People v. Frederick, 45 N.Y.2d 520 (1978)

A defendant is not entitled to an evidentiary hearing to withdraw a guilty plea based on an alleged off-the-record promise by the court when the plea minutes are unequivocal and refute the existence of such a promise.

Summary

Gary Frederick sought to withdraw his guilty plea, claiming his attorney represented that the court promised a sentence in accordance with the prosecutor’s recommendation, a promise allegedly made off the record. The New York Court of Appeals held that Frederick was not entitled to an evidentiary hearing on his motion because the plea minutes clearly indicated he understood no promises were made regarding sentencing beyond what was stated on the record. The Court emphasized the need for finality in plea negotiations and the importance of memorializing all agreements on the record to prevent challenges based on alleged unfulfilled promises.

Facts

Gary Frederick was arrested for selling narcotics to an undercover officer. He claimed the officer misrepresented the quantity of drugs and money involved and agreed to cooperate with the Special Narcotics Prosecutor’s office in investigating the officer. A plea bargain was negotiated where Frederick would plead guilty to criminal possession, and the prosecutor would recommend probation if his cooperation was satisfactory. During the plea colloquy, Frederick stated on the record that no promises were made to him beyond the court’s explanation of the possible sentence. Later, Frederick’s attorney claimed the court had assured him off the record that Frederick could withdraw his plea if the court didn’t follow the prosecution’s sentencing recommendation.

Procedural History

Frederick pleaded guilty, but sentencing was delayed. He then moved to withdraw his guilty plea, alleging an unfulfilled off-the-record promise. The trial court denied the motion. The Appellate Division affirmed the denial. Frederick appealed to the New York Court of Appeals.

Issue(s)

Whether the defendant was entitled to an evidentiary hearing to determine if he was induced to plead guilty because of an off-the-record unfulfilled promise allegedly made to his attorney by the court.

Holding

No, because the record of the plea proceeding contradicted the claim of an off-the-record promise, and public policy requires that plea agreements be memorialized on the record to ensure finality and integrity in the plea bargaining process.

Court’s Reasoning

The Court of Appeals emphasized that while a guilty plea induced by an unfulfilled promise must be vacated or the promise honored, not every motion to withdraw a guilty plea warrants an evidentiary hearing. The judge must provide a reasonable opportunity to advance claims, but a limited interrogation often suffices. Here, Frederick had the opportunity to present his contentions and submitted detailed affirmations. The court relied on the record, which contradicted Frederick’s claim. The court underscored the importance of finality in plea negotiations and the need to eliminate any clandestine aspects of the process. The court stated, “Public policy mandates that any remnants of the clandestine atmosphere of the plea negotiating process be eliminated.” It emphasized that the court had taken pains to ensure Frederick understood the consequences of his plea and that no promises were being made. The court distinguished Blackledge v. Allison, noting that in Allison, the record was a sterile form, and plea negotiations were shrouded in secrecy, unlike the thorough and transparent plea colloquy in Frederick’s case. The court reaffirmed its position in People v. Selikoff, stating that “in all but the most unusual circumstances, no other purported agreement will be recognized.” The court concluded that because the plea minutes unequivocally refuted any claim of an off-the-record promise, no hearing was required, preserving the integrity of the plea negotiating process and preventing indiscriminate challenges. A defendant will not be heard to challenge his guilty plea when the minutes of the plea are unequivocal and refute any contention of an off-the-record promise.