Plea
Encyclopedia
In legal terms, a plea is simply an answer to a claim made by someone in a civil or criminal case under common law using the adversary system. Colloquially, a plea has come to mean the assertion by a criminal
defendant at arraignment
, or otherwise in response to a criminal charge
, whether that person pleaded Guilty
, Not Guilty, No Contest
or Alford plea
.
The concept of the plea is one of the major differences between criminal procedure under common law and procedure under the civil law
system. Under common law, a plea of guilty by the defendant waives trial
of the charged offences and the defendant may be sentence
d immediately. This produces a system under American law known as plea bargain
ing.
In civil law jurisdictions, there is generally no concept of a plea of guilty. A confession by the defendant is treated like any other piece of evidence, and a full confession does not prevent a full trial from occurring or relieve the plaintiff(s) from its duty of presenting a case to the trial court.
A "blind plea" is a guilty plea entered with no plea agreement in place. One defendant accused of illegally protesting nuclear power
, when asked to enter his plea, stated, "I plead for the beauty that surrounds us"; this type of unorthodox plea is sometimes referred to as a "creative plea," and will usually be interpreted as a plea of not guilty. Likewise, standing mute and refusing to enter any plea at all will usually be interpreted as a not guilty plea; the Federal Rules of Criminal Procedure
, for instance, state, "If a defendant refuses to enter a plea or if a defendant organization fails to appear, the court must enter a plea of not guilty."
They are :
who enters a plea of guilty must do so, in the phraseology of a 1938 Supreme Court case, Johnson v. Zerbst
, "knowingly, voluntarily and intelligently". The burden is on the prosecution to prove that all waivers of the defendant's rights complied with due process standards. Accordingly, in cases of all but the most minor offences, the court or the prosecution (depending upon local custom and the presiding judge's preference) will engage in a plea colloquy
wherein they ask the defendant a series of rote questions about the defendant's knowledge of his rights and the voluntariness of the plea. Typically the hearing on the guilty plea is transcribed by a court reporter
and the transcript is made a part of the permanent record of the case in order to preserve the conviction's validity from being challenged at some future time. "Voluntary" has been described as "an elusive term which has come to mean not induced by 'improper' inducements, such as bribing or physical violence, but not including the inducements normally associated with charge and sentence bargaining (except for inducements involving 'overcharging
' by prosecutors)." "Intelligent" has been described as "also an elusive term, meaning that the defendant knows his rights, the nature of the charge to which he is pleading, and the consequences of his plea."
Virtually all jurisdictions hold that defense counsel need not discuss with defendants the collateral consequences of pleading guilty, such as consecutive sentencing or even treatment as an aggravating circumstance in an ongoing capital prosecution. However, the Supreme Court recognized an important exception in Padilla v. Kentucky
(2010), in which the Court held that defense counsel is obligated to inform defendants of the potential immigration consequences of a guilty plea. Thus a defendant who is not advised of immigration consequences may have an ineffective assistance of counsel
argument.
In the U.S. federal system, the court must also satisfy itself that there is a factual basis for the guilty plea. However, this safeguard may not be very effective, because the parties, having reached a plea agreement, may be reluctant to reveal any information that could disturb the agreement. When a plea agreement has been made, the judge's factual basis inquiry is usually perfunctory, and the standard for finding that the plea is factually based is very low.
In United States v. Binion
, malingering or feigning illness during a competency evaluation was held to be obstruction of justice
and led to an enhanced sentence. Although the defendant had pled guilty, he was not awarded a reduction in sentence because the feigned illness was considered to mean that he was not accepting responsibility for his illegal behavior.
Until 1772, if a defendant refused to plead guilty or not guilty, his trial was delayed from taking place, and he was tortured until he either died or entered a plea. This was changed to allow the judge to enter a plea of not guilty if the defendant refused to plead.
Crime
Crime is the breach of rules or laws for which some governing authority can ultimately prescribe a conviction...
defendant at arraignment
Arraignment
Arraignment is a formal reading of a criminal complaint in the presence of the defendant to inform the defendant of the charges against him or her. In response to arraignment, the accused is expected to enter a plea...
, or otherwise in response to a criminal charge
Indictment
An indictment , in the common-law legal system, is a formal accusation that a person has committed a crime. In jurisdictions that maintain the concept of felonies, the serious criminal offence is a felony; jurisdictions that lack the concept of felonies often use that of an indictable offence—an...
, whether that person pleaded Guilty
Guilty
Guilty commonly refers to the feeling of guilt, an experience that occurs when a person believes that they have violated a moral standard.Guilty or The Guilty may also refer to:-Law:*Guilty plea, a formal admission of legal culpability...
, Not Guilty, No Contest
No contest
No contest may refer to:*Nolo contendere, a plea in a criminal court case *No contest , a decision at a sporting event *No Contest a film starring Shannon Tweed...
or Alford plea
Alford plea
An Alford plea in United States law is a guilty plea in criminal court, where the defendant does not admit the act and asserts innocence...
.
The concept of the plea is one of the major differences between criminal procedure under common law and procedure under the civil law
Civil law (legal system)
Civil law is a legal system inspired by Roman law and whose primary feature is that laws are codified into collections, as compared to common law systems that gives great precedential weight to common law on the principle that it is unfair to treat similar facts differently on different...
system. Under common law, a plea of guilty by the defendant waives trial
Trial
A trial is, in the most general sense, a test, usually a test to see whether something does or does not meet a given standard.It may refer to:*Trial , the presentation of information in a formal setting, usually a court...
of the charged offences and the defendant may be sentence
Sentence (law)
In law, a sentence forms the final explicit act of a judge-ruled process, and also the symbolic principal act connected to his function. The sentence can generally involve a decree of imprisonment, a fine and/or other punishments against a defendant convicted of a crime...
d immediately. This produces a system under American law known as plea bargain
Plea bargain
A plea bargain is an agreement in a criminal case whereby the prosecutor offers the defendant the opportunity to plead guilty, usually to a lesser charge or to the original criminal charge with a recommendation of a lighter than the maximum sentence.A plea bargain allows criminal defendants to...
ing.
In civil law jurisdictions, there is generally no concept of a plea of guilty. A confession by the defendant is treated like any other piece of evidence, and a full confession does not prevent a full trial from occurring or relieve the plaintiff(s) from its duty of presenting a case to the trial court.
A "blind plea" is a guilty plea entered with no plea agreement in place. One defendant accused of illegally protesting nuclear power
Nuclear power
Nuclear power is the use of sustained nuclear fission to generate heat and electricity. Nuclear power plants provide about 6% of the world's energy and 13–14% of the world's electricity, with the U.S., France, and Japan together accounting for about 50% of nuclear generated electricity...
, when asked to enter his plea, stated, "I plead for the beauty that surrounds us"; this type of unorthodox plea is sometimes referred to as a "creative plea," and will usually be interpreted as a plea of not guilty. Likewise, standing mute and refusing to enter any plea at all will usually be interpreted as a not guilty plea; the Federal Rules of Criminal Procedure
Federal Rules of Criminal Procedure
The Federal Rules of Criminal Procedure are the procedural rules that govern how federal criminal prosecutions are conducted in United States district courts, the general trial courts of the U.S. government. As such, they are the companion to the Federal Rules of Civil Procedure...
, for instance, state, "If a defendant refuses to enter a plea or if a defendant organization fails to appear, the court must enter a plea of not guilty."
Peremptory pleas
These are pleas which claim that a case cannot proceed for some reason. They are so called because, rather than being an answer to the question of guilt or innocence, they are a claim that the matter of guilt or innocence should not be considered.They are :
- autrefois convict - where the defendant has already been convicted of the charge (and thus cannot be tried again)
- autrefois acquit - where he has previously acquitted of the same charge (and hence cannot be tried again, under the doctrine of double jeopardyDouble jeopardyDouble jeopardy is a procedural defense that forbids a defendant from being tried again on the same, or similar charges following a legitimate acquittal or conviction...
), - plea of pardon - where he has been pardoned for the offence.
- special liability to repair a road or bridge - in English law, where a defendant local authority alleges that a private landowner was responsible for repairing a road or bridge
"Voluntary and intelligent"
A defendantDefendant
A defendant or defender is any party who is required to answer the complaint of a plaintiff or pursuer in a civil lawsuit before a court, or any party who has been formally charged or accused of violating a criminal statute...
who enters a plea of guilty must do so, in the phraseology of a 1938 Supreme Court case, Johnson v. Zerbst
Johnson v. Zerbst
Johnson v. Zerbst, 304 U.S. 458 , was a United States Supreme Court case, in which the petitioner, Johnson, had been convicted in federal court of feloniously possessing, uttering, and passing counterfeit money in a trial where he had not been represented by an attorney but instead by himself...
, "knowingly, voluntarily and intelligently". The burden is on the prosecution to prove that all waivers of the defendant's rights complied with due process standards. Accordingly, in cases of all but the most minor offences, the court or the prosecution (depending upon local custom and the presiding judge's preference) will engage in a plea colloquy
Plea colloquy
A plea colloquy, in United States criminal procedure, is a conversation between a judge and a criminal defendant who has been sworn under oath, which must occur when the defendant enters a guilty plea in court in order for the plea to be valid. The United States Supreme Court has crafted a doctrine...
wherein they ask the defendant a series of rote questions about the defendant's knowledge of his rights and the voluntariness of the plea. Typically the hearing on the guilty plea is transcribed by a court reporter
Court reporter
A court reporter, stenotype reporter, voice writing reporter, or transcriber is a person whose occupation is to transcribe spoken or recorded speech into written form, using machine shorthand or voice writing equipment to produce official transcripts of court hearings, depositions and other...
and the transcript is made a part of the permanent record of the case in order to preserve the conviction's validity from being challenged at some future time. "Voluntary" has been described as "an elusive term which has come to mean not induced by 'improper' inducements, such as bribing or physical violence, but not including the inducements normally associated with charge and sentence bargaining (except for inducements involving 'overcharging
Overcharging (law)
Overcharging, in law, refers to a prosecutorial practice that involves "tacking on" additional charges that the prosecutor knows he cannot prove. It is used to put the prosecutor in a better plea bargaining position. The term has been defined in different ways...
' by prosecutors)." "Intelligent" has been described as "also an elusive term, meaning that the defendant knows his rights, the nature of the charge to which he is pleading, and the consequences of his plea."
Virtually all jurisdictions hold that defense counsel need not discuss with defendants the collateral consequences of pleading guilty, such as consecutive sentencing or even treatment as an aggravating circumstance in an ongoing capital prosecution. However, the Supreme Court recognized an important exception in Padilla v. Kentucky
Padilla v. Kentucky
Padilla v. Kentucky, 130 S. Ct. 1473 , is a case in which the United States Supreme Court decided that criminal defense attorneys must advise non-citizen clients about the deportation risks of a guilty plea...
(2010), in which the Court held that defense counsel is obligated to inform defendants of the potential immigration consequences of a guilty plea. Thus a defendant who is not advised of immigration consequences may have an ineffective assistance of counsel
Ineffective assistance of counsel
Ineffective assistance of counsel is an issue raised in legal malpractice suits and in appeals in criminal cases where a criminal defendant asserts that their criminal conviction occurred because their attorney failed to properly defend the case...
argument.
In the U.S. federal system, the court must also satisfy itself that there is a factual basis for the guilty plea. However, this safeguard may not be very effective, because the parties, having reached a plea agreement, may be reluctant to reveal any information that could disturb the agreement. When a plea agreement has been made, the judge's factual basis inquiry is usually perfunctory, and the standard for finding that the plea is factually based is very low.
Special pleas
Other special pleas used in criminal cases include the plea of mental incompetence, challenging the jurisdiction of the court over the defendant's person, the plea in bar, attacking the jurisdiction of the court over the crime charged, and the plea in abatement, which is used to address procedural errors in bringing the charges against the defendant, not apparent on the "face" of the indictment or other charging instrument. Special pleas in federal criminal cases have been abolished, and defences formerly raised by special plea are now raised by motion to dismiss.In United States v. Binion
United States v. Binion
United States v. Binion, 132 F. App'x 89 , is a case in which the United States Court of Appeals for the Eighth Circuit applied two recent U.S. Supreme Court decisions United States v. Binion, 132 F. App'x 89 (8th Cir. 2005), is a case in which the United States Court of Appeals for the Eighth...
, malingering or feigning illness during a competency evaluation was held to be obstruction of justice
Obstruction of justice
The crime of obstruction of justice, in United States jurisdictions, refers to the crime of interfering with the work of police, investigators, regulatory agencies, prosecutors, or other officials...
and led to an enhanced sentence. Although the defendant had pled guilty, he was not awarded a reduction in sentence because the feigned illness was considered to mean that he was not accepting responsibility for his illegal behavior.
English law
In the English system, a plea is regarded as voluntary if the defendant, properly advised as to the possible alternatives by his counsel, has the freedom in his own mind to choose the plea he will make.Until 1772, if a defendant refused to plead guilty or not guilty, his trial was delayed from taking place, and he was tortured until he either died or entered a plea. This was changed to allow the judge to enter a plea of not guilty if the defendant refused to plead.