People v. Alfaro, 99 N.Y.2d 469 (2003)

Even with an Alford plea, where a defendant does not admit to the acts constituting the crime, there must be some factual basis presented to the court, either by the defendant or the prosecution, to support the acceptance of the guilty plea.

Summary

The New York Court of Appeals addressed whether a guilty plea, specifically an Alford plea, could be accepted without any factual basis presented on the record. The defendant entered an Alford plea to criminal contempt but did not admit to the underlying facts. The prosecution also failed to proffer any evidence demonstrating the defendant’s guilt. The Court of Appeals held that it was improper for the trial court to accept the plea without some factual basis articulated on the record, even when it is an Alford plea where the defendant maintains their innocence but acknowledges the evidence against them is substantial.

Facts

The defendant was indicted on multiple counts related to alleged criminal conduct against his former girlfriend. These charges included assault and aggravated criminal contempt for violating an order of protection. He pleaded guilty to criminal contempt in the first degree, specifically violating Penal Law § 215.51(b) by subjecting his girlfriend to physical contact with intent to harass, annoy, threaten, or alarm her. Critically, the defendant entered an Alford plea, meaning he pleaded guilty but did not admit to the factual basis of the crime. The prosecutor also did not provide any factual basis for the plea.

Procedural History

Following the guilty plea, the defendant obtained new counsel who moved to vacate the plea, arguing the defendant was not taking his medication for a mental illness at the time of the plea. The trial court ordered a psychiatric examination, which indicated the defendant was competent at sentencing but did not address his competency at the time of the plea. The defendant appealed, arguing his plea was not knowing or voluntary and violated due process. The Court of Appeals affirmed the order, with a dissenting opinion arguing that the trial court erred by not ensuring a factual basis for the plea was established.

Issue(s)

1. Whether a trial court can accept an Alford plea to a criminal charge when neither the defendant nor the prosecution proffers a factual basis for the plea on the record.

Holding

1. No, because a guilty plea, even an Alford plea, requires some indication on the record that there is a factual basis for the conviction; otherwise, it undermines fundamental principles of criminal procedure.

Court’s Reasoning

The Court of Appeals, in the dissenting opinion, emphasized that fundamental principles of law mandate a factual basis for a guilty plea. The dissent cited precedent establishing that certain procedural errors are so fundamental that they invalidate the entire proceeding, even without a contemporaneous objection. The dissent argued that accepting an Alford plea without any factual basis presented by either the defendant or the prosecution violates this principle. Specifically, because Penal Law § 215.51(b)(v) requires actual physical contact or the threat of physical contact, the absence of any evidence supporting that element rendered the plea invalid. The dissent argued that the court had an obligation to ensure the defendant’s competency at the time of the plea and that the Alford plea needed some factual support from the prosecution. The dissent cited Matter of Silmon v Travis, noting that, at the time of the Alford plea in that case, there was record evidence that the defendant had committed the crime. The lack of any such evidence in Alfaro was the critical distinction. The dissent quoted from prior cases, such as Cancemi v People, to highlight the principle that some legal errors are so fundamental that they cannot be waived, even with the defendant’s consent. The dissent stated, “a conviction in this case violates the principle of law that a person should not be convicted, even on an Alford plea, without some indication on the record that there is a factual basis for the conviction.”