People v. Hood, 62 N.Y.2d 863 (1984)

A plea bargain is not enforceable until it is formally entered on the record in court.

Summary

Nathaniel and Gwendolyn Hood were indicted for attempted murder. Plea negotiations occurred, and the judge understood an agreement was reached: Nathaniel would plead guilty to assault and receive a 15-year sentence, and Gwendolyn would plead guilty to weapons possession and receive probation. However, before the agreement was entered on the record, the supervising prosecutor rejected it after consulting with the victim. The Hoods then pleaded not guilty, were convicted of attempted murder after a bench trial, and sentenced to 15 years to life. The New York Court of Appeals held that the plea bargain was not enforceable because it had not been formally entered on the record.

Facts

Nathaniel Hood and his sister, Gwendolyn, were indicted for attempted murder, attempted assault, and criminal possession of a weapon. In January 1978, the case was moved to a trial part, and plea negotiations took place. The trial judge understood from discussions with counsel that an agreement was reached where Nathaniel would plead to assault in the first degree and receive a 15-year sentence, and Gwendolyn would plead to weapons possession and receive probation. This agreement was to be formally entered on the record later that day. Before the agreement was formalized, a supervising prosecutor, after consulting with the victim, rejected the plea bargain.

Procedural History

The defendants pleaded not guilty after the plea agreement was rejected. They proceeded to a bench trial and were convicted of attempted murder in the first degree. They were sentenced to terms of 15 years to life in prison. The Appellate Division affirmed the convictions. The New York Court of Appeals granted leave to appeal.

Issue(s)

1. Whether defendants are entitled to specific performance of a plea bargain that was not formally entered on the record.

2. Whether the defendants were denied effective assistance of counsel at trial.

Holding

1. No, because there is no basis for judicial recognition of a plea bargain until it is concluded by entry on the record.

2. No, because the defense counsel cross-examined the People’s witnesses, presented opening and closing arguments, and presented theories of defense.

Court’s Reasoning

The Court of Appeals held that the prosecutor’s statements rejecting the plea bargain were inconsistent with the defendants’ claim of a prior off-the-record unconditional acceptance by the People. More importantly, the court emphasized that plea bargains are not judicially recognized until they are formally entered on the record. The court cited People v. Frederick, 45 N.Y.2d 520, 526 and People v. Selikoff, 35 N.Y.2d 227, 244, cert den 419 U.S. 1122. The court stated, “Even if defendants’ contentions were accepted, however, there is no basis for judicial recognition of a plea bargain until it is concluded by entry on the record.”

Regarding the ineffective assistance of counsel claim, the court found that defense counsel’s actions, including cross-examination of witnesses and presentation of arguments, demonstrated adequate representation, even if unsuccessful. The court referenced People v. Baldi, 54 N.Y.2d 137 and People v. Aiken, 45 N.Y.2d 394. The court also dismissed Gwendolyn Hood’s argument that her guilt was not proven beyond a reasonable doubt.