How Federal Plea Agreements Work

What a plea agreement is

A plea agreement is a negotiated resolution in which a defendant agrees to plead guilty, often in exchange for the government's agreement about the charges or about what it will recommend at sentencing. It is a contract of a particular kind - one the court must review before it takes effect.

The categories under Rule 11

Rule 11 recognizes different types of plea agreements, and the differences matter because they affect how much control the court retains over the sentence:

• Charge agreements - the government agrees to bring, or move to dismiss, particular charges.
• Recommendation agreements - the government recommends a sentence or range, but the recommendation does not bind the court.
• Specific-sentence agreements - the parties agree on a particular sentence or range that binds the court only if it accepts the agreement.

Rights given up by a guilty plea

A guilty plea waives significant constitutional rights, which is why the law requires that it be knowing and voluntary:

• The right to a trial by jury.
• The right to confront and cross-examine witnesses.
• The privilege against self-incrimination.
• The requirement that guilt be proven beyond a reasonable doubt.

The court's role

Before accepting a plea, the judge conducts a plea colloquy - a series of questions to confirm the plea is voluntary, that the defendant understands the consequences, and that there is a factual basis for it. The court decides whether to accept the agreement.

Even with an agreement, sentencing still involves the advisory U.S. Sentencing Guidelines and the factors in 18 U.S.C. § 3553(a), so the calculation and presentation of those issues remain important.

Why advice matters

The consequences of a guilty plea are significant and often final. Because the type of agreement, its terms, and its sentencing implications interact in technical ways, these decisions are ordinarily weighed carefully with counsel.