vii. Enhanced recording/data collection
106. A record of the terms of the negotiation leading to
a trial waiver (where such negotiations occur), or
the details of the resulting benefit conferred on the
defendant, is not always produced. In Hong Kong, for
example, a record of the terms of the negotiation is
only produced when the defendant is unrepresented.
Similarly, as earlier noted in relation to Kenya,
guidelines suggest that trial waiver negotiations
involving defendants without a lawyer should be
electronically recorded. In systems featuring only
sentence incentives with statutory control over benefits
conferred, the production of a record may not be
as vital as in jurisdictions featuring charge or fact
incentives, or in cooperation agreements, where the
benefits offered and concessions made by the parties
are more variable. Without such a record, appeals
become practically difficult, as does tracking the effect
of prosecutorial guidelines and other instruments.
107. Furthermore, opacity of negotiations (where they take
place as part of the trial waiver system) contributes
to public distrust in trial waivers. There is particular
concern about the lack of openness of terms of
agreements when they involve the payment of financial
penalties as a condition of sentence reduction (as
is common in Georgia and Russia, for example, and
has also been raised as a feature of the trial waiver
system (delação premiada) used in Brazil). Where it
is perceived that highly resourced defendants are
able to evade justice through the payment of fines,
the purpose of using trial waivers to tackle public
corruption is seriously undermined.
108. Where trial waiver systems are newly adopted or have
recently undergone reforms, authorities are in the
unique position of being able to track more easily the
effects of the change in procedure and to adjust policy
accordingly. Bosnia and Herzegovina and Georgia are
both examples of countries where the implementation
of the trial waiver system was heavily monitored, and
reforms were made in response to findings. However,
much of this monitoring was conducted by civil
society organisations, rather than government actors,
potentially diminishing the scope and sustainability of
the data collection.107
109. There are a few examples of countries that employ
enhanced recording to ensure the integrity of trial
waiver systems. In Finland, for example, trial waivers
take place in open court, and the subsequent
judgment will state what the sentence would have
been if the conviction had occurred following a full
trial rather than as a result of a trial waiver. In England
and Wales, the sentence discount granted following
a trial waiver (known as a “guilty plea”) in line with
the sentencing guidelines is calculated and applied
separately, after adjustments have been made to
reflect other mitigating factors, and so should be clear
on the record. In New Zealand, negotiations between
the defence and prosecution are memorialised in a
case management memorandum.
viii. Limitations on benefits
110. It may seem counter-intuitive to frame limitations on
benefits provided in exchange for trial waivers as a
safeguard for defendants, since such limitations restrict
what they could gain from a trial waiver. However,
conversations with US experts consistently highlighted
the coercive effect of the large sentencing differential
in the US between the potential sentences faced
after conviction at trial as opposed to those available
through plea deals. The coercive effect of this trial
penalty has been well-documented.108
111.
The wide discretion US prosecutors have, through
plea deals, to offer sentences drastically shorter than
those possible after conviction at trial relies on several
features that are distinct to US law and practice,
principally the unusually long sentences and heavy
use of mandatory minimums, coupled with a criminal
legal culture characterised by powerful and largely
unaccountable prosecutors. Many other jurisdictions,
even those with substantial procedural similarities to
the US criminal justice system, control the extent of
sentencing discounts either by statute or in practice.
The Federal Constitutional Court of Germany has
recognised that a significant sentence differential
between trial waiver and trial can act as an “illegal
influence” on the defendant’s free will.109
107. See, e.g., “Plea Bargaining in Georgia: Negotiated Justice”, Transparency International: Georgia (Dec. 15, 2010). Available at: http://www.transparency.ge/en/
node/1061. See also “Plea Agreements in Bosnia and Herzegovina: Practices before the Courts and their Compliance with International Human Rights Standards”,
Organization for Security and Co-operation in Europe (OSCE): Mission to Bosnia and Herzegovina (2006).
108. See, e.g., Fellner, “An Offer You Can’t Refuse”, supra at n. 34.
109. ‘Plea Bargaining and its History’, Albert Alschuler, Columbia Law Review, Vol 79, No. 1, January 1979. See also Altenhain, K., “Absprachen in German Criminal Trials”,
from World Plea Bargaining: Consensual Procedures and the Avoidance of the Full Criminal Trial, Thaman, S. C., ed., Carolina Academic Press, Durham, NC. (2010),
pp. 169–170.
56.
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