People v. ConcepcionPeople v. Concepcion
Lead Opinion
OPINION OF THE COURT
The outcome of this appeal is dictated by our decision in People v LaFontaine (
On appeal, the Appellate Division, with two Justices dissenting, disagreed with Supreme Court’s rationale for its suppression ruling, but upheld denial of suppression anyway, based on a ground explicitly rejected by the trial judge and therefore decided in LaFontaine’s favor (
We did not decide the merits of the suppression debate in the Appellate Division, explaining that CPL 470.15 (1) bars that court from affirming a judgment, sentence or order on a ground not decided adversely to the appellant by the trial court, and CPL 470.35 (1) grants us no broader review powers in this regard. We noted that we had previously “construed CPL 470.15 (1) as a legislative restriction on the Appellate Division’s power to review issues either decided in an appellant’s favor, or not ruled upon, by the trial court” (
In this case, after defendant Reynaldo Concepcion was arrested for shooting Stephen Brown, his gray minivan was searched, and a little more than one-half ounce of cocaine was recovered from a compartment behind the ashtray in the front console. Defendant was eventually charged with second-degree attempted murder (Penal Law §§ 110.00, 125.25 [1]); assault in the first, second, and third degrees (Penal Law § 120.10 [1]; § 120.05 [2]; § 120.00 [1]); criminal possession of a weapon in the second, third, and fourth degrees (Penal Law § 265.03 [2]; Penal Law § 265.02 [4], later repealed by L 2006, ch 742, § 1; Penal Law § 265.01 [1]); and criminal possession of a controlled substance in the third, fourth, and seventh degrees (Penal Law § 220.16 [1]; § 220.09 [1]; § 220.03).
When defendant moved to suppress physical evidence (the cocaine), the People argued that he consented to the search of the minivan, or, alternatively, that the drugs were admissible under the inevitable discovery doctrine. Supreme Court denied the motion; the trial judge determined that the People failed to establish defendant’s consent, but that the cocaine would have inevitably been discovered during an inventory search.
Following a jury trial, defendant was acquitted of attempted murder and first- and second-degree assault. He was convicted
The People conceded in the Appellate Division that the inevitable discovery doctrine was not applicable, but again argued that defendant consented to the search. The Appellate Division agreed, and so — just as in LaFontaine — upheld the denial of suppression on a basis that Supreme Court had squarely rejected, and affirmed the judgment of conviction and sentence (
The Appellate Division’s decision with respect to suppression was clearly erroneous under LaFontaine; i.e., CPL 470.15 (1) precludes that court from affirming denial of suppression on the basis of consent because the trial judge ruled in defendant’s favor on this issue. All that remains for us to decide on this appeal, then, is the proper remedy for this mistake. In LaFontaine itself, we simply reversed and remitted the matter to Supreme Court for further proceedings on the motion to suppress. But these proceedings were necessarily going to resolve the entire case because LaFontaine only pleaded guilty to a drug crime. That is not what happened here, where defendant was convicted and sentenced for weapon possession and assault as well as for a drug crime. As a result, we must decide whether granting suppression — if this is the decision reached by the trial court on remittal — would be harmless with respect to defendant’s conviction for these other crimes.
“Whether an error in the proceedings relating to one count requires reversal of convictions on other jointly tried counts . . . can only be resolved on a case-by-case basis, with due regard for the individual facts of the case, the nature of the error and its*197 potential for prejudicial impact on the over-all outcome” (People v Baghai-Kermani,84 NY2d 525 , 532 [1994]).
“[T]he paramount consideration in assessing” such so-called “spillover error is whether there is a reasonable possibility that the jury’s decision to convict on the tainted counts influenced its guilty verdict on the remaining counts in a meaningful way” (People v Doshi,
In this case, there is no reasonable possibility that the evidence supporting the potentially tainted count, a drug possession crime related to the cocaine discovered in defendant’s vehicle, had a spillover effect on the guilty verdicts for weapon possession and assault, which arose from defendant’s shooting of the victim. The proof of these latter crimes was furnished by the testimony of the victim, who knew defendant before he was shot (defendant was his drug supplier). While in an ambulance awaiting transport to the hospital for treatment of his gunshot wound, the victim identified defendant to the police as his assailant by nickname and appearance. He also described the color and make of the shooter’s vehicle, which matched the minivan driven by defendant when he was later apprehended by the police.
The Dissent
The dissent proclaims that our decision in LaFontaine was a “mistake,” which we have “never followed” (with the caveat that, in some cases, perhaps our laxity might be explained by counsel’s neglect to mention the issue) (dissenting op at 201); and laments our unwillingness to overrule LaFontaine to correct the “major problem” caused by our folly (id. at 207). We address these assertions in turn.
I.
To support the proposition that we routinely pay no heed to LaFontaine, the dissent adduces several cases in the context of arguing that “there is nothing particularly unusual in an appellate court’s affirming a decision below on alternative grounds” (dissenting op at 204). True — but merely affirming a case on alternative grounds does not ignore LaFontaine, which is only implicated when an appellate court affirms a case on a ground that was not decided adversely to the appealing party at the trial level. Or, as we also put it in LaFontaine, CPL 470.15 (1) is
For example, in People v Wheeler (
People v Parris (
In People v Paulman (5 NY3d 122 [2005]), the hearing court determined that the second of the defendant’s four statements was not the product of custodial interrogation, even though he was in custody. The third and fourth statements, which followed the issuance of Miranda warnings, were allowed into evidence on the basis that the second statement (and the defendant’s first statement) were admissible. The Appellate Division held that the second statement should have been suppressed because it was the product of interrogation, but because the first, third and fourth statements were properly admitted, admission of the second statement was harmless (
This case comes the closest to presenting a LaFontaine problem. Having concluded that the second statement was not the product of custodial interrogation, Supreme Court did not need to decide if subsequent Mirandized statements were the product of an un-Mirandized statement. In reaching a contrary determination with regard to the second statement, perhaps the Appellate Division should have remanded the case to the suppression court so that it could determine whether the second statement rendered the subsequent statements inadmissible — an issue that was not resolved in the criminal court proceedings because, as already noted, Supreme Court did not need to do so, given its other rulings. In retrospect, we may have inadvertently overlooked — not deliberately ducked — a LaFontaine error. Of course, we focus on arguments made by counsel, and in Paulman, both parties asked us to decide attenuation if we concluded that the second statement should be suppressed.
Our decision in People v Caban (
The dissent’s reliance on People v Lewis (
In People v Fuentes (
Finally, the dissent expresses fear about the future, now that we have said that CPL 470.15 (1) still means what we said it meant in 1984 (Goodfriend) and 1998 (Romero and LaFontaine) (see dissenting op at 207). Whatever course litigation may take in the future, we find it telling that in the past, defense counsel — zealous advocates on their clients’ behalf — did not spot the rampant LaFontaine error that the dissent now claims existed all along.
II.
The dissent and the People put forward what they consider to be a better interpretation of CPL 470.15 (1), which would
We commented in LaFontaine that the statute, as we understood it, might cut against “sensible management” of litigation (
Accordingly, the order of the Appellate Division should be modified by remitting to Supreme Court for further proceedings in accordance with this opinion, and as so modified, affirmed.
Notes
We have examined defendant’s claim of ineffective assistance of counsel and consider it to be meritless.
Dissenting Opinion
(dissenting). People v LaFontaine (
Affirming a lower court judgment on a ground other than the one the lower court relied on is something appellate courts do all the time. It is a gross waste of judicial resources to require a new trial or other proceeding where the lower court has reached the right result, even if it did so for the wrong reason. We recognized in LaFontaine that our holding was undesirable from a policy point of view, saying that it “blocks . . . sensible management of this case” (
We did not explain in LaFontaine why we thought that statutory language made our holding “unavoidable.” In fact, we were wrong to think so. CPL 470.15 (1) says:
“Upon an appeal to an intermediate appellate court from a judgment, sentence or order of a criminal court, such intermediate appellate court may consider and determine any question of law or issue of fact involving error or defect in the criminal court proceedings which may have adversely affected the appellant.”
In LaFontaine, we apparently assumed that the word “involving” means “claimed to have caused”; in other words, that the Appellate Division is limited to reviewing questions of law and issues of fact which, the appellant claims, caused an error or defect that adversely affected him. But “involving” could equally well be read to mean “necessary to decide a claim of’ — so that the Appellate Division could review any issue necessary to a determination of whether there was an error or
As I read the statutory language, it permits what the Appellate Division did in this case. Appellant claimed, in the Appellate Division, that he had been “adversely affected” by an “error or defect in the criminal court proceedings” — i.e., that Supreme Court had wrongly denied suppression of the cocaine. In order to determine whether appellant was correct, the Appellate Division had to “consider and determine” not only the inevitable discovery issue that Supreme Court decided in the People’s favor, but also the issue of consent to the search, on which Supreme Court agreed with appellant. The consent issue was one “involving” appellant’s claim that there was an “error or defect in the criminal court proceedings” that adversely affected him. If — as the Appellate Division decided — he did consent to the search, he was not “adversely affected” by any error.
We may have thought, when we decided LaFontaine, that our prior cases had foreclosed the issue, but I believe we accepted that conclusion too readily. We relied on two earlier decisions, People v Romero (
The majority attempts no defense of LaFontaine, either as a matter of policy or logic. It merely insists that LaFontaine “settled” the law (majority op at 201) — in other words, that, even if it was a mistake, we cannot correct it. Of course, this is the general rule. Stare decisis ordinarily requires us to follow
While we recognized in LaFontaine that our decision would have adverse practical consequences, we underestimated their extent. Indeed, we appeared to think that LaFontaine was almost sui generis; our opinion refers to “the unusual procedural posture of this case” (
Thus in People v Wheeler (
In People v Lewis (
In not one of these post-LaFontaine cases did we discuss or cite LaFontaine. Today’s majority atones for the omission by analyzing all seven. It virtually admits that there was LaFontaine error in one of them, Paulman, and tries to reconcile the other six with the LaFontaine holding. As to three of the cases—Parris, Carvajal and Fuentes—the majority may have a point. (The point is debatable in each, but I will not pause to debate it.) But the majority is clearly wrong about Wheeler, Caban and Lewis.
The majority, relying on our reference in Wheeler to the trial court’s “broad holding encompassing two legal standards” (
It is true that in only one of the seven post-LaFontaine cases I have listed, Wheeler, was LaFontaine cited to us. Perhaps that should not matter, since LaFontaine affects our jurisdiction, but in any event all those cases, even the ones that might be reconciled with LaFontaine, prove my basic point—affirmance on alternate grounds, which is forbidden to the Appellate
Indeed, I suspect that the list I have given of alternative-ground affirmances in our court is only a partial one; it is not easy to do a Lexis or Westlaw search for such cases. For similar reasons, I am unable to say how often the Appellate Division does what we often do—simply ignore LaFontaine’s existence— but I am convinced it is very common. A search of Appellate Division cases in Lexis and Westlaw for the year 2010 finds not a single citation to LaFontaine-, a search for 2009 finds one case in which it was followed (People v Falquez,
Perhaps the Appellate Division departments, like our Court, have been lucky in that counsel have frequently failed to argue a LaFontaine issue. If that is so, their luck and ours is quite likely to run out after the bar reads today’s decision.
A little thought will suggest the reason why neither the Appellate Division nor our Court has been eager to invoke LaFontaine, even where we should. Its application leads to multiple absurdities. Suppose a case in which the defendant offers a document in evidence at a jury trial, and the People object on two grounds — that the document is hearsay and it is irrelevant. The judge finds the document irrelevant, and does not reach the hearsay question. The Appellate Division disagrees with the trial judge’s ruling on relevance — but it is obvious at a glance that the document is inadmissible hearsay. Must the Appellate Division reverse the defendant’s conviction, so that there can be a new trial at which the document is again offered and again
But I do not need to invent hypotheticals to make my point. The majority today remits the case to Supreme Court “for further proceedings in accordance with this opinion” (majority op at 201), the same relief afforded in LaFontaine itself (
Now that the majority has breathed new life into LaFontaine, I really do not know what will happen. Perhaps the Legislature will rescue the court system by amending the statutes that we have, incorrectly, interpreted to create a major problem. I hope so; but we suggested a legislative change in LaFontaine itself (
Chief Judge Lippman and Judges Ciparick, Graffeo and Jones concur with Judge Read; Judge Smith dissents and votes to affirm in a separate opinion in which Judge Pigott concurs.
Order modified, etc.