Criminal Procedure and Sentencing Overview

Criminal cases involve charges filed by the government—typically the state—alleging that that a person, the defendant, has violated a criminal law or ordinance.  Typically, a person convicted of committing a criminal offense is subject to certain penalties such as paying a fine and restitution, serving time in prison or jail, or community service.  Criminal law is divided into two major classifications: misdemeanors and felonies. Misdemeanors are divided into three categories: simple, serious, and aggravated. Felonies are more serious crimes, and are classified from the most to the least serious as follows: class A, B, C, and D. For both misdemeanor and felony offenses, the penalty for conviction generally increases in severity with the level of offense.  The following is an overview of the court procedures for criminal cases.

Pre-trial Procedures

Generally speaking, a person arrested for breaking a criminal law appears before a judge within twenty-four hours. The judge will inform the person of the charges and bail or conditions of release. For some minor offenses, the judge may allow the person to enter a plea of guilty or not guilty at the initial appearance.

After the initial appearance, the defendant is entitled to a preliminary hearing to determine if there is sufficient evidence to continue the case. Generally, the defendant will waive that right, and the prosecutor will file a trial information, which is a formal statement of the charges. On occasion, the county attorney will call a grand jury, a panel of seven citizens, to decide whether criminal charges should be brought. If five of the seven jurors determine there is enough evidence to support the charge, they will return an indictment. An indictment and the trial information have the same effect of formally charging the defendant with a crime and beginning the criminal trial process.

Following the filing of a trial information or indictment, the defendant will appear for an arraignment. At the arraignment, the court may read the formal charges and the defendant must enter a plea, generally guilty or not guilty. If the defendant cannot afford to hire an attorney, the court will appoint an attorney to represent the defendant.

If the defendant enters a not guilty plea, there must be a trial within ninety days from the date of the filing of the trial information or indictment. However, the defendant may waive this right. The defendant may also waive the right to a jury trial, and have the judge decide the case.

The defendant may engage in discovery, including requesting evidence from the state and taking depositions of witnesses. The defendant may also file various pre-trial motions, including motions to exclude evidence believed to be illegally obtained. The defendant and the state may engage in plea bargaining—discussions to resolve the charges short of a trial. If the defendant and the state do not reach an agreement, the court may schedule a pre-trial conference and thereafter a trial date.

The Trial

If the case proceeds to a jury trial, the parties will have the opportunity to question the prospective jurors—a process called voire dire. In a criminal case, the jury is comprised of twelve jurors and each party may exercise strikes, which means objecting to a certain person serving on the jury. The number of strikes is determined by the level of the offense charged, ranging from four to ten. Additionally, the court may determine that alternate jurors are necessary.

Following jury selection, the state will read the trial information or indictment and the defendant's plea. The state may then give an opening statement. The defendant may also give an opening statement, or reserve doing so until immediately prior to the presentation of the defense's evidence. Similar to a civil case, the state will present its evidence, followed by the defendant. The defendant is not required to present any evidence because the state bears the burden of proving the defendant is guilty beyond a reasonable doubt, and the defendant is presumed innocent until the state proves otherwise. If the defendant does present evidence, the state has the opportunity to present rebuttal evidence. The parties in a criminal case have the right to cross-examine each other's witnesses. Following the presentation of all of the evidence, the parties may give closing arguments and the jury will receive its instructions, similar to a civil jury trial.

The Verdict

Unlike a civil jury trial, the jury in a criminal case must return a unanimous verdict. In most cases, the verdict is either guilty or not guilty. The jury may also find the defendant guilty of a lesser charge, if that lesser charge was submitted in the jury instructions. If the jury cannot reach a unanimous verdict, the court will declare a mistrial and the case may be tried again to another jury at a later date. Following the verdict, the defendant may file post-trial motions.

Sentencing

After the return of a guilty verdict, the jury's duty is complete. The jury is not involved in determining the defendant's punishment; sentencing is left solely to the judge. The court will schedule a sentencing hearing, and the parties will have the opportunity to make sentencing recommendations. Before any defendant is sentenced (except in traffic and less serious criminal matters) the judge is given a pre-sentence investigation report usually prepared by a probation officer. This report contains information about the defendant such as any criminal record, family and financial circumstances, harm to the victim, circumstances of the offense, and sentencing recommendations from the probation officer and others.

In addition, victims may make a written victim impact statement and present their statement in court.

In determining the sentence, Iowa law requires the court to consider which sentence or combination of sentences authorized by the legislature, in the discretion of the court, will provide for the maximum opportunity for rehabilitation of the defendant and the protection of the community from further offenses by the defendant.  After careful consideration, the court will impose a sentence, which may include a fine, jail or prison term, probation, community service, and victim restitution. The amount of a fine or the term of imprisonment entered against a defendant must be within a range set by the legislature according to the type of offense. Judges do not have the legal authority to impose sentences outside these statutory parameters.

Incarceration

A defendant who is sentenced to a term of imprisonment greater than one year is turned over to the custody of the Iowa Department of Corrections, an executive branch agency. The department decides in which prison facility the defendant will serve the sentence. A defendant who receives a sentence of less than one year serves that time in a county jail.

Parole

Defendants who are sent to a state correctional facility may be released prior to the expiration of their sentence. This early release is known as parole. Parole is granted by the parole board, which is also an executive branch agency. Certain conditions are attached to parole. If a defendant violates these conditions, parole may be revoked and the defendant may be returned to the correctional facility.

Probation

Probation is another sentencing option. A defendant who is placed on probation is placed under the supervision of a community based correctional program. In Iowa, community-based correctional programs are public agencies that are supervised by appointed boards of directors. Typically, probation comes with court ordered conditions attached. A defendant must comply with these conditions to successfully complete probation. A defendant who violates a probation order may be sent to a correctional facility or a county jail.

Deferred Judgment

In some cases, the court may grant the defendant a deferred judgment, which means that if the defendant successfully completes certain conditions during a fixed period of probation, the crime will be removed from the defendant's criminal record.

The defendant who has been convicted of a crime has the right to appeal. The state does not have the right to appeal when a defendant is acquitted (found not guilty). The appellate process follows a different set of procedures, which are explained in the next section.