Defendants in criminal cases have a constitutional right to maintain their innocence and require that the prosecution prove their guilt beyond a reasonable doubt at trial. However, many cases are resolved without a trial. Defendants may wish to avoid a trial by entering a plea of guilty and moving to the sentencing phase. A plea of guilty means that the defendant admits their guilt and admits to committing the specific conduct that satisfies the elements of the crime to which they are pleading guilty.

A plea agreement can be reached at any stage of the process. Most often, this occurs after negotiations between the defendant’s attorney and the prosecutor assigned to the case. The negotiation process often results in an agreement that allows the defendant to plead guilty to a lesser crime and/or accepts a lower sentence than the defendant would face in the event of a conviction at trial. Taking a case to trial is a risk for all involved; no one can be sure how a judge or jury will view the evidence. Generally plea agreements benefit everyone: the defendant often reduces their punishment exposure, the prosecution is assured a conviction, and the victim does not have to testify at trial.

Example: The defendant is accused of forcing the victim to engage in sexual intercourse by blocking the exit to the room, holding the victim down and punching her in the face before penetrating her. Before leaving, the defendant stole the victim’s cell phone. As a result of the physical assault, the victim suffered a broken eye socket. The defendant is charged with the crimes of Rape, Assault, Unlawful Imprisonment, and Robbery. In this jurisdiction, rape is defined as sexual intercourse (defined as penis-vagina penetration) by force (the definition of which includes physical force); assault is defined as intentionally causing physical injury to another person; unlawful imprisonment is defined as intentionally restraining another person; and robbery is defined as taking another person’s property by force. The rape charge carries a minimum sentence of 10 years and a maximum of 25 years. After negotiations between the prosecutor and defense counsel, the defendant is permitted to enter a guilty plea to only the rape charge to satisfy all pending charges and the parties agree to a sentence of 12 years. The defendant will have to admit that he penetrated the victim’s vagina with his penis and that the victim did not consent, rather, he used force (punching her, holding her down). Under this plea agreement, the defendant will not have to make admissions to the elements of the other crimes (such as stealing the victim’s cell phone or intending to physically injure her).

Some jurisdictions allow for what is known as an Alford plea, which permits a defendant to plead guilty but maintain their innocence by admitting that the prosecution has sufficient evidence to prove their guilt beyond a reasonable doubt.

While the victim should be, and in some places must be, consulted regarding any negotiated plea, the decision as to what the parameters of the plea agreement will be rests with the prosecutor. The judge has the ultimate say on whether s/he will accept a negotiated plea but judges most often rely on the parties’ assessments about what is appropriate. Module 3 will explain what role the victim has during the process of plea negotiations but remember that, because the victim is not a party to the case, s/he does not control the negotiations or ultimate plea agreement.