People v. Williams

590 N.E.2d 1199, 79 N.Y.2d 281, 582 N.Y.S.2d 71, 1992 N.Y. LEXIS 938
CourtNew York Court of Appeals
DecidedMarch 31, 1992
StatusPublished
Cited by6 cases

This text of 590 N.E.2d 1199 (People v. Williams) is published on Counsel Stack Legal Research, covering New York Court of Appeals primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
People v. Williams, 590 N.E.2d 1199, 79 N.Y.2d 281, 582 N.Y.S.2d 71, 1992 N.Y. LEXIS 938 (N.Y. 1992).

Opinion

OPINION OF THE COURT

Kaye, J.

This appeal centers on the technical legality of the sentence imposed on defendant — concurrent terms of probation for gun possession — and particularly on mitigation provisions of the Penal Law (see, § 70.02 [2] [c] [i]; [5] [b]). While agreeing with the Appellate Division that mitigation was improper here, we reach that conclusion on different grounds.

Defendant, who was serving a three-year sentence of probation imposed by a New Jersey court for marihuana possession, was arrested in New York City and charged with third degree unlawful possession of a weapon (Penal Law § 265.02) and resisting arrest (Penal Law § 205.30). At the time of the arrest, defendant was in possession of a fully loaded automatic pistol that had been defaced — the serial number removed— and showed evidence of recent discharge. While on bail, defendant was arrested a second time and again charged with unlawful possession of a fully loaded .38 caliber revolver. This gun had been reported stolen and also showed evidence of recent discharge. Defendant’s companion, a predicate felon, was charged with possession of a loaded .38 special Colt revolver.

A plea bargain was arranged covering both indictments and as a result defendant withdrew his suppression motions. Although the presumptive minimum sentence for possession of a loaded firearm is one year in prison, the court in accepting defendant’s plea suggested disposing of both indictments with a "split” sentence of six months in prison and 4 Vi years’ probation, because a one-year prison term might be "unduly harsh.”

At sentencing some time later, the People opposed the suggested sentence, citing defendant’s arrest while on probation for the New Jersey conviction. In an apparent response to [284]*284the People’s contention, the court indicated it would mitigate the sentence based on the manner in which the crime was committed.

After a four-month adjournment of the sentencing, the court again stated its intention to mitigate the mandatory sentence based on the manner in which the crime was committed. In placing its reasons on the record, the court mentioned the circumstances surrounding the two police stops, noted the "strong likelihood that the weapons would not have been admissible at the trial,” and concluded that in all probability the People "would not have been able to sustain their burden of proof of probable cause.” The court then explicitly found mitigating circumstances "bearing directly on the manner in which the crimes were committed,” and imposed two concurrent five-year sentences of probation.

That was not a permissible sentence under the statute.

A person found guilty of criminal possession of a loaded handgun outside the home or place of business must be sentenced either to an indeterminate sentence of at least one to three years in prison, or to a definite prison term of no less than one year (Penal Law § 70.02 [2] [c]; see, Governor’s Mem, June 13, 1980, 1980 McKinney’s Session Laws of NY, at 1857). Two provisions allow the court discretion to reduce the mandatory sentence.

The first applies where the sentence would be unduly harsh given the nature and circumstances of the crime and the history and character of the defendant (Penal Law § 70.02 [2] [c] [i]). Mitigation under this section is permitted only if the defendant has not been convicted of a class A misdemeanor as "defined in this chapter” within the five years immediately preceding the commission of the gun possession offense.

Second, even if a defendant has committed such a disqualifying misdemeanor, a court may nevertheless impose a less severe sentence if it finds at least one of three enumerated factors: "(i) mitigating circumstances that bear directly upon the manner in which the crime was committed; or (ii) where the defendant was not the sole participant in the crime, the defendant’s participation was relatively minor although not so minor as to constitute a defense to the prosecution; or (iii) possible deficiencies in proof of the defendant’s commission of an armed felony.” (Penal Law § 70.02 [5] [b].)

The minutes indicate that after the prosecutor mentioned defendant’s prior New Jersey conviction, the trial court — ap[285]*285parently concluding that Penal Law § 70.02 (2) (c) (i) could not be the basis for mitigation — turned immediately to section 70.02 (5) (b) and grounded its decision to mitigate on the manner in which the crime was committed.

We therefore first consider whether the circumstances presented furnished a valid basis for mitigation under Penal Law § 70.02 (5) (b) (i).

The Appellate Division concluded that the Trial Judge applied section 70.02 (5) (b) (iii) — "possible deficiencies in proof’ — and held that possible police misconduct could not be a basis for mitigation under that provision. However, it is evident from examination of the record that the Trial Judge relied on mitigating circumstances bearing upon the manner in which the crime was committed (Penal Law § 70.02 [5] [b] [i]), not possible deficiencies in proof (Penal Law § 70.02 [5] [b] [iii]). The court repeatedly referred to the manner in which the crime was committed; by contrast, no findings are evident as to what the "possible deficiencies in proof’ might be.

Nevertheless, the trial court’s application of the mitigation provisions based on the manner in which the crime was committed must also be rejected.1

"Enacted at an extraordinary session of the Legislature as a 'key’ part of a program intended to combat violent crime, section 70.02 of the Penal Law was intended to establish greater responsibility for an armed violent felony through stiffer sentencing provisions and restrictions upon plea bargaining. * * * The Legislature did not choose to abolish plea bargaining as it could have * * *. Rather it opted to limit the broad discretion previously exercised in the determination of the crime to be pleaded to and the sentence to be imposed.” (People v Felix, 58 NY2d 156, 161-162, appeal dismissed 464 US 802.) The dearth of appellate precedent under Penal Law § 70.02 (5) (b) suggests that, during the past 12 years since enactment of the statute, there has been little difficulty applying it.

Given the legislative intent to limit "the discretion available to [prosecutors and courts] where the legislature feels strongly that no mitigating circumstance should permit erosion of the specified mandatory-minimum sentence” (Mem in Support of 1980 NY Assembly Bill A 11309, at 3, in Bill Jacket for L [286]*2861980, ch 233), the mitigation provisions should be narrowly construed.

That the statute was not complied with in the present case is amply demonstrated by the record of the sentencing proceedings. Little attention was paid to making clear the particular basis for mitigation; only Penal Law § 70.02 was mentioned as the statutory authorization for the sentence. A better procedure, one facilitating appellate review in the rare case it becomes necessary, would be for trial courts to set forth in the record the statutory ground being relied on and the circumstances of the case supporting that reliance.

Because that procedure was not followed in the present case, and because the existing record demonstrates that the trial court improperly applied the statute over the People’s objection, the sentence must be vacated with leave to defendant to withdraw his pleas.

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Bluebook (online)
590 N.E.2d 1199, 79 N.Y.2d 281, 582 N.Y.S.2d 71, 1992 N.Y. LEXIS 938, Counsel Stack Legal Research, https://law.counselstack.com/opinion/people-v-williams-ny-1992.