Terminology
1.
This report examines practices falling within the
following definition: “a process not prohibited by law
under which criminal defendants agree to accept guilt
and/or cooperate with the investigative authority in
exchange for some benefit from the state, most
commonly in the form of reduced charges and/or lower
sentences.” In this report, we have referred to practices
falling within this definition as “trial waivers” and the
mechanisms that permit them as “trial waiver systems”.
2. There are many different names for the very varied
practices falling within this definition including “plea
bargaining”, “guilty pleas”, “summary procedures” and
“abbreviated trials”, among others. What these systems
have in common, however, is the agreement by the
defendant to waive full trial rights in exchange for a
concession by the state. Hence our decision to use
“trial waiver systems” as the global term, while using
the terminology applied in the domestic context when
referring to specific jurisdictions. Nonetheless, we
recognise that even the term “trial waiver systems” is
imperfect, given that some such mechanisms may
formally take place within the context of what is understood
locally to be a trial, if abbreviated or simplified.
3. This report does not examine related practices that fall
outside the given definition, including penal orders,
diversion programmes, restorative justice programmes,
and some varieties of drug courts and cooperation
systems that do not require admissions of guilt or
divert people away from prosecution altogether. For
example, in certain jurisdictions charges may be
dropped upon payment of a fine, fulfilment of certain
conditions, or conclusion of a settlement between the
offender and the victim. As these forms of alternatives
to trial do not result in a criminal conviction, they are
not included in this study. Nonetheless, they are
likely to pose some of the same challenges and
opportunities that have been identified in relation to
trial waiver systems. Furthermore, the report only
addresses trial waiver systems as they apply to
individuals, not, for example, any such systems that
might be in place for corporate entities (nonprosecution agreements, etc.).
2.
4. Other forms of trial waiver systems that did not meet
the threshold of the given definition include
sentencing regimes that permit judges to mitigate
punishment on a discretionary basis in recognition of a
guilty plea, confession, or expression of remorse. This
type of mitigation is available in the vast majority of
jurisdictions surveyed. Where the potential mitigation
for plea or cooperation takes a very discretionary form,
such that it is not a reliable outcome on which
defendants could make rational decisions to plead or
cooperate, it did not fall within the definition of a trial
waiver system. This was the case, for example, in
Thailand, Sweden, Saudi Arabia, Angola, Democratic
Republic of Congo, Madagascar, Mongolia and
Namibia, none of which are characterised as trial
waiver systems for the purposes of this research.
5. These simple mitigation regimes can be distinguished
from those forms of trial waivers involving reliable,
consistent, systematic and predictable reductions of
sentence offered in exchange for a waiver of trial or
cooperation. In other systems, including Australia,
Canada, England and Wales, and New Zealand,
sentence incentives are technically applied on a
discretionary basis by the judicial authority, but in
practice have become virtually guaranteed and can
be anticipated with a degree of accuracy. These
systems have therefore been characterised as trial
waiver systems featuring sentence incentives.