Criminal Procedure: Constitutional Foundations to Post-Conviction Remedies

Constitutional foundations

• General principle: The Constitution protects the rights of people accused of crimes to prevent government abuse in investigation and prosecution; protections are in the Constitution and amendments.
• Habeas corpus (writ of habeas corpus):
  • Court order directing a government official holding a person in custody to present the prisoner in court and explain why the prisoner is jailed.
  • If held illegally, the court can order release. Often invoked after an initial appeal denial.
• Ex post facto laws: prohibit laws that make a crime out of an act that was not a crime at the time it was committed, or laws that increase punishment after the fact or lessen the burden of proof.
  • Example: Mann Act scenario: if Congress later increases punishment to 15 years for existing and future violators, while someone was already serving 10 years, that would be ex post facto.
  • An ex post facto law could also remove a required mental state (intent) to prove a crime, making it easier to convict.
• Bill of attainder: legislative act that imposes punishment on a specific individual or group without a trial; prohibited by the Constitution.
  • Example: punishing all people convicted of spying between dates X and Y without a trial would be illegal.
• Amendments overview (foundational for procedure)
  • Fourth Amendment: protection against unreasonable searches and seizures without a warrant; probable cause required for searches with warrants; many exceptions exist.
  • Fifth Amendment: due process; grand jury indictment; protection against self-incrimination; double jeopardy protections.
  • Sixth Amendment: right to a speedy and public trial; trial by jury; know the charges; confront witnesses; right to counsel (appointed if you cannot afford one).
  • Eighth Amendment: protection against excessive bail and cruel and unusual punishment.
  • Fourteenth Amendment: due process clause makes the above rights applicable to the states (state actions must also respect these rights).
• Emphasis on the Sixth Amendment and due process via the Fourteenth Amendment
  • Sixth Amendment rights are guaranteed against the federal government; the Fourteenth Amendment extends those due process protections to the states.
• Quick recap of key amendments named in class: Fourth, Fifth, Sixth, Eighth, and Fourteenth.

Search and seizure

• Fourth Amendment protections: government cannot conduct unreasonable searches and seizures; searches require probable cause and usually a warrant.
• Search vs. seizure definitions:
  • Search: looking for or seeking out what is concealed from view.
  • Seizure: taking property because it is evidence of a crime or illegal possession.
• Search warrants:
  • Written court order from a judge/ magistrate authorizing police to search for and seize evidence of a crime.
  • Can target contraband (illegal to produce or possess) and other evidence of crime; contraband examples include illegal drugs and smuggled goods.
  • Derivative contraband: legal to possess in some contexts, but becomes contraband if used to commit a crime (e.g., ingredients to make crystal meth).
• Common exceptions to the warrant rule:
  • Automobile exception: probable cause to believe a car is involved in a crime allows stopping the car, detaining occupants, and searching containers found in the car with probable cause.
  • Probable cause: reasonable grounds for belief in alleged facts, more than mere suspicion but less than evidence sufficient for conviction. ext{Probable cause}
    ightarrow ext{reasonable grounds}
  • Terry stop and frisk: originated in Terry v. Ohio; allows stops when there is reasonable cause to believe a person has committed or is about to commit a crime, plus a limited pat-down for weapons if safety is at risk.
  • Plain view: if an officer is lawfully present and an item is in plain view and probable cause to believe it is contraband or evidence, it can be seized without a warrant.
  • Stop-and-frisk: a limited search of outer garments for weapons when the officer has a lawful reason to stop someone.
  • Border search exception: border officials may search at the border; mail crossing the border may be opened with reasonable cause to believe contraband exists.
• Probable cause definition (reiterated):
  • ext{Probable cause} = ext{reasonable grounds for belief in alleged facts, more than mere suspicion, less than evidence}
• Terry v. Ohio and its implications
  • A reasonably prudent officer may search for weapons if safety is at risk; swift action on the spot may override the warrant process when practical.
  • Example: police observed suspicious behavior (Terry, Chilton, and a third party) and, based on circumstances, conducted a pat-down that revealed weapons.
• Valid arrest and searches incident to arrest
  • If there is a valid arrest, police may search the arrestee and surrounding area to preserve evidence and ensure safety.
  • Protective sweeps allowed in the vicinity when there is probable cause to arrest; to ensure no one else is present or dangerous items exist.
• Exclusionary rule and fruit of the poisonous tree
  • Evidence obtained in violation of the Fourth Amendment is inadmissible in court (exclusionary rule).
  • Fruit of the poisonous tree: evidence derived from illegally obtained evidence is also excluded.
  • Example: a warrantless search leading to marijuana found in a home can lead to exclusion of related evidence.
• Additional examples from the lecture
  • A bank robbery report that leads to a stop-and-frisk of a suspect matching the description.
  • Misuse of warrantless entry in a residence (courts require knock-and-announce before forcing entry).
• Extradition and other search-related topics
  • Extradition: surrender of a person accused of an offense to another state or country for trial.
  • Border search and plain view are common discussions in criminal procedure, though not always in every textbook edition.

Arrests and interrogations

• Arrest defined
  • The deprivation of liberty by legal authority; the act of taking a person into custody to answer a criminal charge.
• Arrest warrants and bench warrants
  • Arrest warrant: court order to arrest a person; typically issued after a complaint.
  • Bench warrant: arrest warrant issued by the court for contempt or failure to appear.
• Warrantless arrests
  • Permissible when the arresting officer has reasonable grounds to believe a felony or misdemeanor breach of peace occurred in the officer’s presence.
  • McNab/Mallory rule mentioned as a historical reference (not central to study here).
• Knock and announce rule
  • Police must knock and announce authority before entering a home in executing a warrant, though there are exceptions.
• Interrogation categories
  • Investigatory interrogation: routine questioning not in custody.
  • Custodial interrogation: suspect is in custody and deprived of freedom; questions must respect rights.
• Confessions and admissions
  • Confession types:
  • Voluntary confession: freely given without coercion.
  • Involuntary confession: coerced by threats, promises, or violence.
  • Implied confession: conduct implies guilt without explicit admission.
  • Judicial confession: guilty plea or similar action during court proceedings.
  • Interlocking confession: two or more co-defendants attempt to break one another.
  • Admission vs confession:
  • Admission: acknowledgment of some facts tending to prove guilt, but not necessarily all elements.
• Due process, Fifth Amendment, and Miranda rights
  • Due process protects fair procedures in enforcement of law.
  • Miranda warnings are required when suspects are in custody and subject to interrogation; rights include remaining silent, having an attorney, and appointed counsel if indigent; questioning must stop if the person requests an attorney.
• Post-arrest interrogation and the right to counsel
  • Interrogation may be stopped if the suspect invokes the right to counsel; custodial interrogation requires safeguards to prevent self-incrimination.

Pretrial procedures

• Grand jury, indictment, and information
  • Fifth Amendment guarantees a grand jury indictment in federal cases; indictment is a formal written accusation.
  • Information: prosecutor’s accusation without grand jury involvement; used in some jurisdictions or situations.
  • If no grand jury indictment, a preliminary hearing may determine probable cause to hold for trial.
• Preliminary steps to prosecution
  • Arraignment: accused brought before the court to enter a plea.
  • Pleas at arraignment:
  • Guilty: admission of responsibility for the crime.
  • Not guilty: denial of responsibility.
  • Nolo contendere: no contest; treated similarly to guilty for sentencing but not an admission of guilt.
  • Not guilty by reason of insanity: defense asserting mental illness at the time of crime.
  • Not competent to stand trial: defendant lacks capacity to understand proceedings or assist in defense; may require treatment or restoration to competence before trial.
  • Diminished capacity doctrine: intoxication or mental impairment that reduces mental intent may negate guilt for certain offenses.
• Plea bargains and prosecutorial discretion
  • Negotiated plea: plea to a lesser offense; may secure favorable sentencing or avoid trial.
  • Nolle prosequi: prosecutor’s voluntary dismissal of charges.
• Discovery and suppression
  • Prosecution must disclose evidence favorable to the defense, including exculpatory evidence.
  • Suppression hearing: defense motions to exclude illegally obtained evidence.

Trial phase

• Structure and parallels with civil trials
  • Opening statements; direct examination by the prosecution; cross-examination by the defense; defense case; rebuttal witnesses; closing arguments.
• Jury vs bench trial; voir dire
  • Right to a jury: criminal cases may be tried by jury or judge; jury must be fair and impartial.
  • Voir dire: jury questioning process to identify bias; aim is an impartial jury; some jurors may be dismissed for bias or other reasons.
• Right to a speedy trial and prejudice
  • Factors for a speedy trial: length of delay, justification, defendant’s assertion of the right, and prejudice to the defendant.
  • Prejudice: impairment of the defendant’s ability to present a defense, or threats to safety or finances.
• Burden of proof and presumption of innocence
  • Burden on the prosecution to prove every element beyond a reasonable doubt (BRD).
  • Presumption of innocence for the defendant; no obligation to prove innocence.
• Defenses and defenses in practice
  • Alibi: defendant was elsewhere when the crime occurred.
  • Self-defense: imminent danger and necessary use of force to avoid harm.
  • Fighting words doctrine (not widely used today in many jurisdictions; historical reference): linguistic provocation may be a defense to charges.
  • Entrapment: police inducement to commit a crime that the defendant would not have committed otherwise.
• Verdicts and sentencing concepts
  • Verdict: formal decision or finding by the jury; must be unanimous in many cases.
  • Conviction vs acquittal: judgment of guilt vs. innocence.
  • Hung jury: no unanimous verdict; leads to a mistrial.
  • Mistrial: invalid trial due to prejudicial events or technical issues; can arise if a juror cannot agree or is improperly influenced.
  • Sentencing: after conviction; may involve fines, imprisonment, or probation.
  • Probation: release under supervision; not a right; violation can revoke probation.
  • Concurrent sentences: served at the same time; total time is the maximum of the concurrent terms. Example: if one sentence is s1 = 5 years and another is s2 = 10 years, then T = ext{max}(s1, s2) = 10 years.
  • Consecutive sentences: served one after another; total is the sum: T = s1 + s2; example: 5 and 10 years could yield 15 years total.
  • Life sentences, mandatory sentences, habitual offender status.
  • Maximum vs minimum sentences; split sentences; suspended sentences (post-conviction postponement).
• Post-conviction considerations
  • Double jeopardy: cannot be prosecuted twice for the same offense after a conviction or acquittal.
  • Appeals: grounds include legal errors (fundamental or harmful), newly discovered evidence, and ineffective assistance of counsel.

Post-conviction remedies and records

• Post-conviction remedies
  • Commutation: reduction of a sentence by the government (e.g., death row commuted to life).
  • Pardon: executive relief that mitigates or exempts punishment and may restore rights; can be absolute, conditional, or general.
  • Expungement: destruction or sealing of records; often applies to juvenile cases.
• Purpose of criminal procedure
  • To safeguard constitutional rights at all stages of prosecution, from investigation to post-conviction relief.
  • Emphasizes the role of due process, fair treatment, and limits on government power.

Key terms recap (quick reference)

• Habeas corpus, ex post facto, bill of attainder, probable cause, search warrant, contraband, derivative contraband, automobile exception, Terry exception, stop-and-frisk, plain view, exclusionary rule, fruit of the poisonous tree, arrest, knock-and-announce, investigatory vs custodial interrogation, confessions vs admissions, Miranda rights, grand jury, indictment, information, preliminary hearing, arraignment, plea types (guilty, not guilty, nolo contendere, insanity, incompetent to stand trial, diminished capacity), plea bargains, nolle prosequi, discovery, suppression, voir dire, speedy trial, burden of proof, beyond a reasonable doubt, presumption of innocence, alibi, self-defense, entrapment, verdict, conviction, acquittal, hung jury, mistrial, sentencing, probation, concurrent vs consecutive, life sentence, mandatory sentence, habitual offender, commutation, pardon, expungement, extradition, and related pretrial/post-trial dynamics.

Note: The content above mirrors the concepts discussed in the transcript, including the ideas from Supreme Court jurisprudence (e.g., Terry v. Ohio), key amendments (4th, 5th, 6th, 8th, 14th), and the procedural flow from arrest to post-conviction remedies. It also notes practical implications such as the importance of competent counsel, avoidance of racial profiling risks in stop-and-frisk-like procedures, and evolving standards in criminal procedure.

Title

Comprehensive Study Notes on Criminal Procedure and Related Constitutional Protections