McMillan v. Williams

116 Misc. 2d 171, 455 N.Y.S.2d 523, 1982 N.Y. Misc. LEXIS 3850
CourtNew York Supreme Court
DecidedOctober 26, 1982
StatusPublished
Cited by6 cases

This text of 116 Misc. 2d 171 (McMillan v. Williams) is published on Counsel Stack Legal Research, covering New York Supreme Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
McMillan v. Williams, 116 Misc. 2d 171, 455 N.Y.S.2d 523, 1982 N.Y. Misc. LEXIS 3850 (N.Y. Super. Ct. 1982).

Opinion

OPINION OF THE COURT

Martin Evans, J.

This plaintiff’s motion pursuant to CPLR 3213 raises a question of first impression: can a guilty plea alone be a sufficient predicate for summarily awarding damages via a motion for summary judgment in lieu of complaint?

The case at bar arises from a street altercation on July 24, 1981 between the plaintiff and defendant. The defendant was arrested and charged with assault in the third degree. (Penal Law, § 120.00.) On August 13,1981, in Part AP 17 of the Criminal Court (Mogel, J.), the defendant pleaded guilty to the charge. Following entry of the guilty plea, in a full allocution, the defendant admitted that he assaulted the plaintiff by striking him with a weighted object, causing injury to his head. The defendant clearly evinced his understanding of the nature of the charge, the consequences of his plea and his waiver of rights to be tried [172]*172before a jury, offer proof or remain silent and confront witnesses. He declared that he understood that “a plea of guilty is the same as a conviction after trial”. He admitted that he was pleading guilty because he was “in fact guilty”. He was represented by counsel with whom he had consulted prior to entry of the plea. He represented that he had been neither threatened nor offered anything to induce him to plead guilty, other than a representation that he would be sentenced to a conditional discharge. The agreed upon sentence was thereupon imposed and entered. Defendant chose not to appeal his criminal conviction. Plaintiff thereafter instituted this civil action by motion, seeking money damages for the same incident.

At first glance, the situation presented would appear to be a proper one in which to grant summary judgment. Summary judgment is properly granted when the elements of liability and damage are established by proof sufficient to conclude that the moving party is entitled to judgment as a matter of law. Here, the record clearly establishes that (1) the underlying guilty plea is a valid final judgment; and (2) the elements of a misdemeanor assault and a civil battery were conclusively established by the prior plea and cannot be collaterally attacked or disputed here.

In the prior criminal proceeding, the defendant pleaded guilty to assault in the third degree. The record proves that the defendant understood both the meaning and the consequences of a criminal conviction pursuant to the plea of guilty. The judgment in that cáse is final and valid and puts to rest any possible dispute of fact as to the actual assault. (See CPL 1.20; Cumberland Pharmacy v Blum, 69 AD2d 903.) The plea of guilty is itself a judgment of conviction, more than simply a confession admitting that the accused did the act. (People v Casella, 90 Misc 2d 442.) Furthermore, when a defendant pleads guilty he waives all possible defenses, and evinces prima facie intention to forego appellate review of the facts underlying his conviction. (People v Melton, 35 NY2d 327.) Only in the most exceptional case, where the defendant demonstrates that his plea was not knowingly, intelligently and voluntarily made, should a court conclude that the. defendant’s plea [173]*173must be reconsidered, questioned or reviewed. (Cf. People v Wei Chen, 104 Misc 2d 1057.) This is not such a case.

The record clearly establishes the essential elements of a valid guilty plea in every respect. (See, e.g., People v Bruno, 74 AD2d 577.) While defendant asserts, in his answer, that he did not anticipate civil liability in the context of his criminal conviction, a Judge need not, before accepting a guilty plea, inform the defendant of all possible future contingencies. (People v Wilson, 81 Misc 2d 739.) The record in this case indicates that defendant pleaded guilty after consultation with and advice of his attorney, and that he pleaded guilty because he was in fact guilty. In any event, the conviction is not subject to vacation, since the defendant has made neither a proper nor a timely motion to do so. (Matter of Chaipis v State Liq. Auth., 44 NY2d 57.) The judgment is therefore both valid and final.

Not only is defendant’s guilty plea procedurally a valid, binding final judgment; it substantively established defendant’s guilt in the criminal case, and derivatively precludes him from denying here the underlying facts of the assault established in the criminal case.

In S. T. Grand, Inc. v City of New York (32 NY2d 300, 304), the Court of Appeals held that the principle of collateral estoppel applies to prior criminal, as well as prior civil proceedings as long as there is “ ‘an identity of issue which has necessarily been decided in the prior action and is decisive of the present action, and * * * there must have been a full and fair opportunity to contest the decision now said to be controlling’ ”. In Read v Sacco (49 AD2d 471), the court granted the plaintiff summary judgment in a civil assault action for personal injuries. The court es-topped the defendant from relitigating the essential issues of intentional assault based upon his prior criminal conviction for assault in the third degree, since proof of the elements of a criminal assault — the intentional infliction of physical injury — sufficiently proves the tort of battery. (See Masters v Becker, 22 AD2d 118.) The evidence before the court also convincingly demonstrates that defendant does not and cannot raise any defense that could not have been raised in the criminal case. There, he specifically waived his rights to assert defenses, present evidence or [174]*174put the prosecution to its proof. Having admittedly gained the benefit of the bargain, by obtaining a most favorable sentence, the defendant cannot now complain that he has any valid defenses. He willingly, knowingly, and — it would seem — gladly declined to present them at trial. Defendant never sought to withdraw his plea, nor did he choose to appeal. He shows no basis for either withdrawal or appeal.

Defendant, moreover, cannot claim that he is prejudiced by the application here of findings made in a criminal case. Here, plaintiff’s burden of proof (i.e., a preponderance of the credible evidence) is a significantly lesser standard than that which must be met by the prosecution in a criminal case (i.e., proof beyond a reasonable doubt). An issue established beyond a reasonable doubt has been, a fortiori, established by a preponderance of the credible evidence. In pleading guilty, defendant waived not only his right to put the State to its proof, but necessarily, his right to put the State to the higher standard of proof.

The criminal proceeding, however, can be regarded as conclusive only as to liability. The extent of plaintiff’s injury was not the subject of the criminal proceeding and was not determined by it. The criminal action, having as its object the .redress of a public wrong, rather than the compensation of a private wrong, did not nor cannot determine the amount of damages, if any, which the defendant should owe plaintiff. The extent and amount of damages therefore remains a triable issue. (See Adan v Abbott, 114 Misc 2d 735.) Any of the defenses which plaintiff claims he can assert, such as justification or provocation, while not now available to contest liability, are certainly admissible in mitigation of damages. (Kiff v Youmans, 86 NY 324; see Decker v Werbenec, 36 Misc 2d 220; Winant v State of New York, 33 Misc 2d 990.)

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Bluebook (online)
116 Misc. 2d 171, 455 N.Y.S.2d 523, 1982 N.Y. Misc. LEXIS 3850, Counsel Stack Legal Research, https://law.counselstack.com/opinion/mcmillan-v-williams-nysupct-1982.