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Chapter 12
NEGOTIATED JUSTICE AND THE PLEA OF GUILTY
TEST BANK
MULTIPLE CHOICE
1. The principal weakness of the excessive caseload hypothesis, in plea bargaining, is what
assumption?
a.
a purely mechanical process
c.
a dynamic process
b.
a stagnant process
d.
a courtroom work group process
2. In this type of plea agreement the defendant pleads guilty to a charge in the indictment in
exchange for other charges in the indictment being dropped.
a.
charge bargain
c.
reduction bargain
b.
count bargain
d.
nolo contendere
3. A defendant is charged with aggravated assault. The prosecutor will accept a plea to
simple assault. This is an example of what kind of bargain?
a.
count
c.
reduction
b.
charge
d.
indictment
4. A count bargain means
a.
the defendant’s top charge was reduced to something less severe.
b.
the defendant agrees to plead guilty to fewer charges.
c.
the defendant agrees to plead guilty in exchange for a lesser sentence.
d.
the defendant gets one sentence for multiple charges, instead of consecutive
sentences.
5. All members of the courtroom work group have a common interest in
a.
collecting fees.
c.
appearing tough on crime.
b.
avoiding unnecessary trials.
d.
reducing jail overcrowding.
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6. Throughout a case, decisions on bail, indictment and screening are based on what
knowledge?
a.
most defendants are guilty
b.
most defendants end up pleading
c.
most defendants are innocent
d.
most defendants go to trial
7. To gain a potential advantage in plea bargaining, prosecutors sometimes
a.
deliberately overcharge.
c.
demand a preliminary hearing.
b.
waive grand jury review.
d.
refuse to take Alford pleas.
8. Most unexpected events at a trial work to the detriment of which member of the
courtroom work group?
a.
The defense attorney
b.
The prosecutor
c.
the judge
d.
none of these members of the courtroom work group
9. What is the primary benefit of a plea for a defendant?
a.
going home
c.
a guaranteed lighter sentence
b.
no jail time
d.
the possibility of a lenient sentence
10. What is one of the major factors influencing bargaining and discretion?
a.
lack of cooperation between members of the courtroom work group
b.
the presumption of factual guilt
c.
difficulties with defendants
d.
the presumption of innocence
11. Which of the following is a key consideration for prosecutors when deciding whether to
offer a defendant a plea deal?
263
a.
a defendant’s willingness to avoid incarceration
b.
a victim’s desire to have the case go to trial
c.
the strength of the case
d.
a defendant’s willingness to testify in another case
12. What plea has the same consequences in criminal court as a guilty plea?
a.
de jure
c.
non compos mentos
b.
de facto
d.
nolo contendere
13. A defendant who pleads guilty is generally required to read and sign what form?
a.
A Boykin form
c.
A Reeves form
b.
A Crockett form
d.
A Santobello form
14. An Alford plea is one in which the
a.
defendant pleads on the nose.
b.
defendant pleads guilty but maintains innocence.
c.
prosecutor makes no sentence recommendation.
d.
defendant denies that there has been a plea bargain.
15. In Santobello v. N.Y., the U.S. Supreme Court ruled that what amendment’s right to
effective assistance of counsel applies during plea bargaining?
a.
the Eighth Amendment.
b.
the Fifth Amendment.
c.
the Fourteenth Amendment.
d.
the Sixth Amendment.
16. A defendant’s guilty plea must be
a.
intelligent and voluntary.
c.
inculpatory and cognitive.
b.
exculpatory and sensate.
d.
volitional and exculpatory.
17. The main difference between a guilty plea and a no contest (nolo contendere) plea is that
the latter
a.
cannot be used in a civil proceeding against the defendant.
b.
results only in a conditional conviction.
c.
cannot be entered in felony cases.
d.
cannot be entered by defendants charged with violent offenses.
18. With a “plea on the nose”, a defendant
a.
pleads guilty to the original charge.
b.
pleads guilty only to the top charge.
c.
avoids later prosecution for possibly related offenses.
d.
accepts the maximum sentence.
19. If the defendant wants to enter an Alford plea, the judge
a.
cannot lawfully accept it.
b.
may accept the plea only if the defense attorney agrees.
c.
may accept it only if there is a substantial evidence of guilt or a strong factual basis
for the plea.
d.
may accept it only if the defendant is not able to understand the meaning of factual
guilt.
20. When agreeing in open court to a plea deal, a defendant agrees to waive the right to
remain silent, the right to confront witnesses and what other right?
a.
the right to a lawyer for an appeal
b.
the right to confront witnesses
c.
the right against excessive punishment.
d.
the right to an interest in liberty.
21. The case of Boykin v. Alabama requires a judge to determine what?
a.
whether the plea is knowing and voluntary
b.
whether the defendant is guilty
c.
what the sentence should be
d.
the statutory maximum for the crime before accepting a plea
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22. In what case did the Court hold that defendants’ could withdraw a guilty plea if the
prosecutor did not keep the promise made in the agreement?
a.
Santobello v. New York
c.
Bordenkircher v. Hayes
b.
Alford v. North Carolina
d.
Boykin v. Alabama
23. In what hearing, does the defendant, in open court, admit to the conduct central to the
criminality of crimes charged?
a.
allocution
c.
disposition
b.
Boykin
d.
sentencing
24. What do adherents of the crime control model oppose plea bargaining?
a.
they believe prosecutors are lazy
b.
they believe judges are lazy
c.
they believe defendants get off too lightly
d.
they believe defendants are forced to give up constitutional rights.
25. Plea bargaining is arguably contrary to the concept of a(n)
a.
presumption of guilt.
c.
adversary system of justice
b.
defendant’s free will.
d.
impartial judge.
26. Defendants and their lawyers may opt for a trial if they think the case factually presents a
reasonable doubt or
a.
if the prison sentence will be high.
b.
if the defendant is guilty.
c.
they are likely to be convicted.
d.
the judge in the case is known to be a soft touch.
27. How many different types of plea agreements are there?
a.
one
b.
four
c.
three
d.
two
266
28. Crime control advocates, crime victims, and conservatives criticize plea bargaining
because they fear that
a.
courts will become overloaded with cases.
b.
the sentences will be too lenient.
c.
defense attorneys will not aggressively protect their clients.
d.
defense attorneys will collect excessive fees for doing little work.
29. Discretion in the criminal justice system has been compared to what kind of process?
a.
evolutionary process
b.
constitutional process
c.
debilitating process
d.
hydraulic process
30. In which of the following cases did the U.S. Supreme Court establish that the right to
effective assistance of counsel extends to plea bargaining?
a.
Iowa v. Tovar
b.
United States v. Ruiz
c.
Alabama v. Smith
d.
Missouri v. Frye
31. Which of the following is true of “straight up” pleas?
a.
they occur frequently
b.
they never occur
c.
there is no such thing
d.
they occur rarely
32. In what case did the Court hold that a plea of guilty was more than an admission of guilt
and also involved the waiver of important constitutional rights?
a.
Boykin v. Alabama.
b.
Santobello v. New York.
c.
Lafler v. Cooper.
d.
Missouri v. Frye.
267
33. Why do prosecutors engage in plea bargaining?
a.
to move cases.
b.
to gain leniency for the defendants.
c.
to gain convictions.
d.
None of these answers is correct.
34. Why do defense attorneys engage in plea bargaining?
a.
to move cases.
b.
to gain leniency for the defendants.
c.
to gain convictions.
d.
None of these answers is correct.
35. Why do judges engage in plea bargaining?
a.
to move cases.
b.
to gain leniency for the defendants.
c.
to gain convictions.
d.
None of these answers is correct.
36. Considerable evidence shows that plea bargaining became a common practice in state
courts sometime after
a.
the Civil War
c.
World War I
b.
World War II
d.
the Korean War
37. What is the most common explanation for plea bargaining?
a.
too many cases.
c.
lack of evidence.
b.
poor police practices.
d.
difficult defense attorneys.
CRITICAL THINKING SCENARIOS
268
CASE 12.1
Some people within the court system are concerned that plea bargaining reduces the courthouse
to a place where guilt or innocence is negotiated like prices in a flea market. Primarily, though,
opposition to plea bargaining reflects different ideological preferences. What is particularly
interesting is that civil libertarians as well as spokespersons for law and order see plea bargaining
as a danger, but often for different reasons.
38. Which of the following is not one of the reasons supporters of the values of the due
process model are concerned about plea bargaining?
a.
that plea bargaining undercuts the protections afforded individuals.
b.
that plea bargaining may lead to the conviction of innocent defendants.
c.
that plea bargaining produces few tangible benefits for defendants.
d.
that plea bargaining degrades the human spirit.
39. What do due process adherents advocate regarding plea bargaining?
a.
abolishing bargaining and increasing the number of trials.
b.
abolishing bargaining.
c.
increasing the number of trials.
d.
none of these answers is correct.
40. Advocates of abolishing plea bargaining ignore what reality of criminal courts?
a.
in most cases, the participants do not substantially disagree over the facts.
b.
in most cases, the defendants do not want a trial.
c.
in most cases, the prosecutors are difficult to work with.
d.
in most cases, the judges are difficult to work with.
CASE 12.2
Guilty pleas are the bread and butter of the American criminal courts. Between 85 and 95 percent
of all state and federal felony convictions are obtained by a defendant entering a negotiated plea
of guilt (Covey 2008; Hashimoto 2008). Plea bargaining can best be defined as the process
through which a defendant pleads guilty to a criminal charge with the expectation of receiving
some consideration from the state.
269
41. What are the three most common types of plea bargains?
a.
charge bargaining, count bargaining, and sentence bargaining.
b.
charge bargaining, limit bargaining, and sentence bargaining
c.
limit bargaining, count bargaining, and sentence bargaining
d.
charge bargaining, count bargaining, and limit bargaining
42. When the prosecutor allows the defendant to plead guilty to a less serious charge than the
one originally filed this is called
a.
charge bargaining.
b.
count bargaining.
c.
sentence bargaining
d.
limit bargaining.
43. When the prosecutor allows the defendant to plead guilty to one charge and dismisses the
rest this is called
a.
charge bargaining.
b.
count bargaining.
c.
sentence bargaining
d.
limit bargaining.
CASE 12.3
Brown was indicted on two felony charges. He agrees to plead to a lesser included offense and
the prosecutor agrees to make no recommendation regarding the sentence. Months pass before
sentencing. Before sentencing, a new prosecutor and judge take over the case. The prosecutor
recommends the maximum one-year sentence and the judge imposed the sentence.
44. Based on previous cases, what would the most likely result be if Brown appeals his case?
a.
the sentence will be upheld
b.
the verdict will be overturned
c.
the sentence would be vacated and the case would be remanded
d.
the appeals court would overturn the verdict
45. What case addresses the problem that Brown faces?
a.
Santobello v. New York
b.
Lafler v. Cooper
c.
Boykin v. Alabama
d.
Alabama v. Smith
TRUE/FALSE
1. Plea bargaining did not become well established in the U.S. until the 1960s.
2. The overwhelming majority of all state and federal felony convictions are obtained as a
result of a defendant entering a negotiated plea of guilt.
3. Researchers consistently find that jurisdictions with larger caseloads have higher rates of
plea bargaining than jurisdictions with smaller caseloads.
4. The prosecutor proceeds from a position of strength in plea bargaining.
5. In the courtroom work group, the judge generally knows less about the case than the
attorneys.
6. Three major factors influence bargaining and discretion.
7. There is no research supporting the existence of a jury trial penalty.
8. In Boykin, the Court held that a plea of guilty was more than an admission of guilt and
also involved the waiver of important constitutional rights.
9. Defendants will opt for a trial if a prison sentence may be high.
10. Judges engage in plea bargaining to move cases.
11. Murder, rape, and robbery defendants are less likely to plead guilty than those charged
with less serious offenses.
12. Bargaining is possible because each of the legal actors in the courtroom work group
understands the realities of law in action.
13. A victim’s preference for a trial is among the most important factors that a prosecutor
considers when deciding whether to offer a defendant a plea bargain.
14. Even though a judge or jury is not likely to return a verdict of not guilty, the defendant
may still decide that the slim possibility of acquittal is worth the risk of the trial penalty.
15. Sentences for defendant’s who are found guilty after trial are generally less severe than
the expected sentence for the same offense after a guilty plea.
16. A guilty plea requires a defendant’s waiver of a number of important rights.
17. A nolo contendere plea has all the same criminal and civil consequences as a guilty plea.
18. Once entered, a guilty plea pursuant to a plea bargain can never be withdrawn.
19. Judges like Alford plea agreements because the defendant admits guilt on the record, in
open court, and bears responsibility for his or her wrongdoing.
20. Defense attorneys engage in plea bargaining to get leniency for their clients.
21. Most defendants plead guilty.
22. The 1973 National Advisory Council on Criminal Justice Standards and Goals
recommended the abolition of plea bargaining.
23. In a sentence bargain, the defendant pleads guilty in anticipation of reduced charges.
24. Supporters of the Crime Control Model worry that plea bargaining results in excessively
lenient sentences.
25. Supporters of the Due Process Model worry that plea bargaining may undercut
protections afforded individuals in our adversary system.
COMPLETION
1. _____ can best be defined as the process through which a defendant pleads guilty to a
criminal charge with the expectation of receiving some benefit from the state.
2. In _____ bargaining the prosecutor allows the defendant to plead guilty to a less serious
charge than the one originally filed.
3. In _____ bargaining, in return for the defendant’s plea of guilt to one or more charges,
the prosecutor dismisses the remaining charges.
4. A common form of a plea agreement is called _____ bargaining. A plea of guilty is
entered in exchange for leniency in sentencing.
5. Trials are a _____ and time-consuming means of establishing guilt.
6. The jury trial _____ is a theory that defendants who demand a jury trial will receive extra
punishment if convicted because they did not agree to enter a guilty plea.
7. To a prosecutor, a plea bargain represents the certainty of _____ without the risks of trial.
8. A defendant must _____ waive his or her constitutional rights before a plea of guilty is
accepted.
9. Defendants and their lawyers will opt for a _____ if they think the prison sentence will be
high.
10. A plea of _____ is the criminal equivalent of a guilty plea.
11. Many courts require defendants to read and sign a _____ form before pleading guilty.
12. Pursuant to Boykin v. Alabama, when a defendant enters a guilty plea, it must be
intelligent and _____.
275
13. An Alford plea technically does not require _____.
14. In _____ v. N.Y., the U.S. Supreme Court ruled that prosecutors must keep their side of
the plea bargain.
15. A guilty plea involves _____ of many constitutional rights.
16. The right to effective assistance of counsel extends to _____.
17. In a(n) _____ hearing, the defendant, in open court, must admit to the conduct central to
the criminality of crimes charged.
18. _____ model adherents criticize plea bargaining because it negates the fundamental
protection of the adversary system.
19. _____ model advocates worry that plea bargaining results in excessively lenient
sentences.
276
20. According to the hydraulic process model of the criminal justice system, efforts to control
discretion at one stage typically result in its _____ to another part of the system.
ESSAY
1. Explain the difference between a count bargain, a charge bargain, and a sentence bargain.
Which do you think best benefits a defendant? Why?
2. Discuss the varying explanations for plea bargaining and explain which theory you
believe provides the best explanation.
ANS:
277
3. Discuss how the courtroom work group approaches trials and pleas. Explain this in the
context of a defendant who insists on going to trial and a defense lawyer who knows that
there is a strong possibility of conviction.
4. What is a “Boykin” form and what does it ask defendants?
ANS:
278
5. What is an Alford plea? Explain what it is, whether or not it is constitutional, and why
this type of plea has its critics.
6. Explain why few cases go to trial but most defendants plead guilty.
ANS:
279
7. Both crime control and due process advocates oppose plea bargaining but for different
reasons. What are the differing reason for each groups’ opposition?
8. Explain the reasons that some defendants plead guilty.
ANS:
