People v. GerberPeople v. Gerber
OPINION OF THE COURT
Thе defendant, having been convicted of manslaughter in the second degree upon a negotiated guilty plea, advances several claims on this appeal regarding alleged police and prosecutorial misconduct. He contends that these instances of purported misconduct raise issues which survive his guilty plea and which mandate the dismissal of the indictment against him. We disagree with the defendant and take this opportunity to discuss the requirements for, as well as the ramifications of, the entry of a valid plea of guilty.
I.
On April 26, 1990, the defendant, Bradford J. Gerber, was indicted for the crime of manslaughter in the second degree in that "on or about the 30th day of December, 1989, [he] recklessly caused the death of another [named] person * * * by shooting him with a rifle”. The defendant, who has never denied committing the shooting, was arrested shortly after the incident and allegedly made voluntary statements to the New York State Police. According to the prosecution, those statements indicated that, after drinking at a local tavern, the defendant and three friends, one of whom was the victim, went to the defendant’s residence on the morning of December 30, 1989. Subsequent to their arrival, they drank some beer and the defendant additionally used cocaine. As the group apparently engaged in horseplay, the defendant grabbed a seven-millimeter rifle which was leaning against the wall, examined it and satisfied himself that it was not loaded, and then pointed it at the victim and pulled the trigger. The rifle discharged, mortally wounding the victim and thus precipitating the defendant’s arrest and indictment.
In a series of motions, the defendant claimed that the indictment should be dismissed in the furtherance оf justice (see, CPL 210.40) because of pervasive misconduct on the part of the police and the prosecutor. These alleged instances of misconduct, sharply disputed by the People, consisted of the following: (1) a New York State Police Senior Investigator
The County Court held an evidentiary hearing on these allegations of misconduct. Subsequent to the hearing, the court issued an amended decision and order which reviewed the testimony of the hearing witnesses and which denied the defendant’s motion to dismiss the indictment or to bar the People from presenting any evidence at trial regarding the presence of the second, "live” bullet in the rifle. Specifically, the court found that the Senior Investigator’s conduct in deliberately listening to a brief portion of the taped interview between the defendant and his attorney was "improper” and "inappropriate”, notwithstanding the Senior Investigator’s testimony that he did so only because he suspected that the tape recorder was voice activated and thus might have recorded police conversations.
Similarly, the court found the defendant’s other claims of misconduct unavailing. With regard to the test-firing of the "live” cartridge removed from the rifle, the court found that the defense counsel was on notice of the existence of this second bullet prior to its destruction by virtue of his receipt of a police photograph of the rifle showing that it contained one spent and one "live” cartridge. Moreover, the court deter
Thereafter, on March 28, 1991, the defendant appeared in the County Court and, pursuant to a negotiated agreement with the People, offered to plead guilty to the charge of manslaughter in the second degree in exchange for a promised sentence of two to six years imprisonment. The defendant indicated to the court that he had received sufficient time and opportunity to discuss the matter with his counsel and with his family, that he had consulted with his attorney regarding all of his options and potential defenses, and that he was satisfied with counsel’s representation. The defendant further stated that he had not recently consumed any alcohol or drugs, that he was not under professional care for any emotional problems, that he had not been threatened or forced into pleading guilty, that the only promise made to him concerned the negotiated sentence, that he was offering to plead guilty "willingly, knowingly, and voluntarily”, and that
On May 20, 1991, the defendant appeared for sentencing and received the promised term of two to six years’ imprisonment. He did not seek to withdraw his plea, nor did he voice any objection during the proceedings. This appeal ensued.
II.
We begin with the familiar observation that the importance of plea bargaining to our system of justice cannot be overstated. Indeed, it has become an indispensable and generally beneficial component of day-to-day operations in New York’s courts of criminal jurisdiction. As our Court of Appeals recently observed in People v Seaberg (
However, it is well settled that plea bargaining serves the ends of justice only when it is the product of a free and informed decision on the part of the accused. Thus, "the final and prompt conclusion of litigation is an important goal of public policy in criminal as well as civil litigation, provided always that the settlement is fair, freе from oppressiveness, and sensitive to the interests of both the accused and the People” (People v Seaberg, supra, at 8). To ensure that a given plea bargain is made in an atmosphere of fundamental fairness, the court must assume the duty of ascertaining whether the guilty plea is voluntary, knowing, and intelligent, by making relevant inquiry on the record. In doing so, the court is not bound by "a ritualistic uniform procedure” (People v Harris,
To be sure, "[t]he pleading process necessarily includes the surrender of many guaranteed rights” (People v Seaberg, supra, at 7). Among these are the privilege against compulsory self-incrimination, the right to a trial by jury, and the right to confront one’s accusers (see, Boykin v Alabama,
In contrast to those rights which necessarily are waived in the taking of a guilty plea, a much broader category of rights
Inasmuch as a guilty plea works a forfeiture of nonjurisdictional defects (see, People v Williams, supra), it "forecloses a host of challenges that would otherwise be reviewable as a matter of constitutional, statutory, or decisional law” (People v Bray,
The foregoing list of rights and claims forfeited by operation of law upon a valid guilty plea, while lengthy, is by no means exhaustive. Indeed, "[t]he waivers [which flow from a guilty plea] are necessarily almost as numerous as the various rights afforded to the accused” (People v Bray,
III.
Having set forth the relevant legal principles above, it merely remains for us to determinе whether the defendant’s appellate contentions come under that broad grouping of claims which are forfeited by a plea of guilty, or are so fundamental in nature as to survive his guilty plea. We find that they fall within the former category.
The defendant’s primary claim is that the alleged police and prosecutorial misconduct in this case was so "repugnant to a sense of justice” as to require dismissal of the indictment notwithstanding his freely negotiated and extremely favorable plea bargain. He specifically points to the eavesdropping by police with respect to a brief portion of the interview taped by his attorney, the test-firing and consequent destruction of the "live” bullet recovered from the rifle, the purported "staging” of a photograph of the weapon and its submission to the Grand Jury, and the elicitation of opinion testimony from a nonexpert witness during the Grand Jury proceedings. These claims have been forfeited by the defendant’s plea of guilty (see, People v Di Raffaele,
The same analysis applies to the remaining instances of purported misconduct. The defendant’s claim that a photograph of the weapon was "staged” by police is disingenuous, as the record demonstrates that an investigator merely prevented the ejection of a spent cartridge from the rifle so that a photograph which depicted the actual contents of the weapon could be taken. Moreover, the investigator fully explained the operation of the rifle, including the automatic ejection feature, to the Grand Jury. Hence, the issue was fully developed in the
Similarly, the claim that the investigator improperly gave opinion testimony before the Grand Jury is based upon a distorted perception of the facts. While the investigator was not qualified as an expert on firearms, he did state that, as a nine-year veteran of the police force, he had received extensive training in firearms and handled them on a routine basis in investigating crime scenes. Additionally, he thoroughly examined the weapоn in this case and demonstrated a clear familiarity with the manner in which it operated. Given these facts, his competency to testify regarding that subject and to respond to hypothetical questions concerning the use of the weapon are not open to serious challenge. Therefore, it cannot be said that either of these purported errors, if errors they be, so tainted the proceedings as to warrant appellate review notwithstanding the defendant’s guilty plea (see, People v Nelson,
Likewise, the defendant’s contention that the prosecutor also engaged in misconduct during the Grand Jury proceedings by placing the "staged” photograph in evidence and by eliciting opinion testimony from a nonexpert witness has been forfeited by his guilty plea, inasmuch as his allegations clearly do not support the conclusion that the integrity of the Grand Jury proceedings was impaired (see, People v Di Raffaele,
We further note that the defendant’s reliance upon People v Isaacson (
The defendant’s challenge to the test-firing of the "live” cartridge also has been forfeited by his guilty plea. Although he phrases the argument in terms of a "suppression” issue, it is clear from the motion papers submitted to the hearing court that he did nоt move for suppression pursuant to CPL article 710. Rather, he was seeking the imposition of a sanction (i.e., dismissal of the indictment or preclusion of evidence regarding the "live” bullet) based on the alleged improper destruction of the bullet evidence by the police. Accordingly, the hearing court’s denial of that application is not reviewable pursuant to CPL 710.70 (2), inasmuch as that provision applies only to CPL article 710 motions to suppress (see generally, People v Taylor, 65 NY2d 1, 7, supra). Rather, the hearing court’s rejection of this claim amounted to an evidentiary ruling, review of which was forfeited by reason of the guilty plea. Indeed, "[w]here a defendant has by his plea admitted commission of the crime with which he is charged, the plea more than a confession, signals defendant’s intention not to litigate the question of his guilt and normally renders irrelevant any consideration of whether his conviction should be reversed for evidentiary error” (People v Campbell,
In any event, we discern no improvident exercise of discretion in the hearing court’s refusal to impose the sanctions requested by the defendant. While the People have a duty to preserve evidence (see, People v Kelly,
The defendant’s final contention consists of several claims attacking the adequacy of the indictment charging him with manslaughter in the second degree. However, it is firmly established that all challenges to nonjurisdictional defects in an indictment are forfeited by a guilty plea (see, People v Beattie,
The defendant also claims that the indictment is jurisdictionally dеfective because it fails to state each and every element of the crime charged. While it is true that "[a] valid and sufficient accusatory instrument is a nonwaivable jurisdictional prerequisite to a criminal prosecution” (People v Case,
In view of the foregoing, the judgment is affirmed, inasmuch as the defendant’s appellate contentions have been forfeited by the valid plea of guilty which he entered. To the extent he attempts to cast his claims within that narrow category of issues which survive a guilty plea, we find them to be without merit.
Rosenblatt, Miller and Santucci, JJ., concur.
Ordered that the judgment is affirmed.
Notes
. A Grand Jury investigation of the entire "tape recorder incident” was conducted prior to the misconduct hearing and no charges were returned against any police personnel.
. The right to appeal need not be waived in order for a valid guilty plea to be entered. However, where a waiver of that right is elicited as a condition of a plea agreement, the courts will uphold the waiver (see, People v Moissett,
. While CPL 710.70 (2) affords a defendant the right to challenge a suppression ruling despite his guilty plea, that right may be waived (see, People v Williams,