CRIMINAL PROCEDURE OVERVIEW 1.

CRIMINAL PROCEDURE
OVERVIEW
I. IN BRIEF
The study of Criminal Procedure, for the most part, is the study of protections given by
the Constitution (as interpreted by the Supreme Court) to persons accused of commit-
ting crimes. Since most constitutional restrictions on governmental power apply by their
terms only to the federal government, constitutional criminal protections are applicable
to the states only if the Supreme Court finds that they are part of the due process owed
by states to citizens under the Fourteenth Amendment. In addition to the rights speci-
fied in the Constitution, the Supreme Court has made a few rules of its own to ensure
the specified rights are protected. Two such judge-made rules are the focus of many law
school classes—the exclusionary rule and the Miranda rule. The exclusionary rule gener-
ally prohibits the introduction at trial of evidence obtained in violation of the Fourth, Fifth,
or Sixth Amendments. Miranda generally prohibits introduction at trial of statements
obtained from people through interrogation while in police custody unless they are first
informed of various rights and warned of consequences of waiving those rights.

II. WAS THE FOURTH AMENDMENT VIOLATED?

A. Was Seizure of a Person Proper?

1. Right to be free from unreasonable searches and seizures of person and property by
government

2. What constitutes a seizure of the person?

a. Under the totality of circumstances

b. Reasonable person would not feel free to decline officer’s requests and termi-
nate the encounter

c. Must be a physical application of force or submission to a show of force

d. Arrest

1) Must be based on probable cause

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2) Warrant not required for public arrest

3) Warrant required to arrest person in own home

e. Investigatory detentions (Terry stops)

1) May be made on reasonable suspicion supported by articulable facts

2) Reasonable suspicion determined by totality of circumstances

3) Informer’s tips must be accompanied by indicia of reliability

4) Police must act in a diligent and reasonable manner in confirming or dispel-

ling their suspicion (cannot take too long)

f. Automobile stops

1) Generally must have at least reasonable suspicion that a law has been
violated

2) Exception—special law enforcement needs can justify suspicionless

roadblocks

a) Cars must be stopped on basis of a neutral, articulable standard

b) Must serve purpose closely related to a particular problem pertaining

to automobiles and their mobility

g. Subpoena to appear before a grand jury is not within Fourth Amendment

protection

h. Use of deadly force is a seizure, and deadly force may not be used unless
reasonable under the circumstances

B. Was There an Improper Search or Seizure of Property?

1. Was there government conduct?

a. Fourth Amendment proscribes only governmental conduct (e.g., the police and
their agents)

2. Does defendant have standing?

a. May complain only about interference with own reasonable expectation of

privacy or physical intrusion into own constitutionally protected area
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b. Determined under totality of circumstances

c. Premises—person has a reasonable expectation of privacy in:

1) Places owned by the person

2) Person’s home—whether or not person owns or has a right to possess

3) Place in which person is at least an overnight guest

4) No reasonable expectation of privacy in things held out to the public

(sound of one’s voice, smell of one’s luggage, etc.)

5) Reasonable expectation of privacy in home extends to curtilage

3. Searches pursuant to a warrant

a. Warrant requirements

1) Issued by neutral and detached magistrate

2) Based on probable cause to believe that seizable evidence will be found in

place to be searched

3) Describes with particularity the place to be searched or items to be seized

4) Invalid if based on a material false statement that was intentionally or

recklessly included

5) Must generally knock and announce authority

a) No knock entry permissible if officer has reasonable suspicion that

knocking and announcing would be dangerous or would inhibit investi-
gation

b) Evidence not excluded based on violation of above rule

b. Exceptions to warrant requirement (generally, other warrantless searches unrea-

sonable/unconstitutional under Fourth Amendment)

1) Search incident to lawful arrest (contemporaneous requirement)

2) Automobile exception

a) Need probable cause to believe vehicle contains contraband or fruits,

instrumentalities, or evidence of a crime
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b) May search anywhere in/on car where item that is subject of search
may be found

c) Contemporaneousness not required

3) Plain view

a) Legitimately on premises

b) Discover contraband or fruits, instrumentalities, or evidence of a crime

c) In plain view

4) Consent (from one with apparent right to use or occupy property)

a) If suspect present, may overrule consent

b) Parent usually has authority to consent to search of child’s room if

parent has access

5) Stop and frisk

a) During valid Terry stop (see above)

b) Police have reasonable belief that detainee is armed and dangerous

c) May pat down outer clothing for weapons

d) May seize anything that by plain feel is weapon or contraband

6) Hot pursuit of a fleeing felon

7) Evanescent evidence (that is, evidence likely to disappear before warrant

can be obtained, such as tissues from under a suspect’s fingernails)

8) Emergency aid/community caretaker exception (that is, search justified by

threats to health or safety)

9) Inventory searches incident to arrest

a) Valid if pursuant to established police department procedure

10) Public school searches by school officials valid if reasonable:

a) Offers moderate chance of finding evidence of wrongdoing

b) Implemented through means reasonably related to objectives of the

search
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c) Search not excessively intrusive

11) Mandatory drug testing—has been upheld when it serves a special need
beyond the needs of law enforcement

a) High school students in extracurriculars

b) Government employees with access to drugs

12) Border searches—warrantless searches broadly upheld to protect sovereignty

III. WAS CONFESSION VALIDLY OBTAINED?

A. Was Due Process Violated—Involuntary Confession?
1. Judged by a totality of the circumstances

2. Government compulsion makes confession involuntary

3. Harmless error test applies if involuntary confession erroneously admitted into

evidence

B. Was Sixth Amendment Right to Counsel Violated?

1. Applies at all critical stages of the prosecution

2. Attaches when adversary judicial proceedings are begun

3. Offense specific—pertains to only one charge and defendant must ask again if later
charged with separate, unrelated crime

4. Waivable—must be knowing and voluntary

5. Remedy—if defendant was denied his right at trial, automatic reversal (harmless error
rule applies as to nontrial proceedings)

6. Statement made in violation of Sixth Amendment may not be used to prove guilt but
may still be used for impeachment

C. Was Fifth Amendment Privilege Against Compelled Self-Incrimination Violated?

1. Miranda warnings:

a. Right to remain silent

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b. Anything that is said may be used in court

c. Right to an attorney

d. If cannot afford attorney, one will be appointed

2. Warnings must be given prior to custodial interrogation by police

a. Defendant must know interrogation is by police; does not apply to informant or

probation officer

b. Custody—would reasonable person under the circumstances feel free to termi-

nate interrogation and leave; if not, is environment coercive?

1) Test is objective

2) Traffic stop noncustodial (temporary and brief)

c. Interrogation—any police words or conduct designed to elicit an incriminating

response

3. Waiver

a. Rights must be explicitly invoked

b. Right to remain silent

1) Waiver must be knowing and voluntary

2) Judge under totality of the circumstances test

3) If warnings given and defendant talked, valid waiver generally found

4) If right claimed, request must be scrupulously honored (cannot ask more

about the crime)

c. Right to counsel

1) All questioning must cease

2) Defendant may voluntarily reinitiate questioning

3) Request for counsel must be unambiguous

4) Duration of prohibition against questioning—14 days after defendant returns

to normal life
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4. Effect of violation

a. Evidence inadmissible at trial

b. Statements may still be used to impeach defendant’s testimony

c. Defendant’s silence after receiving warnings cannot be brought up

d. Harmless error test applies

e. Public safety exception—responses to questioning without Miranda warnings

may be admissible if questioning was reasonably prompted by a concern for
public safety

D. Pretrial Identifications
1. Sixth Amendment right to counsel applies at any post-charge lineup or showup

a. Photo identifications—no Sixth Amendment right

2. Due process standard—unnecessarily suggestive identification procedures that give

rise to a likelihood of misidentification violate due process

3. Improper identifications will be excluded from trial

4. If out-of-court identification excluded, in-court identifications allowed if from a source

independent of the excluded identification

IV. EXCLUSIONARY RULE

A. The Rule
Evidence obtained in violation of defendant’s Fourth, Fifth, or Sixth Amendment rights
generally will be excluded to deter government violation of constitutional rights

B. Fruit of the Poisonous Tree Doctrine

1. All evidence derived from excluded evidence will also be excluded

2. Balancing test—no exclusion if the deterrent effect on police misconduct is

outweighed by the costs of excluding probative evidence

a. Exceptions
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1) Independent source—evidence will be admitted if from a source indepen-

dent of the unconstitutional conduct

2) Attenuation—intervening act or circumstance

3) Inevitable discovery by police

4) Live witness testimony

5) In-court identification

6) Violations of no-knock entry rule

7) Good faith reliance on a defective search warrant

8) Use of evidence to impeach

3. Outside scope of fruit of poisonous tree

a. Grand juries

b. Civil proceedings

c. Violations of state law

d. Violations of internal agency rules

e. Proceedings to revoke parole

4. Harmless error test applies to violations

V. PRETRIAL PROCEDURES

A. Preliminary (Gerstein) Hearing

1. Hearing to determine probable cause

2. Not required if probable cause already found (e.g., by grand jury or under arrest
warrant)

3. Hearing must be within reasonable time (48 hours)

B. Initial Appearance
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1. Soon after arrest

2. Defendant told of charges, bail set, appointment of counsel if needed

C. Bail
1. Right under Due Process Clause as to federal prosecutions

2. Not required of states but many state constitutions or statutes require

3. Where right exists, excessive bail an Eighth Amendment violation

4. Where right exists, unfair procedures violate due process

D. Grand Juries
1. Not required of states (but some state constitutions require)

2. Upon finding probable cause, grand jury issues a “true bill”

3. Secret proceedings

4. Broad subpoena power

a. Quashed only if opposing party can prove no reasonable possibility that

material sought is relevant to the grand jury investigation

5. No right to:

a. Counsel

b. Miranda warnings

c. Warnings that witness may be a “potential defendant”

d. Exclude evidence that would be inadmissible at trial

e. Challenge subpoena for lack of probable cause

E. Speedy Trial
1. Under totality of circumstances, court will consider: length of delay, reason for delay,
whether defendant asserted his rights, and prejudice to defendant

2. Remedy—dismissal with prejudice

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3. Right attaches on arrest or charging

F. Prosecutorial Disclosure Duties

1. Government must disclose exculpatory evidence

2. Failure = due process violation if reasonable probability trial result would have been
different if undisclosed evidence had been presented at trial

G. Competency to Stand Trial

1. At time of trial, defendant not competent if:

a. Defendant lacks rational and factual understanding of the charges and proceed-
ings or

b. Defendant lacks ability reasonably to consult with lawyer

2. Trial judge has a duty to raise if no one else does

3. Burden to prove incompetency may be placed on defendant

4. May be detained in mental facility for only short time unless commitment proceed-
ings are brought

H. Pretrial Publicity
Excessive prejudicial publicity may necessitate change of venue

VI. TRIAL

A. Right to Public Trial

1. Sixth and Fourteenth Amendments provide the right to public trial

2. Probable cause hearings presumably open to public

3. Suppression hearings open unless:

a. Party seeking closure has overriding interest

b. Closure is no broader than necessary

c. Other reasonable alternatives were considered

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d. Court makes findings to support closure

B. Right to Jury
1. Sixth Amendment right to jury for serious offenses

a. Serious offense—imprisonment for more than six months

b. Civil contempt—no right

2. Number and unanimity

a. At least six jurors

b. Jury verdicts must be unanimous

3. Representative cross-section

a. Defendant need not be of excluded group to complain

b. Petit jury need not be representative—just venire

c. Peremptory challenges cannot be used in discriminatory manner

1) If defendant shows facts or circumstances raising an inference of prejudice,

2) Prosecutor must give race- or sex-neutral explanation, and

3) Judge must then determine prosecutor’s sincerity

4) Defendants similarly limited

4. Right to impartial jury

a. Right to question on racial prejudice if race inextricably bound up

b. Opposition to death penalty

1) May be excluded if view would prevent or substantially impair performance

of duty

C. Right to Counsel
1. Denial of right at trial requires reversal

2. Denial of right at nontrial proceedings requires reversal unless harmless

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3. Waiver valid if knowing and intelligent and defendant competent

a. Voluntary and intelligent if defendant has a rational and factual understanding of

the proceeding

4. Effective assistance of counsel

a. Part of Sixth Amendment right

b. Effective assistance is presumed

c. Ineffective if:

1) Deficient performance and

2) But for deficiency, result of proceeding would have been different

d. Not ineffective assistance—trial tactics

5. Conflicts of interest—representing multiple clients

a. May be basis for reversal

b. No right to joint representation

D. Right to Confront Witnesses

1. Right not absolute (e.g., disruptive defendant)

2. Co-defendant’s confession

a. Confession implicating co-defendant prohibited unless:

1) References can be excised or

2) Confessing defendant takes stand and subjects himself to cross-examina-

tion

3. Prior testimonial statement of witness inadmissible unless:

a. Witness unavailable and

b. Defendant had an opportunity to cross-examine witness when statement was

made
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c. “Testimonial”—at a minimum includes testimony from preliminary hearings,

grand jury hearings, former trial, and police interrogation

1) Police interrogation—nontestimonial if purpose of questioning was to

respond to an ongoing emergency

2) Results of forensic testing testimonial if offered to prove truth of testing

3) May forfeit by wrongdoing intended to keep witness from testifying

E. Burden of Proof and Sufficiency of Evidence

1. Burden—proof beyond reasonable doubt

2. Mandatory presumption shifting burden to defendant violates Fourteenth

Amendment due process

VII. GUILTY PLEAS & PLEA BARGAINING

A. Guilty Plea Waives Right to Jury

B. Taking the Plea

1. Judge must determine that plea is voluntary and intelligent

2. Judge must address defendant personally on record to ensure defendant knows:

a. Nature of charge and crucial elements

b. Maximum possible charge and mandatory minimum

c. The right not to plead guilty

d. By pleading guilty defendant waives right to trial

C. Remedy
Unfairly informed defendant not bound by plea

D. Bases for Collateral Attack on Guilty Plea

1. Plea involuntary—errors in plea-taking procedure

2. Court lacked jurisdiction to take plea

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3. Ineffective assistance of counsel

4. Failure of prosecutor to keep plea bargain

E. Finality of Plea
1. Defendant not permitted to withdraw plea if intelligent choice among alternatives

VIII. CONSTITUTIONAL RIGHTS REGARDING

SENTENCE AND PUNISHMENT

A. Right to Counsel Available at Sentencing

B. No Right to Confrontation
1. Exception—magnified sentence based on new findings of fact

2. Exception—capital sentencing requires more confrontation right

C. Resentencing After Successful Appeal

1. If judge imposes greater punishment at trial (after defendant’s successful appeal),
record must show reasons for harsher sentence

2. Exception—reconviction upon trial de novo

3. Exception—jury trial

D. Substantive Rights Regarding Punishment

1. Eighth Amendment prohibits punishment that is both cruel and unusual; that is,
punishment is grossly disproportionate to offense

2. Death penalty

a. Statutory scheme must give fact finder reasonable discretion, full information,
and guidance in making decision

b. Statute may not be vague

c. Application
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1) For murder—valid

a) For accomplice to felony murder—valid if accomplice participated in a

major way and acted with reckless disregard to the value of human life

2) For rape—disproportionate and invalid

3) If prisoner is insane—invalid

4) If prisoner is intellectually disabled—invalid

5) If prisoner was younger than 18 when crime was committed—invalid

3. Unconstitutional to make a status a crime

4. Unconstitutional to sentence minor to life without possibility of parole for

non-homicide crime

5. Unconstitutional to provide for harsher penalties for those demanding trial

6. Imprisonment of indigent for failure to pay fine violates equal protection

IX. APPEAL

A. No Right to Appeal

B. If Right to Appeal Is Granted by State Law, Right to Counsel Applies at First

Appeal

C. No Right of Self-Representation

D. Retroactivity of New Rule

New rules announced on direct appeal must be applied to all other cases on direct
appeal

X. COLLATERAL ATTACKS ON CONVICTIONS

A. Habeas Corpus
1. Civil action challenging lawfulness of detention
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2. Petitioner has burden to show unlawful detention by preponderance of evidence

3. Defendant must be “in custody” (includes on bail, probation, or parole)

XI. DOUBLE JEOPARDY

A. Fifth Amendment Right Applicable to States Through Fourteenth Amendment

1. Once jeopardy attaches, defendant cannot be retried for same offense

B. When Does Jeopardy Attach?

1. Jury trial—when jury empaneled and sworn

2. Bench trial—when first witness sworn

3. Juvenile proceedings—at commencement of proceeding

C. Exceptions Permitting Retrial

1. Hung jury

2. Mistrial for manifest necessity to abort original trial

3. Retrial after successful appeal

a. Cannot be for more serious crime than crime convicted of in first trial

D. Same Offense
1. Two crimes are not the same offense if each crime requires proof of an element the
other does not require (Blockburger test)

2. Only repetitive criminal prosecutions (not civil actions) prohibited

3. Charges by separate sovereigns (e.g., state and federal governments) not prohibited

4. The Double Jeopardy Clause does not bar successive prosecutions of distinct
offenses arising from the same conduct, even if a single sovereign prosecutes them
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XII. PRIVILEGE AGAINST SELF-INCRIMINATION

A. Fifth Amendment Right Applicable to States Through Fourteenth Amendment

B. Right for Natural Persons Only (Not Corporations or Partnerships)

C. Applies Only to Testimony

1. Does not apply to physical evidence

2. Does not apply to documents

D. Defendant Can Refuse to Take Stand Altogether

1. Prosecutor cannot comment on defendant’s silence after receiving Miranda warnings

a. Exception—in response to a claim of no opportunity to explain

b. Harmless error test applies—violation does not automatically require retrial

E. Witness Other than Defendant Must Take Stand and Invoke Privilege Question-
by-Question

F. Elimination of the Privilege

1. Use and derivative use immunity sufficient to eliminate privilege

a. Immunized testimony is involuntary and cannot be used for impeachment

b. State immunized testimony cannot be used in federal prosecution

c. Federal immunized testimony cannot be used in state prosecution

2. Privilege can be waived