Stages of Criminal Procedure

Why This Matters

Criminal procedure isn't just a checklist—it's the constitutional architecture that balances the government's power to prosecute crime against the individual's fundamental rights to liberty and due process. You're being tested on how each stage serves as a checkpoint where specific constitutional protections apply: Fourth Amendment search and seizure limits, Fifth Amendment self-incrimination protections, Sixth Amendment trial rights, and Eighth Amendment bail and punishment constraints. Understanding which rights attach at which stage is essential for exam success.

Think of criminal procedure as a filtering system designed to prevent wrongful convictions while allowing legitimate prosecutions to proceed. Each stage asks a different question: Is there enough evidence? Are the defendant's rights protected? Is the process fair? Don't just memorize the order of stages—know what constitutional principle each stage protects and what burden of proof applies at each checkpoint.

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Pre-Charging Stages: Building the Case

These initial stages focus on evidence gathering and establishing sufficient grounds to formally accuse someone of a crime. The key principle here is probable cause—a reasonable belief, based on articulable facts, that a crime has been committed and the suspect committed it.

Investigation

• Law enforcement gathers evidence through interviews, surveillance, forensic analysis, and searches—all subject to Fourth Amendment limitations
• Probable cause must be established before obtaining warrants; warrantless searches require specific exceptions (exigent circumstances, consent, plain view)
• Miranda warnings aren't required during investigation unless there's custodial interrogation—a frequent exam distinction

Arrest

• Physical seizure of a person requires probable cause that the individual committed a crime—not proof beyond a reasonable doubt
• Miranda rights attach once arrest occurs and interrogation begins; failure to warn can suppress subsequent statements
• Warrantless arrests are permitted in public with probable cause, but home arrests generally require a warrant (Payton v. New York)

Booking and Initial Appearance

• Administrative processing includes fingerprinting, photographing, and recording personal information—routine booking questions don't require Miranda warnings
• Initial appearance before a magistrate must occur promptly (typically within 48 hours per County of Riverside v. McLaughlin)
• Bail determination occurs here, governed by Eighth Amendment prohibition against excessive bail and factors like flight risk and danger to community

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Screening Stages: Filtering Weak Cases

These stages serve as gatekeeping mechanisms to ensure only cases with sufficient evidence proceed to trial. The goal is preventing the burden and stigma of trial for defendants when the government's case is inadequate.

Preliminary Hearing

• Judicial review of probable cause occurs in open court where the defendant has the right to be present and represented by counsel
• Prosecution presents evidence and defense can cross-examine witnesses—though rules of evidence are relaxed compared to trial
• Lower burden than trial—the question is whether probable cause exists, not whether guilt is proven beyond a reasonable doubt

Grand Jury or Information

• Grand jury (Fifth Amendment requirement for federal felonies) is a citizen body that reviews evidence in secret proceedings without the defendant present
• Information filing is the alternative in most states—prosecutor files charges directly, bypassing grand jury review
• Indictment standard requires probable cause; grand juries have broad subpoena power and historically "indict a ham sandwich" (meaning they rarely reject prosecution requests)

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Pre-Trial Stages: Shaping the Battlefield

These stages determine how the trial will proceed—what evidence comes in, what charges stand, and whether trial happens at all. Strategic decisions made here often determine outcomes more than the trial itself.

Arraignment

• Formal reading of charges and entry of plea—guilty, not guilty, or nolo contendere (no contest, which admits facts for this case but can't be used against defendant in civil proceedings)
• Sixth Amendment right to counsel fully attaches at arraignment; if defendant can't afford counsel, one must be appointed
• Speedy trial clock typically starts here—constitutional and statutory time limits begin running toward trial

Pre-Trial Motions

• Motion to suppress challenges evidence obtained in violation of constitutional rights—if granted, prosecution may lose key evidence
• Motion to dismiss argues charges are legally insufficient, statute of limitations expired, or double jeopardy bars prosecution
• Discovery motions compel disclosure; Brady v. Maryland requires prosecution to disclose exculpatory evidence to defense

Plea Bargaining

• Negotiated resolution between prosecution and defense—over 90% of criminal cases end this way, not at trial
• Charge bargaining reduces the offense level; sentence bargaining recommends lighter punishment in exchange for guilty plea
• Voluntariness requirement—plea must be knowing, intelligent, and voluntary; judge must conduct colloquy confirming defendant understands rights waived

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Trial Stage: The Main Event

Trial is where the presumption of innocence meets the prosecution's burden to prove guilt beyond a reasonable doubt—the highest standard in American law. This stage activates the full range of Sixth Amendment protections.

Trial

• Sixth Amendment rights converge—right to speedy and public trial, impartial jury, confrontation of witnesses, compulsory process for defense witnesses, and effective assistance of counsel
• Prosecution bears the burden of proving every element beyond a reasonable doubt; defendant has no obligation to present evidence or testify
• Jury unanimity is required for federal convictions; Ramos v. Louisiana (2020) extended this requirement to state courts through incorporation

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Post-Trial Stages: Review and Finality

These stages balance the interest in finality (ending litigation) against the need to correct errors. Different remedies apply depending on the type of error claimed and when it's discovered.

Sentencing

• Judicial discretion operates within statutory ranges; judge considers offense severity, criminal history, victim impact, and mitigating factors
• Eighth Amendment limits prohibit cruel and unusual punishment—proportionality review applies, especially for capital cases and life sentences for juveniles
• Sentencing guidelines (advisory after United States v. Booker) provide framework, but judge must consider individual circumstances

Appeals

• Direct appeal as of right allows one appeal of conviction; focuses on legal errors in the trial record, not factual disputes
• Harmless error doctrine means not every mistake warrants reversal—only errors that affected the outcome
• Standard of review varies—questions of law reviewed de novo, factual findings reviewed for clear error, discretionary decisions for abuse of discretion

Post-Conviction Remedies

• Habeas corpus ("the Great Writ") challenges the legality of detention—available after direct appeals are exhausted
• Ineffective assistance of counsel claims require showing deficient performance AND prejudice (Strickland v. Washington two-prong test)
• Newly discovered evidence can support motions for new trial, but strict time limits and materiality requirements apply

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Quick Reference Table

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Self-Check Questions

1. At which two stages does probable cause serve as the governing standard, and how does this standard differ from the trial burden of proof?

2. Compare and contrast the preliminary hearing and grand jury—what constitutional function do both serve, and why might a defendant prefer one over the other?

3. A defendant claims police failed to read Miranda warnings during a traffic stop where they asked questions. At what stage would this issue be raised, and what must the defendant show to succeed?

4. Which stages involve the Sixth Amendment right to counsel, and at which point does this right first attach for all critical proceedings?

5. If an FRQ asks you to explain how the criminal justice system protects against wrongful convictions, which three stages would provide your strongest examples and why?