25. Some examples of good practice and safeguards for
juveniles in the context of plea bargaining can,
however, be identified in certain (though certainly not
all) jurisdictions within the US. These include: (a)
mandatory representation; (b) special training for
juvenile defenders;24 and (c) more extensive enquiry25
(in the US, called a colloquy or allocution) between the
judge and the defendant, using age-appropriate
language to ensure that the defendant has full
knowledge of the consequences of his or her decision
to plead guilty,26 and limitations on the timing of guilty
pleas (for example, refusing to accept plea offers at
arraignment/charging) or the kind of cases in which
plea deals can apply (for example, only to those facing
the possibility of incarceration).
26. There are also similar concerns about the use of plea
bargaining in cases involving adult defendants with
psycho-social or intellectual disabilities, because their
competency to waive their rights and enter into a plea
deal may be questionable.27 People with such
disabilities are more likely to falsely plead guilty than
those without.28
27. There is widespread concern about racial discrimination
in the US criminal justice system, including in relation to
plea bargaining. For example, research has found that
prosecutors are more likely to offer Black and Latino
defendants plea deals in misdemeanour drug cases
that feature jail or prison time, as opposed to white
defendants who are more frequently offered a plea
deal involving a non-custodial sentence in such cases.29
C. Innocence and miscarriages of justice
28. The phenomenon of innocent people pleading guilty
has been most extensively documented in the US,30
where, for example, 65 out of the 149 exonerations in
2015 followed guilty pleas (44%).31 Furthermore, many
examples of innocent people pleading guilty will never
result in exoneration, particularly in misdemeanour and
low level felony cases for which “there is no cheap,
reliable test for guilt or innocence” and exoneration is
therefore rarely achieved.32 As a core underlying goal
of criminal procedure is to convict the guilty and acquit
the innocence, this is clearly a major cause for concern
and points to the need for better safeguards.
29. It has been suggested that the coercive element of
plea bargaining is strongest where there is a
disproportionately high perceived benefit to pleading
guilty, usually in the form of a high sentence differential
between those pleading guilty and those proceeding
to trial, as in the case of Brady v US,33 which involved
the threat of the death penalty. In the US, where
sentencing discounts are not capped, this differential is
referred to as the “trial penalty,” and it is particularly
severe in the context of the relatively long “mandatory
minimum” sentences which result from many
convictions. Analysis of the trial penalty varies widely
according to different models, but typical drug
defendants for example face an average sentence
three times higher following conviction after trial than
they do following a plea deal.34
24. See Hertz, R. et al., “Trial Manual for Defense Attorneys in Juvenile Delinquency Cases”, American Bar Association (2016), pp. 400–410 (outlining the best practices
for advising the client on the plea as well as preparing the client for the in court plea colloquy). See also Smith, A., “‘I Ain’t Takin’ No Plea’: The Challenges in
Counseling Young People Facing Serious Time”, Rutgers L. Rev., Vol. 60, No. 1 (2007). See also Alschuler, A. W., “The Defense Attorney’s Role in Plea Bargaining”,
Yale Law Journal, Vol. 84, No. 6 (May 1975).
25. Shepherd, R. E. Jr., “Plea Bargaining in Juvenile Court”, Criminal Justice, Vol. 23, No. 3 (Fall 2008).
26. Redlich, A. D. and Bonventre, C. L., “Content and Comprehensibility of Juvenile and Adult Tender-of-Plea Forms: Implications for Knowing, Intelligent, and Voluntary
Guilty Pleas”, Law and Human Behavior Journal, Vol. 39, No. 2 (2015), p. 164, which states that ‘regarding the abilities of juvenile defendants specifically,
developmental theory and previous research findings lead to the prediction that minors will be significantly less likely to understand the plea process compared
to adults.’
27. Redlich, A. D. et al., “Self-Reported False Confessions and False Guilty Pleas among Offenders with Mental Illness”, Law and Human Behavior Journal, Vol. 34(1)
(2010). See also Gross, S. R. et al., “Exonerations in the United States, 1989 Through 2003”, Journal of Criminal Law and Criminology, Vol. 95(2) (2005), pp. 523–560.
28. Bonnie, R. J., “The Competence of Criminal Defendants with Mental Retardation to Participate in their Own Defense”, Journal of Criminal law and Criminology, Vol.
81, Iss. 3 (Fall 1990), pp. 439–440.
29. Kutateladze, B., Tymas, W. and Crowley, M., “Race and Prosecution in Manhattan”, Research Summary, Vera Institute of Justice (Jul. 2014). Available at: http://archive.
vera.org/sites/default/files/resources/downloads/race-and-prosecution-manhattan-research-summary-v2.pdf.
30. For some prominent cases of exonerations following guilty pleas, see: http://www.innocenceproject.org/when-the-innocent-plead-guilty/, and companion site
http://guiltypleaproblem.org/.
31. The National Registry of Exonerations: Exonerations in 2015, available at: https://www.law.umich.edu/SPECIAL/EXONERATION/DOCUMENTS/EXONERATIONS_
IN_2015.PDF. The term used in the National Registry of Exonerations is “guilty plea”, so it is not possible to know whether these involved plea bargaining as such. As
the Registry Report for 2015 explains, a large percentage of these exonerations are in relation to drug possession, due to a committed Conviction Integrity Unit in
Harris County, Texas which was single-handedly responsible for 73 drug crime exonerations in 2014 and 2015, for convictions in which defendants pleaded guilty on
the basis of unreliable roadside drug tests.
32. Ibid, p. 11.
33. Brady v. US, supra at n. 6. See https://www.oyez.org/cases/1969/270 for more details.
34. Human Rights Watch analysis of the U.S. Sentencing Commission’s FY 2012 individual datafiles, found in Fellner, J., “An Offer You Can’t Refuse: How US Federal
Prosecutors Force Drug Defendants to Plead Guilty”, Human Rights Watch (Dec. 5 2013). Available at: https://www.hrw.org/report/2013/12/05/offer-you-cantrefuse/how-us-federal-prosecutors-force-drug-defendants-plead.
12.
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