Chapter 23 Plea Adjustment
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BOOK OF REGULATIONS CHAPTER 23 PLEA ADJUSTMENT CHAPTER 23 - PLEA ADJUSTMENT 23.01 INTRODUCTION the Procurator Fiscal considers that it is in the public interest to do so. Having taken a decision at the case marking stage to commence criminal In a written answer given to a question proceedings and having selected the asked in the House of Commons on 10th charges which appear at that stage to be December 1981 the then Solicitor General appropriate, Procurators Fiscal remain stated that: “If satisfactory pleas can be under a duty throughout the lifetime of a adjusted valuable court time is freed to case to continually consider, at each stage permit other cases to be heard. This creates of the case, the action on the part of the speedier justice which is…a very desirable Procurator Fiscal which best serves the aim.” public interest in the effective administration of criminal justice. In the American case of Santobello v New Procurators Fiscal are not obliged to York 404 US 257 (1971) the process of proceed to trial in respect of every charge ‘plea bargaining’ was described as “..an libelled, or all proceedings raised, against essential component of the administration an accused person. of justice. Properly administered, it is to be encouraged…It leads to prompt and The Procurator Fiscal’s discretion extends largely final disposition of … criminal to the resolution of criminal proceedings cases.” by the acceptance of adjusted pleas where this is considered by the Procurator Fiscal In the English case of R v Fraser (1982) 4 to be in the public interest in all the Cr. App. R (S) 254 the court commented circumstances of the case, a process that: “The principal way in which a plea of hereafter referred to as ‘plea adjustment’. guilty can be prayed in aid by way of mitigation is that it can be said to The legitimacy of plea adjustment as a demonstrate, in at least some cases, true proper exercise of prosecutorial discretion remorse on the part of the criminal was recognised by the High Court in the concerned…It is also desirable in…any case of Boyle v HMA 1976 JC 32, where trial…that it should not be unnecessarily it was stated that: “In Scotland the master or unreasonably prolonged and made of the instance in all prosecutions for the unnecessarily or unreasonably expensive public interest is the Lord Advocate. It is either for the clients or for society in for him to decide when and against whom general…[C]riminals should be to launch prosecution and upon what encouraged, so far as it is possible, not to charges. It is for him to decide in which indulge in the sort of tactics which…result court they shall be prosecuted. It is for in the unnecessary and unreasonable him to decide what pleas of guilt he will prolongation of trials and consequent accept and it is for him to decide when to expenditure of public money.” withdraw or abandon proceedings.” From an ECHR perspective there is Procurators Fiscal have a duty to consider nothing to suggest that well-informed, pleas offered by the defence, short of responsible plea negotiation will be guilty as libelled to all charges against an regarded as incompatible with the accused person, and to accept them where convention rights of the accused or the victim. February 2001 1 BOOK OF REGULATIONS CHAPTER 23 PLEA ADJUSTMENT In X, Y and Z v Austria 1980 EHRR devoted to other cases in which the 270, the European Court of Human Rights adjustment of pleas is not appropriate. held that Article 6 does not prevent the public prosecutor from deciding not to Irrespective of any approach from the prosecute or to withdraw the indictment. defence, Procurators Fiscal have a duty in It should also be noted that Article 6(2) preparing any case for trial to consider the imposes no general duty on the State to issue of plea adjustment so as to be able to compensate any accused who is not finally give proper consideration to any approach convicted, for the period spent on remand ultimately made by or on behalf of the (Sekanini v Austria 17 EHRR 221). accused. From the victim’s perspective, it was Further, Procurators Fiscal may consider it confirmed in Dubowska and Skup v appropriate, in suitable cases, to take the Poland 24 EHRR CD 75, that Article 6 initiative and approach the defence, time does not confer a right to have criminal permitting, in order to advise them in proceedings brought against a third party. advance of trial of the pleas which would Nor should any Convention right of a be acceptable to the Crown as a means of victim of serious crime under Article 8 to resolving the proceedings. However, such “effective criminal law provisions” (X and an indication on behalf of the Crown Y v the Netherlands 8 EHRR 235) be should not be given in open court (see interpreted as impinging on prosecutorial Latto & Others v Vannet 1997 SCCR discretion. The breach of the victim’s 721). Convention rights in that case arose from the public prosecutor’s inability to take The guidance given in this chapter relates criminal proceedings, rather than a to the adjustment of pleas, a process which discretionary decision not to do so. necessarily involves concessions by the Crown, in the form of acceptance of pleas The benefits of resolution of appropriate of not guilty to one or more of the charges cases by plea adjustment may be said to against the accused or the acceptance of include: pleas of guilty to alternative charges or to charges subject to amendment, and by the • The prompt disposal of the case; accused, in the form of pleas of guilty to • The process involves the admission one or more of the charges against him. and acknowledgement of guilt on the part of the accused and a willingness Procurators Fiscal should bear in mind on his part to accept responsibility for that, whilst the unjustifiable acceptance of his conduct; pleas of not guilty and the unjustifiable • The accused’s acceptance of guilt deletion of aggravations by the Crown permits his position to be put fully to may give rise to liability in relation to any the court in a way which contributes to perceived failure to adequately protect and the most appropriate disposal of the enforce the convention rights of victims, case by the court; the justifiable acceptance by the Crown of • Victims and witnesses are spared the adjusted pleas is a means of safeguarding necessity, inconvenience and potential such rights and of establishing their breach distress of attending court and giving by the accused and of enabling the court to evidence; and impose an appropriate sentence. • The avoidance of an unnecessary trial allows time and resources to be 2 February 2001 BOOK OF REGULATIONS CHAPTER 23 PLEA ADJUSTMENT The acceptance by the Crown of pleas of relation to that charge and that the plea is not guilty to one or more charges or the tendered out of ignorance or deletion by the Crown of aggravations as misunderstanding. It is to be presumed conditions of securing pleas of guilty to that a person who tenders a plea of guilty other charges against an accused person is accepts their guilt and it will seldom, if proper and justifiable so long as the ever, be necessary to inquire if a prosecutor’s decision is informed by represented accused who tenders a plea consideration of all of the relevant facts accepts their guilt. More care should be and circumstances, the applicable law and taken where the accused is unrepresented any applicable departmental guidance. and is perhaps unfamiliar with the system or where the prosecutor has reason to Plea adjustment can be distinguished from believe that the accused requires some the acceptance of pleas of not guilty to all assistance or protection. charges or the discontinuation of proceedings in their entirety (in which case As a general proposition, Procurators guidance is given in chapter 3 above) and Fiscal must ensure that any pleas accepted, from situations in which the accused and any narration of facts agreed with the pleads guilty as libelled to the only charge defence, will enable the Procurator Fiscal or to all charges against him. to narrate to the court such facts as will allow the court to gain an adequate and The court should ensure that pleas of accurate picture of the accused’s conduct guilty are confirmed personally by the and of any other relevant matters, such as accused where he is present in court, even the background to the accused’s conduct, where he is legally represented (see any motive therefor and the consequences McGowan v Ritchie 1997 SCCR 322). of that conduct for those affected by it. 23.02 ASSESSMENT OF THE PUBLIC Subject to the Crown’s limited right to INTEREST IN PLEA ADJUSTMENT appeal against an unduly lenient sentence, (as to which see chapter 11), disposal of Procurators Fiscal are under a duty in the case will thereafter be a matter for the relation to the adjustment of pleas to act in court. the public interest. Where in all the circumstances of a case the Procurator The importance of ensuring that any Fiscal judges that it is in the public interest adjusted plea represents an adequate and to accept pleas which the accused is accurate reflection of the offence extends prepared to offer, the pleas must be beyond the instant case. Procurator Fiscals accepted. Where such acceptance is judged are reminded of the decision in HMA v by the Procurator Fiscal not be in the Riley 1999 SCCR 644 which indicates public interest, the pleas offered must not that a prosecutor can provide additional be accepted and the Procurator Fiscal must information regarding a previous allow the case to run its course, whatever conviction but that such information the outcome may be.