CHAPTER 4.  PROCEDURES IN SUMMARY CASES

Rule 400. Means of Instituting Proceedings In Summary Cases.

 Criminal proceedings in summary cases shall be instituted either by:

   (1)  issuing a citation to the defendant; or

   (2)  filing a citation; or

   (3)  filing a complaint; or

   (4)  arresting without a warrant when arrest is specifically authorized by law.

   This rule establishes the means of instituting criminal proceedings in summary cases. For general citation procedures, see Chapter 4 Part B, Rules 402 and 403.

   For the procedures when a citation is issued to a defendant pursuant to paragraph (1) of this rule, see Chapter 4 Part B(1), Rules 405, 406, 407, 408, and 409.

   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 the procedures when a complaint is filed pursuant to paragraph (3), see Chapter 4 Part C, Rules 420, 421, 422, 423, and 424.

   For the procedures when there is an arrest without a warrant pursuant to paragraph (4) see Chapter 4 Part D(2), Rules 440 and 441.

   For the procedures regarding the use of arrest warrants in summary cases, see Chapter 4 Part D(1), Rules 430 and 431.

   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.

   For the procedures in summary cases charging parking violations, see Chapter 4 Part A, Rule 401. Although a criminal proceeding may be instituted in these cases by issuing a citation either by handing it to a defendant or placing it on a vehicle windshield, it is expected that many parking cases will be disposed of without a criminal proceeding under these rules. A parking ticket, which is not a citation, is used by a political subdivision and the defendant pays the amount specified on the ticket within the time specified.

   Summary cases are cases in which all the offenses charged are either summary offenses, as defined in the Crimes Code, 18 Pa.C.S. §  106(c), or violations of ordinances for which imprisonment may be imposed upon conviction or upon failure to pay a fine or penalty. See Rule 103. Criminal proceedings in summary cases are to be brought under this chapter of the rules. If one or more of the offenses charged is a misdemeanor, felony, or murder, the case is a court case (see Rule 103) and proceeds under Chapter 5 of the rules. Ordinarily, any summary offenses in such a case, if known at the time, must be charged in the same complaint as the higher offenses and must be disposed of as part of the court case. See Commonwealth v. Campana, 455 Pa. 622, 304 A.2d 432 (1973), vacated and remanded, 414 U.S. 808 (1973), on remand, 454 Pa. 233, 314 A.2d 854 (1974) (compulsory joinder rule) and Crimes Code §  110, 18 Pa.C.S. §  110. See also Commonwealth v. Caufman, 541 Pa. 299, 662 A.2d 1050 (1995).

   In judicial districts in which there is a traffic court established pursuant to 42 Pa.C.S. § §  1301—1342, when a summary motor vehicle offense within the jurisdiction of the traffic court arises in the same criminal episode as another summary offense or a misdemeanor, felony, or murder offense, see 42 Pa.C.S. §  1302 and Commonwealth v. Masterson, 275 Pa. Super. 166, 418 A.2d 664 (1980).

   The summary case rules are not intended to prohibit or to suspend any acknowledgment of guilt procedures that may be specifically authorized by statute. See, e.g., Section 926 of the Game and Wildlife Code, 34 Pa.C.S. §  926, and Section 925 of the Fish and Boat Code, 30 Pa.C.S. §  925. Furthermore, the use of a field acknowledgment of guilt pursuant to 34 Pa.C.S. §  926 or 30 Pa.C.S. §  925 should not be construed as the issuance of a citation for the purpose of instituting a summary case under these rules. See Rules 405 and 410.

   The Rules of Criminal Procedure generally do not apply to juvenile proceedings. But see the Rules of Juvenile Court Procedure 105 (Search Warrants) and 396 (Bail). The Criminal Rules do apply to proceedings in summary cases involving defendants under 18 years of age to the extent that the Juvenile Act does not apply to such proceedings. See, e.g., Juvenile Act, 42 Pa.C.S. § §  6302, 6303, and 6326, Vehicle Code, 75 Pa.C.S. §  6303. See also 42 Pa.C.S. § §  1515(a)(1) and 6303(a)(5) concerning jurisdiction of summary offenses arising out of the same episode or transaction involving a delinquent act for which a petition alleging delinquency is filed.

   See Section 1522 of the Judicial Code, 42 Pa.C.S. §  1522, concerning parental notification in certain summary cases involving defendants under 18 years of age.

   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 3, 51, 52, 55, 60, 65, 70, 75, and 95. 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 February 6, 2003, effective July 1, 2003; Comment revised August 7, 2003, effective July 1, 2004; Comment revised April 1, 2005, effective October 1, 2005; Comment revised March 9, 2006, effective September 1, 2006.

   Committee Explantory 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 January 16, 1996 Comment revisions published with the Court’s Order at 26 Pa.B. 437 (February 3, 1996).

   Report explaining the June 6, 1997 Comment revision published with the Court’s Order at 25 Pa.B. 2923 (June 21, 1997).

   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 Comment revision concerning electronic transmission of citations published with the Court’s Order at 33 Pa.B. 973 (February 22, 2003).

   Final Report explaining the August 7, 2003 changes to the last two paragraphs of the Comment concerning the Juvenile Act and the rules published with the Court’s Order at 33 Pa.B. 4293 (August 30, 2003).

   Final Report explaining the April 1, 2005 Comment revision concerning Rules of Juvenile Court Procedure published with the Court’s Order at 35 Pa.B. 2213 (April 16, 2005).

   Final Report explaining the March 3, 2006 Comment revision concerning summary motor vehicle offenses published with the Court’s Order at 36 Pa.B. 1392 (March 25, 2006).

 (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)  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 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 case shall proceed 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 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.

   Many political subdivisions use parking tickets and, therefore, many parking cases are disposed of without instituting a criminal proceeding under the procedures of these rules. A parking ticket is a device of convenience to the local government and the defendant. It is not a citation and does not constitute the instituting of a summary proceeding; no enforcement of penalty can be based upon a ticket alone.

   The amount specified on a parking ticket cannot exceed the fine authorized for the parking violation alleged. There is no specific time that must be specified on the ticket, although, of course, it is advisable that such time be well within the applicable statute of limitations.

   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 a parking ticket is not used and a criminal proceeding is instituted under paragraph (B) of this rule by issuing a citation to a defendant, if the defendant does not properly respond to the citation, the issuing authority must notify the law enforcement officer, who should obtain from the Department of Transportation the name of the owner of the vehicle. The law enforcement officer should immediately furnish this information to the issuing authority, who must then issue a summons or a warrant.

   See Rule 130 for the ‘‘proper’’ issuing authority as used in these rules.

   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 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 clarifying the procedures for electronically transmitting parking violation information published with the Court’s Order at 33 Pa.B. 973 (February 22, 2003).

   The provisions of this Rule 401 amended February 6, 2003, effective July 1, 2003, 33 Pa.B. 969. Immediately preceding text appears at serial pages (264179) to (264180).

PART B. Citation Procedures

Rule 402. Persons Who Shall Use Citations.

 Law enforcement officers shall ordinarily institute summary proceedings by citation.

   It is intended that a wide variety of officials will have the authority to issue citations and shall do so as provided in these rules. Such authority is, of course, limited by the extent of the enforcement power given by law to such officials. ‘‘Law enforcement officer’’ includes ‘‘police officer.’’ See Rule 103.

   Official Note

   Previous rule, originally numbered Rule 132, adopted January 31, 1970, effective May 1, 1970; amended and renumbered Rule 52 September 18, 1973, effective January 1, 1974; amended January 23, 1975, effective September 1, 1975; Comment revised April 8, 1982, effective July 1, 1982; rescinded July 12, 1985, effective January 1, 1986 and replaced by present Rule 403. Present Rule 52 adopted July 12, 1985, effective January 1, 1986. The January 1, 1986 effective dates all are extended to July 1, 1986; renumbered Rule 402 and Comment revised March 1, 2000. effective April 1, 2001.

   Committee Explanatory Reports:

 (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.

 (B)  The copy delivered to the defendant shall also contain a notice to the defendant:

   (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 days after issuance of the citation:

     (a)   plead not guilty by:

       (i)   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; or

       (ii)   appearing before the proper issuing authority, 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)   plead guilty by:

       (i)   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 when required to appear pursuant to Rules 409(B)(3), 414(B)(3), or 424(B)(3); or

       (ii)   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

     (c)   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)   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)   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.

   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.

   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 (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 42 Pa.C.S. §  1725.3 which requires that a defendant 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), 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) 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) 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 75 Pa.C.S. §  1533.

   Paragraph (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 Rule 407.

   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 460 (Notice of Appeal).

   It is intended that the notice to the defendant, required by paragraph (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 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 February 6, 2003, effective July 1, 2003; amended August 7, 2003, effective July 1, 2004; amended January 26, 2007, effective February 1, 2008.

   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. 4293 (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. 760 (February 17, 2007).

   The provisions of this Rule 403 amended March 3, 2000, effective July 1, 2000, 30 Pa.B. 1508; amended February 6, 2003, effective July 1, 2003, 33 Pa.B. 969; amended August 11, 2003, effective July 1, 2004, 33 Pa.B. 4289; amended January 16, 2007, effective February 1, 2008, 37 Pa.B. 752. Immediately preceding text appears at serial pages (299399) to (299402).

PART B(1). Procedures When Citation Is Issued to Defendant

Rule 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 an official sign of the officer’s authority; and

   (2)  the law enforcement officer contemporaneously shall give the defendant a paper copy of the citation containing all the information required by Rule 403.

   A law enforcement officer may prepare, verify, and transmit a citation electronically.

   A law enforcement officer may issue a citation based upon information that the defendant has committed a summary violation, which information may be received from a personal observation of the commission of the offense; a witness; another police officer; investigation; or speed-timing equipment, including radar. Contrast Commonwealth v. Hatfield, 453 A.2d 671 (Pa. Super. 1982), decided before the adoption of previous Rule 70 (Defects in Form, Content, or Procedure—Summary Cases) and the 1983 revision of the previous Comment.

   It is preferable that a law enforcement officer making a stop for a traffic violation be in uniform.

   The use of a field acknowledgment of guilt pursuant to Section 926 of the Game and Wildlife Code, 34 Pa.C.S. §  926, and Section 925 of the Fish and Boat Code, 30 Pa.C.S. §  925, should not be construed as the issuance of a citation for the purpose of instituting a summary case under these rules. See Rule 410.

   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 58. 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 February 6, 2003, effective July 1, 2003.

   Committee Explanatory Reports:

   Report explaining the January 16, 1996 Comment revisions published with the Court’s Order at 26 Pa.B. 437 (February 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 issuance of citations published with the Court’s Order at 33 Pa.B. 973 (February 22, 2003).

 Within 5 days after a citation is issued to the defendant, the citation shall be filed with the proper issuing authority.

   To satisfy the requirements of this rule, the law enforcement officer may prepare, verify, 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 citation.

   It is intended that the citation be filed as soon as is practical so the issuing authority may process the case. However, failure to comply with the 5-day limit is not intended to be grounds for dismissal, unless the defendant is prejudiced by the delay. See Rule 109.

   With regard to the ‘‘proper’’ issuing authority as used in these rules, see Rule 130.

   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 59. 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 February 6, 2003, effective July 1, 2003.

   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. 1477 (March 18, 2000).

   Final Report explaining the February 6, 2003 changes concerning the electronic preparation, verification, and transmission of citations published with the Court’s Order at 33 Pa.B. 973 (February 22, 2003).

 Within 10 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.

   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 a defendant fails to sign the citation to indicate the plea, the issuing authority should record the unsigned citation as a guilty plea. See Rule 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:

 (A)  A defendant may plead not guilty by:

   (1)  appearing before the issuing authority, 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.

 (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 and costs, and the defendant shall have the right to appeal within thirty days for a trial de novo.

   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.

   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.

   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).

 (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 the fine and costs are not specified in the citation or after receipt of notice that a guilty plea by mail has not been accepted by the issuing authority pursuant to paragraph (B)(3).

 (B)  When the defendant pleads guilty pursuant to paragraph (A)(1):

   (1)  The defendant must sign the guilty plea acknowledging that the plea is entered voluntarily and understandingly.

   (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)   The issuing authority shall not accept a guilty plea that is submitted by mail when the offense carries a mandatory sentence of imprisonment.

     (b)   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)   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)  When the defendant is required to personally appear before the issuing authority to plead guilty pursuant to paragraph (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;

   (4)  impose sentence, 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 fine and costs is without the financial means immediately to pay the fine and costs.

   The rule was amended in 2007 to make it clear (1) that a defendant may not enter a guilty plea by mail to an offense that carries a mandatory sentence of imprisonment, and (2) 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 is this rule is intended to require that an issuing authority should proceed as provided in paragraph (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). 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 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 is under 18 years of age at the time of the offense and appears as provided in paragraph (C), if a mandatory sentence of imprisonment is prescribed by statute, the issuing authority must foreward the case to the court of common pleas for disposition. See the Juvenile Act, 42 Pa.C.S. § §  6302 and 6303. For procedure upon default in payment of fine or costs, see Rule 456.

   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.

   With regard to the defendant’s right to counsel and 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 430. 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.

   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. 4293 (August 30, 2003).

   Final Report explaining the January 26, 2007 amendments to paragraphs (A)(2), (B)(3) and (C)(4) published at with the Court’s Order at 37 Pa.B. 760 (February 17, 2007).

   The provisions of this Rule 409 amended August 7, 2003, effective July 1, 2004, 33 Pa.B. 4289; amended January 16, 2007, effective February 1, 2008, 37 Pa.B. 752. Immediately preceding text appears at serial pages (299403) to (299405).

PART B(2). Procedures When Citation Filed

Rule 410. Filing of Citation.

 When it is not feasible to issue the citation to the defendant or when evidence is discovered after the issuance of a citation that gives rise to additional summary charges against the defendant resulting from the same incident, a law enforcement officer shall institute a criminal proceeding in a summary case by filing a citation with the proper issuing authority.

   Filing as used in this rule includes electronically transmitting the citation or parking ticket information.

   A law enforcement officer should file a citation with the issuing authority when, due to the circumstances of the case, the law enforcement officer is unable to issue the citation directly to the defendant at the time of the offense. Examples of situations when the law enforcement officer would be unable to issue a citation include, but are not limited to, when the officer receives information that the defendant has committed a summary violation from a witness but the defendant is not then present; when a witness is not present at the scene and the officer wants to question the witness before completing the investigation; or when the officer is summoned to another case that requires prompt action. See Section 902 of the Game and Wildlife Code, 34 Pa.C.S. §  902, which provides, inter alia, that ‘‘Deputy Wildlife Conservation Officers shall not be authorized to issue citations . . . and shall provide the information to the Wildlife Conservation Officer.’’ Under this statute, it would not be feasible for the Deputy Wildlife Conservation Officer to issue the citation, and, therefore, pursuant to this rule, the citation would be filed.

   When a defendant acknowledges guilt pursuant to Section 926 of the Game and Wildlife Code, 34 Pa.C.S. § §  926, or Section 925 of the Fish and Boat Code, 30 Pa.C.S. §  925, but does not pay the fine and costs or the check issued for the fine and costs cannot be cashed, the officer of the commission should file a citation with the issuing authority to institute a summary criminal proceeding.

   When determining whether the filing of a citation was the correct procedure under the rules, the courts have considered whether there was a reasonable basis for filing, whether there were compelling reasons to prevent issuing the citation, and whether the defendant was prejudiced by the filing. See, e.g., Commonwealth v. Odle, 16 D.&C. 3d 750 (Cambria County 1980); Commonwealth v. Lombardo, 4 D.&C. 3d 106 (Clearfield County 1977). See also Rule 109 that permits discharge or dismissal when the institution of proceedings by incorrect means is prejudicial to the rights of the defendant.

   When evidence is discovered after the issuance of a citation that gives rise to additional charges against the defendant resulting from the same incident, the law enforcement officer must file with the issuing authority an additional citation alleging such additional summary offenses, or a complaint when the additional charges include a misdemeanor or felony. For proceedings on such charges when a complaint is filed, see Chapter 5 of these rules.

   With regard to the ‘‘proper’’ issuing authority as used in these rules, see Rule 130.

   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 76. 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 February 6, 2003, effective July 1, 2003.

   Committee Explanatory Reports:

   Final Report explaining the August 13, 1999 revision of the Comment concerning 34 Pa.C.S. §  902 published with the Court’s Order at 29 Pa.B. 4543 (August 28, 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 February 6, 2003 Comment revision concerning filing published with the Court’s Order at 33 Pa.B. 973 (February 22, 2003).

 (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 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)  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)  In cases charging parking violations in which the parking violation information is electronically filed, the summons also shall 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.

   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 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 76. 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. 973 (February 22, 2003).

 Within 10 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.

   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).

   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:

 (A)  A defendant may plead not guilty by:

   (1)  appearing before the issuing authority, 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.

 (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 and costs and the defendant shall have the right to appeal within thirty days for a trial de novo.

   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 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.

   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.

   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).

 (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 the fine and costs are not specified in the summons or after receipt of notice that a guilty plea by mail has not been accepted by the issuing authority pursuant to paragraph (B)(3).

 (B)  When the defendant pleads guilty pursuant to paragraph (A)(1):

   (1)  The defendant must sign the guilty plea acknowledging that the plea is entered voluntarily and understandingly.

   (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)   The issuing authority shall not accept a guilty plea that is submitted by mail when the offense carries a mandatory sentence of imprisonment.

     (b)   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)   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)  When the defendant is required to personally appear before the issuing authority to plead guilty pursuant to paragraph (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;

   (4)  impose sentence, 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 fine and costs is without the financial means immediately to pay the fine and costs.

   The rule was amended in 2007 to make it clear (1) that a defendant may not enter a guilty plea by mail to an offense that carries a mandatory sentence of imprisonment, and (2) 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 is this rule is intended to require that an issuing authority should proceed as provided in paragraph (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). 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 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 is under 18 years of age at the time of the offense and appears as provided in paragraph (C), if a mandatory sentence of imprisonment is prescribed by the statute, the issuing authority must foreward the case to the court of common pleas for disposition. See the Juvenile Act, 42 Pa.C.S. § §  6302 and 6303.

   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.

   With regard to the defendant’s right to counsel and waiver of counsel, see Rules 122 and 121.

   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 455. 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.

   Committee Explanatory Reports:

   Report explaining the January 31, 1991 amendments published at 20 Pa.B. 4788 (9/15/90); 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. 4293 (August 30, 2003).

   Final Report explaining the January 26, 2007 amendments to paragraphs (A)(2), (B)(3) and (C)(4) published at with the Court’s Order at 37 Pa.B. 760 (February 17, 2007).

   The provisions of this Rule 414 amended August 11, 2003, effective July 1, 2004, 33 Pa.B. 4289; amended January 16, 2007, effective February 1, 2008, 37 Pa.B. 752. Immediately preceding text appears at serial pages (299407) to (299408).

PART C. Procedures in Summary Cases When Complaint Filed.

Rule 420. Filing of Complaint.

 When the affiant is not a law enforcement officer, the affiant shall institute a criminal proceeding in a summary case by filing a complaint with the proper issuing authority.

   With regard to the ‘‘proper’’ issuing authority as used in these rules, see Rule 130.

   Official Note

   Previous Rule 65 adopted September 18, 1973, effective January 1, 1974; rescinded July 12, 1985, effective January 1, 1986, and replaced by present Rules 409(B), 414(B), 424, 430(D), 431, and 456. Present Rule 65, adopted July 12, 1985, effective January 1, 1986. The January 1, 1986 effective dates all are extended to July 1, 1986; renumbered Rule 420 and Comment revised March 1, 2000, effective April 1, 2001.

   Committee Explanatory Reports:

 Upon filing of a complaint, the issuing authority shall decide whether to issue process. If the issuing authority decides to issue process, a summons shall be issued, 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. A copy of the complaint shall be served with the summons.

   The district attorney may in the district attorney’s discretion require review of any summary complaint prior to its being submitted to the issuing authority. The district attorney must undertake such review in court cases under Rule 506.

   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.

   Official Note

   Previous rule, originally numbered Rule 139, adopted January 31, 1970, effective May 1, 1970; renumbered Rule 66 September 18, 1973, effective January 1, 1974; rescinded July 12, 1985, effective January 1, 1986, and not replaced in the present rules. Present Rule 66 adopted July 12, 1985, effective January 1, 1986; January 1, 1986 effective date extended to July 1, 1986; Comment revised February 1, 1989, effective July 1, 1989; Comment revised August 9, 1994, effective January 1, 1995; renumbered Rule 421 and Comment revised March 1, 2000, effective April 1, 2001.

   Committee Explanatory Reports:

   Report explaining the August 9, 1994 Comment revisions published at 22 Pa.B. 6 (January 4, 1992); Final Report published with the Court’s Order at 24 Pa.B. 4342 (August 27, 1994).

 Within 10 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.

   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).

   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 Rules460, 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:

 (A)  A defendant may plead not guilty by:

   (1)  appearing before the issuing authority, 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.

 (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 and costs and the defendant shall have the right to appeal within days for a trial de novo.

   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 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 offenses charged.

   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.

   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).

 (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 the fine and costs are not specified in the summons or after receipt of notice that a guilty plea by mail has not been accepted by the issuing authority pursuant to paragraph (B)(3).

 (B)  When the defendant pleads guilty pursuant to paragraph (A)(1):

   (1)  The defendant must sign the guilty plea acknowledging that the plea is entered voluntarily and understandingly.

   (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)   The issuing authority shall not accept a guilty plea that is submitted by mail when the offense carries a mandatory sentence of imprisonment.

     (b)   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)   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)  When the defendant is required to personally appear before the issuing authority to plead guilty pursuant to paragraph (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;

   (4)  impose sentence, 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 fine and costs is without the financial means immediately to pay the fine and costs.

   The rule was amended in 2007 to make it clear (1) that a defendant may not enter a guilty plea by mail to an offense that carries a mandatory sentence of imprisonment, and (2) 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) 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). 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 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 is under 18 years of age at the time of the offense and appears as provided in paragraph (C), if a mandatory sentence of imprisonment is prescribed by statute, the issuing authority must foreward the case to the court of common pleas for disposition. See the Juvenile Act, 42 Pa.C.S. § §  6302 and 6303.

   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.

   With regard to the defendant’s right to counsel and waiver of counsel, see Rules 122 and 121.

   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.

   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. 4293 (August 30, 2003).

   Final Report explaining the January 26, 2007 amendments to paragraphs (A)(2), (B)(3) and (C)(4) published at with the Court’s Order at 37 Pa.B. 760 (February 17, 2007).

   The provisions of this Rule 424 amended August 7, 2003, effective July 1, 2004, 33 Pa.B. 4289; amended January 16, 2007, effective February 1, 2008, 37 Pa.B. 752. Immediately preceding text appears at serial pages (299410) and (312417) through (312418).

PART D. Arrest Procedures In Summary Cases

PART D(1). Arrests With a Warrant

Rule 430. Issuance of Warrant.

 (A)  ARREST WARRANT INITIATING PROCEEDINGS

 A warrant for the arrest of the defendant shall be issued when:

   (1)  the citation or summons is returned undelivered;

   (2)  the issuing authority has reasonable grounds to believe that the defendant will not obey a summons; or

 (B)  BENCH WARRANTS

   (1)  A bench warrant shall be issued when:

     (a)   the defendant fails to respond to a citation or summons that was served upon the defendant personally or by certified mail return receipt requested; or

     (b)   the defendant has failed to appear for the execution of sentence as required in Rule 454(F)(3).

   (2)  A bench warrant may be issued when a defendant has entered a not guilty plea and fails to appear for the summary trial, if the issuing authority determines, pursuant to Rule 455(A), that the trial should not be conducted in the defendant’s absence.

   (3)  A bench warrant may be issued when:

     (a)   the defendant has entered a guilty plea by mail and the money forwarded with the plea is less than the amount of the fine and costs specified in the citation or summons; or

     (b)   the defendant has been sentenced to pay restitution, a fine, or costs and has defaulted on the payment; or

     (c)   the issuing authority has, in the defendant’s absence, tried and sentenced the defendant to pay restitution, and/or to pay a fine and costs and the collateral deposited by the defendant is less than the amount of the fine and costs imposed.

   (4)  No warrant shall issue under paragraph (B)(3) unless the defendant has been given notice in person or by first class mail that failure to pay the amount due or to appear for a hearing may result in the issuance of a bench warrant, and the defendant has not responded to this notice within 10 days. Notice by first class mail shall be considered complete upon mailing to the defendant’s last known address.

   Personal service of a citation under paragraph (B)(1) is intended to include the issuing of a citation to a defendant as provided in Rule 400(A) and the rules of Chapter 4, Part B(1).

   When the defendant is under 18 years of age, and the defendant has failed to respond to the citation, the issuing authority must issue a summons as provided in Rule 403(B)(4)(a). If the juvenile fails to respond to the summons, the issuing authority should issue a warrant as provided in either paragraph (A)(1) or (B)(1).

   A bench warrant may not be issued under paragraph (B)(1) when a defendant fails to respond to a citation or summons that was served by first class mail. See Rule 451.

   Rule 454 provides that the issuing authority is to direct any defendant who is sentenced to a term of imprisonment to appear for the execution of sentence on a date certain following the expiration of the 30-day stay required by Rule 461. Paragraph (A)(1)(d) was added in 2003 to make it clear that an issuing authority should issue a warrant for the arrest of any defendant who fails to appear for the execution of sentence.

   Ordinarily, pursuant to Rule 455, the issuing authority must conduct a summary trial in the defendant’s absence. However, if the issuing authority determines that there is a likelihood that the sentence will include imprisonment or that there is other good cause not to conduct the summary trial, the issuing authority may issue a bench warrant for the arrest of the defendant pursuant to paragraph (B)(2) in order to bring the defendant before the issuing authority for the summary trial.

   The bench warrant issued under paragraph (B)(3) should state the amount required to satisfy the sentence.

   When a defendant is arrested pursuant to paragraph (B)(3), the issuing authority must conduct a hearing to determine whether the defendant is able to pay the amount of restitution, fine, and costs that is due. See Rule 456.

   If the defendant is under 18 years of age and has not paid the fine and costs, the issuing authority must issue the notice required by paragraph (B)(4) 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 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). Thereafter, the case will proceed pursuant to the Rules of Juvenile Court Procedure and the Juvenile Act instead of these rules.

   If the defendant is 18 years of age or older when the default in payment occurs, the issuing authority must proceed under these rules.

   When contempt proceedings are also involved, see Chapter 1 Part D for the issuance of arrest warrants.

   See Rule 431 for the procedures when a warrant of arrest is executed.

   Official Note

   Rule 75 adopted July 12, 1985, effective January 1, 1986; effective date extended to July 1, 1986; amended January 31, 1991, effective July 1, 1991; amended April 18, 1997, effective July 1, 1997; amended October 1, 1997, effective October 1, 1998; amended July 2, 1999, effective August 1, 1999; renumbered Rule 430 and amended March 1, 2000, effective April 1, 2001; amended February 28, 2003, effective July 1, 2003; Comment revised August 7, 2003, effective July 1, 2004; Comment revised April 1, 2005, effective October 1, 2005; amended June 30, 2005, effective August 1, 2006; amended January 26, 2007, effective February 1, 2008.

   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 April 18, 1997 amendments concerning arrest warrants when defendant fails to appear for trial published with the Court’s Order at 27 Pa.B. 2117 (May 3, 1997).

   Final Report explaining the October 1, 1997 amendments in paragraph (3) and the provisions of new paragraph (4) published with the Court’s Order at 27 Pa.B. 5414 (October 18, 1997).

   Final Report explaining the July 2, 1999 amendments to paragraph (3)(c) and the Comment concerning restitution 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 February 28, 2003 amendments adding paragraph (A)(1)(d) published with the Court’s Order at 33 Pa.B. 1326 (March 15, 2003).

   Final Report explaining the August 7, 2003 new Comment language concerning failure to pay fines and costs by juveniles published with the Court’s Order at 33 Pa.B. 4293 (August 30, 2003).

   Final Report explaining the April 1, 2005 Comment revision concerning application of the Juvenile Court Prodedural Rules published with the Court’s Order at 35 Pa.B. 2213 (April 16, 2005).

   Final Report explaining the June 30, 2005 changes distinguishing between warrants that initiate proceedings and bench warrants in summary cases published with the Court’s Order at 35 Pa.B. 3911 (July 16, 2005).

   Final Report explaining the change to the Rule 454 reference in paragraph (B)(1)(b) with the Court’s Order at 37 Pa.B. 760 (February 17, 2007).

 (A)  When a warrant is issued pursuant to Rule 430 in a summary case, the warrant shall be executed by a police officer as defined in Rule 103.

   (1)  If the warrant is executed between the hours of 6 a.m. and 10 p.m., the police officer shall proceed as provided in paragraphs (B) or (C).

   (2)  If the warrant is executed outside the hours of 6 a.m. and 10 p.m., unless the time period is extended by the president judge by local rule enacted pursuant to Rule 105, the police officer shall call the proper issuing authority to determine when the issuing authority will be available pursuant to Rule 117.

 (B)  Arrest Warrants Initiating Proceedings

   (1)  When an arrest warrant is executed, the police officer shall either:

     (a)   accept from the defendant a signed guilty plea and the full amount of the fine and costs if stated on the warrant;

     (b)   accept from the defendant a signed not guilty plea and the full amount of collateral if stated on the warrant; or

     (c)   if the defendant is unable to pay, cause the defendant to be taken without unnecessary delay before the proper issuing authority.

   (2)  When the police officer accepts fine and costs, or collateral under paragraphs (B)(1)(a) or (b), the officer shall issue a receipt to the defendant setting forth the amount of fine and costs, or collateral received and return a copy of the receipt, signed by the defendant and the police officer, to the proper issuing authority.

   (3)  When the defendant is taken before the issuing authority under paragraph (B)(1)(c),

     (a)   the defendant shall enter a plea; and

     (b)   if the defendant pleads guilty, the issuing authority shall impose sentence. If the defendant pleads not guilty, the defendant shall be given an immediate trial unless:

       (i)   the Commonwealth is not ready to proceed, or the defendant requests a postponement or is not capable of proceeding, and in any of these circumstances, the defendant shall be given the opportunity to deposit collateral for appearance on the new date and hour fixed for trial; or

       (ii)   the defendant’s criminal record must be ascertained prior to trial as specifically required by statute for purposes of grading the offense charged, in which event the defendant shall be given the opportunity to deposit collateral for appearance on the new date and hour fixed for trial, which shall be after the issuing authority’s receipt of the required information;

     (c)   If the defendant is under 18 years of age and cannot be given an immediate trial, the issuing authority promptly shall notify the defendant and defendant’s parents, guardian, or other custodian of the date set for the summary trial, and shall release the defendant on his or her own recognizance.

 (C)  Bench Warrants

   (1)  When a bench warrant is executed, the police officer shall either:

     (a)   accept from the defendant a signed guilty plea and the full amount of the fine and costs if stated on the warrant;

     (b)   accept from the defendant a signed not guilty plea and the full amount of collateral if stated on the warrant;

     (c)   accept from the defendant the amount of restitution, fine, and costs due as specified in the warrant if the warrant is for collection of restitution, fine, and costs after a guilty plea or conviction; or

     (d)   if the defendant is unable to pay, promptly take the defendant for a hearing on the bench warrant as provided in paragraph (C)(3).

   (2)  When the defendant pays the restitution, fines, and costs, or collateral pursuant to paragraph (C)(1), the police officer shall issue a receipt to the defendant setting forth the amount of restitution, fine, and costs received and return a copy of the receipt, signed by the defendant and the police officer, to the proper issuing authority.

   (3)  When the defendant does not pay the restitution, fines, and costs, or collateral, the defendant promptly shall be taken before the proper issuing authority when available pursuant to Rule 117 for a bench warrant hearing. The bench warrant hearing may be conducted using two-way simultaneous audio-visual communication.

   For the procedure in court cases following arrest with a warrant initiating proceedings, see Rules 516, 517, and 518. See also the Comment to Rule 706 (Fines or Costs) that recognizes the authority of a common pleas court judge to issue a bench warrant for the collection of fines and costs and provides for the execution of the bench warrant as provided in either paragraphs (C)(1)(c) or (C)(1)(d) and (C)(2) of this rule.

   Section 8953 of the Judicial Code, 42 Pa.C.S. §  8953, provides for the execution of warrants of arrest beyond the territorial limits of the police officer’s primary jurisdiction. See also Commonwealth v. Mason, 507 Pa. 396, 490 A.2d 421 (1985).

   Nothing in paragraph (A) is intended to preclude the issuing authority when issuing a warrant pursuant to Rule 430 from authorizing in writing on the warrant that the police officer may execute the warrant at any time and bring the defendant before that issuing authority for a hearing under these rules.

   For what constitutes a ‘‘proper’’ issuing authority, see Rule 130.

   Delay of trial under paragraph (B)(3)(b)(ii) is required by statutes such as 18 Pa.C.S. §  3929 (pretrial fingerprinting and record-ascertainment requirements).

   Although the defendant’s trial may be delayed under this rule, the requirement that an arrested defendant be taken without unnecessary delay before the proper issuing authority remains unaffected.

   When the police must detain a defendant pursuant to this rule, 61 P. S. §  798 provides that the defendant may be housed for a period not to exceed 48 hours in ‘‘the borough and township lockups and city or county prisons.’’

   In cases in which a defendant who is under 18 years of age has failed to ‘‘comply with a lawful sentence’’ imposed by the issuing authority, the Juvenile Act requires the issuing authority to certify notice of the failure to comply to the court of common pleas. See the definition of ‘‘delinquent act,’’ paragraph (2)(iv), in 42 Pa.C.S. §  6302. Following the certification, the case is to proceed pursuant to the Rules of Juvenile Court Procedure and the Juvenile Act instead of these rules.

   If the defendant is 18 years of age or older when the default in payment occurs, the issuing authority must proceed under these rules.

   For the procedures required before a bench warrant may issue for a defendant’s failure to pay restitution, a fine, or costs, see Rule 430(B)(4). When contempt proceedings are also involved, see Chapter 1 Part D for the issuance of arrest warrants.

   For the procedures when a bench warrant is issued in court cases, see Rule 150.

   Concerning an issuing authority’s availability, see Rule 117 (Coverage: Issuing Warrants; Preliminary Arraignments and Summary Trials; and Setting and Accepting Bail). Pursuant to Rule 117(B), when establishing the system of coverage best suited for the judicial district, the president judge may require defendants arrested on summary case bench warrants after hours to be taken to the established night court where the defendant would be given a notice to appear in the proper issuing authority’s office the next business day or be permitted to pay the full amount of fines and costs.

   Concerning the defendant’s right to counsel and waiver of counsel, see Rules 121 and 122.

   For the procedures in summary cases within the jurisdiction of Philadelphia Traffic Court or Philadelphia Municipal Court, see Chapter 10.

   Official Note

   Rule 76 adopted July 12, 1985, effective January 1, 1986; Comment revised September 23, 1985, effective January 1, 1986; January 1, 1986 effective dates extended to July 1, 1986; Comment revised January 31, 1991, effective July 1, 1991; amended August 9, 1994, effective January 1, 1995; amended October 1, 1997, effective October 1, 1998; amended July 2, 1999, effective August 1, 1999; renumbered Rule 431 and amended March 1, 2000, effective April 1, 2001; amended August 7, 2003, effective July 1, 2004; Comment revised April 1, 2005, effective October 1, 2005; amended June 30, 2005, effective August 1, 2006; Comment revised March 9, 2006, effective August 1, 2006.

   Committee Explanatory Reports:

   Report explaining the January 31, 1991 revision published at 20 Pa.B. 4788 (September 15, 1990); Supplemental Report published at 21 Pa.B. 621 (February 16, 1991).

   Final Report explaining the August 9, 1994 amendments published with the Court’s Order at 24 Pa.B. 4342 (August 27, 1994).

   Final Report explaining the October 1, 1997 amendments published with the Court’s Order at 27 Pa.B. 5414 (October 18, 1997).

   Final Report explaining the July 2, 1999 amendments to paragraphs (B)(3) and (C) concerning restitution 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 paragraph (D) and 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 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 15, 2005).

   Final Report explaining the June 30, 2005 changes distinguishing between procedures for warrants that initiate proceedings and bench warrants procedures in summary cases published with the Court’s Order at 35 Pa.B. 3911 (July 16, 2005).

   Final Report explaining the March 9, 2006, Comment revision adding the cross-reference to Rule 706 published with the Court’s Order at 36 Pa.B. 1396 (March 25, 2006).

   The provisions of this Rule 431 amended August 11, 2003, effective July 1, 2004, 33 Pa.B. 4289; amended April 1, 2005, effective October 1, 2005, 35 Pa.B. 2210; amended June 30, 2005, effective August 1, 2006, 35 Pa.B. 3901; amended March 9, 2006, effective August 1, 2006, 36 Pa.B. 1396. Immediately preceding text appears at serial pages (312420) to (312423).

PART D(2). Arrests Without a Warrant

Rule 440. Arrest Without Warrant.

 When an arrest without a warrant in a summary case is authorized by law, a police officer who exhibits some sign of authority may institute proceedings by such an arrest.

   Only a police officer, as defined in Rule 103, may institute a summary criminal proceeding by arrest. It is intended that these proceedings will be instituted by arrest only in exceptional circumstances such as those involving violence, or the imminent threat of violence, or those involving a danger that the defendant will flee.

   The Vehicle Code provides the procedures for arresting a defendant without a warrant for a summary offense under that Code.

   It is preferable that the officer making a stop for a traffic violation be in uniform.

   Official Note

   Previous Rule 70 adopted April 8, 1982, effective July 1, 1982; rescinded July 12, 1985, effective January 1, 1986 and replaced by present Rule 109. Present Rule 70 adopted July 12, 1985, effective January 1, 1986. The January 1, 1986 effective dates are all extended to July 1, 1986; renumbered Rule 440 and Comment revised March 1, 2000, effective April 1, 2001.

   Committee Explanatory Reports:

 (A)  When a defendant has been arrested without a warrant, the defendant shall be either released from custody pursuant to paragraph (B) or taken before the proper issuing authority under paragraph (C).

 (B)  When a defendant has been arrested without a warrant, the arresting officer shall promptly release the defendant from custody when the following conditions have been met:

   (1)  the defendant poses no threat of immediate physical harm to any other person or to himself or herself; and

   (2)  the arresting officer has reasonable grounds to believe that the defendant will appear as required.

   A citation shall be issued to the defendant at the time of release and thereafter the case shall proceed in accordance with Rules 405—409 as if the proceedings had been instituted by issuing a citation to the defendant.

 (C)  When the defendant has not been released from custody under paragraph (B),

   (1)  the defendant shall be taken without unnecessary delay before the issuing authority when available pursuant to Rule 117 where a citation shall be filed against the defendant, and

     (a)   the defendant shall enter a plea

     (b)   If the defendant pleads guilty, the issuing authority shall impose sentence. If the defendant pleads not guilty, the defendant shall be given an immediate trial unless:

       (i)   the Commonwealth is not ready to proceed, or the defendant requests a postponement or is not capable of proceeding, and in any of these circumstances, the defendant shall be given the opportunity to deposit collateral for appearance on the new date and hour fixed for trial; or

       (ii)   the defendant’s criminal record must be ascertained before trial as specifically required by statute for purposes of grading the offense charged, in which event the defendant shall be given the opportunity to deposit collateral for appearance on the new date and hour fixed for trial, which shall be after the issuing authority’s receipt of the required information.

   (2)  If the defendant is under 18 years of age and cannot be given an immediate trial, the issuing authority promptly shall notify the defendant and defendant’s parents, guardian, or other custodian of the date set for the summary trial, and shall release the defendant on his or her own recognizance.

   This rule was amended in 2005 to require the arresting police officer to promptly arrange for the defendant’s release if the two criteria set forth in paragraph (B) are met.

   ‘‘Reasonable grounds’’ as used in paragraph (B)(2) would include such things as concerns about the validity of the defendant’s address, the defendant’s prior contacts with the criminal justice system, and the police officer’s personal knowledge of the defendant.

   Delay of trial under paragraph (C)(1)(b)(ii) is required by statutes such as 18 Pa.C.S. §  3929 (pretrial fingerprinting and record-ascertainment requirements). Although the defendant’s trial may be delayed under this paragraph, the requirement that the defendant be taken without unnecessary delay before the proper issuing authority remains unaffected. See also Rules 408, 413, and 423.

   On the defendant’s right to counsel and waiver of counsel, see Rules 121 and 122.

   With regard to the ‘‘proper’’ issuing authority as used in these rules, see Rule 130.

   For the procedure in court cases initiated by arrest without warrant, see Rule 518.

   For the procedures in summary cases within the jurisdiction of Philadelphia Traffic Court or Philadelphia Municipal Court, see Chapter 10.

   Concerning an issuing authority’s availability, see Rule 117 (Coverage: Issuing Warrants; Preliminary Arraignments and Summary Trials; and Setting and Accepting Bail).

   When the police must detain a defendant pursuant to this rule, 61 P. S. §  798 provides that the defendant may be housed for a period not to exceed 48 hours in ‘‘the borough and township lockups and city or county prisons.’’

   Official Note

   Rule 71 adopted July 12, 1985, effective January 1, 1986; Comment revised September 23, 1985, effective January 1, 1986; January 1, 1986 effective dates extended to July 1, 1986; amended August 9, 1994, effective January 1, 1995; amended May 14, 1999, effective July 1, 1999; renumbered Rule 441 and amended March 1, 2000, effective April 1, 2001; amended August 7, 2003, effective July 1, 2004; amended June 30, 2005, effective August 1, 2006.

   Committee Explanatory Reports:

   Report explaining the August 9, 1994 amendments published at 22 Pa.B. 6 (January 4, 1992); Final Report published with the Court’s Order at 24 Pa.B. 4342 (August 27, 1994).

   Final Report explaining the May 14, 1999 amendments to paragraph (C)(1) and the Comment published with the Court’s Order at 29 Pa.B. 2775 (May 29, 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 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 June 30, 2005 changes concerning release of defendant following arrest and procedures when defendant is not released published with the Court’s Order at 35 Pa.B. 3911 (July 16, 2005).

   The provisions of this Rule 441 amended August 7, 2003, effective July 1, 2004, 33 Pa.B. 4289; amended June 30, 2005, effective August 1, 2006, 35 Pa.B. 3901. Immediately preceding text appears at serial pages (299417) to (299418).

PART E. General Procedures in Summary Cases

Rule 450. Motions [Reserved].

Rule 451. Service.

 (A)  Citations, summonses, and trial notices in summary cases may be served either personally upon the defendant or by mail to the defendant’s last known address.

 (B) (b)  When service of a summons has been made by first class mail and the defendant fails to respond or appear within the time specified by these rules, the issuing authority shall cause service to be made upon the defendant personally or by certified mail, return receipt requested. Thereafter, the case shall proceed as provided in these rules.

   This rule provides the procedures for service in summary cases. These procedures are different from those provided by Rule 576 for motions and documents in court cases. See also Rule 114, which sets forth, inter alia, the procedures for providing notice to a defendant of court proceedings requiring the defendant’s presence in court cases and in summary cases on appeal for a trial de novo.

   A citation is served personally upon the defendant within the meaning of this rule when the citation is issued to the defendant as provided in Rule 400(A) and the rules of Chapter 4 Part (B1).

   Paragraph (B) makes it clear that the issuing authority must only provide additional notice to a defendant by personal service or certified mail when a defendant fails to respond to a summons. It is intended that, when a defendant fails to appear for trial pursuant to a trial notice served by first class mail, the issuing authority need provide no further notice, but should proceed to conduct the trial in the defendant’s absence pursuant to Rule 455.

   Official Note

   Rule 80 adopted July 12, 1985, effective January 1, 1986; effective date extended to July 1, 1986; amended February 1, 1989, effective July 1, 1989; Comment revised June 2, 1994, effective September 1, 1994; renumbered Rule 451 and amended March 1, 2000, effective April 1, 2001; Comment revised March 3, 2004, effective July 1, 2004.

   Committee Explanatory Reports:

   Report explaining the June 2, 1994 Comment revision published at 23 Pa.B. 5008 (October 23, 1993).

   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, 2004 Comment revision updating the cross-references correlative to the March 3, 2004 changes to the motions rules published with the Court’s Order at 34 Pa.B. 1561 (March 20, 2004).

 (A)  The issuing authority shall fix the amount of collateral, if any, to be deposited to insure a defendant’s appearance at the summary trial, which amount shall not exceed the full amount of the fine and costs.

 (B)  The collateral deposited shall be in United States currency or a cash equivalent.

 (C)  The collateral deposited may be forfeited after conviction at the summary trial and applied to payment of the fine and costs.

   The term ‘‘collateral’’ is intended to convey the dual purpose of the amount of money that is deposited. First, the amount deposited is used as bail to secure the defendant’s appearance at the summary trial. Second, the amount deposited is used as security, and may be forfeited in the event of a conviction to satisfy any fine and costs.

   A defendant may not be penalized or denied a hearing because he or she cannot pay the full amount of the fine and costs as collateral.

   Although this rule permits an issuing authority to fix collateral in an amount up to the full amount of fine and costs the issuing authority is not required to fix collateral or any particular amount of collateral, and may set an amount less than the fine and costs. The issuing authority may also release the defendant on recognizance when the issuing authority has reasonable grounds to believe that the defendant will appear or the defendant is without adequate resources to deposit collateral. To request a lower amount of collateral or to be released on recognizance, the defendant must appear personally before the issuing authority to enter a plea, as provided in Rules 408, 413, and 423.

   For the purpose of paragraph (B), any guaranteed arrest bond certificate issued by an automobile club or association pursuant to 40 P. S. §  837 (1959) would constitute a ‘‘cash equivalent.’’

   Official Note

   Rule 81 adopted July 12, 1985, effective January 1, 1986; effective date extended to July 1, 1986; Comment revised February 1, 1989, effective July 1, 1989; Comment revised May 14, 1999, effective July 1, 1999; renumbered Rule 452 and Comment revised March 1, 2000, effective April 1, 2001.

   Committee Explanatory Reports:

   Final Report explaining the May 14, 1999 Comment revisions published with the Court’s Order at 29 Pa.B. 2775 (May 29, 1999).

 (A)  When more than one person is alleged to have participated in the commission of a summary offense, the issuing authority shall accept one citation or complaint for each person charged. The citations or complaints against such persons may be consolidated for trial.

 (B)  When more than one summary offense is alleged to have been committed by one person arising from the same incident, the matter shall proceed as a single case and the issuing authority shall receive only one set of costs.