People v. Bourne

139 A.D.2d 210, 531 N.Y.S.2d 899, 1988 N.Y. App. Div. LEXIS 7981
Appellate Division of the Supreme Court of the State of New York·Decided July 21, 1988·Published·Cited by 30 cases

Opinions

OPINION OF THE COURT

Carro, J.

Express waivers, the "intentional relinquishment or abandonment of a known right” (Johnson v Zerbst, 304 US 458, 464), are ordinarily given effect if "knowingly and voluntarily made” (Barker v Wingo, 407 US 514, 529) and not in violation of public policy (Hadden v Consolidated Edison Co., 45 NY2d 466, 469). Without a doubt, defendant asserts cogent arguments, which deserve our careful attention, as to why this court should scrutinize more closely the growing prosecutorial practice of exacting as a condition to a negotiated plea the waiver of the right to appeal. (See, People v Ventura, 139 AD2d 196, 201 [1988].) This case, however, presents an altogether independent issue, which though not addressed by the parties on this appeal, once determined will resolve the question of the reviewability of defendant’s sentence despite his express waiver of the right to appeal. That issue is whether a waiver of the right to appeal a judgment operates not only as a waiver of our "law” jurisdiction but also of our interest of justice jurisdiction to review and modify sentences in our discretion.

We now hold that a waiver of the right to appeal a [212] criminal conviction, entered by a defendant as a condition to a negotiated plea, does not bar that defendant from invoking the unique, historically recognized " 'constitutionalized’ ” power (People v Pollenz, 67 NY2d 264, 268) of this court to review his sentence as a matter of discretion in the interest of justice. In so holding, we are mindful of the fact that recently a different panel of this very court and earlier decisions of our fellow Departments have upheld such waivers and dismissed appeals seeking appellate review of sentences as excessive. (See, People v Cooks, 135 AD2d 455 [1st Dept]; People v Harvey, 124 AD2d 943 [3d Dept]; People v Davison, 108 AD2d 820 [2d Dept].) Reconsideration of these decisions is warranted, indeed, compelled, by the fact that it does not appear that the effect of these waivers on our sentence review powers has ever been analyzed or even addressed. We take this opportunity to do so now. But first, a brief review of the facts of this case is in order.

On April 26, 1985, defendant pleaded guilty to manslaughter in the first degree to cover an indictment charging him with murder in the second degree. A condition of the plea, which carried a promise of an 8Vá-to-25-year sentence, was that defendant waive his right to appeal the judgment. At the allocution, when the court inquired whether defendant was prepared to waive his right to appeal, defendant responded that he was not. However, after conferring with counsel, defendant then admitted his intent to waive his right to appeal. Defendant was sentenced in accordance with the terms of the negotiated plea. Defendant now seeks review of his sentence as excessive, thereby invoking the interest of justice jurisdiction of this court.

This interest of justice jurisdiction is exclusive to criminal appeals. Thus, while our jurisdiction in civil cases is itself generous in that it permits appellate review of most nonfinal and final orders and judgments pertaining to pretrial and trial proceedings, a reversal or modification must be grounded upon the law (i.e., preserved errors), the facts, or a combination of both. (CPLR 5501 [a], [c].) In criminal cases, on the other hand, while interim appeals are not, except under extraordinary circumstances, permitted (CPL 450.10, 450.20; Matter of State of New York v King, 36 NY2d 59, 64), our jurisdiction is nevertheless extremely liberal in that we may reverse or modify, upon the law, the facts or as a matter of discretion in the interest of justice, or a combination of the above. (CPL 470.15 [3].) Even more extraordinary is our explicitly autho[213] rized power, when reviewing a sentence in our discretion, not only to adjudge it to be excessive, but to ourselves impose some legally authorized lesser sentence. (CPL 470.15 [6] [b]; 470.20 [6].)

A brief historical review of this power illuminates its invulnerability to the attack presented in this case. The Appellate Division of the Supreme Court of New York came into existence in 1894 (NY Const of 1894, art VI, §§ 1, 2), for the express purpose of exercising appellate jurisdiction over the Trial and Special Terms of the Supreme Court and any legislatively established inferior courts. (Waldo v Schmidt, 200 NY 199, 202.)* Soon after its creation and before it was specifically given any express statutory grant of jurisdictional power to reduce sentences, the Appellate Division exercised, as inherently given, the power to review the claimed harshness of sentences in the interest of justice. (People v Thompson, 60 NY2d 513, 520, citing People v Miles, 173 App Div 179.)

In People v Miles (supra) the Appellate Division, Third Department, reasoned that because sentencing was a naturally vested power of the Supreme Court, it was thereby inherently subject to review under the general appellate powers of the Appellate Division. Furthermore, the court said, "any determination of a trial judge or justice which is unjust in its relation to the crime of which the defendant stands convicted is within the power of the Supreme Court [Appellate Division] to correct” (supra, at 185). This inherent power to review and correct was subsequently expressly codified in section 543 of the Code of Criminal Procedure, and later in 1971, when the Legislature adopted the current Criminal Procedure Law, that power to review and reduce sentences in the interest of justice was continued in CPL 470.15 (6) (b) and 470.20 (6). Finally, this power, originally recognized as inherent, was deemed "constitutionalized” by NY Constitution, art VI, §4 (k), which grants to the Appellate Divisions all the jurisdiction possessed by them by statute on the effective date of that article (Sept. 1, 1962), including the jurisdiction given [214] them by CPL 470.15 and 470.20. (People v Pollenz, supra, 67 NY2d, at 268.) The Pollenz court determined that this jurisdiction may not be legislatively limited or conditioned by law (supra).

Neither is this court limited or restricted in the same way the trial court is when it finds a negotiated sentence to be unfair. In People v Thompson (60 NY2d 513) the court, after reviewing the history of and noting the expansiveness and uniqueness of our sentence review powers, held that the requirement established in People v Farrar (52 NY2d 302) that a trial court must afford the prosecutor an opportunity to withdraw consent to a plea when it finds a negotiated sentence to be excessive, does not apply to the Appellate Division’s power to reduce a sentence in the interest of justice (60 NY2d 513, esp 519-521, supra). The court based its decision on the fact that the statute at issue in Farrar (CPL 220.10 [3], [4]), requiring the consent of the People and the trial court in negotiated pleas, was simply inapplicable to the Appellate Division, which upon a distinctively different and independent statutory basis has the power to review and reduce a sentence in its discretion and in the interest of justice, irrespective of the bargained for terms of the plea. (People v Thompson, supra, at 519.)

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People v. Bourne, 139 A.D.2d 210, 531 N.Y.S.2d 899, 1988 N.Y. App. Div. LEXIS 7981 (N.Y. Ct. App. 1988).

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