## Facts

- Rudolph Santobello was indicted in New York on two felony counts related to gambling offenses.
- He initially pleaded not guilty.
- In plea negotiations, the prosecutor agreed to allow a guilty plea to a lesser-included offense and promised to make no sentencing recommendation.
- Santobello pleaded guilty to the lesser offense, representing that the plea was voluntary and that the prosecution’s factual account was true.
- Sentencing was delayed; by sentencing, both Santobello’s counsel and the original prosecutor had been replaced.
- The new prosecutor, unaware of the agreement, recommended the maximum one-year sentence.
- The sentencing judge stated the recommendation did not influence the court and imposed the maximum sentence.
- The trial court denied Santobello’s motion to withdraw the plea, and the state appellate court affirmed.

## Issues

1. Whether a guilty plea induced by a prosecutorial promise is invalid when the State fails to honor the promise at sentencing.
2. Whether the breach requires vacatur and, if so, what remedy is required: specific performance of the agreement or withdrawal of the plea.

## Decision

- The Supreme Court vacated the judgment and remanded.
- The Court held that the State’s failure to keep the promise to make no sentencing recommendation required relief, regardless of the sentencing judge’s stated lack of influence.
- The Court directed the state court to determine the appropriate remedy: (a) specific performance of the plea agreement with resentencing before a different judge, or (b) permitting Santobello to withdraw the guilty plea.
- Justice Douglas concurred, agreeing that vacatur was required and the state court could choose between specific performance and plea withdrawal.
- Justice Marshall, joined by Justices Brennan and Stewart, would have required automatic permission to withdraw the plea.

## Legal Principles

- When a guilty plea rests in significant part on a prosecutor’s promise, due process requires fulfillment of that promise.
- A prosecutorial breach of an explicit plea commitment is not cured by a judge’s assertion that the breach did not affect sentencing; the violation is the State’s failure to perform the agreement.
- Remedies for a breached plea agreement include (1) specific performance, typically resentencing before a different judge without the forbidden recommendation, or (2) allowing withdrawal of the plea; the choice may depend on case circumstances.

## Conclusion

The Court held that prosecutorial promises made to induce a guilty plea must be honored, and a breach requires vacatur and remand for the state court to choose between specific performance with resentencing before a different judge or allowing the defendant to withdraw the plea.


Santobello v. New York, 404 U.S. 257 (1971)