People v. Johnson, 12 N.E.3d 1109 (N.Y. 2014). · Go Syfert
People v. Johnson, 12 N.E.3d 1109 (N.Y. 2014). Cases Citing This Book View Copy Cite
65 citation events (65 in the last 25 years) across 3 distinct courts.
Strongest positive: People v. Sabb (ny, 2026-03-19)
Treatment trajectory · 2014 → 2026 · click a year to view as-of
2014 2020 2026
Top citers, strongest first. 40 distinct citers. How cited ↗
discussed Cited as authority (rule) People v. Sabb (2×) also: Cited "see, e.g."
NY · 2026 · confidence medium
We readily endorse the practice of defendants pleading guilty to impossible or nonexistent crimes even though, in those circumstances, a defendant's allocution is not only deficient, it is based on a legal fiction, and, most significantly for our purposes here, "no factual basis for the plea is required" ( People v Johnson , 23 NY3d 973, 975 [2014]).
examined Cited as authority (rule) People v. Carrington (Dominique) (4×)
N.Y. App. Term. · 2025 · confidence medium
Thus, the record fails to demonstrate that the plea to intentional assault was entered knowingly and intelligently ( see People v Johnson , 23 NY3d 973, 975-976 [2014]; People v Worden , 22 NY3d 982, 985-986 [2013]).
discussed Cited as authority (rule) People v. Leibert
N.Y. App. Div. · 2024 · confidence medium
Because defendant "enter[ed] a negotiated plea to a lesser crime than one with which he is charged, no factual basis for the plea is required" ( People v Johnson , 23 NY3d 973, 975 [2014]; see also People v Goldstein , 12 NY3d 295, 300-301 [2009]).
discussed Cited as authority (rule) People v. Stehm
N.Y. App. Div. · 2024 · confidence medium
"Where[,] [as here], a defendant enters a negotiated plea to a lesser crime than one with which he is charged, no factual basis for the plea is required" ( People v Johnson , 23 NY3d 973, 975 [2014]; see People v Carbone , 199 AD3d 1489, 1490 [4th Dept 2021], lv denied 38 NY3d 949 [2022]; People v Norman , 128 AD3d 1418 , 1419 [4th Dept 2015], lv denied 27 NY3d 1003 [2016]).
discussed Cited as authority (rule) People v. Pagan
N.Y. App. Div. · 2023 · confidence medium
However, no factual basis for the second-degree count was required under the circumstances here, where defendant bargained for a plea to a lesser crime and understood the nature of all the charges against him ( see People v Johnson , 23 NY3d 973, 975 [2014]; People v Goldstein, 12 NY3d 295, 301 [2009]), notwithstanding the fact that the second-degree count was not a lesser included offense of the top charge ( see People v Utsler , 63 Misc 3d 154[A] [App Term, 1st Dept 2019], lv denied 33 NY3d 1109 [2019]).
discussed Cited as authority (rule) People v. Pagan
N.Y. App. Div. · 2023 · confidence medium
However, no factual basis for the second-degree count was required under the circumstances here, where defendant bargained for a plea to a lesser crime and understood the nature of all the charges against him ( see People v Johnson , 23 NY3d 973, 975 [2014]; People v Goldstein, 12 NY3d 295, 301 [2009]), notwithstanding the fact that the second-degree count was not a lesser included offense of the top charge ( see People v Utsler , 63 Misc 3d 154[A] [App Term, 1st Dept 2019], lv denied 33 NY3d 1109 [2019]).
discussed Cited as authority (rule) People v. Floyd
N.Y. App. Div. · 2022 · confidence medium
Although defendant preserved his contention for our review by seeking to withdraw his plea on essentially the same grounds as those advanced on appeal ( see People v Johnson , 23 NY3d 973, 975 [2014]; People v Bovio , 206 AD3d 1568 , 1568-1569 [4th Dept 2022]), we reject it on the merits. "[P]ermission to withdraw a guilty plea rests solely within the court's discretion . . . , and refusal to permit withdrawal does not constitute an abuse of discretion unless there is some evidence of innocence, fraud, or mistake in inducing a plea" ( People v Alexander , 203 AD3d 1569, 1570 [4th Dept 2022], l…
discussed Cited as authority (rule) People v. Minaya
N.Y. App. Div. · 2022 · confidence medium
Were we to address his claim despite the lack of preservation, we would find defendant's plea to the lesser offense nevertheless valid ( see People v Johnson , 23 NY3d 973, 974-975 [2014]; see also CPL 220.10 [5] [d] [ii]; People v Ford , 62 NY2d 275, 283 [1984]; People v Johnson , 217 AD2d 133, 136-137 [1995], affd 89 NY2d 905 [1996]). [FN1] Defendant also contends that the sentence imposed was harsh and excessive in light of the facts of this case, his lack of any criminal record and his personal characteristics as presented in a mitigation report.
discussed Cited as authority (rule) People v. Bovio
N.Y. App. Div. · 2022 · confidence medium
Moreover, defendant preserved his contention for our review by moving to withdraw his plea on essentially the same grounds as those advanced on appeal ( see People v Johnson , 23 NY3d 973, 975 [2014]) and, in any event, the narrow exception to the preservation requirement applies in this case ( see People v Lopez , 71 NY2d 662, 666 [1988]; People v Bertollini [appeal No. 2], 141 AD3d 1163, 1164 [4th Dept 2016]).
discussed Cited as authority (rule) People v. Carbone
N.Y. App. Div. · 2021 · confidence medium
"Where[,] [as here], a defendant enters a negotiated plea to a lesser crime than one with which [she] is charged, no factual basis for the plea is required" ( People v Johnson , 23 NY3d 973, 975 [2014]).
discussed Cited as authority (rule) People v. Jones
N.Y. App. Div. · 2021 · confidence medium
No factual allocution was necessary as defendant pleaded guilty to a lesser crime as part of a plea bargain and, contrary to defendant's contention, the record reveals no confusion as to the offense to which he was pleading guilty that would excuse the lack of preservation ( see People v Johnson , 23 NY3d 973, 975-976 [2014]; People v Moore , 71 NY2d 1002, 1006 [1988]; People v Favreau , 174 AD3d at 1227-1228).
cited Cited as authority (rule) People v. Pino (Edward)
N.Y. App. Term. · 2021 · confidence medium
Furthermore, as defendant pleaded guilty to the uncharged lesser offense of disorderly conduct, no factual basis for the plea was necessary ( see People v Johnson , 23 NY3d 973, 975 [2014]).
discussed Cited as authority (rule) People v. Cepeda
N.Y. App. Div. · 2021 · confidence medium
The factual allocution regarding the attempted burglary charge was not so deficient as to warrant vacatur of that plea, given that this was a negotiated plea to a lesser offense ( see People v Johnson , 23 NY3d 973, 975 [2014]).
cited Cited as authority (rule) People v. Cintron (David)
N.Y. App. Term. · 2020 · confidence medium
Since defendant pleaded guilty to an uncharged lesser offense, no factual basis for the plea was necessary ( see People v Johnson , 23 NY3d 973, 975 [2014]).
discussed Cited as authority (rule) People v. Work
N.Y. App. Div. · 2020 · confidence medium
On the merits, we conclude that defendant's plea should be vacated because "[i]t is impossible to have confidence, on a record like this, that defendant had a clear understanding of what he was doing when he entered his plea" ( People v Johnson , 23 NY3d 973, 976 [2014]).
discussed Cited as authority (rule) People v. Favreau
N.Y. App. Div. · 2019 · confidence medium
Moreover, where, as here, a defendant pleads to a lesser crime as part of a plea bargain, the court is "not required to engage in a factual recitation in order to establish the elements of the crime" ( People v Hollenbeck , 152 AD3d 974, 975 [2017] [internal quotation marks and citation omitted], lv denied 30 NY3d 1061 [2017]; see People v Clairborne , 29 NY2d 950, 951 [1972]); under these circumstances, "no factual basis for the plea is required" and a defendant "'can even plead guilty to crimes that do not exist'" ( People v Banks , 137 AD3d 1458, 1459 [2016], quoting People v Johnson , 23 N…
cited Cited as authority (rule) People v. Utsler (Jonathan)
N.Y. App. Term. · 2019 · confidence medium
Furthermore, as defendant pleaded guilty to an uncharged lesser offense, no factual basis for the plea was necessary ( see People v Johnson , 23 NY3d 973, 975 [2014]).
cited Cited as authority (rule) People v. Dozier (Karl)
N.Y. App. Term. · 2019 · confidence medium
Furthermore, as defendant pleaded guilty to an uncharged lesser offense, no factual basis for the plea was necessary ( see People v Johnson , 23 NY3d 973, 975 [2014]).
discussed Cited as authority (rule) People v. Duran (Hugo)
N.Y. App. Term. · 2018 · confidence medium
No factual basis for the plea was required, since defendant entered into a negotiated plea to a lesser offense than the one charged in the accusatory instrument ( see People v Johnson , 23 NY3d 973, 975 [2014).
discussed Cited as authority (rule) People v. Carmichael (David)
N.Y. App. Term. · 2018 · confidence medium
Contrary to defendant's present claim, his utterances, viewed in their entirety, did not engender significant doubt regarding the voluntariness of the plea ( see People v Toxey , 86 NY2d 725, 726 [1995]) or provide support for his assertion that the plea was the product of "confusion" ( People v Johnson , 23 NY3d 973, 976 [2014]; see People v Dermer , 140 AD3d 551 , 552 [2016] , lv denied 28 NY3d 1144 [2017]).
discussed Cited as authority (rule) People v. Beach (Gilberto)
N.Y. App. Term. · 2018 · confidence medium
Although a factual allocution was unnecessary, we "cannot countenance a conviction that seems to be based on complete confusion by all concerned" ( see People v Johnson , 23 NY3d 973, 975-976 [2014]).
discussed Cited as authority (rule) People v. Prynce (Avatar)
N.Y. App. Term. · 2018 · confidence medium
The record does not support defendant's assertion that the plea was the product of "confusion" ( People v Johnson , 23 NY3d 973, 976 [2014]; see People v Dermer , 140 AD3d 551 , 552 [2016] , lv denied 28 NY3d 1144 [2017]).
discussed Cited as authority (rule) People v. Goodwin
N.Y. App. Div. · 2018 · confidence medium
To the extent that defendant's further contention that his guilty plea was not knowing, voluntary, and intelligent is preserved for our review by his motion to withdraw his plea ( see People v Johnson , 23 NY3d 973, 975 [2014]; cf. People v Gibson , 140 AD3d 1786, 1787 [4th Dept 2016], lv denied 28 NY3d 1072 [2016]), we conclude that it is without merit.
discussed Cited as authority (rule) People v. Mallard
N.Y. App. Div. · 2017 · confidence medium
No factual basis for the plea is required where, as here, “a defendant enters a negotiated plea to a lesser crime than the one charged” (People v Johnson, 23 NY3d 973, 975 [2014]; see People v Gibson, 140 AD3d 1786, 1787 [2016], lv denied 28 NY3d 1072 [2016]).
discussed Cited as authority (rule) People v. Elting
N.Y. App. Div. · 2017 · confidence medium
Further, inasmuch as the defendant pleaded guilty to a lesser crime than the crime charged in the indictment, and since the allocution establishes that the defendant understood the charges against him, a factual basis for the plea was unnecessary (see People v Johnson, 23 NY3d 973, 975 [2014]; People v Moore, 71 NY2d 1002, 1006 [1988]; People v Sanchez, 122 AD3d at 647 ; People v McKenzie, 98 AD3d at 750 ).
discussed Cited as authority (rule) State v. Hibbard
N.Y. App. Div. · 2017 · confidence medium
No factual basis for the plea is required where, as here, “a defendant enters a negotiated plea to a lesser crime than the one charged” (People v Johnson, 23 NY3d 973, 975 [2014]; see People v Gibson, 140 AD3d 1786, 1787 [2016], lv denied 28 NY3d 1072 [2016]).
discussed Cited as authority (rule) State v. Hibbard
N.Y. App. Div. · 2017 · confidence medium
No factual basis for the plea is required where, as here, “a defendant enters a negotiated plea to a lesser crime than the one charged” (People v Johnson, 23 NY3d 973, 975 [2014]; see People v Gibson, 140 AD3d 1786, 1787 [2016], lv denied 28 NY3d 1072 [2016]).
discussed Cited as authority (rule) People v. Dermer
N.Y. App. Div. · 2016 · confidence medium
The record does not support defendant’s assertion that the plea was the product of “confusion” (see People v Johnson, 23 NY3d 973, 976 [2014]) about the definition of the crime to which defendant pleaded guilty.
discussed Cited as authority (rule) People v. Gibson
N.Y. App. Div. · 2016 · signal: cf. · confidence medium
To the extent that defendant’s contention survives his waiver of the right to appeal (see People v Bishop, 115 AD3d 1243, 1244 [2014], lv denied 23 NY3d 1018 [2014], reconsideration denied 24 NY3d 1082 [2014]), we conclude that it is not preserved for our review inasmuch as his motion to withdraw his plea was made on grounds different from those advanced on appeal (see People v Green, 132 AD3d 1268, 1268-1269 [2015]; cf. People v Johnson, 23 NY3d 973, 975 [2014]).
discussed Cited as authority (rule) People v. Gibson
N.Y. App. Div. · 2016 · signal: cf. · confidence medium
To the extent that defendant’s contention survives his waiver of the right to appeal (see People v Bishop, 115 AD3d 1243, 1244 [2014], lv denied 23 NY3d 1018 [2014], reconsideration denied 24 NY3d 1082 [2014]), we conclude that it is not preserved for our review inasmuch as his motion to withdraw his plea was made on grounds different from those advanced on appeal (see People v Green, 132 AD3d 1268, 1268-1269 [2015]; cf. People v Johnson, 23 NY3d 973, 975 [2014]).
discussed Cited as authority (rule) People v. Banks
N.Y. App. Div. · 2016 · confidence medium
Where, as here, a defendant pleads to a lesser crime as part of a plea bargain, the court is not required to engage in a factual recitation in order to establish the elements of the crime (see People v Clairborne, 29 NY2d 950, 951 [1972]; People v Harris, 125 AD3d 1506, 1507 [2015], lv denied 26 NY3d 929 [2015]; People v McQueen, 57 AD3d 1103, 1103 [2008], lv denied 12 NY3d 760 [2009]), and, in fact, “under such circumstances defendants can even plead guilty to crimes that do not exist” (People v Johnson, 23 NY3d 973, 975 [2014]).
cited Cited as authority (rule) People v. Louis
N.Y. App. Div. · 2015 · confidence medium
People v Johnson, 23 NY3d 973, 975 [2014]; People v Goldstein, 12 NY3d 295, 301 [2009]; People v Seeber, 4 NY3d 780, 781 [2005]).
discussed Cited as authority (rule) People v. Marrero
N.Y. App. Div. · 2015 · confidence medium
While defendant was not required to recite facts establishing every element of the crime (see People v Goldstein, 12 NY3d 295, 301 [2009]), we cannot countenance a conviction that rests upon a misconception of the key element of forcible compulsion (see People v Johnson, 23 NY3d 973, 975-976 [2014]; People v Worden, 22 NY3d 982, 985 [2013]; see also People v Williams, 123 AD3d 240, 243-244 [2014]).
discussed Cited as authority (rule) People v. Brooks
N.Y. App. Div. · 2015 · confidence medium
We “cannot countenance a conviction that seems to be based on complete confusion by all concerned” (People v Johnson, 23 NY3d 973, 975-976 [2014]; see People v Worden, 22 NY3d 982, 985 [2013]; People v Williams, 123 AD3d 240, 243-244 [2014]).
discussed Cited as authority (rule) People v. Brooks
N.Y. App. Div. · 2015 · confidence medium
We “cannot countenance a conviction that seems to be based on complete confusion by all concerned” (People v Johnson, 23 NY3d 973, 975-976 [2014]; see People v Worden, 22 NY3d 982, 985 [2013]; People v Williams, 123 AD3d 240, 243-244 [2014]).
cited Cited as authority (rule) People v. Norman
N.Y. App. Div. · 2015 · confidence medium
“Where [,] [as here], a defendant enters a negotiated plea to a lesser crime than one with which he is charged, no factual basis for the plea is required” (People v Johnson, 23 NY3d 973, 975 [2014]).
cited Cited as authority (rule) People v. Norman
N.Y. App. Div. · 2015 · confidence medium
“Where [,] [as here], a defendant enters a negotiated plea to a lesser crime than one with which he is charged, no factual basis for the plea is required” (People v Johnson, 23 NY3d 973, 975 [2014]).
discussed Cited as authority (rule) People v. Williams (2×)
N.Y. App. Div. · 2014 · confidence medium
As the Court of Appeals recently held in People v Johnson ( 23 NY3d 973, 976 [2014]), a plea can never be knowing and voluntary when it is based "on complete confusion by all concerned." In Johnson , defendant pleaded guilty to rape in the second degree, which, as defined in Penal Law § 130.30(2), is committed when a person "engages in sexual intercourse with another person who is incapable of consent by reason of being ... mentally incapacitated." " Mentally incapacitated' means that a person is rendered temporarily incapable of appraising or controlling his conduct owing to the influence of…
discussed Cited "see" People v. Gonzales
N.Y. App. Div. · 2021 · signal: see · confidence high
Although defendant contends that the factual colloquy was insufficient inasmuch as he did not admit the elements of the crime to which he pleaded guilty, he "pleaded guilty to a lesser crime than that charged in the indictment, and thus no factual colloquy was required" ( People v Reynolds , 295 AD2d 986, 987 [4th Dept 2002], lv denied 98 NY2d 713 [2002]; see People v Johnson , 23 NY3d 973, 975 [2014]).
discussed Cited "see" People v. Scivolette
N.Y. App. Div. · 2017 · signal: see · confidence high
Here, the defendant sought to withdraw his plea of guilty on the grounds that the County Court did not make a determination that he and the victim were or have been in an intimate relationship, an element of aggravated family offense, and that the plea was not voluntarily made. “[A]n allocution based on a negotiated plea need not elicit from a defendant specific admissions as to each element of the charged crime” (People v Goldstein, 12 NY3d 295, 301 [2009]; see People v Johnson, 23 NY3d 973, 975 [2014]; People v Seeber, 4 NY3d at 781 ; People v Clairborne, 29 NY2d 950, 951 [1972]).
Retrieving the full opinion text from the archive…
The People of the State of New York
v.
Sharmelle Johnson
New York Court of Appeals.
Jun 5, 2014.
12 N.E.3d 1109
APPEARANCES OF COUNSEL, Richard M. Greenberg, Office of the Appellate Defender, New York City (Lauren Stephens-Davidowitz and Sara Gurwitch of counsel), for appellant., Cyrus R. Vance, Jr., District Attorney, New York City (Andrew E. Seewald and Susan Axelrod of counsel), for respondent.
Abdus, Graffeo, Lippman, Pigott, Read, Rivera, Salaam, Smith.
Cited by 51 opinions  |  Published

OPINION OF THE COURT

Memorandum.

The order of the Appellate Division should be reversed, defendant’s motion to vacate his plea granted, and the case remitted to Supreme Court for further proceedings in accordance with this memorandum.

Defendant was indicted on two counts of rape in the first degree and one of criminal possession of stolen property in the fifth degree. The victim did not have a recollection of the alleged rape, or of any interaction with defendant. She remembered drinking in a bar; her next recollection was of going home in a disheveled condition, without her cell phone and some other property. After arriving home, she found indications that she had been sexually assaulted. Her cell phone was traced to defendant, and semen from a rape kit matched defendant’s DNA.

The rape charges against defendant were based on the theories that he had used forcible compulsion (Penal Law § 130.35 [1]) and that his victim was incapable of consent by reason of being physically helpless (Penal Law § 130.35 [2]). On either theory, the crime was a class B felony.

After extensive plea bargaining, defendant pleaded guilty to a class D felony, rape in the second degree as defined in Penal Law § 130.30 (2), committed when a person “engages in sexual intercourse with another person who is incapable of consent by reason of being . . . mentally incapacitated.” “Mentally incapacitated,” as defined by Penal Law § 130.00 (6), “means that a[*975] person is rendered temporarily incapable of appraising or controlling his conduct owing to the influence of a narcotic or intoxicating substance administered to him without his consent, or to any other act committed upon him without his consent.” The statute was apparently aimed primarily at rapists who use “date-rape” drugs. There is no indication in the record that this victim was incapacitated by anything other than voluntary intoxication.

Thus, it is highly unlikely that defendant actually committed the crime to which he pleaded guilty. That in itself would not make his plea invalid. Where a defendant enters a negotiated plea to a lesser crime than one with which he is charged, no factual basis for the plea is required (People v Clairborne, 29 NY2d 950, 951 [1972]; see also People v Moore, 71 NY2d 1002, 1006 [1988]). Indeed, under such circumstances defendants can even plead guilty to crimes that do not exist (People v Foster, 19 NY2d 150, 153 [1967] [plea to attempt to commit a crime of which intent is not an element]).

It seems, however, that at the time of defendant’s plea counsel and the court were unaware of the rule of Clairborne, and thought it necessary to find a basis in fact for the plea. The court led defendant through an allocution in which he admitted that he encountered the victim when she was “too drunk to really make a decision about whether she did or did not want to have sex”; that he knew that “she was mentally incapacitated apparently from drinking”; and that he “went ahead and had sexual intercourse with her anyway.” The allocution provided no support for the idea that the victim was mentally incapacitated as the Penal Law defines that term.

Before being sentenced, defendant moved to withdraw his plea, asserting among other things that he “was not fully aware of the circumstances involved” and “is not guilty of the offense(s) to which he plead [sic].” That is essentially the argument that defendant makes here, and we reject the People’s suggestion that his claim is unpreserved. Supreme Court denied the motion and sentenced defendant on his conviction. The Appellate Division affirmed the conviction and sentence (People v Johnson, 99 AD3d 591 [1st Dept 2012]).

We conclude that we must reverse and vacate the plea. Although the entire allocution was unnecessary, and although even if it were necessary we would not require that it prove every element of the crime charged (People v Goldstein, 12 NY3d 295, 301 [2009]), we simply cannot countenance a conviction[*976] that seems to be based on complete confusion by all concerned (see People v Worden, 22 NY3d 982, 985 [2013] [allocution “emblematic of a general misconception”]). Apparently the court and counsel believed, mistakenly, that it was necessary to put on the record facts showing that the victim was mentally incapacitated; and they apparently also believed, equally mistakenly, that they had done so. It is impossible to have confidence, on a record like this, that defendant had a clear understanding of what he was doing when he entered his plea.

Chief Judge Lippman and Judges Graffeo, Read, Smith, Pigott and Rivera concur; Judge Abdus-Salaam taking no part.

Order reversed, defendant’s motion to vacate plea granted, and case remitted to Supreme Court, New York County, for further proceedings in accordance with the memorandum herein.