclause.Crawfordv.Washington(2004)124_S.Ct_. Pb- 1354.   &.  Limitsoncrossexamination ;exclusionof l!~/ impeachmentevidence.  2"D0 Confrontationclause.Delawarev.Van_Arsdell_Ԁ(1986)475U.S. l!~1 673;Oldenv.Kentucky(1988)488U.S.227.  0"B2  Otheroffensesandunchargedmisconduct .  # 3 Dueprocess/fundamentalfairness._McKinney_Ԁv.Rees(9thCir. # 4 1993)993F.2d1378;_Garceau_Ԁv._Woodford_(9thCir.2001)275 N$`!5 F.3d769,775776,_revd_Ԁonothergrounds(2003)538U.S.202 %$"6 (remandpending).  %"7  Exclusionofdefenseevidence.  .'@$8 Dueprocessrighttoputonadefenseand/or6thAmend.rightto .'@$9 compulsoryprocess.Chambersv.Mississippi(1973)410U.S. '%: 284,302303B  ԍ(applicationofstaterulesbarringhearsayandcrossexaminationofpartysownwitnessviolateddefendantsrightstodueprocessandafairtrial)C  ;Washingtonv.Texas(1967)388U.S.14,23B  ԍ(localrulingbarringdefendantfromcallingaccompliceviolateddefendantsSixthAmendmentrighttocompulsoryprocessforobtainingwitnesses)C  ; (%; Cranev.Kentucky(1986)476U.S.683. z)&<      p   n*'< &    "5;"  5;`*0  2js  C  .3  0p$$  Confessions5;`**݌p$p$ Ќ  *X[Ydddd *dd *}[~$$,dd ,*dd +  +'rr +Error    =',!' =FederalClaim -#!' -Traditional Miranda issues.  ,> 5thAmen.selfincriminationpriv.See_Dickerson_Ԁv.UnitedStates ,> (2000)530U.S.428.    '=*_Massiah_ (interrogationafterrighttocounselhas HZ attached).     6thAmen.righttocounsel._Massiah_Ԁv.UnitedStates(1964)377 HZ  U.S.201;Mainev.Moulton(1985)474U.S.159(jailhouse    confessionstopoliceagents)      Voluntariness( promisesofleniency,threats, ( :  etc.).    Dueprocess.E.g.,Arizonav._Fulminante_(1991)499U.S.279.  ( :  Voluntarinessofanotherwitnessstatement.  F X  Dueprocess.E.g.Peoplev.Lee(2002)95Cal.App.4th772.D F X  lacksstandingtoassertviolationof3dpartys5thAmend._rts_,but    canchallengeadmissionasunreliable,ondueprocessgrounds.   (Butstandardsarenotidentical;seePeoplev._Badgett_(1995)10   Cal.4th330.)  Vh   Confessionsandotherinculpatorystatements  ofcodefendants &othercoprincipals.  p 6thAmen./Confrontation._Bruton_Ԁv.UnitedStates󀀀(1968)391  U.S.123;Grayv.Maryland(1998)523U.S.185(redaction r insufficientwhereblanks/neutralpronounsletjurorsinfer 6H referencesaretoD);Lillyv.Virginia(1999)527U.S.116   (admissionofcoprincipalsinculpatorystatementasdeclaration  againstinterestviolatedconfrontationclause).    "5;"  5;50  2js  D  .3  0p$$  & Z ProsecutorialMisconduct 5;555݌:Lp$p$ Ќ  *x[dddd *dd *X[Y$$x, dd , dd +  +'  +Error =',!$6!' =FederalClaim -#!$6"' - Commentondefendantsfailuretotestify  z# 5thAmen.Griffinv.Cal.(1965)380U.S.609  z$  'Z:5CommentonpostarrestpostMirandasilence  % Dueprocess.Doylev.Ohio(1976)426U.S.610.  &  UseofadefendantspreMiranda *<' silence inprosecutioncaseinchief  ( 5thAmen.priv.againstselfincrimination.UnitedStatesv. *<) _Velarde_ԄGomez(9thCir.2001)269F.3d1023;United * Statesv.Whitehead(9thCir.2000)200F.3d634.B.` hp x (#XB  +  Statingfactsnotinevidence (inclosingargumentorin  , formofquestionstowitness)   - 6thAmen.confrontation.Douglasv.Alabama(1965)380  . U.S.415;_Hardnett_Ԁv.Marshall(9thCir.1994)25F.3d  / 875;Peoplev.Bell(1989)49Cal.3d502<( ` hp x X<;Peoplev. !0 Gaines(1997)54Cal.App.4th821.  V"h1  Vouching forcredibilityofwitness  # 2 Dueprocessand/or6thAmen.confrontation._Lambright_ # 3 v.Stewart(9thCir.2000)220F.3d1022,1029;United r$!4 Statesv.Young(1985)470U.S.1,1819.  6%H"5 Appealsto racial,ethnicorreligiousprejudices   Equalprotection&dueprocess._McCleskey_Ԁv.Kemp  (1987)481U.S.279,309n.30;_Bains_Ԁv._Cambra_(9thCir. R'd$8 2000)204F.3d964,974975;B.` hp x (#XBPeoplev._Cudjo_(1993)6 ((%9 Cal.4th585,625626.  (%:  Disparaging defendantsexerciseof righttocounsel or 2*D'; defensecounselsfunction.  * (< 6thAmend.righttocounsel;dueprocess.UnitedStatesv. 2*D'= _Kallin_(9thCir.1995)50F.3d689;Peoplev._Crandell_ *(> (1988)46Cal.3d833,878.  +(?  Misleadingprosecutorialargument ,(e.g.,commenting Rd onabsenceofdefense_evid_.onapoint,whereprosecution *  objections/tacticspreventedDfromintroducingsuch  evidence).   Dueprocess.UnitedStatesv._Kojayan_(9thCir.1993)8 Rd F.3d1315.  (  Contradictoryprosecutionfactualtheories inco   defendantsseparatetrials(e.g.,whichdefendantfired  gun).    Dueprocess.(PendinginMitchellv._Stumpf_,_U.S.S.Ct_.no.    04-637;Inre_Sakarias_,Cal.Sup.Ct.no.S082299.)     Inflammatoryorpervasiveprosecutiontactics ,not    implicatingspecificconstitutionalrights.E.g.,appealsto    passion/prejudice,dangertothecommunity,namecalling d v (includingcomparingdefendanttoinfamousfigures),etc.  ( :  Dueprocess._Donnelly_Ԁv._DeChristoforo_(1974)416U.S.   637(testiswhethermisconduct infectedthetrialwith   unfairnessastomaketheresultingconvictionadenialof b t dueprocess").  & 8   Prosecutorialnondisclosureofexculpatoryevidence ,   includingimpeachmentinformationreprosecution FX  witnesses.     Dueprocess.Bradyv.Maryland(1963)373U.S.83;   _Kyles_Ԁv.Whitley(1995)514U.S.419;UnitedStatesv. DV  _Bagley_(1985)473U.S.667.     Falsetestimony.  bt  Dueprocess.UnitedStatesv._Agurs_(1976)427U.S.97 bt  (presentationoftestimonyprosecutorkneworshouldhave &8 knownwasfalse);e.g.,Peoplev._Kasim_Ԁ(1997)56  Cal.App.4th1360.    Intimidationofdefensewitnesses (e.g.,threatsofperjury  prosecutionifwitnesstestifiesfordefense).    Dueprocess&6thAmen.righttocompulsoryprocess ! E.g.,InreMartin(1987)44Cal.3d1;UnitedStatesv. " _Vavages_(9thCir.1998)151F.3d1185. #   "5;"  5;L0  2js  E  .3  0p$$  DefenseCounsel 5;LM݌FX$p$p$ Ќ  Allthecounselrelatedclaimslistedbelowderivefromthe6thAmen.righttocounsel,unlessotherwiseindicated. & *xd[edd+dd -dd [$$x, dd , dd +  +'Tf(Tf +Error =',!)' =FederalClaim -#!*' - Ineffectiveassistanceoftrialcounsel.   + _Strickland_v.Washington(1984)466U.S.668.   ,  Ineffectiveassistanceofappellatecounsel.  fx- Dueprocess._Evitts_Ԁv._Lucey_(1985)469U.S.387.  fx.  Denialorabsenceofcounsel atacriticalstageofthe / proceedings;constructivedenialofcounsel.  0 UnitedStatesv._Cronic_(1984)466U.S.648;e.g.,People 1 v.Horton(1995)11Cal.4th1068;Delgadov.Lewis(9th 2 Cir.2000)223F.3d976.  F X3 Counsels conflictofinterest.  !4 _Cuyler_Ԁv.Sullivan(1980)446U.S.335;Hollowayv. !5 Arkansas(1978)435U.S.475;_Mickens_Ԁv.Taylor(2002) b"t6 535U.S.162.   7  _Marsden_ .  ~$!8 Besuretoidentifyas6thAmend.violation.SeePv. ~$!9 _Marsden_(1970)2Cal.3d118,123126;seealso_Schell_Ԁv. B%T": _Witek_(9thCir.2000)218F.3d1017(enbanc).  &#;  Denialofancillaryservices toappointedcounsel  ^'p$< (experts,investigators,etc.).  $(6%= Dueprocess._Ake_Ԁv.Oklahoma(1985)470U.S.68. ^'p$> (Though_Ake_restsondueprocess,6thAmen.rightto "(4%? counselalsoimplicated.See_Corenevsky_Ԁv.SuperiorCourt (%@ (1984)36Cal.3d307.  )&A  DenialofancillaryservicestoproperD (investigator, +(B processserver,libraryaccess.).  +(C Dueprocess.Miltonv.Morris(9thCir.1985)767F.2d +(D 1443.  +(E Other selfrepresentationissues (incl.erroneousdenialof Rd _Faretta_motion;inadequatewarningsrehazardsofself *  representation;erroneousfailuretorelieveadefendantof  properstatus&reappointcounsel,etc.).   _Faretta_Ԁv.California(1975)422U.S.806;e.g,United Rd Statesv.Mohawk(9thCir.1994)20F.3d1480 ( [inadequaterecordtoestablishknowing&voluntary  waiverofcounsel];Snookv.Wood(9thCir.1996)89F.3d  605[inadequatewarnings];_Menefield_v.Borg(9thCir. bt  1989)881F.2d696[erroneousrefusalofreappointment &8  ofcounselforposttrialhearings].B.` hp x (#XB     "5;"  5;\0  2js  F  .3  0p$$  JurySelection&Misconduct 5;\\݌  p$p$ Ќ  ݀*xE[Fd d+dd -dd d[e$$x, dd , dd +  +'( :( : +Error =',! ' =FederalClaim -#! ' -Discriminatoryuseof peremptorychallenges (state    Wheeler error).    Equalprotection._Batson_Ԁv.Kentucky(1986)476U.S.79.     Denialofadequatevoirdire onpossiblejurorbias.    6thAmen.jurytrial&dueprocess._Mu'Min_Ԁv.Virginia   (1991)500U.S.415;Hamv.SouthCarolina(1973)409   U.S.524;e.g.,Peoplev._Wilborn_(1999)70Cal.App.4th   339[racialbias];Gardnerv.Barnett(7thCir.1999)175 N` F.3d580[disallowanceofvoirdirere_presdispositions_ $ aboutgangs].    Denialofperemptorychallenges guaranteedbystatelaw.  .@ Dueprocess/denialofstatecreatedlibertyinterest. .@ _Vansickel_Ԁv.White(9thCir.1999)166F.3d955    Jurorbias&concealmentofbias onvoirdire.  J\ 6thAmend.jurytrial&dueprocess.Dyerv._Calderon_ J\ (9thCir.1998)151F.3d970(enbanc);Greenv.White    (9thCir.2000)232F.3d671.  ! Other prejudicialeventsduringvoirdire.  *<" 6thAmen.jurytrial,confrontation,&dueprocess.E.g. *<# Machv.Stewart(9thCir.1998)137F.3d630(expert $ soundingstatementofexcusedprospectivejuror(social % worker)thatchildrenneverlieaboutsexualassault;so v& intrinsicallyprejudicialastocompelamistrial).  :L'  Jurorbias!racialbias duringdeliberations.  ( Equalprotection._McCleskey_Ԁv.Kemp(1987)481U.S. ) 279,292.(Also6thAmen.fairjurytrial&dueprocess.)  Vh*  Jurormisconduct,exposingotherjurorstomattersnot + inevidence (e.g.,defendantspriorcriminalrecord).  p , 6thAmen.jurytrial&confrontation._Jeffries_Ԁv.Wood(9th - Cir.1997)114F.3d1484,1490;Lawsonv.Borg(9th r . Cir.1995)60F.3d608,612.B.` hp x (#XB  6!H/  Misconductofcourtpersonnel (bailiffs,sheriffs,clerks, "0 etc.)exposingjurorstomattersoutsidetherecord.  T#f 1 6thAmen.fairjurytrial,counsel,confrontation&due "2 process.E.g._Dickson_Ԁv.Sullivan(9thCir.1988)849F.2d R#d 3 403.  $(!4 Othererrorsresultingin jurorsreceiptofinformation n%"5 outsidetherecord .E.g.,deliveryof_unadmitted_Ԁexhibits 4&F#6 intojuryroom.  & $7 6thAmen.confrontation.E.g.,_Eslaminia_v.White(9th n%"8 Cir.1998)136F.3d1234;UnitedStatesv._Noushfar_(9th 2&D#9 Cir.1996)78F.3d1442. &$:   '%:  "5;"  5;m0  2js  G  .3  0p$$  &  OtherFairTrialIssues 5;mFm݌p$p$ Ќ  *xG[Hd d+dd -dd E[F$$x, dd , dd +  +'tt +Error =',!' =FederalClaim -#!' - Competency tostandtrial(Pen.Code1368,etc.).  .@ Dueprocess.Patev.Robinson(1966)383U.S.375; .@ Cooperv.Oklahoma(1996)517U.S.348B.` hp x (#XB.    '&mPresenceofdefendant atcriticalstagesoftrial.  Rd 6thAmen.confrontation&dueprocess.See,e.g.,United Rd  Statesv.RosalesRodriguez(9thCir.May8,2002)__ ( F.3d__,02_C.D.O.S._Ԁ3928(&priorcasesdiscussedthere);  seegenerallyKentuckyv._Stincer_(1987)482U.S.730.    Severance/joinder: improperjoinderof counts .   Dueprocess.E.g.,Beanv._Calderon_(9thCir.1998)163  F.3d1073.    Severance/joinder :improperjoinderof codefendants.   $  Dueprocessand/or6thAmen.confrontation.E.g., 2 XUnited  $  Statesv._Mayfield_(9thCir.1999)189F.3d895;Peoplev.    _Estrada_(1998)63Cal.App.4th1090      Lackofnotice ofprosecutiontheory&other ambush    tactics    6thAmen.&dueprocessrightstonoticeofcharges.    _Sheppard_Ԁv.Rees(9thCir.1990)909F.2d1234.     Otherprejudicialeventsincourtroom !portrayalof "   defendant (shackling,jailclothes,viewingdefendantin   custody,etc.)    Dueprocess.E.g.,Spainv._Rushen_(9thCir.1989)883 "  F.2d712;Estellev.Williams(1976)425U.S.501.     Otherprejudicialeventsincourtroom !outbursts,press  &spectatorconduct,etc.   Dueprocessand/or6thAmen.fairtrial&confrontation.  E.g.,Norrisv._Risley_(9thCir.1990)918F.2d828.    "5;"  B.` hp x (#2 B5;y0  2js  H  .3  0p$$  AppellateProcessIssues 5;yy݌rp$p$ Ќ  *xg[hdd+dd -dd G[H$$x, dd , dd +  +'   +Error =',!\n' =FederalClaim -#!\n' - Denialofappointedcounsel ondirectappealor  ineffectiveassistanceofappellatecounsel.  x  Dueprocess&equalprotection.Douglasv.California ! (1963)372U.S.353_Evitts_Ԁv._Lucey_(1985)469U.S.387.  v"  Denialofadequaterecord forappellatereview.  # Dueprocess,equalprotection,&effectiveassistance $ appellatecounsel._Enstminger_v.Iowa(1967)386U.S. % 748;Peoplev.Barton(1978)21Cal.3d513,518.  Xj&  Denialofadequaterecordfor_Batson_claims. See ' Peoplev.Landry(1996)47Cal.App.4th785(denying v( augmentation,basedonCal.SupremeCourtopinions :L) disapprovingcomparisonsbetweenchallengedand * unchallengedjurors).  + Becausefederalopinionsregardingjurorscomparisonsas , vitalto_Batson_review(e.g.,Turnerv.Marshall(9thCir. t- 1997)121F.3d1248),augmentationdenialsliketheone 8J. inLandryimplicatefederalconstitutionalrightsto / adequateappellaterecord(_Enstminger_Ԁv.Iowa,supra)and 0 effectiveassistanceofappellatecounsel(_Evitts_Ԁv._Lucey_). 1