1. Plea Bargaining and Guilty Pleas
Chapter Twelve
Plea Bargaining and Guilty Pleas

2. 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

3. 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

4. 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

5. 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

6. 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?

7. 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

8. 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

9. 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

10. Plea Bargaining

11. 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

12. 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

13. 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

14. 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

15. 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

16. 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

17. 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 (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).

18. 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 (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).

19. 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

20. 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

21. 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

22. 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

23. 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

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

25. Figure 12-2 Sample Guilty Plea

26. 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)

27. 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

28. 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

29. 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

30. 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

31. 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