CPL 100, 110, 120 & 160

Commencement of Criminal Actions (CPL 100.05)

• A criminal action is commenced by the filing of an accusatory instrument with a criminal court. In cases involving a juvenile offender or adolescent offender, the instrument is filed in the Youth Part of the Superior Court (except when charged with a violation or traffic infraction).

• If multiple instruments are filed durante the course of the same criminal action, the action is officially commenced when the $1^{st}$ of such instruments is filed.

• Commencement in a Superior Court (other than for juvenile or adolescent offenders) can only occur through the filing of an indictment by a Grand Jury against a defendant who has never been held by a Local Criminal Court for the action of that Grand Jury.

• Otherwise, actions must be commenced in a Local Criminal Court (LCC) by filing a local criminal court accusatory instrument.

Local Criminal Court Accusatory Instruments

There are a total of $5$ accusatory instruments used in Local Criminal Courts, consisting of $3$ informations and $2$ complaints:

• Information: A verified written accusation by a person filed with a local criminal court charging one or more persons with the commission of an offense, none of which is a felony. It serves as the basis for both the commencement of the criminal action and the prosecution.

• Simplified Information: A written accusation by a police officer or authorized public servant charging a person with traffic infractions, traffic-related misdemeanors, or specific environmental/parks offenses. It cannot charge a felony.

  • Simplified Traffic Information: Relates to traffic misdemeanors or infractions.

  • Simplified Parks Information: Relates to offenses such as littering in a park.

  • Simplified Environmental Conservation Information: Relates to environmental conservation offenses.

• Prosecutor's Information: A written accusation by a District Attorney filed with a local criminal court. It can be filed at the direction of a Grand Jury, the direction of a Local Criminal Court, the District Attorney's own instance, or the direction of a Superior Court. It serves as a basis for prosecution but only commences an action when directed by a Grand Jury. It cannot charge felonies.

• Misdemeanor Complaint: A verified written accusation charging one or more persons with offenses, where at least one is a misdemeanor and none are felonies. It serves as the basis for prosecution only if the defendant waives prosecution by information and consents to the complaint.

• Felony Complaint: A verified written accusation filed with a Local Criminal Court or the Youth Part of the Superior Court charging a person with one or more felonies. While it commences the criminal action, it does not serve as a basis for prosecution; a defendant cannot plead guilty to a felony complaint.

Form and Content of Accusatory Instruments (CPL 100.15)

An information, misdemeanor complaint, and felony complaint must each include specific components:

• Required Header Information: Name of the court, the title of the action, and a subscription (signature) and verification (sworn oath) by a complainant.

• The Complainant: Any person with knowledge of the offense, whether personal or based on information and belief. The verification applies only to the factual part of the instrument.

• Accusatory Part: This section must designate the specific offense or offenses charged. Separate counts may be used for multiple charges. Multiple defendants can be charged in one instrument provided all are jointly charged with every offense listed.

• Factual Part: This must contain a statement by the complainant alleging facts of an evidentiary character that support or tend to support the charges. For multiple offenses, a single factual account applicable to all counts should be provided. Facts can be based on personal knowledge or information and belief.

• Armed Felony Designations: If a felony complaint charges a violent felony that is also an armed felony, the accusatory part must specifically designate it as an armed felony, and the factual part must allege evidentiary facts supporting that designation.

Supporting Depositions and Verification (CPL 100.20 - 100.30)

• Supporting Deposition: This is a written instrument accompanying an information, simplified traffic information, or complaint, signed and verified by a person other than the complainant (typically the victim) to support the charges.

• Simplified Information Request: When a person is charged via simplified information and served with an appearance ticket, the ticket must notify them of their right to a supporting deposition. This must be requested within $30$ days of the directed court appearance date.

• Verification Methods: Instruments may be verified in several ways:

  • Sworn before the court where filed.

  • Sworn before a desk officer at a police station or headquarters.

  • Sworn before an authorized public servant (e.g., court clerk).

  • Sworn before a Notary Public.

  • The instrument may bear a form notice stating that false statements are punishable as a Class $A$ Misdemeanor.

Superseding Instruments and Filing Jurisdiction (CPL 100.50 - 100.60)

• Superseding Information: A District Attorney may file a prosecutor's information any time before a guilty plea or trial commencement. This supersedes the original information, leading to the dismissal of the original counts upon arraignment on the new instrument, unless the second instrument excludes specific counts from the first.

• Filing Locations for Local Courts: The location of the offense controls where the instrument is filed:

  • District Court: Filed in the county of the offense.

  • New York City Criminal Court: Filed if the crime occurred in NYC.

  • Town Court: Filed if the crime occurred in the town.

  • Village Court: Filed if the crime occurred in the village.

• Youth Part Jurisdiction: Accusatory instruments for the Youth Part are filed in the Superior Court of the county where the offense was committed.

Methods of Requiring Appearance (CPL 110)

If a criminal action has commenced but the defendant is not under court control, they may be compelled to appear for arraignment via:

• Issuance and execution of a warrant of arrest.

  • Issuance and service of a summons.

  • Issuance of orders to produce or extraditions for incarcerated individuals.

If no criminal action has commenced, appearance is compelled via:

• Arrest without a warrant.

  • Issuance and service of an appearance ticket.

Warrants of Arrest (CPL 120)

• Definition: A process issued by a Local Criminal Court (or Superior Court) directing a police officer to arrest a defendant for the purpose of arraignment.

• Content Requirements: Must be signed by a judge and include the court name, date of issuance, name or title of the offense, name of the defendant, the officers addressed, and the direction to arrest and bring the defendant before the court.

• Issuance Sufficiency: A court issues a warrant if the accusatory instrument is sufficient on its face (complies with CPL 100.15 and 100.40). If the instrument is insufficient and cannot be corrected, the court must dismiss it.

• Non-Hearsay Requirement: For an information to be sufficient on its face, every element of the offense and the defendant's commission must be supported by non-hearsay allegations.

• Geographical Execution:

  • District, NYC Criminal, Youth Part, or Superior Court Warrants: Executable anywhere in the state.

  • City, Town, or Village Court Warrants: Executable in the county of issuance or adjoining county. To execute elsewhere in the state, a written endorsement from a local criminal court in the county of arrest is required.

• Execution Protocol: Warrants can be executed on any day of the week, at any hour ($24/7$). Arresting officers must inform the defendant of the warrant and show it upon request (as soon as possible if not in possession). Physical force may be used per PL $35.30$.

• Premises Entry and the "Three F's": Officers may enter premises to arrest a defendant. For a third-party dwelling, they must give notice of authority and purpose unless they believe it will result in:

  • Flying: The defendant escaping.

  • Fear: Endangering the safety of the officer or others.

  • Flush: Destruction or damaging of evidence.

• Post-Arrest Procedure: The defendant must be brought to the issuing court "without unnecessary delay." If arrested in a different/non-adjoining county for a non-felony, the defendant has the right to appear in a court in the county of arrest for bail/recognizance.

Fingerprinting and Photographing (CPL 160)

• Mandatory Fingerprinting: Required for arrests involving:

  • Any felony.

  • Penal Law misdemeanors.

  • Misdemeanors outside the Penal Law that would be felonies for repeat offenders.

  • Loitering for prostitution.

• Discretionary Fingerprinting: Permitted if the officer cannot ascertain identity, suspects inaccurate ID, or suspects the person is wanted elsewhere.

• DCJS Duties: After receiving $2$ copies of fingerprints, the Division of Criminal Justice Services searches records for previous history (including juvenile delinquent or youth offender adjudications). They transmit a report to the police, who then provide it to the District Attorney and the Court ($2$ copies). The court then provides a copy to the defense.

• Polygraph Prohibition: Law enforcement is strictly prohibited from requesting or requiring a victim of a sexual assault crime (under PL $130$, $255.25$, $255.26$, or $255.27$) to submit to a polygraph or psychological stress exam.

Sealing of Records (CPL 160.50 - 160.60)

• Termination in Favor of Accused: If an action ends in dismissal or acquittal, records are sealed. Photographs and fingerprints must be destroyed or returned. Sealing occurs automatically unless the District Attorney or Court demonstrates within $5$ days' notice that the interests of justice require otherwise.

• Access to Sealed Records: Restricted to the defendant/agent, prosecutors in marijuana ACD cases, law enforcement (upon showing justice requires it), gun license agencies, Parole Division, prospective police/peace officer employers, and probation departments (if the arrest occurred during supervision).

• Marijuana Expungement: Convictions for certain marijuana-related substances are vacated, dismissed, and expunged promptly (no later than $1$ year after the $2019$ effective date).

• CPL 160.57 Automatic Sealing:

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

  • Misdemeanors: Sealed after $3$ years from sentencing/release.

  • Felonies: Sealed after $8$ years from sentencing/release.

  • Exclusions: Sex offenses, sexually violent offenses, and Class $A$ felonies (except Class $A$ drug felonies).

• CPL 160.59 (Application-based Sealing): Defendants with up to $2$ eligible offenses (no more than $1$ felony) may apply for sealing after a $10$-year period. The District Attorney has $45$ days to object. The calculation of the $10$-year period excludes time spent incarcerated.

• Restoration of Status: Upon termination in favor of the accused, the arrest and prosecution are deemed a nullity. The individual is restored to the status they held prior to the arrest and cannot be disqualified from lawful career activities based on that arrest.