Federal Plea Deal How Does It Work

Federal Plea Deal How Does It Work

Federal plea agreements are written contracts between you and United States government where you agree to plead guilty in exchange for specific concessions from prosecutors. Over 90% of federal criminal cases resolve through plea agreements rather than trial – understanding how federal plea deals work is essential when facing charges. You’re looking at federal indictment and prosecutors offered plea agreement: how do these work, what types exist, what should you negotiate for? Federal plea agreements include: charges you’ll plead guilty to (often reduced from original indictment), charges government will dismiss, sentencing recommendations or agreements, cooperation requirements if applicable, waivers of certain rights including appeal rights. Three main types of federal plea agreements exist under Federal Rule of Criminal Procedure 11(c): Type C agreements where judge must impose specific agreed sentence or you can withdraw plea, Type B agreements with sentencing recommendations judge can accept or reject, Type A agreements involving charge dismissals and stipulations without sentencing recommendations. Understanding plea agreement mechanics, negotiation leverage points, and what you’re giving up helps you make informed decision about whether to accept plea or proceed to trial.

Thanks for visiting Spodek Law Group – a second-generation law firm managed by Todd Spodek, who has defended federal criminal cases for many, many years. We negotiate federal plea agreements for clients, evaluating whether offered terms are favorable compared to trial risks, negotiating better concessions from government, and advising whether to accept plea or fight charges at trial. Federal plea decisions require careful analysis of evidence strength, likely trial outcomes, and offered benefits – having experienced counsel evaluate plea offers is critical.

Federal Plea Agreement Structure

Written contract: federal plea agreements must be in writing signed by you, your attorney, and prosecutors. Oral promises aren’t enforceable – everything must be documented in written agreement. Plea agreement components: Statement of charges you’ll plead guilty to (count numbers from indictment), maximum statutory penalties for those charges (imprisonment, fines, supervised release), charges government agrees to dismiss at sentencing, factual basis section describing what you did constituting the offense, guideline calculations and sentencing recommendations, cooperation requirements if agreement includes cooperation, waivers (appeal rights, collateral attack rights, trial rights), breach provisions describing what happens if you violate agreement terms.

Three Types of Federal Plea Agreements

Rule 11(c)(1)(A) agreements: involve dismissal of charges or agreement not to bring additional charges. No specific sentencing recommendation included. Example: defendant charged with 10 counts of wire fraud. Plea agreement: plead guilty to 1 count, government dismisses remaining 9 counts at sentencing. Court determines appropriate sentence for the 1 count without binding recommendation from government. These agreements focus on charge reductions rather than sentence agreements.

Rule 11(c)(1)(B) agreements: government makes specific sentencing recommendation to court. Recommendation isn’t binding on judge – court can impose different sentence. If court rejects recommendation and imposes harsher sentence, you cannot withdraw guilty plea. Example: plea agreement recommends 60-month sentence. Court can impose 60 months (accepting recommendation), 36 months (below recommendation), or 84 months (above recommendation). You’re bound by guilty plea regardless of what court imposes. Risk: you plead guilty but don’t know final sentence until sentencing hearing. Benefit: if you have strong mitigation or judge is favorable, might get better sentence than agreed recommendation.

Rule 11(c)(1)(C) agreements: government and defendant agree to specific sentence. Agreement is binding on court – judge must impose that exact sentence or allow you to withdraw guilty plea. Example: parties agree to 48-month sentence. At sentencing, judge has two options: impose 48 months as agreed, or reject agreement and allow you to withdraw guilty plea and proceed to trial. Judge cannot impose different sentence without letting you withdraw plea. Benefit: certainty about sentence before pleading guilty. You know exact sentence you’ll receive if court accepts agreement. Downside: no chance for better sentence than agreed amount. Most defendants prefer C agreements when possible because they provide certainty eliminating sentencing risk.

What Gets Negotiated in Plea Agreements

Charge reductions: reducing number of counts (from 10 counts to 2 counts), reducing charge severity (from conspiracy to simple possession, from fraud to false statements), stipulating to lower offense levels under sentencing guidelines, agreeing to drug quantities or loss amounts below what government could prove. These reductions lower guideline ranges and maximum penalties.

Sentencing recommendations: specific sentence government will recommend (in B or C agreements), agreement not to seek upward departures or enhancements, agreement to recommend concurrent rather than consecutive sentences for multiple counts, stipulations regarding guideline calculations (offense levels, criminal history, enhancements). Cooperation credit: agreement that government will file substantial assistance motion (5K1.1) if cooperation is substantial, specified percentage departure for cooperation, agreement about cooperation requirements and timelines.

Dismissed charges: which counts will be dismissed at sentencing, agreement not to bring additional charges government is investigating, agreement not to prosecute family members or associates. Fines and restitution: agreement regarding fine amounts or recommendation for no fine, agreement on restitution amounts owed to victims, payment schedules for financial penalties. These are major negotiation points because financial penalties can be substantial in fraud and economic crime cases.

What You Waive in Plea Agreements

Trial rights: by pleading guilty, you waive right to jury trial, right to confront witnesses against you, right to present defense witnesses, right against self-incrimination (you admit guilt). These constitutional rights are given up when you plead guilty. Appeal rights: most federal plea agreements include appeal waivers. You agree to waive right to appeal conviction and sentence except in limited circumstances: sentence exceeds statutory maximum, sentence results from upward departure, ineffective assistance of counsel claims, prosecutorial misconduct.

Appeal waivers are very broad – you typically cannot appeal even if you believe sentence is too harsh or judge miscalculated guidelines. Courts enforce these waivers strictly. Collateral attack rights: agreements often waive right to challenge conviction or sentence through 2255 motion except for ineffective assistance of counsel or other narrow grounds. This limits post-conviction relief options.

Plea Hearing Process

After signing plea agreement, court schedules plea hearing. At hearing, judge ensures plea is knowing and voluntary. Rule 11 colloquy: judge questions you under oath to ensure: you understand charges and maximum penalties, you understand terms of plea agreement, you’re pleading guilty voluntarily (not coerced), you’re satisfied with your attorney’s representation, you understand rights you’re waiving, you’re actually guilty of offense (factual basis). If you cannot answer these questions affirmatively, judge won’t accept guilty plea.

Factual basis: prosecutor presents facts showing you committed offense. You must allocute (admit to facts showing guilt). If you claim innocence or won’t admit guilt, judge cannot accept plea. For C agreements: judge may accept or reject entire agreement at plea hearing. If judge has concerns about agreed sentence being too lenient or harsh, judge can reject agreement allowing you to withdraw plea. For B agreements: judge accepts guilty plea but reserves decision on sentencing for sentencing hearing. Presentence investigation begins after plea accepted.

Between Plea and Sentencing

Presentence investigation: probation officer prepares presentence report (PSR) containing: your background and criminal history, offense conduct details, guideline calculations, recommendation for sentence. You and government can object to PSR if it contains errors. Cooperation: if plea agreement includes cooperation, you begin debriefings with government during presentence period. Substantial assistance determinations made before sentencing so government can file motion. Sentencing memoranda: both sides file sentencing memoranda arguing for specific sentences, presenting mitigation or aggravation, arguing guideline issues.

Sentencing Hearing

Court holds sentencing hearing typically 3-4 months after guilty plea. Judge considers PSR, sentencing memoranda, arguments from both sides, any victim statements, your allocution. For B agreements: judge can impose any sentence up to statutory maximum. Recommendation isn’t binding. For C agreements: judge imposes agreed sentence or rejects agreement (rare if judge expressed concerns at plea hearing). Court cannot impose different sentence without allowing withdrawal. After sentencing: if you cooperated, government may file Rule 35 motion later for additional reduction. Supervised release begins after prison term completed.

Breach of Plea Agreement

If you breach plea agreement terms, government can withdraw from agreement and you lose all benefits. Common breaches: providing false information during cooperation, refusing to testify as agreed, committing new crimes before sentencing, failing to appear for court proceedings. Consequences of breach: government withdraws cooperation motion, government can use statements you made against you, government recommends full guideline sentence without reduction, government can bring additional charges that were dismissed or agreed not to file. Breach voids entire agreement – you don’t get partial credit for partial cooperation.

Todd Spodek has defended federal criminal cases throughout his career, negotiating favorable plea agreements and advising clients on whether to accept plea offers or proceed to trial. Federal plea agreements require careful evaluation and strategic negotiation. When you’re facing federal charges and considering plea agreement, call 212-300-5196 for counsel who understands federal plea dynamics and fights for best possible outcome.