Federal plea bargains Prosecutors still have plenty of discretion
By Matthew J. Jacobs and Lisa Tenorio-Kutzkey
|
Jacobs & Tenorio-Kutzkey |
We are two of the least likely people in the world to defend the idea that
prosecutors should have less discretion. As Assistant U.S. Attorneys, we would
rather keep in our own hands the power and authority to negotiate plea agreements
with defendants without approval from higher-ups.
Less paperwork. Less bureaucracy. Less interference from supervisors. Also,
most prosecutors believe with some justification that they know
their own case better than anyone else, including what constitutes a reasonable,
fair, agreed-upon resolution.
One might think that we would be joining in the chorus of criticism of the
Justice Department's policy restricting the discretion of prosecutors to enter
into plea bargains. But we're not.
The criticism is overblown be-cause the "new" policy is not really new, but
rather the reaffirmation of an idea that has been part of the U.S. Attorney's
Manual and other Justice Department directives to prosecutors since the 1980s.
The latest memo from the Justice Department dated Sept. 22, 2003, directs federal
prosecutors to "charge and pursue the most serious, readily provable offense
or offenses that are supported by the facts of the case . . ."
In other words, as a general matter, a prosecutor cannot charge a defendant
with violations of multiple statutes and then, in the context of plea bargaining,
agree to dismiss the more serious charges in return for a guilty plea to a lesser
charge.
This has been the policy of the Department of Justice for approximately 15
years. Similar language contained in the Sept. 22 memo was first promulgated
in a memo by then- Attorney General Richard Thornburgh to Assistant U.S. Attorneys
in 1989. It has been in the U.S. Attorney's Manual in one form or another ever
since.
In practical terms, the Sept. 22 memo will not affect the majority of cases.
The memo includes several broad exceptions to the rule that the most serious
charge must be maintained, including when:
- The guidelines are unaffected by the dismissal of the more serious charge;
- The defendant cooperates by providing "substantial assistance" to the government
as defined in §5K1.1 of the Federal Sentencing Guidelines;
- The defendant falls within a "fast-track program" in San Francisco,
we have fast-track programs for certain immigration offenses;
- The prosecutor has re-evaluated the evidence and believes that the most
readily provable offense is no longer so readily provable; and
- "Other exceptional circumstances" including consideration of the money
and time it would take to try a particular case.
These exceptions permit a prosecutor and U.S. Attorney's Office the flexibility
to make a conscientious and reasonable decision to settle a case before trial
by dismissing more serious counts where appropriate. In fact, the last catch-all
exception for exceptional circumstances is a direct rebuttal to the argument
made by many critics that the "new" DOJ policy will overburden and hamper the
court system. The policy has a built-in safety valve that permits decision-making
on the basis of government resources. Currently, more than 95 percent of criminal
cases are resolved before trial. We do not expect significant changes in that
statistic as a result of this memo.
There is another practical reason why the DOJ policy will not bring about radical
changes. In many cases, the charge to which a defendant pleads guilty is one
of the least important factors in determining a defendant's sentence. The Sentencing
Guidelines generally require that the probation officer and judge determine
a defendant's Guideline calculation, including all "relevant conduct" by the
defendant. Relevant conduct includes acts by the defendant whether or not she
was convicted of those acts; usually it does not even matter whether the "relevant
conduct" was charged in the indictment. Essentially, the guidelines require
the court to look beyond the actual charge of conviction to the underlying relevant
conduct and sentence according to the conduct.
Beyond the practical, there is a philosophical dimension to the argument, and
this is where DOJ's policy comes into focus. There are two guiding principals
behind the Justice Department's policy: (1) to ensure honesty and transparency
in sentencing, and (2) to cut down on discrepancies in sentencing for similar
offenses committed by similar offenders. In theory and practice, it is fundamentally
unfair for a defendant's fate to be determined based on which Assistant U.S.
Attorney happens to have been assigned the case. It is similarly unfair for
a defendant's sentence to depend on whether the wheel results in the assignment
of a judge who rigorously applies the guidelines or, conversely, who reaches
out for what the judge believes is a more just result by creative use of the
guidelines.
Of course, criminal defense attorneys only like the idea of prosecutorial discretion
in direct proportion to the sympathetic qualities of the prosecutor assigned
to the case they are defending. One favorable byproduct of DOJ's policy for
defendants is the express prohibition against charging additional or more serious
counts for the purpose of exacting a plea. Ideally, prosecutors will be cautious
in initial charging decisions because they know it will be difficult to jettison
those charges later on.
For several years, the U.S. Attorney's Office in San Francisco has had a policy
of standardized plea agreements with less discretion by individual prosecutors
and the re-quirement of supervisory approval for plea agreements, while prosecutors
have been encouraged to do more trials. In other words, we have almost exactly
the same policy in the Northern District of California that the Justice Department
is now reaffirming nationwide. The criminal defense bar in San Francisco has
at various times protested the policy with vim and vigor, but there is no question
that the changes helped turn our office into what is now re-garded as one of
the premier federal prosecutors' offices in the country and, more importantly,
led to more uniform treatment of defendants.
Individual prosecutors may not like the idea of diminished power any more than
defense lawyers. But there are many institutional benefits, including at least
the promise of more across-the-board fairness for defendants.
Matthew J. Jacobs is an Assistant U.S. Attorney and Lisa Tenorio-Kutzkey
is a Special Assistant U.S. Attorney. Both work in the securities fraud unit
of the San Francisco office.
|