The Criminal Case Process in Three U.S. Cities
The Research Network on Misdemeanor Justice uses researcher-practitioner partnerships to study enforcement of lower-level crimes and inform data-driven criminal legal system reforms. Three of the Research Network sites, New York City, NY; Seattle, WA; and Louisville, KY, identified shoplifting as a common arrest. However, because of the localized nature of the criminal legal process, individuals may have vastly different experiences even if arrested for the same offense. For example, in Seattle, individuals suspected of shoplifting may be diverted to services at the point of arrest – an option not available in the other two cities. The infographic below shows the various paths a shoplifting case can take through the criminal legal process in each of the three cities.
*Many of the criminal case processes described below may have been impacted by operational changes aimed at minimizing the spread of Covid-19 (e.g., some U.S. jurisdictions have prohibited or strongly discouraged arrests and/or jail admissions for certain lower-level crimes).
Criminal Case Process for Shoplifting
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New York
New York Shoplifting Statute
A person is guilty of petit larceny when he steals property. Petit larceny is a class A misdemeanor. (NY PL 155.25)
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Seattle
Seattle Shoplifting Statute
A person is guilty of theft if: (1) He or she steals the property of another; or (2) By deception or by other means to avoid payment for services, he or she intentionally obtains services which he or she knows to be available only for compensation; or (3) Having control over the disposition of services of others to which he or she is not entitled, he or she knowingly diverts those services to his or her own benefit or to the benefit of another not entitled thereto; or (4) He or she knowingly secures the performance of services by agreeing to provide compensation and, after the services are rendered, fails to make full and complete payment, with intent to avoid payment for services.
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Louisville
Louisville Shoplifting Statute
[A] person is guilty of theft by unlawful taking or disposition when he unlawfully: (a) Takes or exercises control over movable property of another with intent to deprive him thereof; or (b) Obtains immovable property of another or any interest therein with intent to benefit himself or another not entitled thereto.
Police Contact
Police Contact
Individual is suspected of criminal activity and is approached by a police officer.
DAT
Desk Appearance tickets or “DATs” are an alternative to a traditional, custodial arrest. When a person receives a DAT, they are put through the regular arrest process (e.g., fingerprinted) but rather than being detained for up to 24 hours until their first court appearance (“arraignment”) they are released from police custody and directed to appear for court within 20 days.
Arrest
Under the Fourth Amendment of the United States Constitution, police are authorized to deprive an individual of their freedom and take them into custody when there is a reasonable basis for believing the individual has committed a crime.
Prosecutor Decision
The district attorney determines what charges, if any, they will pursue.
Declined
District attorney may decline to prosecute an individual for one or more of the crimes of which they are accused.
Diverted
Individual is offered programming and upon successful completion of the program, the District Attorney declines to prosecute the case.
For example, see:
Citation
The individual is issued a ticket by the police to appear in court at a later date.
Diversion
Seattle’s Law Enforcement Assisted Diversion (LEAD) arrest diversion program is a collaborative community safety effort that offers law enforcement an alternative to booking people into jail for criminal activity that stems from unmet behavioral health needs or poverty.
Arrest
Under the Fourth Amendment of the United States Constitution, police are authorized to deprive an individual of their freedom and take them into custody when there is a reasonable basis for believing the individual has committed a crime.
Statutory Bail
In Seattle, bail of $500 is automatically set for shoplifting offenses. Individuals who are able to pay bail are released from custody.
For the statutory bail schedule, see:
Administrative Release
An individual who is booked into the King County Jail on Seattle Municipal Court charges is given a “personal recognizance screener” within a few hours of booking and if the individual meets established criteria they will be released and directed to return for their first court appearance.
Release on Bail
An individual who has statutory bail set is able to secure release through payment of bail.
Prosecutor Decision
The Seattle City Attorney’s Office determines what charges, if any, they will pursue.
Declined
The Seattle City Attorney’s Office may decline to prosecute an individual, and the individual is subsequently relieved of all charges.
Diverted
Individual is offered programming and upon successful completion of the program, the Seattle City Attorney will dismiss the charge(s) against the individual. For example, Seattle has “Choose 180,” a prefiling diversion program for 17-24 year olds accused of lower-level crimes and/or have limited criminal history.
Arrest
Under the Fourth Amendment of the United States Constitution, police are authorized to deprive and individual of their freedom and take them into custody when there is a reasonable basis for believing the individual has committed a crime.
Citation
The individual is issued a ticket by the police to appear in court at a later date.
Cite(s): KRS 431.015: Citation for misdemeanor; failure to appear
Bail
In order to be released from custody, an individual may be required to put up some amount of money or property that can be forfeited if they fail to show up for court. If the individual is unable to post bail, the person will remain in jail until bail is posted or the case is resolved.
Non-Financial Release
For this type of release, in order to be released from custody, an individual may be required to simply promise to return to court (“release on recognizance”) or promise to pay some amount of money if they do not appear for court (“unsecured release”).
Administrative Release
An individual meeting specific criteria established by Supreme Court Order may be released without a judge or judicial officer being contacted.
Arraignment
Arraignment
The court hearing where an individual is informed of the charges against them. The case may be resolved at arraignment (e.g., plea entered or dismissed) or continued to the next phase. If the case is continued, conditions of release, including bail, may be set or changed (unless the case is dismissed).
Specialized Court
A judge may move a case to a court that is specially designed to address the underlying issues of an individual and/or the community, such as a Mental Health Court or Veterans’ Court.
Not Guilty Plea
Individual refutes all charges, case continues to preparation for trial.
Adjournment in Contemplation of Dismissal
A judge may order an Adjournment in Contemplation of Dismissal (“ACD”), which defers the disposition of a case for between six months and a year and, if the individual does not engage in criminal conduct or violate terms set by the court during that time, the case will be dismissed without a conviction.
Dismissed
A judge may close a case without a finding of guilt if the charging document does not meet legal requirements, including that the facts and information presented are not sufficient to support the stated criminal charges.
Cite:
Guilty Plea
Individual admits to committing the charged (or lesser) offense(s) in lieu of going to trial. The case then proceeds to sentencing.
Sentence
Not Guilty Plea
Individual refutes all charges, case continues to preparation for trial.
Community Court
Seattle Community Court (SCC) is a pathway for people to have their low-level misdemeanor charges dismissed by connecting with community supports and giving back through community service. Instead of spending time in jail, community court participants connect to services such as housing assistance, employment support, and drug treatment.
Dismissed
Judge dismisses the charge and the individual is released.
Guilty Plea
Individual admits to committing the charged (or lesser) offense(s) in lieu of going to trial. The case then proceeds to sentencing.
Sentence
Not Guilty Plea
Individual refutes all charges, case continues to preparation for trial.
Dismissed
Judge dismisses the charge(s) and the individual is released.
Guilty Plea
Individual admits to committing the charged (or lesser) offense(s) in lieu of going to trial. The case then proceeds to sentencing.
Sentence
Pretrial Release Decision
Pretrial Release Decision
Court determines whether a person charged with a crime will be released pending disposition of their case, what conditions should be imposed on their release, whether bail will be set (if permitted), or whether they should be jailed.
Release on Recognizance
Release on Recognizance (ROR) is when a person is released and promises to appear in court as scheduled and abide by any conditions that may be imposed by the Court. As of January 1, 2020, judges are no longer permitted to set bail for petit larceny (shoplifting) charges. For more information about bail reforms in NY State, see: https://datacollaborativeforjustice.org/work/bail/assessing-potential-impacts-of-2020-bail-reforms-in-new-york-city/.
Cite:
Supervised Release
Individual is released from custody during the pretrial period, but is supervised in the community and connected to services and programming.
Bail
If the court determines that an individual’s appearance in court cannot be reasonably assured through release on recognizance (ROR), the court may impose money bail (establishing a dollar amount that the individual must deposit with the court in order to secure release) or an unsecured bond (establishing a dollar amount the individual will owe if they fail to appear for court). If an individual is unable to make the money bail amount set, they will be detained pending disposition of their case.
Release on Recognizance
Release on Recognizance (ROR) is when a person is released and promises to appear in court as scheduled and abide by any conditions that may be imposed by the Court. In Seattle, there is a presumption that an individual will be released on recognizance (ROR) unless the court determines that ROR will not reasonably assure an individual’s appearance in court or there is a likely danger that the individual will commit a violent crime or interfere with the administration of justice.
Supervised Release
If the court determines that an individual’s appearance in court cannot be reasonably assured through release on recognizance (ROR), the court may order the individual released under supervision, which may include electronic monitoring or periodic reporting to Probation Services.
Bail
In order to be released from custody, an individual may be required to put up some amount of money or property that can be forfeited if they fail to show up for court. If the individual is unable to post bail, the person will remain in jail until bail is posted or the case is resolved.
Release on Recognizance
Release on Recognizance (ROR) is when a person is released and promises to appear in court as scheduled and abide by any conditions that may be imposed by the Court.
Pretrial Supervision
If the court determines that an individual poses a risk of flight, failure to appear or criminal activity, the court can order pretrial monitoring, which can include electronic monitoring and controlled substances testing.
Pretrial Diversion
Individuals may voluntarily enroll in Pretrial Diversion Program with the approval of the judge and consent of the county attorney. Upon successful completion of the program, the charge(s) may be dismissed.
Trial/ Plea
Trial/ Plea
The stage of the case where a person’s guilt or innocence is determined either because they plead guilty or a jury or judge determines guilt or innocence following a trial.
Acquitted
Individual found not guilty of the criminal charges against them after a trial by jury or judge.
Convicted
Individual found guilty after a trial by jury or judge, or the court entered a plea of guilty.
Dismissed
Case ended because judge or prosecutor determined that the case cannot be proven beyond a reasonable doubt, or because it was in the interest of justice to end the case.
Adjournment in Contemplation of Dismissal
A judge may order an Adjournment in Contemplation of Dismissal (“ACD”), which defers the disposition of a case for between six months and a year and, if the individual does not engage in criminal conduct or violate terms set by the court during that time, the case will be dismissed without a conviction.
Cite:
Acquitted
Individual found not guilty of the criminal charges against them after a trial by jury or judge.
Convicted
Individual found guilty after a trial by jury or judge, or the court entered a plea of guilty.
Dismissed
Case ended because judge or prosecutor determined that the case cannot be proven beyond a reasonable doubt, or because it was in the interest of justice to end the case.
Conditional Disposition
In Seattle Municipal Court, the prosecutor and individual charged with a crime may enter into an agreement whereby the individual is required to meet certain conditions (e.g., avoid arrest or re-conviction for a set period of time, do community service, etc.) and if the conditions are met, the charges will ultimately be dismissed. These agreements are sometimes referred to as “dispositional continuances.”
Sentence
Sentence
A judge will order specific punishment(s) for an individual who is found guilty or pleads guilty. This punishment can include a term of incarceration (e.g., to prison or jail) and/or some other types of non-incarceratory punishment, such as a probation or fine. In all three of the jurisdictions presented here, a judge may also order restitution – meaning that the individual is required to make some kind of compensation for the harm caused by their crime.
Jail/ Time Served
Individual was sentenced to length of time of incarceration, up to one year, in a city jail, or was sentenced to the time that the individual already served in jail during the pendency of the case.
Fine
Individual sentenced to pay a fine of up to $1,000, or twice the amount the individual’s gain from the crime.
Probation
Individual sentenced to a term of two or three years of supervision by the Department of Probation.
Conditional Discharge
Individual released based on list of conditions set by the judge, which might include providing restitution or performing community service.
Jail/ Time Served
Individual was sentenced to length of time of incarceration, up to one year, in a county jail, or was sentenced to the time that the individual already served during the pendency of the case.
Probation
Seattle’s Municipal Court provides post-trial probationary case management services and helps individuals meet their court-ordered obligations, including by addressing underlying challenges, such as drug addiction, mental illness and homelessness, that interfere with positive behavioral change.
Community Service
Seattle has a Community Service Monitoring Program that allows individuals to perform community service in lieu of paying infraction or criminal financial obligations.
Home Incarceration
Individual may be sentenced to remain in the confines of their home as an alternative to jail and may be required to wear a monitoring device and abide by certain conditions.
Cite:
Work Release
The Work Release Program is comprised of pretrial or sentenced inmates who are housed at the Community Corrections Center (CCC) facility. This program allows the individual to maintain employment while remaining in secure custody during non-working hours. Program participants are required to pay room and board of $15 a day unless a waiver is granted.
Jail/ Time Served
Individual sentenced to a length of time of incarceration, up to one year, or was sentenced to the time that the individual already served during the pendency of the case.
Probation
Individual sentenced to a term of two years of supervision by the Division of Probation.
Cite:
Fine
Individual sentenced to pay a fine of up to $500.