THE COURTS
Title 234--RULES OF CRIMINAL PROCEDURE
[234 PA. CODE CH. 4]
Electronic Preparation and Transmission of Citation Information Generally
[32 Pa.B. 3887] The Criminal Procedural Rules Committee is planning to recommend that the Supreme Court of Pennsylvania amend Rules of Criminal Procedure 401 (Proceedings In Summary Cases Charging Parking Violations), 405 (Issuance of Citation), 411 (Procedures Following Filing of Citation--Issuance of Summons), and 460 (Notice of Appeal), and approve the revision of the Comments to Rules of Criminal Procedure 400 (Means of Instituting Proceedings in Summary Cases), 403 (Contents of Citation), 406 (Procedure Following Issuance of Citation), and 410 (Filing of Citation). These rule changes would provide the procedures for electronically preparing and transmitting citation information generally.1 This proposal has not been submitted for review by the Supreme Court of Pennsylvania.
The following explanatory Supplemental Report highlights the Committee's considerations in formulating this proposal. Please note that the Committee's Reports should not be confused with the official Committee Comments to the rules. Also note that the Supreme Court does not adopt the Committee's Comments or the contents of the explanatory Reports.
The text of the proposed rule changes precedes the Report. Deletions appear in bold and brackets, and the proposed 2002 additions appear in bold and small capital letters.2
We request that interested persons submit suggestions, comments, or objections concerning this proposal to the Committee through counsel,
Anne T. Panfil
Chief Staff Counsel
Supreme Court of Pennsylvania
Criminal Procedural Rules Committee
P. O. Box 1325
Doylestown, PA 18901no later than Monday, September 9, 2002.
By the Criminal Procedural Rules Committee
JOSEPH P. CONTI,
Chair
Annex A
TITLE 234. RULES OF CRIMINAL PROCEDURE
CHAPTER 4. PROCEDURES IN SUMMARY CASES
PART A. Instituting Proceedings Rule 400. Means of Instituting Proceedings in Summary Cases.
* * * * *
Comment * * * * * ELECTRONICALLY TRANSMITTING THE CITATION INFORMATION OR PARKING TICKET INFORMATION TO THE ISSUING AUTHORITY WOULD INSTITUTE PROCEEDINGS BY FILING PURSUANT TO PARAGRAPH (2) OF THIS RULE.
For the procedures when a citation is filed pursuant to paragraph (2), see Chapter 4 Part B(2), Rules 410, 411, 412, 413, and 414.
* * * * * For general procedures applicable in all summary cases, see Chapter 4 Part E, Rules 451, 452, 453, 454, 455, 456, 457, and 458.
For the procedures for appealing to the court of common pleas for a trial de novo, see Chapter 4[,] Part F, Rules 460, 461, and 462.
* * * * * Official Note: Previous Rule 51[,] adopted January 23, 1975, effective September 1, 1975; Comment revised January 28, 1983, effective July 1, 1983; Comment revised December 15, 1983, effective January 1, 1984; rescinded July 12, 1985, effective January 1, 1986; and replaced by present Rules 103, 400, 401, 402, 405, 410, 420, 440, and 430. Present Rule 51 adopted July 12, 1985, effective January 1, 1986. The January 1, 1986 effective dates all are extended to July 1, 1986; Comment revised February 1, 1989, effective July 1, 1989; Comment revised January 31, 1991, effective July 1, 1991; Comment revised January 16, 1996, effective immediately; Comment revised June 6, 1997, effective immediately; renumbered Rule 400 and amended March 1, 2000, effective April 1, 2001; Comment revised ____ , effective ____ .
Committee Explanatory Reports:
* * * * * Report explaining the proposed amendment adding paragraph (5) published at 32 Pa.B. 3891 (August 10, 2002).
Rule 401. Means of Instituting Proceedings in Summary Cases Charging Parking Violations.
(A) Political subdivisions may use parking tickets to inform defendants of parking violations and to offer defendants an opportunity to avoid criminal proceedings by paying an amount specified on the ticket within the time specified on the ticket.
(1) When a political subdivision does use parking tickets and a ticket has been handed to a defendant or placed on a vehicle windshield, a criminal proceeding shall be instituted only if the defendant fails to respond as requested on the ticket.
(2) [In that event,] When a defendant fails to respond to a parking ticket, the criminal proceeding shall be instituted either
(a) by a law enforcement officer filing a citation with the proper issuing authority, or
(b) by having the parking violation information electronically transmitted to and verified with the proper issuing authority.
Upon receipt of the citation or the electronically transmitted information, the issuing authority shall proceed as provided in Rule 411, and [the filing of the citation,] the case shall proceed [in the same manner as other summary cases instituted by filing a citation,] in accordance with Rules 411--414.
(B) When a parking ticket has not been used, a criminal proceeding in a summary case charging a parking violation shall be instituted by a law enforcement officer issuing a citation either by handing it to a defendant or by placing it on a vehicle windshield.
(1) Upon the issuance of a citation, the case ordinarily shall [ordinarily] proceed in the same manner as other summary cases instituted by issuing a citation to the defendant, in accordance with Rules 405--409.
(2) If the defendant fails to respond to the citation, the issuing authority shall issue a summons and the case shall then proceed in accordance with Rules 411--414 as if the proceedings were instituted by filing a citation, 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 and the case shall proceed in accordance with Rule 431.
[(C) The filing of a citation charging a parking violation may be accomplished by electronic filing.]
Comment * * * * * If the defendant pays the amount specified on the parking ticket within the time specified on the ticket, the case will be concluded without the institution of a criminal proceeding. If the defendant makes no response within the suggested time, or if the defendant indicates a desire to plead not guilty, and the subdivision desires to proceed with the case, a law enforcement officer must determine the identity of the vehicle owner from the Department of Transportation and then institute a criminal proceeding by either filing a citation directly with the proper issuing authority, or having the parking violation information electronically transmitted under paragraph (A) of this rule.
Although this rule and Rule 411 do not require that a citation be prepared when the parking violation information is transmitted electronically, a municipality, of course, may continue to have its officers prepare citations as provided in paragraph (A)(2)(a), and also electronically transmit the parking violation information.
When the parking violation information is transmitted electronically pursuant to paragraph (A)(2)(b), the individual who electronically transmits the information must verify with the issuing authority that the information transmitted accurately reflects the information on the subject parking tickets.
[Paragraph (C) was added in 1996 to specifically authorize that a citation charging a parking violation may be filed electronically.]
* * * * * Official Note: Rule 95 adopted July 12, 1985, effective January 1, 1986; effective date extended to July 1, 1986; amended July 17, 1996, effective January 1, 1997; renumbered Rule 401 and amended March 1, 2000, effective April 1, 2001; amended _____ , effective _____.
Committee Explanatory Reports:
* * * * * Report explaining the proposed amendments clarifying the procedures for electronically transmitting parking violation information published at 32 Pa.B. 3891 (August 10, 2002).
PART B. Citation Procedures Rule 403. Contents of Citation.
* * * * *
Comment A LAW ENFORCEMENT OFFICER MAY PREPARE 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.
Paragraph (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 the Judicial Code, 42 Pa.C.S. § 1522, concerning parental notification in certain summary cases involving juveniles.
* * * * * Paragraph (B)(6) was amended in 2000 to make it clear 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 Rule [86 (Appeals)] 460 (Notice of Appeal).
* * * * * 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, effective September 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 _____ , effective _____ .
Committee Explanatory Reports:
* * * * * Report explaining the proposed Comment revisions cross-referencing Rule 401 concerning electronic transmission of parking citations published at 32 Pa.B. 3891 (August 10, 2002).
PART B(1). Procedures When Citation Is
Issued to DefendantRule 405. Issuance of Citation.
When a criminal proceeding in a summary case is instituted by issuing a citation to the defendant[,] ;
(1) the law enforcement officer who issues the citation shall exhibit [some] AN OFFICIAL sign of THE OFFICER'S authority; AND
(2) THE LAW ENFORCEMENT OFFICER CONTEMPORANEOUSLY MUST GIVE THE DEFENDANT A PAPER COPY OF THE CITATION CONTAINING ALL THE INFORMATION REQUIRED BY RULE 403.
Comment A LAW ENFORCEMENT OFFICER MAY PREPARE AND TRANSMIT A CITATION ELECTRONICALLY.
* * * * * Official Note: Previous rule, originally numbered Rule 135, adopted January 31, 1970, effective May 1, 1970; renumbered Rule 55 September 18, 1973, effective January 1, 1974; rescinded July 12, 1985, effective January 1, 1986, and replaced by present Rule 408. Present Rule 55 adopted July 12, 1985, effective January 1, 1986. The January 1, 1986 effective dates are all extended to July 1, 1986; Comment revised February 11, 1989, effective July 1, 1989; Comment revised January 16, 1996, effective immediately; renumbered Rule 405 and Comment revised March 1, 2000, effective April 1, 2001; amended _____ , 2002, effective _____ , 2002.
Committee Explanatory Reports:
* * * * * Report explaining the proposed amendments concerning issuance of citations published at 32 Pa.B. 3891 (August 10, 2002).
Rule 406. Procedure Following Issuance of Citation.
Within 5 days after a citation is issued to the defendant, the [original] CITATION shall be filed with the proper issuing authority.
Comment TO SATISFY THE REQUIREMENTS OF THIS RULE, THE LAW ENFORCEMENT OFFICER MAY PREPARE AND TRANSMIT THE CITATION INFORMATION ELECTRONICALLY.
These rules are not intended to require the law enforcement officer who issued the citation to personally file the [original] citation.
It is intended that the [original] citation be filed as soon as is practical so the issuing authority may process the case. However, failure to comply with the [five] 5-day limit is not intended to be grounds for dismissal, unless the defendant is prejudiced by the delay. See Rule 109.
* * * * * Official Note: Previous rule, originally numbered Rule 137, adopted January 31, 1970, effective May 1, 1970; renumbered Rule 56 and paragraph (d) amended September 18, 1973, effective January 1, 1974; rescinded July 12, 1985, effective January 1, 1986; and replaced by present Rule 409. Present Rule 56 adopted July 12, 1985, effective January 1, 1986. The January 1, 1986 effective dates all are extended to July 1, 1986; renumbered Rule 406 and amended March 1, 2000, effective April 1, 2001; amended _____ , effective _____ .
Committee Explanatory Reports:
* * * * * Report explaining the proposed Comment revision published at 32 Pa.B. 3891 (August 10, 2002).
PART B(2). Procedures When Citation Filed Rule 410. Filing of Citation.
* * * * *
Comment FILING AS USED IN THIS RULE INCLUDES ELECTRONICALLY TRANSMITTING THE CITATION OR PARKING TICKET INFORMATION.
* * * * * Official Note: Previous rule, originally adopted as Rule 116 June 30, 1964, effective January 1, 1965; suspended effective May 1, 1970; readopted January 31, 1970, effective May 1, 1970 [,] ; renumbered as Rule 60 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 60 adopted July 12, 1985, effective January 1, 1986. The January 1, 1986 effective dates are all extended to July 1, 1986; Comment revised February 1, 1989, effective July 1, 1989; Comment revised August 13, 1999, effective immediately; renumbered Rule 410 and Comment revised March 1, 2000, effective April 1, 2001; Comment revised _____ , effective _____ .
Committee Explanatory Reports:
* * * * * Report explaining the proposed Comment revision concerning filing published at 32 Pa.B. 3891 (August 10, 2002).
Rule 411. Procedures Following Filing of Citation--Issuance of Summons.
(A) Upon the filing of the citation, or receipt of electronically transmitted parking violation information, the issuing authority shall issue a summons commanding the defendant to respond within 10 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) [Except] A copy of the citation shall be served with the summons, except in cases charging parking violations when the [citation] parking violation information is electronically filed [, a copy of the citation shall be served with the summons].
(C) In cases charging parking violations [when] in which the [citation] parking violation information is electronically filed, the summons shall also include:
* * * * *
Comment * * * * * This rule [was amended in 1996 to facilitate] facilitates the electronic [filing] transmission of [citations charging] parking [violations] 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 Rule 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 _____ , effective _____ .
Committee Explanatory Reports:
* * * * * Report explaining the proposed amendments concerning electronic transmission of parking violation information published at 32 Pa.B. 3891 (August 10, 2002).
PART F. Procedures in Summary Cases
Under the Vehicle CodeRule 460. Notice of Appeal.
* * * * * (D) The issuing authority shall, within 20 days after receipt of the notice of appeal, file with the clerk of courts:
* * * * * (2) the original complaint or citation, if any;
* * * * *
Comment * * * * * Paragraph (D) was amended in 2002 to align this rule with Rule 401(A), which permits the electronic transmission of parking violation information in lieu of filing a citation. Therefore, in electronically transmitted parking violation cases only, because there is no original citation, the issuing authority would file the summons with the clerk of courts pursuant to paragraph (D)(3).
Rule 462(D) provides for the dismissal of an appeal when the defendant fails to appear for the trial de novo.
* * * * * Official Note: Former Rule 86 adopted July 12, 1985, effective January 1, 1986; revised September 23, 1985, effective January 1, 1986; the January 1, 1986 effective dates extended to July 1, 1986; amended February 2, 1989, effective March 1, 1989; amended March 22, 1993, effective January 1, 1994; amended October 28, 1994, effective as to cases instituted on or after January 1, 1995; amended February 27, 1995, effective July 1, 1995; amended October 1, 1997, effective October 1, 1998; amended May 14, 1999, effective July 1, 1999; amended March 3, 2000, effective July 1, 2000; rescinded March 1, 2000, effective April 1, 2001, and paragraphs (A), (D), (E), (F), (H), and (I) replaced by Rule 460. New Rule 460 adopted March 1, 2000, effective April 1, 2001; amended _____, effective _____ .
Committee Explanatory Reports:
* * * * * NEW RULE 460:
* * * * * Report explaining the proposed changes concerning electronically transmitted parking citations published at 32 Pa.B. 3891 (August 10, 2002).
SUPPLEMENTAL REPORT
Proposed Amendments to Pa.Rs.Crim.P. 401, 405, 411, and 460, and Revision of the Comments to Rules 400, 403, 406, and 4103
ELECTRONIC PREPARATION AND TRANSMISSION OF CITATION INFORMATION GENERALLY I. BACKGROUND
The Committee in 1999 published a proposal that would clarify the procedures for electronically filing park-ing violation information in cases in which a defendant has failed to respond to a parking ticket. See 29 Pa.B. 2770 (May 29, 1999). Following the Committee's publication of the 1999 proposal, we received communications from IT Staff from the Administrative Offices of Pennsylvania Courts, representatives of the Pennsylvania State Police and the Justice Network (JNET), and representatives of Philadelphia Traffic Court concerning the development of electronic data management systems that would permit the electronic issuance of citations and the electronic transmission of citation information generally. The Committee reviewed the correspondence and agreed that implementation of the proposed systems described in the correspondence should be pursued as long as the procedural requirements in the Criminal Rules are satisfied. The Committee strongly believes the use of technology should be encouraged when its use is feasible because this promotes the Court's goals of statewide uniformity in the practice of law, and the use of technology has been shown to result in a more efficient use of the court's limited resources. However, during the Committee's consideration of the use of electronic data managing systems in general, the Committee expressed concern that the 1999 proposal clarifying the procedures for the electronic filing of parking violation information could be misconstrued as limiting electronic filing to transmission of parking violation information if the general citation rules are not similarly amended to include specific provisions for the electronic transmission of citation information.
In view of the points raised in these communications, the Committee's review of the rules as they relate to the new technologies, the Court's goals of statewide uniformity, and the potential for unintended consequences that could result from not including specific provisions for the electronic transmission of citation information, the Committee is proposing changes to the Criminal Rules that supplement the 1999 proposal for the electronic filing of parking violation information by including the procedures for the electronic preparation of the citation the electronic transmission of citation information generally.4
II. DISCUSSION OF RULE CHANGES5
1) Rule 400 (Means of Instituting Proceedings in Summary Cases)
Rule 400 provides the means of instituting proceedings in summary cases. After reviewing the rule with a focus on electronically transmitting citations generally, the Committee agreed that the current use of the term ''filing'' in paragraph (2) could cover not only manual filing methods, but also electronic filing. To accommodate this broad construction of ''filing,'' we are proposing that Rule 400 be modified from the 1999 proposal by 1) deleting what was proposed new paragraph (5) and the correlative Comment provision,6 and 2) adding in the Comment a new third paragraph that makes it clear that filing may be accomplished by electronically transmitting the citation information or parking ticket information to the issuing authority.
2) Rule 403 (Contents of Citation)
Rule 403 provides the requirements for the contents of the citation. To tie this rule into the concept of using electronic means for the preparation and transmission of citation, the Committee is proposing that a new first paragraph be added to the Comment that would provide, ''A law enforcement officer may prepare and transmit a citation electronically.7 The law enforcement officer contemporaneously must give the defendant a paper copy of the citation containing all the information required by this rule.'' The Comment would retain the 1999 proposed cross-reference to Rule 401 concerning the procedures for instituting cases in which there is a parking violation.
3) Rule 405 (Issuance of Citation)
Rule 405 provides the procedures for instituting a summary case proceeding by issuing a citation to the defendant. From the Committee's review of Rule 405, we agreed the rule needed to be expanded to more clearly delineate that ''issuing'' the citation means giving a copy to the defendant at the time it is prepared by the law enforcement officer. In addition, the Committee thought the rule should be clarified concerning the provision for exhibiting a sign of authority. Accordingly, the Committee is proposing that the rule be reorganized to make it clear that the law enforcement officer who issues the citation must exhibit an official sign of his or her authority (see new paragraph (1)), and to add the requirement that the law enforcement officer at the time of issuance of the citation give the defendant a paper copy of the citation (see new paragraph (2)). The paper copy is in addition to, and includes, any information that is electronically prepared and transmitted.
4) Rule 406 (Procedure Following Issuance of Citation)
Rule 406 provides the procedures following the issuance of a citation. The Committee is proposing the amendment of Rule 406 by changing the term ''original'' to ''citation'' to accommodate the other proposed changes allowing the filing of the citation by electronically transmitting the citation information to the issuing authority.
5) Rule 410 (Filing of Citation)
Rule 410 provides the procedures when a summary case is instituted by the filing of a citation. The Committee is proposing the revision of the Rule 410 Comment to conform the rule to the other rule changes concerning the electronic filing of citations in general by including as a new first paragraph the language, ''Filing as used in this rule includes electronically transmitting the citation information or parking ticket information.''
______1 This Report supplements the 1999 Committee proposal concerning the electronic filing of parking ticket information published at 29 Pa.B. 2770 (May 28, 1999).
2 The proposed 1999 additions are shown in bold.
3 The 1999 proposal included changes to Rules 51, 53, 61, 86, and 95. These rules became Rules 400, 403, 411, 460, and 401 respectively as part of the renumbering and reorganization of the Rules of Criminal Procedure the Court adopted on March 1, 2000, effective April 1, 2001. Rules 405, 406, and 410 were not part of the 1999 proposal.
4 The 1999 proposal remains the same except as otherwise explained in this 2002 supplemental proposal.
5 See Report published at 29 Pa.B. 2772 (May 29, 1999) explaining the proposed rule changes involving Rules 401, 411, and 460.
6 In view of the 2002 changes, the 1999 changes that included a proposed new paragraph (5) (''electronic filing of parking ticket information'') and correlative Comment provision (''Paragraph (5) and Rule 401(A) authorize the electronic filing of the parking ticket information in those cases in which a defendant fails to respond to the political subdivision's parking ticket.'') have been deleted as unnecessary.
7 Comparable Comment language has been included in the Comments to Rules 405 and 406.
[Pa.B. Doc. No. 02-1369. Filed for public inspection August 9, 2002, 9:00 a.m.]
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