People v. Sanders, 24 N.Y.3d 748 (2015)

A valid waiver of the right to appeal requires that the defendant’s understanding of the waiver be apparent on the record, but no specific litany is required in the plea colloquy to ensure the waiver is knowing and intelligent.

Summary

The New York Court of Appeals addressed whether a plea colloquy adequately established a valid waiver of the right to appeal. The defendant pleaded guilty to manslaughter and gang assault, and during the plea, the prosecutor asked if the defendant understood he was waiving his appeal rights. The Court found the waiver valid, despite the prosecutor, rather than the court, conducting the plea colloquy. The Court emphasized that a specific recitation of rights isn’t required; instead, the totality of the circumstances, including the defendant’s background and experience, are considered to assess whether the waiver was knowing and intelligent.

Facts

The defendant was arrested for stabbing a 16-year-old victim, resulting in the victim’s death. After receiving Miranda warnings, the defendant confessed. He was indicted on murder, gang assault, and weapon possession charges. After a motion to suppress his statements was partially denied, he pleaded guilty to manslaughter and gang assault. During the plea colloquy, the prosecutor discussed the rights the defendant was forfeiting, including the right to appeal. The defendant confirmed he had discussed the waiver with his attorney and agreed to waive his appeal rights. Following sentencing, the defendant filed a pro se notice of appeal. The Appellate Division, Second Department affirmed the conviction.

Procedural History

The defendant filed a pro se notice of appeal. The Appellate Division, Second Department affirmed the conviction, finding a valid waiver of the right to appeal. A dissenting Justice of the Appellate Division granted defendant leave to appeal to the New York Court of Appeals, which affirmed the Appellate Division’s decision.

Issue(s)

1. Whether the plea colloquy was sufficient to establish a knowing, voluntary, and intelligent waiver of the right to appeal, considering the prosecutor, rather than the court, conducted the majority of the plea colloquy.

Holding

1. Yes, because the record, considering the defendant’s experience and the plea colloquy, demonstrated a valid waiver of the right to appeal.

Court’s Reasoning

The Court of Appeals referenced its prior decisions in *People v. Seaberg* and *People v. Lopez*, emphasizing that a defendant may waive their right to appeal, provided it is voluntary, knowing, and intelligent. While the trial court should ensure a full appreciation of the consequences of the plea, no particular litany is required during the plea colloquy. The Court examined the entire record, including the defendant’s criminal history, which showed extensive experience with the criminal justice system and multiple prior guilty pleas, to conclude the waiver was valid. Although it expressed concern about the prosecutor’s role in the colloquy, the Court found the colloquy sufficient because the defendant acknowledged he discussed the waiver with his attorney and understood he was waiving his right to appeal. The dissent argued that the defendant’s criminal record alone should not cure a deficient plea allocution, asserting that the colloquy should have defined the nature of the right to appeal more fully.

Practical Implications

The case underscores that while a complete recitation of rights isn’t always mandated, a record must be created to show a defendant’s understanding of the rights they are waiving. In practice, this means that attorneys should ensure that the record reflects that the defendant discussed the appeal waiver with counsel and understood the implications. The Court’s emphasis on the totality of the circumstances requires courts to consider factors like the defendant’s prior experience with the justice system, the terms of the plea agreement, and any written waivers. Attorneys need to be aware that the court will consider all relevant factors and the absence of a comprehensive colloquy is not necessarily fatal to a waiver, provided the record supports the validity of the waiver. The delegation of the plea allocution by the court to the prosecutor is viewed with concern, but the Court did not find it a critical error in this case. This ruling also shows that a prior criminal record is a factor in considering the validity of a waiver of appeal, but it is not the only factor.