In general, the decision of which plea to enter to criminal charges is a defendant’s to make. It’s ultimately up to the person charged—not the prosecutor, the defense attorney, or anyone else—to decide how to plead. A defendant is always best served, though, to have an attorney before and when entering a plea, and to consider what that lawyer has to say about all aspects of the case.
Types of Pleas in Criminal Court
The four main types of pleas that defendants make in criminal court are:
- not guilty
- guilty
- no contest, and
- what’s known as an Alford plea.
A defendant might also make a conditional plea. This article will review these different types of pleas, what they mean, and their typical consequences.
Pleading Not Guilty
“Not guilty” is often the first plea entered in court. A plea of not guilty leaves the burden of proving the case beyond a reasonable doubt with the prosecution. A defendant might plead not guilty early on in a case if they don't have a lawyer or in the hopes of seeing how strong of a case the prosecution has in later pretrial hearings.
Defense attorneys can make some court appearances without defendants having to appear, and they can sometimes enter not-guilty pleas on behalf of their clients. The theory behind allowing a plea of not guilty by an attorney is that such a plea doesn’t harm the defendant’s interests and can always be changed in the future.
Pleading Guilty
In most jurisdictions, the defendant must usually appear in person in order to enter a guilty plea, especially if the charge is a felony. Pleading guilty is a big step in the proceedings. It means the defendant is waiving constitutional rights—such as the right to a trial and the right to confront witnesses—and is prepared to accept punishment. It can be difficult to withdraw (take back) a guilty plea, so a defendant should talk with their lawyer about all the possible consequences of such a decision.
Guilty Plea Must Be Voluntary, Knowing, and Intelligent
In order for a guilty plea to be valid, the judge must establish that the defendant made it while understanding the basics of the case and the rights involved in the proceedings, and without being coerced by anyone. Courts often describe this requirement with the terminology “voluntary, knowing, and intelligent.”
Many factors are relevant in determining whether a plea is voluntary, knowing, and intelligent. They can include:
- the defendant’s intelligence
- the seriousness or complexity of the charges
- the defendant’s age and experience
- whether the defendant has a lawyer
- the lawyer’s competence, and
- the time the defendant has had to consult with the lawyer.
Before accepting a guilty plea, the judge engages the defendant in a “colloquy”—a one-on-one exchange in open court, where the defendant has to answer questions about the decision to plead and the rights at stake. The judge usually has to ask whether the accused understands a bunch of circumstances, including:
- the charges
- the consequences of the plea
- the maximum penalty, and
- the fact that a guilty plea waives several constitutional rights, including the rights to a jury trial, to question witnesses, and to not incriminate oneself.
A defendant who later establishes that the plea wasn’t knowing, voluntary, and intelligent can normally withdraw it. But proving this can sometimes be an uphill battle.
Understanding the Consequences of a Guilty Plea
Judges normally don’t have to tell defendants about all possible consequences of a guilty plea. These officials have to explain “direct” consequences, which can include any mandatory minimum sentence, the amount of any fines, and any requirement of post-release supervision. (Judges generally don’t have to give a heads-up about the exact sentences they will impose, but rather the punishment that is possible.)
“Collateral” consequences that judges might not have to alert defendants to can include eligibility for parole, losing the right to vote, and registration requirements (like having to register as a sex offender).
Note that a misrepresentation about a collateral consequence—by the judge or defense attorney—can invalidate a guilty plea. An example would be wrongly telling the defendant that a conviction won’t result in deportation.
Pleading No Contest or Nolo Contendere
Some jurisdictions allow defendants, with the judge's permission, to enter a plea of no contest or nolo contendere. This plea has the same basic effect as a guilty plea. The defendant doesn't admit guilt but also doesn't contest the prosecution's case.
Defendants facing a related civil action might plead no contest—because it allows them to avoid admitting guilt or fault. Say a driver hits a pedestrian and causes serious injuries to the pedestrian. The government prosecutor might charge the driver with criminal reckless driving, while the pedestrian seeks monetary damages against the driver in civil court. A guilty plea in the criminal case could be used as evidence of the defendant's fault in the civil case. However, the same isn't necessarily true of a no-contest plea (in most states). So by entering a plea of no contest, the defendant avoids possibly handing the plaintiff an easy win in their civil lawsuit.
The Alford Plea
The Alford plea gets its name from a court case, North Carolina v. Alford. (400 U.S. 25 (1970).) With this plea, the defendant pleads guilty while maintaining their innocence. It results in a conviction.
Not all states allow Alford pleas, but if they do, usually the judge must determine that the facts strongly suggest guilt, the defendant understands what rights are waived, and the defendant intelligently concludes that the plea is the best option under the circumstances. Defendants might enter this plea if they want to avoid trial and a harsh sentence. In Mr. Alford’s case, the state’s evidence was strong and he wanted to avoid the death penalty.
What Happens If a Defendant Refuses to Plead?
Every once in a while, a defendant refuses to enter any kind of plea to criminal charges. In that kind of situation, the judge presiding over the case is typically entitled to enter a plea of not guilty on the defendant’s behalf and keep the proceedings moving. Again, the idea is that the not-guilty plea doesn’t hurt the defendant and that the defendant can always change it.
Talking to an Attorney
If you’ve been charged with a crime, make sure to consult a lawyer as soon as you can. An experienced criminal defense attorney should be able to explain the applicable laws and procedures, including whether you even have to enter a plea at an upcoming court appearance.
Also, talk to an attorney if you pleaded guilty or no contest to a crime and want to know whether you can withdraw your plea. (If part of your argument might be that you received ineffective assistance of counsel from a lawyer, talk to a different lawyer.)
If you’ve already been convicted of a crime and have questions or concerns, consider speaking with a criminal defense attorney specializing in appeals.