Plea Bargaining and Guilty Pleas Chapter Twelve Plea Bargaining and Guilty Pleas

Introduction The majority of criminal convictions in the United States result from guilty pleas rather than trials Usually the result of some “bargaining” between the defense and prosecution Both parties stand to gain something from a guilty plea The prosecutor obtains a conviction The defense attorney can secure a “lesser” conviction for their client

Plea Bargaining Plea bargaining is essential to the administration of justice It takes the administration of justice out of the hands of judges and juries It essentially permits the attorneys to decide the outcome of a case without the need to go to trial

Plea Bargaining Defining Plea Bargaining There is no agreed-upon definition It usually involves the defendant’s pleading guilty to a lesser offense or to only some of the counts in a multi-count indictment In return they may receive a lighter sentence Charge bargaining refers to the prosecutor’s ability to negotiate in terms of the charges Sentence bargaining occurs when a defendant pleads guilty for a lesser sentence

Plea Bargaining Plea bargains must be intelligent and voluntary However, it may not be satisfactory for both parties Each bargain must be subject to court approval However, the process is mostly carried on between the defense and prosecution with little judicial review Other concessions may be offered to a defendant in return for a guilty plea

Plea Bargaining The History and Rise of Plea Bargaining Cases referencing plea agreements go all the way back to the 19th century Commonwealth v. Battis Edwards v. People Plea bargaining became even more common in the early to mid-1900s Why the apparent rise in plea bargaining?

Plea Bargaining Arguments for and against Plea Bargaining There are several arguments in support Plea bargaining benefits all members of the courtroom workgroup These are arguments concerning the benefits of reaching plea agreements In some cases, the costs of plea bargaining may outweigh the benefits

Plea Bargaining The Benefits The prosecution has an increased ability to dispose of a busy caseload The defense benefits by allowing for the quick disposition of cases The court benefits as a prompt disposition of cases save on judicial resources The victim could benefit through the satisfaction of having the case closed quickly

Plea Bargaining The Costs Criminal defendants lose their chance at an acquittal and other important rights Prosecutors tend to start the bargaining process at a “high” level Some argue that plea bargaining undermines the integrity of the criminal justice system Critics are also concerned that criminals receive lenient sentences At the other extreme, innocent individuals may be coerced to plead guilty

Plea Bargaining

Plea Bargaining Attempts to Restrict Plea Bargaining Concerns over plea bargaining have led some jurisdiction to abandon the practice e.g. the entire state of Alaska Other jurisdictions are looking to restrict plea bargaining Impose cut-off dates Banned for certain types of offenses The jury waiver

Plea Bargaining The Supreme Court’s View on Plea Bargaining The Supreme Court has sanctioned plea bargaining Brady v. United States The Lasting Impact of Santobello v. New York

Plea Bargaining The Plea Bargaining Process There are several different offers the prosecutor can make in an effort to secure a guilty plea The most common is to reduce charges If the defendant accepts the offer: They can plea “guilty” They can plea nolo contendre Cannot be used as an admission of guilt in a subsequent civil case

Plea Bargaining Constitutional Rights During Plea Bargaining The Sixth Amendment right to counsel applies since charges have already been filed Defense counsel must be effective during the plea negotiation process They must ensure that the client understands the consequences of the plea bargaining process Defendants also have the right to be informed of the exculpatory evidence the prosecution possesses

Plea Bargaining Acceptable Inducements by the Prosecution Brady v. United States was the first Supreme Court case to condone plea bargaining It found that guilty pleas resulting from inducements form the prosecution cannot be involuntary An involuntary plea results from prosecutorial coercion such as physical force Clarification of proper inducements Bordenkircher v. Hayes United States v. Goodwin

Plea Bargaining Questionable Inducements Ad hoc plea bargaining refers to strange concessions defendants agree to make as part of the decision to secure a guilty plea

Plea Bargaining Box 12-1 Examples Of Ad Hoc Plea Bargaining Concessions Charitable contributions in lieu of fines or jail terms: State v. Stellato, 523 A.2d 1345 (Conn. App. Ct. 1987); Ratliff v. State, 596 N.E. 2d 241 (Ind. Ct. App. 1992). Relinquished property ownership: United States v. Thao Dinh Lee, 173 F.3d 1258 (10th Cir. 1999). Agreement to surrender a professional license or to not work in a particular profession: United States v. Hoffer, 129 F.3d 1196 (11th Cir. 1997). Voluntary agreement to undergo sterilization: State v. Pasicznyk, 197 W.L. 79501 (Wash. Ct. App. 1997). Voluntary agreement to undergo surgical castration:ACLUv. State, 5 S.W. 2d 418 (Ark. 1999). Agreement to enter the army on a four-year enlistment: State v. Hamrick, 595 N.W. 2d 492 (Iowa 1999).

Plea Bargaining Box 12-1 Examples Of Ad Hoc Plea Bargaining Concessions (continued) Agreement not to appeal: People v. Collier, 641 N.Y.S. 2d 181 (App. Div. 1996). Use of shaming punishments, such as bumper stickers for convicted drunk-driving offenders: Ballenger v. State, 436 S.E. 2d 793 (Ga. Ct. App. 1993). Agreement to seal the records of a case: State v. Campbell, 21 Media. L. Rep. 1895 (Wash. Super. Ct. 1993). Order to offenders to surrender profits, such as from books written about their crimes: Rolling v. State ex rel. Butterworth, 741 So. 2d 627 (Fla. Dist. Ct. App. 1999). Banishment to another location: State v. Culp, 226 S.E. 2d 841 (N.C. Ct. App. 1976); Phillips v. State, 512 S.E. 2d 32 (Ga. Ct. App. 1999). Plea of guilty to nonexistent crimes (i.e., crimes that are not prohibited by law): Bassin v. Isreal, 335 N.E. 2d 53 (Ill. App. Ct. 1975).

Plea Bargaining Judicial and Statutory Inducements Statutory inducements refer to laws that provide lenient sentences in exchange for guilty pleas Corbitt v. New Jersey Judicial inducements include actions by judges that influence the bargaining process Courts in the News: Detroit Mayor Pleads Out

Plea Bargaining Once Agreement is Reached Court Approval The court is not directly bound by a plea agreement The courts consider the views of the parties and the interest of the public If a plea agreement poses a significant risk to the public, the court has the discretion to deny it United States v. Bean

Plea Bargaining The Prosecutor’s Responsibility Prosecutors have latitude with regard to fulfilling a plea bargain before it is accepted by the court Mabry v. Johnson After the court accepts the bargain, the prosecution is generally bound to carry out its promises Santabello v. New York United States v. Benchimol

Plea Bargaining Effects on the Defendant Additional consequences may occur when a defendant accepts a plea e.g. the defendant can be required to waive his right to appeal a guilty plea Ricketts v. Adamson The defendant can sometimes preserve certain rights following plea agreements These are known as conditional guilty pleas These types of agreements are rare

Plea Bargaining Factors Affecting Plea Agreements Researchers have identified four: The strength of the state’s case The seriousness of the offense This dictates whether the prosecutor will offer a reduced charge or recommend a lenient sentence The defendant’s prior record Extra-legal factors that influence bargaining e.g. age, sex, attitudes, marital status, employment

Guilty Pleas Elements of Valid Guilty Plea The judge must determine that the defendant understands the plea

Figure 12-2 Sample Guilty Plea

Guilty Pleas Intelligence and Understanding The defendant must understand: The nature of the charge or charges for which he or she is accused Henderson v. Morgan The possible sentence or sentences associated with the charges The rights he or she may waive if a guilty plea is entered Different than rights denied as a result of plea bargaining (e.g. the right to vote)

Guilty Pleas Voluntariness Factual Basis Even if a plea is understood, it could have resulted from coercion, threats, physical abuse or the like Factual Basis The plea must result from conduct that has a basis in fact One cannot plead guilty to a crime one hasn’t committed

Guilty Pleas Contesting a Guilty Plea Reasons for contesting a guilty plea: The plea was a product of coercion by the prosecution The prosecution fails to fulfill its end of the bargain Other problems such as unconstitutional conduct on the part of law enforcement officials

Guilty Pleas Withdrawing a Guilty Plea If the court refuses to accept the plea agreement, the defendant can usually withdraw a plea If the defendant pleads guilty without plea bargaining, he or she can seek to withdraw the plea However, if the prosecution disagrees with the court’s decision to refuse the plea, the defendant may not be able to withdraw the plea

Guilty Pleas Once a plea is accepted by the court, it can only be withdrawn in limited circumstances Prior to trial, the defendant must show a “fair and just” reason for overturning the plea e.g. involuntary pleas, prosecutorial breaches, or lack of evidence Once a sentence has been entered, the only methods to challenge a plea are: Appeal Habeas review Former Senator Larry Craig

Guilty Pleas Appealing a Guilty Plea If a defendant moves to withdraw his or her plea, and is denied, an appeal is appropriate If the withdrawal period has passed, the only other method of appealing a guilty plea is through “direct” appeal The defendant has limited resources with which to prepare an argument There are few Supreme Court precedents addressing appeals of guilty please McCarthy v. United States