Criminal Rules

Rule 3: The Complaint

• Defines the sworn document that first states the charge and the facts behind it, so a judge can decide whether probable cause exists.

• Defines the charging document that typically begins a federal criminal case

Rule 4: Arrest Warrant or Summons on a Complaint

• Requires a judge to find probable cause before a person is arrested or summoned on a complaint, and governs how the warrant is carried out

• A warrant names or describes the defendant, describes the offense, commands arrest and prompt appearance before a magistrate judge, and is signed by a judge

• summons instead directs the defendant to appear at a stated time and place

• Only a marshal or other authorized officer may execute a warrant. The officer need not possess the warrant at the time of arrest but must inform the defendant of it and the offense charged, and show it as soon as possible on request

Rule 5: Initial Appearance

• Brings an arrested person promptly before a judge, who tells the defendant the charge and the defendant's rights and decides release or detention

• If the arrest was made without a warrant, a complaint establishing probable cause must be promptly filed.

• In a felony case the judge must inform the defendant of the complaint and any affidavit, the right to retain counsel or have counsel appointed, the circumstances under which pretrial release is available, the right to a preliminary hearing, and the right not to make a statement

• The judge must also allow the defendant reasonable opportunity to consult with counsel and must decide detention or release

Rule 6: The Grand Jury

• Governs the citizen body that decides whether there is probable cause to bring felony charges: its size, who may be present, secrecy, and the vote needed to indict.

• A grand jury has 16 to 23 members

• Only government attorneys, the witness, interpreters, and a court reporter or recording operator may be present while evidence is taken; only the jurors (and any interpreter for a hearing- or speech-impaired juror) may be present during deliberation and voting

Rule 7: The Indictment and the Information

• Identifies the two charging documents, says when each may be used, and requires that they state the charge plainly enough for the defendant to prepare a defense

• An offense punishable by death or by imprisonment for more than one year — a felony — must be prosecuted by indictment

• An information is a charging document signed and filed by the prosecutor alone

• A felony may be prosecuted by information only if the defendant, in open court and after being advised of the nature of the charge and of the defendant's rights, waives prosecution by indictment

• Misdemeanors never require a grand jury

Rule 10: Arraignment

• Ensures the defendant is formally told of the charge in open court and enters a plea

• Arraignment is conducted in open court and consists of three things: "ensuring that the defendant has a copy of the indictment or information; reading the indictment or information to the defendant or stating to the defendant the substance of the charge; and then asking the defendant to plead."

• A defendant charged by indictment or misdemeanor information may waive appearance by a written waiver signed by the defendant and counsel that affirms receipt of the charge and enters a plea of not guilty, if the court accepts it

Rule 11: Pleas

• Makes sure a guilty plea is knowing, voluntary, and supported by facts, and regulates plea agreements between the parties

• A defendant may plead not guilty, guilty, or, with the court's consent, nolo contendere; if the defendant refuses to plead, the court enters a plea of not guilty

Rule 12: Pleadings and Pretrial Motions

• Requires certain defenses and objections to be raised and decided before trial so the trial itself is not interrupted by issues that could have been settled earlier

• The only pleadings in a criminal case are the indictment, the information, and the pleas. A party may raise by pretrial motion "any defense, objection, or request that the court can determine without a trial on the merits."

Rule 24: Trial Jurors

• Governs how the trial jury is chosen: questioning of prospective jurors, the number of peremptory challenges, and alternates

• The court may examine prospective jurors itself or permit the attorneys to do so; if the court conducts voir dire, it must allow the attorneys to ask or submit further questions