Pleas
Pleas are integral to the arraignment phase of the criminal justice process, where defendants formally respond to charges presented by the judge. During this initial stage, defendants have the option to enter a plea of not guilty, guilty, or nolo contendere (no contest). A not guilty plea indicates the defendant's desire for a trial, allowing time to assess the case's strengths and weaknesses; it does not imply innocence but rather a request for judicial evaluation of the evidence. Conversely, a guilty plea signifies the defendant's acceptance of the charges, which carries significant consequences, such as waiving the right to a trial and other fundamental rights. Judges must ensure that guilty pleas are made voluntarily and with a full understanding of the implications. The nolo contendere plea allows defendants to avoid admitting wrongdoing while still being convicted, particularly useful in cases that could lead to civil litigation. Each plea type has distinct legal ramifications, making the defendants' choices pivotal in shaping the outcome of their cases. Understanding these options and their consequences is crucial for anyone navigating the legal system.
Pleas
SIGNIFICANCE: Pleas are crucial components in the arraignment phase of the criminal process.
During the arraignment the judge presents the criminal charges, advises defendants of the right to court-appointed counsel, schedules hearings, determines the trial date, and resolves issues with regard to bail. At the arraignment defendants respond with a plea of not guilty, guilty, or nolo contendere . The defendants’ choice of pleas is critical, as the disposition of the case rests on the plea.
Not Guilty and Guilty Pleas
The first option, and the one most often selected, is not guilty. The not guilty plea allows defendants time to consider the strength of their cases and to determine the chances of a favorable outcome in court. Therefore, the plea does not necessarily mean that defendants are innocent; it means that they wish to have their cases heard in court and want a judge or jury to determine whether there is enough evidence to return a guilty verdict. If defendants do not enter a plea, the court automatically enters a not guilty plea based on the precept that one is innocent until proven guilty. Persons who plead not guilty have a right to have a judge or jury trial. At trial the decision makers listen to the evidence. In order for a judge or jury to return a guilty verdict in a criminal proceeding, the prosecutor must demonstrate guilt beyond a reasonable doubt.
Defendants may also choose to plead guilty. The implications of this decision are serious. Defendants waive their right to a trial and to prepare a defense, the right against self-incrimination, the right to confront witnesses, and the right to appeal the decision. Thus, when defendants relinquish such fundamental rights, the judge must question them to determine whether they understand the implications of the guilty plea. The judge must determine whether the plea is voluntarily made or whether threats or promises were made to force a guilty plea. The judge also must ensure that defendants understand the charges against them and the corresponding sentences or fines.
Last, the judge must ascertain the factual basis of the plea to make sure that there is proof that defendants have actually engaged in the conduct with which they are charged. If defendants choose this plea and the judge has determined that they understand the ramifications of pleading guilty, the court may immediately convict as if a judge or jury returned a guilty verdict in a trial. Defendants may be sentenced at the arraignment or the judge may order a presentencing report and schedule a sentencing hearing.
Nolo Contendere
The last plea option allows defendants to plead nolo contendere , which means no contest, or “I do not wish to contend.” Typically, defendants use this plea in order to avoid an admission of wrongdoing in the event of a subsequent civil suit regarding the same matter. If defendants are sued for monetary damages, a guilty verdict would provide evidence of wrongdoing, whereas a plea of nolo contendere would not. When defendants plead nolo contendere, a conviction is handed down, just as a guilty plea is adjudicated. The defendants relinquish their rights just as persons who plead guilty and are subject to the same sentences or fines as persons who plead guilty and are convicted. The judge must take the same precautions to ensure that defendants are aware of the relinquishment of rights involved in the plea of nolo contendere and that the decision is voluntary.
Bibliography
ABA Standards for Criminal Justice: Pleas of Guilty. Chicago: American Bar Association, 1999.
Bergman, Paul, and Sara J. Berman-Barrett. The Criminal Law Handbook. Berkeley, Calif.: Nolo Press, 1997.
Farnsworth, E. Allan. An Introduction to the Legal System of the United States. 3d ed. New York: Oceana, 1996.
Sentencing the Self-Convicted: The Ethics of Pleading Guilty. Julian V. Roberts and Jesper Ryberg, editors. Bloomsbury, 2023.