Opinion ID: 1256589
Heading Depth: 1
Heading Rank: 3

Heading: Applicability of Section 1237.5 of the Penal Code

Text: The Attorney General properly concedes that had petitioner pleaded not guilty and thereafter had been convicted he would be entitled to relief pursuant to rule 31 (a) of the California Rules of Court. The Attorney General contends, however, that in view of the guilty plea, it would be fruitless to grant such relief because the ensuing appeal would not be operative on the ground that petitioner has not complied with the requirements of section 1237.5 of the Penal Code. [1] Section 1237.5 provides: No appeal shall be taken by defendant from a judgment of conviction upon a plea of guilty or nolo contendere, except where: (a) The defendant has filed with the trial court a written statement, executed under oath or penalty of perjury showing reasonable constitutional, jurisdictional, or other grounds going to the legality of the proceedings; and (b) The trial court has executed and filed a certificate of probable cause for such appeal with the county clerk. The provisions of this section are implemented by rule 31(d) of the California Rules of Court. [2] (1a) Petitioner concedes that he has not complied with section 1237.5, but he contends that the requirements of that section are not applicable to the facts of this case. He relies on People v. Ward (1967) 66 Cal.2d 571 [58 Cal. Rptr. 313, 426 P.2d 881], and People v. Delles (1968) 69 Cal.2d 906 [73 Cal. Rptr. 389, 447 P.2d 629]. In Ward we held that a defendant was not required to comply with the provisions of section 1237.5 if he was not challenging the validity of his plea of guilty but was asserting only that errors occurred in the proceedings held subsequent to the plea for the purpose of determining the degree of the crime and the penalty to be imposed. Although section 1237.5 refers generally to an appeal from a judgment of conviction upon a plea of guilty, we stated that the section was only intended to apply to a situation in which a defendant claimed that his plea of guilty was invalid. ( People v. Ward, supra, at p. 574.) Delles, following the reasoning of Ward, held that section 1237.5 did not apply where the defendant's only claim was that the trial court erred in imposing a prison sentence contrary to the terms of the bargain by which his guilty plea was obtained. ( People v. Delles, supra, at p. 909.) [3] Petitioner contends that Ward and Delles govern this case because he is asserting not only that his guilty plea was invalid, but also that the trial court erred in the penalty proceeding subsequent to the plea by imposing a prison sentence contrary to a plea bargain. The only basis alleged in support of a plea bargain is petitioner's statement that he was told by his trial counsel that upon a plea of guilty he would be committed to the state rehabilitation center as a narcotic addict. The Attorney General has denied that trial counsel made any such promise. Even if petitioner's allegations are true, however, they are not sufficient to warrant relief on the theory that the trial court imposed sentence in violation of a valid plea bargain. (2) [P]urported misrepresentations of defense counsel that a specific sentence will be imposed are insufficient to vitiate a plea entered in reliance thereon ( People v. Reeves (1966) 64 Cal.2d 766, 776 [51 Cal. Rptr. 691, 415 P.2d 35]), and they are certainly insufficient to have any binding effect on the trial court as to the sentence to be imposed. Such alleged misrepresentations cannot rise to the level of a valid plea bargain in the absence of at least apparent substantial corroboration by a responsible public official. (Cf., People v. Gilbert (1944) 25 Cal.2d 422, 443 [154 P.2d 657].) (1b) Petitioner has not alleged that his attorney's representations were in any way substantiated by the prosecution or the court, nor has he alleged that his attorney purported to speak for a responsible public official. Thus there is no merit in petitioner's claim that the trial court erred in the subsequent proceedings by imposing a prison sentence in violation of a bargain by which his plea was obtained. Even in the absence of a valid plea bargain, alleged misrepresentations by defense counsel could, of course, be considered by the trial court in ruling on a motion before judgment to withdraw a guilty plea pursuant to Penal Code section 1018. Nothing we have said above with respect to plea bargains is intended in any way to restrict the power of the trial court in the exercise of its discretion in granting or denying motions to withdraw guilty pleas pursuant to that section. In this respect, however, petitioner's allegations of misrepresentations by defense counsel, like his remaining allegations, that at the time he entered his guilty plea he was addicted to and under the influence of drugs and was not fully aware, go only to the validity of his plea. What he is actually contending, therefore, is that the trial court erred in not permitting him to withdraw an allegedly invalid plea of guilty. The merits of this contention are not before us at this time, for we are now concerned only with the issue of whether section 1237.5 is applicable when a defendant seeks review of an order denying a motion to withdraw a guilty plea even though the motion relates to the validity of the plea. It is contended that to require compliance with section 1237.5 would seriously restrict inquiry into error in the denial of the motion. There is no merit in this contention. (3) Section 1237.5 does not limit the scope of review of the denial of a motion to withdraw a plea of guilty when that error is properly before the court on appeal. It merely sets forth a procedure for precluding frivolous appeals by requiring the defendant to set forth grounds for appeal and, if he does so, by requiring the trial court to rule on the issue of probable cause. (4) An order before judgment denying a motion to withdraw a guilty plea is not appealable, but can be reviewed on an appeal from the judgment. ( People v. Francis (1954) 42 Cal.2d 335, 336 [267 P.2d 8]; People v. Caruso (1959) 174 Cal. App.2d 624, 630 [345 P.2d 282]; Pen. Code, § 1237.) (5) Although on such an appeal the merits of the issue of guilt or innocence are not reviewable ( Stephens v. Toomey (1959) 51 Cal.2d 864, 870 [338 P.2d 182]), both before and after the enactment of section 1237.5, the constitutional, jurisdictional and other errors referred to in that section have been reviewed. Particular claims of error that have been considered and that may still be considered include insanity at the time of the plea ( People v. Laudermilk (1967) 67 Cal.2d 272, 282 [61 Cal. Rptr. 644, 431 P.2d 228]), ineffective waiver of constitutional rights ( People v. Navarro (1966) 243 Cal. App.2d 755, 758 [52 Cal. Rptr. 686]), ineffective assistance of counsel ( People v. Natividad (1963) 222 Cal. App.2d 438, 441 [35 Cal. Rptr. 237]), a plea obtained by misrepresentation ( People v. Rose (1959) 171 Cal. App.2d 171, 172 [339 P.2d 954]), or other abuse of discretion in denying a motion to withdraw a guilty plea. ( People v. Francis (1954) 42 Cal.2d 335, 338 [267 P.2d 8]; People v. Griggs (1941) 17 Cal.2d 621, 624 [110 P.2d 1031]). (6) The impact of section 1237.5 relates to the procedure in perfecting an appeal from a judgment based on a plea of guilty, and not to the grounds upon which such an appeal may be taken. [4] (7) In determining the applicability of section 1237.5, the crucial issue is what the defendant is challenging, not the time or manner in which the challenge is made. The argument is made that since a motion to withdraw a guilty plea must of necessity be made after the plea, the ruling on the motion is a result of a subsequent adversary hearing within the meaning of Ward and Delles. Although Ward and Delles were both based on errors that occurred in proceedings subsequent to the plea, we believe that the determinative factor in each case was the substance of the error being challenged, not the time at which the hearing was conducted. In neither case was the validity of the plea in question. If a defendant challenges the validity of his plea by way of a motion to withdraw the plea, he cannot avoid the requirements of section 1237.5 by labelling the denial of the motion as an error in a proceeding subsequent to the plea. [5] To hold otherwise would be to invite such motions as a matter of course, and would be wholly contrary to the purpose of section 1237.5. (1c) In the instant case, since petitioner is challenging the validity of his plea, he is required to comply with section 1237.5.