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Ethics in 2020 Federal Criminal Law Update - Western District ...
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.
Ethics in 2020 Federal Criminal Law Update - Western District ...
2
Ethics in 2020 Federal Criminal Law Update - Western District ...
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.”

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