1. Introduction Description of the Criminal Court Summons Requesting and Receiving Criminal Court Summonses Jurisdiction...

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1 May 1, Introduction Description of the Criminal Court Summons Requesting and Receiving Criminal Court Summonses Jurisdiction Valid Forms of Identification The Criminal Court Summons Line by Line Instructions for Completing the Criminal Court Summons Voiding a Criminal Court Summons Service and Disposition of the Criminal Court Summons Criminal Court Locations and Returnable Days Examples of Immediate Summonses.21

2 1. INTRODUCTION 1.1 The Fire Department enforces provisions of the Fire Code, Fire Department Rules, certain provisions of the New York City Building Code, and other laws and rules that the Department is authorized to enforce, through the issuance of various enforcement tools. 1.2 A Criminal Court Complaint/Information form ( Summons ) should be issued by members when they observe violations of the Fire Code which pose a significant fire or life safety hazard. A summons may also be issued when a property or business owner fails to comply with a Violation Order ( VO ), or immediately upon observance of certain violations. 1.3 The summons is a primary source of evidence in a criminal prosecution. Members may be required to attend criminal court proceedings to provide testimony regarding the summons. A member s ability to observe and report what they see and to properly fill out and serve the summons is of major importance. The ability to obtain compliance and to impose Criminal Court penalties depends on the detailed facts provided by the member. 1.4 Successful enforcement of public safety laws requires members to understand certain legal requirements, such as jurisdiction and due process. Defendants in Criminal Court have certain important rights with which members must comply to avoid dismissal of cases. Dismissal of a summons on procedural grounds is not only a waste of effort but a failure to protect the public interest. 2. DESCRIPTION OF THE 2.1 The is comprised of five (5) copies The top, white form, ORIGINAL, shall be filled out in pen by the issuing company and forwarded to Administrative Enforcement Unit, Bureau of Legal Affairs, 9 MetroTech Center, 4th Floor The pink copy, DEFENDANT S COPY is served on the defendant for a case involving a violation of the Fire Code or rules, or other regulations that the Department is authorized to enforce The gold copy, AGENCY/POLICE COPY 1, is forwarded with the ORIGINAL to the Administrative Enforcement Unit, Bureau of Legal Affairs, 9 MetroTech Center, 4th Floor The green copy, AGENCY/POLICE COPY 2, is forwarded with the ORIGINAL to the Administrative Enforcement Unit, Bureau of Legal Affairs, 9 MetroTech Center, 4th Floor The buff white copy, OFFICER S COPY shall be retained by the issuing company as a file copy for their records and filed in either the Building Folder or the Uniform Filing System (UFS). 2

3 3. REQUESTING AND RECEIVING ES 3.1 Unit officers shall telephone the Administrative Enforcement Unit, Bureau of Legal Affairs, to request new ES. When the SUMMONSES are received, the officer on duty shall: Verify that the replacement packet contains twenty (20) CRIMINAL COURT SUMMONSES Insert a new A-228, RECORD OF SUMMONSES SERVED in the summons binder. The Company Commander of the unit will endorse the existing A-228 and file it in the UFS under Index Number JURISDICTION 4.1 Criminal Court has jurisdiction over parties who are properly served with a summons. A summons may be personally served or sent to the Administrative Enforcement Unit, Bureau of Legal Affairs, for service upon a corporation When a summons is served for failure to comply with a VO, the summons should be personally served to the owner of the building or business. When, after due diligence, that person cannot be located, serve a responsible person in charge of the premises. Serve a personal summons to the owner or approved person in charge (APIC). An APIC is anyone who has control over the premises. A number of factors may be used to determine whether a person is an APIC including whether they have keys to restricted areas of the building, whether they identify themselves as a manager or in charge of the premises. Do not put the owner s name on the summons when someone else is served. A summons can also be served to the APIC in a building where a VO was issued. Avoid serving summonses to former owners, secretaries, handymen, employees or customers with no responsibility for maintaining the premises or correcting the violations. NOTE: This does not have to be the same person the VO was issued to The only exception to personal service is service upon a corporation or partnership The best way to serve a summons upon corporations and partnerships is to send them to the Administrative Enforcement Unit, Bureau of Legal Affairs, which will arrange for service by a process server. 3

4 4.1.4 To serve a corporation, give the summons to an individual who is authorized to accept service on behalf of the corporation. This may be the President, Vice President, Secretary of the corporation, Treasurer or Assistant Treasurer, Managing Agent or an individual duly authorized to accept service on behalf of the corporation. If not sure if a person holding one of these titles is at the premises, do not serve the corporation - send the summons for process service To serve a partnership, give the summons to an individual who is authorized to accept service on behalf of the partnership. This may be a Partner, Managing Agent or an individual duly authorized to accept service on behalf of the corporation. If not sure if a person holding one of these titles is at the premises, do not serve the partnership - send the summons for process service. 4.2 Attempt to obtain the telephone number of the violator for use on the A-200, COURT CASE RECORD. This information will be of assistance in the event a warrant is issued. DO NOT ENTER THE TELEPHONE NUMBER ON THE SUMMONS. 4

5 5. VALID FORMS OF IDENTIFICATION 5.1 As a general rule regarding the issuance of summonses, the following forms of government photo identification are considered valid forms of identification: Valid Photo Driver s License (from New York State, another state, or another country) Valid passport Citizen or naturalization papers New York State Non-Driver identification New York State Driver s Permit Other government photo identification 5.2 The most prevalent form of identification that will be presented by a violator, prior to the issuance of a summons, is a New York State driver s license. The important elements of the license are: Nine digit ID number Red highlighted sections, including: Date of Birth Statement Under 21 Years of Age, if applicable Date of Birth, if under 21 Conditional Use, if appropriate Restricted Use, if appropriate Expiration Date Name and Address Sex Eye Color Height 5

6 6. THE 6

7 7. LINE BY LINE INSTRUCTIONS FOR COMPLETING THE CRIMINAL COURT SUMMONS Name (Last, First, MI.) Print the complete name of the person upon whom the summons is being served. This information may be obtained from a driver license, other type government-issued identification, some other type of identification, or verbally provided. Print the defendant s last name with suffix (Sr., Jr., III, etc.) if any, then first name and middle initial. Copy this information in the Remarks section of the A-200, COURT CASE RECORD upon return to quarters. 2. Street Address Print the defendant s street address exactly as it appears on the driver license, other government-issued form of identification, other type of identification, or as verbally provided. 3. Apt. No. Print the defendant s apartment number, provided on the driver license, other identification document or verbally. 4. City, State, Zip Code Print the City, State, and Zip Code exactly as they appear on the driver license, other identification document or verbally. 7

8 ID/License Number Print the ID Number from the driver license, other identification document. 6. State Print the two (2) letter abbreviation of the State that issued the driver license or other identification document. 7. Type/Class Print the License Class of the defendant as stated on their driver license. When defendant presents another type of identification, print the type of identification provided. (For example, Social Security Card [or SS], Student ID, etc.) 8. Expires (mm/dd/yy) Print the month, day and year specified on the defendant s driver license that indicated when the license expires. 9. Sex Print M for male, F for female or C for Corporation. 10. Date of Birth (mm/dd/yy) Print month, day and year of the defendant s date of birth indicated on the driver license, if available or provided on other identification document or verbally. 11. Ht Print the height of the defendant as stated on their driver license. When the defendant presents another type of identification, print the type of identification provided. (For example, Social Security Card [or SS], Student ID, etc.) 12. Wt Print the approximate weight of the defendant. 8

9 13. Eyes Print the color of the defendant s eyes as stated on their driver license. When the defendant presents another type of identification, print the type of identification provided. (For example, Social Security Card [or SS], Student ID, etc.) Hair Print the approximate hair color of the defendant. 15. Plate/Reg Not applicable. 16. Reg State Not applicable 17. Expires (mm/dd/yy) Not applicable 18. Plate Type Not applicable 19. Veh Type Not applicable 20. Make Not applicable 21. Year Not applicable 22. Color Not applicable 9

10 Time 24 Hour (hh:mm) Print the time the offense was observed in 24 hour-minute form, using military time. 24. Date of Offense (mm/dd/yy) Print the date of the offense. 25. County Print the abbreviation of the county where the summons is issued. The five (5) counties in New York City are abbreviated as: MANHATTAN BRONX BROOKLYN QUEENS STATEN ISLAND (NY) (BX) (K) (Q) (R) 26. Place of Occurrence Clearly identify the premises. Be specific as to the address, floor, apartment number and/or portion of the premises. 27. Precinct Print the number of the Police Precinct where the offense occurred. 10

11 In Violation Of Print the appropriate Section and Subdivision number of the law, rule or regulation violated Section subdivision (a) and (b) of the Administrative Code When a summons charges a violation of a specific section of the Administrative Code or a rule enforceable by the Fire Commissioner cite Section subdivision (a) and (b) of the Administrative Code Section subdivision (a) and (b) of the Administrative Code. When a summons charges Failure to comply with a Fire Commissioner s Order" cite Section subdivision (a) and (b) of the Administrative Code All violations entered on a Violation Order shall be considered one violation of the Administrative Code. Consequently, when a summons is to be served for non-compliance with a Violation Order, only one summons is to be issued citing Failure to comply with a Fire Commissioner s Order. 29. VTL, Admin. Code, Penal Law, Park Rules Enter an X in the Administrative Code (Admin. Code) box. 30. Other Enter the name of the law violated (e.g. Rules of the City of New York or RCNY; Building Code or BC). 11

12 Title of Offense: Enter a brief description of the offense. (For example: Smoking in factory, Locked factory exit on 3rd Floor. ) When a summons is served as a result of noncompliance with a Violation Order, the entry on this line will state Failure to comply with a Fire Commissioner s Order A The Violation Order number shall be included in this entry. Complete, date and sign Criminal Court Information on reverse side of summons. 32. Factual Allegations (describe offense): This section must be completed by the member issuing the summons returnable to Criminal Court. This section must contain a detailed statement of the violation, including an eyewitness account of the facts describing the violation, and the connection between the person being issued the summons and the premises shall be entered. Include the Violation Order Number and the Standard Form of Orders Number(s) when applicable. The summons is not legally sufficient if the facts merely repeat the specific language of the law. Example: I personally witnessed that the defendant, the owner of the premises, failed to comply with the Fire Commissioner s Order to provide adequate aisle space, Violation Order A00000, SFO #. 33. SPRINT #; Not applicable 12

13 Defendant stated in my presence (in substance) If the summons is served on an individual, ascertain the relationship of that person to the premises and write such statement. Additionally, write any admission or other statement regarding the violation. 35. Complainant s Full Name Printed Print last name and then the first name of the member issuing the summons. 36. Rank/Full Signature of Complainant Members issuing a summons shall PRINT their Rank and sign their FULL NAME. To ensure the validity of a summons, signature of member is required. By signing the summons you are swearing to the accuracy of the charges it contains. False information in the summons can be construed as perjury. 37. Date Affirmed (mm/dd/yy) Enter the current date 38. AGENCY Enter FIRE. 39. Tax Registry No Enter the personal reference number or PMS number of the member issuing the summons Members personal reference numbers and PMS numbers will be kept in the Company s summons binder DO NOT enter the Tax Registry number as per NYS guidelines. 40. Command Code For FDNY use

14 The person described above is to appear at NYC Criminal Court located at: Enter the location of the Criminal Court as indicated on the Summons Binder insert card, CRIMINAL COURT LOCATIONS AND RETURNABLE DAYS ( FPS-1 ) for the borough in which the summons is served. 42. Summons Part Enter the Summons Part indicated on the FPS-1 for the borough where the summons is served. 43. County Enter the County indicated on the FPS-1 for the borough where the summons is served. 44. Date of Appearance The date of appearance (also called the return date ) should be AT LEAST EIGHT (8) WEEKS FROM THE ISSUANCE DATE in accordance with the information provided on the FPS-1. Summonses shall not have a returnable date involving the last two weeks of December and the first week of January. Summonses shall not be returnable on holidays. 14

15 8. VOIDING A 8.1 A Criminal Court Summons shall be voided when any of the following occur: An error has been made during preparation. a. Corrections, erasures or changes of any kind are not permitted on any part of the Criminal Court Summons. b. When an error is made, STOP WRITING IMMEDIATELY. Use the next Criminal Court Summons and issue it with the correct information A Criminal Court Summons is torn, mutilated or defaced in any manner A Criminal Court Summons set (5 pages) is incomplete. 8.2 Criminal Court Summonses are VOIDED in the following manner Print the word VOID across the face of all five (5) pages of the Criminal Court Summons Forward a Letterhead Report of Voided Criminal Court Summons through the chain of command to the Administrative Enforcement Unit, Bureau of Legal Affairs, with the five (5) pages of the voided Criminal Court Summons attached to the report. Include the number of the voided summons and the reason for voiding Record the serial number of the voided Criminal Court Summons, on the A-228, RECORD OF SUMMONSES SERVED. 9. SERVICE AND DISPOSITION OF THE 9.1 PERSONAL SERVICE After completion of the summons, following the line by line instructions, the issuing member must REMOVE the PINK DEFENDANT S COPY from the other copies of the summons, and draw an X through the pre-printed court addresses on the PINK DEFENDANT S COPY prior to service, see illustration in Be sure that you DO NOT write on the preprinted bar code on the left side of the summons. Note: The addresses must be crossed out to avoid confusing the public because Fire Department summonses are not returnable in all of the courts listed. The court addresses shall be written on the summons in accordance with Section 7(41) and Section

16 9.1.2 Personally serve the PINK DEFENDANT S COPY of the summons to the person named on the summons Service Problems: a. If a defendant refuses to take a summons, you may drop the summons in their direct vicinity (ex. at their feet, in front of a door if they refuse to open the door). b. If a defendant leaves before you have an opportunity to serve the summons, you may leave it with another person at the premises who is of suitable age (18 or older) and discretion. If this person refuses to take the summons, you may leave it in their direct vicinity. c. If a defendant destroys or discards the summons after you serve them, the summons was still properly served. d. If you have any other problems serving the summons, contact a supervisor or BISP Unit, if applicable, for assistance. 9.2 PROCESS SERVICE UPON CORPORATIONS 16

17 After completion of the summons, following the line by line instructions, the summons shall be kept by the issuing officer. To serve this summons, forward entire summons to the Administrative Enforcement Unit, Bureau of Legal Affairs, along with the documents required in Section 9.5, below. 9.3 Record the Criminal Court Summons number on the A-228, RECORD OF SUMMONSES SERVED. 9.4 SERVICE UPON CITY AGENCIES A summons may only be issued against a City Agency in the following instances: a. To a custodian or principal of a public school for a locked exit. b. To a New York City Housing Authority manager or superintendent for a standpipe or sprinkler shut-down without prior Fire Department notification. c. When directed by the Bureau of Fire Prevention. 17

18 9.4.2 To indicate to the Criminal Court that a City Agency is the defendant, write CITY AGENCY in RED on the left side of the WHITE ORIGINAL COPY summons, above the bar code. 9.5 DUE PROCESS A defendant appearing in Criminal Court is entitled to notice of the charges against him/her so that he/she may properly prepare a defense. When a summons is not in the proper form or does not include the required information, the case may be dismissed by the Criminal Court. To avoid such dismissals following the issuance of a summons, Form A-200 and A-201, and the Affidavit of Service must be prepared and forwarded to the Administrative Enforcement Unit, Bureau of Legal Affairs. 9.6 Upon return to quarters, the Officer on Duty shall: Record the issuance of the Criminal Court Summons in the company journal. Indicate all circumstances surrounding the incident particularly if service was less than routine. Provide a full description of what ACTUALLY HAPPENED; do not repeat the language of the law Prepare Form A-200, CRIMINAL SUMMONS COURT CASE RECORD in TRIPLICATE. In the REMARKS section on page 2, include any incriminating statements made by the person named on the summons. 18

19 9.6.3 Prepare Form A-201, CRIMINAL COURT INFORMATION, in QUADRUPLICATE. This form, which is considered the Accusatory Instrument, must be filled out in addition to the A-200 and the Affidavit of Service, and must accompany all summonses forwarded to the Administrative Enforcement Unit, Bureau of Legal Affairs. 9.7 Staple the upper right-hand corner of the following and forward to the Administrative Enforcement Unit, Bureau of Legal Affairs, 9 Metro Tech Center, 4th Floor: ORIGINAL, white page AGENCY/POLICE COPY 1, yellow page AGENCY/POLICE COPY 2, green page The original and duplicate copy of A-200 The original and two (2) copies of the A-201 The original and two (2) copies of the Affidavit of Service Do not forward these papers in an envelope When the summons was issued for failure to comply with a Violation Order, three copies of the Violation Order will be forwarded with the documents noted above Copies of all related reports, such as a BF-24, Structural Fire Report, CD-19, Apparatus Accident Report, Unusual Occurrence Report, etc. shall be attached to the summons and forwarded to the Administrative Enforcement Unit, Bureau of Legal Affairs. These documents will provide more information that the court may use in making its determination. 9.8 File the third copy of the A-200 and the fourth A-201 in the UFS pending a disposition notification from the Administrative Enforcement Unit, Bureau of Legal Affairs Fire Prevention cases are filed under UFS Index Number Cases as described in section 9.3 are filed under UFS Index Number

20 9.9 When a summons is issued to a New York City Agency, identify the additional copy of the A-200 by writing CITY AGENCY in RED on the top, right corner of the A-200 form After the court has made a final determination regarding a summons, a copy of the A-200 will be returned to the issuing unit. Where applicable, a copy of the Violation Order, marked with the disposition of the case, will be returned to the Unit for reinspection to determine if any further action is necessary If a summons is adjourned or adjourned in contemplation of dismissal, or if the defendant is found guilty, the issuing unit may issue additional summonses as appropriate The Officer of the issuing unit may call the Bureau of Legal Affairs, Legal Enforcement Unit for advice on follow-up enforcement action Summonses and all related information shall be filed as follows: FIRE PREVENTION CASES a. BUILDING INVOLVED When a building was involved and no further action is necessary, file all documents in the Building Record Folder. b. BUILDING NOT INVOLVED When a building was not involved (open fires, illegal transportation of explosives or combustibles, sale of fireworks and similar violations of the Fire Code) and no further action is necessary, file all documents in the UFS under Index Number OTHER THAN FIRE PREVENTION CASES Summonses that are issued for violations that are not related to a violation of the Fire Code or rules, or other regulations that the Department is authorized to enforce, such as obstruction of hydrants, tampering with hydrants, obstructing the entrance to a fire station, or interfering with fire operations, shall be filed in the UFS under Index Number

21 10. CRIMINAL COURT LOCATIONS AND RETURNABLE DAYS FDNY 01/12 CRIMINAL COURT LOCATIONS AND RETURNABLE DAYS COUNTY LOCATION RETURN DAYS* SUMMON S PART KINGS (KN) KINGS CRIMINAL COURT 108 Leonard Street New York, NY THURSDAY SAP-2A BRONX (BX) BRONX CRIMINAL COURT 108 Leonard Street New York, NY TUESDAY SAP-2A NEW YORK (NY) MANHATTAN CRIMINAL COURT 108 Leonard Street New York, NY TUESDAY SAP-2A QUEENS (Q) QUEENS CRIMINAL COURT 108 Leonard Street New York, NY THURSDAY SAP-2A RICHMOND RICHMOND CRIMINAL COURT 67 Targee Street Staten Island, NY FIRST WEDNESDAY OF EACH MONTH PART-6 *THE RETURN DATE (DATE OF APPEARANCE) MUST BE AT LEAST EIGHT WEEKS FROM THE ISSUANCE DATE. SUMMONS SHALL NOT BE MADE RETURNABLE ON HOLIDAYS. INSERT IN SUMMONS BINDER FPS-1 21

22 11. EXAMPLES OF IMMEDIATE SUMMONSES 11.1 Below are a number of examples of typical situations where an immediate summons may be issued Obstruction of or impeding access to any required means of egress (ex. public schools). See FC Locked doors (exits) in cabarets, dance halls, catering halls and other places of assembly or public gatherings. See FC Obstruction of means of egress, aisles and passageways in dance halls, cabarets and catering establishments. See FC Excess standees and obstruction of aisles and passageways in theatrical and motion picture theaters (standing room to be indicated). See FC Locked and/or obstructed exits in a motion picture theater. See FC Smoking in theaters or places where stages and scenery are used. See FC Use of ammunition in a theater without a permit. See FC Use of open flame in a theater without a permit. See FC Storage and use of special effects in TV studios without a permit. See FC Storage and handling of pyrotechnic materials without a Certificate of Fitness. See FC Open fire at construction sites (other than coke salamanders that have been approved for a modification). See FC Smoking at a construction site. See FC Open fires that are kindled, built, maintained or used in a way prohibited by the Fire Code. See FC Manufacture, storage, handling, use, transportation or sale of contraband material (ex. LPG containers, kerosene space heaters, fireworks). See FC Overcrowding in place of public assembly. See FC Overcrowding in a premises, that obstructs or impedes access to means of egress. See FC Locked and/or blocked egress (ex. schools, commercial premises). See FC Failure to notify the Department of an out of service sprinkler and/or standpipe. See FC