9.34 - 1. Waiver Or Forfeiture By Operation Of Law
Jurisdiction | New York |
1. Waiver or Forfeiture by Operation of Law
A defendant who pleads guilty necessarily waives the constitutional rights attending a trial.1723 (Jurisdictional defects are never waived.1724) In addition, a defendant who pleads guilty automatically forfeits a variety of claims as a matter of policy to assure the finality of litigation intended by a guilty plea, to conserve judicial resources and to prevent defendants from attempting to undermine their plea agreements on appeal.1725 The rights that are forfeited include those that allege violations of statutory rights that confer on defendants greater rights than those demanded by the constitution,1726 as well as those that allege an impairment of the fact-finding process and are thus fundamentally inconsistent with pleas of guilty.1727 When a defendant pleads guilty the conviction rests directly on the sufficiency of the plea, not on the legal or constitutional sufficiency of any proceedings that might have otherwise resulted in a guilty verdict after trial.1728 But subject-matter jurisdiction—the jurisdictional sufficiency of the accusatory instrument itself—may always be challenged on appeal.1729
In contrast to those rights necessarily waived in the taking of a guilty plea, a much broader category of rights is deemed forfeited as a consequence of a valid plea of guilty. Inasmuch as a guilty plea works a forfeiture of nonjurisdictional defects,1730 it forecloses a host of challenges that would otherwise be reviewable as a matter of constitutional, statutory or decisional law. The forfeitures occasioned by a guilty plea extend to claims premised upon pre-indictment prosecutorial misconduct;1731 the propriety of the defendant’s psychiatric interview;1732 a failure to provide a CPL § 710.30 notice; the statutory right to a speedy trial; the denial of an application for leave to file a late motion to suppress; the foundation laid for the accuracy of a blood alcohol test; transactional immunity; the exercise of allegedly discriminatory peremptory challenges to jurors; an ex post facto challenge to an evidentiary rule change; adverse Sandoval and Molineux rulings; adverse discovery, prosecutor-recusal, severance, interest-of-justice and separate-trial rulings; pre-indictment prosecutorial misconduct; an allegedly unconstitutional statutory presumption; statutory double jeopardy; selective prosecution; the statute of limitations; statutory interpretation; nonjurisdictional defects in grand jury proceedings; the sufficiency of the evidence supporting an indictment; and the form and factual specificity of an indictment. The foregoing list of rights and claims, while lengthy, is by no means exhaustive, for the waivers that flow from a guilty plea are necessarily almost as numerous as the various rights afforded to an accused.1733 In addition, the defendant’s guilty plea forfeits his right to challenge venue (the proper geographic county or place of trial) and to challenge the denial of a late notice of intention to present a psychiatric defense.1734
There are types of rights that are not necessarily waived or forfeited by a guilty plea: (1) the right to challenge the voluntariness of the plea itself1735 and the right to effective assistance of counsel at the plea proceeding;1736 (2) some rights that affect the power of the state over the defendant;1737 and (3) the statutory rights to appeal from orders denying suppression motions1738 and to argue on appeal that a negotiated sentence is unduly harsh or severe.1739 Defects in grand jury proceedings that survive a guilty plea must be jurisdictional.1740
Generally stated, claims related to the integrity of the criminal justice system, and rights of constitutional dimension that go to the very heart of the process, survive a guilty plea. The distinction between claims that do and do...
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- 9.0 - I. Judicial Policy Regarding Plea Negotiations
- 9.1 - II. Statutes And Rules
- 9.2 - A. Pre-Indictment FleXIbility
- 9.3 - B. Post-Indictment Pleading
- 9.4 - C. Statutory Limitations On Pleas
- 9.5 - D. Lesser-Included Offense
- 9.6 - E. Disposition Of Other Indictments
- 9.7 - III. Subject Matter Of Plea Agreements
- 9.8 - IV. The Power Of The Prosecutor
- 9.9 - V. Plea Bargaining And The Defense Attorney
- 9.10 - A. Counseling The Client
- 9.11 - 1. Developing The Confidence Of The Client
- 9.12 - 2. Defining The Function Of The Defense Attorney In The Plea-Negotiation Process
- 9.13 - 3. Keep The Trial Option Open
- 9.14 - 4. Explore Other Criminal Exposures
- 9.15 - 5. Explore Non-Criminal Consequences Of Criminal Conviction
- 9.16 - 6. The Padilla Warning
- 9.17 - B. Dealing With The Prosecutor
- 9.18 - 1. Research The Deal
- 9.19 - 2. Develop Personal Facts That Favor A Lesser Plea
- 9.20 - 3. Strengths Of The Defense Attorney
- 9.21 - 4. Legal Strengths Of The Case
- 9.22 - 5. Factual Strengths Of The Case
- 9.23 - 6. Ascertain The Limits Of The Prosecutor's Authority And The Chain Of Command
- 9.24 - C. Pre-Hearing Client Conference To Discuss Guilty Plea
- 9.25 - 1. Relinquishment Of Constitutional And Procedural Rights
- 9.26 - 2. Example Of Attorney Advice To Client
- 9.27 - 3. Description Of The Plea And Sentencing Process And Defendant's Role
- 9.28 - 4. MaXImum And Minimum Sentencing Options
- 9.29 - 5. Preparing For The Probation Department Interview
- 9.30 - 6. Sentencing Strategy
- 9.31 - 7. Possible Increase In Bail
- 9.32 - D. Guilty Pleas By Defendants Who Deny Guilt
- 9.33 - E. Rights Waived Or Forfeited By Defendant Who Pleads Guilty
- 9.34 - 1. Waiver Or Forfeiture By Operation Of Law
- 9.35 - 2. Rights Expressly Waived By Defendant
- 9.36 - 3. Guilty Pleas Conditioned On Outcome Of Appeal Of Issue “Preserved”
- 9.37 - VI. The Plea Hearing
- 9.38 - VII. Vacating Guilty Pleas
- 9.39 - VIII. Remedies For Prosecutor's Breach Of Plea Agreement
- 9.40 - IX. Conclusion
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