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 re-offense 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. v. Gen. Motors LLC,
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 Criminal Procedure Law (CPL) article 720, when an "eligible youth" is convicted of a crime, the court determines whether the youth should be designated a "youthful offender."
As stated in the CPL, a YO adjudication is "not a judgment of conviction for a crime or any other offense" ( CPL 720.35 [1 ] ). The statute thus codifies the "legislative desire not to stigmatize [these]
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" ( CPL 720.35 [2 ] ). However, access is available where "specifically required or permitted by statute or upon specific authorization of the court" ( CPL 720.35 [2 ] ), as well as for those purposes and to those individuals and entities identified in the YO statute.
B. New York's Sex Offender Registration Act (SORA)
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 (Correction Law art 6-
The legislature charged the Board with recommending to the SORA court one of three statutorily-prescribed levels of notification-level one, two, and three in ascending order of risk-based on an offender's calculated risk to reoffend ( Correction Law § 168-l [6 ] ).
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 (id. § 168-n). The SORA court may consider a broad range of evidence to determine an offender's proper risk level designation. As this Court explained in Mingo, admissible evidence includes case summaries and the Board's RAI, because such documents "certainly meet the 'reliable hearsay' standard for admissibility at SORA proceedings" (
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 Correction Law § 168-f ). Pursuant to the Guidelines, the
III. Judicial Review of the Defendant's Risk Level Assessment
"Our analysis begins with the language of the statute" ( Andujar,
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" (id. § 168-l [5 ] [a]-[i], [b] [iii] ), the Board interpreted SORA as authorizing consideration of a YO adjudication as part of those criminal
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,
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 "shifts the determination of youthful offender status from the prepleading stage to the postconviction stage" ( Drayton,
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 Theroux v. Reilly,
In any event, as we have discussed, CPL 720.35 (2) provides the Board with access to YO-related documents. Defendant's argument that access alone does not authorize use ignores that the CPL does not permit access for its own sake, but in furtherance of a statutory purpose. Here, that purpose is found in SORA, which requires the Board to establish guidelines and make risk level determinations based,
Defendant's other argument, that automatic assessment of points violates the purpose of CPL article 720-to spare youths the lifetime stigma of a criminal conviction-draws heavily from the legislative policy that animates the youthful offender statutory framework. Certainly, "[t]he primary advantage of such treatment is the avoidance of the stigma and practical consequences which accompany a criminal conviction" ( Cook,
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 '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,
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
Accordingly, the order of the Appellate Division should be affirmed, without costs.
Order affirmed, without costs.
Chief Judge DiFiore and Judges Stein, Fahey, Garcia, Wilson and Feinman concur.
Notes
CPL 720.10 (2) provides that youths who have been convicted of a class A-I or A-II felony, have "previously been convicted and sentenced for a felony," or have "previously been adjudicated a youthful offender following conviction of a felony or ... a juvenile delinquent who committed a designated felony act as defined in the family court act" are ineligible for youthful offender treatment (CPL 720.10 [2 ] [a]-[c] ). In addition, youths convicted of an armed felony or an enumerated sex offense are not eligible youths, except if one or more mitigating factors are found, in which case they are eligible and entitled to a youthful offender determination (People v. Middlebrooks,
CPL 720.35 (2) provides:
"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 introductory "legislative purpose or findings" of the Act state:
"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" (Correction Law § 168 ; L 1995, ch 192, § 1 ["Legislative purpose or findings"] ).
Each risk level imposes registration requirements, increasing in severity and duration. "The duration of registration and verification for a sex offender who ... is designated a sexual predator, or a sexually violent offender, or a predicate sex offender, or who is classified as a level two or level three risk, shall be annually for life" (Correction Law § 168-h [2 ] ), while "any sex offender who is classified as a level two risk, and who has not been designated a sexual predator, or a sexually violent offender, or a predicate sex offender ... who has been registered for a minimum period of thirty years may be relieved of any further duty to register by the sentencing court" (id. § 168-o [1] ). Sex offenders who have been given a level three designation "must personally appear at the law enforcement agency having jurisdiction ... every year ... for the purpose of providing a current photograph" (id. § 168-f [2] [b-2] ), while those with level one or level two designation must do the same every three years (id. § 168-f [2] [b-3] ). "[S]ex offender[s] having been designated a level three risk or a sexual predator shall also personally verify [their] address every ninety calendar days" (id. § 168-h [3 ] ), while offenders designated a level one and two risk need only register changes of address (id. § 168-f [4] ).
In 2011, the Division of Parole, from which three of the Board's members were drawn previously, and the Department of Correctional Services, from which the remaining two Board members were drawn, were merged into a single agency, DOCCS (see Correction Law § 168-l [1 ] [eff. until Mar. 31, 2011], amended by ch 62, pt C, subpt B, § 19, 2011 McKinney's NY Laws 547, 636-637).
The Board assessed 15 points pursuant to Guidelines Risk Factor 9 for the crime underlying the YO adjudication, a nonviolent felony, and 10 points pursuant to Risk Factor 10 because the predicate felony had occurred fewer than three years before the sex offense (see Guidelines at 2).
In these proceedings, defendant challenges only his assignment as a risk Level III, which impacts the nature and burden of his registration requirements. Defendant does not challenge his designation as a sexually violent offender, which subjects him to lifetime SORA registration and forecloses the opportunity those assigned risk Level II otherwise have to petition for relief from registration requirements after thirty years (Correction Law § 168-h [2 ] ).
To the extent defendant argues that the science in fact disproves the Board's conclusion that youthful acts are indicative of a risk to reoffend, and, as a matter of law, the Guidelines violate SORA, he failed to develop a record reviewable by the SORA court with an opportunity for the Board to respond. Thus, the claim is not properly before us.
