People v. Perez, 88 N.Y.2d 903 (1996)
A challenge to the validity of a guilty plea must be preserved before the trial court and does not constitute a “mode of proceedings” error excusing the need for preservation unless it falls within a narrow, rare exception.
Summary
Defendant Perez appealed his conviction, arguing that his guilty plea was invalid due to an ambiguous comment made by the trial court. The New York Court of Appeals affirmed the Appellate Division’s order, holding that the defendant’s challenge to the guilty plea’s validity was not preserved for appellate review. The Court determined that the trial court’s comment was at most a “mere mistake” and did not constitute a fundamental error affecting the “mode of proceedings,” thus requiring preservation. The Court emphasized the importance of preserving such challenges and found that the circumstances of this case did not warrant an exception to the preservation rule.
Facts
Defendant Perez pleaded guilty. At the end of the plea proceeding, the trial court made a comment that Perez later argued rendered his plea invalid. The defendant allocuted to the elements of the crime and repeatedly indicated his desire to plead guilty as part of a package deal involving a co-defendant.
Procedural History
The defendant was convicted on a guilty plea. The Appellate Division affirmed the conviction. A judge of the Court of Appeals granted leave to appeal. The New York Court of Appeals affirmed the Appellate Division’s order.
Issue(s)
Whether the defendant’s claim, challenging the validity of his guilty plea based on an ambiguous comment by the trial court, had to be preserved before the trial court to be reviewable on appeal.
Holding
No, because the challenge to the validity of the plea in this case had to be preserved and is not a “mode of proceedings” matter. The utterance upon which defendant’s claims hinge, was at most a “mere mistake” of language by the court and does not qualify for the narrow, rare exception to the requirement that the claim of an invalid guilty plea must be appropriately preserved.
Court’s Reasoning
The Court of Appeals reasoned that the trial court’s comment, at most, amounted to a “mere mistake” and did not rise to the level of a fundamental error affecting the mode of proceedings. The Court emphasized that the record demonstrated a clear understanding among all participants that the defendant was entering a voluntary guilty plea, which was further confirmed by their positions at sentencing. The court distinguished this case from those rare instances where preservation is not required for challenges to guilty pleas, such as in People v. Lopez, 71 N.Y.2d 662 (1988). The Court noted that the unassailable understanding at the plea proceeding by all participants as to what was functionally taking place, confirmed by their positions at sentencing, contradicts defendant’s substantive reformulation, first advanced as an argument before the Appellate Division. The court stated that the case does not qualify for the narrow, rare exception to the requirement that the claim of an invalid guilty plea must be appropriately preserved. The court referenced People v Minaya, 54 NY2d 360, 365 in stating that the utterance was a mere mistake of language by the court.