D. Types of trial waiver system
77. The practices uncovered by the survey research are
diverse and take place within very different legal
frameworks. Without attempting a comprehensive
taxonomy of types of trial waiver system, we have
set out some of the different practices that were
mentioned in the surveys which fell within the given
definition of trial waiver system.
78. The first distinction to be made is between formal
and informal systems. The Phase 1 surveys reflected
primarily trial waiver systems that were recognised by
law, either in statute or in case law. We know however
that informal negotiation, particularly around facts and
charges, also takes place in many countries around
the edges of formal systems or where trial waivers are
not deemed to exist. These systems have not been
captured by this research.
79. For the purposes of understanding the data we have
gathered in relation to the different trial waiver systems
in operation across the globe, we have categorised
them according to the reliance on charge, fact and
sentence incentives, defined as follows:
• Sentence incentives: The type of punishment and/or
the length of sentence may be reduced in exchange
for a concession by the defendant.
• Fact incentives: The facts of the case may be presented
in a manner that is beneficial to the defendant and/or
certain facts may not be introduced into evidence in
exchange for a concession by the defendant.
• Charge incentives: Charges against the defendant
may be reduced and/or terminated in exchange for a
concession by the defendant.
• Cooperation agreement/crown witness system: The
defendant agrees to assist with the investigation and/
or prosecution of offences (including, but not limited
to, by testifying against others), in exchange for some
benefit from the state, most commonly in the form of
reduced charges and/or lower sentences.
80. According to our research, around 68% of jurisdictions
with trial waiver systems permit sentence incentives,
44% permit charge incentives and 12% permit fact
incentives. In addition, around half of jurisdictions with
trial waiver systems provide for crown witness systems
or cooperation agreements.94
81. Of course, these are not always cleanly defined and
separable categories, and in practice it is difficult to
have, for example, charge incentives without some
level of fact negotiation, or sentencing incentives that
do not involve some ability to drop or amend charges.
This complexity has been captured to some extent
by the identification of jurisdictions that feature more
than one type of system. 37 jurisdictions have only one
type – the majority of these are sentencing incentives
or cooperation agreements; 18 jurisdictions feature
two types of trial waiver system; eight feature three
types; and three jurisdictions allow for all four types.
The three jurisdictions which allow for all four types
– the US, England and Wales, and Australia – are the
classic common law examples in which prosecutors
have a largely unfettered ability to negotiate directly
with defendants. At the other end of the spectrum, in
20 of the surveyed jurisdictions, respondents indicated
that trial waivers are “part of the full criminal trial,”
as reflected in surveys from Costa Rica and Egypt
amongst others.
82.
Within these categories, substantial variation also
exists. Of the countries which fall in the category
of sentence incentives, some jurisdictions allow for
sentencing below statutory guidelines. In Costa
Rica, for example, the “special procedure” permits
defendants to serve as little as one third of the
minimum sentence. Other jurisdictions allow for the
payment of a fine in place of, or to reduce the length
of, imprisonment (as in Georgia) while others (such as
Armenia, Germany and South Africa) do not allow for
sentences falling below given guidelines. Judges also
have differing levels of discretion over sentencing
across jurisdictions. For example, some jurisdictions
regulate discounts by statute (for example, in Turkey,
different discounts are available for different offences
i.e. one quarter discount for trading in organ and
tissues, two thirds discount for deprivation of
freedom, and a half discount for larceny), and others
more loosely by case law or custom (for example,
it is generally customary for defendants in Hong
Kong to receive a one third discount for pleading
guilty). Some jurisdictions, such as Canada, generally
94. A full table of findings in relation to types of plea bargaining available in each of the studied jurisdictions is available at Annex I.
42.
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