Conviction Review Today: A Guide for Prosecutors October 2020 Prosecutors’ Center for Excellence Table of Contents Acknowledgments ..............................................................1 Introduction ......................................................................2 Goal of the Paper ......................................................................................2 Structure and Content of the Paper .......................................................3 Executive Summary ..........................................................4 Types of Conviction Review ..................................................................4 Creating a CRU or a Conviction Review Process.................................4 What are the benefits of a CRU? ..................................................................4 Considerations for Starting a CRU: .................................................................5 Developing Procedures for the CRU ..................................................................5 Policies and Forms ............................................................................................6 Conducting the CRU Investigation ....................................................................7 Vacating a Conviction ......................................................................................7 Get It Right the First Time ..............................................................................8 Part 1 - Conviction Review Overview .....................9 The Start and Evolution of the Conviction Review Process ............10 Size and Number of Prosecutor Offices ..............................................12 Conviction Review Units .......................................................................13 Statewide Assistance with Conviction Review .....................................14 Attorney General Conviction Review ...............................................................14 Mutual Assistance ..........................................................................................15 Conviction Review Process .....................................................................16 Review of Systemic Issues .....................................................................17 Proactive Case Review ............................................................................19 Part 2 - Creating Conviction Review in a Prosecu- tor’s Office ................................................................... 21 How to Start ..............................................................................................22 Gathering Input ..............................................................................................22 Morale ............................................................................................................22 Formation and Structure of Conviction Review .................................23 Decision Maker and Reporting Structure .......................................................23 Conviction Review Leader .............................................................................24 Non-Legal Staffing ..........................................................................................25 Independence from the Appeals Bureau ..........................................................26 Training ........................................................................................................26 External Advisory Panels ...............................................................................26 Sources of Conviction Review Requests ..............................................29 Defendants or Their Families ........................................................................29 Innocence Organizations ..................................................................................29 Defense Counsel ............................................................................................30 Prosecutor Office Staff ...................................................................................30 Post-Judgment Motions ....................................................................................30 Investigative Reporters ......................................................................................30 Intake and Tracking of Conviction Review Requests .........................31 Intake Form ....................................................................................................31 Outreach .........................................................................................................31 Tracking and Responding ................................................................................32 Criteria for Accepting a Claim ................................................................33 Credible Claim of Innocence ...........................................................................33 Clear Evidence of Injustice .............................................................................33 Nature of the Evidence .................................................................................34 Type of Crime ..............................................................................................34 Incarceration Status of a Defendant ...............................................................34 The Availability of Records and Evidence .....................................................34 Trial or Plea ....................................................................................................34 Systemic Error ..............................................................................................35 Flexibility .....................................................................................................35 Conviction Review Investigation ...........................................................37 Role of the Original Prosecutor and Investigators .............................................37 Re-investigating from Scratch ..........................................................................38 Finding the Files and Evidence ........................................................................38 Testing of Evidence .........................................................................................39 Use of a Polygraph .........................................................................................39 Pending Appeals or Post-Judgment Motions ....................................................39 Uncovering Ethical Concerns or Wrongdoing ...................................................40 Prosecution of the Actual Perpetrator ..............................................................40 Outreach to the Victim ...........................................................................40 Role of Defense Counsel ........................................................................41 Timing ..........................................................................................................41 Sharing of Files .............................................................................................42 Reinterviewing Witnesses .................................................................................44 Memorandum of Understanding ....................................................................45 Waiver of Attorney-Client Privilege ...............................................................45 Ensuring Transparency ...........................................................................46 Policies and Procedures ....................................................................................46 Reporting CRU Activity ................................................................................49 Exonerations/Dismissals ........................................................................50 Definition of Exoneration ............................................................................50 Types of Exonerations ............................................................................51 DNA Cases ..................................................................................................51 Newly Discovered Evidence ............................................................................51 Recantation ....................................................................................................52 Partial Exoneration Cases ............................................................................52 Interest of Justice Dismissals .........................................................................53 Vacating a Conviction .............................................................................54 Standard for Vacating a Conviction .................................................................54 Practical Considerations Prior to Vacating a Conviction ...................................54 Vacating a Conviction .....................................................................................55 Getting it Right the First Time – A Culture of Integrity ...................55 Conclusion .......................................................................... 59 Appendix ..................................................... 60 State Prosecutor Offices by Population Served ...................................61 Conviction Review in Local Prosecutor Offices .................................61 Statewide Conviction Review ................................................................64 2019 Prosecutor Survey ..........................................................................65