The Alford guilty plea is named after the United States Supreme Court case of North Carolina v. Alford (1970).[10][12] Henry Alford had been indicted on a charge of first-degree murder in 1963. Evidence in the case included testimony from witnesses that Alford himself had said, after the victim's death, that he had killed the individual. Court testimony showed that Alford and the victim had argued at the victim's house. Alford left the house, and afterward, the victim received a fatal gunshot wound when he opened the door responding to a knock.[18]
Alford was faced with the possibility of capital punishment if convicted in a jury trial.[19] The death penalty was the default sentence in North Carolina at the time if two criteria were satisfied: the defendant had to have pleaded not guilty, and the jury did not instead recommend a life sentence. Had Alford pleaded guilty to first-degree murder, he would have had the possibility of a life sentence and would have avoided the death penalty, but he did not want to admit guilt. Nonetheless, Alford pleaded guilty to second-degree murder and said he was doing so to avoid a death sentence, were he to be convicted of first-degree murder after attempting to contest that charge.[18][20] Alford was sentenced to 30 years in prison after the trial judge accepted the plea bargain and ruled that the defendant had been adequately advised by his lawyer.[18]
Alford appealed and requested a new trial, arguing he was forced into a guilty plea because he was afraid of receiving a death sentence. The Supreme Court of North Carolina ruled that the defendant had voluntarily entered the guilty plea with knowledge of what that meant. Following this ruling, Alford petitioned for a writ of habeas corpus in the United States District Court for the Middle District of North Carolina, which upheld the initial ruling, and subsequently to the United States Court of Appeals for the Fourth Circuit, which ruled that Alford's plea was not voluntary because it was made under fear of the death penalty.[18] "I just pleaded guilty because they said if I didn't, they would gas me for it," wrote Alford in one of his appeals.[21]
Supreme Court Justice Byron White wrote the decision for the majority.
The case was then appealed to the U.S. Supreme Court, where Justice Byron White wrote the majority decision.[22] The Court held that for the plea to be accepted, the defendant must have been advised by a competent lawyer who could inform him that his best option was to enter a guilty plea.[19] The Court ruled that the defendant can enter such a plea "when he concludes that his interests require a guilty plea and the record strongly indicates guilt."[21] The Court allowed the guilty plea with a simultaneous protestation of innocence only because there was enough evidence to show that the prosecution had a strong case for conviction and that the defendant was entering such a plea to avoid the possible sentence. The Court noted that even if the defendant could have shown that he would not have entered a guilty plea "but for" the rationale of receiving a lesser sentence, the plea itself would not have been ruled invalid.[19] As evidence existed that could have supported Alford's conviction, the Supreme Court held that his guilty plea was allowable, while the defendant himself still maintained that he was not guilty.[20]
The Dictionary of Politics: Selected American and Foreign Political and Legal Terms defines the term "Alford plea" as: "A plea under which a defendant may choose to plead guilty, not because of an admission to the crime, but because the prosecutor has sufficient evidence to place a charge and to obtain conviction in court. The plea is commonly used in local and state courts in the United States."[16] According to University of Richmond Law Review, "When offering an Alford plea, a defendant asserts his innocence but admits that sufficient evidence exists to convict him of the offense."[17]A Guide to Military Criminal Law notes that under the Alford plea, "the defendant concedes that the prosecution has enough evidence to convict, but the defendant still refuses to admit guilt."[15] The book Plea Bargaining's Triumph: A History of Plea Bargaining in America published by Stanford University Press defines the plea as one in "which the defendant adheres to his/her claim of innocence even while allowing that the government has enough evidence to prove his/her guilt beyond a reasonable doubt".[14] According to the book Gender, Crime, and Punishment published by Yale University Press, "Under the Alford doctrine, a defendant does not admit guilt but admits that the state has sufficient evidence to find him or her guilty, should the case go to trial."[5]Webster's New World Law Dictionary defines Alford plea as: "A guilty plea entered as part of a plea bargain by a criminal defendant who denies committing the crime or who does not actually admit his guilt. In federal courts, such plea may be accepted as long as there is evidence that the defendant is actually guilty."[10]
The Alford guilty plea is "a plea of guilty containing a protestation of innocence".[8] The defendant pleads guilty, but does not have to specifically admit to the guilt itself.[24] The defendant maintains a claim of innocence, but agrees to the entry of a conviction in the charged crime.[25] Upon receiving an Alford guilty plea from a defendant, the court may immediately pronounce the defendant guilty and impose sentence as if the defendant had otherwise been convicted of the crime.[13] Sources disagree, as may differing states' laws, as to what category of plea the Alford plea falls under: Some sources state that the Alford guilty plea is a form of nolo contendere, where the defendant in the case states "no contest" to the factual matter of the case as given in the charges outlined by the prosecution.[12] Others hold that an Alford plea is simply one form of a guilty plea,[9][10] and, as with other guilty pleas, the judge must see there is some factual basis for the plea.[13]
Defendants can take advantage of the ability to use the Alford guilty plea by admitting there is enough evidence to convict them of a more serious crime, while at the same time pleading guilty to a lesser charge.[26] Defendants usually enter an Alford guilty plea if they want to avoid a possibly worse sentence were they to lose the case against them at trial.[13] It affords defendants the ability to accept a plea bargain while maintaining innocence.[27]
This form of guilty plea has been frequently used in local and state courts in the United States,[16] though it constitutes a small percentage of all plea bargains in the US.[14] This form of plea is not allowed in courts of the United States military.[15][18] In 2000, the United States Department of Justice noted: "In an Alford plea the defendant agrees to plead guilty because he or she realizes that there is little chance to win acquittal because of the strong evidence of guilt. About 17% of State inmates and 5% of Federal inmates submitted either an Alford plea or a no contest plea, regardless of the type of attorney. This difference reflects the relative readiness of State courts, compared to Federal courts, to accept an alternative plea."[28]
In the 1995 case State of Idaho v. Howry before the Idaho Court of Appeals, the Court commented on the impact of the Alford guilty plea on later sentencing.[29] The Court ruled: "Although an Alford plea allows a defendant to plead guilty amid assertions of innocence, it does not require a court to accept those assertions. The sentencing court may, of necessity, consider a broad range of information, including the evidence of the crime, the defendant's criminal history and the demeanor of the defendant, including the presence or absence of remorse."[29] In the 1999 South Carolina Supreme Court case State v. Gaines, that court held that Alford guilty pleas would be considered valid even in the absence of a specific on-the-record ruling that the pleas were voluntary, provided that the sentencing judge acted appropriately in accordance with the rules for acceptance of a plea made voluntarily by the defendant.[30] The Court held that a ruling that the plea was entered into voluntarily is implied by the act of sentencing.[30]
Alford plea (see North Carolina v. Alford, 400 U.S. 25, 91 S.Ct. 160 (1970)) (when a defendant maintains his or her innocence with respect to the charge to which he or she offers to plead guilty)
In a 2006 case before the United States Court of Appeals for the Fifth Circuit, Ballard v. Burton, Judge Carl E. Stewart writing for the court held that an Alford guilty plea is a "variation of an ordinary guilty plea".[32] In October 2008, the United States Department of Justice defined an Alford plea as follows: "the defendant maintains his or her innocence with respect to the charge to which he or she offers to plead guilty".[31]
In March 2009, the Minnesota House of Representatives characterized the Alford plea as "a form of a guilty plea in which the defendant asserts innocence but acknowledges on the record that the prosecutor could present enough evidence to prove guilt."[33] The Minnesota Judicial Branch similarly states: "Alford Plea: A plea of guilty that may be accepted by a court even where the defendant does not admit guilt. In an Alford plea, defendant has to admit that he has reviewed the state's evidence, a reasonable jury could find him guilty, and he wants to take advantage of a plea offer that has been made. Court has discretion as to whether to accept this type of plea."[34]
The U.S. Attorneys' Manual states that in the federal system, Alford pleas "should be avoided except in the most unusual circumstances, even if no plea agreement is involved and the plea would cover all pending charges." U.S. Attorneys are required to obtain the approval of an Assistant Attorney General with supervisory responsibility over the subject matter before accepting such a plea.[35][36]
Use in post-conviction proceedings
The Alford plea has received public attention for its use in resolving high-profile post-conviction proceedings for individuals who claim they were wrongfully convicted for crimes they did not commit.[37] In 2011, the West Memphis Three—three men who had been convicted as teenagers of the 1993 murders of three children and sentenced to life in prison or, for one defendant, the death penalty—entered Alford pleas decades following their initial convictions.[37][38] New evidence had come to light that might exonerate them, so the Arkansas Supreme Court ordered an evidentiary hearing to consider whether a new trial would be required.[39] Instead of holding the hearing, the defendants and state prosecutors agreed that the court would vacate the prior convictions to permit the defendants to enter Alford pleas, be re-sentenced to "time served," and obtain immediate release from prison.[37][38][39] As part of the plea deal, the men agreed not to sue the state seeking civil damages for their convictions and imprisonment.[38][39]
Similarly, novelist Michael Peterson, who had been convicted in 2003 of murdering his wife, entered an Alford plea in 2017 to resolve the case against him. Peterson's case had been the subject of the 2004 documentary series The Staircase and other media scrutiny, and Peterson continued to challenge his conviction based on alleged law enforcement misconduct and judicial errors. He was eventually granted a new trial, but then agreed to enter an Alford plea to the lesser offense of voluntary manslaughter instead. The judge then imposed a sentence that, after being reduced to account for time already served, resulted in Peterson serving no additional time in prison.[37] A 2022 scripted drama miniseries, also called The Staircase, portrayed the events of the case, including the legal battle and Alford plea.[37]
Commentary
In his book American Criminal Justice (1972), Jonathan D. Casper comments: "The Alford decision recognizes the plea-bargaining system, acknowledging that a man may maintain his innocence but still plead guilty in order to minimize his potential loss."[40] Casper comments on the impact of the Supreme Court's decision to require evidence of guilt in such a plea: "By requiring that there be some evidence of guilt in such a situation, the decision attempts to protect the 'really' innocent from the temptations to which plea-bargaining and defense attorneys may subject them."[40]
U.S. Air Force attorney Steven E. Walburn argues in a 1998 article in The Air Force Law Review that this form of guilty plea should be adopted for usage by the United States military.[18] "In fairness to an accused, if, after consultation with his defense counsel, he knowingly and intelligently determines that his best interest is served by an Alford-type guilty plea, he should be free to choose this path. The system should not force him to lie under oath, nor to go to trial with no promise of the ultimate outcome concerning guilt or punishment. We must trust the accused to make such an important decision for himself. The military provides an accused facing court-martial with a qualified defense attorney. Together, they are in the best position to properly weigh what the impact his decision, and the resulting conviction, will have upon himself and his family."[18] He emphasizes that when allowing these pleas, "trial counsel should establish as strong a factual basis as possible", in order to minimize the possible negative outcomes to "the public's perception of the administration of justice within the military".[18]
These procedures may be constitutional and efficient, but they undermine key values served by admissions of guilt in open court.
Stephanos Bibas writes in a 2003 analysis for Cornell Law Review that Judge Frank H. Easterbrook and a majority of scholars "praise these pleas as efficient, constitutional means of resolving cases".[11] Bibas notes that prominent plea bargain critic Albert Alschuler supports the use of this form of plea: "He views them as a lesser evil, a way to empower defendants within a flawed system. As long as we have plea bargaining, he maintains, innocent defendants should be free to use these pleas to enter advantageous plea bargains without lying. And guilty defendants who are in denial should be empowered to use these pleas instead of being forced to stand trial."[11] Bibas instead asserts that this form of plea is "unwise and should be abolished":[11] "These procedures may be constitutional and efficient, but they undermine key values served by admissions of guilt in open court. They undermine the procedural values of accuracy and public confidence in accuracy and fairness, by convicting innocent defendants and creating the perception that innocent defendants are being pressured into pleading guilty. More basically, they allow guilty defendants to avoid accepting responsibility for their wrongs."[11]
Legal scholar Jim Drennan, an expert on the court system at the Institute of Government at the University of North Carolina at Chapel Hill, told the Winston-Salem Journal in a 2007 interview that the ability to use this form of guilty plea as an option in courts had a far-reaching effect throughout the United States: "We have lots of laws, but human interaction creates unique circumstances and the law has to adapt."[21] He added that the Supreme Court "had to make a decision about what to do. One of the things the court has to do is figure out how to answer new questions, and that is what happened in this case."[21]
Common criticisms of Alford pleas include harm to victims who are denied justice, harm to society from lack of respect for the criminal justice system, the incentive for coercion, violating the right against self-incrimination, hindering rehabilitation by avoiding treatment, and the arbitrary nature in which they are utilized, allowing a person to say one thing when they mean another.[41]
Nolo contendere is a type of legal plea used in some jurisdictions in the United States. It is also referred to as a plea of no contest or no defense. It is a plea where the defendant neither admits nor disputes a charge, serving as an alternative to a pleading of guilty or not guilty. A no-contest plea means that defendants refuse to admit guilt but accept punishment as if guilty, and is often offered as a part of a plea bargain.
A plea bargain, also known as a plea agreement or plea deal, is a legal arrangement in criminal law where the defendant agrees to plead guilty or no contest to a charge in exchange for concessions from the prosecutor. These concessions can include a reduction in the severity of the charges, the dismissal of some charges, or a more lenient sentencing recommendation. Plea bargaining serves as a mechanism to expedite the resolution of criminal cases, allowing both the prosecution and the defense to avoid the time, expense, and uncertainty of a trial. It is a prevalent practice in the United States, where it resolves the vast majority of criminal cases, and has been adopted in various forms in other legal systems worldwide.
In law, a plea is a defendant's response to a criminal charge. A defendant may plead guilty or not guilty. Depending on jurisdiction, additional pleas may be available, including nolo contendere, no case to answer, or an Alford plea.
In common law jurisdictions, an acquittal means that the prosecution has failed to prove that the accused is guilty beyond a reasonable doubt of the charge presented. It certifies that the accused is free from the charge of an offense, as far as criminal law is concerned. The finality of an acquittal is dependent on the jurisdiction. In some countries, such as the United States, an acquittal prohibits the retrial of the accused for the same offense, even if new evidence surfaces that further implicates the accused. The effect of an acquittal on criminal proceedings is the same whether it results from a jury verdict or results from the operation of some other rule that discharges the accused. In other countries, like Australia and the UK, the prosecuting authority may appeal an acquittal similar to how a defendant may appeal a conviction — but usually only if new and compelling evidence comes to light or the accused has interfered with or intimidated a juror or witness.
Apprendi v. New Jersey, 530 U.S. 466 (2000), is a landmark United States Supreme Court decision with regard to aggravating factors in crimes. The Court ruled that the Sixth Amendment right to a jury trial, incorporated against the states through the Fourteenth Amendment, prohibited judges from enhancing criminal sentences beyond statutory maxima based on facts other than those decided by the jury beyond a reasonable doubt. The decision has been a cornerstone in the modern resurgence in jury trial rights. As Justice Scalia noted in his concurring opinion, the jury-trial right "has never been efficient; but it has always been free."
A miscarriage of justice occurs when an unfair outcome occurs in a criminal or civil proceeding, such as the conviction and punishment of a person for a crime they did not commit. Miscarriages are also known as wrongful convictions. Innocent people have sometimes ended up in prison for years before their conviction has eventually been overturned. They may be exonerated if new evidence comes to light or it is determined that the police or prosecutor committed some kind of misconduct at the original trial. In some jurisdictions this leads to the payment of compensation.
North Carolina v. Alford, 400 U.S. 25 (1970), was a case in which the Supreme Court of the United States affirmed that there are no constitutional barriers in place to prevent a judge from accepting a guilty plea from a defendant who wants to plead guilty, while still protesting his innocence, under duress, as a detainee status. This type of plea has become known as an Alford plea, differing slightly from the nolo contendere plea in which the defendant agrees to being sentenced for the crime, but does not admit guilt. Alford died in prison in 1975.
Exculpatory evidence is evidence favorable to the defendant in a criminal trial that exonerates or tends to exonerate the defendant of guilt. It is the opposite of inculpatory evidence, which tends to present guilt.
Actual innocence is a special standard of review in legal cases to prove that a charged defendant did not commit the crimes that they were accused of, which is often applied by appellate courts to prevent a miscarriage of justice.
Holmes v. South Carolina, 547 U.S. 319 (2006), was a decision by the United States Supreme Court involving the right of a criminal defendant to present evidence that a third party instead committed the crime. The Court vacated the rape and murder conviction in South Carolina of a man who had been denied the opportunity to present evidence of a third party's guilt, because the trial court believed the prosecutor's forensic evidence was too strong for the defendant's evidence to raise an inference of innocence. The Court ruled unanimously that this exclusion violated the right of a defendant to have a meaningful opportunity to present a complete defense, because the strength of a prosecutor's case had no logical relationship to whether a defendant's evidence was too weak to be admissible.
Heath v. Alabama, 474 U.S. 82 (1985), is a case in which the United States Supreme Court ruled that, because of the doctrine of "dual sovereignty", the double jeopardy clause of the Fifth Amendment to the Constitution does not prohibit one state from prosecuting and punishing somebody for an act of which they had already been convicted of and sentenced for in another state.
Acceptance of responsibility is a provision in the United States Federal Sentencing Guidelines providing for a decrease by 2 or 3 levels in offenders' offense level for admitting guilt and otherwise demonstrating behavior consistent with acceptance of responsibility, such as ending criminal conduct and associations. It amounts to a sentence reduction of about 35%. The 3-level reduction is only available to defendants with an offense level of 16 or greater, and it requires a timely guilty plea. Federal plea agreements usually include a stipulation that the government will support granting the defendant the acceptance of responsibility reduction. The guideline states, in reference to the 2-level reduction:
This adjustment is not intended to apply to a defendant who puts the government to its burden of proof at trial by denying the essential factual elements of guilt, is convicted, and only then admits guilt and expresses remorse. Conviction by trial, however, does not automatically preclude a defendant from consideration for such a reduction. In rare situations a defendant may clearly demonstrate an acceptance of responsibility for his criminal conduct even though he exercises his constitutional right to a trial. This may occur, for example, where a defendant goes to trial to assert and preserve issues that do not relate to factual guilt. In each such instance, however, a determination that a defendant has accepted responsibility will be based primarily upon pre-trial statements and conduct.
Plea bargaining in the United States is very common; the vast majority of criminal cases in the United States are settled by plea bargain rather than by a jury trial. They have also been increasing in frequency—they rose from 84% of federal cases in 1984 to 94% by 2001. Plea bargains are subject to the approval of the court, and different States and jurisdictions have different rules. Game theory has been used to analyze the plea bargaining decision.
Brady v. United States, 397 U.S. 742 (1970), was a United States Supreme Court case in which the Court refused to hold that large sentencing discounts and threats of the death penalty are sufficient evidence of coercion.
In United States criminal law, a factual basis is a statement of the facts detailing an individual crime and its particulars, stipulated to by the prosecution and the defense, which forms a basis by which a judge can accept a guilty plea from the defendant.
The innocent prisoner's dilemma, or parole deal, is a detrimental effect of a legal system in which admission of guilt can result in reduced sentences or early parole. When an innocent person is wrongly convicted of a crime, legal systems which need the individual to admit guilt — as, for example, a prerequisite step leading to parole — punish an innocent person for their integrity, and reward a person lacking in integrity. There have been cases where innocent prisoners were given the choice between freedom, in exchange for claiming guilt, and remaining imprisoned and telling the truth. Individuals have died in prison rather than admit to crimes that they did not commit, including in the face of a plausible chance at release.
Lafler v. Cooper, 566 U.S. 156 (2012), was a United States Supreme Court case in which the Court clarified the Sixth Amendment standard for reversing convictions due to ineffective assistance of counsel during plea bargaining. The Court ruled that when a lawyer's ineffective assistance leads to the rejection of a plea agreement, a defendant is entitled to relief if the outcome of the plea process would have been different with competent advice. In such cases, the Court ruled that the Sixth Amendment requires the trial judge to exercise discretion to determine an appropriate remedy.
In the United States, the trial penalty refers to the difference between the smaller sentence offered to a defendant in a plea bargain prior to a criminal trial versus the larger sentence the defendant could receive if they elect to go to trial. It sits at the center of a legal debate over whether trial penalties abridge defendants' Sixth Amendment right to trial.
References
↑ Kennedy v. Frazier, 178 W.Va. 10, 357 S.E.2d 43 (1987).("An accused may voluntarily, knowingly and understandingly consent to the imposition of a prison sentence even though he is unwilling to admit participation in the crime, if he intelligently concludes that his interests require a guilty plea and the record supports the conclusion that a jury could convict him.").
↑ "Regular Features: Discipline Corner: Disbarment follows four years of disciplinary action against Kalispell lawyer". The Montana Lawyer. 23. State Bar of Montana: 23. February 1998.
1 2 3 Solgan, Christopher (Spring 2000). "Life or Death: The Voluntariness of Guilty Pleas by Capital Defendants and the New York Perspective". New York Law School Journal of Human Rights. 16. New York Law School: 699.
↑ Raum, Michael S.; Jeffrey L. Skaare (2000). "Encouraging Abandonment: The Trend Towards Allowing Parents to Drop Off Unwanted Newborns". North Dakota Law Review. 76. University of North Dakota: 511.
↑ Duff, Antony (2004). The Trial on Trial, Volume One: Truth and Due Process. Hart Publishing. p.58. ISBN1-84113-442-2.
↑ Marquis, Joshua (Winter 2005). "Symposium: Innocence in Capital Sentencing: Article: The Myth of Innocence". Journal of Criminal Law & Criminology. 95. Northwestern School of Law: 501.
1 2 Nichols, John S.; Felix, Robert L.; Hubbard, F. Patrick; Johnson, Herbert A.; McAninch, William S.; Wedlock, Eldon D. (September–October 1999). "Department: What's New?". South Carolina Lawyer. 11. South Carolina Bar: 48.
↑ Bustos, Fernando (Spring 2007). "Fifth Circuit Survey: June 2005 – May 2006: Survey Article: Civil Rights". Texas Tech Law Review. 39. Texas Tech University School of Law: 719.
↑ Minnesota Judicial Branch. "Alford Plea". Glossary of Legal Terms. Minnesota. Archived from the original on May 28, 2010. Retrieved December 3, 2009.
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