40 N.Y.2d 595 (1976)

When a defendant waives the right to counsel and pleads guilty, the trial court must ensure the defendant understands the consequences of the waiver and plea, and that the defendant committed an act constituting a crime.

Summary

Gina M. M., a 17-year-old, was charged with criminal possession of a dangerous drug. She was arraigned in the early morning, waived her right to counsel, pleaded guilty, and was adjudicated a youthful offender. The Court of Appeals reversed the County Court’s order, vacated the conviction and plea, and remitted the case, holding that the defendant was inadequately advised of the plea consequences and that there was no showing she understood the possible defenses. The court emphasized the necessity of a painstaking effort by the trial court to ensure the accused understands the consequences of waiving counsel and pleading guilty.

Facts

Defendant, 17, was charged with criminal possession of a dangerous drug in the sixth degree at approximately 3:06 a.m. on July 15, 1973. She was arraigned during the early hours of the same morning. She waived her right to counsel and pleaded guilty to the charge. She was adjudged a youthful offender. Marijuana was found in the vehicle where she was present with three other individuals.

Procedural History

The case was initially appealed, and due to the insufficiency of the record, was remitted to the Town Court of the Town of Livingston, Columbia County, for further proceedings. After a hearing post-remittal, the County Court affirmed the conviction. The defendant then appealed to the New York Court of Appeals.

Issue(s)

1. Whether the defendant adequately understood the consequences of waiving her right to counsel and pleading guilty, particularly concerning the impact of a youthful offender adjudication on her record.
2. Whether the defendant understood or was aware of possible defenses available to her, considering the presumption under § 220.25 of the Penal Law.

Holding

1. No, because the defendant was inadequately, if not incorrectly, advised of the plea consequences, and it could not be accurately said that the youthful offender adjudication resulted in no blemish on her record.
2. No, because there was no showing that the defendant understood or was aware of the possible defenses available to her, and the extent and nature of the presumption of section 220.25 of the Penal Law was, if discussed at all, presented incompletely and in a misleading fashion.

Court’s Reasoning

The court emphasized that a painstaking effort is required by the trial court to ensure the accused understands the consequences of waiving counsel and pleading guilty, and that the defendant committed an act constituting a crime. The court found the defendant was inadequately advised of the plea consequences, noting, “I told her that being adjudicated a youthful offender which is something from the age of 16 to 19 which left no scar on the record.” The court cited CPL 720.35, indicating that youthful offender adjudications do have potential consequences. The court also found a lack of evidence showing the defendant understood potential defenses, especially concerning the presumption under § 220.25 of the Penal Law. The court referenced People v. Seaton, stating the need for understanding possible defenses. The Court also noted that the determination of youthful offender status should occur after conviction, presentence investigation, and at the time of sentencing, a procedure not followed in this case. “When a defendant waives his right to counsel and pleads guilty, there should be a painstaking effort by the trial court to make sure that the accused understands the consequences of the waiver and plea and that defendant committed an act which constituted a crime and which would furnish a basis for the plea”.