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640: Uniform Appearance Ticket

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Contents:

Sec.

§640.1 Introduction

Section 71-0203 of the Environmental Conservation Law authorizes the commissioner to prescribe the form of a uniform appearance ticket and simplified information to be used in all Environmental Conservation Law offenses (except felonies) and to establish administrative control over the disposition thereof. Under the provisions of such section, the commissioner may require trial courts having jurisdiction over Environmental Conservation Law offenses to report as to the disposition thereof.

§640.2 Definitions

As used in this Part, the following words and phrases shall have the indicated meanings.

(a) Commissioner shall mean the Commissioner of Environmental Conservation.

(b) Court shall include any trial court, justice or magistrate having jurisdiction over Environmental Conservation Law offenses.

(c) Department shall mean the Department of Environmental Conservation.

(d) Enforcement agency shall mean a local police force, including county, town, city and village police departments, sheriffs, Division of State Police, and the department.

(e) Environmental Conservation Law offense shall mean a violation of any of the provisions of the Environmental Conservation Law, any rule or regulation or order of the department.

(f) License shall mean a license or a permit.

(g) Packet shall mean a complete set of all parts of a uniform appearance ticket.

(h) Police officer shall include any peace officer or member of the State police who is authorized to issue appearance tickets for Environmental Conservation Law offenses.

(i) Uniform appearance ticket shall mean the packet consisting of a ticket, simplified information, certificate of conviction, enforcement agency copy and officer's copy as specified in section 640.5 of this Part and in the forms prescribed in section 640.7 of this Part.

§640.3 Use of Uniform Appearance Ticket

(a) On and after the effective date of this Part, every enforcement agency and every police officer issuing tickets for Environmental Conservation Law violations shall use an appearance ticket and simplified information as prescribed by this Part.

(b) On and after the effective date of this Part, every enforcement agency and every police officer issuing tickets for Environmental Conservation Law misdemeanors may use an appearance ticket and simplified information as prescribed by this Part.

(c) Anything in the foregoing subdivisions of this section to the contrary notwithstanding, every enforcement agency and every police officer issuing tickets for Environmental Conservation Law violations or misdemeanors occurring within the City of New York may use a universal complaint ticket in such form as may be approved by the commissioner.

§640.4 Designations

Employees of the department in titles listed in Part 641 of this title shall be authorized to issue uniform appearance tickets.

§640.5 Specifications of Uniform Appearance Ticket

Uniform appearance tickets shall conform to the following specifications; no variations shall be permitted unless prior written approval is obtained from the commissioner:

(a) It shall be a multi-copy packet, with interleaved carbons, conforming to the following:

(1) Each part shall be between four and four and one-quarter inches wide and between seven and one-quarter and seven and one-half inches long, plus a suitable stub for binding.

(2) Each carbon shall be of sufficient size to provide reproduction of all necessary information on all copies.

(b) It shall consist of five parts. An enforcement agency may, however, request permission from the commissioner to use a uniform appearance ticket containing more or less than five parts. The commissioner may grant such a variance in his discretion and may prescribe specific conditions under which such a packet may be used.

(c) The paper in each part shall be 12 or 13 pound sulfite bond paper. Part V may, at the option of the enforcement agency, be on card stock.

(d) The carbons shall be one-time blue or black, for pencil use, of a quality which will provide readable copies on all parts.

(e) The various parts of the packet shall be of the colors prescribed in section 640.7 of this Part.

(f) The name of the enforcement agency shall appear on the top of each part of the packet. It may be printed thereon, or in the case of a small enforcement agency, it may be supplied by the use of a rubber stamp. On part I such name shall be black or red. On all other parts, such name shall be black or a color resulting from the print or stamp on part I and the carbon interleaves.

(g) All material on each part, except where otherwise indicated, shall be printed in black.

(h) The size of type used in each part, except where a definite size is otherwise indicated, shall be approximately as shown on the forms set forth in section 640.7 of this Part.

(i) Packets may be glued or stapled in sets of 10, 25, or 50 to a book, or may be issued in single sets for use in special holders.

§640.6 Serial Number of Uniform Appearance Ticket

(a) A serial number shall be printed in the upper right hand corner of each part of the uniform appearance ticket, parallel to the long side of the ticket.

(b) Such number shall not exceed six digits and shall be printed in red or black on part I in numerals one-quarter inch in height. If additional serial numbers are needed, an initial letter prefix may be used. On the remaining parts, such number may be black or a color resulting from the print on part I and the carbon interleaves.

(c) Packets shall be numbered in consecutive serial number order by the printer thereof.

(d) Serial numbers on supplies of packets procured separately need not follow a continuous sequence.

Example: If the first purchase of packets by an enforcement agency is serially numbered from 1 to 1,000, it is not required that the next supply of packets procured by such agency bear serial numbers starting with 1,001. However, no serial number may duplicate the number of another ticket issued by the same agency during the previous year.

§640.7 Form of Uniform Appearance Ticket

Uniform appearance tickets conforming to the specifications set forth in section 640.5 of this Part shall be in the following form; no variations shall be permitted unless prior written approval is obtained from the commissioner:

(a) Part I.

(1) Part I of the packet is the ticket and is given to the alleged violator.

(2) It shall be printed on green stock.

(3) The following instruction shall be printed in red, in upper case characters, in bold face 12-point type: "A plea of guilty to this charge is equivalent to a conviction after trial. If you are convicted, not only will you be liable to a fine, but in addition, licenses issued by the Department of Environmental Conservation may be subject to revocation as prescribed by law."

(4) The reverse side of this part shall contain the form prescribed by the commissioner to be used in disposing of Environmental Conservation Law offenses by mail.

(5) It shall be printed in substantially the following form:

(i) Front.

TABULAR OR GRAPHIC MATERIAL SET FORTH AT THIS POINT IS NOT DISPLAYABLE

(ii) Reverse.

TABULAR OR GRAPHIC MATERIAL SET FORTH AT THIS POINT IS NOT DISPLAYABLE

(b) Part II.

(1) Part II of the packet is the simplified information, and after having been verified or affirmed by the officer is delivered to the court in which the alleged violator is notified to appear.

(2) It shall be printed on blue stock.

(3) It shall be printed in substantially the following form:

TABULAR OR GRAPHIC MATERIAL SET FORTH AT THIS POINT IS NOT DISPLAYABLE

(c) Part III.

(1) Part III of the packet is the certificate of conviction and is delivered by the police officer to the court in which the alleged violator is notified to appear.

(2) It shall be printed on pink stock.

(3) The reverse of part III shall contain the information set forth herein.

(4) It shall be printed in substantially the following form:

(i) Front.

TABULAR OR GRAPHIC MATERIAL SET FORTH AT THIS POINT IS NOT DISPLAYABLE

(ii) Reverse.

TABULAR OR GRAPHIC MATERIAL SET FORTH AT THIS POINT IS NOT DISPLAYABLE

(d) Part IV.

(1) Part IV of the packet is the enforcement agency copy and is delivered by the police officer to the court in which the alleged violator is notified to appear.

(2) It shall be printed on white stock.

(3) It shall be printed in substantially the following form:

(i) Front.

TABULAR OR GRAPHIC MATERIAL SET FORTH AT THIS POINT IS NOT DISPLAYABLE

(ii) Reverse.

TABULAR OR GRAPHIC MATERIAL SET FORTH AT THIS POINT IS NOT DISPLAYABLE

(e) Part V.

(1) Part V of the packet is the officer's copy and is retained by the police officer or the enforcement agency.

(2) It shall be printed on yellow stock.

(3) Report of action and officer's notes shall be printed on the reverse of this part. Additional information may be printed on the reverse of this part at the option of the enforcement agency.

(4) It shall be printed in substantially the following form:

(i) Front.

TABULAR OR GRAPHIC MATERIAL SET FORTH AT THIS POINT IS NOT DISPLAYABLE

(ii) Reverse.

TABULAR OR GRAPHIC MATERIAL SET FORTH AT THIS POINT IS NOT DISPLAYABLE

§640.8 Printers' Reports for Uniform Appearance Ticket

Each printer who supplies uniform appearance tickets to any enforcement agency shall make a report thereof to the commissioner at Albany, New York, within five days after shipment supplying the following information:

(a) name and address of enforcement agency;

(b) first and last serial numbers of packets;

(c) serial number of any missing packets;

(d) a statement as to the size and face of type used in printing the warning required to appear in red on part I;

(e) date of shipment or delivery.

§640.9 Enforcement Agency Uniform Appearance Ticket Supply

(a) Each enforcement agency using uniform appearance tickets shall secure and maintain, at its own expense, adequate supplies of same and shall maintain adequate facilities for the secure storage thereof.

(b) Each agency shall be responsible for the assignment of packets to police officers under its jurisdiction.

(c) Packets shall be assigned to police officers in consecutive series and the agency shall retain a control record of all issued tickets.

(d) Each agency shall submit to the commissioner a printer's proof of all parts of the proposed packet to be used by such agency. No such uniform appearance ticket shall be used unless notification of approval of the packet is received from the commissioner. Whenever an enforcement agency has received approval of a uniform appearance ticket, approval of future supplies of such uniform appearance tickets shall not be required unless there is a change from the format previously approved.

(e) Each agency shall submit to the commissioner, after securing each separate supply of uniform appearance tickets, one complete sample packet, marked "VOID..'

(f) The requirement for submission of a printer's proof contained in subdivision (d) of this section may be waived provided that (1) the pre-printed format has been submitted by the printer and approved for use by the commissioner, and (2) the agency submits to the commissioner a copy of the additional information which is to be added to such format.

§640.10 Enforcement Agency Procedures and Reports for Uniform Appearance Tickets

(a) The agency shall maintain a file of part IV of each uniform appearance ticket issued by a police officer under its jurisdiction when received from the court.

(b) Within 45 days following June 30 and December 31, the agency shall forward to the commissioner, on a form prescribed and provided by him, a summary report as to the status of all uniform appearance tickets issued by the police officers under the jurisdiction of such agency during the six-month period prior to the above dates, and a list of tickets or packets lost or voided during that period.

(c) A duplicate copy of each summary report, along with part IV of each uniform appearance ticket reported therein and reports of lost tickets and packets reported therein, shall be retained by the enforcement agency and shall be available for inspection by the commissioner for a period of two years from the date of the summary report. The department shall retain part III of the uniform appearance ticket for a period of five years.

§640.11 Police Officer Procedure for Uniform Appearance Ticket

(a) When an alleged offender is issued a uniform appearance ticket, the police officer shall print his name on part I of the packet and deliver same to the alleged violator, shall swear to part II before a person authorized to administer the necessary oath or affirm the complaint under penalty of perjury, and shall deliver parts II, III and IV to the court in which the alleged offender is notified to appear. He shall retain part V for his own records, or deliver it to the enforcement agency depending upon the procedure adopted by the enforcement agency.

(b) Whenever evidence is seized, the police officer shall indicate the items seized on the back of parts III and IV. Within five days after the case is closed (prior to the court delivering parts III and IV to the enforcement agency and the department), an authorized police officer shall record the disposition of the evidence seized on the back of parts III and IV.

(c) If a ticket or packet is mutilated or voided, the police officer to whom it has been assigned shall return all parts of the packet thereof to the enforcement agency which assigned the same to him.

(d) If a ticket or packet is lost, the police officer who lost the same shall file with the enforcement agency a report as to the loss of such ticket or packet, together with any remaining parts of the packet in the event only part of the packet has been lost.

§640.12 Court Procedure for Uniform Appearance Ticket

(a) When an offense under the Environmental Conservation Law, for which a uniform appearance ticket has been issued, has been disposed of, the court shall indicate the disposition of the matter on the back of parts III and IV of the uniform appearance ticket, and shall deliver part III to the department at Albany, New York, and part IV to the enforcement agency whose name appears thereon.

(b) The court shall not so deliver parts III and IV until the police officer has had an opportunity to record the disposition of evidence seized, if any, on the back of such parts.

(c) In the case of universal complaint tickets issued for Environmental Conservation Law offenses within the City of New York, the courts shall make available to the department such information as to the disposition of the matter as would otherwise be indicated on the reverse sides of parts III and IV of the uniform appearance ticket.

§640.13 Modification of Procedures

The commissioner may, upon written request of an enforcement agency, in his discretion, by written authorization modify any of the procedures established in sections 640.10 through 640.12 of this Part for that particular agency.