FEDERAL PLEA AGREEMENT TEMPLATE
(Clean Draft for Attorney Customization)
TABLE OF CONTENTS
I. Document Header
II. Definitions
III. Operative Provisions
IV. Representations & Warranties
V. Covenants & Restrictions
VI. Default & Remedies
VII. Risk Allocation
VIII. Dispute Resolution
IX. General Provisions
X. Execution Block
I. DOCUMENT HEADER
PLEA AGREEMENT
by and between
- The United States of America, acting through the United States Attorney’s Office for the [UNITED STATES DISTRICT COURT FOR THE ___ DISTRICT OF ______] (“Government”); and
- [DEFENDANT NAME], an individual, [DOB: ____], represented by undersigned counsel (“Defendant”).
Effective Date: [DATE]
Recitals
A. The Government has filed/anticipates filing an Information/Indictment charging Defendant with violation(s) of [SPECIFY STATUTE(S)] (the “Charges”).
B. The parties desire to resolve the Charges pursuant to Rule 11 of the Federal Rules of Criminal Procedure and 18 U.S.C. § 3553, thereby avoiding the uncertainties of trial.
C. In consideration of the mutual promises herein, the parties agree as follows.
II. DEFINITIONS
For purposes of this Agreement, the following terms have the meanings set forth below. Defined terms appear capitalized throughout and are intended to be applied consistently.
“Agreement” means this Plea Agreement, including any attachments and schedules.
“Applicable Sentencing Range” means the advisory Guideline range determined under the United States Sentencing Guidelines Manual (“U.S.S.G.”) as calculated in Section III.
“Cooperation Obligations” has the meaning set forth in Section III.D.
“Court” means the United States District Court for the [___] District of [STATE].
“Effective Date” has the meaning stated in the Document Header.
“Guidelines” or “U.S.S.G.” means the United States Sentencing Guidelines, 2023 Edition, and any amendments in effect on the date of sentencing, pursuant to U.S.S.G. § 1B1.11.
“Government” has the meaning set forth in the Document Header.
“Defendant” has the meaning set forth in the Document Header.
“Rule 11” means Rule 11 of the Federal Rules of Criminal Procedure.
[Add additional defined terms as needed.]
III. OPERATIVE PROVISIONS
A. Plea
1. Defendant agrees to plead GUILTY to Count [__] of the [Information/Indictment] charging a violation of [18 U.S.C. § _ / 21 U.S.C. § _], as set forth in Exhibit A.
2. The Government agrees to dismiss at sentencing all remaining counts, if any, conditioned on Defendant’s full performance.
B. Elements & Factual Basis
1. Defendant admits the elements of the offense, specifically:
a. [ELEMENT 1]
b. [ELEMENT 2]
c. [ELEMENT 3]
2. A detailed factual basis is attached as Exhibit B and incorporated herein.
C. Maximum Penalties & Special Assessments
1. Statutory maximum term of imprisonment: [ __ ] years.
2. Statutory minimum term (if any): [ __ ] years.
3. Supervised release: up to [ __ ] years.
4. Fine: up to $[AMOUNT] or twice the gross gain/loss, pursuant to 18 U.S.C. § 3571.
5. Mandatory special assessment: $100 per felony count, 18 U.S.C. § 3013.
D. Sentencing Guidelines & Stipulations
1. The parties stipulate to the following Guideline calculations:
a. Base Offense Level: [ __ ] under U.S.S.G. § [].
b. [Specific offense characteristics] § []: +[ __ ].
c. Acceptance of Responsibility, § 3E1.1: –[ __ ].
2. Criminal History Category to be determined by the Court.
3. The resulting Applicable Sentencing Range is [ __ ] to [ __ ] months’ imprisonment.
4. Neither party will seek a departure/variance outside the stipulated range except as provided in Section III.D.5.
5. Downward Departure for Substantial Assistance: Upon substantial assistance, the Government may, in its sole discretion, move under U.S.S.G. § 5K1.1 and/or 18 U.S.C. § 3553(e).
E. Cooperation Obligations
[// GUIDANCE: Delete if no cooperation is contemplated.]
1. Defendant shall:
a. Provide truthful, complete, and timely information.
b. Testify at trials or proceedings as requested.
c. Produce documents and evidence in Defendant’s possession.
2. Self-Incrimination Protections: Statements made pursuant to this Section are governed by U.S.S.G. § 1B1.8.
F. Waiver of Rights
1. Trial Rights: By pleading guilty, Defendant knowingly waives the right to trial by jury, confrontation, cross-examination, and compulsory process.
2. Appeal Waiver: Except for claims of ineffective assistance of counsel or prosecutorial misconduct, Defendant waives the right to appeal the conviction and any sentence within or below the Applicable Sentencing Range (or any variance agreed to by the parties).
3. Collateral Attack Waiver: Defendant waives the right to collaterally attack the conviction and sentence under 28 U.S.C. § 2255 or otherwise, subject to the same exceptions.
G. Restitution, Forfeiture, and Financial Disclosure
1. Restitution: Defendant agrees to pay restitution in an amount to be determined by the Court under 18 U.S.C. §§ 3663A & 3664.
2. Forfeiture: Defendant consents to forfeiture of the property described in Exhibit C pursuant to 21 U.S.C. § 853 and/or 18 U.S.C. § 981.
3. Financial Disclosure: Defendant shall submit a complete and truthful financial statement within 30 days.
H. Conditions Precedent
This Agreement is contingent upon:
1. Court acceptance of Defendant’s guilty plea pursuant to Rule 11(c)(3).
2. Court acceptance of all material terms herein.
IV. REPRESENTATIONS & WARRANTIES
A. Defendant Represents and Warrants That:
1. Defendant has read this Agreement, has discussed it with counsel, and understands its terms.
2. No threats or promises, other than those contained herein, were made to induce the plea.
3. Defendant is a United States citizen/national of [COUNTRY] and understands potential immigration consequences.
B. Government Represents and Warrants That:
1. It has authority to enter into this Agreement.
2. All information known to the prosecution team that is materially exculpatory has been disclosed in compliance with Brady and its progeny.
C. Survival
The representations and warranties survive entry of judgment.
V. COVENANTS & RESTRICTIONS
A. Defendant’s Affirmative Covenants
1. Continue to comply with all federal, state, and local laws.
2. Appear for all Court-ordered proceedings and sentencing.
B. Defendant’s Negative Covenants
1. Defendant shall commit no further crimes.
2. Defendant shall not publicly contradict the factual basis admitted in Exhibit B.
C. Government Covenants
1. Recommend a sentence at the low end of the Applicable Sentencing Range, conditioned on complete compliance by Defendant.
2. Move to dismiss counts as specified in Section III.A.2 at sentencing.
D. Monitoring & Notice
Both parties agree to provide prompt written notice of any breach under Section VI.
VI. DEFAULT & REMEDIES
A. Events of Default
1. Defendant’s breach of any Cooperation Obligations.
2. Defendant’s commission of new criminal conduct.
3. Defendant’s material misrepresentation to the Court or Government.
B. Notice & Cure
Upon learning of a potential breach, the non-breaching party shall provide written notice. Defendant shall have 10 days to cure, unless the breach is incapable of cure.
C. Government Remedies Upon Defendant’s Breach
1. Withdraw from this Agreement and reinstate dismissed charges.
2. Use Defendant’s statements against Defendant in any proceeding.
3. Oppose any reduction for acceptance of responsibility.
D. Attorney Fees & Costs
Each party bears its own fees and costs.
VII. RISK ALLOCATION
[// GUIDANCE: Indemnification and liability caps are inapplicable to criminal pleas. Section retained for completeness but intentionally limited.]
A. Limitation of Liability
The parties recognize that the Court retains ultimate sentencing discretion subject to statutory limits; agreed-upon recommendations are non-binding on the Court.
B. Force Majeure
Not applicable to the parties’ obligations herein.
VIII. DISPUTE RESOLUTION
A. Governing Law
This Agreement is governed by federal criminal law, including the U.S. Constitution, federal statutes, the Guidelines, and the Federal Rules of Criminal Procedure.
B. Forum Selection & Jurisdiction
The United States District Court for the [___] District of [STATE] shall have exclusive jurisdiction over any dispute arising under or relating to this Agreement.
C. Arbitration
Not available for criminal matters; the parties expressly elect judicial resolution.
D. Jury Waiver
Defendant acknowledges waiver of jury trial rights upon entry of a guilty plea under Rule 11.
E. Injunctive Relief
Not applicable.
IX. GENERAL PROVISIONS
-
Entire Agreement
This document, including all exhibits, embodies the entire plea agreement under Rule 11(c)(1)(A) and (B). No other promises bind the parties. -
Amendment & Waiver
Any modification must be in writing and signed by both parties. No waiver of any breach is a waiver of any other breach. -
Assignment
Neither party may assign rights or delegate duties under this Agreement. -
Severability
If any provision is held invalid, the remainder shall remain in full force, provided the essential terms still reflect the parties’ intent. -
Successors & Assigns
This Agreement binds the parties’ successors, including the U.S. Department of Justice and any prosecutorial agency assuming jurisdiction. -
Counterparts & Electronic Signatures
This Agreement may be executed in counterparts, each of which is deemed an original. Signatures transmitted via facsimile or PDF are effective.
X. EXECUTION BLOCK
IN WITNESS WHEREOF, the parties execute this Agreement as of the Effective Date.
For the United States of America
[NAME], United States Attorney
By: ____
[ASSISTANT U.S. ATTORNEY NAME]
Assistant United States Attorney
Date: ________
For Defendant
I have read this Agreement, discussed it with my attorney, and fully understand and accept its terms.
[DEFENDANT NAME]
Defendant
Date: _____
Counsel for Defendant
I have advised my client of the contents of this Agreement and the consequences of pleading guilty.
[DEFENSE COUNSEL NAME], Esq.
Attorney for Defendant
Date: _____
[Optional Notary/Witness lines if required by local practice]
[// GUIDANCE:
1. Replace bracketed terms with case-specific information.
2. Verify maximum/minimum penalties and Guidelines calculations against the charged statute and current U.S.S.G. edition.
3. Attach Exhibits A (charge), B (factual basis), and C (forfeiture list) as needed.
4. Consider adding an appellate waiver carve-out for changes in law per Class v. United States considerations.
5. Ensure interpreter certification if Defendant is not proficient in English.
]