New York State Standard Practices Manual Processing


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NEW YORK STATE STANDARD PRACTICES
MANUAL PROCESSING FINGERPRINTABLE CRIMINAL CASES
October 2018
New York State Division of Criminal Justice Services 80 South Swan Street, Albany, New York 12210 www.criminaljustice.ny.gov 1

Table of Contents

Page

INTRODUCTION

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Arrest Processing

Arresting Agency Standard Practices
I. Standard Practices Regarding Criminal Case Documentation ..................................... 14
A. Providing Complete Case Documentation to Other Criminal Justice Agencies .... 14
1. Key Identifiers.................................................................................................... 14 2. Additional Information to be Reported to the Court and Prosecutor ................ 14 3. Arrest Fingerprint-Based Rapsheet to be Provided to the Court and
Prosecutor ......................................................................................................... 15 4. Additional Documents to be Provided to the Court .......................................... 15
B. Sharing Documents With Other Agencies .............................................................. 16
1. Documents Generated by the Arresting Agency to be Forwarded to Other Agencies........................................................................................................... 16
2. Documents Generated by Other Agencies for Dissemination by the Arresting Agency to Other Agencies ............................................................... 17
3. Documents Generated by Other Agencies for Arresting Agency Action ........ 17
II. Standard Practices Regarding Fingerprinting ................................................................ 17
A. Statutory Requirements for Fingerprinting Adult Arrestees.................................... 17
B. Statutory Requirements for Fingerprinting of Adolescent Offender Arrestees…………………………………………………………………………………18
C. Statutory Requirements for Fingerprinting of Juvenile Delinquent and Juvenile Offender Arrestees .................................................................................................. 19
D. Responsibility for and Timing of Fingerprinting in Certain Arrest Circumstances………………………………………………………………………..….20
1. Summary Arrest ............................................................................................... 20 2. Appearance Ticket ........................................................................................... 20 3. Criminal Summons........................................................................................... 21 4. Sealed Indictment ............................................................................................ 21 5. Prosecutor’s Information Filed Prior to Arrest ................................................. 22
or Indictment resulting from Direct Presentation to a Grand Jury ....................... 22 6. Special Circumstances Due to an Arrestee’s Physical Condition (Ill, Injured, Intoxicated, Combative) .................................................................................. 22 7. Refusal to be Printed ....................................................................................... 23 8. Completing Delayed or Partial Fingerprinting.................................................. 23
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9. Responding to DCJS Request for Reprinting.................................................. 24 10. Arrests Involving Multiple Local, State or Federal Arresting Agencies ........... 24 11. Arrest Involving Multiple Incidents or Jurisdictions.......................................... 24 12. Arrests Involving Execution of Warrants.......................................................... 25 D. Ensuring the Quality of Fingerprint Impressions ................................................... 25 E. Fingerprint Submission Types ................................................................................ 25 1. Manual / Hard Copy Submissions...................................................................... 26
a. Adult including Juvenile Offender arrest .................................................. 26 b. Juvenile Delinquent arrest ........................................................................ 26 2. Electronic Submissions ...................................................................................... 26 a. Adult and Juvenile Offender Arrest Transactions...................................... 26 b. Juvenile Delinquent Arrest transactions .................................................... 27 c. Criminal Inquiry Transactions .................................................................... 27 F. Completion of the Data Related to a Set of Arrest Fingerprints ............................. 27 1. Required Arrest Data ....................................................................................... 27 2. Arrest Date Determination Matrix .................................................................... 31 G. Timing of Submission of Fingerprints ..................................................................... 32 H. Juvenile Delinquent and Juvenile Offender Fingerprinting..................................... 33 III. Standard Practices Following Rapsheets and Modifications to Arrests........................ 33 A. DCJS Criminal History Report (Rapsheet) ............................................................ 33 1. Dissemination of Arrest Fingerprint-based Rapsheet ..................................... 34 2. Monitoring Completeness and Accuracy of Rapsheet .................................... 34 3. Rapsheet Use, Dissemination and Destruction............................................... 35 B. Subsequent Notifications of Modifications to Arrests ............................................. 35 1. Additions or Modifications to DCJS Criminal History Records........................ 35 2. Closure of Arrest No Longer to Be Referred for Prosecution.......................... 36 3. Closure of Specific Offenses Charged at Arrest Which Are Not to Be Pursued Through Arraignment ........................................................................ 36
Prosecutorial Processing
Prosecutorial Standard Practices
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I. Standard Practices Regarding Criminal Case Documentation ..................................... 37
A. Providing Complete Case Documentation to Other Criminal Justice Agencies .... 37
1. Key Identifiers .................................................................................................. 38 2. Additional Information to be Reported to the Court......................................... 38
B. Case Processing, Reporting and Sharing Information with Other Criminal Justice Agencies ................................................................................................................ 39 1. Prosecutor Actions ........................................................................................... 39 2. Documents to be Provided to Other Criminal Justice Agencies ..................... 39
II. Standard Practices Regarding Criminal Case Processing .............................................40
A. Closure of the Entire Case or Specific Charges ......................................................40 B. Plea Agreements......................................................................................................40 C. Charges Held for the Action of the Grand Jury or Direct Presentation by the
Prosecutor................................................................................................................ 41 D. Presenting Allegations to the Grand Jury That Were Previously Dismissed and
Sealed in Local Court .............................................................................................. 41 E. Monitoring Pending Charges and Cases ................................................................ 41
III. Standard Practices Regarding Fingerprinting................................................................ 41
A. Prosecutors’ Responsibilities .................................................................................. 40
1. Sealed Indictment ............................................................................................ 41 2. Prosecutor’s Information Filed Prior to Arrest ................................................. 42
or Indictment Resulting from Direct Presentation to a Grand Jury...................... 42
3. Indictments Following Local Court Dismissal and Seal................................... 42
B. Fingerprint Submission Types ................................................................................ 42
1. Manual / Hard Copy Submissions a. Adult including Juvenile Offender arrest .................................................. 42 b. Juvenile Delinquent arrest ........................................................................ 43
2. Electronic Submissions a. Adult and Juvenile Offender Arrest Transactions .................................................................................. 43 b. Juvenile Delinquent Arrest Transactions ................................................... 43 c. Criminal Inquiry Transactions .................................................................... 43
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C. Completion of the Data Related to a Set of Arrest Fingerprints ............................. 43 1. Required Arrest Data ....................................................................................... 44 2. Arrest Date Determination Matrix .................................................................... 49
D. Timing of Submission of Fingerprints ..................................................................... 50 E. Juvenile Delinquent and Juvenile Offender Fingerprinting..................................... 51 IV. Standard Practices Regarding the DCJS Criminal History Report (Rapsheet) ........... 52
Dissemination of Arrest Rapsheet .......................................................................... 52 B. Rapsheet Use and Destruction ............................................................................... 52 V. Standard Practices Regarding Prosecution Follow-Up With DCJS .............................. 53 A. Monitoring Completeness and Accuracy of the DCJS Criminal History Report
(Rapsheet) ............................................................................................................. 53 B. Requesting Re-Arrest Notices ................................................................................ 53
Judicial Processing
Judicial Standard Practices I. Standard Practices Regarding Criminal Case Documentation ..................................... 54 A. Providing Complete Case Documentation to Other Criminal Justice Agencies .... 57 1. Key Identifiers .................................................................................................. 57 2. Additional Information Included when Reporting to other Criminal Justice Agencies........................................................................................................... 58 B. Sharing Documents with Other Agencies ............................................................... 58 1. Documentation Received by the Court from Other Agencies ......................... 58 2. Documents Forwarded From the Court to Other Agencies..............................58
II. Standard Practices Regarding Reporting to UCS and DCJS.........................................60 A. Monitoring Criminal Cases from Commencement to Closure for Completeness and Accuracy of Reporting ..............................................................................................60
B. General Reporting Requirements to the UCS and DCJS .......................................60 C. Reporting a Court Action to Close Out Every Offense Charged ............................ 61 D. Reporting When Case Jurisdiction Involves Both Local and Superior Courts ....... 61 E. Reporting Superseded Indictments or Counts ........................................................ 61 F. Reporting the Sentence Imposed ........................................................................... 62
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G. Reporting Appellate Actions ................................................................................... 62
III. Standard Practices for Courts in Identifying Individuals Requiring Fingerprinting ........ 63
A. Statutory Requirements for Fingerprinting Adult Arrestees.................................... 63
B. Statutory Requirements for Fingerprinting of Adolescent Offender Arrestees……………………………………………………………………………..…..63
C. Statutory Requirements for Fingerprinting of Juvenile Delinquent and Juvenile Offender Arrestees .................................................................................................. 64
D. Responsibility for and Timing of Fingerprinting in Certain Arrest Circumstances.. 66
I. Summary Arrest ............................................................................................... 66 2. Appearance Ticket ........................................................................................... 66 3. Criminal Summons ......................................................................................... 66 4. Sealed Indictment ............................................................................................ 67 5. Prosecutor’s Information Filed Prior to Arrest ................................................. 68
or Indictment Resulting From Direct Presentation to a Grand Jury .................... 68 6. Arrest Involving Multiple Local, State or Federal Arresting Agencies ............. 68 7. Determining Number of Arrest Fingerprint Sets Required .............................. 68 8. Arrests Involving Execution of Warrants.......................................................... 69
E. Obtaining the Criminal Justice Tracking Number (CJTN) as Proof Fingerprinting Occurred .......................................................................................... 69
F. Ordering Defendant Fingerprinted ...........................................................................70
G. Determining the Appropriate Arrest Date ............................................................... 70 .
1. Arrest Date Determination Matrix - Definition of Terms ...................................71 2. Arrest Date Determination Matrix: Guidelines for Reading the Matrix .............71
IV. Standard Practices for Processing a Case .................................................................... 73
A. Receiving Arrest Documentation ............................................................................ 73 1. Arrest Report .................................................................................................... 73 2. Accusatory Instrument ..................................................................................... 73
3. Arrest Fingerprint Card Stub (UCS 501 Card) or Equivalent Notification in Electronic Biometric Transmission Systems ................................................... 73
4. Arrest Fingerprint-Based Rapsheet ................................................................ 74
B. Initial Case Number Assignment........................................................................... 74
C. Conditions Under Which A Court Case Number Can Be Changed ....................... 75
D. Establishment of Case Record During Arraignment............................................... 75
E. Arraigning for Another Court and Transferring Case to That Court ...................... 75
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F. Plea Agreements and Dismissals Resulting From a Plea Agreement ................... 76 G. Bench and Arrest Warrants..................................................................................... 76 H. Divesting Jurisdiction Between Local and Superior Courts ................................... 77 I. Recording Dismissals, Sealed Cases and Denial of Sealing ................................. 78 J. Sealing Court and Other Agency Records ............................................................. 78 K. Indictments Following Local Court Dismissal and Seal ........................................ 78 L. Monitoring and Tracking a Court Case to Closure ................................................. 79
1. Pending, Adjourned or Deferred Cases........................................................... 79 2. Unindicted Felony Cases, and Other Individual Charges Pending
90 Days or More............................................................................................... 79 M. Transfer of Probation Supervision .......................................................................... 79 V. DCJS Criminal History Report (Rapsheet), Use, Dissemination and Destruction .........80 A. Dissemination of Arrest Rapsheet .......................................................................... 80 B. Rapsheet Use, Dissemination and Destruction ...................................................... 80
Custody and Supervision Processing
Custody/Supervision Practices I. Standard Practices for Custodial Facilities and Parole Supervision ............................. 85 A. Fingerprinting a Sentenced Individual .................................................................... 85 1. DCJS Guidelines for Fingerprinting a Sentenced Individual ........................... 85 2. Standard Practices........................................................................................... 85 B. Fingerprinting Interstate Cases by New York State Division of Parole .................. 85 C. Reporting Institution Release and Work Release Data to DCJS ........................... 85 D. Obtaining the DCJS Criminal History Report (Rapsheet........................................ 85 E. DCJS Criminal History Report (Rapsheet), Use, Dissemination, Destruction and Review .......................................................................................... 86 F. Sharing Documents With Other Agencies .............................................................. 86 1. Documentation Received by Custodial Facilities from Other Agencies.......... 86 2. Documentation Forwarded by Custodial Facilities to Other Agencies............ 87 II. Probation Supervision Processing ................................................................................. 87
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A. Processing Court Requests for Reports ................................................................. 87 1. Pre-Sentence and Pre-Plea Investigation Reports ......................................... 87
B. Transferring Probation Supervision ........................................................................ 87 1. Intrastate Probation Transfer of Supervision................................................... 87 2. Interstate Probation Transfer of Supervision ................................................... 88 DCJS Criminal History Report (Rapsheet), Use, Dissemination, Destruction and Review ..................................................................................................................... 88
C. Sharing Documents With Other Agencies .............................................................. 89 1. Documentation Received by Probation from Other Agencies......................... 89 2. Documentation Forwarded from Probation to Other Agencies ....................... 89
E. Notification of Fingerprinting Needed ..................................................................... 89
Introduction
Why Standard Practices?
The highly decentralized nature of the New York State criminal justice system is a key obstacle to system coordination and integration. While criminal justice is a single process that begins with an arrest and ends with release from custody or supervision, over 3,000 criminal justice agencies operating at the State, County, City, District, Town and Village levels of government are responsible for the administration of justice.
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The lack of standardization and compliance with statutory requirements in processing criminal cases among criminal justice negatively impacts criminal history data quality. Examples where this failure impacts on the quality of criminal history record information available include the following:
• When an arresting agency fails to submit arrest fingerprints as required by law:
o The criminal history repository cannot create or update an individual’s history or if appropriate, generate an arrest hit notice for criminal justice agencies and for civil agencies for employment and license.
o The court and the district attorney will not have an arrest fingerprint based rapsheet for decisions at arraignment or for enhanced charges if warranted.
o Criminal justice agencies may not be aware of warrants pending against the individual.
o Supervisory agencies such as parole and probation may not be aware that an individual under their supervision has been rearrested.
• When a prosecuting agency fails to provide sufficient information on the status of arrests and docketed cases to courts:
o A court may not be able to report the outcome of a case covered by plea bargain in another court.
o A lower court may not know to seal a case record based upon a “no bill” voted by a grand jury.
o A court may not know that an undocketed case was resolved by a decline to prosecute and should be sealed on their database.
• When a court fails to report the disposition for a docketed case:
o An individual seeking employment, licensing or other civil matters such as an adoption will have an open case appear on their criminal history instead of a conviction or a sealed or suppressed record that would normally not be disseminated.
o Parole or probation or other criminal justice agencies supervising individuals will have to contact the court to get the missing disposition.
o If the individual is subsequently rearrested, the arresting agency may have to contact the court to determine if the individual was convicted of a charge that might warrant the enhancement of the charge associated with the arrest or the accusatory instrument.
• If a supervisory agency (probation, jail, parole or state prison) fails to notify that the individual has been admitted or discharged from their supervision:
o An agency conducting a criminal investigation may not be readily able to determine if the individual is under supervision.
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o An individual seeking employment or licensing or other civil matters may not be able to document that he/she had been discharged from supervision.
o A wanting agency may not know who to contact to inquire about the individual’s current status for the purpose of executing the warrant.
Manual Contents
The "New York State Standard Practices Manual for Processing Fingerprintable Criminal Cases" provides documentation on the procedures necessary to the efficient and accurate exchange and reporting of fingerprintable criminal case information in New York State for the following areas:
• Arrest Processing • Prosecutorial Processing • Judicial Processing • Custody and Supervision Processing
This revision reflects changes required due to legislation raising the age of criminal responsibility to seventeen on October 1, 2018 and to eighteen on October 1, 2019 as well as changes in criminal history record processing in the past fifteen years especially the fully electronic submission of fingerprints and the creation of the Integrated Justice Portal. Representatives of agencies involved in the original Manual were consulted in its development.
Key Identifiers
Key identifiers are data elements which are essential to the accurate updating of information to a DCJS Criminal History Record. The key identifiers are used to associate information first to a criminal history and then to a particular arrest on that criminal history. Without the use of key identifiers, a rapsheet may contain portions of a case which do not associate to any particular arrest or will not contain vital information related to a particular criminal history. The key identifiers which each agency should use and share with other agencies are the following:
• Name of the individual • Arrest Date • NYSID Number assigned to the individual's New York State criminal history • Criminal Justice Tracking Number (CJTN) - the number assigned to a particular
set of Arrest Fingerprints - is used to identify the particular arrest on the individual's New York State criminal history. The number was formerly known as the Court Control Number, OBTS Number or 501 Number • Date of Birth of the individual • Case Number, as appropriate (i.e., Arrest ID Number, Court Case Number, Inmate ID Number, Parole ID Number, Probation Registrant Number), used to identify each reporting agency's identification number for the individual • Gender of the individual • Crime Date
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New York State Standard Practices Manual Processing