The Validity of Pleading Guilty

Abstract

The overwhelming majority of convictions in the U.S. are the result of guilty pleas. In theory, for guilty pleas to be valid, plea decisions should be made knowingly, intelligently, and voluntarily, and by defendants who are factually guilty. In this chapter, I examine the validity of pleading guilty. Validity here concerns (1) knowingness and intelligence—having sufficient information to make a decision, having the ability to understand and appreciate the information, and actually understanding, (2) voluntariness—having the choice to enter a guilty plea (as well as the knowledge that one has the choice), and (3) actual guilt—being factually guilty of the charges. Using judicial plea colloquies and tender-of-plea forms as the ‘test’ of knowing, intelligent, and voluntary decisions, the validity of the methods used to ensure that guilty pleas are valid (i.e., the extent to which a test measures what it purports to measure) is reviewed. It is tentatively concluded that the methods purported to assess valid plea decisions fall short of this goal. Pathways for research going forward are also identified.