Criminal Procedure Overview and Criminal Procedure Steps

Instead of a full formal indictment, the district attorney may initiate a proceeding through a simplified information, a key document in the simplified criminal procedure. The court then issues a notice indicating the proposed penalty, such as a fine or surcharge, which is sent directly to the defendant. This mechanism allows the defendant to respond and settle the matter without the need for a formal courtroom appearance unless the proposed penalty is actively contested. Simplified criminal procedure cases are distinguished by the minimal initial documentation required to commence the prosecution, mainly focusing on the essential elements of the offense.

The legal framework supporting this system is found in New York Criminal Procedure Law (CPL) §100.10(3) and §340.10, which govern simplified information and procedures for non-felony charges, including traffic infractions and certain misdemeanors. The specific nature of the simplified instruments, such as "simplified traffic information" and "simplified parks information," is further detailed in the CPL. It is also reinforced by §380.20 concerning sentencing on conviction, ensuring that penalties remain consistent with the minor nature of the offense. These statutes establish the necessary foundation and legal boundaries for operating the simplified criminal procedure across the state, ensuring its lawful application.

• Prosecutor Files Simplified Information: A simplified information or notice of violation is issued by the prosecutor or enforcement authority, often a police officer, formally commencing the simplified criminal procedure for a minor offense.
• Court Reviews Filing: The local criminal court assesses whether the simplified filing meets the threshold for summary judgment and ensures all procedural requirements have been met, confirming the case is appropriate for the simplified criminal procedure.
• Court Issues a Proposed Penalty: If deemed appropriate, the judge may issue a fine or other specified penalty without the necessity of a formal hearing, which represents the administrative conclusion if not challenged.
• Defendant Receives Notification: The defendant is served with the proposed decision, outlining the fine or penalty, and is explicitly informed of their right to contest the judgment, a critical due process safeguard in the simplified criminal procedure.
• Opportunity to Request Formal Trial: Within seven (7) calendar days from service of notice, the defendant may file a formal request for trial to challenge the outcome of the simplified criminal procedure and demand a full judicial hearing.

The defendant must submit a written trial request to the court clerk within seven (7) days of service of the simplified notice. This objection must clearly state the defendant’s wish to contest the decision and proceed with a full trial rather than accepting the administrative outcome of the simplified criminal procedure. Failure to meet this strict deadline results in the proposed penalty, such as a traffic violation fine, becoming final and enforceable by default judgment.

Upon receiving the objection, the court treats the matter as a regular criminal proceeding, transforming the case into a contested issue. The accused is then entitled to all procedural safeguards, including legal representation, the right to present evidence to challenge the initial simplified information, and the right to cross-examine witnesses. The formal trial supersedes the initial administrative process of the simplified criminal procedure, giving the defendant a full opportunity to defend against the minor offense charge.

Under CPL §380.20 and supporting judicial guidance, courts may not impose a harsher sentence than the one originally proposed unless new or aggravating factors emerge during the course of the full trial. This vital rule prevents retaliation against defendants exercising their right to contest the findings of the simplified criminal procedure for a minor offense. This safeguard is vital to ensuring fairness and encouraging defendants to challenge penalties they deem unjust without fear of punitive escalation.

Once the simplified criminal procedure concludes, either by acceptance or through the objection and trial process, the consequences are legally binding. Below is how the proposed penalty becomes final depending on the defendant’s action, illustrating the different paths to finality in the simplified criminal procedure process and underscoring the importance of timely action: