People v. Lopez, 71 N.Y.2d 662 (1988)
When a defendant’s factual recitation during a plea allocution casts doubt on their guilt or the voluntariness of the plea, the trial court must inquire further; however, if the court does inquire and the defendant fails to object, the challenge to the allocution is not preserved for appeal.
Summary
Lopez was indicted for second-degree murder but pleaded guilty to first-degree manslaughter. During the plea allocution, his statements suggested a possible justification defense and a lack of intent to cause serious physical injury. The prosecutor raised concerns, prompting the court to inquire further. Satisfied after the inquiry, the court accepted the plea. Lopez did not move to withdraw the plea or vacate the conviction but appealed, arguing the allocution was deficient. The New York Court of Appeals held that because the trial court addressed the issues raised during the allocution, and the defendant did not object to the remedy, the defendant failed to preserve the issue for appellate review.
Facts
Lopez was charged with second-degree murder for stabbing Herbert William Badgley. He accepted a plea bargain to manslaughter in the first degree. During the plea allocution, Lopez stated facts that suggested he acted in self-defense and did not intend to cause serious injury. Specifically, he stated he “didn’t want to hurt” the victim and “feared for his life.” The prosecutor interrupted the allocution to question the validity of the plea based on these statements.
Procedural History
The trial court accepted Lopez’s guilty plea after further inquiry. Lopez appealed his conviction to the Appellate Division, arguing his allocution was deficient. The Appellate Division affirmed the conviction, holding that Lopez waived his right to challenge the plea by not moving to withdraw it or vacate the judgment. The dissenting Justice granted Lopez permission to appeal to the New York Court of Appeals.
Issue(s)
Whether a defendant preserves a challenge to the factual sufficiency of a plea allocution for appellate review when the trial court conducts further inquiry after the defendant’s statements cast doubt on their guilt, and the defendant fails to move to withdraw the plea or vacate the judgment of conviction?
Holding
No, because when the trial court conducts further inquiry to ensure the plea is knowing and voluntary, and the defendant fails to object or move to withdraw the plea, the defendant waives any further challenge to the allocution, and no issue is preserved for appellate review.
Court’s Reasoning
The Court of Appeals emphasized the importance of preserving issues for appellate review to allow trial courts the opportunity to correct errors. CPL 470.05(2) requires that to preserve an issue of law, the trial court must have the opportunity to correct any error in the proceedings. The Court cited People v. Michael, stating, “The requirement that a claim must be timely raised in order to create a question of law is grounded in large part in the need to preserve limited judicial resources and avoid untoward delay in the resolution of criminal proceedings.” Thus, a defendant must move to withdraw the plea under CPL 220.60(3) or vacate the judgment under CPL 440.10 to preserve a challenge to the factual sufficiency of a plea. The Court distinguished this case from those where a defendant’s recitation of facts “clearly casts significant doubt upon the defendant’s guilt” and the court fails to inquire further. Here, the trial court, alerted by the defendant’s statements and the prosecutor’s concerns, properly inquired further to ensure the plea’s validity. Because Lopez did not object to the court’s remedial action by moving to withdraw the plea, he waived his challenge to the allocution.