7. PROCEEDINGS HELD
A proceeding is a matter held in open court with at least one of the parties present in a case which is actually heard (i.e., oral argument or testimony is given), other than an ex parte action. Ex parte hearings held in open court where oral argument or testimony is given should be recorded as proceedings (see Ex Parte Actions, page 1-11).
A trial is a contested proceeding conducted by a judge to determine the guilt or innocence of a defendant. A trial is distinguished from other proceedings based on the following criteria.
(1) Both parties are present or represented.
(2) Issues are contested as demonstrated by the jury being sworn or opening argument being made, waived, or reserved.
A proceeding should be recorded with a proceeding-held docket code entry on the day the proceeding commences. For a multi-day proceeding (i.e., a hearing or trial conducted on two or more days), record the proceeding-held docket code only on the first day.
A case reopened is treated like any other case when scheduling a proceeding or docketing a proceeding that has occurred. The definition for a reopened case is discussed on page 1-6.
Each proceeding is counted in the offense-reporting category that corresponds to the most serious charge current at the time the proceeding was held.
Recording Proceeding Time - The use of sub-docket codes to record the length of proceeding times is a local option, and does not affect caseload statistics. For information on recording proceeding time, see the proceedings-held section of the Guide to Docketing in Washington State.
Multiple Proceeding Types - For any given case, a single session of the court can result in the occurrence of one or more proceedings. When multiple proceedings are held during a given court appearance, the Case Management Advisory Committee (CMAC) decided that the single proceeding category which best reflects the nature of the appearance should be recorded. The Superior Court Statistics/Codes Committee adopted rules for selecting the most appropriate category to be reported. These rules will be fully implemented when the Courts Automated Proceedings (CAPS) computer application is available. However, partial implementation of these rules is now possible because of the adoption of the ARGPSH and ARGPOH proceeding-held codes discussed below.
When multiple proceedings are held during a single court appearance for a given case, docket in accordance with the following rules.
(1) If, at the first arraignment hearing, the defendant enters a plea of guilty, and that plea is processed but no sentencing occurs during the same court session record "ARGPOH” (arraignment and guilty plea hearing). Also record “ARGPOH” if, at the first arraignment hearing, the defendant declines to contest the charges by way of an Alford plea.
(2) If, at the first arraignment hearing, the defendant enters a plea of guilty, and sentencing occurs during the same court session record "ARGPSH” (arraignment, guilty plea, and sentencing hearing). Also record “ARGPSH” if the court accepts an Alford plea and sentences the defendant at the initial arraignment.
(3) Docket each type of proceeding held during a single session of the court only once. For example, even if multiple motions are made during a proceeding, docket only one motion hearing ("MTHRG").
(4) Do not docket a motion hearing ("MTHRG") through jury or non-jury trial duration.
Consolidated Cases or Multiple Criminal Defendants - Criminal cases may be consolidated for a hearing or several co-defendants may be involved in a single court session. For proceedings involving consolidated cases or multiple co-defendants, record the appropriate proceeding-held code(s) for each case or defendant in order to maintain the legal docket record.
PROCEEDING CATEGORIES - Definitions for these proceeding categories are given below. For each category all applicable SCOMIS proceeding-held docket codes are given in parentheses. Only docket codes shown here (also found in the criminal proceeding-held section of the Guide to Docketing in Washington State) will be included in criminal proceeding statistical counts on the caseload report.
7.A. PRELIMINARY APPEARANCE (PLMHRG)
Any hearing held (1) prior to case filing involving issues of detainment in jail or court authorized conditions of release, or (2) after filing of an information, but prior to arraignment, to advise the defendant of charges, penalties, and rights.
7.B. INITIAL ARRAIGNMENT (ARRAIGN)
A separate hearing held in open court that consists of the first arraignment in a case (i.e., stating the substance of the charge, and advising the defendant of his or her rights for the purpose of allowing the defendant to enter a plea).
Only the first or initial arraignment hearing should be recorded with this code. "ARRAIGN" should not be used for subsequent arraignments held. Any subsequent arraignment held should be recorded as "NGPH" (not guilty plea hearing), "GPOH" (guilty plea only hearing), "ALFHRG" (Alford hearing), or "GPSH" (guilty plea and sentence hearing). If the charges are read but the defendant does not enter a plea at that time, record the hearing as a "MTHRG" (motion hearing).
Note that if an initial arraignment and guilty plea occurs during a single court session, then docket “ARGPOH.” If sentencing also occurs, then docket “ARGPSH.” See items 7.I and 7.R below.
7.C. OTHER PRE-RESOLUTION HEARING
Motion Hearing (MTHRG) - A motion hearing is a proceeding before the court for an order to set forth specific relief as requested.
Pre-Trial Management Hearing (PTMHRG) - A hearing whereby the court considers compliance with discovery and motion deadlines, attempts to frame issues of fact and law for trial, sets a briefing schedule, and makes further rulings as necessary, including the determination of readiness for trial.
Warrant Identification Hearing (WID) - A hearing at which a defendant is identified on a bench warrant arrest and at which conditions of release are determined. It should not be confused with the issuing of a warrant. It should also not be confused with the PLMHRG code used for hearings on new arrests or original warrants.
Status conferences, motion hearings, and warrant identification hearings held prior to or on the same day as case resolution are counted as "other pre-resolution" hearings.
7.D. OMNIBUS HEARING (OMNHRG)
An omnibus hearing involves many unrelated matters on the agenda for discussion and consideration.
7.E. EVIDENTIARY HEARING (EVIHRG)
A hearing to determine the admissibility, relevancy, weight, and sufficiency of evidence before the court; includes 3.5 and 3.6 suppression hearings.
7.F. NOT GUILTY PLEA HEARING (NGPH)
Any subsequent arraignment hearing held in open court in which a defendant enters a plea of not guilty to the amended information filed. Do not use this code if a guilty plea is entered on any one of the amended charges. Use "ARRAIGN" (initial arraignment) if the defendant is arraigned with the original information.
7.G. CONTINUED PROSECUTION HEARING (CTOPHRG)
A hearing in which a defendant accepts court supervision with specific conditions of behavior resulting from deferred prosecution or a continued order of prosecution.
If prosecution is resumed following non-compliance with a deferred or continued prosecution agreement, record the hearing(s) under the type(s) of proceeding(s) held (e.g., guilty plea only hearing, Alford hearing, guilty plea and sentencing hearing, jury trial, non-jury trial, or dismissal hearing).
7.H. GUILTY PLEA ONLY HEARING
Guilty Plea Only Hearing (GPOH) - A hearing or subsequent arraignment in which a defendant formally admits guilt, and the court accepts the plea and finds the defendant guilty but does not impose a sentence. If a guilty plea only hearing occurs with an initial arraignment, docket "ARGPOH"(arraignment and guilty plea hearing). If the court also sentences the defendant during this session, docket “ARGPSH” (arraignment, guilty plea, and sentencing hearing).
Alford Hearing (ALFHRG) - A hearing in which a defendant formally declines to contest charges by way of an Alford plea (i.e., does not plead guilty but admits the evidence is sufficient for a likely finding of guilt), and the court accepts the plea. If an Alford hearing occurs with an initial arraignment, docket "ARGPOH"(arraignment and guilty plea hearing). If the court also sentences the defendant during this session, docket “ARGPSH” (arraignment, guilty plea, and sentencing hearing).
7.I. ARRAIGNMENT AND GUILTY PLEA HEARING (ARGPOH)
If, at the first arraignment hearing, the defendant enters a plea of guilty, and that plea is processed but no sentencing occurs during the same court session record "ARGPOH” (arraignment and guilty plea hearing). Do not record separate arraignment and guilty plea only hearings in this instance.
Also record “ARGPOH” if, at the first arraignment hearing, the defendant declines to contest the charges by way of an Alford plea.
7.J. GUILTY PLEA AND SENTENCING HEARING (GPSH)
A hearing in which a defendant formally admits guilt, is convicted, and the sentence is imposed. If a guilty plea and sentencing occurs with an initial arraignment, docket “ARGPSH” (arraignment, guilty plea, and sentencing hearing).
7.K. DISMISSAL HEARING (DSMHRG)
A hearing before the court in which the case is dismissed.
7.L. STIPULATED TRIAL (STRIAL)
A hearing at which issues of fact and law are to be determined by the judicial officer’s review of the previously stipulated facts when a defendant fails or opts out of a drug court program or fails to satisfy the conditions of behavior specified in a continued prosecution agreement. The determination of guilt and sentencing may occur at a stipulated trial. Unlike non-jury and jury trials, however, stipulated trials do not involve arguments by attorneys, the testimony of witnesses, or the presentation of evidence.
7.M. TRIAL BY AFFIDAVIT (AFTRIAL)
A trial in which the issues of fact and law are to be determined by the judicial officer of a court or competent jurisdiction based on the agreed statement of facts contained in one or more affidavits.
7.N. NON-JURY TRIALJury Trial (NJTRIAL)
A trial in which the issues of fact and law are to be determined by the judicial officer of a court of competent jurisdiction. Record a non-jury trial when the first witness is sworn, the first piece of evidence is presented, or when opening argument is made, waived, or reserved, whichever comes first. Do not docket any motion hearings through non-jury trial duration.
To document the number of days and length of time per day in a multi-day trial, see Recording Proceeding Time, page 1-12.
7.O. VOIR DIRE ONLY HEARING (VOIR)
A pre-trial hearing in which the court and attorneys examine prospective jurors to determine their suitability to serve as jurors. Record this hearing only if jury empanelment begins but the scheduled jury trial does not take place.
7.P. JURY TRIAL (JTRIAL)
A trial in which the issues of fact are to be determined by verdict from a body of citizens of a particular district before a court of competent jurisdiction. Record a jury trial when the jury is sworn for the purpose of hearing testimony and opening argument is made, waived, or reserved. Do not docket any motion hearings through jury trial duration. In a death-penalty case, record the execution/death-penalty jury proceeding separate from the jury trial, following conviction of the defendant.
To document the number of days and length of time per day in a multi-day trial, see Recording Proceeding Time, page 1-12.
7.Q. SENTENCING HEARING (SNTHRG)
A hearing in which a convicted defendant receives the sentence imposed.
7.R. ARRAIGNMENT, GUILTY PLEA, AND SENTENCING HEARING (ARGPSH)
If, at the first arraignment hearing, the defendant enters a plea of guilty, and sentencing occurs during the same court session, record "ARGPSH” (arraignment, guilty plea, and sentencing hearing). Do not record separate arraignment, guilty plea, and sentencing hearings in this instance.
Also record “ARGPSH” if the court accepts an Alford plea and sentences the defendant at the initial arraignment.
7.S. FINANCIAL REVIEW HEARING (FNRHRG)
A hearing to monitor a convicted defendant's performance in complying with legal financial obligations.
7.T. SENTENCE CONDITIONS VIOLATION HEARING (SCVHRG)
A sentence conditions violation hearing is to seek a modification or revocation of an existing sentencing order, or to consider additional penalties for the violation(s).
7.U. OTHER POST-RESOLUTION HEARING
A hearing occurring after all charges were previously resolved.
Execution/Death-Penalty Jury Proceeding (EXECHRG) - A post-trial hearing in which a jury determines whether a convicted defendant should receive the death penalty.
Motion Hearing (MTHRG) - A motion hearing is a proceeding before the court for an order to set forth specific relief as requested. A motion hearing which is held after the case resolution date is counted as an "other post-resolution" hearing.
Review Hearing (RVWHRG) - A review hearing is a proceeding to monitor a convicted defendant's performance in meeting non-financial obligations.
Warrant Identification Hearing (WID) - A hearing at which a defendant is identified on a bench warrant arrest and at which conditions of release are determined. It should not be confused with the issuing of a warrant. It should also not be confused with the PLMHRG code used for hearings on new arrests or original warrants.
Motion hearings, review hearings, and warrant identification hearings held after the case resolution date are counted as "other post-resolution" hearings.
7.V. NON-CHARGE RESOLUTION HEARING (NCHRG)
A non-trial proceeding that leads to the final resolution of all non-charge related issues (e.g., RALJ appeal, material witness, extradition, change of venue).
7.W. RALJ HEARING (RALJHRG)
A hearing by the superior court to decide issues on an appellate case under the rules for appeal of decisions of courts of limited jurisdiction
