Can a New York village treat unanswered citations for code violations like littering as civil default judgments?

Plain-English summary

The Atlantic Beach Village Attorney asked whether the village could pass a local law allowing it to obtain and enforce civil-style default judgments when people failed to answer citations for village-law violations such as littering or animal control.

The AG said no.

Penal Law § 10(1) defines an "offense" to include conduct for which a local law or ordinance provides a fine. The Criminal Procedure Law governs adjudication and sentencing for such offenses. Its §§ 170.10 and 340.50 specify circumstances in which a defendant may be arraigned or tried without being personally present. Its § 420.10(6) requires a written court order imposing a fine. The district attorney files the order with the county clerk; after entry, the district attorney may collect the fine in the manner of a civil judgment.

So a court order is required, and the procedure for getting that order is set by State law. A village does not have the option of routing around the Criminal Procedure Law by making the citation itself self-executing.

Municipal Home Rule Law § 11(1)(e) is the lock on the door. It prohibits a local law that supersedes a State statute if the local law "applies to or affects the courts as required or provided by article six of the constitution." Article VI of the Constitution sets up the Unified Court System and delegates court-jurisdiction rules to the State Legislature. A local law that changes how citations are tried or fines are collected is exactly the kind of court-procedure interference § 11(1)(e) blocks.

The village had pointed to Vehicle and Traffic Law § 1806-a, which lets certain courts enter default judgments for traffic infractions. The AG noted that § 1806-a is a power the State Legislature gave to the courts, not to municipalities. And the village's code violations are not traffic infractions in the first place.

Currency note

This opinion was issued in 1999. Subsequent statutory amendments, court decisions, or later AG opinions may have changed the analysis. Treat this page as historical context, not current legal advice. Verify current law before relying on any specific rule, deadline, or remedy mentioned here.

Common questions

What is the practical alternative for a village trying to enforce code fines?

Use the Criminal Procedure Law's procedures for adjudication and collection. The opinion says a fine requires a written court order, which is filed with the county clerk and can then be collected by the district attorney in the manner of a civil judgment.

Why is this an "offense" rather than a civil violation?

Because Penal Law § 10(1) defines "offense" to include any conduct for which a fine is provided by State law, local law, or ordinance. A village ordinance with a fine attached creates an offense by operation of State law. Once it is an offense, the Criminal Procedure Law applies.

Can a village treat a defendant's absence as an automatic civil default?

No. The opinion says the Criminal Procedure Law governs when a defendant may be arraigned or tried without being personally present. It does not discuss tickets or pleas by mail. A village cannot replace the State procedures with its proposed local default-judgment process.

Does the State traffic-default mechanism in VTL § 1806-a let the village do this for parking tickets?

§ 1806-a lets the court (not the village) enter default judgments for traffic infractions in courts that have jurisdiction over traffic cases. The Legislature put that mechanism in the courts' hands, not in municipalities' hands. A village cannot enact a parallel mechanism for non-traffic offenses by local law.

Could the State Legislature give villages this power?

The opinion notes that the State Legislature granted certain courts a traffic-default power in Vehicle and Traffic Law § 1806-a. It does not address whether the Legislature should create a similar mechanism for village-law offenses.

Background and statutory framework

Constitutional baseline. Article VI of the Constitution establishes the Unified Court System (§ 1) and provides for the Legislature's role in setting court jurisdiction (§ 17). It centralizes the court structure at the State level.

Local law boundaries. Municipal Home Rule Law § 11(1)(e) is the explicit ban on a local law that supersedes a State statute affecting the courts as Article VI requires. The AG had previously read this provision broadly (citing 1980 Op Atty Gen 42 and 1982 Op Atty Gen (Inf) 170) to preserve State control of court procedure.

Penal Law and Criminal Procedure Law. Penal Law § 10(1) defines the universe of "offenses." Criminal Procedure Law § 1.10 confirms the CPL governs adjudication and sentencing for all offenses. CPL § 170.10 (arraignment), § 340.50 (trial without presence), and § 420.10(6) (fines and collection) provide the machinery the AG points to.

Civil enforcement after a fine. CPLR § 5016(a) is the rule that lets a court order be entered as a civil judgment. CPL § 420.10(6) plugs this into criminal-fine enforcement.

Comparison case: traffic. Vehicle and Traffic Law § 1806-a is the narrow State authorization for default judgments on traffic infractions. The AG used § 1806-a as a contrast: the Legislature, when it wanted to permit defaults, did so expressly and gave the authority to the courts.

Citations

• NY Const, Art VI, §§ 1, 17 (Unified Court System and Legislature's authority over court jurisdiction).
• CPLR § 5016(a) (entry of court order as civil judgment).
• Criminal Procedure Law §§ 1.10, 170.10, 340.50, 420.10(6) (offenses, arraignment, trial without presence, fines and collection).
• Municipal Home Rule Law § 11(1)(e) (local laws cannot supersede State statutes affecting the courts).
• Penal Law § 10(1) (definition of "offense").
• Vehicle and Traffic Law § 1806-a (default judgments for traffic infractions).
• 1980 Op Atty Gen 42; 1982 Op Atty Gen (Inf) 170 (prior AG opinions reading Municipal Home Rule Law § 11(1)(e) to preserve State control of court procedure).

Source

• Landing page: https://ag.ny.gov/libraries-documents/opinions/opinions-year
• Original PDF: https://ag.ny.gov/sites/default/files/opinions/I_99-22_pw.pdf

Original opinion text

OPINIONS OF THE ATTORNEY GENERAL

Page 1 of 2

Opn. No. 99-22
NY CONST, ART VI, §§ 1, 17; CIVIL PRACTICE LAW AND RULES § 5016(a); CRIMINAL PROCEDURE LAW §§ 1.10, 170.10, 340.50, 420.10(6); MUNICIPAL HOME RULE LAW § 11(1)(e); PENAL LAW § 10(1); VEHICLE AND TRAFFIC LAW § 1806-a. The Village of Atlantic Beach may not enact a local law which would permit the Village to obtain and enforce default judgments in the same manner as civil judgments against defendants for violation of Village laws if the defendants failed to answer citations within a specified time. August 16, 1999 Perry S. Reich, Esq. Village Attorney Village of Atlantic Beach 65 The Plaza Atlantic Beach, New York 11509

Informal Opinion
No. 99-22

Dear Mr. Reich:
You have inquired as to whether the enactment of a local law by the Village of Atlantic Beach, which would permit the Village to obtain and enforce default judgments against defendants for violation of Village laws (such as littering or animal control violations) as civil judgments if the defendants fail to answer citations within a specified time, would be precluded by Municipal Home Rule Law § 11(1)(e). Municipal Home Rule Law § 11(1)(e) provides that a local legislative body may not adopt a local law which supersedes a State statute, if such local law "applies to or affects the courts as required or provided by article six of the constitution." Article VI of the New York State Constitution establishes the Unified Court System (art VI, § 1) and sets forth or delegates to the Legislature responsibility to set forth the jurisdiction of the various courts (see, art VI, § 17[a]). The Attorney General previously has concluded that only the State Legislature has jurisdiction to legislate in relation to the courts and judicial matters; the Legislature in specific terms may delegate that authority to a municipality. See, 1980 Op Atty Gen 42. As the Village laws referred to in your letter provide for the imposition of a fine or fines upon the occurrence of certain specified conduct, such conduct is considered to be an "offense" under the terms of Penal Law § 10(1). An "offense" is defined therein in relevant part as "conduct for which . . . a fine is provided . . . by any . . . law, local law or ordinance of a political subdivision of this state . . .." The provisions of the Criminal Procedure Law apply to adjudication and sentencing for every offense. Therefore, enforcement of the local laws is governed by the Criminal Procedure Law. The Criminal Procedure Law sets forth the circumstances in which a defendant may be arraigned and tried without being personally present. Criminal Procedure Law §§ 170.10(1), 340.50(2), (3). Section 420.10(6)(a) of the Criminal Procedure Law provides that a fine must be imposed by a written order of the court, which must specify the amount required to be paid by the defendant. The section also

http://www.oag.state.ny.us/lawyers/opinions/1999/informal/99_22.html

4/20/2006

OPINIONS OF THE ATTORNEY GENERAL

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requires, for courts other than the supreme court, that the court's order must direct the district attorney to file a certified copy of the order with the county clerk of the county in which the court is situated. Section 420.10(6)(a) further provides that such order shall be entered by the county clerk in the same manner as a judgment in a civil action in accordance with CPLR § 5016(a), and after entry of the order, the fine may be collected in the same manner as a judgment in a civil action by the district attorney. The district attorney may, in his or her discretion, and must, upon order of the court, institute proceedings to collect such fine. Id., § 420.10(b). These provisions, giving the courts jurisdiction over the imposition and collection of fines imposed for the commission of offenses and governing criminal procedure in the courts, may not be superseded by local law. Municipal Home Rule Law § 11(1)(e); see, 1982 Op Atty Gen (Inf) 170. In your letter, you noted that section 1806-a of the Vehicle and Traffic Law provides procedures by which certain courts may enter default judgments against defendants charged with traffic infractions who fail to answer within the time specified. That, however, is a power granted to the courts by the Legislature, not to localities pursuant to local law. Moreover, the offenses at issue are not established by the Vehicle and Traffic Law. We conclude that the Village of Atlantic Beach may not enact a local law which would permit the Village to obtain and enforce default judgments in the same manner as civil judgments against defendants for violation of Village laws if the defendants failed to answer citations within a specified time. The provisions of the Criminal Procedure Law govern collection of the fine. The Attorney General renders formal opinions only to officers and departments of State government. This perforce is an informal and unofficial expression of the views of this office. Very truly yours, WILLIAM E. STORRS Assistant Attorney General

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4/20/2006