Procedures In Criminal Cases

The following is a description of how a criminal case would proceed through the court system in Pennsylvania:

Incident Occurs

Police Notified or Police Observe

Police Investigate
Investigation may include interviewing the victim, witnesses and/or suspects; collecting physical evidence; visiting, viewing, photographing and/or measuring the crime scene; identifying suspects through photo arrays or line-ups, etc.

Police File Complaint
After an alleged crime is investigated, the police initiate the criminal process by filing a complaint with the district justice or by making a warrantless arrest followed by the filing of a complaint. The complaint identifies the defendant, lists the crimes charged and contains a brief factual summary upon which the charges are based.

Private Complaint Filed
If the police decline to file a complaint, a private person is permitted to file a private complaint. However, the District Attorney’s office must first approve the private complaint before it can proceed. Once the complaint is approved, the process is the same as if the complaint had been filed by a police officer.

Summons Or Arrest Warrant Issued
Once the complaint is filed, the presence of the defendant is secured voluntarily, by summons, or compelled, by arrest. The district justice will issue either a summons or a warrant of arrest, depending generally on the seriousness of the offense alleged. Less serious cases proceed with the issuance of a summons which provides notice of the defendant’s scheduled preliminary hearing.

Preliminary Arraignment
If a warrant of arrest is issued, or if the process was initiated by a warrantless arrest, the defendant must appear before the district justice for a preliminary arraignment. At this proceeding the defendant is provided with a copy of the complaint and advised of his rights; also at this time a preliminary hearing is scheduled, not less then three days but not more than ten days from the date of the preliminary arraignment.

Preliminary Hearing
The preliminary hearing is also held before a district justice. At the preliminary hearing the Commonwealth is required to present a prima facie case or, in other words, evidence that a crime has been committed and that the defendant is probably the perpetrator of that crime. If a prima facie case is presented, the case will be held for court. If a prima facie case is not presented, the charges should be dismissed.

Information Filed
After holding a case for court, the district justice will send notice to the county clerk of courts who in turn will notify the District Attorney. The District Attorney’s Office will then file a formal charging document, called an information, with the clerk of courts. The information will specify in particular counts the offenses charged against the defendant. At this stage, the District Attorney may exercise discretion and terminate the prosecution by declining to file an information or by adding or deleting charges.

Formal Arraignment
The next proceeding is the formal arraignment, which may or may not occur before a judge of the Court of Common Pleas. In Allegheny County, no judge is present. The defendant is provided with a copy of the information and advised of his rights, including his rights to file various pretrial pleadings.  All pretrial motions, including requests for a bill of particulars and discovery, and motions for continuance, severance or joinder, suppression, etc., should be filed within thirty days after the formal arraignment.

Pretrial Conference
The next step is the pretrial conference. Generally, the defendant and his lawyer and an Assistant District Attorney will appear before the assigned judge and the course of disposition of the case will be determined. All other pretrial matters should also be resolved at the pretrial conference. The defendant may elect to plead guilty, or to proceed to a jury or non-jury trial.

Trial Or Plea Disposition
A defendant entering a plea of not guilty may choose to be tried by a jury of twelve citizens or by the judge alone. At trial, the case for the Commonwealth is presented by an Assistant District Attorney who must establish the defendant’s guilt beyond a reasonable doubt. The defendant is under no obligation to present evidence or testimony but may do so if he wishes. If tried by a jury, the jury must return a unanimous verdict; if tried non-jury, the judge must return the verdict. If a defendant is found not guilty, he will be immediately discharged. If found guilty, the defendant may be sentenced immediately or sentencing may be deferred pending a pre-sentence investigation into the defendant’s background. If sentencing is deferred, the defendant is subsequently returned to court and sentenced.

Jury Trial
Here is a general outline of the steps in a jury trial:

1. Residents of Allegheny County are randomly selected from state drivers’ license records, voter registration rolls, and are summoned on a daily basis to the Courthouse as potential jurors;
2. a blind draw selects a pool of people from that group;
3. the Judge, Prosecutor and defense attorney voir dire, or question, the jurors about their backgrounds and beliefs
4. the attorneys are permitted a limited number of “peremptory” challenges to various jurors and an unlimited number of challenges for good cause, the number of peremptory challenges depends on whether the defendant is charged with a misdemeanor, felony or homicide;
5. after twelve jurors are selected, the Judge administers an oath to the jury and reads basic instructions about the trial process, etc.;
6. the Prosecutor gives an opening statement to outline his case and evidence to the jury;
7. the Defense may give a similar opening statement, or wait until later in the trial;
8. the Prosecutor calls his witnesses, after which the Defense may cross-examine the witnesses;
9. the Prosecutor rests, or closes the Commonwealth’s case;
10. the Defense may call witnesses, if it wants, and the Prosecutor may cross-examine the Defense witnesses;
11. the Defense rests;
12. the Prosecutor may present “rebuttal” witnesses/evidence to challenge evidence presented by the defendant during his phase of the trial;
13. the Prosecutor rests;
14. the Prosecutor presents a closing argument to the jury;
15. the Defense attorney presents a closing argument to the jury;
16. the judge gives the jury detailed legal instructions about the charged crimes, the deliberation process, etc.;
17. the jury deliberates and returns a verdict.

Non-Jury Trial
Here is a general outline of the steps in a non-jury trial:

1. the Prosecutor calls his witnesses, after which the Defense may cross-examine the witnesses;
2. the Prosecutor rests, or closes the Commonwealth’s case;
3. the Defense may call witnesses, if it wants, and the Prosecutor may cross-examine the Defense witnesses;
4. the Defense rests;
5. the Prosecutor may present “rebuttal” witnesses/evidence to challenge evidence presented by the defendant during his phase of the trial;
6. the Prosecutor rests;
7. the Prosecutor presents a closing argument to the judge;
8. the Defense attorney presents a closing argument to the judge;
9. the judge returns a verdict.

Guilty Plea
A defendant may choose to waive his right to a trial and enter a plea of guilty, which admits his guilt of the crimes charged. If a defendant elects to plead guilty, a plea date will be scheduled, at which time it will be determined that the defendant is knowingly and voluntarily entering a plea of guilty to the charges against him. Once the judge accepts the plea, the defendant may be sentenced immediately or sentencing may be deferred pending a pre-sentence investigation into the defendant’s background. If sentencing is deferred, the defendant is subsequently returned to court and sentenced.

Presentence Investigation And Report
The court’s probation department prepares a report for the judge summarizing the crime, and the defendant’s personal and criminal backgrounds. Generally, the victim is contacted for a statement.

Sentencing
In Pennsylvania, sentencing varies with the crime and can be the most confusing part of the criminal process. Most often, sentences are at the judge’s discretion; however, in Pennsylvania there are a number of mandatory minimum sentences that must be imposed if a defendant is convicted of a specified crime. At the time of sentencing, the judge will consider the information in the pre-sentence report before determining the sentence. The parties may correct factual errors in the pre-sentence report and offer additional evidence relevant to the judge’s sentencing decision. The judge will also consult the “sentencing guidelines” (established by the Pennsylvania Commission on Sentencing as a reference for framing an appropriate sentence throughout the state, considering factors of the crime and the defendant’s criminal background) to determine the minimum jail/prison sentence. The judge may consider different alternatives, such as a fine, probation, community service, a sentence to jail or prison, or a combination. The judge must also order the defendant to make restitution to any victims who have suffered financial harm.

Appeal
Once sentenced, the defendant has a choice of seeking review in the trial court or through an appeal to an intermediate appellate court, called the Superior Court of Pennsylvania. If review is first sought in the trial court and denied, the defendant may then appeal to the Superior Court. If the defendant’s appeal to the Superior Court is unsuccessful, the defendant has a discretionary appeal to the Supreme Court of Pennsylvania. The District Attorney’s Office will answer the defendant’s appeal by filing the appropriate responsive pleading.

There are three kinds of appeals: (1) interlocutory, (2) of right, and (3) by leave.

• Interlocutory appeal: occurs when a party tries to appeal a judge’s decision before the case has come to trial or before a trial is finished.
• Appeal of right: occurs after a final order has been entered by the trial court (either a sentencing order, or an order dismissing the charge. Most appeals of right now focus on the sentence imposed.
• Discretionary Appeal(or appeal by leave of the court): occurs when an appeal of right is not available (e.g., because an available appeal of right was not filed on time). The appellate court has the discretion to reject the appeal or can “grant leave”. Except for capital (death penalty) appeals, all appeals to the Supreme Court of Pennsylvania are by leave of court (called allocatur).

The defendant and Prosecutor file briefs that summarize the case facts, frame the legal issues to be decided, and present persuasive written arguments (supported by constitutional, statutory or prior case decision authority). After the briefs are filed the case is scheduled before the appellate court judges for oral argument. The appellate court will eventually issue a written opinion (or several opinions, if the justices disagree). Not all appellate opinions are “published” (i.e., printed in official “reporter” services, such as the Pennsylvania Reporter). The legal analysis and conclusions in published opinions are given greater precedential authority than “unpublished” opinions.

Post-Conviction Relief
Defendants also have a limited right to a collateral review of their conviction through the Post Conviction Relief Act (PCRA). This action commences in the court of common pleas and review can thereafter be sought in the state appellate courts. Defendants may also seek federal review of their state convictions by filing a writ of habeas corpus in the appropriate federal district court.

Contact Tibbott & Richardson now to set up a free consultation to discuss what to expect in your case.  Call us at (412) 444-7171.