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Rules of the Chief Administrative Judge


PART 110. Procedure Under Cpl 330.20 (jointly Adopted By The State Commissioner Of Mental Health And The Chief Administrator Of The Courts)
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110.1 Preamble
110.2 Definitions
110.3 Examination order
110.4 Initial hearing, commitment order; civil commitment
110.5 First retention order
110.6 Second retention order
110.7 Subsequent retention order
110.8 Furlough order
110.9 Transfer order
110.10 Release order
110.11 Order of conditions
110.12 Recommitment order
110.13 Discharge order
110.14 Psychiatric examination; scope; form of report

Section 110.1 Preamble

(a) Section 12 of chapter 548 of the Laws of 1980 requires the State Commissioner of Mental Health and the Chief Administrator of the Courts to implement section 11 of that chapter (which added a new section 330.20 to the Criminal Procedure Law, hereinafter cited as CPL 330.20) by jointly adopting rules respecting the following matters:

(1) the scope of the psychiatric examinations prescribed by CPL 330.20;

(2) the data to be furnished the psychiatric examiners conducting the examinations prescribed in CPL 330.20;

(3) the form and content of the examination reports required to be filed under CPL 330.20;

(4) the form and content of the applications authorized to be filed under CPL 330.20; and

(5) the form and content of the court orders issuable under CPL 330.20.

(b)(1) The rules prescribed in this Part, including the forms appended hereto have been jointly adopted by the State Commissioner of Mental Health and the Chief Administrator of the Courts. The appended forms shall be the official forms for use in implementing CPL 330.20. Variations in these forms will be permitted if jointly approved by the said commissioner and chief administrator, or if, in the context of a particular case, a variation in a form is required in order to comply with an applicable provision of law.

(2) Since the appended forms do not expressly provide for a defendant who is mentally retarded, the appropriate forms must be modified by the court to conform with the provisions of CPL 330.20 when a defendant, found not responsible by reason of mental disease or defect, is determined by the court to be mentally retarded and not suffering from a dangerous mental disorder. In such case, if the defendant is in need of care and treatment as a resident in the inpatient services of a developmental center or other residential facility for the mentally retarded and developmentally disabled, jurisdiction is vested by law in the State Office of Mental Retardation and Developmental Disabilities, and not in the State Office of Mental Health [CPL 330.20(1)(d)].

Forms
Procedure following verdict or plea of not responsible by reason of mental disease or defect, see West's McKinney's Forms, CPL, Section 330.20, Forms 1 to 31.

Historical Note
Sec. added by renum. 6.1, filed Feb. 2, 1982 eff. Jan. 1, 1982.

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Section 110.2 Definitions

The definitions set forth in section 1.20, and in subdivision 1 of section 330.20, of the Criminal Procedure Law shall be applicable to this Part and the forms appended hereto.

Forms
Procedure following verdict or plea of not responsible by reason of mental disease or defect, see West's McKinney's Forms, CPL, Section 330.20, Forms 1 to 31.

Historical Note
Sec. added by renum. 6.2, filed Feb. 2, 1982 eff. Jan. 1, 1982.

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Section 110.3 Examination order

(a) Upon entry of a verdict of not responsible by reason of mental disease or defect, or upon the acceptance of a plea of not responsible by reason of mental disease or defect, the court must immediately issue an examination order. The form and contents of this examination order are prescribed in Form A and Form B (see Chapter II of Subtitle D of this Title). Form A directs that the defendant be committed to a secure facility as the place for conducting the psychiatric examination. Form B directs that the examination be conducted on an outpatient basis. Form B may be used in the court's discretion, but only if the defendant was not in custody at the time of the "not responsible" verdict or plea because he was previously released on bail or on his own recognizance.

(b) Form A authorizes confinement in a secure facility for a period not exceeding 30 days. Upon application of the commissioner, the court may authorize confinement for an additional period not exceeding 30 days when a longer period is necessary to complete the examination. Form A-1 prescribes the form and contents of this application and the order authorizing confinement for an additional period.

(c) Form B directs the outpatient psychiatric examination be completed within 30 days after the defendant has first reported to the place designated by the commissioner. Upon application of the commissioner, the court may extend such period for a reasonable time if a longer period is necessary to complete the examination. Form B-1 prescribes the form and contents of this application and the order extending the examination period. If the commissioner informs the court that confinement of the defendant is necessary for an effective examination, the court must direct that the defendant be confined in a facility designated by the commissioner until the examination is completed. This direction may be made orally, on the record, in open court.

(d) When an examination order is issued, the clerk of the court shall promptly forward or furnish a copy of this order to the persons named in Form A or Form B. In order to assist the psychiatric examiners in their examination of the defendant, the clerk of the court shall also promptly forward to the commissioner, or directly to the designated psychiatric examiners, the following material:

(1) a copy of the indictment and any other accusatory instrument in the court's file;

(2) a copy of any examination report submitted pursuant to CPL article 730;

(3) any psychiatric reports or medical records received in evidence at the trial or other proceedings before the court; and

(4) any other data or material designated by the court or requested by the psychiatric examiners, including any available and transcribed psychiatric testimony given at the trial or other proceedings before the court.

(e) After he has completed his examination of the defendant, each psychiatric examiner must promptly prepare a report of his findings and evaluation concerning the defendant's mental condition. The form of the examination report shall be as prescribed in Form Y. The report shall be submitted to the commissioner. Upon receipt of the examination reports, the commissioner shall submit four copies of each report to the court that issued the examination order. The clerk of the court shall furnish a copy of the reports to the district attorney, counsel for the defendant and the Mental Health Information Service.

(f) After the examination reports are submitted, the court must, within 10 days of receipt of such reports, conduct an initial hearing to determine the defendant's present mental condition. If the defendant is in the custody of the commissioner pursuant to an examination order, the court shall issue the order prescribed in Form C.

Forms
Procedure following verdict or plea of not responsible by reason of mental disease or defect, see West's McKinney's Forms, CPL, Section 330.20, Forms 1 to 31.

Historical Note
Sec. added by renum. 6.3, filed Feb. 2, 1982 eff. Jan. 1, 1982.

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Section 110.4 Initial hearing, commitment order; civil commitment

(a) At the initial hearing conducted pursuant to subdivision 6 of CPL 330.20, if the court finds that the defendant has a dangerous mental disorder, it must issue a commitment order. The form and contents of this commitment order are prescribed in Form G.

(b) At the initial hearing conducted pursuant to subdivision 6 of CPL 330.20, if the court finds that the defendant is mentally ill but does not have a dangerous mental disorder, the court must issue a civil order committing the defendant to the custody of the commissioner. The form and contents of this civil order are prescribed in Form F. When issuing this civil order, the court must also issue at the same time an order of conditions. The form and contents of the order of conditions are prescribed in Form N.

(c) At the initial hearing conducted pursuant to subdivision 6 of CPL 330.20, if the court finds that the defendant does not have a dangerous mental disorder and is not mentally ill, the court must issue one of the following orders:

(1) an order discharging the defendant unconditionally (Form D); or

(2) an order discharging the defendant subject to an order of conditions (Form E and Form N).

Historical Note
Sec. added by renum. 6.4, filed Feb. 2, 1982 eff. Jan. 1, 1982.

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Section 110.5 First retention order

(a) When a defendant is in the custody of the commissioner pursuant to a commitment order or a recommitment order, the commissioner must, at least 30 days prior to the expiration of the period prescribed in the order, apply to the court that issued the order, or to a superior court in the county where the secure facility is located, for a first retention order or a release order. Upon receipt of such application, the court may, on its own motion, conduct a hearing to determine whether the defendant has a dangerous mental disorder, and it must conduct such hearing if a demand therefor is made by one of the parties.

(b) Form H prescribes the form and contents of the application for a first retention order and the notice of application. Form Q prescribes the form and contents of the application for a release order and the notice of application. Following the submission of either such application pursuant to subdivision 8 of CPL 330.20, if the court finds that the defendant has a dangerous mental disorder it must issue a first retention order. The form and contents of this first retention order are prescribed in Form I.

(c) Following the submission of an application for a first retention order (Form H) or an application for a release order (Form Q) pursuant to subdivision 8 of CPL 330.20, if the courts finds that the defendant is mentally ill but does not have a dangerous mental disorder, it must issue the following three orders:

(1) a first retention order (Form I);

(2) a transfer order (Form P); and

(3) an order of conditions (Form N).

(d) Following the submission of an application for a first retention order (Form H) or an application for a release order (Form Q) pursuant to subdivision 8 of CPL 330.20, if the court finds that the defendant does not have a dangerous mental disorder and is not mentally ill, it must issue the following two orders:

(1) a release order (Form R); and

(2) an order of conditions (Form N).

Forms
Procedure following verdict or plea of not responsible by reason of mental disease or defect, see West's McKinney's Forms, CPL, Section 330.20, Forms 1 to 31.

Historical Note
Sec. added by renum. 6.5, filed Feb. 2, 1982 eff. Jan. 1, 1982.

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Section 110.6 Second retention order

(a) When a defendant is in the custody of the commissioner pursuant to a first retention order, the commissioner must, at least 30 days prior to the expiration of the period prescribed in the order, apply to the court that issued the order, or to a superior court in the county where the facility is located, for a second retention order or a release order. Upon receipt of such application, the court may, on its own motion, conduct a hearing to determine whether the defendant has a dangerous mental disorder, and it must conduct such hearing if a demand therefor is made by one of the parties.

(b) Form J prescribes the form and contents of the application for a second retention order and the notice of application. Form Q prescribes the form and contents of the application for a release order and the notice of application. Following the submission of either such application pursuant to subdivision 9 of CPL 330.20, if the court finds that the defendant has a dangerous mental disorder it must issue a second retention order. The form and contents of this second retention order are prescribed in Form K.

(c) Following the submission of an application for a second retention order (Form J) or an application for a release order (Form Q) pursuant to subdivision 9 of CPL 330.20, if the court finds that the defendant is mentally ill but does not have a dangerous mental disorder, it must issue the following three orders:

(1) a second retention order (Form K);

(2) a transfer order (Form P); and

(3) an order of conditions (Form N).

(d) Following the submission of an application for a second retention order (Form J) or an application for a release order (Form Q) pursuant to subdivision 9 of CPL 330.20, if the court finds that the defendant does not have a dangerous mental disorder and is not mentally ill, it must issue the following two orders:

(1) a release order (Form R); and

(2) an order of conditions (Form N).

Forms
Procedure following verdict or plea of not responsible by reason of mental disease or defect, see West's McKinney's Forms, CPL, Section 330.20, Forms 1 to 31.

Historical Note
Sec. added by renum. 6.6, filed Feb. 2, 1982 eff. Jan. 1, 1982.

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Section 110.7 Subsequent retention order

(a) When a defendant is in the custody of the commissioner pursuant to a second retention order, or a previously issued subsequent retention order, the commissioner must, at least 30 days prior to the expiration of the period prescribed in the order, apply to the court that issued the order, or to a superior court in the county where the facility is located, for a subsequent retention order or a release order. Upon receipt of such application, the court may, on its own motion, conduct a hearing to determine whether the defendant has a dangerous mental disorder, and it must conduct such hearing if a demand therefor is made by one of the parties.

(b) Form L prescribes the form and contents of the application for a subsequent retention order and the notice of application. Form Q1 prescribes the form and contents of the application for a release order and the notice of application. Following the submission of either such application pursuant to subdivision 9 of CPL 330.20, if the court finds that the defendant has a dangerous mental disorder it must issue a subsequent retention order. The form and contents of this subsequent retention order are prescribed in Form M.

(c) Following the submission of an application for a subsequent retention order (Form L) or an application for a release order (Form Q) pursuant to subdivision 9 of CPL 330.20, if the court finds that the defendant is mentally ill but does not have a dangerous mental disorder, it must issue the following three orders:

(1) a subsequent retention order (Form M);

(2) a transfer order (Form P); and

(3) an order of conditions (Form N).

(d) Following the submission of an application for a subsequent retention order (Form L) or an application for a release order (Form Q) pursuant to subdivision 9 of CPL 330.20, if the court finds that the defendant does not have a dangerous mental disorder and is not mentally ill, it must issue the following two orders:

(1) a release order (Form R); and

(2) an order of conditions (Form N).

Forms
Procedure following verdict or plea of not responsible by reason of mental disease or defect, see West's McKinney's Forms, CPL, Section 330.20, Forms 1 to 31.

Historical Note
Sec. added by renum. 6.7, filed Feb. 2, 1982 eff. Jan. 1, 1982.

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Section 110.8 Furlough order

(a) When a defendant is in the custody of the commissioner in a secure facility pursuant to a commitment order, a recommitment order, or a retention order, the commissioner may apply for a furlough order pursuant to subdivision 10 of CPL 330.20. The application for a furlough order may be made to the court that issued the commitment order or to a superior court in the county where the secure facility is located. Upon receipt of such application the court may, on its own motion, conduct a hearing to determine whether the application should be granted, and must conduct such hearing if a demand therefor is made by the district attorney.

(b) Form U prescribes the form and contents of the application for a furlough order and the notice of application. Following the submission of such application, if the court finds that the issuance of a furlough order is consistent with the public safety and welfare of the community and the defendant, and that the clinical condition of the defendant warrants a granting of the privileges authorized by a furlough order, the court must grant the application and issue a furlough order. The form and contents of this furlough order are prescribed in Form V.

Forms
Procedure following verdict or plea of not responsible by reason of mental disease or defect, see West's McKinney's Forms, CPL, Section 330.20, Forms 1 to 31.

Historical Note
Sec. added by renum. 6.8, filed Feb. 2, 1982 eff. Jan. 1, 1982.

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Section 110.9 Transfer order

(a) When a defendant is in the custody of the commissioner in a secure facility pursuant to a retention order or a recommitment order, the commissioner may apply for a transfer order pursuant to subdivision 11 of CPL 330.20. A transfer order may not be issued when the defendant is in custody of the commissioner pursuant to a commitment order. The application for a transfer order may be made to the court that issued the order under which the defendant is then in custody, or to a superior court in the county where the secure facility is located. Upon receipt of such application, the court may, on its own motion, conduct a hearing to determine whether the application should be granted, and must conduct such hearing if the demand therefor is made by the district attorney.

(b) Form O prescribes the form and contents of the application for a transfer order and the notice of application. Following the submission of such application, the court must grant the application and issue a transfer order if the court finds that the defendant does not have a dangerous mental disorder, or if the court finds that the issuance of a transfer order is consistent with the public safety and welfare of the community and the defendant and that the clinical condition of the defendant warrants his transfer from a secure facility to a nonsecure facility. The form and contents of this transfer order are prescribed in Form P.

(c) A court must also issue a transfer order (Form P) when, in connection with an application for a first retention order (Form H), a second retention order (Form J), or a subsequent retention order (Form L), the court finds that the defendant is mentally ill but does not have a dangerous mental disorder.

(d) Whenever a court issues a transfer order (Form P), it must also issue an order of conditions (Form N).

Forms
Procedure following verdict or plea of not responsible by reason of mental disease or defect, see West's McKinney's Forms, CPL, Section 330.20, Forms 1 to 31.

Historical Note
Sec. added by renum. 6.9, filed Feb. 2, 1982 eff. Jan. 1, 1982.

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Section 110.10 Release order

(a) When a defendant is in the custody of the commissioner pursuant to a retention order or a recommitment order, the commissioner may apply for a release order pursuant to subdivision 12 of CPL 330.20. The application for a release order may be made to the court that issued the order under which the defendant is then in custody, or to a superior court in the county where the facility is located. Upon receipt of such application, the court must promptly conduct a hearing to determine the defendant's present mental condition.

(b) Form Q prescribes the form and contents of the application for a release order and the notice of application. At the conclusion of the hearing conducted pursuant to subdivision 12 of CPL 330.20, if the court finds that the defendant does not have a dangerous mental disorder and is not mentally ill, it must grant the application and issue a release order. The form and contents of this release order are prescribed in Form R.

(c) At the conclusion of the hearing conducted pursuant to subdivision 12 of CPL 330.20, if the court finds that the defendant has a dangerous mental disorder, it must deny the application for a release order.

(d) At the conclusion of the hearing conducted pursuant to subdivision 12 of CPL 330.20, if the court finds that the defendant does not have a dangerous mental disorder but is mentally ill, it must issue a transfer order (Form P) if the defendant is then confined in a secure facility.

(e) A court must also issue a release order (Form R) when, in connection with an application for a first retention order (Form H), a second retention order (Form J), or a subsequent retention order (Form L), the court finds that the defendant does not have a dangerous mental disorder and is not mentally ill.

(f) Whenever a court issues a release order (Form R), it must also issue an order of conditions (Form N).

(g) If the court has previously issued a transfer order (Form P) and an order of conditions (Form N), it must issue a new order of conditions upon issuing a release order (Form R).

Forms
Procedure following verdict or plea of not responsible by reason of mental disease or defect, see West's McKinney's Forms, CPL, Section 330.20, Forms 1 to 31.

Historical Note
Sec. added by renum. 6.10, filed Feb. 2, 1982 eff. Jan. 1, 1982.

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Section 110.11 Order of conditions

(a) An order of conditions is issuable in the following instances:

(1) If the court issues a transfer order, it must also issue an order of conditions.

(2) If the court issues a release order, it must also issue an order of conditions.

(3) If the court at the initial hearing conducted pursuant to CPL 330.20(6) finds that the defendant is mentally ill but does not have a dangerous mental disorder, it must issue an order of conditions and a civil order committing the defendant to the custody of the commissioner pursuant to the applicable provisions of the Mental Hygiene Law.

(4) If the court at the initial hearing conducted pursuant to CPL 330.20(6) finds that the defendant does not have a dangerous mental disorder and is not mentally ill, it must discharge the defendant either unconditionally or subject to an order of conditions.

(b) Form N prescribes the form and contents of an order of conditions.

Forms
Procedure following verdict or plea of not responsible by reason of mental disease or defect, see West's McKinney's Forms, CPL, Section 330.20, Forms 1 to 31.

Historical Note
Sec. added by renum. 6.11, filed Feb. 2, 1982 eff. Jan. 1, 1982.

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Section 110.12 Recommitment order

(a) At any time during the period covered by an order of conditions (Form N), an application may be made by the commissioner or the district attorney for a recommitment order when the applicant is of the view that the defendant has a dangerous mental disorder. The application for a recommitment order may be made to the court that issued the order of conditions, or to a superior court in the county where the defendant is then residing. Form S prescribes the form and contents of an application for a recommitment order.

(b) Upon receipt of an application for a recommitment order (Form S), the court must order the defendant to appear before it for a hearing to determine if the defendant has a dangerous mental disorder. Form S-1 prescribes the form and contents of this order to appear. If the defendant fails to appear in court as directed, the court must issue a warrant. Form S-2 prescribes the form and contents of this warrant. When the defendant is brought before the court on the warrant, the court may direct that the defendant be confined in an appropriate institution. Form S-3 prescribes the form and contents of this temporary confinement order.

(c) When the defendant appears before the court on an application for a recommitment order (Form S), the court must conduct a hearing to determine whether the defendant has a dangerous mental disorder. If the court finds that the defendant has a dangerous mental disorder, it must issue a recommitment order. The form and contents of this recommitment order are prescribed in Form T.

Forms
Procedure following verdict or plea of not responsible by reason of mental disease or defect, see West's McKinney's Forms, CPL, Section 330.20, Forms 1 to 31.

Historical Note
Sec. added by renum. 6.12, filed Feb. 2, 1982 eff. Jan. 1, 1982.

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Section 110.13 Discharge order

(a) When a defendant has been continuously on an outpatient status for three years or more pursuant to a release order, the commissioner may apply for a discharge order pursuant to subdivision 13 of CPL 330.20. The application for a discharge order may be made to the court that issued the release order, or to a superior court in the county where the defendant is then residing. Upon receipt of such application, the court may, on its own motion, conduct a hearing to determine whether the application should be granted, and must conduct such hearing if a demand therefor is made by the district attorney.

(b) Form W prescribes the form and contents of the application for a discharge order and the notice of application. Following the submission of such application, the court must grant the application and issue a discharge order if the court finds that the defendant has been continuously on an outpatient status for three years or more, that he does not have a dangerous mental disorder and is not mentally ill, and that the issuance of the discharge order is consistent with the public safety and welfare of the community and the defendant. The form and contents of this discharge order are prescribed in Form X.

Forms
Procedure following verdict or plea of not responsible by reason of mental disease or defect, see West's McKinney's Forms, CPL, Section 330.20, Forms 1 to 31.

Historical Note
Sec. added by renum. 6.13, filed Feb. 2, 1982 eff. Jan. 1, 1982.

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Section 110.14 Psychiatric examination; scope; form of report

(a) The scope of the psychiatric examinations prescribed by CPL 330.20 shall be as follows:

(1) the diagnosis and prognosis made by the psychiatric examiner concerning the defendant's mental condition;

(2) the findings and evaluation made by the psychiatric examiner concerning the defendant's mental condition;

(3) pertinent and significant factors in the defendant's medical and psychiatric history;

(4) the psychiatric signs and symptoms displayed by the defendant; and

(5) the reasons for the opinion stated by the psychiatric examiner (including, when defendant has a dangerous mental disorder, an explanation as to why, because of defendant's mental condition, he currently constitutes a physical danger to himself or others).

(b) Form Y prescribes the form and contents of the psychiatric examination reports required to be filed under CPL 330.20.

Forms
Procedure following verdict or plea of not responsible by reason of mental disease or defect, see West's McKinney's Forms, CPL, Section 330.20, Forms 1 to 31.

Historical Note
Sec. added by renum. 6.14, filed Feb. 2, 1982 eff. Jan. 1, 1982.