By Dylan R. McDonough
In 2021, over 98% of criminal cases at the federal level terminated in guilty pleas, many of which were the result of plea agreements between the prosecution and the defense. The numbers were similar at the state level. Despite this prevalence of plea agreements, many U.S. jurisdictions limit the role that judges may play in providing oversight in the plea negotiation process. At the federal level—and in at least 14 states—judicial participation in the plea-bargaining process is entirely prohibited. In those jurisdictions, judges have one tool for oversight: judicial discretion to reject plea agreements. On the rare occasions in which judges use this tool, the reasons for rejecting plea agreements vary widely. Some cite issues with sentencing leniency, others point to the need for the participation of the public or alleged victims in the legal process, and still others raise concerns around legislative intent, police officers’ views, or appellate waivers. However, the exact contours of that discretion remain ill-defined. The reasons for rejection given by different judges sometimes conflict, and the rarity of memorialized rejections means little caselaw has developed on the subject. This, in turn, has created a lack of predictability for parties in the plea-bargaining process.
This Note reviews case law at the federal and state levels to determine what limits appellate courts have placed on that discretion and what factors trial courts have considered relevant to its exercise. It then argues for a unifying two-step framework for judicial rejection of plea agreements. First, trial courts would adopt a rebuttable presumption in favor of rejecting such agreements. Second, the trial court would determine whether the parties have rebutted that presumption, considering prosecutorial prerogatives, the defendant’s autonomy and rights, the public interest in participating in the criminal legal system, and the views of any alleged victims. By working within this framework, trial courts could enhance the consistency and predictability of judicial rejections of plea agreements for all stakeholders in the criminal legal system.