B. Increasing use of trial waivers
49. Besides the growth in the number of countries formally
recognising and ratifying trial waivers, the incidence of
their use has also grown markedly in many countries.
Data collection on the use of trial waivers is generally
poor in most countries. The survey requested
statistical information on the percentage of criminal
cases resolved via trial waivers, but this information
was not found by researchers in most jurisdictions.
Even where it is available, differences and
insufficiencies in data collection make comparison
between jurisdictions difficult, because the basis for
the statistics available is not the same.
50.
For example, some statistics relate to the total
percentage of cases resolved through a guilty plea, but
do not necessarily consider whether the plea is part of
a trial waiver (this is the case, for example, in data from
the US). Other statistics may be based on several types
of trial diversion, only some of which may fall within our
definition of trial waiver systems, and others are limited
to data from particular courts (for example, the
statistics available from England and Wales relate only
to Crown Court proceedings, although many trial
waivers are made without data being collected in the
Magistrates’ Court). Therefore any comparison of
statistics is necessarily imprecise. Even so, the data
available demonstrates notable patterns.
51.
In the jurisdictions for which data was available,
reliance on trial waivers varies substantially. However,
there were several striking examples of the way in
which trial waivers, once introduced, can quickly come
to dominate criminal proceedings at the expense of
traditional trials.
52. The US famously resolves 97% of its federal criminal
cases through guilty pleas.72 While it is unclear, due to
the lack of recording of plea negotiations, how many of
these guilty pleas are entered as part of a trial waiver
system, experts in US criminal justice believe it to be
the overwhelming majority. The US is undoubtedly the
country most extreme in its reliance on trial waivers,
but it is not alone in substantial reliance on such
procedures to resolve cases. In the higher courts of
England and Wales, for example, in 2014 70% of all
criminal cases,73 and 90% of convictions,74 were
resolved through a trial waiver (known as “guilty plea”).
53. In several countries, use of trial waivers rose rapidly in a
matter of a few years. For example, in Georgia, 12.7%
of cases were resolved via trial waivers (known as “plea
bargaining”) in 2005, which ballooned to 87.8% of
cases in 2012. Similarly in Russia, use of trial waivers
(through the abbreviated trial procedure) shot up from
37% in 2008 to 64% in 2014. In the first instance courts
in Chongqing (one of China’s major cities), the use of
trial waivers (known as “summary procedure”)
increased from 61% in 2011, to 82% just two years later
in 2013. In South Africa, where trial waivers (known as
“plea and sentence agreements”) only account for
13.5% of case resolutions, the National Prosecuting
Authority’s Annual Report for 2014-15 nonetheless
reported a 33% increase from the prior year.75
54. However, it is not the case that, once introduced or
formalised, trial waivers always come to dominate
criminal procedure. In Italy, for example, which has
utilised trial waivers (known as “patteggiamento”) since
1989, only about 4% of criminal cases are resolved
through this system. In the state of New South Wales in
Australia, the percentage of persons charged who
were sentenced after entering a guilty plea76 has
remained steady at close to 60% for the past decade –
not an insubstantial number, but not apparently rising
further. The paucity of reliable, comparable data on the
operation of trial waiver systems makes it impossible to
fully assess the scope of these widescale procedural
changes.
72. United States Sentencing Commission’s 2016 Sourcebook of Federal Sentencing Statistics. Available at: http://www.ussc.gov/research/sourcebook-2016.
73. “Crown Court Sentencing Survey Annual Publication”, the Sentencing Council (2014). Available at: http://www.sentencingcouncil.org.uk/wp-content/uploads/
CCSS-Annual-2014.pdf.
74. “Court Statistics Quarterly, January to March 2014”, Ministry of Justice, Statistics Bulletin (Jun. 19 2014). Available at: https://www.gov.uk/government/uploads/
system/uploads/attachment_data/file/321352/court-statistics-jan-mar-2014.pdf.
75. “Annual Report of the National Prosecuting Authority from 2014–2015”. Available at: https://www.npa.gov.za/sites/default/files/annual-reports/Annual%20
Report%202014%20-%202015.pdf
76. NB the statistics provided do not make clear what percentage of these guilty pleas were the product of a trial waiver as defined.
32.
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