CPL 160

CPL 160.10: Mandatory and Discretionary Fingerprinting and Identification

• Fingerprinting is mandatory following an arrest or after arraignment on a local criminal court accusatory instrument (in scenarios where the defendant appeared via summons or appearance ticket) if the charge involves:

  • A felony.

  • A misdemeanor defined under the Penal Law.

  • A misdemeanor defined outside of the Penal Law that would be classified as a felony based on the individual's prior criminal conviction.

• Fingerprinting is discretionary for any arrest, whether made with or without a warrant, if the arresting officer:

  • Is unable to determine the individual's identity.

  • Reasonably believes the individual provided false or inaccurate identification.

  • Reasonably believes the individual is wanted by law enforcement for another offense.

• Photographs and palm prints may be taken whenever fingerprinting is either required by law or permitted under discretionary authority.

• Police must adhere to New York State Division of Criminal Justice Services (DCJS) standards regarding:

  • The process of taking fingerprints.

  • The collection of authorized photographs and palm prints.

  • The submission of identifying information regarding the arrested person or defendant.

  • The reporting of facts and circumstances surrounding the charged offense.

CPL 160.20 and 160.30: Duties of Police and the Division of Criminal Justice Services (DCJS)

• The arresting officer or agency is required to forward two copies of the fingerprints to the DCJS.

• Upon receipt of fingerprints from a police agency, the DCJS must:

  • Classify the fingerprints.

  • Conduct a search of its records for the individual's prior criminal history, including prior convictions or arrests, juvenile delinquency adjudications under the Family Court Act, and youthful offender adjudications under the Criminal Procedure Law.

• Reporting Requirements:

  • The DCJS must promptly send a report to the submitting police agency stating either the person's prior record or that no record was found.

  • A certified DCJS report serves as presumptive evidence of the facts contained therein and is accepted as accurate unless rebutted.

• Inadequate Fingerprints:

  • If fingerprints are not clear enough to classify, DCJS must return them to the submitting agency with an explanation of why they are unacceptable and a request that they be retaken if possible.

CPL 160.40: Transmission of Criminal History Reports

• Once the police officer or agency receives a criminal history report from the DCJS, they must promptly:

  • Send the original report or a copy to the district attorney.

  • Send two copies of the report to the court where the criminal case is currently pending.

• Court Responsibilities:

  • Upon receipt, the court must provide a copy of the report to the defendant's attorney or directly to the defendant if they are not represented by counsel.

CPL 160.45: Prohibition Against Polygraph Tests for Sexual Assault Victims

• District attorneys, police officers, and other law enforcement employees are prohibited from requesting or requiring a victim of a sexual assault crime to undergo:

  • A polygraph (lie detector) test.

  • A psychological stress evaluator examination.

• Protected Individuals:

  • This prohibition applies to any person alleged to be the victim of an offense under Penal Law Article 130 (sex offenses) or Penal Law sections 255.25 (Incest 3), 255.26 (Incest 2), or 255.27 (Incest 1).

  • The protection applies regardless of whether charges have been filed or a conviction has been obtained.

CPL 160.50: Sealing Records Upon Termination of Criminal Action in Favor of the Accused

• Criminal records are generally sealed when a case ends in favor of the accused. Exceptions occur only if the prosecutor proves, or the court finds (after notice and staging reasons on the record), that sealing would not serve the interests of justice.

• Sealing Procedures:

  • The court notifies the DCJS and appropriate law enforcement agencies.

  • Agencies must seal records and generally destroy or return photographs, fingerprints, and palm prints.

  • Agencies must request that any shared records with other jurisdictions also be destroyed or returned.

  • Court, police, and prosecutor records related to the arrest and prosecution become unavailable to the public.

• Access to Sealed Records:

  • Sealed records remain available to the person (or their representative), prosecutors in certain diversion proceedings, law enforcement agencies via court order, firearm licensing agencies, DOCCS (if the person was on parole at the time of arrest), and probation departments (if the person was on probation at the time of arrest).

  • Prospective employers for police or peace officer positions can access these records, provided the applicant is given notice and an opportunity to respond.

• Definitions of Favorable Termination:

  • Dismissal of charges.

  • Acquittal of the defendant.

  • Vacatur of a conviction without a new trial.

  • Grand jury dismissal of charges.

  • Prosecutor's decision to decline prosecution before filing.

  • Arresting agency's decision not to proceed before formal charges.

  • Automatic relief for specific marijuana-related convictions.

• Marijuana-Related Provisions:

  • Certain convictions are automatically vacated, dismissed, expunged, and treated as legally invalid.

  • Defendants cannot waive the right to this sealing or expungement in plea agreements.

  • State agencies must update history records, exclude expunged convictions from reports, and destroy expunged records upon written request.

CPL 160.55: Sealing for Convictions of Non-Criminal Offenses

• Records are generally sealed when a criminal case ends with a conviction for a traffic infraction or violation, regardless of the original charges.

• Exclusions:

  • This does not apply to Driving While Ability Impaired (DWAI) under Vehicle and Traffic Law $§ 1192(1)$.

• Handling of Identifiers:

  • Fingerprints, palm prints, and photographs are generally destroyed or returned.

  • An exception exists for certain second-degree harassment convictions involving family or household members, where fingerprints and palm prints may be retained and accessed by law enforcement.

• Drivers Under Age 21:

  • If a driver under 21 waives an administrative hearing or is referred for DMV action, records are generally sealed after the person turns 21 or three years after the offense, whichever is later.

CPL 160.57: Automatic Sealing of Convictions

• Eligibility and Waiting Periods:

  • DWAI ($§ 1192(1)$): Sealed after 3 years.

  • Most Misdemeanors: Sealed 3 years after release from incarceration or sentencing (if no incarceration).

  • Most Felonies: Sealed 8 years after release from incarceration or sentencing (if no incarceration).

• Requirements for Eligibility:

  • No pending criminal charges in New York.

  • Not currently on probation or parole for the conviction.

  • Must be a natural person.

  • Certain out-of-state felony restrictions apply.

• Ineligible Convictions:

  • Sex offenses and sexually violent offenses.

  • Class A felonies (excluding Class A drug felonies under Penal Law Article 220).

• Continuous Monitoring:

  • If a conviction is temporarily ineligible due to pending charges or supervision, the Office of Court Administration (OCA) must re-check eligibility at least every three months.

• Scope of Sealing:

  • Does not seal DNA records in the state database.

  • Does not seal DMV records required to remain available by other laws.

  • Does not eliminate restitution, fines, fees, or active orders of protection.

  • The conviction can still be used for sentence enhancement in future cases.

CPL 160.58: Conditional Sealing for Drug Treatment Completion

• Eligibility:

  • Defendant was convicted under Penal Law Articles 220 or 221 (or other specified offenses).

  • Successful completion of judicial diversion or court-approved drug treatment.

  • Completion of the imposed sentence.

• Court Discretion:

  • The court may seal the current conviction and up to three prior eligible misdemeanor drug convictions.

  • The court considers the nature of the offense, the defendant's character, rehabilitation, and public safety.

• Unsealing and Resealing:

  • Records are immediately unsealed if the defendant is later arrested or charged with a misdemeanor or felony.

  • If the new case ends in a favorable termination or non-criminal conviction, the records can be conditionally resealed.

CPL 160.59: Discretionary Judicial Sealing of Certain Convictions

• Eligibility Limits:

  • Defendant may apply to seal up to two eligible convictions, with a maximum of one felony.

  • Multiple convictions from the same criminal transaction are treated as one eligible offense.

• Mandatory Waiting Period:

  • At least 10 years must have passed since the most recent sentence or the last release from incarceration. (Time spent incarcerated after the conviction does not count toward this 10-year period).

• Ineligible Offenses:

  • Sex offenses, homicide felonies, violent felony offenses, most Class A felonies, and offenses requiring sex offender registration.

• Procedure:

  • The District Attorney has 45 days to object. If they object, a hearing is mandatory.

  • The court reviews the defendant's complete history, including sealed records, from DCJS and the FBI.

CPL 160.60: Legal Effect of Favorable Termination

• When an action terminates in favor of the accused under CPL 160.50, the law treats the arrest and prosecution as if they never occurred.

• The individual is restored to the legal status they held prior to the arrest.

• Rights of the Accused:

  • The arrest/prosecution cannot be used to disqualify the person from employment, professions, or lawful activities.

  • The person is not required to disclose the arrest or prosecution except where a statute or superior court specifically requires it.

Questions & Discussion

• Question 1: Fingerprinting is mandatory after an arrest or arraignment when the charge is:

  • Answer: C. A felony or qualifying misdemeanor.

• Question 2: Police may take photographs and palm prints when:

  • Answer: B. Fingerprinting is required or authorized by law.

• Question 3: Which agency is responsible for classifying fingerprints and searching criminal history records?

  • Answer: C. Division of Criminal Justice Services (DCJS).

• Question 4: A certified DCJS criminal history report is:

  • Answer: B. Presumptive evidence of the facts it contains.

• Question 5: Under CPL 160.45, law enforcement may not request that a sexual assault victim take:

  • Answer: C. A polygraph or psychological stress evaluator examination.

• Question 6: Under CPL 160.50, records are generally sealed when:

  • Answer: B. A criminal action terminates in favor of the accused.

• Question 7: Which of the following is generally NOT eligible for sealing under CPL 160.55?

  • Answer: C. DWAI under Vehicle and Traffic Law $§ 1192(1)$.

• Question 8: Automatic sealing under CPL 160.57 generally occurs after:

  • Answer: B. Three years for most misdemeanors and eight years for most felonies, if eligibility requirements are met.

• Question 9: Which of the following is required before a court may grant conditional sealing under CPL 160.58?

  • Answer: A. The defendant must complete a court-approved drug treatment program.

• Question 10: Under CPL 160.58, conditionally sealed records become immediately unsealed if the defendant:

  • Answer: C. Is later arrested or formally charged with a misdemeanor or felony.

• Question 11: Under CPL 160.59, a defendant may generally apply to seal:

  • Answer: B. Up to two eligible convictions, including no more than one felony.

• Question 12: Before a conviction may be sealed under CPL 160.59, at least how much time must generally pass?

  • Answer: D. Ten years.

• Question 13: Even after a conviction is sealed under CPL 160.59, it may still be used for:

  • Answer: B. Sentence enhancement in future criminal cases.

• Question 14: Under CPL 160.60, when a criminal case terminates in favor of the accused:

  • Answer: B. The arrest and prosecution are treated as a legal nullity.

• Question 15: Under CPL 160.60, a person generally is NOT required to disclose an arrest that terminated in the person's favor unless:

  • Answer: C. A statute or superior court specifically requires disclosure.

• Question 16: Which statement about fingerprinting under CPL 160.10 is correct?

  • Answer: C. Fingerprinting is mandatory for certain felony and misdemeanor charges, and discretionary in certain identity-related situations.

• Question 17: DCJS criminal history searches include which of the following?

  • Answer: C. Adult criminal records, juvenile delinquency adjudications, and youthful offender adjudications.

• Question 18: Under CPL 160.45, which statement is correct?

  • Answer: C. Law enforcement officials may not request or require a sexual assault victim to take a polygraph or psychological stress evaluator examination.

• Question 19: Records sealed under CPL 160.50:

  • Answer: B. Are generally unavailable to the public but remain accessible for certain purposes authorized by law.

• Question 20: Which statement about automatic sealing under CPL 160.57 is correct?

  • Answer: C. Automatic sealing does not eliminate restitution or other legal obligations imposed by the sentence.

• Question 21: Conditional sealing under CPL 160.58 is:

  • Answer: C. A discretionary decision made by the court after considering statutory factors.

• Question 22: If the district attorney objects to a sealing application under CPL 160.59, the court:

  • Answer: B. Must conduct a hearing before deciding the application.

• Question 23: A conviction sealed under CPL 160.59:

  • Answer: C. May still be used when a prior conviction enhances a future sentence or is an element of a later offense.

• Question 24: Under CPL 160.59, a defendant may:

  • Answer: D. Not waive eligibility for sealing because any such waiver is void and unenforceable.

• Question 25: Under CPL 160.60, when a criminal case ends in favor of the accused:

  • Answer: C. The arrest and prosecution are treated as a legal nullity, and the person generally does not have to disclose them unless required by law or court order.