Stages of a Case Glossary

Stages of a Case Glossary Stages of a Case are the specific events in the life of an indigent defense case. Each type of case has its own events known by special names. Following are details about the events in specific types of cases: Stages of a Juvenile Delinquency Case Page 2 Stages of an Adult Criminal Trial-Level Case Page 5 Stages of a Probation Revocation Proceeding Page 7 Stages of an Appeal, Discretionary Writ, and Post-Conviction/State Habeas Page 10 Stages of an Abuse & Neglect/Dependency Case Page 15 Stages of Special Types of Proceedings Page 18 The stages or events set out in these documents do not necessarily occur in exactly this order. Many jurisdictions combine one or more case events into a single proceeding. The names used locally for these stages/events vary from jurisdiction to jurisdiction. Page 1 of 22

Stages of a Juvenile Delinquency Case (Generic) Juvenile means a person of or younger than a certain age, but different jurisdictions apply differing age cut-offs and may also apply differing age cut-offs for various crimes, acts, or offenses. The following stages or events do not necessarily occur in exactly this order. Many jurisdictions combine one or more case events into a single proceeding. The names used locally for these stages/events vary from jurisdiction to jurisdiction. Incident the delinquent act or status offense. Delinquent Act would be a crime if committed by an adult Status Offense only illegal because committed by a child, such as smoking cigarettes, consuming alcohol, truancy, run-away, etc. Detention, Citation, or Summons to Appear A child may be taken into custody (detention; equivalent of arrest for an adult), or they (and their parent/guardian) may be told in writing to appear in court on a given date (citation, summons, traffic ticket, etc.) Detention Hearing When a child is taken into custody, they will either be released to a parent/guardian or detained. If the prosecutor intends to detain the child, there must be a detention hearing quickly. There should be two issues at the hearing: (1) a probable cause determination; and (2) a detain/release determination. Probable Cause Determination This is a where a judge/magistrate determines whether there is probable cause to believe that a delinquent act/status offense occurred and that the child committed it. Like an adult, a child taken into custody without an Arrest Warrant is constitutionally entitled to have this type of hearing. Can occur both before and after institution of prosecution, and whether taken into custody with or a without warrant, all depending on the jurisdiction. Also known as Probable Cause Hearing, Preliminary Examination, Waiver Hearing, etc. Detain/Release Determination This is similar to a bail hearing for an adult, but most jurisdictions do not set bail for children. The court may impose certain conditions that have to be met by the child and/or the child s parent/guardian in order for the child to be released pending institution of prosecution and adjudication. Indigency Determination The child is advised of right to counsel, asked if they want an appointed attorney, completes whatever application the jurisdiction uses to determine whether the child is entitled to have a lawyer appointed, and someone within the jurisdiction determines the child s eligibility for indigent defense representation. Some jurisdictions also require the parent/guardian to apply and be found indigent before appointing an attorney for a child. Some jurisdictions presume that a child is indigent and automatically qualifies for appointed counsel. May not all occur together at a single time & place. Appointment/Assignment of Counsel When a lawyer is appointed to represent an indigent child. In some jurisdictions this is a two-step process: (1) the child is told they will receive a public defender and the public defense system is told to represent the child; and (2) the public defense system designates a specific attorney to represent the child on the specific case. Children Tried as Adults most every jurisdiction has certain crimes that, when alleged to be committed by a child of a certain age, can result in the child being tried in adult court, rather than being adjudicated in the Page 2 of 22

juvenile delinquency courts. The crimes that can trigger this vary by jurisdiction. The age of child that can be tried as an adult also varies by jurisdiction. And finally, the method by which the child moves from juvenile delinquency court to adult court varies by jurisdiction. In all of the following proceedings, if the child is transferred to adult court, then the child is treated as if s/he were an adult for all purposes and the case becomes an adult court trial-level proceeding. Transfer by Arrest/Detention In some jurisdictions, an arrest/detention of a child for a particular crime will automatically cause the child to be treated as an adult and tried in adult courts according to adult procedures. Also known as Automatic Transfer. These jurisdictions typically provide some sort of Reverse Transfer Hearing, held in adult court, that allows an opportunity for the child & the case to be sent back to the juvenile delinquency court. Transfer by Institution of Prosecution In some jurisdictions, the institution of prosecution (by indictment or information) of a child for a particular crime will automatically cause the child to be treated as an adult and tried in adult courts according to adult procedures. Also known as Automatic Transfer, or Prosecutorial Discretion Transfer. These jurisdictions typically provide some sort of Reverse Transfer Hearing, held in adult court, that allows an opportunity for the child & the case to be sent back to the juvenile delinquency court. Transfer Hearing In some jurisdictions, a hearing must be held in the juvenile delinquency court before a child can be transferred to adult court. Also known as a Decline Hearing. The need for the Transfer Hearing can occur because of the charges alleged, on motion of the judge, on motion of the prosecutor, or on motion of the defense attorney, depending on the jurisdiction. Reverse Transfer Hearing In some jurisdictions, a child is presumptively transferred to adult court, but a hearing is held in either the juvenile delinquency court or the adult court, depending on the jurisdiction, to determine whether to transfer the child & the child s case back to juvenile delinquency court. The need for the Reverse Transfer Hearing can occur because of the charges alleged, on motion of the judge, on motion of the prosecutor, or on motion of the defense attorney, depending on the jurisdiction. Petition/Complaint The prosecuting agency decides whether and upon what specific charges the child will be adjudicated, and files some sort of written instrument that begins the actual adjudication. (Equivalent of institution of prosecution for an adult.) Also known as Institution of Prosecution, Indictment, Information, Grand Jury Indictment, Bill of Information, Bill of Charges, etc. Admit/Deny Hearing Follows filing of petition/complaint. (Equivalent of arraignment for an adult.) Child appears before a judge, is informed of the acts upon which being adjudicated, admits or denies having committed the acts (hopefully deny ), and the case is set for further proceedings such as motion hearings, pretrial conference, and trial. Motion Hearing Between admit/deny hearing and adjudication, both the prosecution and defense may file many different kinds of motions. Hearings may be held on none, some, or all of those motions. Types of typical motions include: discovery, suppression, etc. Pre-Adjudication Hearing or Conference Typically an informal meeting of the judge, prosecutor, and defense attorney. They may discuss possible agreed dispositions, need for additional motion hearings, readiness for Page 3 of 22

adjudication, etc. There may be more than one of these held in a given case. Also known as Status Conference, Case Setting, etc. Adjudication This is the outcome of the prosecution. It occurs by diversion, dismissal, admission, or adjudication. It occurs when ALL charges in a single action against the child have been completely disposed. Some jurisdictions will enter a judgment pending successful completion of probation, at which point the charge will be dismissed in those jurisdictions, dismissal following completion of probation is the dispositional event. Diversion Results in the child being not prosecuted and therefore not guilty. The charges are moved out of the formal criminal justice system of prosecution and are dealt with in some other way. This occurs most often before the filing of the petition/complaint, but can also occur after if after, the prosecutor will eventually also have to enter a Dismissal. Dismissal Results in the child being not guilty. Prosecutor may dismiss the charges at any time prior to adjudication determination, or a judge may order the dismissal. Some systems distinguish between dismissal by prosecutor and dismissal by judge, and may also track the stage of a case at which dismissal occurred, and whether the charges may be refiled at a later date. Also known as Non-Prosecution, Nolle Prosse, Withdrawal, etc. There will not be any disposition after a dismissal. Admission Results in child being guilty of something. Child admits guilt or no contest to some charge. (Equivalent of guilty plea for an adult.) May be result of an agreed disposition about either the charge or the disposition or both; or child may admit straight up to the charging instrument without any agreement. Disposition may or may not occur at the same time. Adjudication Results in either not guilty guilty or mistrial. (Equivalent of trial for an adult.) Most often this will be adjudication by judge, as most jurisdictions do not afford a right to trial by jury for children. Disposition may or may not occur at the same time. Disposition - When the judge imposes punishment after a child is adjudicated guilty. (Equivalent of sentencing for an adult.) This may occur at the same time as an admission or adjudication of guilt, or it may be a separate event. May be a disposition to a juvenile detention center, to probation, and/or to payment of various fines and costs. Adjudication is not complete until after imposition of disposition. Be very careful in using this term, as it has a different meaning in an adult criminal proceeding. Post-Adjudication Proceedings When a child intends to appeal from adjudication of guilty or disposition or both, the juvenile delinquency defense attorney normally will have to file some number of motions/pleadings. These can include, for example: motion for reconsideration; motion to supplement the record; motion for appeal. Where these motions are required, adjudication is not complete until the judge rules on these motions. Closing This is not actually a stage of a criminal case, but rather it is an event that must be tracked by the public defense system. It occurs when all administrative matters have concluded, and the case is officially closed out of the system s case management databases. Page 4 of 22

Stages of an Adult Criminal Trial-Level Case (Generic) These stages or events do not necessarily occur in exactly this order. Many jurisdictions combine one or more case events into a single proceeding, for example, the bail hearing & probable cause determination may be a single proceeding. The names used locally for these stages/events vary from jurisdiction to jurisdiction. Incident the crime Arrest, Citation, or Summons to Appear A person may be taken into custody (arrest), or they may be told in writing to appear in court on a given date (citation, summons, traffic ticket, etc.) First Appearance Some jurisdictions call this Arraignment and, for those that do, there are two different arraignments: arraignment on charge of arrest; and, arraignment on charge of prosecution. Also known as Probable Cause Hearing, Magistration, Initial Appearance, 48-Hour Hearing, etc. Indigency Determination The defendant is advised of right to counsel, asked if they want an appointed attorney, completes whatever application the jurisdiction uses to determine whether the defendant is entitled to have a lawyer appointed, and someone within the jurisdiction determines the defendant s eligibility for indigent defense representation. May not all occur together at a single time & place. Bail Hearing Often there are actually two different bail hearings: one to set bail; and one held later to modify, reduce, or increase bail or change the conditions of bail. Also known as Bond, Detention, Pre-Trial Release, etc. Preliminary Hearing This is a where a judge/magistrate determines whether there is probable cause to believe that a crime occurred and that the defendant committed it. A person arrested without an Arrest Warrant is constitutionally entitled to have this type of hearing. Can occur both before and after institution of prosecution, and whether arrested with or without warrant, all depending on the jurisdiction. Also known as Probable Cause Hearing, Preliminary Examination, Waiver Hearing, etc. Appointment/Assignment of Counsel - When a lawyer is appointed to represent an indigent defendant. In some jurisdictions this is a two-step process: (1) the defendant is told they will receive a public defender and the public defense system is told to represent the defendant; and (2) the public defense system designates a specific attorney to represent the defendant on the specific case. Institution of Prosecution The prosecuting agency decides whether and upon what specific charges the defendant will be prosecuted, and files some sort of written instrument that begins the actual prosecution. Also known as Indictment, Information, Grand Jury Indictment, Bill of Information, Bill of Charges, etc. Arraignment Follows institution of prosecution. Defendant appears before a judge, is informed of charges upon which being prosecuted, enters a plea (hopefully not guilty ) to the charge, and the case is set for further proceedings such as motion hearings, pretrial conference, and trial. This is the arraignment on the charge of prosecution. Be very careful using the term Arraignment, as different jurisdictions mean a wide variety of things when they use it; see for example First Appearance. Motion Hearing Between arraignment and trial, both the prosecution and defense may file many different kinds of motions. Hearings may be held on none, some, or all of those motions. Types of typical motions include: discovery, suppression, etc. Page 5 of 22

Pre-Trial Hearing or Conference Typically an informal meeting of the judge, prosecutor, and defense attorney. They may discuss possible plea bargains, need for additional motion hearings, readiness for trial, etc. There may be more than one of these held in a given case. Also known as Status Conference, Omnibus Hearing, Case Setting, etc. Disposition This is the outcome of the prosecution. It occurs by diversion, dismissal, plea, or trial. It occurs when ALL charges in a single prosecution have been completely disposed. Some jurisdictions will enter a judgment pending successful completion of probation, at which point the charge will be dismissed in those jurisdictions, dismissal following completion of probation is the dispositional event. Be very careful using this term, as it has a special meaning in juvenile delinquency proceedings. Diversion Results in client being not prosecuted and therefore not guilty. The charges are moved out of the formal criminal justice system of prosecution and are dealt with in some other way. This occurs most often before institution of prosecution, but can also occur after if after, the prosecutor will eventually also have to enter a Dismissal. Dismissal Results in client being not guilty. Prosecutor may dismiss the charges at any time prior to trial verdict, or a judge may order the dismissal. Some systems distinguish between dismissal by prosecutor and dismissal by judge, and may also track the stage of a case at which dismissal occurred, and whether the charges may be refiled at a later date. Also known as Non-Prosecution, Nolle Prosse, Withdrawal, etc. There will not be any sentencing after a dismissal. Plea Results in client being guilty of something. Client pleads guilty or no contest to some charge. May be result of an agreed plea bargain about either the charge or the sentence or both; or client may plead straight up to the charging instrument without any plea bargain. Sentencing may or may not occur at the same time. Trial Results in either not guilty, guilty, or mistrial. Can be bench trial (to judge) or jury trial. Sentencing may or may not occur at the same time. Sentencing - When the judge imposes punishment after a finding of guilt. This may occur at the same time as a plea or conviction at trial, or it may be a separate event. May be a sentence to prison/jail, to probation, and/or to payment of various fines and costs. Disposition is not complete until after imposition of sentence. Post-Trial Proceedings When a client intends to appeal from conviction or sentence or both, the trial attorney normally will have to file some number of motions/pleadings. These can include, for example: motion for new trial; motion to supplement the record; motion for post-verdict judgment of acquittal; motion for appeal. Where these motions are required, disposition is not complete until the judge rules on these motions. Closing This is not actually a stage of a criminal case, but rather it is an event that must be tracked by the public defense system. It occurs when all administrative matters have concluded, and the case is officially closed out of the system s case management databases. Page 6 of 22

Stages of a Probation Revocation Proceeding (Generic) These stages or events do not necessarily occur in exactly this order. Many jurisdictions combine one or more case events into a single proceeding, in particular in many jurisdictions there is only a single hearing between the defendant being arrested on a probation violation and the final outcome of the proceeding. The names used locally for these stages/events vary from jurisdiction to jurisdiction. Probation As a result of either adult sentencing or juvenile adjudication, a defendant may be on probation. Probation means that, instead of going to prison/jail and/or in order to have time to fulfill certain conditions imposed by the judge, the defendant is under the supervision of a probation officer for some period of time during which the defendant must comply with certain conditions. Typical conditions a defendant might be required to fulfill while on probation include: serving some number of days in jail; paying fines & court costs; paying restitution; attending & successfully completing a treatment program; getting a GED; getting a job; reporting to the probation officer periodically; complying with sex offender reporting requirements; passing drug tests; complying with a curfew/house arrest; not having contact with the victim in the case; not consuming alcohol and/or non-prescriptions drugs; not committing any new crime; etc. NOTE: Probation is not the same thing as Parole. Depending on the jurisdiction, the case may be considered either open or closed from the point of view of the public defense system while the defendant is on probation. An indigent defendant may have, but is not necessarily entitled under federal law to have, counsel appointed to represent him in a probation revocation proceeding. Notably, in many jurisdictions there are no lawyers involved in these proceedings at all neither a prosecutor nor a defense attorney. Termination of Probation At the end of the term of probation, if the defendant has successfully complied with all conditions, then the sentence/adjudication is fulfilled and the defendant is released from the jurisdiction of the criminal justice system. In some jurisdictions/circumstances, the original charges against the defendant may be dismissed and it will be as if the defendant was never convicted. In other jurisdictions/circumstances, the original charges against the defendant may be reduced, such that instead of a felony conviction the defendant might have only a misdemeanor conviction. In other jurisdictions/circumstances, the defendant may have exactly the same conviction they had when sentenced originally. Finally, some jurisdictions allow for a term of probation to be completed early or as soon as a defendant fulfills certain conditions. Violation of Probation If at any time during the term of probation, the defendant fails to meet any of the required conditions, then the probation officer and/or prosecutor may allege that the defendant violated conditions of probation and may bring the defendant back to court for a probation revocation proceeding. Incident the violation of a condition of probation. If the probation violation is the alleged commission of a new crime, then the new crime may be both the basis for revoking the defendant s probation and a new criminal case upon which the defendant can be prosecuted. If the probation violation is the alleged failure to comply with a condition of probation that is not itself a new crime, some jurisdictions refer to this as a technical violation. Arrest, Citation, or Summons to Appear A person may be taken into custody (arrest), or they may be told in writing to appear in court on a given date (citation, summons, traffic ticket, etc.) Page 7 of 22

Indigency Determination An indigent defendant may have, but is not necessarily entitled under federal law to have, counsel appointed to represent him in a probation revocation proceeding. In some jurisdictions the case is considered by the public defense system to be open during the entire time the defendant is on probation, so there may be no need for a new indigency determination because the original trial attorney will continue to represent the defendant in any probation revocation proceedings. If an indigency determination is necessary, then the defendant is advised of right to counsel, asked if they want an appointed attorney, completes whatever application the jurisdiction uses to determine whether the defendant is entitled to have a lawyer appointed, and someone within the jurisdiction determines the defendant s eligibility for indigent defense representation. May not all occur together at a single time & place. Appointment/Assignment of Counsel An indigent defendant may have, but is not necessarily entitled under federal law to have, counsel appointed to represent him in a probation revocation proceeding. In some jurisdictions the case is considered by the public defense system to be open during the entire time the defendant is on probation, so there may be no need for appointment of counsel because the original trial attorney will continue to represent the defendant in any probation revocation proceedings. Otherwise, this is when a lawyer is appointed to represent an indigent defendant. In some jurisdictions this is a two-step process: (1) the defendant is told they will receive a public defender and the public defense system is told to represent the defendant; and (2) the public defense system designates a specific attorney to represent the defendant on the specific probation revocation case. Bail Hearing In most jurisdictions, a bail hearing never gets held in a probation violation proceeding. Often there are actually two different bail hearings: one to set bail; and one held later to modify, reduce, or increase bail or change the conditions of bail. Also known as Bond, Detention, Pre-Revocation Release, etc. Preliminary Hearing This is a where a judge/magistrate determines whether there is probable cause to believe that a violation of the conditions of probation occurred and that the defendant committed it. The defendant is advised of the alleged violations of probation, may admit or deny violation conditions of probation, may crossexamine witnesses brought by the state, may introduce evidence in his own behalf, and is entitled to a written report of the hearing. Can occur both before or after the Motion to Revoke Probation is filed, depending on the jurisdiction. Also known as Probable Cause Hearing, Preliminary Examination, Waiver Hearing, etc. Motion to Revoke Probation In some jurisdictions this is filed by the probation officer and in other jurisdictions it is filed by the prosecutor. It is the written document filed with the trial court that alleges the specific way(s) in which the defendant is alleged to have violated conditions of probation and asks the court to revoke the defendant s probation and impose some other type of sentence/adjudication. Also known as Notice of Violation of Probation, Petition to Revoke Probation, Notice of Arrest on Probation Violation, etc. Revocation Hearing This is the hearing where the trial judge will determine whether to revoke the defendant s probation and, if so, what the new sentence/adjudication will be. The defendant is advised of the alleged violations of probation, may admit or deny violation conditions of probation, may cross-examine witnesses brought by the state, may introduce evidence in his own behalf, and is entitled to a written report of the hearing. In some jurisdictions, a sentence/adjudication to prison/jail may have been imposed but suspended at the time the defendant was placed on probation, and depending on the jurisdiction, the judge may simply impose the previously suspended sentence/adjudication or may impose a different sentence/adjudication. In other jurisdictions, the defendant may have been placed directly onto probation without some other sentence/adjudication being suspended, and in those jurisdictions a full sentencing/adjudication hearing may be required (see Sentencing in Stages of an Adult Criminal Trial-Level Case; see Adjudication in Stages of a Juvenile Delinquency Case). Page 8 of 22

Post-Revocation Proceedings When a client intends to appeal from a probation revocation, the probation revocation defense attorney normally will have to file some number of motions/pleadings. These can include, for example, motion to reconsider, motion for appeal, etc. Where these motions are required, disposition is not complete until the judge rules on these motions. Closing This is not actually a stage of a criminal case, but rather it is an event that must be tracked by the public defense system. It occurs when all administrative matters have concluded, and the case is officially closed out of the system s case management databases. Page 9 of 22

Stages of an Appeal, Discretionary Writ, and Post-Conviction/State Habeas (Generic) Some jurisdictions combine Appeal, Discretionary Writ, and Post-Conviction into one single case/proceeding. Because most jurisdictions treat them as separate proceedings, the stages are described separately below. These stages or events do not necessarily occur in exactly this order. The names used locally for these stages/events vary from jurisdiction to jurisdiction. Appeal Review by a higher court of conviction/adjudication and/or sentence/disposition. Every person (adult and child) convicted of something they did not plead guilty to, or sentenced to something they did not agree to, is entitled to one appeal of that conviction/sentence. The review is limited to only issues of law whether the law was properly applied during the trial-level proceedings. The appellate court will only look at rulings made and evidence introduced during the trial-level proceedings; the court will not consider things that could/should have happened but that did not occur. An indigent person is entitled to appointed counsel on appeal. Some jurisdictions combine Appeal and Post-Conviction. Discretionary Writ Request for review by a higher court of the decision on appeal, limited to review of issues of law. The higher court does not have to accept the writ for review and does not have to engage in any review at all it can exercise its discretion to deny the writ and just let stand the decision on appeal without reviewing it. An indigent person is not entitled, by the federal constitution, to appointed counsel for a discretionary writ, though some jurisdictions may provide an attorney under certain circumstances. Post-Conviction Also known as State Habeas. This is the first time, after conviction & sentence at the trial level, that a person can ask a court to review issues of both fact & law to consider whether there are things that could/should have happened during the trial-level case that did not happen, for example ineffective assistance of counsel. An indigent person is not entitled, by the federal constitution, to appointed counsel for post-conviction, though some jurisdictions may provide an attorney under certain circumstances. The proceedings begin in the trial-level court and can proceed up through review in higher courts. In most jurisdictions, post-conviction proceedings occur after appeal and discretionary writ. Stages of an Appeal (Generic) Indigency Determination The defendant is advised of right to counsel, asked if they want an appointed attorney, completes whatever application the jurisdiction uses to determine whether the defendant is entitled to have a lawyer appointed, and someone within the jurisdiction determines the defendant s eligibility for indigent defense representation. May not all occur together at a single time & place. If a person had indigent defense counsel during the trial-court proceedings, some jurisdictions may presume the defendant to be indigent for purposes of appeal, while others may require a new application process. If a person had retained counsel or represented themselves during the trial-court proceedings, then an indigency determination will be required for appointment of counsel on appeal. Appointment/Assignment of Counsel When a lawyer is appointed to represent an indigent client. In some jurisdictions this is a two-step process: (1) the client is told they will receive a public defender and the public defense system is told to represent the client; and (2) the public defense system designates a specific attorney to represent the client on the specific case. Page 10 of 22

Notice of Appeal a written document filed in the court of appeals and/or trial court that signals the beginning of an appellate case. Assignment of Errors a written document filed in the court of appeals and/or trial court that sets out the legal issues that the appellate court is being asked to review. Also known as Statement of Issues on Appeal. Designation of Record a written document filed in the court of appeals and/or trial court that lists all of the specific items from the trial-level proceedings, relating to the assigned errors, that must be compiled and then filed in the court of appeals. Typically includes: minutes of the case proceedings; copies of motions and orders; transcripts of hearings including plea/adjudication and/or sentence/disposition. Lodging of Record the date that the Record is filed in the court of appeals. This is the date from which due dates are calculated for filing briefs. Brief of Appellant The appellant is the person who is asking for review of the outcome from the trial court, and in a criminal case this is most often the defendant (although there are occasions when the prosecutor is appealing the trial level outcome). The brief of the appellant is the written pleading that sets out all of the issues to be reviewed on appeal, all of the facts adduced at the trial-level relevant to those legal issues, and the law and legal arguments for why the appellant should win on appeal. Brief of Appellee The appellee is the person who did not ask for review of the outcome from the trial court, and in a criminal case this is most often the prosecutor (although there are occasions when it might be the defendant). The brief of the appellee is the written pleading that responds to all of the issues raised on appeal by the appellant s brief, adds any additional facts adduced at the trial-level relevant to those legal issues, and the law and legal arguments for why the appellant should not win on appeal. Reply Brief (of Appellant) In most jurisdictions, the appellant is strictly limited to responding only to new matters raised in the appellee s brief. Response Brief (of Appellee) Some jurisdictions do not allow this type of brief to be filed, but in those that do, typically the appellee is strictly limited to responding only to new matters raised in the appellant s reply brief. Oral Argument A hearing held in the court of appeals, after all written briefs are filed, where each side orally argues in support of their position and against the other side s position and answers questions from the appeals court judges/justices. Oral argument is not always held in every appeal. Decision The final ruling on the appeal from the court of appeals. The decision may affirm in whole or in part, reverse in whole or in part, and/or remand all or part of the case back to the trial-level court for more proceedings to take place there. The date of the decision is the date from which deadline for taking any further action on behalf of the client is calculated. Motion for Rehearing En Banc This is a pleading that is rarely filed. After the decision, the losing party on appeal can ask the court of appeals to reconsider their decision; and typically any reconsideration is done by all of the judges/justices on the court of appeal (en banc) instead of only by the panel of judges/justices that rendered the original decision. If this motion is filed, there may also be a response filed by the other party to the appeal; the court may also order further briefing by the parties; and eventually there will be a decision. Page 11 of 22

Closing This is not actually a stage of a criminal case, but rather it is an event that must be tracked by the public defense system. It occurs when all administrative matters have concluded, and the case is officially closed out of the system s case management databases. Stages of a Discretionary Writ Appointment/Assignment of Counsel An indigent person is not entitled, by the federal constitution, to appointed counsel for a discretionary writ, though some jurisdictions may provide an attorney under certain circumstances. In some jurisdictions this is a two-step process: (1) the client is told they will receive a public defender and the public defense system is told to represent the client; and (2) the public defense system designates a specific attorney to represent the client on the specific case. Application for Writ of Certiorari The written pleading, filed by the losing party who is seeking to overturn the decision from the appeal, asking the higher court whether it will review the decision from the appeal. Response to Application for Writ of Certiorari The written pleading, filed by the winning party from the appeal. This pleading is not always filed, as sometimes everyone just waits to see whether the higher court will grant or deny review. Order (of court) The ruling from the higher court saying whether they will or will not review the decision from the appeal. If they deny review, then the date of the order is the date from which deadlines for taking any further action on behalf of the client are calculated. If they grant review, then the date of the order is the date from which due dates are calculated for filing briefs. Brief of Applicant The applicant is the person who lost on appeal and is asking for review of the decision from the appeal. The brief of the applicant is the written pleading that sets out the issues from the appellate decision to be reviewed, all of the facts adduced at the trial-level relevant to those legal issues, and the law and legal arguments for why the appeals decision is wrong. Brief of Respondent The respondent is the person who won on appeal. The brief of the respondent is the written pleading that responds to all of the issues raised by the applicant s brief, adds any additional facts adduced at the trial-level relevant to those legal issues, and the law and legal arguments for why the appeals decision is right. Reply Brief (of Applicant) In most jurisdictions, the applicant is strictly limited to responding only to new matters raised in the respondent s brief. Response Brief (of Respondent) Some jurisdictions do not allow this type of brief to be filed, but in those that do, typically the respondent is strictly limited to responding only to new matters raised in the applicant s reply brief. Oral Argument A hearing held in the higher court, after all written briefs are filed, where each side orally argues in support of their position and against the other side s position and answers questions from the higher court judges/justices. Oral argument is not always held in every discretionary writ. Decision The final ruling on the discretionary writ from the higher court. The decision may affirm in whole or in part, reverse in whole or in part, and/or remand all or part of the case back to the appeals court or back to the Page 12 of 22

trial-level court for more proceedings to take place there. The date of the decision is the date from which deadlines for taking any further action on behalf of the client are calculated. Motion for Rehearing/Reconsideration This is a pleading that is rarely filed. After the decision, the losing party on the discretionary writ can ask the higher court to reconsider their decision. If this motion is filed, there may also be a response filed by the other party to the discretionary writ; the court may also order further briefing by the parties; and eventually there will be a decision. Application for Writ of Certiorari to United States Supreme Court This is the first time at which either the defendant or the prosecutor can ask the United States Supreme Court to review the outcome of a state court criminal case. It is limited to review of issues of federal constitutional law. The Supreme Court does not have to accept the writ for review and does not have to engage in any review at all it can exercise its discretion to deny the writ and just let stand the last state court decision without reviewing it. An indigent person is not entitled, by the federal constitution, to appointed counsel for a writ to the U.S. Supreme Court, though if the Court grants the writ it will most likely appoint a lawyer to represent the defendant in the proceedings in the Supreme Court. Closing This is not actually a stage of a criminal case, but rather it is an event that must be tracked by the public defense system. It occurs when all administrative matters have concluded, and the case is officially closed out of the system s case management databases. Stages of Post-Conviction/State Habeas Appointment/Assignment of Counsel An indigent person is not entitled, by the federal constitution, to appointed counsel for post-conviction, though some jurisdictions may provide an attorney under certain circumstances. When a lawyer is appointed to represent an indigent client. In some jurisdictions this is a twostep process: (1) the client is told they will receive a public defender and the public defense system is told to represent the client; and (2) the public defense system designates a specific attorney to represent the client on the specific case. Investigation (by defense) This is the first time, after conviction & sentence at the trial level, that a person can ask a court to review issues of both fact & law to consider whether there are things that could/should have happened during the trial-level case that did not happen, for example ineffective assistance of counsel. Because post-conviction can involve new factual evidence, a significant amount of investigation has to be done by the defense before they can file the application for post-conviction relief. Application for Post-Conviction Relief/Writ of Habeas Corpus The written document filed by the defendant in the original trial court, setting out the legal and factual reasons why the defendant is entitled to have their original conviction and/or sentence set aside, and explaining why the defendant was not able to bring these facts and legal issues to the attention of the courts during the original trial and appeal. Procedural Objections A defendant is only entitled to post-conviction relief if the defendant has a good excuse for why they did not raise the new legal & factual issues during the original trial and appeal. The prosecutor makes procedural objections to tell the court that the defendant does not have a good excuse. This may be combined with the Response to Application or it may be filed and heard separately. Procedural Objections (by prosecutor) The prosecutor s argument for why the defendant does not have a good excuse for failing to raise the new legal & factual issues during the original trial and appeal. Page 13 of 22

Response to Procedural Objections (by defense) The defendant s response to the prosecutor s objections. Hearing on Procedural Objections Hearing held by the trial court to rule on procedural objections. If the objections are overruled then the post-conviction proceedings will continue. If the objections are sustained then the defendant may file an appeal from this decision. Response to Application for Post-Conviction Relief/Writ of Habeas Corpus The written document filed by the prosecutor, responding to the defendant s Application for Post-Conviction Relief. Motion Hearing Both the prosecution and defense may file many different kinds of motions. Hearings may be held on none, some, or all of those motions. Post-Conviction Hearing A hearing held before the judge in the trial court on the legal & factual issues raised in the Application for Post-Conviction Relief. Ruling on Application for Post-Conviction Relief/Writ of Habeas Corpus The final ruling by the trial court on the application for post-conviction relief. The ruling may: grant the application, set aside the conviction and/or sentence, and either dismiss all charges against the defendant or grant a new trial; or, deny the application, leaving in place the original conviction and/or sentence. The date of the ruling is the date from which deadlines for taking any further action on behalf of the client are calculated. Whichever side loses may appeal. Post-Ruling Proceedings When a client intends to appeal from the ruling on post-conviction, the postconviction attorney normally will have to file some number of motions/pleadings. Where these motions are required, disposition is not complete until the judge rules on these motions. Closing This is not actually a stage of a criminal case, but rather it is an event that must be tracked by the public defense system. It occurs when all administrative matters have concluded, and the case is officially closed out of the system s case management databases. Page 14 of 22

Stages of an Abuse & Neglect/Dependency Case (Generic) These stages or events do not necessarily occur in exactly this order. Many jurisdictions combine one or more case events into a single proceeding. The names used locally for these stages/events vary from jurisdiction to jurisdiction. Abuse & Neglect/Dependency proceeding This is a CIVIL proceeding (not a criminal case). In this type of case, some agency of the state or county has somehow become involved in the custody of a child. The most common circumstance is when a social services agency, by whatever name, has removed a child from the custody of the parent/guardian or is supervising a parent/guardian s custody of a child. Also known as Child in Need of Services, Family in Need of Services, Child in Need of Care, etc. Child Taken Into Custody Each jurisdiction defines the circumstances under which an agency can take a child into custody (in addition to when the child is alleged to have committed a juvenile delinquency act or status offense). Typically, this involves circumstances where the health or welfare of the child is alleged to be in danger in some fashion. When a child is taken into custody, the child must either be returned to the child s parent/guardian or a temporary custody hearing must be held quickly (typically within 72 hours or less). Petition for Temporary Custody A written document filed by the agency that is seeking to take temporary custody of a child from the child s parent/guardian, alleging the facts that show why the health and welfare of the child will be endangered if the child is returned to their parent/guardian. Temporary Custody Hearing When a child is taken into custody, the child must either be returned to the child s parent/guardian or a temporary custody hearing must be held quickly (typically within 72 hours or less). At this hearing, the child s parent(s)/guardian(s) will be advised of the alleged facts. Depending on the jurisdiction, the parent(s)/guardian(s) may be advised of their right to counsel. The judge will make a decision as to whether the child will, pending further proceedings: be returned to the parent/guardian; placed with some other interested person; or retained in the custody of the agency. Indigency Determination In those jurisdictions that provide an indigent defense attorney to one or more of the indigent parties in these proceedings, each such indigent party is advised of right to counsel, asked if they want an appointed attorney, completes whatever application the jurisdiction uses to determine whether the party is entitled to have a lawyer appointed, and someone within the jurisdiction determines the party s eligibility for indigent defense representation. May not all occur together at a single time & place. Appointment/Assignment of Counsel An indigent person does not have a federal constitutional right to an indigent defense attorney in these cases. Some jurisdictions provide a state right to counsel for an indigent person facing challenge to the custody of their child. Some jurisdictions provide a state right to counsel for every adult interested in the custody of a child. Some jurisdictions appoint counsel to an indigent party in these proceedings, even though there is no federal or state right to counsel, simply because it makes the proceedings go more smoothly. And, though a child is normally the subject of the proceeding and not a party to the proceeding, in many jurisdictions a court will appoint a lawyer known as a Guardian ad Litem to represent the interests of the child in the proceeding. In most every jurisdiction in the country that provides an indigent defense attorney to any party in these proceedings, the public defense system has responsibility for providing the attorney for one or more of the parties. In a given jurisdiction there may be several parties who are all entitled to have an indigent defense attorney, and the interests of these parties may or may not be in conflict with each other. This can become very Page 15 of 22

complicated for the public defense system. Most public defense systems will represent either the child or the parent(s)/guardian(s) in this proceeding, but not both. Following are some examples of the complexity in appointing counsel. Guardian ad Litem. Though a child is normally the subject of the proceeding and not a party to the proceeding, in many jurisdictions a court will appoint a lawyer known as a Guardian ad Litem to represent the interests of the child in the proceeding. This civil proceeding may have been begun initially because the child was taken into custody for a juvenile delinquency/status offense case. If the public defense system is representing the child in a related juvenile delinquency/status offense case, then the same public defense system attorney can represent the child in this civil proceeding; but the public defense system may or may not have a conflict with representing any other party in the civil proceeding. Attorney for an Offending Parent. This civil proceeding may have been begun initially because a parent was charged with committing a crime against a child and/or the other parent; for ease of discussion we will call them the offending parent and the innocent parent. If the public defense system is representing the offending parent on the criminal charge, then the same public defense system attorney can represent the offending parent in this civil proceeding where they are facing loss of custody of their child, but cannot represent either the child or the innocent parent because there is a conflict. Attorney for an Innocent Parent. This civil proceeding may have been begun initially because a child and/or parent was the victim of a crime committed by the other parent, but the agency doubts the ability of the other parent to protect the child from the offending parent. Again, for ease of discussion we will call them the offending parent and the innocent parent. If the public defense system is representing the offending parent on the criminal charge, then the same public defense system cannot represent either the child or the innocent parent because there is a conflict. Attorney for Other Interested Party. In this civil proceedings, there may be a grandparent, an aunt/uncle, and adult sibling, or almost any other adult who desires some level of custody of the child. Any and all of these interested parties may be entitled to their own individual unconflicted attorney. Whenever a lawyer is appointed to represent any of the parties in this civil proceeding, in some jurisdictions this is a two-step process: (1) the party is told they will receive a public defender and the public defense system is told to represent the party; and (2) the public defense system designates a specific attorney to represent the party in the specific case. Continued Custody Hearing For so long as a child remains out of the physical custody of the child s parent/guardian, up until the trial/adjudication hearing, a hearing must be held on a regular basis to determine whether it is still necessary to keep the child out of the physical custody of the parent/guardian. Because the goal of the proceedings at this stage of these cases is reunification of the parent and child whenever possible without endangering the health and welfare of the child, a Reunification Plan must be in place that sets out the conditions the parent/guardian must fulfill in order for physical custody of the child to be returned to the parent/guardian. At the continued custody hearings, the court determines the extent to which the parent/guardian has fulfilled the requirements of the Reunification Plan. Petition/Application to Determine Custody of Child This is the written document that initiates the formal proceeding to take custody of a child from the child s parent/guardian. Page 16 of 22