JOHN W. VAUDREUIL FORMER UNITED STATES ATTORNEY UNITED STATES DEPARTMENT OF JUSTICE Overview 2
What is the plea agreement process?
Benefits For the court, the public and the criminal justice system, the accused, and law enforcement Criticisms of the plea agreement process International perspective United States perspective What The Plea Agreement Process Is 3
A fair negotiation to resolve the case without a trial
Conducted before or after the case is charged A contract negotiated between the government and the defendant, assisted by defense counsel, regarding charges and/or the sentence to be imposed Agreement with defendant for guilty to plea to fewer or less serious charges Defendant may agree to cooperate against co-defendants Prosecutor agrees to recommend shorter sentence in return for assistance in prosecution of other criminals What The Plea Agreement Process Is Not 4
Not bargaining in the market
Not an attempt to trick the accused Not an attempt to hide facts from the court and public Not an attempt to let the guilty go free or get off easy Benefits For the Court, the Public, and the Criminal Justice System 5
Reduces delay and case backlog
Reduces unnecessary incarcerations in an overcrowded prison population Promotes accountability with the public Publicly develops full facts in search for the truth Encourages defendants to take responsibility for criminal acts Supports law enforcement in identifying witnesses to prosecute corruption and organized criminal organizations Benefits for the Accused 6
Accept responsibility for crimes with court, victims,
and the public Serve a shorter sentencegovernment recommends shorter sentence than after trial for early acknowledgment of guilt Receive an additional sentence reduction if defendant provides assistance in prosecution of others Avoid a lengthy trial Achieve finalityresolve all charges Benefits for Law Enforcement 7
Avoid a lengthy trial--conserve resources and time for
other cases Obtain assistance from less culpable defendants to build cases against those more culpable in the criminal organization Achieve a fair and just conviction, but avoid risks of trial By avoiding the trial, reduce the increased trauma on witnesses and crime victims caused by trial Criticisms of the Process 8
Criminals get off easy
Truth and facts are hidden from public and court Innocent people pressured to plead guilty Unsophisticated / mentally challenged people plead guilty without full understanding Unethical prosecutor seeks personal gain from defendant in return for a reduced sentence or dismissal of serious charges Victims not fully protected Responding to Criticism 9
The plea agreement process must:
Be open and transparent for the Court and public Ensure that the guilty plea is voluntary, with a full understanding of rights by the accused Include effective defense attorneys helping the accused Protect the victims rights Ensure consistency and honesty by prosecutors and law enforcement International Movement 10
Worldwide trend favors increased use of plea
agreements Substantial reduction of burden on courts and prisons Legislatures and courts world-wide introducing plea agreement process to address overloaded court systems Assure public of justice without delay International Experience-Key Factors to Consider 11
Code limitations on nature and seriousness of crimes
where agreements allowed Code limitations on what agreements can cover Crimes charged? Sentence recommendation? Both? Judicial role in negotiations Judicial role in entry of guilty plea to ensure it is voluntary and knowingly entered Role of defense attorney Republic of Georgia 12
Introduced in 2003 code allows both charge and
sentence bargaining Required written confirmation by accused acknowledging rights Requires participation of defense attorney Approximately 60% of cases resolved by plea agreement Bosnia Herzegovina 13
Introduced in 2003 code limits agreements to
only sentencing agreements, not charges No code limitations on eligible offenses Court ensures that defendant enters voluntary guilty plea and that there is a sufficient factual basis for the charges Taiwan 14
Introduced in 2004 code limits agreements to only
sentencing agreements, not charges Plea agreement negotiations only allowed after charging and confined to non-serious offenses Any agreed sentence that exceeds six months in prison requires right to counsel No judicial participation in negotiations--the judge confirms defendants voluntary waiver of rights and may reject the agreement Utilized in small percentage of cases due to difficulty in obtaining defense counsel Germany 15
Civil law, inquisitorial system
Plea agreements common since early 1990s Code allows agreements on charges and sentencing Judicial role in civil law system restricts prosecutors in plea agreement process Argentina 16
Civil law, inquisitorial system
Incorporated in 1997 with proposed expansion in 2016 Sentencing agreements can be reached anytime after charging negotiated sentence may not exceed six years in prison Judge can reject agreement if factual basis insufficient or if the judge disagrees with the charge Approximately 60% of cases resolved by plea agreement France 17
Introduced in 1999 with explicit goal of reducing caseloads
Only allowed with non-serious offenses listed in the Code Plea agreement process occurs before the initiation of formal proceedings Requires admission of guilt and fulfillment of specified conditions in agreement Judge not involved in negotiations If agreement with accused and attorney reached, prosecutor seeks validation by the judge India 18
Common law system
Plea agreement process introduced in 2005 Accused files motion with the court to allow for plea agreement discussions If request approved, judge sets date by which an agreement must be reached Negotiations include the prosecutor, accused, victim, and investigating police officer Judge ensures voluntary process and must follow plea agreement terms, with the ability to sentence below recommended punishment Limited to cases where maximum prison term is less than 7 years not allowed in cases with female victims or child victims under 14-years old China 19
2016 plea agreement pilot program in 18
major cities Limited to minor cases Guilty plea prior to trial will result in shorter sentence United States Plea System Protections 20
No judicial involvement in negotiations of agreement
No limit on nature or seriousness of crimes where agreements allowed Agreements can cover both crime charged and sentence recommendation Prosecutor oversight and review to ensure fairness and consistency in plea agreements Full disclosure of prosecution evidence before the plea Guilty plea entered in public court hearing United States Plea System Protections 21
Transparency full, written plea agreements filed
in public court record Judge ensures guilty plea is given voluntarily with knowledge of all rights Judge ensures the case facts support the charge and the plea Accused has effective attorney at every stage of plea process Code ensures that victims are protected and allowed to speak during plea process The US Guilty Plea Hearing 22
Judge questions the accused to ensure that:
Accused understands charges and penalties, his rights, is of sound mind and is pleading guilty voluntarilyno threats or coercion or hidden promises Accused must understand and voluntarily waive his: Right to plead not guilty and have a jury trial Right to the help of an attorney paid by the government Right to remain silent Right to compel witnesses to testify and to present evidence Right to cross-examine the prosecution witnesses Right to appeal US System Experience 23
85%-95% of cases resolved by plea
agreement Large reduction in pretrial delay and court backlog Extremely important in resolving corruption cases and cases involving criminal organizations