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An Empirical Study of Publicly Appointed and Privately Retained Defense Lawyers in Plea Bargaining: The Chinese Experience

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Abstract

A trial waiver system was implemented and tested in 18 large cities of China during 2016–2018. The present study compares publicly appointed and privately retained defense lawyers in plea-bargaining in the tested system. The comparison is to assess the degree of their participation in all the plea-bargaining phases and the case outcomes. Data collected from a sample of defense lawyers from one of the large cities was used to conduct the assessment. The data indicate that publicly appointed lawyers had a significantly lower degree of participation in all the plea-bargaining phases than privately retained lawyers did. No significant difference has been found for the case outcomes between publicly appointed and privately retained defense lawyers. The implications of these findings are discussed.

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Notes

  1. Alkon, C. (2016). Plea bargain negotiations: Defining competence beyond Lafler and Frye. Am. Crim. L. Rev., 53, 377. Hessick III, F. A., & Saujani, R. M. (2001). Plea bargaining and convicting the innocent: The role of the prosecutor, the defense counsel, and the judge. BYU J. PUB. L., 16, 189.

  2. We adopted the term “trial waiver system” from Fair Trials. Because of the diversity of plea-bargaining practices in different jurisdictions of the world, the international legal organization Fair Trials used a more global term “trial waivers” to designate the practices. The organization defined trial waivers as “a process not prohibited by law under which criminal defendants agree to accept guilt and/or cooperate with the investigative authority in exchange for some benefit from the state, most commonly in the forms of reduced charges and/or lower sentences” (p. 2). The organization also defines the mechanisms that permit the practice of “trial waivers” as “trial waiver systems” (p. 2). The common feature of these systems is “the agreement by the defendant to waive full trial rights in exchange for a concession by the state” (p. 2). Fair Trials. (2017). The Disappearing Trial – Towards a Rights-Based Approach to Trial Waiver Systems. https://www.fairtrials.org/sites/default/files/publication_pdf/Report-The-Disappearing-Trial.pdf. Also see Zhang and Hu (2021) for a detailed review.

  3. Wu, Y. (2020). Is a plea really a bargain? An empirical study of six cities in China. Asian Journal of Criminology 15(3), 237–58.

  4. Jiang, J. (2016). Criminal Reconciliation in Contemporary China: An Empirical and Analytical Enquiry. Edward Elgar Publishing. Lu, H., & Miethe, T. D. (2003). Confessions and criminal case disposition in China. Law & Society Review, 37(3), 549-78. Trevaskes, S. (2010). The shifting sands of punishment in China in the era of “Harmonious Society”. Law & Policy, 32(3), 332–61.

  5. Chinese Criminal Procedure Law (2018). Retrieved in November 2022. https://baike.baidu.com/item/%E4%B8%AD%E5%8D%8E%E4%BA%BA%E6%B0%91%E5%85%B1%E5%92%8C%E5%9B%BD%E5%88%91%E4%BA%8B%E8%AF%89%E8%AE%BC%E6%B3%95/3245?fr=ge_ala.

  6. Feeney, F. & Jackson, P. D. (1991). Public defenders, appointed counsel, retained counsel: Does the type of criminal defense counsel matter. Rutgers Law Journal, 22(2): 361–456.

  7. Hartley, R. D., Miller, H. V., & Spohn, C. (2010). Do you get what you pay for? Type of counsel and its effect on criminal court outcomes. Journal of Criminal Justice, 38(5), 1063–70.

  8. Harlow, C. W. (2001). Defense counsel in criminal cases. US Department of Justice, Office of Justice Programs, Bureau of Justice Statistics.

  9. Joy, P. A., & McMunigal, K. C. (2012). Does the lawyer make a different-public defender v. appointed counsel. Crim. Just., 27, 46.

  10. Hoffman, M. B., Rubin, P.H., & Shepherd, J.D. (2005). An empirical study of public defender effectiveness: Self-selection by the “Marginally indigent.” Ohio State Journal of Criminal Law, 3, 223–55.

  11. Beck, J. C. & Shumsky, R. (1997). A comparison of retained and appointed counsel in cases of capital murder. Law and Human Behavior, 21(5), 525–38.

  12. Williams, M. R. (2013). The effectiveness of public defenders in four Florida counties. Journal of Criminal Justice, 41(4), 205–12.

  13. Peng, T. (2015). I’m a public defender. It’s impossible for me to do a good job representing my clients. The Washington Post.

  14. Weitzer, R. (1996). Racial discrimination in the criminal justice system: Findings and problems in the literature. Journal of Criminal Justice, 24(4), 309–22.

  15. Supra note 6; supra note 7; Uphoff, R. J. (1992). The criminal defense lawyer: Zealous advocate, double agent, or beleaguered dealer? Criminal Law Bulletin, 28(5), 419–56.

  16. Cheng, Yan (2017). The value and perfection of duty lawyer system. Law Magazine 4: 116–24.

  17. Wang, Yinglong (2018). Legal aid the Chinese model. China Criminal Procedure Law Magazine 6: 116–33. Xiong, Qiuhong (2017). Effective legal defense through the trial centered perspective. Current Law Studies 6: 14–24.

  18. Hu, Ming (2020). Criminal defense full coverage and duty lawyer system’s status and improvement. Rule of Law Studies 3: 60–70.

  19. Supra note 2.

  20. McCabe, Edward J. (1989). “Structural elements of contemporary criminal justice in the People’s Republic of China” Pp. 115–29 in Social Control in the People’s Republic of China, edited by Ronald Troyer, John Clark and Dean Rojek. NY: Praeger, p. 121.

  21. Legal Aid Duty Lawyer Operation Manual, (2020). Articles 3, 4, 5 and 17. Retrieved in November 2022. https://www.spp.gov.cn/zdgz/202009/t20200907_479116.shtml.

  22. Supra note 1.

  23. The data are available upon request.

  24. http://eng.hangzhou.gov.cn/art/2021/5/31/art_1229498044_58875508.html.

  25. No incentives were provided for both of prosecutors and defense lawyers for their participations in the surveys.

References

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  • Beck, J. C., & Shumsky, R. (1997). A comparison of retained and appointed counsel in cases of capital murder. Law and Human Behavior, 21(5), 525-38.

    Article  Google Scholar 

  • Cheng, Yan. (2017). The value and perfection of duty lawyer system. Law Magazine 4: 116-24.

    Google Scholar 

  • Chinese Criminal Procedure Law (2018). Retrieved in November 2022. https://baike.baidu.com/item/%E4%B8%AD%E5%8D%8E%E4%BA%BA%E6%B0%91%E5%85%B1%E5%92%8C%E5%9B%BD%E5%88%91%E4%BA%8B%E8%AF%89%E8%AE%BC%E6%B3%95/3245?fr=ge_ala.

  • Fair Trials. (2017). The Disappearing Trial – Towards a Rights-Based Approach to Trial Waiver Systems. https://www.fairtrials.org/sites/default/files/publication_pdf/Report-The-Disappearing-Trial.pdf.

  • Feeney, F., Jackson, P. D. (1991). Public defenders, appointed counsel, retained counsel: Does the type of criminal defense counsel matter. Rutgers Law Journal, 22(2): 361-456.

    Google Scholar 

  • Harlow, C. W. (2001). Defense counsel in criminal cases. US Department of Justice, Office of Justice Programs, Bureau of Justice Statistics.

  • Hartley, R. D., Miller, H. V., & Spohn, C. (2010). Do you get what you pay for? Type of counsel and its effect on criminal court outcomes. Journal of Criminal Justice, 38(5), 1063-70.

    Article  Google Scholar 

  • Hessick III, F. A., & Saujani, R. M. (2001). Plea bargaining and convicting the innocent: The role of the prosecutor, the defense counsel, and the judge. BYU J. PUB. L., 16, 189.

    Google Scholar 

  • Hoffman, M. B., Rubin, P.H., & Shepherd, J.D. (2005). An empirical study of public defender effectiveness: Self-selection by the “marginally indigent.” Ohio State Journal of Criminal Law, 3, 223-55.

    Google Scholar 

  • Hu, Ming. (2020). Criminal defense full coverage and duty lawyer system’s status and improvement. Rule of Law Studies 3: 60-70.

    Google Scholar 

  • Jiang, J. (2016). Criminal Reconciliation in Contemporary China: An Empirical and Analytical Enquiry. Edward Elgar Publishing.

    Book  Google Scholar 

  • Joy, P. A., & McMunigal, K. C. (2012). Does the lawyer make a different-public defender v. appointed counsel. Crim. Just., 27, 46.

  • Legal Aid Duty Lawyer Operation Manual. (2020). Retrieved in November 2022. https://www.spp.gov.cn/zdgz/202009/t20200907_479116.shtml.

  • Lu, H., & Miethe, T. D. (2003). Confessions and criminal case disposition in China. Law & Society Review, 37(3), 549-78.

    Article  Google Scholar 

  • McCabe, Edward J. 1989. Structural elements of contemporary criminal justice in the People’s Republic of China. Pp. 115-129 in Social Control in the People’s Republic of China, edited by Ronald Troyer, John Clark and Dean Rojek. NY: Praeger.

  • Peng, T. (2015). I’m a public defender. It’s impossible for me to do a good job representing my clients. The Washington Post.

  • Trevaskes, S. (2010). The shifting sands of punishment in China in the era of “Harmonious Society”. Law & Policy, 32(3), 332-61.

    Article  Google Scholar 

  • Uphoff, R. J. (1992). The criminal defense lawyer: Zealous advocate, double agent, or beleaguered dealer? Criminal Law Bulletin, 28(5), 419-56.

    Google Scholar 

  • Wang, Yinglong. (2018). Legal Aid the Chinese Model. China Criminal Procedure Law Magazine 6: 116-33.

    Google Scholar 

  • Weitzer, R. (1996). Racial discrimination in the criminal justice system: Findings and problems in the literature. Journal of Criminal Justice, 24(4), 309-22.

    Article  Google Scholar 

  • Williams, M. R. (2013). The effectiveness of public defenders in four Florida counties. Journal of Criminal Justice, 41(4), 205-12.

    Article  Google Scholar 

  • Wu, Y. (2020). Is a plea really a bargain? An empirical study of six cities in China. Asian Journal of Criminology 15(3), 237-58.

    Article  Google Scholar 

  • Xiong, Qiuhong. (2017). Effective legal defense through the trial centered perspective. Current Law Studies 6: 14-24.

    Google Scholar 

  • Zhang, L., & Hu, M. (2021). Prosecutors’ and defense lawyers’ views on the challenges to a new trial waiver System in China. Asian Journal of Criminology 17, 175-191.

    Article  Google Scholar 

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Funding

There is no funding for the study.

Author information

Authors and Affiliations

  1. Department of Sociology and Criminal Justice, Saint Francis University, Loretto, PA, 15940, USA

    Lening Zhang

  2. Department of Criminal Justice, University of Nevada, Las Vegas, USA

    Hong Lu

  3. Law School, Zhejiang University, Hangzhou, China

    Ming Hu

Authors
  1. Lening Zhang
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  2. Hong Lu
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  3. Ming Hu
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Corresponding author

Correspondence to Lening Zhang.

Ethics declarations

Ethical Approval

The study received ethical approval from the Law School Office of Zhejiang University.

Conflict of interest

There is no conflict of interest for the study.

Informed Consent

Respondents received informed consent for their participation in the surveys.

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Lening Zhang, Saint Francis University, Loretto, PA, USA; Hong Lu, Department of Criminal Justice, University of Nevada, Las Vegas, Las Vegas, USA; Ming Hu, Law School, Zhejiang University, Hangzhou, China. E-mail: lzhang@francis.edu.

Appendix 1: Types of Criminal Cases

Appendix 1: Types of Criminal Cases

  1. 1.

    Traffic accident offense (交通肇事罪)

  2. 2.

    Dangerous driving offense (危险驾驶罪)

  3. 3.

    Assault (故意伤害罪)

  4. 4.

    Wrongful detention (非法拘禁罪)

  5. 5.

    Theft (盗窃罪)

  6. 6.

    Fraud (诈骗罪)

  7. 7.

    Robbery (抢夺罪)

  8. 8.

    Occupational embezzlement (职务侵占罪)

  9. 9.

    Extortion (敲诈勒索罪)

  10. 10.

    Obstruction of official duties (妨害公务罪)

  11. 11.

    Gang fight (聚众斗殴罪)

  12. 12.

    Picking quarrels and provoking trouble (寻衅滋事罪)

  13. 13.

    Covering up and concealing the proceeds of crime (掩饰, 隐瞒犯罪所得, 犯罪所得收益罪)

  14. 14.

    Smuggling, selling, transporting, and manufacturing drugs (走私, 贩卖, 运输, 制造毒品罪)

  15. 15.

    Corruption and bribery (贪污受贿罪)

  16. 16.

    Others (其它案件)

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Zhang, L., Lu, H. & Hu, M. An Empirical Study of Publicly Appointed and Privately Retained Defense Lawyers in Plea Bargaining: The Chinese Experience. Crim Law Forum (2024). https://doi.org/10.1007/s10609-024-09482-2

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