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Courts and Criminal
Justice in America
CHAPTER
12
Plea Bargaining and
Guilty Pleas
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
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
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
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
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
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
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
Plea Bargaining
• 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
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
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
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
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?
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
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
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
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
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
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
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
Plea Bargaining
• 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
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
Plea Bargaining
• The Supreme Court’s View on Plea
Bargaining
 The Supreme Court has sanctioned plea
bargaining
• Brady v. United States
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
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
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
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
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
Plea Bargaining
• 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
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
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
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
Plea Bargaining
• Clarification of proper inducements
• Bordenkircher v. Hayes
• United States v. Goodwin
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
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
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
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 (U.S. v. Bean)
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
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
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
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, and are rare
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
Plea Bargaining
• Factors Affecting Plea Agreements
 Researchers have identified four:
• The strength of the state’s case
• The seriousness of the offense
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
Plea Bargaining
• 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
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
Guilty Pleas
• Elements of Valid Guilty Plea
 The judge must determine that the
defendant understands the plea
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
Guilty Pleas
Figure 12-2 Sample Guilty Plea
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
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 (this is different than
rights denied as a result of plea
bargaining, e.g. the right to vote)
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
Guilty Pleas
 Voluntariness
• 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
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
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
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
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
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
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
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
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
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved
Guilty Pleas
• There are few Supreme Court precedents
addressing appeals of guilty pleas
• McCarthy v. United States
Courts and Criminal Justice in America, 2nd Edition
Siegel | Schmalleger | Worrall
Copyright © 2015 by Pearson Education, Inc.
All Rights Reserved