This section contains the nature of the case and procedural background.

Hayes (D) was indicted on a charge of uttering a forged instrument in the amount of $88.30, an offense then punishable by a term of 2 to 10 years in prison. D met with P to discuss a possible plea agreement. P offered to recommend a sentence of five years in prison if D would plead guilty to the indictment. He also said that if D did not plead guilty and 'save the court the inconvenience and necessity of a trial,' he would return to the grand jury to seek an indictment under the Kentucky Habitual Criminal Act. This would subject D to a mandatory sentence of life imprisonment by reason of his two prior felony convictions. D chose not to plead guilty, and the prosecutor did obtain an indictment charging him under the Habitual Criminal Act. It is not disputed that the recidivist charge was fully justified by the evidence, that P was in possession of this evidence at the time of the original indictment, and that D's refusal to plead guilty to the original charge was what led to his indictment under the habitual criminal statute. D was found guilty on the principal charge and also found that he had twice before been convicted of felonies. D was sentenced to a life term in the penitentiary. D petitioned for a federal writ of habeas corpus, the United States District Court and the writ was denied. The Court of Appeals for the Sixth Circuit reversed. Ps conduct during the bargaining negotiations had violated the principles of Blackledge v. Perry, which 'protect[ed] defendants from the vindictive exercise of a prosecutor's discretion.' D was ordered to serve only a lawful sentence imposed for the crime of forgery. The State appealed. The Supreme Court granted certiorari.

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