People v Francis
Court of Appeals
February 13, 2018
2018 NY Slip Op 01017 | 30 NY3d 737
Rivera, J.
Published by New York State Law Reporting Bureau pursuant to Judiciary Law § 431. As corrected through Wednesday, April 18, 2018
Argued January 2, 2018; decided February 13, 2018
People v Francis, 137 AD3d 91, affirmed.
OPINION OF THE COURT
Rivera, J.
On this appeal, defendant challenges his designation as a level three sex offender pursuant to New York‘s Sex Offender Registration Act (SORA), claiming that the State Board of Examiners of Sex Offenders (Board) may not consider his youthful offender (YO) adjudication when assessing his risk to reoffend. Defendant maintains that the Board‘s interpretation of its authority under SORA conflicts with the
I. Relevant Statutory Frameworks
This appeal implicates the question of whether the Board acted ultra vires in issuing guidelines for determining sex offender risk of reoffense that automatically treat a YO adjudication as part of the offender‘s criminal history factors, notwithstanding that a YO adjudication is not a conviction. “As our well-established rules of statutory construction direct, we begin our analysis with the language of the statute” (Beck Chevrolet Co., Inc. v General Motors LLC, 27 NY3d 379, 389-390 [2016]; see also People v Andujar, 30 NY3d 160, 163 [2017]; People v Ocasio, 28 NY3d 178, 181 [2016]), because our primary consideration is to ascertain the legislature‘s intent, of which “the text itself is generally the best evidence” (People v Ballman, 15 NY3d 68, 72 [2010]; see also Desrosiers v Perry Ellis Menswear, LLC, 30 NY3d 488 [2017]).
A. New York‘s Youthful Offender Statute: Criminal Procedure Law Article 720
The legislature has provided an alternative to adult sentencing for certain young people who commit crimes between the ages of 16 and 19 years old. Pursuant to
As stated in the CPL, a YO adjudication is “not a judgment of conviction for a crime or any other offense” (
To maximize protection against public opprobrium and the stigma of a criminal record, all YO-related “official records and papers . . . are confidential and may not be made available to any person or public or private agency” (
B. New York‘s Sex Offender Registration Act
Persons who commit certain sex offenses must comply with New York SORA‘s mandate to register with the State Division of Criminal Justice Services, which maintains the publicly-available Sex Offender Registry (
The legislature charged the Board with recommending to the SORA court one of three statutorily-prescribed levels of notification—levels one, two, and three in ascending order of risk—based on an offender‘s calculated risk to reoffend (
At the SORA hearing to determine the offender‘s risk level classification, the offender and the People may each present evidence to the SORA court in support of their positions as to the point assessment and risk level determination, and both parties, as well as the Board, may request a departure from the presumptive risk level indicated by the offender‘s total score (
II. Factual and Procedural History of Defendant‘s SORA Risk Designation
Defendant Jude Francis was convicted in 2005 of first-degree rape, which he committed at the age of 19. He thereby became subject to SORA‘s sex offender registration requirements (see
Defense counsel challenged the 25 points, arguing that because a YO adjudication is not a conviction, it may not be considered as part of defendant‘s criminal history for the purposes of SORA. The SORA court rejected this objection and designated defendant a level three sexually violent sex offender.7 The Appellate Division affirmed the level three designation, with one Justice dissenting (People v Francis, 137 AD3d 91 [2d Dept 2016]). We granted leave to appeal (People v Francis, 27 NY3d 908 [2016]).
III. Judicial Review of the Defendant‘s Risk Level Assessment
“Our analysis begins with the language of the statute” (Andujar, 30 NY3d at 163; see also Ocasio, 28 NY3d at 181; Ballman, 15 NY3d at 72 [“the text itself is generally the best evidence of legislative intent“]; McKinney‘s Cons Laws of NY, Book 1, Statutes § 92, Comment [“in the construction of statutes, the intention of the Legislature is first to be sought from a literal reading of the act itself . . . and if language thereof is unambiguous and the words plain and clear, there is no occasion to resort to other means of interpretation“]). The
In fulfilling its mandate to draft Guidelines that take into account a sex offender‘s criminal history factors when assessing risk level, including “the number, date and nature of prior offenses” (
SORA expressly requires that the Board assess an offender‘s risk of reoffense, which in turn forms the basis for the Board‘s recommendation to the SORA court of the offender‘s proper
The Board‘s inclusion of defendant‘s YO adjudications in assessing the risk of reoffense was based on the Board‘s expertise and experience, which is entitled to judicial deference. The Board “is charged with producing accurate case summaries as an integral part of its functions and it has expertise culling through records to produce a concise statement of the factual information relevant to [the] defendant‘s risk of reoffense” (Mingo, 12 NY3d at 572-573). Indeed, “an accurate determination of the risk a sex offender poses to the public is the paramount concern” (id. at 574). The Board has not unreasonably construed SORA as permitting it access to YO records for the limited purpose of assessing an offender‘s risk of reoffense and recommending a risk level designation to the SORA court; nor has the Board violated the CPL.
Defendant challenges the Board‘s automatic assessment of points based on his YO adjudication on several grounds. First,
As we have explained, the YO framework “shift[s] the determination of youthful offender status from the prepleading stage to the postconviction stage” (Drayton, 39 NY2d at 584). In other words, an eligible youth determination follows a conviction, which is replaced with the court‘s YO finding. This in turn subjects the young person to a unique, legislatively-created status under the
The Board acknowledges that YO adjudications are not criminal convictions, referring to them only as “reliable indicators of wrongdoing” that “should be considered in assessing an offender‘s likelihood of reoffense and danger to public safety” (Guidelines at 6-7). In providing a non-exhaustive list of factors and conditions—and not solely “offenses“—that shall serve as a basis for the Board‘s risk level assessment, the legislature demonstrated intent to allow the Board to consider the full spectrum of an offender‘s prior unlawful conduct (see Matter of Theroux v Reilly, 1 NY3d 232, 240 [2003] [if the legislature had intended to restrict applicability of statute, “it easily could have and surely would have written the statute to say so“; a court “may not create a limitation that the Legislature did not enact“]).
In any event, as we have discussed,
Defendant‘s other argument, that automatic assessment of points violates the purpose of
Defendant also controverts the Board‘s conclusion that a YO adjudication is a reliable indicator of recidivism. He points to copious scientific data supporting the argument that young people who commit crimes are unlikely to reoffend. His policy arguments are based on sociological research as well as judicial recognition of the psychological difference between children and adults. As the United States Supreme Court has recognized, a young person‘s ” ‘lack of maturity and an underdeveloped sense of responsibility’ . . . lead[s] to recklessness, impulsivity, and heedless risk-taking . . . And . . . [because] a child‘s character is not as ‘well formed’ as an adult‘s[,] [the child‘s] traits are ‘less fixed’ ” (Miller v Alabama, 567 US 460, 471 [2012], quoting Roper v Simmons, 543 US 551, 569-570 [2005]). We too have held that
“sociological studies establish that young people often possess ‘an underdeveloped sense of responsibility,’ which can ‘result in impetuous and ill-considered actions and decisions’ . . . [This] underscore[s] the need for judicial procedures that are solicitous of the interests of vulnerable youth, especially under New York‘s current youthful offender process in which guilt is determined in the context of a criminal justice system designed for adults” (Rudolph, 21 NY3d at 506, quoting Johnson v Texas, 509 US 350, 367 [1993]; see also Middlebrooks, 25 NY3d 516; Matter of Alonzo M. v New York City Dept. of Probation, 72 NY2d 662 [1988]; Drayton, 39 NY2d 580).
Certainly, the youthful offender statute reflects the legislature‘s recognition of the difference between a youth and an adult, and the legislature clearly made a policy choice to give a class of young people a distinct benefit. Nevertheless, in concluding that an earlier YO adjudication may be used in assessing points against defendant, the Board has not acted in violation of the CPL.8 For those reasons, defendant‘s arguments are for the legislature and the Board to consider, and
Accordingly, the order of the Appellate Division should be affirmed, without costs.
Chief Judge DiFiore and Judges Stein, Fahey, Garcia, Wilson and Feinman concur.
Order affirmed, without costs.
Notes
“Except where specifically required or permitted by statute or upon specific authorization of the court, all official records and papers, whether on file with the court, a police agency or the division of criminal justice services, relating to a case involving a youth who has been adjudicated a youthful offender, are confidential and may not be made available to any person or public or private agency, other than the designated educational official of the public or private elementary or secondary school in which the youth is enrolled as a student provided that such local educational official shall only have made available a notice of such adjudication and shall not have access to any other official records and papers, such youth or such youth‘s designated agent (but only where the official records and papers sought are on file with a court and request therefor is made to that court or to a clerk thereof), an institution to which such youth has been committed, the department of corrections and community supervision and a probation department of this state that requires such official records and papers for the purpose of carrying out duties specifically authorized by law; provided, however, that information regarding an order of protection or temporary order of protection issued pursuant to section 530.12 of this chapter or a warrant issued in connection therewith may be maintained on the statewide automated order of protection and warrant registry established pursuant to section two hundred twenty-one-a of the executive law during the period that such order of protection or temporary order of protection is in full force and effect or during which such warrant may be executed. Such confidential information may be made available pursuant to law only for purposes of adjudicating or enforcing such order of protection or temporary order of protection and, where provided to a designated educational official, as defined in section 380.90 of this chapter, for purposes related to the execution of the student‘s educational plan, where applicable, successful school adjustment and reentry into the community. Such notification shall be kept separate and apart from such student‘s school records and shall be accessible only by the designated educational official. Such notification shall not be part of such student‘s permanent school record and shall not be appended to or included in any documentation regarding such student and shall be destroyed at such time as such student is no longer enrolled in the school district. At no time shall such notification be used for any purpose other than those specified in this subdivision.”
“The legislature finds that the danger of recidivism posed by sex offenders, especially those sexually violent offenders who commit predatory acts characterized by repetitive and compulsive behavior, and that the protection of the public from these offenders is of paramount concern or interest to government. The legislature further finds that law enforcement agencies’ efforts to protect their communities, conduct investigations and quickly apprehend sex offenders are impaired by the lack of information about sex offenders who live within their jurisdiction and that the lack of information shared with the public may result in the failure of the criminal justice system to identify, investigate, apprehend and prosecute sex offenders” (L 1995, ch 192, § 1 [“Legislative purpose or findings“];
Correction Law § 168 et seq. ).
