Shiprock Court Arraignment Procedure

SHIPROCK COURT – CRIMINAL / CRIMINAL TRAFFIC FLOW – updated 8/26/2009

Manual Automated System 1. DOCKETING COMPLAINTS

Clerks receive criminal traffic → Arraignment stamp; create → Create File cases and criminal complaints criminal file folder; assign for docketing automated docket number. CRIMINAL TRAFFIC = [Op 1][T][CR] CRIMINAL = [Op 1][R] (Clerks receive the criminal complaints by 10:30 AM on day Traffic Citations only Mandatory data fields: of arraignment)  personal info of def.  Write on the citation the date filed [AUTOFILL]  docket number generated by offense date the automated case system.  offense code (Clerk must also initial)  citation # (IF TRAFFIC)  report # Original citation goes into the  judge assigned criminal file folder  attorney (PROSECUTOR)  badge # GREEN COPY goes to File  officer name Box in Vault  arraignment date (IF ANY)  tickler CANARY COPY- goes to defendant.

PINK COPY goes to issuing officer

 If PR issued → Note hearing/arraignment date ↔ Edit & Proceed. in court calendar book Mandatory data fields [Opt 2]  calendar date  calendar time  hearing type  tickler hearing date  comments/Initial Two processes on PR: [Op 3] •Defendant(s) released from the [ADD PROCEEDING/Initial] local detention during weekend and non-work hours.

•Detention officer performs scheduling of defendant for arraignment prior to release.

•Original and completed PR is filed with Court the next business day. PR might include cash bond agreement if defendant posted cash bond.

•Money order or cashier check is attached to PR/Cash Bond Agreement retrieve by court bailiff on arraignment dates – Manual Automated System

Monday, Wednesday and Friday.

Second (another) Process: •For reason, the Court extends a PR date or reschedule. •Reissue new PR.

 If no PR issued: → Check court calendar book for ↔ Edit & Proceed. an open date 1 – 4 WEEKS out Mandatory data fields Issue Criminal Summons to [Opt 2] NDLE and Pros. for service.  date crim. summons issued  calendar date  calendar time  hearing type  tickler hearing date  comments/Initial [Op 3] [ADD PROCEEDING/Initial]

 If a signed Affidavit of Service → PRINT PROCEEDINGS to file ↔ Edit & Proceed. is in the file: Mandatory data fields [Op 2]  summons issued  summons returned [Op 3] [ADD PROCEEDING/Initial]

2. BENCH WARRANTS

Bench warrants are issued when → If noncompliance is nonpayment ↔ If BW is issued, Edit & Proceed. Def. fails to appear (FTA) and or failure to show for hearing, there is a signed Affidavit or arraignment or PTC, issue BW; Mandatory data fields Certification of Service in the judge signs. [Op 2] file; when Def. fails to pay  warrant issued restitution, attend educational If noncompliance is a failure to  term date [FILL “BW”] classes, or any condition of complete a condition, check  tickler [FILL DATE ONE YEAR sentencing. with Probation and judge and OUT BW/FOR INVENTORY follow what judge orders. PURPOSES ONLY]  Comment /Initial [Op 3] Distribute BW as follows: [ADD PROCEEDING/Initial] 1x cert copy to NDLE; 1x cert. copy to Pros. 1x cert. copy to file.

3. DAILY OR WEEKEND CHECK OF DETENTION’S ARREST ROSTER

→ If arrestee has an outstanding ↔ Edit & Proceed. Conduct a clearance check of BW, notify detention, who will each arrestees for any get NDLE officer to serve. Mandatory data fields outstanding bench warrant(s) [Op 2]

CRIMINAL/CRIMINAL TRAFFIC FLOW – 2 Manual Automated System

Add Def. to arraignment list.  warrant returned  warrant quashed [TODAY] Quash warrant and attached  arraignment date [TODAY] quash warrant slip to file.  Clerk’s initials in “QUASH WARRANT BY” box  print quash slip [AUTOPRINT]  requires judge’s signature ( quash slip)  [Op 3] [ADD PROCEEDING/Initial]

Usage of tickler system – → Print tickler report on Monday, ↔ If BW is issued, Edit & Proceed. Data entry of timelines for and distribute report for sentence conditions (fine due, specified caseload to assigned Mandatory data fields education class(es), referral, clerk handling caseload. [Op 2] probation period, community Retrieve cases and verify  warrant issued service work,etc.) compliance.  term date [FILL “BW”]  tickler [FILL DATE ONE YEAR If noncompliance is OUT BW/FOR INVENTORY nonpayment, issue BW; judge PURPOSES ONLY] signs.  Comment /Initial [Op 3] If noncompliance is more [ADD PROCEEDING/Initial] complex, check with Probation Tickler system is also used to and judge and follow what judge tickle bench warrant for orders. inventory in one year due that there is a backlog of o/s BW for Distribute BW as follows: lack of service. Some BW are 1x cert copy to NDLE; quashed for lack of service and 1x cert. copy to Pros. case(s) gets closed. 1x cert. copy to file.

Walk-ins who have been issued → Have walk-ins wait in lobby if ↔ Edit & Proceed as above. BWs but not yet served there is outstanding BW; call NDLE who will serve BW and take him/her to Detention

If there is an arraignment that afternoon, defendant is scheduled for arraignment the same day.

4. PREPARATION FOR ARRAIGNMENTS

MORNING OF ARRAIGNMENTS:

1. Receive new complaints → Complaints (hard copy) ↔ Edit & Proceed as in # 1 Arraignment stamp; create criminal file folder

2. Receive signed Returns → Pull Def.’s files from BW vault. ↔ Edit & Proceed of Warrants Attach quash slip to file Mandatory data fields Delete #2, already mentioned [Op 2] under #3 – DAILY OR WEEKEND  warrant returned

CHECK OF DETENTION ROSTER.  warrant quashed [TODAY]  arraignment date [TODAY]  Clerk’s initials in “QUASH WARRANT BY” box  print quash slip [AUTOPRINT] [Op 3] [ADD PROCEEDING/Initial] 3. Receive PRs and Roster → Check for outstanding BWs and from Detention check for Def.’s names in court Delete calendar book; then pull their files from the vault.

5. ARRAIGNMENTS

Roll Call @ 1:00 PM

COURT CANNOT PROCEED IF

 Def. fails to appear but there → Check court calendar book for ↔ Edit & Proceed is no signed Affidavit of 30 DAYS out Service; Mandatory data fields OR Issue Criminal Summons to [Op 2] Def. appears but there is no NDLE, 1 copy to Pros. and 1  date crim. summons issued complaint copy to file  calendar date  calendar time  hearing type  tickler hearing date  comments/initial [Op 3] [ADD PROCEEDING/Initial]

 Def fails to appear and there → Issue BW; judge signs. ↔ Edit & Proceed as in # 2 is a signed Affidavit of Service Distribute BW as follows: 1x cert copy to NDLE; 1x cert. copy to Pros. 1x cert. copy to file.

 If cash bond was posted, •Post disbursement in Cash Accounting Menu def. forfeits cash bond that Bond Journal •Complete disbursement transaction he/she posted. •Cash Bond Journal on the cash bond and disburse $$ maintained using Excel cash bond to the Navajo Nation Application. Depository account.

Diversion The Court may issue a diversion Manual process. order, or the prosecutor may enter into Deferred Prosecution Agreement with defendants, at any stage prior to a plea or finding of guilt in order for the defendant to fulfill certain terms and conditions, after which the court may dismiss the case without determination of guilt.

IF DEF. APPEARS, COURT PROCEEDS

Rights are explained. Individual → Probation requests closed case

CRIMINAL/CRIMINAL TRAFFIC FLOW – 4 Manual Automated System new cases and BWs are called. file from Clerks and checks BWs – judge reads plea defendant’s statement against agreements or sentences, probation record for compliance obtain statement and plea, in BW cases. obtain update from Probation. NEW CASES – judge reads complaint, obtain defendant’s statement and plea

 GUILTY PLEA OR NO → Issue Judgment and Mittimus; ↔ Edit & Proceed CONTEST – immediate Judge signs. sentencing for non- Mandatory data fields criminalized offenses Judgment/Mittimus generated [Op 2] using the Microsoft Word  term date [FILL IN DETAILS – Application. Judge signs each LEAVE DATE BLANK] prepared Order.  tickler [ANY SCRN DATES etc.]  comments/Initial [FILL IN DETAILS Serve Def. after court and have OF SENTENCING][FILL IN defendant sign certification of DETAILS OF SERVICE IF BY MAIL] service. If they cannot wait, [Op 3] mail them a copy. After all [ADD PROCEEDING/Initial] required signatures are obtained; defendant(s) have to continue to wait. All finalized Orders are photocopied for distribution. Due to large court and processing of numerous defendants, it is time consuming to complete task of photocopying which results in defendants to wait longer.

PRINT proceedings update to file

•Temporary Commitment  Defending on seriousness of charges. Court Orders prepared using  Defendant maybe TC for Microsoft Word; Order sign any type of Hearing (PTC by Judge and distribution. or Sentence Hrng.). * All done manually.  Sentence Hearing - Def. Del TR for 30-45 days. Probation receives notice of PPO to prepare pre- request for pre-sentence sentence report. report.

 GUILTY PLEA OR NO → Def. normally on temporary ↔ Edit & Proceed CONTEST – presentence release pending sentencing report ordered for more hearing scheduled 45 DAYS out Mandatory data fields severe offenses [Op 2] Issue Notice of Sentencing  date served Hearing  calendar date  calendar time Presentence Report due 5  hearing type DAYS prior to hearing  tickler PTC date Probation officer conduct  comments/initial personal interview with [Op 3] defendant. [ADD PROCEEDING/Initial]

 NOT GUILTY PLEA → Schedule PTC 2 - 3 WEEKS ↔ Edit & Proceed out Mandatory data fields Issue Acceptance of Plea and [Op 2] Notice of Pre-Trial  date served Conference; clerks signs.  calendar date  calendar time Serve Def. after court and have  hearing type defendant sign certification of  tickler PTC date service. If they cannot wait,  comments/initial mail them a copy. Issue [Op 3] involved with time required to [ADD PROCEEDING/Initial] complete the photocopying for distribution.

PRINT proceedings update to file

File the case under scheduled PTC date

Note PTC date in court calendar book

6. PRE-TRIAL CONFERENCE

Only Prosecutor, Clerk, Def. and Def.’s Counsel attend.

IF DEF. FAILS TO APPEAR → Issue BW ↔ Edit & Proceed as for BW

IF DEF. PLEADS GUILTY → Prosecutor files Motion and ↔ Edit & Proceed as for GUILTY PLEA Order to Accept Plea above Agreement. Judge signs.

PRINT updated proceedings to file

IF DEF. MAINTAINS NOT GUILTY → Check court calendar for an Edit & Proceed PLEA open date 30 - 45 DAYS out ↔ Mandatory data fields Issue Acceptance of Not [Op 2] Guilty Plea and Notice of  date served Trial; clerk signs.  calendar date  calendar time Serve Def. after court and  hearing type have him/her sign certification  tickler date of service. If they cannot wait,  comments/initial mail them a copy. [Op 3] [ADD PROCEEDING/Initial] PRINT proceedings update

File under scheduled date

Note hearing date in court calendar book

Application for Appointment of Counsel.

7. TRIAL

If Def. wishes to change plea on → Prosecutor files Motion and ↔ Edit & Proceed as for GUILTY PLEA day of trial Order to Accept Plea above Agreement. Judge signs.

If Judge advises parties to come → Clerk conveys judge’s ↔ Edit & Proceed as for GUILTY PLEA to plea agreement prior to trial message to parties. If a plea above agreement is reached, Prosecutor files Motion and Order to Accept Plea Agreement. Judge signs.

If probation is granted, defendant Process is all done is referred to probation for manually. processing.

If Trial proceeds as scheduled and → Issue Judgment & Mittimus; ↔ Edit & Proceed Def. is found guilty and judge judge signs proceeds to immediate sentencing Mandatory data fields:  term date [FILL IN DETAILS – LEAVE DATE BLANK]  tickler [ANY SCRN DATES etc.]  comments [FILL IN DETAILS OF SENTENCING][FILL IN DETAILS OF SERVICE IF BY MAIL] [Op 3] [ADD PROCEEDING/Initial]

If Trial proceeds as scheduled and → ↔ Edit & Proceed Def. is found guilty and judge delays sentencing for briefs Mandatory data fields [Op 2] Or  tickler date  comments/initial -Judgment & Mittimus maybe [Op 3] issued after trial. [ADD PROCEEDING/Initial] -If sentence includes probation, defendant is referred to probation for processing.

If Dismissal for Lack of → Issue Order of Dismissal; ↔ Edit & Proceed Prosecution, or acquittal after trial Judge signs Mandatory data fields [Op 2]  term date and details  comments/Initial – CASE CLOSED [Op 3] [ADD PROCEEDING/Initial]

8. PAYMENTS – Restitution, Fines, Fees, Bonds

Traffic Fine Payments → Court will accept only MOs and ↔ Edit & Proceed cashier’s checks. NO PARTIAL OR INSTALLMENT Mandatory data fields PAYMENTS ACCEPTED [Op 2] UNLESS SO GRANTED BY  term date & details JUDGE.  account number  amount paid Clerk will apply the payment in  clear tickler the automated system and  comments/Initial (“DEF. PAID issue automated receipt to Def. FINE ON (date) etc.] [Proceed to Payments “P”] The MO or cashier’s check is  payment amount attached to both YELLOW and  payment type PINK copies of receipt and put  MO number in money bag in locked drawer for deposit the following  payor business day into a designated  authorization initial Navajo Nation account.  print receipt [AUTOPRINT & NUMBERED] The YELLOW and PINK copies [Proceed to Op 3] of receipt are separated upon  [ADD PROCEEDINGS][“Def deposit after which PINK copy is paid fine in amt of $__, receipt filed with financial reports and #; case closed”][Initials] YELLOW is put in receipt book. (See “ACCOUNTING FLOW/Deposit and Reports.”)

PRINT updated proceedings and close case upon full payment.

Attach original citation to proceedings printout and file in vault.

Traffic Fine Overpayments If payment exceeds the fine, ↔ Edit & Proceed.

First the payment must be FIRST, follow all above steps for applied in the automated receiving traffic fine payments. system and a receipt issued; SECOND, apply the overpayment as Second, the overpayment must follows: be separately applied in the automated system as a “bond Mandatory data fields: payment” and a second receipt [Op 2] issued for the overpayment.  enter overpayment under “bond payment” Both receipts are given to Def.  comments/Initial] [Proceed to Payments “P”]

The MO or cashier’s check is  payment amount attached to both YELLOW and  payment type PINK copies of receipt and put  MO number in money bag in locked drawer  payor for deposit the following  authorization initial business day into the court local  print receipt [AUTOPRINT & account. NUMBERED] [Proceed to Op 3] The YELLOW and PINK copies  [ADD PROCEEDINGS][“Def of receipt are separated upon overpaid in amt of $__, receipt deposit after which PINK copy is #”][Initials] filed with financial reports and YELLOW is put in receipt book. (See “ACCOUNTING FLOW/Deposit and Reports.”)

When the deposit clears, a disbursement check for the overpayment from the court account will be sent to Def. via a court check. (See “Disbursements.”)

Cash Bond Payments → Clerk accepts MO and Cashier’s ↔ Edit & Proceed. checks Mandatory data fields: Clerk will apply the payment as [Op 2] a “bond amount” in the  bond amount automated system and issue  clear tickler automated receipt to Def.  comments/Intial [Proceed to Payments “P”] The MO or cashier’s check is  payment amount attached to both YELLOW and  payment type PINK copies of receipt and put  MO number in money bag in locked drawer  payor for deposit the following  authorization initial business day into the court local account.  print receipt [AUTOPRINT & NUMBERED] The YELLOW and PINK copies [Proceed to Op 3] of receipt are separated upon [ADD PROCEEDINGS/Initials] deposit after which PINK copy is filed with financial reports and YELLOW is put in receipt book. (See “ACCOUNTING FLOW/Deposit and Reports.”)

Bond will be disbursed back to Def. via a check after Def. appears at arraignment or, if judge requires, after completion of trial. Bond amount may also be applied to Def.’s restitution or fines if the friends/family who submitted the bond provides permission in writing. (See “Disbursements” for details.)

PRINT updated proceedings.

Restitution Payments → Clerk accepts MO and Cashier’s ↔ Edit & Proceed.

checks. COURT WILL ACCEPT INSTALLMENT Mandatory data fields: PAYMENTS. [Op 2]  bond amount Clerk will log in the restitution  clear tickler installment on an Installment  comments/Initial Sheet in the case folder. [Proceed to Payments “P”]  payment amount Clerk will apply the payment as  payment type a “bond amount” in the  MO number automated system and issue  payor automated receipt to Def.  authorization initial The MO or cashier’s check is  print receipt [AUTOPRINT & attached to both YELLOW and NUMBERED] PINK copies of receipt and put [Proceed to Op 3] in money bag in locked drawer [ADD PROCEEDINGS/Initials] for deposit the following business day into the court local account.

The YELLOW and PINK copies of receipt are separated upon deposit after which PINK copy is filed with financial reports and YELLOW is put in receipt book. (See “ACCOUNTING FLOW/Deposit and Reports.”)

The payment will be disbursed to Victim via a check. Victim must appear in person with ID at the window to collect the disbursement. Victim will be given a check and a “restitution transaction” receipt. Victim must sign the Installment Log in the case folder. (See “Disbursements” for details.)

PRINT updated proceedings.

Peacemaker Fee → Clerk accepts MO and Cashier’s ↔ Edit & Proceed. checks of the $60 Peacemaker mediation fee. This fee will be Mandatory data fields: disbursed to the peacemaker [Op 2] after deposit.  bond payment amount  comments/Initial Clerk will apply the payment in [Proceed to Payments “P”] the automated system as a  payment amount “bond payment” and issue  payment type automated receipt to  MO number Peacemaking Plaintiff.  payor  authorization initial The MO or cashier’s check is  print receipt [AUTOPRINT & attached to both YELLOW and NUMBERED] PINK copies of receipt and put [Proceed to Op 3] in money bag in locked drawer [ADD PROCEEDINGS/Initials] for deposit the following business day into the court local account.

The YELLOW and PINK copies of receipt are separated upon deposit after which PINK copy is filed with financial reports and YELLOW is put in receipt book. (See “ACCOUNTING FLOW/Deposit and Reports.”)

PRINT updated proceedings

The fee will be disbursed upon completion of the peacemaking, at the Peacemaker Liaison’s written request. (See “Disbursements.”)

“Disbursements” in this section → 4 clerks are authorized to sign ↔ FIRST, request that a Supervisor refer to checks issued by the court disbursements. update the bond amount to $0 or other after deposit of (a) restitution balance after disbursement. This is an checks intended for victims; (b) All disbursements must be co- advanced supervisory function. cash bonds that must be signed. reimbursed to Def. after compliance Edit & Proceed. with court appearances; (c) Each disbursement must be Peacemaker mediation Fees; and recorded in the automated Mandatory data fields: (e) application of security bonds to system and the bond balance [Op 2] fines. updated to reflect the a. check that Supervisor has disbursement. changed balance to $0 b. clear tickler (if necessary) Restitution Installments – c. comment/initial Victims must present ID and [Proceed to Payments “P”] collect and sign for their  payment amount restitution disbursement  payment type personally from the window.  check number They must sign for their check  account code in the Installment Log in the  authorization initial case folder. Victims will also be  print receipt [AUTOPRINT & given a “Restitution NUMBERED] Transaction” receipt generated [Proceed to Op 3] by the automated system. [ADD PROCEEDINGS/Initials] Cash Bond Reimbursements – Upon disbursement, Def. will be given a “Security Bond” receipt generated by the automated Note: For disbursement of system. peacemaker fees, editing and proceeding is performed by the Application of Security Bond to Accounting Clerk, not the Liaison Fines – If Def. wishes a cash office.) bond to be applied to fines, the friend/family putting up the bond must first provide the clerks with a written release.

Peacemaker Fees – checks are made out to the specific Peacemaker after completion of peacemaking at the written request of the Peacemaker Liaison. The check is given to the Liaison for hand delivery or mailing to the peacemaker.

9. JURY TRIALS 1 0.

Def. hires counsel and demands → Def. files Jury Demand ↔ Edit & Proceed. jury trial. Written Demand is made after arraignment and prior to PTC Mandatory data fields: [Op 3] [ADD PROCEEDINGS/Initials]

→ Note down any pre-trial order, ↔ Edit & Proceed. conference report, scheduling order, witness list, etc. from Mandatory data fields: PTC [Op 3] [ADD PROCEEDINGS/Initials]

→ Schedule final PTC 30 DAYS ↔ Edit & Proceed. out. Issue Acceptance of Not Guilty Plea and Notice of Mandatory data fields Final Pre-Trial Conference; [Op 2] Judge signs. Give to Def. to  date served sign before he/she leaves the  calendar date PTC  calendar time  hearing type  tickler date  comments [Op 3] [ADD PROCEEDINGS/Initials]

→ Send out questionnaires and ↔ Edit & Proceed. summons to jury pool (usually 150; 40 respond) Mandatory data fields: [Op 3] [ADD PROCEEDINGS/Initials]

→ Xerox returned questionnaire ↔ Edit & Proceed. and distribute to Pros. And Def.’s counsel Mandatory data fields: [Op 3] [ADD PROCEEDINGS/Initials]

→ Proceed to jury voire dire and ↔ Edit & Proceed. trial Mandatory data fields: [Op 3] [ADD PROCEEDINGS/Initials]

→ After trial, send out OSCs to ↔ Edit & Proceed. unresponsive jury pool members Mandatory data fields [Op 2]  date served  calendar date  calendar time  hearing type  tickler date  comments [Op 3] [ADD PROCEEDINGS/Initials]

10. CASE CLOSURES

Judge requires that cases be held → Check tickler and Probation ↔ Edit & Proceed. open pending completion of all Office; close case when Def. conditions of sentencing complies with all J & M Mandatory data fields conditions [Op 2]  term date and details  comments – CASE CLOSED [Op 3] [ADD PROCEEDINGS/Initials]

→ Check tickler and Probation ↔ Edit & Proceed. Office; issue (deleted OSC) per judge for noncompliance Mandatory data fields with conditions. After 2x OSC [Op 2] with unsuccessful service,  tickler [each time OSC issued] close case for unsatisfactory  [ADD PROCEEDINGS] [Op 3] completion of conditions. CLOSURE: * issue BW for non- [Op 2] compliance.  term date and details  comments – CASE UNSATISFACTORILY CLOSED [Op 3] [ADD PROCEEDINGS/Initials]

11. PROBATION SERVICES (manual) Courtesy Supervision Over Transferees courtesy supervision over transfers of probationers and parolees:  transfers of probationers and parolees from one district to another within the Navajo Nation  from foreign jurisdiction (state and federal) to the Navajo Nation jurisdiction

Resource Listing

Case Management

Sex Offender Registry (not available)

Inmate Tracking (not available)

CRIMINAL/CRIMINAL TRAFFIC FLOW – 13