Lead Opinion
delivered the opinion of the Court.
On December 2, 1963, Alford was indicted for first-degree murder, a capital offense under North Carolina
• Alford sought post-conviction relief in the state court. Among the claims raised was the claim that his plea of guilty was invalid because it was the product of fear and coercion. After a hearing, the state court in 1965 found that the plea was “willingly, knowingly, and understandingly” made on the advice of competent counsel and in the face of a strong prosecution case. Subsequently, Alford petitioned for a writ of habeas corpus, first in the United States District Court for the Middle District of North Carolina, and then in the Court of Appeals for the Fourth Circuit. Both courts denied, the writ on the basis of the state court’s findings that Alford yoluntarily
We held in Brady v. United States,
As previously recounted, after Alford’s plea of guilty was offered and the State’s case was placed before the judge, Alford denied that he had committed the murder but reaffirmed his desire to plead guilty to avoid a possible death sentence and to limit the penalty to the 30- ' year maximum provided for second-degree murder.
If Alford’s statements were to be credited as sincere assertions of his innocence, there obviously existed a factual and legal dispute between him and the State. Without more, it might be argued that the conviction entered on his guilty plea was invalid, since his assertion . of innocence negatived any admission of guilt, which, as we observed last Term in Brady, is normally “[c]entral to the piea and the foundation for entering judgment against the defendant . . . .”
In addition to Alford’s statement, however, the court had heard an account of the events on the night of the murder, including information from Alford’s acquaintances that he had departed from his home with his gun stating his intention to kill and that he had later declared that he had carried out his intention. Nor had Alford wavered in his desire to have the trial court determine his guilt without, a jury trial. Although denying the charge against him, he nevertheless preferred the dispute between him and the State to be settled by the judge in the context of a guilty plea proceeding rather than by a formal trial. ' Thereupon, with the State’s telling evidence and Alford’s denial before it.
State and lower federal courts are divided upon whether a guilty plea can be accepted when it is accompanied by protestations of innocence and hence contains only a waiver of trial but no admission of guilt. Some courts, giving expression to the principle that “[o]ur law only authorizes a conviction where guilt is shown,” Harris v. State,
This Court has not confrontéd this precise issue, but prior decisions do yield relevant principles. ' In Lynch v. Overholser,
The issue ■ in Hudson v. United States,
Nor can we perceive any material difference between a plea that refuses to admit commission of the criminal act and a plea containing a protestation of innocence when, as in the instant case, a defendant intelligently concludes that his interests require entry of a guilty plea and the record before the judge contains strong evidence of actual guilt. Here the State had a strong case of first-degree murder against Alford. Whether he realized or disbelieved his guilt, he insisted on his plea because in his view he had absolutely nothing to gain by a trial and much to gain by pleading. Because of the overwhelming evidence against him, a trial was precisely what neither Alford nor his attorney- desired. Confronted with the choice between a trial for- first-degree murder, on the one hand, and a plea of guilty to second-, degree murder, on the other, Alford quite reasonably chose the latter and thereby limited the maximum penalty to a 30-year term. When his plea is viewed in light
Relying on United States v. Jackson, supra, Alford now argues in effect that the State should not have allowed
The Court of Appeals for the Fourth Circuit was in error to find Alford’s plea of guilty invalid because it was made to avoid the possibility of the death penalty. That court’s judgment directing the issuance of the writ of habeas corpus is vacated and the case is remanded to the Court of Appeals for further proceedings consistent with this opinion.
It is so ordered.
Mr. Justice Black, while adhering to his belief that. United States v. Jackson,
Notes
Under North Carolina law, first-degree murder is-punished with, death unless the jury recommends that the punishment shall be life imprisonment:
X“A murder which shall be perpetrated by-means of poison, lying in wait, imprisonment, starving, torture, or by any .other .kind of willful, deliberate'and premeditated killing, or which shall be committed in the perpetration or attempt' to perpetrate any arson,' rape, robbery, burglary, o'r other felony, shall be 'deemed to be murder in the-first degree and shall be punished with death:. Provided, if at the time of rendering its verdict in open court, the jury shall so recommend, the punishment shall be imprisonment for life in the State’s prison, and the-court shall 'sy'instruct the jury. All other kinds of murder shall be deemed murder in the second degree, and shall be punished with imprisonment of not less than two nor more than'thirty years in the State’s prison.” N. C. Gen. Stat. § 14-17 (1969).
At the time Alford pleaded guilty, North Carolina law provided that' if a guilty plea to a charge of first-degree murder was accepted by the prosecution and the court, the penalty would be life imprison-. ment rather than death. The provision permitting guilty pleas in capital cases was repealed in 1969. See Parker v. North Carolina,
After giving his version of the events of the night of the murder, Alford stated:
“I pleaded guilty on second ‘degree murder because they said there is too much evidence, but I ain’t shot no man, but I take the fault for the other man. We never had an argument in our , life' and I just pleaded guilty because they said if I didn’t they would gas me for it, and that is all.”
In response to questions from his attorney, Alford affirmed that he had consulted several times with his attorney and with members of his family and had been informed of his rights if he chose to plead not guilty. Alford then reaffirmed his decision to plead guilty to second-degree murder:
“Q [by Alford’s attorney]. And you authorized me to tender a plea of guilty to second degree murder before the court?
“A. Yes, sir.
“Q. And in doing that, that you have again affirmed your decision on that point?
“A. Well, I’m still pleading .that you all got me to plead guilty.' I plead the other way, circumstantial evidence; that the jury will prosecute me on — on the second. You told me to plead guilty, right. I don’t — I’m not' guilty but-1 plead guilty.”
At the state court hearing on post-conviction relief, the testimony confirmed that Alford had been fully informed by his attorney as to his rights on a plea of not guilty and as to the consequences of a plea of guilty. Since the record in this case affirmatively indicates that Alford was aware of the consequences of his plea of guilty and of the rights waived by the plea, no issues of substance under Boykin v. Alabama,
Before Alford was sentenced, the trial judge asked Alford about prior convictions. Alford answered that, among other things, he had served six years of a ten-year sentence for murder, had been convicted nine times for armed robbery, and had been convicted for transporting stolen goods, forgery, and carrying a concealed weapon. App. 9-11.
See n. 1, supra
Thus if Alford had; entered the same plea in the same way in 1969 after the statute authorizing guilty pleas to capital charges had- been repealed, see n. 1, supra, the result reached by the Court of Appeals should have been the same under that court’s reasoning.
A third approach has been to decline to rule .definitively that a trial judge must either accept or reject an otherwise valid plea containing a protestation of innocence, but to leave that decision to his sound discretion. See Maxwell v. United States,
Courts have defined the plea of nob contendere in a variety of different ways, describing it, on the one hand, as “in effect, a plea of guilty,” United States v. Food & Grocery Bureau,
Hudson v. United States, supra, was also ambiguous. In one place, the Court called the plea “an admission of guilt for the purposes of the case,” id., at 455, but in another, the Court quoted an English authority who had defined the plea as one “where a defendant, in a case not capital, doth not directly own himself guilty ...” Id., at 453, quoting 2 W. Hawkins, Pleas, of the Crown 466 (8th ed. 1824).
The plea may have originated in the early medieval practice by which defendants wishing to avoid imprisonment would seek to make an end of the matter (finem facere) by offering to .pay a sum of money to the king. See 2 F. Pollock & F. Maitland, History of English Law 517 (2d <?d. 1909). ■ An. early 15th-century case indicated that a defendant did not admit his guilt when he sought such a compromise, but merely “that he put himself on the grace of our Lord, the King, and asked that he might be allowed to pay a fine (petit se admittit per finem).” Anon.¡ Y. B. Hil. '
Throughout its history, that is, the pléa of nolo contendere has been viewed not.as an express admission of guilt but as a consent by the defendant that he may be punished as if he were guilty and a prayer for leniency. Fed. Rule Crim. Proc. 11 preserves this distinction in its requirement that a court cannot accept a guilty plea “unless it is satisfied that there is a factual basis for the plea”; there is no similar requirement for pleas of nolo con-tendere, since it was thought desirable to permit defendants to plead nolo without making any inquiry into their actual guilt. See Notes of Advisory Committee to Rule 11.
Blum v. United States,
Because of the importance of protecting the innocent and of insuring- that guilty pleas are a product of free and intelligent choice, various state and federal court decisions properly caution that pleas coupled with claims of innocence should not be accepted-unless there is a factual basis for the plea, see, e. g., Griffin v. United States, 132 U. S. App. D. C. 108, 110,
In the federal courts, Fed. Rule Crim. Proc. 11 expressly provides that a court “shall not enter a judgment upon a plea of guilty unless it is satisfied that there is a factual basis for the plea.”
Our holding does not mean that a.trial judge must accept every constitutionally valid guilty plea merely because a defendant wishes so to plead. A criminal defendant does not have an absolute •right, under the Constitution to have his guilty "plea accepted by the court, see! Lynch v. Overholser,
North Carolina no longer permits pleas of guilty to capital charges but it appears that pleas of guilty may still be offered to lesser included offenses. See n. 1, supra.
Dissenting Opinion
dissenting.
Last Term, this Court held, over my dissent, that a plea of guilty may validly be induced by an unconstitutional threat to subject the defendant to the risk of death, so long as the plea is entered in open court and the defendant, is represented by competent counsel who is aware of the threat, albeit' not of its unconstitutionality. Brady v. United States,
I adhere to the view that, in any given case, the influence of such an unconstitutional threat “must necessarily be given weight in determining the voluntariness of a plea.” Parker v. North Carolina,
The courts of appeals have expressed varying opinions on this question. Compare McCoy v. United States, 124 U. S. App. D. C. 177, 179-180,
Brady v. United States,
