CPL 100, 110, 120, and 160 Criminal Procedure Law

CPL 100.05 - Commencement of Action in Local Criminal Court (LCC) or Youth Part

  • Commencement of Criminal Action: A criminal action is commenced by the filing of an accusatory instrument with a CRIMINAL COURT.

  • Juvenile and Adolescent Offenders: In cases involving a juvenile offender or adolescent offender, the action is filed in the YOUTH PART OF THE SUPERIOR COURT, except when the individual is charged with a violation or a traffic infraction.

  • Timing of Commencement: If more than $1$ instrument is filed during the same criminal action, the action is considered to have commenced when the FIRST of such instruments is filed.

  • Commencement in Superior Court: Other than for juvenile or adolescent offenders, the only way a criminal action can be commenced in a Superior Court is by a Grand Jury filing an INDICTMENT against a defendant who has NEVER BEEN HELD by a local criminal court for the action of that grand jury.

  • Standard Commencement: In all other instances, a criminal action can only be commenced in a LOCAL CRIMINAL COURT by filing a local criminal court accusatory instrument.

The Five Local Criminal Court Accusatory Instruments

There are a total of $5$ accusatory instruments used in local criminal courts (comprising $3$ types of Informations and $2$ types of Complaints). These are distinct from Superior Court instruments, which are Indictments and Superior Court Informations (SCI).

  1. INFORMATION:

    • Definition: A verified written accusation by a person filed with a local criminal court.

    • Charges: Charges one or more persons with the commission of an offense, none of which is a felony.

    • Purpose: Serves as the basis for the commencement of a criminal action and for prosecution in the local criminal court.

    • Example: John Doe accusing a person of one or more offenses (no felonies).

  2. SIMPLIFIED INFORMATION:

    • Simplified Traffic Information: A written accusation by a police officer or authorized public servant charging traffic infractions or misdemeanors relating to traffic. CANNOT CHARGE A FELONY.

    • Simplified Parks Information: Written by Parks Police Officers (e.g., for littering in a park).

    • Simplified Environmental Conservation: Similar to the above, for environmental conservation offenses.

    • Purpose: Commences a criminal action and may serve in whole or in part as the basis for prosecution.

  3. PROSECUTOR'S INFORMATION:

    • Definition: A written accusation by a District Attorney (DA) filed with a local criminal court.

    • Origins: Filed at the direction of a Grand Jury, at the direction of a local criminal court, at the DA’s own instance, or at the direction of a Superior Court.

    • Restrictions: IT CANNOT CHARGE FELONIES. It only commences a criminal action if filed at the direction of a Grand Jury to a local criminal court.

  4. MISDEMEANOR COMPLAINT:

    • Definition: A verified (signed) written accusation by a person charging one or more misdemeanors, where NONE are felonies.

    • Prosecution Clause: It serves as a basis for prosecution ONLY when the defendant has waived prosecution by information. Use as a basis for prosecution requires the defendant's consent.

    • Example: Macy's stores filling a complaint regarding shoplifting.

  5. FELONY COMPLAINT:

    • Definition: A verified written accusation filed with a Local Criminal Court or the Youth Part of a Superior Court charging one or more felonies.

    • Purpose: Serves as the basis for the commencement of a criminal action BUT NOT as a basis for prosecution.

    • Constraint: A defendant CANNOT PLEAD GUILTY to a felony complaint.

CPL 100.15 - Form and Content of Information and Complaints

  • Required Elements: Every information, misdemeanor complaint, and felony complaint must specify:

    • The name of the court where filed.

    • The title of the action.

    • Subscription (signature) and verification (sworn statement) by the complainant.

  • The Complainant: May be any person with knowledge, whether personal or based upon information and belief.

  • Parts of the Instrument:

    • ACCUSATORY PART: Must designate the specific offense/offenses charged. Multiple charges are listed as separate counts. Multiple defendants can be charged if all are jointly charged with every offense.

    • FACTUAL PART: Must contain the complainant's statement alleging facts of an EVIDENTIARY CHARACTER that support or tend to support the charges.

  • Designation Hierarchy:

    • The Accusatory Part specifies the offenses.

    • The Factual Part contains the facts and evidence support.

  • Armed Felonies: If a felony complaint charges a violent felony that is also an ARMED FELONY:

    • The accusatory part must specifically designate the offense as an armed felony.

    • The factual part must allege facts supporting that designation.

CPL 100.20 - Supporting Depositions

  • Definition: A written instrument accompanying an information, simplified traffic information, or complaint. It is subscribed and verified by someone other than the complainant (usually the victim) to support the charges.

  • Traffic Information Notice: Appearance tickets for simplified information must contain a mandatory notice regarding the right to a supporting deposition.

  • Notice Content: "NOTICE: YOU ARE ENTITLED TO RECEIVE A SUPPORTING DEPOSITION FURTHER EXPLAINING THE CHARGES PROVIDED YOU REQUEST SUCH SUPPORTING DEPOSITION WITHIN 3030 DAYS FROM THE DATE YOU ARE DIRECTED TO APPEAR IN COURT…"

CPL 100.30 - Verification and Proof of Service

Accusatory instruments and supporting depositions may be verified (sworn to) in any of the following 55 ways:

  1. Before the court where it is filed.

  2. Before a desk officer in charge at a police station or headquarters.

  3. Before a public servant authorized to administer oaths (e.g., a court clerk).

  4. Before a notary public.

  5. The instrument contains a form notice stating that false statements are punishable as a CLASS "A" MISDEMEANOR.

CPL 100.50 - Superseding Information

  • Before a guilty plea or the start of a trial, the DA may file a PROSECUTOR'S INFORMATION with the local criminal court.

  • This supersedes the original information.

  • The original information is deemed dismissed upon arraignment on the prosecutor's information, except for any counts not included in the second instrument.

Venue and Jurisdiction (CPL 100.55 & 100.60)

  • General Rule: The place where the offense was committed controls the filing location.

  • District Court: County where the offense was committed.

  • NYC Criminal Court: When the crime was committed in NYC.

  • Town Court: If committed in the town.

  • Village Court: If committed in the village.

  • Youth Part: Filed in the particular county where the offense occurred.

CPL 110 - Methods of Requiring Appearance for Arraignment

  • If Action IS Commenced (Instrument filed, but defendant not under control):

    • Warrant of arrest.

    • Summons.

    • Orders to produce or extradition orders (for incarcerated individuals).

  • If NO Action Is Commenced (Instrument not yet filed):

    • Arrest made without a warrant.

    • Issuance and service of an appearance ticket.

CPL 110.20 - Notice to District Attorney

  • When a crime is charged in an LCC (except for NYC Criminal Court), the accusatory instrument must be promptly transmitted to the DA prior to or upon arraignment.

  • Transmission Responsibility:

    • Police officer/complainant if they filed a simplified information or made the arrest.

    • The Clerk of the Court in all other cases.

CPL 120 - Warrant of Arrest

  • Definition: A process issued by a Local Criminal Court (or a Superior Court Warrant by a Superior Court) directing a police officer to arrest a defendant and bring them before the court for ARRAIGNMENT.

  • Required Content:

    • Subscribed by the issuing judge.

    • Name of issuing court.

    • Date of issuance.

    • Name or title of offense.

    • Name of defendant.

    • The police officer(s) addressed.

    • Direction to arrest and bring the person before the court.

CPL 120.20 & 120.30 - Issuance and Returnability

  • Facial Sufficiency: A court may issue a warrant if the instrument is "sufficient on its face" (complies with CPL,100.15CPL,100.15 and CPL,100.40CPL,100.40).

  • Dismissal: If the instrument is insufficient and impossible to correct, the court must dismiss it.

  • Inquiry: The court may refuse a warrant until it examines witnesses under oath to establish reasonable cause.

  • Summons Preference: A court may not issue a warrant if satisfied the defendant will respond to a summons.

  • Returnability: A warrant may only be issued by the court where the instrument was filed and is returnable ONLY to the issuing court.

  • Unavailability:

    • If a Town Court is unavailable, the filing/warrant may go to an adjoining town court in the same county.

    • If a Village Court is unavailable, the filing goes to the Town Court of the town embracing the village, or an adjoining town court.

CPL 120.70 & 120.80 - Execution of Warrants

  • Geographical Execution:

    • District Court, NYC Criminal Court, Youth Part, or Superior Court warrants: Anywhere in the state.

    • City/Town/Village warrants: In the county of issuance or an adjoining county. Anywhere else requires a written endorsement by a local criminal court in the county of arrest.

  • Execution Time: Warrants may be executed on ANY day and at ANY hour (24/724/7).

  • Arrest Procedure: Officers must inform the defendant of the warrant. If requested, they must show the warrant (immediately if in possession, or as soon as possible after arrest if not).

  • Physical Force: Justifiable physical force per PL,35.30PL,35.30 may be used.

  • Entry of Premises: Officers may enter premises. If it is a third-party dwelling, they must make reasonable effort to give notice unless the 33 F's are present:

    1. F - FLYING: Defendant escaping or attempting to escape.

    2. F - FEAR: Endangering the life of the officer or another person.

    3. F - FLUSH: Destruction, damaging, or secretion of evidence (flush down the toilet).

CPL 120.90 - Procedure After Arrest

  • Return: Must bring defendant to the issuing court "without unnecessary delay."

  • Out-of-County Felony Arrest: Not applicable for this fast-track (felonies follow standard return rules).

  • Out-of-County Non-Felony Arrest: Offerer must inform defendant of the right to appear in the LCC of the county where the arrest was made to have bail set or be released. If waived, it must be signed/written on the warrant.

  • Delegated Officers: May hold an arrested person for up to 22 hours while waiting for the designating officer.

  • Magistrate Designation: If the Youth Part is not in session, the defendant must be brought before the most accessible magistrate designated by the Appellate Division of the Supreme Court.

  • Notification: Police must immediately notify the parent or person legally responsible (PLR) of a juvenile or adolescent offender's arrest.

  • Phone Call: Non-juvenile defendants, upon request, must be permitted a phone call (within US/Puerto Rico) to Counsel or a relative/friend, unless it interferes with an investigation.

CPL 160.10 - Fingerprinting and Identification

  • Mandatory Fingerprinting for:

    1. Any felony.

    2. A misdemeanor defined in the Penal Law.

    3. A misdemeanor outside the Penal Law that would be a felony if the person had a prior conviction.

    4. Loitering for the purpose of engaging in prostitution.

  • Permissive Fingerprinting: Allowed if the officer cannot ascertain identity or suspects inaccurate identification, or suspects the person is wanted for another offense.

  • Related Records: Whenever fingerprints are taken, photographs and palmprints may also be taken.

  • Standard: Must follow Commissioner of the Division of Criminal Justice Services (DCJS) standards.

  • DCJS Search: DCJS searches records for previous history (including Juvenile Delinquent or Youth Offender adjudications) and transmits a report to the police agency. If illegible, fingerprints are returned to the officer.

CPL 160.45 - Polygraph Prohibition

  • Law enforcement employees SHALL NEVER request or require a victim of a sexual assault crime (under PL,130PL,130, 255.25255.25, 255.26255.26, 255.27255.27) to submit to a polygraph or psychological stress evaluator exam.

CPL 160.50 & 160.55 - Termination of Action and Sealing

  • Termination in Favor of Accused: If action is dismissed, a not guilty verdict reached, etc., the Court Clerk immediately notifies DCJS and police agencies to seal records. Photographs, palmprints, and fingerprints must be destroyed or returned to the person/attorney.

  • Sealing Exceptions: DA or Court may move to prevent sealing with at least 55 days notice if "Interests of Justice" require it.

  • Access to Sealed Records: Limited to:

    1. Accused or their designated agent (Note: Attorney is not automatically the agent).

    2. Prosecutor in marihuana dismissal motions.

    3. Law enforcement demonstrating justice requires it.

    4. Gun license agencies.

    5. Division of Parole if the person is under supervision.

    6. Prospective employers for Police/Peace Officer positions (applicant must be given an explanation opportunity).

    7. Probation department if the person was under supervision at the time of arrest.

  • Non-Criminal Convictions (160.55160.55): Sealing applies if convicted of a traffic infraction or violation (excluding DWAI).

CPL 160.57 - Automatic Sealing of Convictions

  • Waiting Periods:

    • DWAI: 33 years.

    • Misdemeanors: 33 years from release or sentencing.

    • Felonies: 88 years from release or sentencing.

  • Ineligible Offenses: Sex offenses, sexually violent offenses, and Class A felonies (except certain Class A drug felonies).

  • Requirements: Completed waiting period, no pending charges, not on probation/parole, must be a natural person.

  • Non-Waiver: Eligibility cannot be waived as part of a plea deal; such waivers are void.

Sealing - Controlled Substances and General Provisions

  • CPL 160.58 (Conditional Sealing): For drug treatment participants. May seal current offense and up to 33 prior misdemeanors.

  • CPL 160.59 (Sealing of Certain Convictions):

    • Applies to defendants with up to 22 eligible offenses (max 11 felony).

    • 1010-Year Rule: Calculated from last sentence; incarceration time is excluded and extends the period.

    • DA Objection: DA has 4545 days to object, leading to a hearing.

    • Factors: Time elapsed, seriousness of offense, character (rehab, work), victim impact, public safety.

  • CPL 160.60 (Effect of Termination): Arrest and prosecution are deemed a NULLITY. The accused is restored to their previous status and is not required to divulge information regarding the arrest.