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Santobello v. New York

Citations: 30 L. Ed. 2d 427; 92 S. Ct. 495; 404 U.S. 257; 1971 U.S. LEXIS 1Docket: 70-98

Court: Supreme Court of the United States; December 20, 1971; Federal Supreme Court; Federal Appellate Court

Narrative Opinion Summary

In this judicial review led by Chief Justice Burger, the court addressed the ramifications of the State's failure to honor a prosecutorial commitment during a plea bargain. The petitioner, initially indicted for gambling-related felonies, entered a plea agreement to plead guilty to a lesser charge, predicated on the prosecutor's promise to abstain from a sentence recommendation. However, the sentencing judge, unaware of this commitment, imposed the maximum sentence based on the petitioner’s criminal record and alleged organized crime connections. This decision was contested, highlighting prosecutorial oversight. Despite the judge's claim that the recommendation had no bearing on the sentence, the breach's significance prompted a remand for state court examination, ensuring justice and adherence to plea agreements. Potential outcomes include specific performance of the agreement, resentencing by a different judge, or allowing the petitioner to withdraw the guilty plea. This case underscores the critical nature of prosecutorial commitments in plea negotiations, aligning with Federal Rule of Criminal Procedure 11, which mandates that guilty pleas be informed and voluntary. The judgment was vacated, and the case was remanded for reconsideration by the state courts.

Legal Issues Addressed

Enforcement of Plea Agreements

Application: The court considers whether the state court should enforce specific performance of the plea agreement or allow the withdrawal of the guilty plea due to the breach.

Reasoning: The state court is tasked with determining whether specific performance of the agreement should be enforced, potentially involving resentencing by a different judge, or whether the petitioner should be allowed to withdraw his guilty plea.

Federal Rule of Criminal Procedure 11

Application: The rule mandates that courts ensure guilty pleas are voluntary and informed, impacting the judicial handling of the plea agreement breach in this case.

Reasoning: Federal Rule of Criminal Procedure 11 outlines the protocols for accepting guilty pleas, including the necessity for the court to ensure that the plea is made voluntarily and with full understanding.

Impact of Prosecutorial Breach on Sentencing

Application: The inadvertent breach by the prosecution was significant, leading to the case's remand for further examination to ensure justice and adherence to plea agreements.

Reasoning: The inadvertent nature of the breach does not diminish its consequences. Although the sentencing judge claimed that the prosecutor's recommendation did not influence his decision, the case is remanded to state courts for further examination to uphold the interests of justice and the prosecution's obligations related to plea negotiations.

Judicial Discretion in Sentencing

Application: Despite the prosecutor's breach, the sentencing judge relied on the pre-sentence report and the petitioner's criminal history to impose the sentence.

Reasoning: The sentencing judge emphasized the importance of the pre-sentence report and the petitioner’s criminal record, disregarding the prosecutor's earlier promise.

Prosecutorial Commitment in Plea Bargains

Application: The case examines the consequences of a prosecutor's failure to uphold a commitment not to recommend a sentence, which was a condition of the plea agreement.

Reasoning: The petitioner later negotiated to plead guilty to a lesser offense, with the prosecutor agreeing to make no sentence recommendation.