23.43 - 7. Appeals From Guilty Pleas
Jurisdiction | New York |
7. Appeals From Guilty Pleas
An appeal may be taken from a conviction entered upon a guilty plea.3448 However, there are risks in challenging a plea in that a “successful” appellant finds himself facing the original charges.3449 One appealing a guilty plea is limited in the issues that may be raised. The rules requiring preservation of error apply to guilty pleas. A knowing, intelligent, voluntary guilty plea waives claims of constitutional and statutory violations that do not question the factual guilt of the defendant and are non-jurisdictional.3450 Among the issues waived by a guilty plea are non-jurisdictional defects in the accusatory instrument,3451 insufficiency in evidence before the grand jury,3452 the denial of a severance motion,3453 state statutory speedy trial violations3454 and statutory double jeopardy violations.3455 Jurisdictional claims that are not forfeited by entry of a guilty plea include constitutional double jeopardy violations,3456 constitutional speedy trial violations,3457 claims of jurisdictional defect in the indictment,3458 right-to-counsel violations3459 and claims that the statute allegedly violated is unconstitutional.3460 Claims that the plea itself was defective, including claims that the plea was involuntary,3461 induced by duress3462 or entered by a defendant who did not receive assistance of counsel,3463 may be raised on appeal.
A sentence challenge is not forfeited by a guilty plea. The plea precedes the sentence.3464 However, a plea accompanied by a valid waiver of appeal waives the right to raise issues regarding the excessiveness of even non-negotiated sentences.3465 By statutory authority, an order denying a motion to suppress evidence may be reviewed on appeal from a conviction entered on a guilty plea.3466 Finally, where a defendant has been convicted following a trial and because of that conviction enters a guilty plea on another charge in reliance on a promise that the sentence on that other charge will run concurrently with the sentence imposed on his conviction after trial, reversal of the trial conviction will provide a basis for vacating the guilty plea.3467
What is to be looked for in a plea allocution? When a defendant pleads guilty, the conviction rests on the sufficiency of the plea, not on the legal or constitutional sufficiency of the proceedings which might have led to a guilty verdict.3468 Virtually all constitutional claims and defects are waived by a guilty plea.3469 It does not extinguish constitutional claims and defects implicating the integrity of the law’s process that are logically inconsistent with the valid establishment of guilt.3470 Guilty pleas, which become judgments upon sentence, enjoy a presumption of regularity.3471 The record of a plea must reflect a defendant’s knowing and voluntary entry thereof.3472 The decision to plead guilty is a profound one. But it is not more than the sum total of decisions that a defendant may be called upon to make during the course of a trial.3473 The defendant need be no more competent than one found fit to stand trial.3474 That a defendant may be threatened with consequences to which he would otherwise be subject does not render his guilty plea unconstitutional.3475 A guilty plea is effective even if a defendant does not admit committing every element of the offense. There is no need for a factual exposition of each element.3476
A uniform mandatory catechism for pleas of guilty is neither required nor desirable. The circumstances are too varied. There are knowledgeable and criminally experienced defendants, and there are those who are lacking in intellect or experience or both.3477
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Notes:
[3448] . People v. Lynn, 28 N.Y.2d 196, 321 N.Y.S.2d 74 (1971).
[3449] . See discussion of whether to appeal in III.D.
[3450] . See, e.g., Menna v. N.Y., 423 U.S. 61 (1975).
[3451] . People v. Cohen, 52 N.Y.2d 584, 439 N.Y.S.2d 321 (1981).
[3452] . People v. Ali, 79 A.D.2d 974, 435 N.Y.S.2d 291 (2d Dep’t 1981). CPL § 210.30(6) provides, “The validity of an order denying any motion [to dismiss or reduce an indictment on the ground of insufficiency of the grand jury...
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