Chapter 14 Enforcement Issues

CHAPTER 14 ENFORCEMENT ISSUES

(a) Introduction: Issues in Enforcement

(b) Regulatory Process:

(1) Objectives

(2) Permit Process:

a) General permits

b) Individual Devices

c) Exemptions

d) ConditionS

(3) Methodology: denial (conditional/partial), approval (conditional/partial); probation, revocation, sanctions

(1) Objectives

(2) Methodology:

a) Remedy: Injunction, Forfeiture, specific performance, civil penalties

b) Discovers Process: Pre/Post Filing

c) Specialized Causes of Action: Unfair competition; RICO (CA Env. Law Sec. Article)

(d) Criminal Law & Procedure: LA APCD

(1) Intro including

a) Exclusionary Rule:

1. Fourth Amendment: Investigative Warrants:

Dow Chem v. US (aerial surveillance)

b) Corporate Defendants:

1. Officers: Personal Participation, Derivative Responsibility, Responsible Corporate Officers (375)

2. Shareholders: State of NY v. Shore Realty (377)

c) Parallel Prosecution

d) Substantive Crimes: Property Crimes, Viol. of Environmental Statutes; Government Integrity Statutes (Filing False Documents)

(2) Investigative Stages: warrants, wiretaps

(3) Charging Process: Grand Jury/information

(4) Trial Procedure: Proof

(5) Sentencing Issues: Jail, Files, Creative Probation: The “White Collar” Phenomenon: NC SBI case

II. CRIMINAL PROSECUTION OF ENVIRONMENTAL CASES

A. Jurisdiction

1. Federal

2. State

B. Classification of Crimes: Key is Punishment

1. Malum Prohibitum v. Malum in Se

2. Felony, Misdemeanors and Infractions

(a) Jail Time

(b) Wobblers

3. Person v. Property Crimes

C. Prosecutorial Discretion

1. Agencies: NC Enforcement “Pyramid”

2. Law Enforcement/Investigative

3. Immunity and Plea Bargaining: The Turncoat

D. Elements of Crime

1. Requirement of Physical Act

2. Mental State (whatever required for crime)

(a) Malum Prohibitum: Strict Liability

(b) Malum in Se

(1) General Intent: Knowing, Reckless, Intentional, Negligent

` (2) Malice

*Scope of Duty

*”Authorized, requested, performed or recklessly

tolerated by board or high managerial agent” MPC

*Individuals still liable, eg, NC city

E. Parties to Crime: Accomplice Liability

1. Principals; Accomplices: Before or During; Accessory after the Fact: escape, aid;

2. Withdrawal

F. Specific Offenses:

1. Conspiracy, Solicitation and Attempt: Universals

2. Regulatory Offenses: Malum Prohibitum, Conspiracy

RCRA, “knowing” requirement

3. Traditional Crimes (Allied Chemical Kepone cases)

4. White Collar Crimes: Filing False Docs/Tax

5. Combination Offenses

a. Unfair Competition

b. Regulatory Offenses

c. RICO

III. CRIMINAL PROCEDURE: CONCEPT SUMMARY

I. PRETRIAL PROCEDURES

A. CHARGING PROCEEDURE

1. COMPLAINT OR INFORMATION

a) PRELIMINARY HEARING TO DETERMINE PROBABLE CAUSE TO DETAIN (“GERSTEIN HEARINGS)

b) PRETRIAL DETENTION

c) PRELIMINARY HEARING TO DETERMINE PROBABLE CAUSE TO PROSECUTE

2. INDICTMENT

a. Special or Investigative Grand Juries

b. Grand Jury Proceedings

3. PROSECUTORIAL DUTY TO DISCLOSE EXCULPATORY INFORMATION AND NOTICE OF DEFENSES

II. TRIAL

A. BASIC RIGHT TO A FAIR TRIAL

B. RIGHT TO TRIAL BY JURY

C. RIGHT TO COUNSEL—Amendment VI

D. BURDEN OF PROOF AND SUFFICIENCY OF EVIDENCE

1. Burden of Proof

2. Presumptions

3. Sufficiency of Evidence

III. CONSTITUTIONAL ISSUES

A. EXCLUSIONARY RULE

1. SCOPE OF THE RULE

a. Fruit of the Poisonous Tree

b. Exception – Breaking the Causal Chain

(1) Independent Source

(2) Intervening Act of Free Will

(3) Inevitable Discovery

(4) Live Witness Testimony

(5) In-Court Identification

2. LIMITATIONS ON THE RULE

a. Inapplicable to Grand Juries

b. Inapplicable to Civil Proceedings

c. Inapplicable to Internal Agency Rules

d. Good Faith Reliance on Existing Law or Defective Search Warrant

e. Use of Excluded Evidence for Impeachment Purposes

3. HARMLESS ERROR TEST

B. FOURTH AMENDMENT

1. ARRESTS AND OTHER DETENTIONS

a. What Constitutes a Seizure of the Person?

b. Arrests

(1) Probable Cause Requirement

(2) Warrant Generally Not Required

c. Other Detentions

(1) Investigatory Detentions (Stop and Frisk)

(2) Automobile Stops

(3) Occupants of Premises Being Searched May Be Detained

2. EVIDENTIARY SEARCH AND SEIZURE

a. Government Conduct Required

b. Reasonable Expectation of Privacy

(1) Standing

(2) Things Held Out to the Public

·Generally – No Expectation of Privacy

·“Open Fields” Doctrine

·Fly-Overs

c. Searches Conducted Pursuant to a Warrant

(1) Requirements of a Warrant

(2) Showing of Probable Cause

Use of Informers

(3) Warrant Must Be Precise on Its Face

(4) Execution of a Warrant

Must Be Executed by the Police

d. Exceptions to Warrant Requirement

(1) Search Incident to a Lawful Arrest

(2) “Automobile” Exception

(3) Plain View

(4) Consent

(5) Stop and Frisk

(6) Hot Pursuit, Evanescent Evidence, and Other Emergencies

e. Administrative Inspections and Searches

1) Warrant Required for Searches of Private Residences and Businesses

a) Exceptions Permitting Warrantless Searches

1. Contaminated Food

2. Highly Regulated Industries

2) Inventory Searches

f. Wiretapping and Eavesdropping

C. PRIVILEGE AGAINST COMPELLED SELF-INCRIMINATION

1. WHO MAY ASSERT THE PRIVILEGE?

2. WHEN MAY PRIVILEGE BE ASSERTED?

3. METHOD FOR INVOKING THE PRIVILEGE

4. SCOPE OF PROTECTION

a. Testimonial But Not Physical Evidence

b. Compulsory Production of Documents

Corporate Records

c. Seizure and Use of Incriminating Documents

5. GRANT OF IMMUNITY

a. “Use and Derivative Use” Immunity Sufficient

b. Immunized Testimony Involuntary

c. Use of Testimony by Another Sovereign Prohibited

d. NO POSSIBILITY OF INCRIMINATION

e. WAIVER OF PRIVILEGE