People v. Holmes
People v. Holmes
Dissenting Opinion
(dissenting). The majority ignores the long-settled rules that whether legislation is permissive or mandatory is to be determined not only from the language of the statute, but also from the circumstances surrounding its passage and the object sought to be accomplished, and that permissive words conferring power and authority upon public officers or bodies will generally be held mandatory when the act authorized concerns either the public interest or the rights of individuals (People ex rel. Otsego County
While our jurisdiction is, with exceptions not applicable to this case, limited to questions of law, the Appellate Division is empowered to reverse or modify a criminal judgment “based upon a determination made * * * [ujpon the law * * * [ujpon the facts * * * or [a]s a matter of discretion in the interest of justice” (CPL 470.15, subd 3, pars [aj, [b], [c]). It is against this broad jurisdictional mandate and in light of the rules of construction set forth above as well as our prior pertinent decisions that the Legislature’s use of the word “may” in CPL 470.15 (subd 2, par [a]) must be construed. Considered against that background the latter provision does not authorize the ordering of a new trial “on the law” as was done here. I, therefore, respectfully dissent.
The CPL contemplates three situations in which determinations of legally insufficient evidence may be made by an intermediate appellate "court. The first is where the evidence is insufficient to establish guilt of an offense of which defendant was convicted as well as any lesser included offense (compare CPL 470.15, subd 2, par [a], and subd 4, par [bj). The second is where a lesser included offense, but not the offense of which defendant was convicted, is supported by legally sufficient, evidence (see CPL 470.15, subd 2, par [a]). The third is where an offense of which defendant was convicted is supported by legally sufficient evidence and another is not (see CPL 470.15, subd 2, par [bj). Appropriate action is authorized for each situation: in the first case, dismissal (see CPL 470.20, subd 2); in the second, reduction and affirmance (see CPL 470.20, subd 4); in the third, affirmance and dismissal (see CPL 470.20, subd 3).
The CPL also provides that “[ujpon reversing or modi
Here, there is no finding by the Appellate Division that any “injustice” would result from reduction and affirmance. Nor is there anything brought to our attention in the record to indicate the possibility of such “injustice” occurring. Indeed, to the extent any injustice has been done, it has been done to the People who have already proved, to a jury’s satisfaction, defendant’s guilt of robbery in the third degree, beyond a reasonable doubt, and who now have had such a jury finding dissolved without articulation of any reason for doing so.
This is not to say that the Appellate Division must in every case reduce and affirm where legally sufficient evidence supports conviction of a lesser included offense but not the actual offense of which defendant was convicted. It is to say that the intermediate appellate court may not “on the law,” as purportedly done here, choose dismissal over reduction and affirmance. Put another way, while dismissal may well be appropriate and necessary in a particular case, it will be so only in light of “injustice” that would otherwise be suffered by a defendant. In such a case, corrective action must be taken or directed “as a matter of discretion in the interest of justice,” not “on the law.” Considered in this light, the use of the word “may” in CPL 470.15 (subd 2, par [a]) does no more than concede that “justice” may in a particular case override reduction and affirmance.
Thus, Dlugash presents a clear illustration of the principle that in the absence of sufficient basis for the specific exercise of “fact” or “justice” jurisdiction, the Appellate Division is under a mandatory duty, pursuant to CPL 470.15 (subd 2, par [a]) to reduce and affirm a conviction where legally sufficient evidence fails to support an offense of which a defendant is convicted, but does support conviction of a lesser included offense.
The majority’s attempt to distinguish Dlugash on the ground that we here have a multiple-count indictment does not withstand analysis. The issue here, as in Dlugash, is
The order of the Appellate Division should be modified accordingly.
Chief Judge Cooke and Judges Gabrielli, Jones, Wachtler and Fuchsberg concur in memorandum; Judge Meyer dissents and votes to modify in an opinion in which Judge Jasen concurs.
Order affirmed.
Opinion of the Court
OPINION OF THE COURT
Memorandum.
The order of the Appellate Division should be affirmed.
We cannot say that, upon dismissing count one of the indictment for insufficiency of the evidence, the Appellate Division took inappropriate action in ordering a new trial on the remaining counts, which the trial court had charged the jury not to consider if they found the defendant guilty under the first count. A reduction to reflect a conviction
We note that we are not presented with a situation similar to that in People v Dlugash (41 NY2d 725), since the present, appeal did not involve the dismissal of a single-count indictment for which there could be no retrial (see People v Mayo, 48 NY2d 245) and, hence, we do not deal further with this issue.
Contrary to the analysis and suggestion articulated in the dissent (p 979), CPL 470.20 (subd 4) cannot be read to require a reduction and affirmance where there is legally sufficient evidence to support only a conviction for a lesser included offense. The statute provides that “[u]pon a modification of a judgment after trial which reduces a conviction of a crime to one for a lesser included offense, the court must remit the case to the criminal court with a direction that the latter sentence the defendant accordingly”. Rather than mandating specific corrective action, this statute merely sets forth the steps to be taken concerning the defendant’s sentence after the intermediate appellate court has in fact reduced the conviction to one for a lesser included offense. Obviously, this statute does not require a reduction by the intermediate appellate court. Nor do we read the order of the Appellate Division in this case, although recited to have been made “on the law”, as intended to reflect a holding that the court was required as a matter of law to grant a new trial or that the possibility of a reduction was not an alternative available to the court for adoption in its discretion.
Reference
- Full Case Name
- The People of the State of New York, Appellant, v. Anthony Holmes, Respondent
- Cited By
- 9 cases
- Status
- Published