iii. Tool in the fight against complex crime
iv. Accurate and individualised charging and sentencing
68. Another reason commonly put forward as a justification
for the introduction of trial waiver systems is to aid in
the effective detection and prosecution of complex
crime. It was the view of some survey respondents that
trial waiver systems, usually those taking the form of
cooperation agreements or crown witness systems,
were necessary in order to build cases in prosecutions
for which little evidence was available to investigators
without the assistance of insider witnesses. The kinds
of investigations usually cited were financial crime,
environmental crime, corruption, and drug trafficking.
71. Though it was not specifically mentioned by survey
respondents, it has been suggested that trial
waivers are seen as a method of arriving at more
accurate charges through direct communication
between the parties that does not use court time and
resources. Related to this is the ability of some courts
to ratify creative, individualised and problem-solving
sentences struck between the parties; for example,
crafting sentences that do not trigger particular
collateral consequences or that permit defendants to
maintain employment, or may be used in the context
of “problem solving courts” with special procedures
for drug users or defendants with mental illness.87
However, individualised sentencing can also lead
to inconsistent, potentially arbitrary, and at times,
discriminatory outcomes.88
69. The use of trial waivers (known as “delação premiada”)
in relation to cooperating witnesses in the Lavo
Jato/Petrobras prosecution in Brazil is a high-profile
example of this practice, which has been subject to
some public criticism. The media reported that a
group of Brazilian public defenders had accused
investigators in the case of using arrests “to get
plea-bargain agreements like in an inquisition.”84
At the same time, the trial waivers came under
criticism from other quarters for appearing to allow
defendants to evade justice with substantial sentence
reductions, and for the potentially unreliable nature of
co-conspirators’ testimony.85
70. Some respondents to the surveys questioned whether
trial waiver systems did indeed produce more or better
quality prosecutions in these areas. On the contrary,
trial waivers can sometimes cut short investigations
by prematurely concluding proceedings. States are
increasingly mounting high-profile anti-corruption
prosecutions in order to tackle public perceptions of
impunity of business and government actors. When
these rely on trial waivers in order to secure convictions,
the public often perceives further corruption in the
justice system.86 The use of trial waiver systems to
secure convictions in cases involving public corruption
and government collusion is a double-edged sword for
governments seeking to rebuild public faith in justice
systems – trial waivers may be necessary to combat
impunity and complex crime, but at the same time may
undermine public faith in the system.
v. Victims’ interests
72. Many jurisdictions employing trial waiver systems do
so in order to spare victims the trauma of testifying,
or being subjected to lengthy proceedings with
uncertain conclusions. For example, England and
Wales is due to introduce changes to its trial waiver
system (in particular, the guidelines on reductions in
sentence for a guilty plea) to incentivise defendants
to plead guilty at the first appearance in court.
The Sentencing Council has stated that one of the
primary reasons for this change is so that “victims
and witnesses can be reassured that the offender has
accepted responsibility for the offence and that they
will not have to worry about having to go to court.
In addition, victims will also benefit from seeing a
more consistent approach to determining sentence
reductions”.89 Surveys from jurisdictions including the
Cayman Islands, Croatia, New Zealand, Norway and
South Africa similarly cited the desire to avoid victims
being re-traumatised by trial as a motivating factor for
introducing trial waiver systems.
84. Costa, P. C., “What if the ‘pre-plea bargain’ doesn’t turn into a real plea bargain?”, Folha de S. Paolo (Jul. 11, 2016). Available at: http://www1.folha.uol.com.br/
internacional/en/ombudsman/2016/07/1790539-what-if-the-pre-plea-bargain-doesnt-turn-into-a-real-plea-bargain.shtml. See also “Weird Justice: Corruption in
Brazil”, The Economist (Dec. 10 2015). Available at: http://www.economist.com/news/americas/21679861-courts-treat-suspects-too-harshly-and-convicts-tooleniently-weird-justice.
85. Vieira, L., “Argentina to Expand Use of Plea Bargaining Inspired by Brazil”, Americas Quarterly (Mar. 24, 2016). Available at: http://www.americasquarterly.org/
content/argentina-expand-use-plea-bargaining-inspired-brazil.
86. See Alkon, “Plea Bargaining as a Legal Transplant”, supra at n. 10, p. 357, stating that ‘informal negotiation may look like another form of corruption in countries
whose legal systems already suffer from endemic corruption and serious legitimacy problems’. Available at: http://scholarship.law.tamu.edu/facscholar/268/. See
also Alkon, “Introducing Plea Bargaining into Post-Conflict Legal Systems”, supra at n. 66, p. 16, discussing the example of Nigeria.
87. See, e.g., Alkon, “Introducing Plea Bargaining into Post-Conflict Legal Systems”, supra at n. 66, p. 10.
88. Smith, R. J. and Levinson, J. D., “The Impact of Implicit Racial Bias on the Exercise of Prosecutorial Discretion”, Seattle University Law Review, Vol. 35 (2012),
pp. 816–818. Available at: https://www.law.hawaii.edu/sites/www.law.hawaii.edu/files/content/levinson.pdf.
89. “Reduction in Sentence for a Guilty Plea Guideline: Consultation”, the Sentencing Council (Feb. 11, 2016), p. 7. Available at: https://www.sentencingcouncil.org.uk/
wp-content/uploads/Reduction-in-sentence-for-a-guilty-plea-consultation-paper-web.pdf.
38.
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