THE COURTS
Title 234—RULES OF
CRIMINAL PROCEDURE
[234 PA. CODE CHS. 4, 7 AND 10]
Proposed Amendment of Pa.R.Crim.P. 403, 407, 408, 409, 411, 412, 413, 414, 422, 423, 424, 454, 462, 470, 702, 704, 705.1, 706, 1002, and 1030, adoption of Pa.R.Crim.P. 454.1, 456.1, 456.2, 702.1, 705.2, and 706.1, and Rescission and Replacement of Pa.R.Crim.P. 456
[54 Pa.B. 919]
[Saturday, February 24, 2024]The Criminal Procedural Rules Committee is considering proposing to the Supreme Court of Pennsylvania the proposed amendment of Pa.R.Crim.P. 403 (Contents of Citation), 407 (Pleas in Response to Citation), 408 (Not Guilty Pleas—Notice of Trial), 409 (Guilty Pleas), 411 (Procedures Following Filing of Citation—Issuance of Summons), 412 (Pleas in Response to Summons), 413 (Not Guilty Pleas—Notice of Trial), 414 (Guilty Pleas), 422 (Pleas in Response to Summons), 423 (Not Guilty Pleas—Notice of Trial), 424 (Guilty Pleas), 454 (Trial in Summary Cases), 462 (Trial De Novo), 470 (Procedures Related to License Suspension After Failure to Respond to Citation or Summons or Failure to Pay Fine and Costs), 702 (Aids in Imposing Sentence), 704 (Procedure at Time of Sentencing), 705.1 (Restitution), 706 (Fines or Costs), 1002 (Procedure in Summary Cases), and 1030 (Scope of Summary Municipal Court Traffic Division Rules), adoption of Pa.R.Crim.P. 454.1 (Sentencing in Summary Cases), 456.1 (Ability to Pay Determination), 456.2 (Commonwealth Request for Ability to Pay Hearing), 702.1 (Ability to Pay Determination), 705.2 (Fines—Sentencing), and 706.1 (Commonwealth Request for Ability to Pay Hearing), and rescission and replacement of Pa.R.Crim.P. 456 (Default Procedures: Restitution, Fines, and Costs) for the reasons set forth in the accompanying publication report. Pursuant to Pa.R.J.A. 103(a)(1), the proposal is being published in the Pennsylvania Bulletin for comments, suggestions, or objections prior to submission to the Supreme Court.
Any report accompanying this proposal was prepared by the Committee to indicate the rationale for the proposed rulemaking. It will neither constitute a part of the rules nor be adopted by the Supreme Court.
Additions to the text of the proposal are bolded and underlined; deletions to the text are bolded and bracketed.
The Committee invites all interested persons to submit comments, suggestions, or objections in writing to:
Joshua M. Yohe, Counsel
Criminal Procedural Rules Committee
Supreme Court of Pennsylvania
Pennsylvania Judicial Center
PO Box 62635
Harrisburg, PA 17106-2635
FAX: (717) 231-9521
criminalrules@pacourts.usAll communications in reference to the proposal should be received by April 24, 2024. E-mail is the preferred method for submitting comments, suggestions, or objections; any e-mailed submission need not be reproduced and resubmitted via mail. The Committee will acknowledge receipt of all submissions.
By the Criminal Procedural Rules Committee
STEFANIE J. SALAVANTIS,
Chair
Annex A
TITLE 234. RULES OF CRIMINAL PROCEDURE
CHAPTER 4. PROCEDURES IN SUMMARY CASES
PART B. Citation Procedures Rule 403. Contents of Citation.
[(A)](a) Every citation shall contain:
(1) the name and address of the organization, and badge number, if any, of the law enforcement officer;
(2) the name and address of the defendant;
(3) a notation if the defendant is under 18 years of age and whether the parents or guardians have been notified of the charge[(s)];
(4) the date and time when the offense is alleged to have been committed, provided however, if the day of the week is an essential element of the offense charged, such day must be specifically set forth;
(5) the place where the offense is alleged to have been committed;
(6) a citation of the specific section and subsection of the statute or ordinance allegedly violated, together with a summary of the facts sufficient to advise the defendant of the nature of the offense charged;
(7) the date of issuance;
(8) a notation if criminal laboratory services are requested in the case;
(9) a verification by the law enforcement officer that the facts set forth in the citation are true and correct to the officer's personal knowledge, or information and belief, and that any false statements therein are made subject to the penalties of [the Crimes Code,] 18 Pa.C.S. § 4904, relating to unsworn falsification to authorities; and
(10) a certification that the citation complies with the provisions of the Case Records Public Access Policy of the Unified Judicial System of Pennsylvania regarding confidential information and documents.
[(B)](b) The copy delivered to the defendant shall also contain a notice to the defendant that:
(1) [that] the original copy of the citation will be filed before the issuing authority of the magisterial district designated in the citation, the address and number of which shall be contained in the citation; and
(2) [that] the defendant shall, within [10] 30 days after issuance of the citation:
[(a)](i) plead not guilty by:
[(i)](A) notifying the proper issuing authority in writing of the plea and [forwarding as collateral for appearance at trial an amount equal to the fine and costs specified in the citation, plus any additional fee required by law. If the amount is not specified, the defendant shall forward the sum of $50 as collateral for appearance at trial] providing a current mailing address and telephone number; or
[(ii)](B) appearing before the proper issuing authority[,] and entering the plea[, and depositing such collateral for appearance at trial as the issuing authority shall require. If the defendant cannot afford to pay the collateral specified in the citation or the $50, the defendant must appear before the issuing authority to enter a plea]; or
[(b)](ii) plead guilty by:
[(i)](A) notifying the proper issuing authority in writing of the plea and forwarding an amount equal to the fine and costs when specified in the statute or ordinance, the amount of which shall be set forth in the citation; or
[(ii)](B) appearing before the proper issuing authority for the entry of the plea and imposition of sentence, when the fine and costs are not specified in the citation, or when an installment payment plan is sought, or when required to appear pursuant to Rules [409(B)(3), 414(B)(3), or 424(B)(3)] 409(b)(3), 414(b)(3), 424(b)(3); or
[(c)](iii) appear before the proper issuing authority to request consideration for inclusion in an accelerated rehabilitative disposition program;
(3) [that] all checks forwarded for the fine and costs or for collateral shall be made payable to the magisterial district number set forth on the citation;
(4) [that] failure to respond to the citation as provided above within the time specified:
[(a)](i) shall result in the issuance of a summons when a violation of an ordinance or any parking offense is charged, or when the defendant is under 18 years of age, and in all other cases shall result in the issuance of a warrant for the arrest of the defendant; and
[(b)](ii) shall result in the suspension of the defendant's driver's license when a violation of the Vehicle Code is charged;
(5) [that] failure to indicate a plea when forwarding an amount equal to the fine and costs specified on the citation shall result in a guilty plea being recorded; and
(6) [that,] if the defendant is convicted or has pleaded guilty, the defendant may appeal within 30 days for a trial de novo.
Comment: A law enforcement officer may prepare, verify, and transmit a citation electronically. The law enforcement officer contemporaneously must give the defendant a paper copy of the citation containing all the information required by this rule. Nothing in this rule is intended to require the defendant to sign the citation.
[See] See Rule 113.1 regarding the Case Records Public Access Policy of the Unified Judicial System of Pennsylvania and the requirements regarding filings and documents that contain confidential information.
[Paragraph (A)(3)] Subdivision (a)(3) requires the law enforcement officer who issues a citation to indicate on the citation if the defendant is a juvenile and, if so, whether the juvenile's parents were notified. [See] See [the Judicial Code,] 42 Pa.C.S. § 1522[, concerning] (requiring parental notification in certain summary cases involving juveniles).
[Paragraph (A)(8)] Subdivision (a)(8) requires the law enforcement officer who issues a citation to indicate on the citation whether criminal laboratory services are requested in the case. This information is necessary to inform the magisterial district judge that, in addition to any fines, restitution, or costs, the magisterial district judge may be required to sentence the defendant to pay a criminal laboratory user fee. [See] See 42 Pa.C.S. § 1725.3 [which requires that] (requiring a defendant to be sentenced to pay a criminal laboratory user fee in certain specified cases when laboratory services are required to prosecute the case).
As provided in [paragraph (B)(2)(b)(i)] subdivision (b)(2)(ii)(A), the defendant may plead guilty by mail only when the fine and costs are set forth in the citation. The law enforcement officer may specify the fine and costs in the citation only when the penalty provided by law does not include a possible sentence of imprisonment and the statute or ordinance fixes the specific amount for the fine.
[Paragraph (B)(4)(a)] Subdivision (b)(4)(i) provides for notice to the defendant who is under 18 years of age that a summons will be issued if the defendant fails to respond to the citation.
[Paragraph (B)(4)(b)] Subdivision (b)(4)(ii) provides notice to the defendant that his or her license will be suspended if the defendant fails to respond to the citation or summons within the time specified in the rules. [See] See 75 Pa.C.S. § 1533.
[Paragraph (B)(5)] Subdivision (b)(5) provides a uniform procedure for handling cases in which a defendant returns the fine and costs but fails to sign the citation and, therefore, does not indicate a plea. [See] See [Rule] Pa.R.Crim.P. 407.
[Paragraph (B)(6) was amended in 2000 to make it clear] Subdivision (b)(6) is intended to make clear that a defendant in a summary criminal case [that the defendant] may file an appeal for a trial de novo following the entry of a guilty plea. [See] See [Rule] Pa.R.Crim.P. 460 (Notice of Appeal).
It is intended that the notice to the defendant, required by [paragraph (B)] subdivision (b) to be on the copy of the citation delivered to the defendant, shall be simply worded so the plain meaning of the notice is easily understandable.
For consequences of defects in a citation, see Rule 109.
With regard to the ''proper'' issuing authority as used in these rules, see Rule 130.
[See] See Rule 401 for procedures for instituting cases in which there is a parking violation. When the parking violation information is electronically transmitted as permitted by Rule 401(A), only a summons is issued as provided in Rule 411.
[Official Note: Previous rule, originally numbered Rule 133(a) and Rule 133(b), adopted January 31, 1970, effective May 1, 1970; renumbered Rule 53(a) and 53(b) September 18, 1973, effective January 1, 1974; amended January 23, 1975, effectiveSeptember 1, 1975; Comment revised January 28, 1983, effective July 1, 1983; rescinded July 12, 1985, effective January 1, 1986, and not replaced in these rules. Present Rule 53 adopted July 12, 1985, effective January 1, 1986. The January 1, 1986 effective dates all are extended to July 1, 1986; amended February 1, 1989, effective as to cases instituted on or after July 1, 1989; amended January 31, 1991, effective July 1, 1991; amended June 3, 1993, effective as to new citations printed on or after July 1, 1994; amended July 25, 1994, effective January 1, 1995; renumbered Rule 403 and Comment revised March 1, 2000, effective April 1, 2001; amended March 3, 2000, effective July 1, 2000; Comment revised February 6, 2003, effective July 1, 2003; amended August 7, 2003, effective July 1, 2004; amended January 26, 2007, effective February 1, 2008; amended June 1, 2018; effective July 1, 2018.
Committee Explanatory Reports:
Report explaining the January 31, 1991 amendments published at 20 Pa.B. 4788 (September 15, 1990); Supplemental Report published at 21 Pa.B. 621 (February 16, 1991).
Report explaining the June 3, 1993 amendments published with the Court's Order at 23 Pa.B. 2809 (June 19, 1993).
Report explaining the July 25, 1994 amendments published with Court's Order at 24 Pa.B. 4068 (August 13, 1994).
Final Report explaining the March 1, 2000 reorganization and renumbering of the rules published with the Court's Order at 30 Pa.B. 1478 (March 18, 2000).
Final Report explaining the March 3, 2000 amendments concerning appeals from guilty pleas published with the Court's Order at 30 Pa.B. 1509 (March 18, 2000).
Final Report explaining the February 6, 2003 Comment revisions cross-referencing Rule 401 concerning electronic transmission of parking citations published with the Court's Order at 33 Pa.B. 973 (February 22, 2003).
Final Report explaining the August 7, 2003 amendments to paragraph (B)(4)(a) concerning juveniles published with the Court's Order at 33 Pa.B. 4289 (August 30, 2003).
Final Report explaining the January 26, 2007 amendments to paragraph (B)(2)(b)(ii) and revisions to the Comment published with the Court's Order at 37 Pa.B. 752 (February 17, 2007).
Amendments regarding the Court's public access policy published with the Court's Order at 48 Pa.B. 3575 (June 16, 2018).]
PART B(1). Procedures When Citation Is Issued to Defendant Rule 407. Pleas in Response to Citation.
Within [10] 30 days after issuance of a citation, the defendant shall notify the issuing authority by mail or in person that the defendant either pleads not guilty or pleads guilty.
Comment: For the consequences of failure to respond as provided in this rule, see Rules 430 and 431.
To notify the issuing authority of the plea, the defendant should sign and return the citation. [When] If a defendant fails to sign the citation to indicate the plea, the issuing authority should record the unsigned citation as a guilty plea. [See] See [Rule 403(B)(5)] Pa.R.Crim.P. 403(b)(5).
[Official Note: Previous Rule 57 adopted September 18, 1973, effective January 1, 1974; title of rule amended January 23, 1975, effective September 1, 1975; rescinded July 12, 1985, effective January 1, 1986, and replaced by present Rules 411-414 and 421-424. Present Rule 57 adopted July 12, 1985, effective January 1, 1986. The January 1, 1986 effective dates all are extended to July 1, 1986; amended February 1, 1989, effective as to cases instituted on or after July 1, 1989; renumbered Rule 407 and amended March 1, 2000, effective April 1, 2001.
Committee Explanatory Reports:
Final Report explaining the March 1, 2000 reorganization and renumbering of the rules published with the Court's Order at 30 Pa.B. 1478 (March 18, 2000).]
Rule 408. Not Guilty Pleas—Notice of Trial.
[(A)](a) A defendant may plead not guilty by:
(1) appearing before the issuing authority[,] and entering the plea[, and depositing such collateral for appearance at trial as the issuing authority shall require]; or
(2) notifying the issuing authority in writing of the plea and [forwarding as collateral for appearance at trial an amount equal to the fine and costs specified in the citation, plus any additional fee required by law. If the fine and costs are not specified, the defendant shall forward the sum of $50 as collateral for appearance at trial] providing a current mailing address and telephone number.
[(B)](b) The issuing authority, upon receiving a plea of not guilty, shall:
(1) fix a date and hour for trial;
(2) notify the defendant and the law enforcement officer of the date and hour fixed for trial; and
(3) advise the defendant that failure to appear for trial shall constitute consent to trial in the defendant's absence and, if the defendant is found guilty, [the collateral deposited shall be forfeited and applied toward the fine, costs, and restitution, and] the defendant shall have the right to appeal within 30 days for a trial de novo.
Comment: [It is intended that the defendant will appear in person before the issuing authority to plead not guilty when the defendant cannot afford to deposit the amount of collateral specified in the citation or the $50 when no amount is specified. A plea entered by mail must be accompanied by the full amount of collateral. See Rule 452. All checks deposited as collateral shall be made payable to the magisterial district number set forth on the citation.]
When fixing the date and hour for trial, the issuing authority should determine whether the trial must be delayed because the defendant's criminal record must be ascertained prior to trial as specifically required by statute for purposes of grading the offense charged.
[Paragraph (B)(3) was amended in 2016 to clarify that collateral may be forfeited for the payment of restitution as well as for the fine and costs that have been assessed by an issuing authority. See] See 18 Pa.C.S. § 1106(d) for the authority of a magisterial district judge to impose restitution on a defendant.
[Official Note: Previous Rule 58, adopted September 18, 1973, effective January 1, 1974; amended to correct printing error June 28, 1976, effective immediately; rescinded July 12, 1985, effective January 1, 1986, and not replaced in the present rules. Present Rule 58 adopted July 12, 1985, effective January 1, 1986. The January 1, 1986 effective dates all are extended to July 1, 1986; amended January 31, 1991, effective July 1, 1991; renumbered Rule 408 and amended March 1, 2000, effective April 1, 2001; amended June 10, 2016, effective August 1, 2016.
Committee Explanatory Reports:
Report explaining the January 31, 1991 amendments published at 20 Pa.B. 4788 (September 15, 1990); Supplemental Report published at 21 Pa.B. 621 (February 16, 1991).
Final Report explaining the March 1, 2000 reorganization and renumbering of the rules published with the Court's Order at 30 Pa.B. 1478 (March 18, 2000).
Final Report explaining the June 10, 2016 amendments clarifying that forfeited collateral may be applied to restitution published with the Court's Order at 46 Pa.B. 3235 (June 25, 2016).]
Rule 409. Guilty Pleas.
[(A)](a) A defendant may plead guilty by:
(1) notifying the issuing authority in writing of the plea and forwarding to the issuing authority an amount equal to the fine and costs specified in the citation; or
(2) appearing before the issuing authority for the entry of the plea and imposition of sentence when:
(i) the fine and costs are not specified in the citation [or];
(ii) after receipt of notice that a guilty plea by mail has not been accepted by the issuing authority pursuant to [paragraph (B)(3).] subdivision (b)(3); or
(iii) the defendant is without the financial means immediately to pay the fine and costs specified in the citation and seeks an installment payment plan.
[(B)](b) When the defendant pleads guilty pursuant to [paragraph (A)(1)] subdivision (a)(1):
(1) The defendant [must] shall sign the guilty plea acknowledging that the plea is entered voluntarily and understandingly. The defendant shall provide confirmation of a current mailing address and telephone number.
(2) The issuing authority may issue a warrant for the arrest of the defendant as provided in Rules 430 and 431 if the amount forwarded with the plea is less than the amount of the fine and costs specified in the citation.
(3) Restrictions on the acceptance of guilty plea by mail:
[(a)](i) The issuing authority shall not accept a guilty plea that is submitted by mail when the offense carries a mandatory sentence of imprisonment.
[(b)](ii) In those cases in which the charge carries a possible sentence of imprisonment, the issuing authority may accept a guilty plea submitted by mail.
[(c)](iii) In any case in which the issuing authority does not accept a guilty plea submitted by mail, the issuing authority shall notify the defendant (1) that the guilty plea has not been accepted, (2) to appear personally before the issuing authority on a date and time certain, and (3) of the right to counsel. Notice of the rejection of the guilty plea by mail also shall be provided to the affiant.
[(C)](c) When the defendant is required to personally appear before the issuing authority to plead guilty pursuant to [paragraph (A)(2)] subdivision (a)(2), the issuing authority shall:
(1) advise the defendant of the right to counsel when there is a likelihood of imprisonment and give the defendant, upon request, a reasonable opportunity to secure counsel;
(2) determine by inquiring of the defendant that the plea is voluntarily and understandingly entered;
(3) have the defendant sign the plea form with a representation that the plea is entered voluntarily and understandingly; and
(4) impose sentence pursuant to Rule 454.1, or, in cases in which the defendant may be sentenced to intermediate punishment, the issuing authority may delay the proceedings pending confirmation of the defendant's eligibility for intermediate punishment[; and].
[(5) provide for installment payments when a defendant who is sentenced to pay a fine and costs is without the financial means immediately to pay the fine and costs.]
Comment: The rule [was amended in 2007 to make it clear (1)] makes clear that a defendant may not enter a guilty plea by mail (1) to an offense that carries a mandatory sentence of imprisonment[, and (2) in] or (2) when the defendant is without the financial means immediately to pay the fine and costs. In those cases in which the offense carries a possible sentence of imprisonment, the issuing authority has the discretion whether or not to accept a guilty plea submitted by mail.
Nothing in this rule is intended to require that an issuing authority should proceed as provided in [paragraph (C)] subdivision (c) when the defendant returns the written guilty plea and the fine and costs in person to the issuing authority's office pursuant to [paragraphs (A)(1) and (B)] subdivisions (a)(1) and (b). The issuing authority's staff should record receipt of the plea and monies in the same manner as those received by mail.
[Paragraph (C)(4) was added in 2007 to permit] Subdivision (c)(4) permits an issuing authority to delay imposition of sentence in order to investigate a defendant's eligibility for intermediate punishment. For example, under 42 Pa.C.S. § 9763 and § 9804, defendants may be sentenced to intermediate punishment for certain offenses, including summary violations of 75 Pa.C.S. § 1543(b) (driving while license is under a DUI-related suspension) but only if they meet certain eligibility requirements, such as undergoing a drug and alcohol assessment. Often this information will not be available to the issuing authority at the time of sentencing, especially when the defendant appears personally to enter a guilty plea.
[When] If the defendant was under 18 years of age at the time of the offense and is charged with a summary offense that would otherwise carry a mandatory sentence of imprisonment as prescribed by statute, the issuing authority is required to conduct the summary trial but may not sentence the defendant to a term of imprisonment. See 42 Pa.C.S. §§ 6302 and 6303 and 75 Pa.C.S. § 6303(b).
[See] See Rule [454(F)] 454.1 for the information that must be included in the sentencing order when restitution is included in the sentence.
For the procedure upon default in payment of the fine or costs, see Rule 456.
For appeal procedures in summary cases, see Rules 460, 461, and 462.
For procedures regarding arrest warrants, see Rules 430 and 431.
Concerning the appointment or waiver of counsel, see Rules 121 and 122.
[Official Note: Previous Rule 59 adopted September 18, 1973, effective January 1, 1974; rescinded July 12, 1985, effective January 1, 1986, and replaced by present Rule 75. Present Rule 59 adopted July 12, 1985, effective January 1, 1986; amended September 23, 1985, effective January 1, 1986. The January 1, 1986 effective dates are all extended to July 1, 1986; amended May 28, 1987, effective July 1, 1987; amended January 31, 1991, effective July 1, 1991; renumbered Rule 409 and amended March 1, 2000, effective April 1, 2001; Comment revised August 7, 2003, effective July 1, 2004; amended January 26, 2007, effective February 1, 2008; Comment revised July 17, 2013, effective August 17, 2013; Comment revised March 9, 2016, effective July 1, 2016.
Committee Explanatory Reports:
Report explaining the January 31, 1991 amendments published at 20 Pa.B. 4788 (September 15, 1990); Supplemental Report published at 21 Pa.B. 621 (February 16, 1991).
Final Report explaining the March 1, 2000 reorganization and renumbering of the rules published with the Court's Order at 30 Pa.B. 1478 (March 18, 2000).
Final Report explaining the August 7, 2003 new Comment language concerning defendants under the age of 18 published with the Court's Order at 33 Pa.B. 4289 (August 30, 2003).
Final Report explaining the January 26, 2007 amendments to paragraphs (A)(2), (B)(3), and (C)(4) published with the Court's Order at 37 Pa.B. 752 (February 17, 2007).
Final Report explaining the July 17, 2013 Comment revision concerning mandatory incarceration offenses and juveniles published with the Court's Order at 43 Pa.B. 4323 (August 3, 2013).
Final Report explaining the March 9, 2016 Comment revision concerning the Rule 454 restitution procedures published with the Court's Order at 46 Pa.B. 1532 (March 26, 2016).]
PART B(2). Procedures When Citation Filed Rule 411. Procedures Following Filing of Citation—Issuance of Summons.
[(A)](a) Upon the filing of the citation, including receipt of electronically transmitted citation or parking violation information, the issuing authority shall issue a summons commanding the defendant to respond within [10] 30 days of receipt of the summons, unless the issuing authority has reasonable grounds to believe that the defendant will not obey a summons in which case an arrest warrant shall be issued. The summons shall be served as provided in these rules.
[(B)](b) A copy of the citation shall be served with the summons, except in cases charging parking violations when the parking violation information is electronically filed.
[(C)](c) In cases charging parking violations in which the parking violation information is electronically filed, the summons shall also include:
(1) the date, time, and location of the parking violation;
(2) a description of the vehicle and the license number; and
(3) a description of the parking violation.
Comment: No fine or costs should be specified in the summons in cases in which the issuing authority determines that there is a likelihood of imprisonment.
This rule facilitates the electronic transmission of parking violation information by (1) eliminating the requirement that a copy of the citation be served with the summons in cases in which the parking violation information is electronically filed pursuant to Rule 401(A), and (2) requiring additional information be added to the summons. [See] See [Rule] Pa.R.Crim.P. 401 (Proceedings in Summary Cases Charging Parking Violations). However, nothing in this rule or Rule 401 is intended to preclude a municipality from continuing to have its officers prepare a citation in addition to electronically transmitting the parking violation information.
[Official Note: Previous Rule 117, adopted June 30, 1964, effective January 1, 1965; suspended effective May 1, 1970; revised January 31, 1970, effective May 1, 1970; renumbered and amended to apply only to summary cases September 18, 1973, effective January 1, 1974; amended April 26, 1979, effective July 1, 1979; amended January 28, 1983, effective July 1, 1983; rescinded July 12, 1985, effective January 1, 1986, and replaced by present Rule 431.Present Rule 61 adopted July 12, 1985, effective January 1, 1986. The January 1, 1986 effective dates all are extended to July 1, 1986; amended July 17, 1996, effective January 1, 1997; renumbered Rule 411 and Comment revised March 1, 2000, effective April 1, 2001; amended February 6, 2003, effective July 1, 2003.
Committee Explanatory Reports:
Final Report explaining the July 17, 1996 amendments published with the Court's Order at 26 Pa.B. 3629 (August 3, 1996).
Final Report explaining the March 1, 2000 reorganization and renumbering of the rules published with the Court's Order at 30 Pa.B. 1478 (March 18, 2000).
Final Report explaining the February 6, 2003 amendments concerning electronic transmission of citation and parking violation information published with the Court's Order at 33 Pa.B. 969 (February 22, 2003).]
Rule 412. Pleas in Response to Summons.
Within [10] 30 days after receipt of a summons, the defendant shall notify the issuing authority by mail or in person that the defendant either pleads not guilty or pleads guilty.
Comment: To notify the issuing authority of the plea, the defendant should sign and return the summons. When a defendant fails to sign the summons to indicate the plea, the issuing authority should record the unsigned summons as a guilty plea. [See] See [Rule 403(B)(5)] Pa.R.Crim.P. 403(b)(5).
For the consequences of failure to respond as provided in this rule, see Rule 430(A).
[Official Note: Previous rule, originally numbered Rule 118 and 118(b), adopted June 30, 1964, effective January 1, 1965; suspended effective May 1, 1970; revised January 31, 1970, effective May 1, 1970; renumbered as Rule 62 and amended to apply only to summary cases September 18, 1973, effective January 1, 1974; amended April 26, 1979, effective July 1, 1979; amended April 24, 1981, effective July 1, 1981; amended January 28, 1983, effective July 1, 1983; rescinded July 12, 1985, effective January 1, 1986, and replaced by present Rule 441. Present Rule 62 adopted July 12, 1985, effective January 1, 1986. The January 1, 1986 effective dates all are extended to July 1, 1986; amended February 1, 1989, effective as to cases instituted on or after July 1, 1989; renumbered Rule 412 and amended March 1, 2000, effective April 1, 2001.
Committee Explanatory Reports:
Final Report explaining the March 1, 2000 reorganization and renumbering of the rules published with the Court's Order at 30 Pa.B. 1478 (March 18, 2000).]
Rule 413. Not Guilty Pleas—Notice of Trial.
[(A)](a) A defendant may plead not guilty by:
(1) appearing before the issuing authority[,] and entering the plea[, and depositing such collateral for appearance at trial as the issuing authority shall require]; or
(2) notifying the issuing authority in writing of the plea and [forwarding as collateral for appearance at trial an amount equal to the fine and costs specified in the citation, plus any additional fee required by law. If the fine and costs are not specified, the defendant shall forward the sum of $50 as collateral for appearance at trial] providing a current mailing address and telephone number.
[(B)](b) The issuing authority, upon receiving a plea of not guilty, shall:
(1) fix a date and hour for trial;
(2) notify the defendant and the law enforcement officer of the date and hour fixed for the trial; and
(3) advise the defendant that failure to appear for trial shall constitute consent to trial in the defendant's absence and, if the defendant is found guilty, [the collateral deposited shall be forfeited and applied toward the fine, costs, and restitution, and] the defendant shall have the right to appeal within 30 days for a trial de novo.
Comment: [It is intended that the defendant will appear in person before the issuing authority to plead not guilty when the defendant cannot afford to deposit the amount of collateral specified in the summons on or the $50 when no amount is specified. A plea entered by mail must be accompanied by the full amount of collateral. See Rule 452. All checks deposited for collateral shall be made payable to the magisterial district number set forth on the summons.]
When fixing the date and hour for trial, the issuing authority should determine whether the trial must be delayed because the defendant's criminal record must be ascertained prior to trial as specifically required by statute for purposes of grading the offense charged.
[Paragraph (B)(3) was amended in 2016 to clarify that collateral may be forfeited for the payment of restitution as well as for the fine and costs that have been assessed by an issuing authority. See] See 18 Pa.C.S. § 1106(d) for the authority of a magisterial district judge to impose restitution on a defendant.
[Official Note: Previous rule, originally numbered Rules 141 and 142, adopted January 31, 1970, effective May 1, 1970; combined, and renumbered Rule 63, and amended September 18, 1973, effective January 1, 1974; amended April 26, 1979, effective July 1, 1979; rescinded July 12, 1985, effective January 1, 1986, and replaced by present Rule 454. Present Rule 63 adopted July 12, 1985, effective January 1, 1986. The January 1, 1986 effective dates all are extended to July 1, 1986; amended January 31, 1991, effective July 1, 1991; renumbered Rule 413 and amended March 1, 2000, effective April 1, 2001; amended June 10, 2016, effective August 1, 2016.
Committee Explanatory Reports:
Report explaining the January 31, 1991 amendments published at 20 Pa.B. 4788 (September 15, 1990); Supplemental Report published at 21 Pa.B. (February 16, 1991).
Final Report explaining the March 1, 2000 reorganization and renumbering of the rules published with the Court's Order at 30 Pa.B. 1478 (March 18, 2000).
Final Report explaining the June 10, 2016 amendments clarifying that forfeited collateral may be applied to restitution published with the Court's Order at 46 Pa.B. 3235 (June 26, 2016).]
Rule 414. Guilty Pleas.
[(A)](a) A defendant may plead guilty by:
(1) notifying the issuing authority in writing of the plea and forwarding to the issuing authority an amount equal to the fine and costs specified in the summons; or
(2) appearing before the issuing authority for the entry of the plea and imposition of sentence when:
(i) the fine and costs are not specified in the summons [or];
(ii) after receipt of notice that a guilty plea by mail has not been accepted by the issuing authority pursuant to [paragraph (B)(3).] subdivision (b)(3); or
(ii) the defendant is without the financial means immediately to pay the fine and costs specified in the citation and seeks an installment payment plan.
[(B)](b) When the defendant pleads guilty pursuant to [paragraph (A)(1)] subdivision (a)(1):
(1) The defendant [must] shall sign the guilty plea acknowledging that the plea is entered voluntarily and understandingly. The defendant shall provide confirmation of a current mailing address and telephone number.
(2) The issuing authority may issue a warrant for the arrest of the defendant as provided in Rules 430 and 431 if the amount forwarded with the plea is less than the amount of the fine and costs specified in the summons.
(3) Restrictions on the acceptance of guilty plea by mail:
[(a)](i) The issuing authority shall not accept a guilty plea that is submitted by mail when the offense carries a mandatory sentence of imprisonment.
[(b)](ii) In those cases in which the charge carries a possible sentence of imprisonment, the issuing authority may accept a guilty plea submitted by mail.
[(c)](iii) In any case in which the issuing authority does not accept a guilty plea submitted by mail, the issuing authority shall notify the defendant (1) that the guilty plea has not been accepted, (2) to appear personally before the issuing authority on a date and time certain, and (3) of the right to counsel. Notice of the rejection of the guilty plea by mail also shall be provided to the affiant.
[(C)](c) When the defendant is required to personally appear before the issuing authority to plead guilty pursuant to [paragraph (A)(2)] subdivision (a)(2) the issuing authority shall:
(1) advise the defendant of the right to counsel when there is a likelihood of imprisonment and give the defendant, upon request, a reasonable opportunity to secure counsel;
(2) determine by inquiring of the defendant that the plea is voluntarily and understandingly entered;
(3) have the defendant sign the plea form with a representation that the plea is entered voluntarily and understandingly; and
(4) impose sentence pursuant to Rule 454.1, or, in cases in which the defendant may be sentenced to intermediate punishment, the issuing authority may delay the proceedings pending confirmation of the defendant's eligibility for intermediate punishment[; and].
[(5) provide for installment payments when a defendant who is sentenced to pay a fine and costs is without the financial means immediately to pay the fine and costs.]
Comment: The rule [was amended in 2007 to make it clear (1)] makes clear that a defendant may not enter a guilty plea by mail (1) to an offense that carries a mandatory sentence of imprisonment[, and (2) in] or (2) when the defendant is without the financial means immediately to pay the fine and costs. In those cases in which the offense carries a possible sentence of imprisonment, the issuing authority has the discretion whether or not to accept a guilty plea submitted by mail.
Nothing in this rule is intended to require that an issuing authority should proceed as provided in [paragraph (C)] subdivision (c) when the defendant returns the written guilty plea and the fine and costs in person to the issuing authority's office pursuant to [paragraphs (A)(1) and (B)] subdivisions (a)(1) and (b). The issuing authority's staff should record receipt of the plea and monies in the same manner as those received by mail.
[Paragraph (C)(4) was added in 2007 to permit] Subdivision (c)(4) permits an issuing authority to delay imposition of sentence in order to investigate a defendant's eligibility for intermediate punishment. For example, under 42 Pa.C.S. § 9763 and § 9804, defendants may be sentenced to intermediate punishment for certain offenses, including summary violations of 75 Pa.C.S. § 1543(b) (driving while license is under a DUI-related suspension) but only if they meet certain eligibility requirements, such as undergoing a drug and alcohol assessment. Often this information will not be available to the issuing authority at the time of sentencing, especially when the defendant appears personally to enter a guilty plea.
When the defendant was under 18 years of age at the time of the offense and is charged with a summary offense that would otherwise carry a mandatory sentence of imprisonment as prescribed by statute, the issuing authority is required to conduct the summary trial but may not sentence the defendant to a term of imprisonment. See 42 Pa.C.S. §§ 6302 and 6303 and 75 Pa.C.S. § 6303(b).
[See] See Rule [454(F)] 454.1 for the information that must be included in the sentencing order when restitution is included in the sentence.
For the procedure upon default in payment of the fine or costs, see Rule 456.
For appeal procedures in summary cases, see Rules 460, 461, and 462.
For arrest warrant procedures, see Rules 430 and 431.
Concerning the appointment or waiver of counsel, see Rules 121 and 122.
[Official Note: Previous rule, originally numbered Rule 136, adopted January 31, 1970, effective May 1, 1970; renumbered Rule 64 September 18, 1973, effective January 1, 1974; rescinded July 12, 1985, effective January 1, 1986, and replaced by present Rule 84. Present Rule 64 adopted July 12, 1985, effective January 1, 1986; amended September 23, 1985, effective January 1, 1986. The January 1, 1986 effective dates all are extended to July 1, 1986; amended May 28, 1987, effective July 1, 1987; amended January 31, 1991, effective July 1, 1991; renumbered Rule 414 and amended March 1, 2000, effective April 1, 2001; Comment revised August 7, 2003, effective July 1, 2004; amended January 26, 2007, effective February 1, 2008; Comment revised July 17, 2013, effective August 17, 2013; Comment revised March 9, 2016, effective July 1, 2016.
Committee Explanatory Reports:
Report explaining the January 31, 1991 amendments published at 20 Pa.B. 4788 (September 15, 1990); Supplemental Report published at 21 Pa.B. 621 (February 16, 1991).
Final Report explaining the March 1, 2000 reorganization and renumbering of the rules published with the Court's Order at 30 Pa.B. 1478 (March 18, 2000).
Final Report explaining the August 7, 2002 new Comment language concerning defendants under the age of 18 published with the Court's Order at 33 Pa.B. 4289 (August 30, 2003).
Final Report explaining the January 26, 2007 amendments to paragraphs (A)(2), (B)(3), and (C)(4) published with the Court's Order at 37 Pa.B. 752 (February 17, 2007).
Final Report explaining the July 17, 2013 Comment revision concerning mandatory incarceration offenses and juveniles published with the Court's Order at 43 Pa.B. 4323 (August 3, 2013).
Final Report explaining the March 9, 2016 Comment revision concerning the Rule 454 restitution procedures published with the Court's Order at 46 Pa.B. 1532 (March 26, 2016).]
PART C. Procedures in Summary Cases When Complaint Filed Rule 422. Pleas in Response to Summons.
Within [10] 30 days after receipt of a summons, the defendant shall notify the issuing authority by mail or in person that the defendant either pleads not guilty or pleads guilty.
Comment: To notify the issuing authority of the plea, the defendant should sign and return the summons. When a defendant fails to sign the summons to indicate the plea, the issuing authority should record the unsigned summons as a guilty plea. See [Rule 403(B)(5)] Pa.R.Crim.P. 403(b)(5).
For the consequences of failure to respond as provided in this rule, see Rule 430(A).
[Official Note: Previous Rule 67, adopted September 18, 1973, effective January 1, 1974; amended May 26, 1977, effective July 1, 1977; amended April 26, 1979, effective July 1, 1979; Comment revised April 24, 1981, effective July 1, 1981; Comment revised January 28, 1983, effective July 1, 1983; rescinded July 12, 1985, effective January 1, 1986, and replaced by present Rules 460, 461, and 462. Present Rule 67 adopted July 12, 1985, effective January 1, 1986. The January 1, 1986 effective dates all are extended to July 1, 1986; amended February 1, 1989, effective as to cases instituted on or after July 1, 1989; renumbered Rule 422 and amended March 1, 2000, effective April 1, 2001.
Committee Explanatory Reports:
Final Report explaining the March 1, 2000 reorganization and renumbering of the rules published with the Court's Order at 30 Pa.B. 1478 (March 18, 2000).]
Rule 423. Not Guilty Pleas—Notice of Trial.
[(A)](a) A defendant may plead not guilty by:
(1) appearing before the issuing authority[,] and entering the plea[, and depositing such collateral for appearance at trial as the issuing authority shall require]; or
(2) notifying the issuing authority in writing of the plea and [forwarding as collateral for appearance at trial an amount equal to the fine and costs specified in the summons, plus any additional fee required by law. If the fine and costs are not specified, the defendant shall forward the sum of $50 as collateral for appearance at trial] providing a current mailing address and telephone number.
[(B)](b) The issuing authority, upon receiving a plea of not guilty, shall:
(1) fix a date and hour for trial;
(2) notify the defendant and the affiant of the date and hour fixed for the trial; and
(3) advise the defendant that failure to appear for trial shall constitute consent to trial in the defendant's absence and, if the defendant is found guilty, [the collateral deposited shall be forfeited and applied toward the fine, costs, and restitution, and] the defendant shall have the right to appeal within 30 days for a trial de novo.
Comment: [It is intended that the defendant will appear in person before the issuing authority to plead not guilty when the defendant cannot afford to deposit the amount of collateral specified in the summons or the $50 when no amount is specified. A plea entered by mail must be accompanied by the full amount of collateral. See Rule 452. All checks for collateral shall be made payable to the magisterial district number set forth on the citation.]
When fixing the date and hour for trial, the issuing authority should determine whether the trial must be delayed because the defendant's criminal record must be ascertained prior to trial as specifically required by statute for purposes of grading the offenses charged.
[Paragraph (B)(3) was amended in 2016 to clarify that collateral may be forfeited for the payment of restitution as well as for the fine and costs that have been assessed by an issuing authority. See] See 18 Pa.C.S. § 1106(d) for the authority of a magisterial district judge to impose restitution on a defendant.
[Official Note: Previous Rule 68 adopted September 18, 1973, effective January 1, 1974; rescinded July 12, 1985, effective January 1, 1986, and not replaced in the present rules. Present Rule 68 adopted July 12, 1985, effective January 1, 1986. The January 1, 1986 effective dates all are extended to July 1, 1986; amended January 31, 1991, effective July 1, 1991; renumbered Rule 423 and amended March 1, 2000, effective April 1, 2001; amended June 10, 2016, effective August 1, 2016.
Committee Explanatory Reports:
Report explaining the January 31, 1991 amendments published at 20 Pa.B. 4788 (September 15, 1990); Supplemental Report published at 21 Pa.B. 621 (February 16, 1991).
Final Report explaining the March 1, 2000 reorganization and renumbering of the rules published with the Court's Order at 30 Pa.B. 1478 (March 18, 2000).
Final Report explaining the June 10, 2016 amendments clarifying that forfeited collateral may be applied to restitution published with the Court's Order at 46 Pa.B. 3235 (June 26, 2016).]
Rule 424. Guilty Pleas.
[(A)](a) A defendant may plead guilty by:
(1) notifying the issuing authority in writing of the plea and forwarding to the issuing authority an amount equal to the fine and costs specified in the summons; or
(2) appearing before the issuing authority for the entry of the plea and imposition of sentence [when] if:
(i) the fine and costs are not specified in the summons [or];
(ii) after receipt of notice that a guilty plea by mail has not been accepted by the issuing authority pursuant to [paragraph (B)(3).] subdivision (b)(3); or
(iii) the defendant is without the financial means immediately to pay the fine and costs specified in the citation and seeks an installment payment plan.
[(B)](b) When the defendant pleads guilty pursuant to [paragraph (A)(1)] subdivision (a)(1):
(1) The defendant [must] shall sign the guilty plea acknowledging that the plea is entered voluntarily and understandingly. The defendant shall provide confirmation of a current mailing address and telephone number.
(2) The issuing authority may issue a warrant for the arrest of the defendant as provided in Rules 430 and 431 if the amount forwarded with the plea is less than the amount of the fine and costs specified in the summons.
(3) Restrictions on the acceptance of guilty plea by mail:
[(a)](i) The issuing authority shall not accept a guilty plea that is submitted by mail when the offense carries a mandatory sentence of imprisonment.
[(b)](ii) In those cases in which the charge carries a possible sentence of imprisonment, the issuing authority may accept a guilty plea submitted by mail.
[(c)](iii) In any case in which the issuing authority does not accept a guilty plea submitted by mail, the issuing authority shall notify the defendant (1) that the guilty plea has not been accepted, (2) to appear personally before the issuing authority on a date and time certain, and (3) of the right to counsel. Notice of the rejection of the guilty plea by mail also shall be provided to the affiant.
[(C)](c) When the defendant is required to personally appear before the issuing authority to plead guilty pursuant to [paragraph (A)(2)] subdivision (a)(2), the issuing authority shall:
(1) advise the defendant of the right to counsel when there is a likelihood of imprisonment and give the defendant, upon request, a reasonable opportunity to secure counsel;
(2) determine by inquiring of the defendant that the plea is voluntarily and understandingly entered;
(3) have the defendant sign the plea form with a representation that the plea is entered voluntarily and understandingly; and
(4) impose sentence pursuant to Rule 454.1, or, in cases in which the defendant may be sentenced to intermediate punishment, the issuing authority may delay the proceedings pending confirmation of the defendant's eligibility for intermediate punishment[; and].
[(5) provide for installment payments when a defendant who is sentenced to pay a fine and costs is without the financial means immediately to pay the fine and costs.]
Comment: The rule [was amended in 2007 to make it clear (1)] makes clear that a defendant may not enter a guilty plea by mail (1) to an offense that carries a mandatory sentence of imprisonment[, and (2) in] or (2) when the defendant is without the financial means immediately to pay the fine and costs. In those cases in which the offense carries a possible sentence of imprisonment, the issuing authority has the discretion whether or not to accept a guilty plea submitted by mail.
Nothing in this rule is intended to require that an issuing authority should proceed as provided in [paragraph (C)] subdivision (c) when the defendant returns the written guilty plea and the fine and costs in person to the issuing authority's office pursuant to [paragraphs (A)(1) and (B)] subdivisions (a)(1) and (b). The issuing authority's staff should record receipt of the plea and monies in the same manner as those received by mail.
[Paragraph (C)(4) was added in 2007 to permit] Subdivision (c)(4) permits an issuing authority to delay imposition of sentence in order to investigate a defendant's eligibility for intermediate punishment. For example, under 42 Pa.C.S. § 9763 and § 9804, defendants may be sentenced to intermediate punishment for certain offenses, including summary violations of75 Pa.C.S. § 1543(b) (driving while license is under a DUI-related suspension) but only if they meet certain eligibility requirements, such as undergoing a drug and alcohol assessment. Often this information will not be available to the issuing authority at the time of sentencing, especially when the defendant appears personally to enter a guilty plea.
When the defendant was under 18 years of age at the time of the offense and is charged with a summary offense that would otherwise carry a mandatory sentence of imprisonment as prescribed by statute, the issuing authority is required to conduct the summary trial but may not sentence the defendant to a term of imprisonment. See 42 Pa.C.S. §§ 6302 and 6303 and 75 Pa.C.S. § 6303(b).
[See] See Rule [454(F)] 454.1 for the information that must be included in the sentencing order when restitution is included in the sentence.
For the procedure upon default in payment of the fine or costs, see Rule 456.
For appeal procedures in summary cases, see Rules 460, 461, and 462.
For procedures regarding arrest warrants, see Rules 430 and 431.
Concerning the appointment or waiver of counsel, see Rules 121 and 122.
[Official Note: Previous rule, originally numbered Rule 140, adopted January 31, 1970, effective May 1, 1970; renumbered Rule 69 September 18, 1973, effective January 1, 1974; Comment revised January 28, 1983, effective July 1, 1983; rescinded July 12, 1985, effective January 1, 1986, and not replaced in these rules. Present Rule 69 adopted July 12, 1985, effective January 1, 1986; amended September 23, 1985, effective January 1, 1986. The January 1, 1986 effective dates are all extended to July 1, 1986; amended May 28, 1987, effective July 1, 1987; amended January 31, 1991, effective July 1, 1991; renumbered Rule 424 and amended March 1, 2000, effective April 1, 2001; Comment revised August 7, 2003, effective July 1, 2004; amended January 26, 2007, effective February 1, 2008; Comment revised July 17, 2013, effective August 17, 2013; Comment revised March 9, 2016, effective July 1, 2016.
Committee Explanatory Reports:
Report explaining the January 31, 1991 amendments published at 20 Pa.B. 4788 (September 15, 1990); Supplemental Report published at 21 Pa.B. 621 (February 16, 1991).
Final Report explaining the March 1, 2000 reorganization and renumbering of the rules published with the Court's Order at 30 Pa.B. 1478 (March 18, 2000).
Final Report explaining the August 7, 2003 new Comment language concerning defendants under the age of 18 published with the Court's Order at 33 Pa.B. 4289 (August 30, 2003).
Final Report explaining the January 26, 2007 amendments to paragraphs (A)(2), (B)(3), and (C)(4) published with the Court's Order at 37 Pa.B. 752 (February 17, 2007).
Final Report explaining the July 17, 2013 Comment revision concerning mandatory incarceration offenses and juveniles published with the Court's Order at 43 Pa.B. 4323 (August 3, 2013).
Final Report explaining the March 9, 2016 Comment revision concerning the Rule 454 restitution procedures published with the Court's Order at 46 Pa.B. 1532 (March 26, 2016).]
PART E. General Procedures in Summary Cases Rule 454. Trial in Summary Cases.
[(A)](a) Immediately prior to trial in a summary case:
(1) the defendant shall be advised of the charges in the citation or complaint;
(2) if, in the event of a conviction, there is a reasonable likelihood of a sentence of imprisonment or probation, the defendant shall be advised of the right to counsel and
[(a)](i) upon request, the defendant shall be given a reasonable opportunity to secure counsel, or
[(b)](ii) if the defendant is without financial resources or is otherwise unable to employ counsel, counsel shall be assigned as provided in Rule 122; and
(3) the defendant shall enter a plea.
[(B)](b) If the defendant pleads guilty, the issuing authority shall impose sentence. If the defendant pleads not guilty, the issuing authority shall try the case in the same manner as trials in criminal cases are conducted in the courts of common pleas when jury trial has been waived; however, in all summary cases arising under the Vehicle Code or local traffic ordinances, the law enforcement officer observing the defendant's alleged offense may, but shall not be required to, appear and testify against the defendant. In no event shall the failure of the law enforcement officer to appear, by itself, be a basis for dismissal of the charges against the defendant.
[(C)](c) The attorney for the Commonwealth may appear and assume charge of the prosecution. [When] If the violation of an ordinance of a municipality is charged, an attorney representing that municipality, with the consent of the attorney for the Commonwealth, may appear and assume charge of the prosecution. [When] If no attorney appears on behalf of the Commonwealth, the affiant may be permitted to ask questions of any witness who testifies.
[(D)](d) The verdict [and sentence, if any,] shall be announced in open court immediately upon the conclusion of the trial[, except as provided in paragraph (E)].
(e) Any sentence shall be imposed pursuant to Rule 454.1. The issuing authority may delay imposing sentence pending a determination of the defendant's ability to pay pursuant to Rules 454.1 and 456.1.
[(E)](f) If the defendant may be sentenced to intermediate punishment, the issuing authority may delay imposing sentence pending confirmation of the defendant's eligibility for intermediate punishment.
[(F) At the time of sentencing, the issuing authority shall:
(1) if the defendant's sentence includes restitution, a fine, or costs, state:
(a) the amount of the fine and the obligation to pay costs;
(b) the amount of restitution ordered, including
(i) the identity of the payee(s),
(ii) to whom the restitution payment shall be made, and
(iii) whether any restitution has been paid and in what amount; and
(c) the date on which payment is due.
If the defendant is without the financial means to pay the amount in a single remittance, the issuing authority may provide for installment payments and shall state the date on which each installment is due.
(2) advise the defendant of the right to appeal within 30 days for a trial de novo in the court of common pleas, and that if an appeal is filed:
(a) the execution of sentence will be stayed and the issuing authority may set bail or collateral; and
(b) the defendant must appear for the de novo trial or the appeal may be dismissed;
(3) if a sentence of imprisonment has been imposed, direct the defendant to appear for the execution of sentence on a date certain unless the defendant files a notice of appeal within the 30-day period, and advise that, if the defendant fails to appear on that date, a warrant for the defendant's arrest will be issued; and
(4) issue a written order imposing sentence, signed by the issuing authority. The order shall include the information specified in paragraphs (F)(1) through (F)(3), and a copy of the order shall be given to the defendant.]
Comment: No defendant may be sentenced to imprisonment or probation if the right to counsel was not afforded at trial. See Alabama v. Shelton, 535 U.S. 654 (2002)[,]; Scott v. Illinois, 440 U.S. 367 (1979)[,]; and Argersinger v. Hamlin, 407 U.S. 25 (1972). [See] See also [Rules] Pa.R.Crim.P. 121 and 122.
The affiant may be permitted to withdraw the charges pending before the issuing authority. [See] See [Rule] Pa.R.Crim.P. 457 (Withdrawal of Charges in Summary Cases).
[Paragraph (F)(2)(b) is included in the rule in light of North v. Russell, 427 U.S. 328 (1976). For the procedures for taking, perfecting, and handling an appeal, see Rules 460, 461, and 462.]
As the judicial officer presiding at the summary trial, the issuing authority controls the conduct of the trial generally. When an attorney appears on behalf of the Commonwealth or on behalf of a municipality pursuant to [paragraph (C)] subdivision (c), the prosecution of the case is under the control of that attorney. When no attorney appears at the summary trial on behalf of the Commonwealth, or a municipality, the issuing authority may ask questions of any witness who testifies, and the affiant may request the issuing authority to ask specific questions. In the appropriate circumstances, the issuing authority may also permit the affiant to question [Commonwealth] the Commonwealth's witnesses, cross-examine defense witnesses, and make recommendations about the case to the issuing authority.
Although the scheduling of summary trials is left by the rules to the discretion of the issuing authority, it is intended that trial will be scheduled promptly upon receipt of a defendant's plea or promptly after a defendant's arrest. [When] If a defendant is incarcerated pending a summary trial, it is incumbent upon the issuing authority to schedule trial for the earliest possible time.
[When] If the defendant was under 18 years of age at the time of the offense and is charged with a summary offense that would otherwise carry a mandatory sentence of imprisonment as prescribed by statute, the issuing authority [is required to] shall conduct the summary trial but [may] shall not sentence the defendant to a term of imprisonment. See 42 Pa.C.S. §§ 6302 and 6303 and 75 Pa.C.S. § 6303(b).
[Under paragraph (F)(2)(a), the issuing authority should explain to the defendant that if an appeal is filed, any sentence, including imprisonment, fines, or restitution, will be stayed.
When setting the specific date for the defendant to appear for execution of a sentence of imprisonment pursuant to paragraph (F)(3), the issuing authority should set the earliest possible date for sentencing after the appeal period expires.
When a defendant has waived the stay of the sentence of imprisonment pursuant to Rule 461, the issuing authority may fix the commencement date of the sentence to be the date of conviction, rather than after the 30-day stay period has expired. The defendant, of course, still would be able to pursue an appeal under Rules 460—462.
For the statutory authority to sentence a defendant to pay a fine, see 42 Pa.C.S. § 9726.
For the statutory authority to sentence a defendant to pay restitution, see 42 Pa.C.S. § 9721(c) and 18 Pa.C.S. § 1106(c). See also 18 Pa.C.S. § 1106(c)(2)(iii), which prohibits the court from ordering the incarceration of a defendant for failure to pay restitution if the failure results from the defendant's inability to pay.
Before imposing both a fine and restitution, the issuing authority must determine that the fine will not prevent the defendant from making restitution to the victim. See 42 Pa.C.S. §§ 9726(c)(2) and 9730(b)(3).
Certain costs are mandatory and must be imposed. See, e.g., Section 1101 of the Crime Victims Act, 18 P.S. § 11.1101.
Paragraph (E) permits an issuing authority to delay imposing sentence in summary cases in order to investigate a defendant's eligibility for intermediate punishment. For example, under 42 Pa.C.S. § 9763 and § 9804, defendants may be sentenced to intermediate punishment for certain offenses, including summary violations of 75 Pa.C.S. § 1543(b) (driving while license is under a DUI-related suspension) but only if they meet certain eligibility requirements, such as undergoing a drug and alcohol assessment. Often this information will not be available to the issuing authority at the time of sentencing.
See Rule 456 for the procedures when a defendant defaults in the payment of restitution, fines, or costs.
For the procedures concerning sentences that include restitution in court cases, see Rule 705.1.
A defendant should be encouraged to seek an adjustment of a payment schedule for restitution, fines, or costs before a default occurs. See Rule 456(A).
Official Note: Rule 83 adopted July 12, 1985, effective January 1, 1986; amended September 23, 1985, effective January 1, 1986; January 1, 1986 effective dates extended to July 1, 1986; amended February 2, 1989, effective March 1, 1989; amended October 28, 1994, effective as to cases instituted on or after January 1, 1995; Comment revised April 18, 1997, effective July 1, 1997; amended October 1, 1997, effective October 1, 1998; Comment revised February 13, 1998, effective July 1, 1998; renumbered Rule 454 and Comment revised March 1, 2000, effective April 1, 2001; amended February 28, 2003, effective July 1, 2003; Comment revised August 7, 2003, effective July 1, 2004; amended March 26, 2004, effective July 1, 2004; amended January 26, 2007, effective February 1, 2008; Comment revised July 17, 2013, effective August 17, 2013; amended March 9, 2016, effective July 1, 2016.
Committee Explanatory Reports:
Final Report explaining the October 28, 1994 amendments published with the Court's Order at 24 Pa.B. 5841 (November 26, 1994).
Final Report explaining the April 18, 1997 Comment revision cross-referencing new Rule 87 published with the Court's Order at 27 Pa.B. 2119 (May 3, 1997).
Final Report explaining the October 1, 1997 amendments to paragraph (E) and the Comment concerning the procedures at the time of sentencing published with the Court's Order at 27 Pa.B. 5414 (October 18, 1997).
Final Report explaining the February 13, 1998 Comment revision concerning questioning of witnesses published with the Court's Order at 28 Pa.B. 1127 (February 28, 1998).
Final Report explaining the March 1, 2000 reorganization and renumbering of the rules published with the Court's Order at 30 Pa.B. 1478 (March 18, 2000).
Final Report explaining the February 28, 2003 amendments published with the Court's Order at 33 Pa.B. 1326 (March 15, 2003).
Final Report explaining the August 7, 2003 changes to the Comment concerning defendants under the age of 18 published with the Court's Order at 33 Pa.B. 4293 (August 30, 2003).
Final Report explaining the March 26, 2004 changes concerning Alabama v. Shelton published with the Court's Order at 34 Pa.B. 1929 (April 10, 2004).
Final Report explaining the January 26, 2007 amendments adding paragraph (E) concerning intermediate punishment published with the Court's Order at 37 Pa.B. 752 (February 17, 2007).
Final Report explaining the July 17, 2013 Comment revision concerning mandatory incarceration offenses and juveniles published with the Court's Order at 43 Pa.B. 4323 (August 3, 2013).
Final Report explaining the March 9, 2016 amendments to paragraph (F) concerning required elements of the sentence published with the Court's Order at 46 Pa.B. 3235 (March 26, 2016).]
The following text is entirely new.
(Editor's Note: The following rule is new and is printed in regular type to enhance readability.)
Rule 454.1. Sentencing in Summary Cases.
(a) Order. The issuing authority shall issue and sign a written order imposing sentence including the information specified in subdivision (b) and any financial obligations and payment schedule. A copy of the order shall be given to the defendant.
(b) Advisement of Rights. The issuing authority shall advise the defendant of the right to appeal within 30 days for a trial de novo in the court of common pleas, and, if an appeal is filed:
(1) the execution of sentence will be stayed and the issuing authority may set bail or collateral; and
(2) the defendant must appear for the de novo trial or the appeal may be dismissed.
(c) Imprisonment. If a sentence of imprisonment is imposed, the issuing authority shall direct the defendant to appear for the execution of sentence on a date certain and, if the defendant fails to appear on that date, a warrant for the defendant's arrest shall be issued unless the defendant appeals pursuant to Rule 460.
(d) Intermediate Punishment. If the defendant may be sentenced to intermediate punishment, the issuing authority may delay imposing sentence pending confirmation of the defendant's eligibility for intermediate punishment.
(e) Discretionary Fines and Costs. In deciding the amount of any discretionary fines or discretionary costs to be imposed and whether the defendant is unable to pay in a single remittance, the issuing authority shall first determine the defendant's ability to pay pursuant to Rule 456.1 unless the defendant waives that determination.
(f) Mandatory Fines and Costs. In deciding whether the defendant is unable to pay mandatory fines and mandatory costs in a single remittance, the issuing authority shall first determine the defendant's ability to pay pursuant to Rule 456.1 unless the defendant waives that determination.
(g) Restitution. In deciding whether the defendant is unable to pay restitution in a single remittance, the issuing authority shall first determine the defendant's ability to pay pursuant to Rule 456.1 unless the defendant waives that determination.
(h) Financial Obligations. If the issuing authority determines that a defendant does not have an inability to pay all fines, costs, and restitution in a single remittance or the defendant waives that determination, the issuing authority shall state:
(1) the amount of the fine and costs;
(2) the amount of restitution, including:
(i) the identity of the payee,
(ii) to whom the restitution payment shall be made, and
(iii) whether any restitution has been paid and in what amount; and
(3) the date on which payment is due.
(i) Inability to Pay. If the issuing authority determines that a defendant has an inability to pay all fines, costs, and restitution in a single remittance, the court may establish a payment schedule for any fines, costs, and restitution based upon the defendant's ability to pay that:
(1) states the date on which each installment is due; and
(2) advises the defendant of the procedures in Rule 456 in the event of any default in payment.
Comment: No defendant may be sentenced to imprisonment or probation if the right to counsel was not afforded at trial. See Alabama v. Shelton, 535 U.S. 654 (2002); Scott v. Illinois, 440 U.S. 367 (1979); Argersinger v. Hamlin, 407 U.S. 25 (1972). See also Pa.R.Crim.P. 121 and 122.
If the defendant was under 18 years of age at the time of the offense and is charged with a summary offense that would otherwise carry a mandatory sentence of imprisonment as prescribed by statute, the issuing authority shall conduct the summary trial but shall not sentence the defendant to a term of imprisonment. See 42 Pa.C.S. §§ 6302 and 6303 and 75 Pa.C.S. § 6303(b).
Pursuant to subdivision (b), the issuing authority shall explain to the defendant that if an appeal is filed, any sentence, including imprisonment, fines, or restitution, will be stayed. Subdivision (b) is included in the rule in light of North v. Russell, 427 U.S. 328 (1976). For the procedures for taking, perfecting, and handling an appeal, see Rules 460, 461, and 462.
When setting the specific date for the defendant to appear for execution of a sentence of imprisonment pursuant to subdivision (c), the issuing authority should set the earliest possible date for sentencing after the appeal period expires. If a defendant has waived the stay of the sentence of imprisonment pursuant to Rule 461, the issuing authority may fix the commencement date of the sentence to be the date of conviction, rather than after the 30-day stay period has expired. The defendant remains able to pursue an appeal under Rules 460—462.
For the statutory authority to sentence a defendant to pay a fine, see 42 Pa.C.S. § 9726. For the statutory authority to sentence a defendant to pay restitution, see 42 Pa.C.S. § 9721(c) and 18 Pa.C.S. § 1106(c). See also 18 Pa.C.S. § 1106(c)(2)(iii) (prohibiting the court from ordering the incarceration of a defendant for failure to pay restitution if the failure results from the defendant's inability to pay).
Before imposing both a fine and restitution, the issuing authority shall determine whether the fine will prevent the defendant from making restitution to the victim. See 42 Pa.C.S. §§ 9726(c)(2) and 9730(b)(3).
Certain costs are mandatory and shall be imposed. See, e.g., 18 P.S. § 11.1101. For the manner of distribution of any funds applied to the outstanding restitution, fees, fines, and costs owed by the defendant, see 204 Pa. Code § 29.353 (General Principles).
Subdivision (d) permits an issuing authority to delay imposing sentence in summary cases in order to investigate a defendant's eligibility for intermediate punishment. For example, under 42 Pa.C.S. § 9763 and § 9804, defendants may be sentenced to intermediate punishment for certain offenses, including summary violations of 75 Pa.C.S. § 1543(b) (driving while license is under a DUI-related suspension) but only if they meet certain eligibility requirements, such as undergoing a drug and alcohol assessment. Often this information will not be available to the issuing authority at the time of sentencing.
Subdivision (i) is intended to implement 42 Pa.C.S. § 9730(b)(3)(i). See Rule 456 for the procedures when a defendant defaults in the payment of restitution, fines, or costs.
[Rule 456. Default Procedures: Restitution, Fines, and Costs.
(A) When a defendant advises the issuing authority that a default on a single remittance or installment payment of restitution, fines, or costs is imminent, the issuing authority may schedule a hearing on the defendant's ability to pay. If a new payment schedule is ordered, the order shall state the date on which each payment is due, and the defendant shall be given a copy of the order.
(B) If a defendant defaults on the payment of fines and costs, or restitution, as ordered, the issuing authority shall notify the defendant in person or by first class mail that, unless within 10 days of the date on the default notice, the defendant pays the amount due as ordered, or appears before the issuing authority to explain why the defendant should not be imprisoned for nonpayment as provided by law, a warrant for the defendant's arrest may be issued.
(C) If the defendant appears pursuant to the 10-day notice in paragraph (B) or following an arrest for failing to respond to the 10-day notice in paragraph (B), the issuing authority shall conduct a hearing immediately to determine whether the defendant is financially able to pay as ordered.
(1) If the hearing cannot be held immediately, the issuing authority shall release the defendant on recognizance unless the issuing authority has reasonable grounds to believe that the defendant will not appear, in which case, the issuing authority may set collateral as provided in Rule 523.
(2) If collateral is set, the issuing authority shall state in writing the reason(s) why any collateral other than release on recognizance has been set and the facts that support a determination that the defendant has the ability to pay monetary collateral.
(3) If collateral is set and the defendant does not post collateral, the defendant shall not be detained without a hearing longer than 72 hours or the close of the next business day if the 72 hours expires on a non-business day.
(D) When a defendant appears pursuant to the notice in paragraph (B) or pursuant to an arrest warrant issued for failure to respond to the notice as provided in paragraph (C):
(1) upon a determination that the defendant is financially able to pay as ordered, the issuing authority may impose any sanction provided by law.
(2) Upon a determination that the defendant is financially unable to pay as ordered, the issuing authority may order a schedule or reschedule for installment payments, or alter or amend the order as otherwise provided by law.
(3) At the conclusion of the hearing, the issuing authority shall:
(a) if the issuing authority has ordered a schedule of installment payments or a new schedule of installment payments, state the date on which each installment payment is due;
(b) advise the defendant of the right to appeal within 30 days for a hearing de novo in the court of common pleas, and that if an appeal is filed:
(i) the execution of the order will be stayed and the issuing authority may set bail or collateral; and
(ii) the defendant must appear for the hearing de novo in the court of common pleas or the appeal may be dismissed;
(c) if a sentence of imprisonment has been imposed, direct the defendant to appear for the execution of sentence on a date certain unless the defendant files a notice of appeal within the 30-day period; and
(d) issue a written order imposing sentence, signed by the issuing authority. The order shall include the information specified in paragraphs (D)(3)(a) through (D)(3)(c), and a copy of the order shall be given to the defendant.
(E) A defendant may appeal an issuing authority's determination pursuant to this rule by filing a notice of appeal within 30 days of the issuing authority's order. The appeal shall proceed as provided in Rules 460, 461, and 462.
Comment: The purpose of this rule is to provide the procedures governing defaults in the payment of restitution, fines, and costs.
Although most of this rule concerns the procedures followed by the issuing authority after a default occurs, paragraph (A) makes it clear that a defendant should be encouraged to seek a modification of the payment order when the defendant knows default is likely, but before it happens. For fines and costs, see 42 Pa.C.S. § 9730(b)(3).
An issuing authority may at any time alter or amend an order of restitution. See 18 Pa.C.S. § 1106(c)(2) and (3).
When a defendant defaults on a payment of restitution, fines, or costs, paragraph (B) requires the issuing authority to notify the defendant of the default, and to provide the defendant with an opportunity to pay the amount due or appear within 10 days to explain why the defendant should not be imprisoned for nonpayment. Notice by first class mail is considered complete upon mailing to the defendant's last known address. See Rule 430(B)(4).
Except in cases under the Public School Code of 1949, 24 P.S. § 1-102, et seq., in which the defendant is at least 15 years of age but not yet 17, if the defendant is under 18 years of age, the notice in paragraph (B) must inform the defendant and defendant's parents, guardian, or other custodian that, if payment is not received or the defendant does not appear within the 10-day time period, the issuing authority will certify notice of the failure to pay to the court of common pleas as required by the Juvenile Act, 42 Pa.C.S. § 6302, definition of ''delinquent act,'' paragraph (2)(iv), and the case will proceed pursuant to the Rules of Juvenile Court Procedure and the Juvenile Act instead of these rules.
If the defendant is charged with a violation of the compulsory attendance requirements of the Public School Code of 1949, 24 P.S. § 1-102, et seq.; has attained the age of 15 but is not yet 17; and has failed to pay the fine, the issuing authority must issue the notice required by paragraph (B) to the defendant and the defendant's parents, guardian, or other custodian informing the defendant and defendant's parents, guardian, or other custodian that, if payment is not received or the defendant does not appear within the 10-day time period, the issuing authority may refer the defendant for commencement of dependency proceedings under 42 Pa.C.S. § 6303(a)(1). See 24 P.S. § 13-1333.3(f)(2) that provides for the adoption of a local policy for the referral of a case where a child has failed to satisfy a fine or costs to a juvenile probation officer for the commencement of dependency proceedings.
If the defendant is 18 years or older when the default in payment occurs, the issuing authority must proceed under these rules.
Pursuant to paragraph (C), the issuing authority must conduct a default hearing when a defendant responds to the 10-day notice as provided in paragraph (B), or when the defendant is arrested for failing to respond to the 10-day notice. If the default hearing cannot be held immediately, the issuing authority may set collateral as provided in Rule 523. However, the issuing authority should only set monetary collateral when he or she has determined that less restrictive conditions of release will not be effective in ensuring the defendant's appearance.
Under paragraph (D)(1), when the issuing authority determines that a defendant is able to pay as ordered, the issuing authority may, as provided by law, impose imprisonment or other sanctions. In addition, delinquent restitution, fines, or court costs may be turned over to a private collection agency. See 42 Pa.C.S. §§ 9730(b)(2) and 9730.1(a).
When a defendant is in default of an installment payment, the issuing authority on his or her own motion or at the request of the defendant or the attorney for the Commonwealth must schedule a rehearing to determine the cause of the default. Before an issuing authority may impose a sentence of imprisonment as provided by law for nonpayment of restitution, fines, or costs, a hearing or rehearing must be held whenever a defendant alleges that his or her ability to pay has been diminished. See 42 Pa.C.S. § 9730(b). No defendant maybe sentenced to imprisonment or probation if the right to counsel was not afforded at trial. See Alabama v. Shelton, 535 U.S. 654 (2002) and Scott v. Illinois, 440 U.S. 367 (1979). See also Commonwealth v. Farmer, 466 A.2d 677 (Pa. Super. 1983) (Whenever there is a likelihood in a proceeding that imprisonment will be imposed, counsel must be assigned) and (Commonwealth v. Spontarelli, 791 A.2d 1254 (Pa. Cmmw. 2002) (defendant is entitled to appointed counsel when tried for violation of municipal ordinance that permits imprisonment upon default of payment of the fine). See also Rules 121 and 122 (dealing with appearance or waiver of counsel).
When a rehearing is held on a payment schedule for fines or costs, the issuing authority may extend or accelerate the payment schedule, leave it unaltered, or sentence the defendant to a period of community service, as the issuing authority finds to be just and practicable under the circumstances. See 42 Pa.C.S. § 9730(b)(3).
This rule contemplates that when there has been an appeal pursuant to paragraph (E), the case would return to the issuing authority who presided at the default hearing for completion of the collection process.
Nothing in this rule is intended to preclude an issuing authority from imposing punishment for indirect criminal contempt when a defendant fails to pay fines and costs in accordance with an installment payment order, 42 Pa.C.S. §§ 4137(a)(4), 4138(a)(3), and 4139(a)(3), or fails to pay restitution, 42 Pa.C.S. § 4137(a)(3). Separate Rules of Criminal Procedure govern contempt adjudications. See Chapter 1 Part D.
Official Note: Adopted July 12, 1985, effective January 1, 1986; amended September 23, 1985, effective January 1, 1986; January 1, 1986 effective dates extended to July 1, 1986; Comment revised February 1, 1989, effective July 1, 1989; rescinded October 1, 1997, effective October 1, 1998. New Rule 85 adopted October 1, 1997, effective October 1, 1998; amended July 2, 1999, effective August 1, 1999; renumbered Rule 456 and amended March 1, 2000, effective April 1, 2001; Comment revised August 7, 2003, effective July 1, 2004; amended March 3, 2004, effective July 1, 2004; Comment revised April 1, 2005, effective October 1, 2005; Comment revised September 21, 2012, effective November 1, 2012; Comment revised January 17, 2013, effective May 1, 2013; amended April 10, 2015, effective July 10, 2015; Comment revised December 21, 2018, effective May 1, 2019.
Committee Explanatory Reports:
Final Report explaining the new rule published with the Court's Order at 27 Pa.B. 5414 (October 18, 1997).
Final Report explaining the July 2, 1999 amendments to paragraph (C) published with the Court's Order at 29 Pa.B. 3718 (July 17, 1999).
Final Report explaining the March 1, 2000 reorganization and renumbering of the rules published with the Court's Order at 30 Pa.B. 1478 (March 18, 2000).
Final Report explaining the August 7, 2003 changes to the Comment concerning failure to pay and juveniles published with the Court's Order at 33 Pa.B. 4293 (August 30, 2003).
Final Report explaining the March 3, 2004 amendment to paragraph (B) published with the Court's Order at 34 Pa.B. 1561 (March 20, 2004).
Final Report explaining the April 1, 2005 Comment revision concerning application of the Juvenile Court Procedural Rules published with the Court's Order at 35 Pa.B. 2213 (April 16, 2005).
Final Report explaining the September 21, 2012 Comment revision correcting the typographical error in the fourth paragraph published with the Court's Order at 42 Pa.B. 6247 (October 6, 2012).
Final Report explaining the January 17, 2013 revisions of the Comment concerning the Public School Code of 1949 published with the Court's Order at 43 Pa.B. 654 (February 2, 2013).
Final Report explaining the April 10, 2015 amendments concerning the setting of collateral published with the Court's Order at 45 Pa.B. 2040 (April 25, 2015).
Final Report explaining the December 21, 2018 revision of the Comment concerning commencement of dependency proceedings published with the Court's Order at 49 Pa.B. 196 (January 12, 2019).]
The following text is entirely new.
(Editor's Note: The following rule is new and is printed in regular type to enhance readability.)
Rule 456. Default of Payment of Costs, Fines, or Restitution.
(a) Ability to Pay Hearing. The court shall schedule a hearing to determine a defendant's ability to pay outstanding costs, fines, or restitution imposed as a result of a sentence if:
(1) a defendant has defaulted by failing to timely pay the amount due;
(2) a defendant has advised the court prior to the due date that timely payment is not possible; or
(3) a defendant's delinquent account was previously turned over to a private collection agency or the county's collection enforcement unit and the defendant has requested a hearing. The defendant shall be responsible for notifying the collection entity that a hearing has been requested.
(b) Hearing Notice. Notice of the ability to pay hearing shall be provided to the defendant in person or by first class mail, and advise the defendant:
(1) If a defendant has defaulted, unless the defendant pays the amount due as ordered within ten days of the date on the hearing notice, the defendant shall appear at the hearing before the issuing authority to explain why the defendant should not be imprisoned for nonpayment;
(2) The defendant has the burden of proving an inability to pay;
(3) The failure to appear at the hearing may result in the issuance of a bench warrant for the defendant's arrest; and
(4) The failure to appear at the hearing may result in the delinquent account being turned over to a private collection agency or the county's collection enforcement unit, and, if the delinquent account was previously turned over to a private collection agency or the county's collection enforcement unit, collection efforts may resume.
(c) Hearing.
(1) When a defendant appears before the issuing authority pursuant to the hearing notice or following arrest on the bench warrant pursuant to subdivision (b)(2), the issuing authority shall conduct a hearing to determine the defendant's ability to pay.
(2) If a hearing cannot be held immediately, the issuing authority shall release the defendant on recognizance unless the issuing authority has reasonable grounds to believe that the defendant will not appear, in which case, the issuing authority may set collateral as provided in Rule 523 subject to the following:
(i) If collateral is set, the issuing authority shall state in writing the reason(s) why any collateral other than release on recognizance has been set and the facts that support a determination that the defendant has the ability to pay monetary collateral.
(ii) If collateral is set and the defendant does not post collateral, the defendant shall not be detained without a hearing longer than 72 hours or the close of the next business day if the 72 hours expires on a non-business day.
(d) Determination. The issuing authority shall determine a defendant's ability to pay pursuant to Rule 456.1.
(1) If the defendant is in default and the court determines the defendant is able to pay outstanding costs, fines, and restitution, as imposed, the court may permit the defendant to pay the outstanding amount due or the court may enter an order for wage attachment, turn the delinquent account over for collections, or, as provided by law, impose imprisonment or other sanctions.
(2) If the court determines the defendant is unable to pay outstanding costs, fines, and restitution, as imposed, the court:
(i) may order a new payment plan for installments reasonably calculated to the defendant's ability to pay;
(ii) may re-sentence the defendant to a period of community service;
(iii) may reduce or waive any fines and costs, except costs imposed under 18 P.S. § 11.1101, to the extent the defendant would be unable to pay in a single remittance or pursuant to a new payment schedule as provided for in subdivision (d)(2)(i); and
(iv) shall waive any existing collection fee not previously collected from the defendant.
(e) A defendant may appeal an issuing authority's determination pursuant to this rule by filing a notice of appeal within 30 days of the issuing authority's order. The appeal shall proceed as provided in Rules 460, 461, and 462.
Comment: The purpose of this rule is to provide the procedures governing defaults in the payment of restitution, fines, and costs. See 42 Pa.C.S. § 9730(b). For a court's ability to reduce or waive fines and costs see 42 Pa.C.S. § 9730(b)(3)(ii).
An issuing authority may at any time alter or amend an order of restitution. See 18 Pa.C.S. § 1106(c)(2) and (3).
When a defendant defaults on a payment of restitution, fines, or costs, subdivision (b)(1) requires the issuing authority to notify the defendant of the default, and to provide the defendant with an opportunity to pay the amount due or appear within ten days to explain why the defendant should not be imprisoned for nonpayment. Notice by first class mail is considered complete upon mailing to the defendant's last known address. See Pa.R.Crim.P. 430(B)(4).
Except in cases under the Public School Code of 1949, 24 P.S. §§ 1-102, et seq., in which the defendant is at least 13 years of age but not yet 17, if the defendant is under 18 years of age, the notice required by subdivision (b)(1) must inform the defendant and the defendant's parents, guardian, or other custodian that, if payment is not received or the defendant does not appear within the ten-day time period, the issuing authority will certify notice of the failure to pay to the court of common pleas as required by the Juvenile Act, 42 Pa.C.S. § 6302, definition of ''delinquent act,'' and the case will proceed pursuant to the Rules of Juvenile Court Procedure and the Juvenile Act instead of these rules.
If the defendant is charged with a violation of the compulsory attendance requirements of the Public School Act of 1949, 24 P.S. §§ 1-102, et seq.; has attained the age of 13 but is not yet 17; and has failed to pay the fine, the issuing authority must issue the notice required by subdivision (b)(1) to the defendant and the defendant's parents, guardian, or other custodian informing the defendant and the defendant's parents, guardian, or other custodian that, if payment is not received or the defendant does not appear within the ten-day time period, the issuing authority may allege the defendant dependent under 42 Pa.C.S. § 6303(a)(1). Pursuant to 24 P.S. § 13-1333(b)(2), the defendant's failure to pay is not a delinquent act and the issuing authority should not certify notice of the failure to pay to the common pleas court.
If the defendant is 18 years or older when the default in payment occurs, the issuing authority shall proceed under these rules.
Pursuant to subdivision (c), the issuing authority must conduct a hearing when a defendant responds to the ten-day notice as provided in subdivision (b)(1), or when the defendant is arrested for failing to respond to the ten-day notice. If the hearing cannot be held immediately, the issuing authority may set collateral as provided in Rule 523. However, the issuing authority should only set monetary collateral when the issuing authority has determined that less restrictive conditions of release will not be effective in ensuring the defendant's appearance.
Pursuant to subdivision (d)(1), if a defendant is in default and the issuing authority determines that the defendant is able to pay as ordered, the issuing authority may, as provided by law, impose imprisonment or other sanctions. Before an issuing authority may impose a sentence of imprisonment as provided by law for nonpayment of restitution, fines, or costs, a hearing or rehearing must be held whenever a defendant alleges that his or her ability to pay has been diminished. See 42 Pa.C.S. §§ 9730(b)(1)-(b)(2). No defendant may be sentenced to imprisonment or probation if the right to counsel was not afforded at the default hearing. See Pa.R.Crim.P. 122(A)(1) (''Counsel shall be appointed. . .in all summary cases, for all defendants who are without financial resources or who are otherwise unable to employ counsel when there is a likelihood that imprisonment will be imposed. . . .''); Alabama v. Shelton, 535 U.S. 654 (2002); Scott v. Illinois, 440 U.S. 367 (1979). See also Pa.R.Crim.P. 121 (waiver of counsel). In addition, delinquent restitution, fines, or costs may be turned over to a private collection agency. See 42 Pa.C.S. §§ 9730(b)(2) and 9730.1(a).
If a defendant is in default of an installment payment, the issuing authority on his or her own motion or at the request of the defendant or the attorney for the Commonwealth must schedule a rehearing to determine the cause of the default.
When a rehearing is held on a payment schedule for fines or costs, and restitution, the issuing authority may extend or accelerate the payment schedule, leave it unaltered, or sentence the defendant to a period of community service, as the issuing authority finds to be just and practicable under the circumstances. See 42 Pa.C.S. § 9730(b)(3).
This rule contemplates that when there has been an appeal pursuant to subdivision (e), the case would remain with the clerk of courts for collection.
Nothing in this rule is intended to preclude an issuing authority from imposing punishment for indirect criminal contempt when a defendant fails to pay fines and costs in accordance with an installment payment order, 42 Pa.C.S. §§ 4137(a)(4), 4138(a)(3), and 4139(a)(3), or fails to pay restitution, 42 Pa.C.S. § 4137(a)(3). Separate Rules of Criminal Procedure govern contempt adjudications. See Chapter 1 Part D.
The following text is entirely new.
(Editor's Note: The following rule is new and is printed in regular type to enhance readability.)
Rule 456.1. Ability to Pay Determination.
(a) Statement of Financial Ability. For the purposes of determining a defendant's ability to pay fines, costs, and restitution, the defendant shall complete and provide the issuing authority a statement of financial ability, as set forth in subdivision (f).
(b) Evidence. In addition to the statement of financial ability, the issuing authority may require the defendant to present documents or other evidence to verify the defendant's financial ability.
(c) Presumption—Single Remittance. A defendant is presumed to be unable to pay fines, costs, and restitution in a single remittance if the defendant:
(1) receives needs-based public assistance including, but not limited to, Supplemental Nutrition Assistance Program (SNAP), Medicaid, Supplemental Security Income (SSI), or Temporary Assistance to Needy Families (TANF); or
(2) meets the following income and asset requirement:
(i) gross income (i.e., before taxes and other deductions) that is 200% or less than the federal poverty guidelines for the party's household size; and
(ii) assets less than $10,000, excluding the party's home and one vehicle; or
(3) is represented by a Public Defender or other appointed counsel.
(d) No Presumption. The presumption set forth in subdivision (c) shall be inapplicable if:
(1) a defendant willfully fails to complete and provide the issuing authority with a statement of financial ability; or
(2) the issuing authority deems the information contained in the statement of financial ability to be inaccurate or misstated.
(e) Unable to Pay. A defendant shall be unable to pay fines, costs, and restitution if it would cause the defendant to suffer a substantial financial hardship, which means the defendant would be unable to fully meet their basic human needs or obligations including, but not limited to, nutrition, housing, utilities, health, transportation, care of dependents, or other areas of essential need, by based upon:
(1) the party's gross income, assets, and expenses;
(2) the number of minor children or adult children, who are incapable of self-support due to a physical or mental disability, that the party is supporting, including a child support obligation;
(3) employment history;
(4) other available financial resources, including resources from individuals who have a duty of support to the party; and
(5) other factors affecting the party's income, assets, or expenses.
(f) Statement of Financial Ability Form. The statement of financial ability required by subdivision (b) shall be substantially in the following form:
(Caption)
Statement of Financial Ability Defendant's Name: __________
First Middle LastResidence: __________
City, State, Zip: __________
[ ] Check the box if you are currently without a house or apartment.
Do you currently receive one or more of the following public benefits?
• Supplemental Nutrition Assistance Program (SNAP) (food stamps)
• Medicaid
• Supplemental Security Income (SSI) (Not Social Security Disability Insurance (SSDI))
• Temporary Assistance to Needy Families (TANF)
• Public Housing or Section 8 Housing
• Needs-based VA Pension
• Low-Income Energy Assistance
• Special Supplemental Nutrition Program for Women, Infants, and Children (WIC)
• Other need-based federal, state, or local program: What program?
[ ] Yes [ ] No
Are you supporting other people who live with you:
I support ______ adults (not counting myself) who live with me.
I support ______ children under 18 who live with me.
GROSS MONTHLY INCOME (income before paying taxes and other deductions):
$ ______ monthly gross wages. I work as a (job title/description) for
(name of employer) .$ ______ unemployment compensation. I have been unemployed since (date) . My last employer was (name of employer) . $ ______ money received from other people. $ ______ [ ] Retirement/Pension [ ] Disability [ ] Workers Comp [ ] Social Security [ ] Child/Spousal support [ ] Other sources:
(describe sources)$ ______ Total monthly gross income ASSETS (Current Value): $ ______ Cash $ ______ Bank accounts or other financial assets $ ______ Primary vehicle $ ______ Other vehicles $ ______ House $ ______ Other real estate $ ______ Other property: (describe)
__________
__________$ ______ Total value of property MONTHLY EXPENSES YOU PAY: $ ______ Rent/mortgage payment $ ______ Food and household supplies $ ______ Utilities, including cell phone $ ______ Clothing and other personal expenses $ ______ Medical and dental expenses/insurance $ ______ Child care $ ______ Transportation, including car payments and repairs $ ______ Child and spousal support or alimony $ ______ Other expenses: (describe)
__________
__________$ ______ Total monthly expenses Are there other facts that you would like the court to know about your circumstances that may help the court decide your ability to pay fines, costs, and restitution, such as you are experiencing homelessness or you have health issues?
__________
__________
__________
__________
VERIFICATION I understand that I have a continuing obligation to inform the court of an improvement in my financial circumstances that would permit me to pay fines, costs, and restitution in this case.
I verify that the statements made in this application are true and correct. I understand that false statements herein are made subject to the penalties of 18 Pa.C.S. § 4904, relating to unsworn falsification to authorities. _________________
____________________________________________
___________________________
Date
Defendant's SignatureComment: This rule is applicable to all summary cases including those in the Philadelphia Municipal Court as well as summary appeals in the court of common pleas.
The burden is on the defendant to provide the issuing authority with information about the defendant's financial ability. In determining whether the defendant has the ability to pay, the issuing authority must consider the totality of the defendant's financial resources and the nature of the burden that payment of fines, costs, and restitution will have on the defendant's finances. Each defendant's situation with regard to their ability to pay case assessments is unique and the issuing authority must tailor the determination to the individual defendant.
If a defendant is determined to be unable to pay fines, costs, and restitution, the issuing authority may sentence or resentence the defendant in accordance with Rule 454.1 or Rule 456.
The following text is entirely new.
(Editor's Note: The following rule is new and is printed in regular type to enhance readability.)
Rule 456.2. Commonwealth Request for Ability to Pay Hearing.
(a) Motion.
(1) The Commonwealth may file a motion requesting a hearing to determine a defendant's ability to pay costs, fines, or restitution imposed as a result of a sentence.
(2) Upon good cause shown of a substantial change in the defendant's ability to pay, the court shall schedule a hearing.
(b) Hearing Notice. Notice of the ability to pay hearing shall be provided to the defendant in person or by first class mail.
(c) Hearing and Determination.
(1) At a hearing on the Commonwealth's motion, the burden to prove a substantial change in the defendant's ability to pay shall be on the Commonwealth.
(2) If the court determines the Commonwealth has proven by a preponderance of the evidence a substantial change in the defendant's ability to pay, the court may order a new payment plan reasonably calculated to the defendant's ability to pay.
Comment: The purpose of this rule is to permit the Commonwealth to seek an increase in a defendant's monthly payment towards previously imposed costs, fines, and restitution if the Commonwealth has good cause to believe the defendant's financial circumstances have substantially changed.
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