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Richard L. Lippke - The Ethics of Plea Bargaining

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The practice of plea bargaining plays a hugely significant role in the adjudication of criminal charges and has provoked intense debate about its legitimacy. This book offers the first full-length philosophical analysis of the ethics of plea bargaining. It develops a sustained argument for restrained forms of the practice and against the free-wheeling versions that predominate in the United States.
In countries that have endorsed plea bargains, such as the United States, upwards of ninety percent of criminal defendants plead guilty rather than go to trial. Yet trials, which grant a presumption of innocence to defendants and place a substantial burden of proof on the state to establish guilt, are widely regarded as the most appropriate mechanisms for fairly and accurately assigning criminal sanctions. How is it that many countries have abandoned the formal rules and rigorous standards of public trials in favor of informal and veiled negotiations between state officials and criminal defendants concerning the punishment to which the latter will be subjected? More importantly, how persuasive are the myriad justifications that have been provided for plea bargaining? These are the questions addressed in this book.
Examining the legal processes by which individuals are moved through the criminal justice system, the fairness of those processes, and the ways in which they reproduce social inequality, this book offers an ethical argument for restrained forms of plea bargaining. It also provides a comparison between the different plea bargaining regimes that exist within the US, where it is well-established, England and Wales, where the practice is coming under considerable critique, and the European Union, where debate continues on whether it coheres with inquisitorial legal regimes. It suggests that rewards for admitting guilt are distinguished from penalties for exercising the right to trial, and argues for modest, fixed sentence reductions for defendants who admit their guilt. These suggestions for reform include discouraging the current practice of deliberate over-charging by prosecutors and charge bargaining, and require judges to scrutinize more closely the evidence against those accused of crimes before any guilty pleas are entered by them. Arguing that the negotiation of charges and sentences should remain the exception, not the rule, it nevertheless puts forward a normative defense for the reform and retention of the plea bargaining system.

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The Ethics of Plea Bargaining
Richard L. Lippke
Title Pages

(p.i) The Ethics of Plea Bargaining

(p.ii) (p.iii) The Ethics of Plea Bargaining

(p.iv)

  • Great Clarendon Street, Oxford OX2 6DP
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  • Oxford is a registered trade mark of Oxford University Press
  • in the UK and in certain other countries
  • Published in the United States
  • by Oxford University Press Inc., New York
  • Richard L. Lippke, 2011
  • The moral rights of the authors have been asserted
  • Crown copyright material is reproduced under Class Licence Number C01P0000148
  • with the permission of OPSI and the Queens Printer for Scotland
  • Database right Oxford University Press (maker)
  • Contains public sector information licensed under the Open Government Licence v1.0
  • (http://www.nationalarchives.gov.uk/doc/open-government-licence/open-government-licence.htm)
  • Crown copyright material reproduced with the permission of the Controller, HMSO
  • (under the terms of the Click Use licence)
  • First published 2011
  • All rights reserved. No part of this publication may be reproduced,
  • stored in a retrieval system, or transmitted, in any form or by any means,
  • without the prior permission in writing of Oxford University Press,
  • or as expressly permitted by law, or under terms agreed with the appropriate
  • reprographics rights organization. Enquiries concerning reproduction
  • outside the scope of the above should be sent to the Rights Department,
  • Oxford University Press, at the address above
  • You must not circulate this book in any other binding or cover
  • and you must impose the same condition on any acquirer
  • British Library Cataloguing in Publication Data
  • Data available
  • Library of Congress Cataloging in Publication Data
  • Library of Congress Control Number: 2011939969
  • ISBN 9780199641468
  • 10987654321
Dedication

(p.v) To Andrea


(p.vi) (p.vii) Acknowledgments

Early portions of this book were written while I was a Visiting Research Fellow at the Centre for Applied Philosophy and Public Ethics at Australian National University in the summer of 2007. I especially want to thank John Kleinig for initiating the visit and Tom Campbell and Seumas Miller for organizing the institutional support for it. I subsequently had the pleasure of serving two years as the Robert and Carolyn Frederick Visiting Scholar in Ethics at the Prindle Institute for Ethics, located at DePauw University. Much of the substantive work on the book was completed in that beautiful and stimulating environment. I want to thank Bob Bottoms, Bob Steele, Martha Rainbolt, and Linda Clute for making my time at the Prindle Institute so enjoyable. The students and faculty at DePauw were also extraordinarily welcoming.

Early versions of the first two chapters were read to colleagues at James Madison University, the Indiana University law school, and DePauw University. I also presented a version of at a conference on proof and truth in the law, organized by Larry Laudan, at the National Autonomous University of Mexico. I want to thank all of the participants at these events for their stimulating questions, comments, and suggestions.

Anyone who wants to write about plea bargaining must begin by studying the biblein this case the many groundbreaking articles by Albert Alschuler on the subject. My substantial debt to his writings will be evident throughout. I remain uncertain that I have anything to say about plea bargaining that he has not already said. When the book was well under way and I believed myself to have a good handle on the topic, I began reading some of the signally important work on criminal law and procedure by the late William Stuntz. I could never think about either topic in the same way afterwards and spent many hours rethinking conclusions that I had reached and about which I had previously been quite confident. I suspect that many other scholars of the law have had the same reaction upon encountering Stuntzs writings.

I want to thank Andrew Ashworth for believing in the book enough to recommend its inclusion in his excellent monograph series. Natasha Knight at Oxford University Press was a constant source of help and encouragement as the manuscript wound its way through the OUP review process. Several reviewers for the Press offered enormously useful comments and suggestions. The final version is much improved because of their efforts.

Portions of some of the chapters have appeared elsewhere. A small part of appeared as Rewarding Cooperation: The Moral Complexities of Procuring Accomplice Testimony, [2010] 13 New Criminal Law Review 90.

Finally, my debt to my wife, Andrea Wiley, and our children, Aidan and Emil, is incalculable. Together they keep me sane, happy, and productive.

(p.xi) Abbreviations
  • American Journal of Coparative Law

    Am. J. Comp. L.

  • American Journal of Criminal Law

    Am. J. Crim. L.

  • Buffalo Law Review

    Buff. L. Rev.

  • California Law Review

    Cal. L. Rev.

  • Cardozo Law Review

    Cardozo L. Rev.

  • Columbia Law Review

    Colum. L. Rev.

  • Cornell Law Review

    Cornell L. Rev.

  • Criminal Law Review

    Crim. L. Rev.

  • Emory Law Journal

    Emory L. J.

  • Fordham Law Review

    Fordham L. Rev.

  • Fordham Urban Law Journal

    Fordham Urb. L. J.

  • Georgetown Journal of Legal Ethics

    Geo. J. Legal Ethics

  • Georgia Law Review

    Ga. L. Rev.

  • Harvard International Law Journal

    Harv. Intl L. J.

  • Harvard Journal of Law and Public Policy

    Harv. J. L. & Public Poly

  • Harvard Law Review

    Harv. L. Rev.

  • Hastings Law Journal

    Hastings L. J.

  • Indiana Law Review

    Indiana L. Rev.

  • Indiana Law Journal [TBC]

    Ind. L. J.

  • Journal of Law and Economics

    J. L. & Econ.

  • Journal of Legal Studies

    J. Legal Stud.

  • Law and Human Behavior

    L. & Hum. Behavior

  • Law and Inequality

    L. & Ineq.

  • Law and Society Review

    L. & Socy Rev.

  • Lewis and Clark Law Review

    Lewis & Clark L. Rev.

  • Michigan Law Review

    Mich. L. Rev.

  • New Criminal Law Review

    New Crim. L. Rev.

  • New England Law Review

    New Eng. L. Rev.

  • Northwestern University Law Review

    Nw. U. L. Rev.

  • Oxford Journal of Legal Studies

    O. J. L. S.

  • Pepperdine Law Review

    Pepp. L. Rev.

  • Pittsburgh Law Review

    Pitt. L. Rev.

  • (p.xii) Rutgers Law Review

    Rutgers L. Rev.

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