North Carolina v. Alford

Henry Alford was a black man in the South at the height of the civil rights movement who had previously been convicted of murder and armed robbery. On November 22, 1963, Alford and a white woman companion rented a room at a “party house” in Winston-Salem, North Carolina and allegedly got into a fight with its proprietor, Nathaniel Young, who was also black. Later that same evening, an assailant murdered Young with a shotgun.[4] Henry Alford was indicted for first-degree murder in North Carolina in December 1963.[2] His attorney, Fred Crumpler,[5] with six years' experience, interviewed several witnesses and was convinced of Alford's guilt. Despite Alford's claims of innocence and the lack of eyewitnesses to the crime itself, witnesses observed Alford retrieve his gun shortly before the murder, heard him state he was going to kill the victim, and then state that he had done so, once he returned home. Alford also had a lengthy criminal history, including a prior conviction for murder. The attorney believed that Alford would probably be convicted at trial,[2] and thus recommended Alford plead guilty to the lesser charge of second-degree murder in order to avoid the death penalty. Ultimately, however, the decision was up to Alford.[2] Before the plea was entered, the court heard sworn testimony from three witnesses.[2] Alford pleaded guilty to second-degree murder but declared to the court that he was in fact innocent, and was pleading guilty only to avoid the death penalty, which might have been applied had he been convicted of first-degree murder.[1]

The judge sentenced Alford to the maximum second-degree murder penalty of 30 years in prison.[1] Alford appealed on the constitutional ground that his plea was "the product of fear and coercion", in violation of his constitutional rights. A federal appeals court ruled that the plea was involuntary because it was motivated by fear of the death sentence, and the court should have rejected the guilty plea.[1] The federal appeals court vacated the sentence of the lower court.[1]

Justice Byron White wrote that the Court had accepted the case for review because some states authorized conviction only for a crime “where guilt is shown,” including by means of a guilty plea that included an actual admission of guilt; but “others have concluded that they should not ‘force any defense on a defendant in a criminal case,’ particularly when advancement of the defense might ‘end in disaster...’” and therefore would accept a guilty plea in Alford's circumstances.[2]

White wrote that courts may accept whatever plea a defendant chooses to enter, as long as the defendant is competently represented by counsel; the plea is intelligently chosen; and “the record before the judge contains strong evidence of actual guilt.”[2] Faced with “grim alternatives,” the defendant's best choice of action may be to plead guilty to the crime, White wrote, and the courts must accept the defendant's choice made in his own interests.[2]

In the dissent, Justice William Brennan stated that capital punishment in the United States was unconstitutional, and wrote that the actual effect of this unconstitutional threat to Alford was to induce a guilty plea.[2] He concluded the plea should have been vacated and Alford should have been retried, writing: "the facts set out in the majority opinion demonstrate that Alford was 'so gripped by fear of the death penalty' that his decision to plead guilty was not voluntary but was "the product of duress as much so as choice reflecting physical constraint."[2]