Federal Plea Agreement

IN THE UNITED STATES DISTRICT COURT

FOR THE [________________________________] DISTRICT OF [________________________________]

UNITED STATES OF AMERICA,

Plaintiff,

v.                 Case No. [________________________________]

[________________________________],

Defendant.

PLEA AGREEMENT

(Pursuant to Fed. R. Crim. P. 11(c)(1)(☐ A ☐ B ☐ C))

TABLE OF CONTENTS

1. Parties and Representation
2. Charges and Plea
3. Elements of the Offense
4. Factual Basis
5. Maximum Statutory Penalties
6. Sentencing Guidelines Provisions
7. Sentencing Recommendations
8. Government Obligations
9. Defendant's Obligations
10. Rights Waived by Guilty Plea (Boykin Rights)
11. Appeal and Collateral Attack Waiver
12. Restitution, Forfeiture, and Special Assessment
13. Immigration and Collateral Consequences
14. Cooperation Provisions
15. Breach of Agreement
16. Voluntariness
17. Entire Agreement / Integration
18. Acceptance and Signatures

1. PARTIES AND REPRESENTATION

1.1 This Plea Agreement ("Agreement") is entered into between the United States of America (the "Government"), by and through [________________________________], Assistant United States Attorney, and Defendant [________________________________] ("Defendant"), represented by [________________________________], Esq.

1.2 Defendant is ☐ a citizen of the United States ☐ a lawful permanent resident ☐ a citizen of [________________________________] ☐ other immigration status: [________________________________].

2. CHARGES AND PLEA

2.1 Charges to Which Defendant Will Plead Guilty. Defendant agrees to plead guilty to the following count(s) of the ☐ Indictment ☐ Information ☐ Superseding Indictment filed on [__/__/____]:

2.2 Charges to Be Dismissed. Subject to Defendant's compliance with this Agreement, the Government agrees to move to dismiss the following count(s) at the time of sentencing:

2.3 Type of Plea Agreement. This Agreement is made pursuant to:

☐ Fed. R. Crim. P. 11(c)(1)(A) — The Government agrees to dismiss specified charges or not bring additional charges.

☐ Fed. R. Crim. P. 11(c)(1)(B) — The Government agrees to recommend, or not oppose, a particular sentence or sentencing range, with the understanding that the recommendation is not binding on the Court.

☐ Fed. R. Crim. P. 11(c)(1)(C) — The parties agree that a specific sentence or sentencing range is the appropriate disposition. If the Court does not accept the agreed-upon sentence, Defendant may withdraw the guilty plea.

3. ELEMENTS OF THE OFFENSE

3.1 Defendant acknowledges that the Government would need to prove each of the following elements beyond a reasonable doubt to obtain a conviction at trial on Count(s) [________________________________]:

Count [____] — [________________________________] in violation of [________________________________]:

(a) [________________________________] (Element 1);
(b) [________________________________] (Element 2);
(c) [________________________________] (Element 3);
(d) [________________________________] (Element 4, if applicable);
(e) That the offense occurred within the jurisdiction of this Court.

Count [____] — [________________________________] in violation of [________________________________]:

(a) [________________________________] (Element 1);
(b) [________________________________] (Element 2);
(c) [________________________________] (Element 3).

3.2 Defendant admits that Defendant's conduct satisfies each element of the offense(s) to which Defendant is pleading guilty.

4. FACTUAL BASIS

4.1 The parties agree that the following facts are true and accurate, and that these facts establish each element of the offense(s) to which Defendant is pleading guilty. These facts constitute the factual basis for the guilty plea as required by Fed. R. Crim. P. 11(b)(3):

[________________________________]

[________________________________]

[________________________________]

[________________________________]

[________________________________]

4.2 Defendant agrees that the foregoing factual recitation is true and correct and that Defendant is in fact guilty of the offense(s) to which Defendant is pleading guilty.

4.3 Defendant agrees that this factual basis may be supplemented by additional facts presented at the plea hearing.

5. MAXIMUM STATUTORY PENALTIES

5.1 Defendant understands and acknowledges that the maximum statutory penalties for the offense(s) to which Defendant is pleading guilty are:

Count [____] — [________________________________]:

Count [____] — [________________________________]:

5.2 ☐ Mandatory Minimum. The offense carries a mandatory minimum sentence of [________________________________]. Defendant understands that the Court cannot impose a sentence below the mandatory minimum unless the Government files a motion pursuant to 18 U.S.C. § 3553(e) and/or USSG § 5K1.1.

5.3 Defendant understands that the Court is not bound by any sentencing recommendation or agreement and may impose any sentence up to the statutory maximum.

6. SENTENCING GUIDELINES PROVISIONS

6.1 The parties acknowledge that the Court will determine the advisory sentencing guideline range under the United States Sentencing Guidelines ("USSG") and will consider that range along with the factors set forth in 18 U.S.C. § 3553(a) in determining an appropriate sentence. United States v. Booker, 543 U.S. 220 (2005).

6.2 Stipulated Guidelines Calculations. The parties stipulate to the following guidelines calculations, subject to the Court's independent determination:

6.3 Acceptance of Responsibility. The Government agrees to recommend, or not oppose, a two-level (2) reduction for acceptance of responsibility pursuant to USSG § 3E1.1(a), provided Defendant:

(a) Truthfully admits the conduct comprising the offense(s);
(b) Does not falsely deny or frivolously contest relevant conduct;
(c) Timely provides complete financial information for the Presentence Investigation Report;
(d) Does not engage in additional criminal conduct; and
(e) Does not obstruct justice or attempt to withdraw the guilty plea.

6.4 ☐ The Government further agrees to move for an additional one-level (1) reduction pursuant to USSG § 3E1.1(b) if Defendant timely notifies the Government of the intent to plead guilty, thereby permitting the Government to avoid preparing for trial.

6.5 Non-Binding Nature. Defendant understands that the guidelines calculations set forth above are advisory only, that the Court is not bound by any stipulation, and that the Court will make its own independent determination of the applicable guideline range and the appropriate sentence.

6.6 ☐ Departure Provisions. The parties ☐ agree ☐ reserve the right to argue for or against departures from the advisory guideline range, subject to the following limitations: [________________________________].

7. SENTENCING RECOMMENDATIONS

7.1 ☐ (Rule 11(c)(1)(B) Agreement) The Government agrees to recommend a sentence of [________________________________]. Defendant understands that this recommendation is not binding on the Court and that the Court may impose any lawful sentence up to the statutory maximum.

7.2 ☐ (Rule 11(c)(1)(C) Agreement) The parties agree that the appropriate sentence is [________________________________]. If the Court does not accept this agreed-upon sentence, Defendant shall have the right to withdraw the guilty plea pursuant to Fed. R. Crim. P. 11(c)(5).

7.3 ☐ Both parties reserve the right to present evidence and argument relevant to sentencing factors under 18 U.S.C. § 3553(a).

7.4 ☐ The Government agrees to take no position on [________________________________] at sentencing.

8. GOVERNMENT OBLIGATIONS

Subject to Defendant's full compliance with the terms of this Agreement, the Government agrees to:

8.1 Move to dismiss Count(s) [________________________________] at the time of sentencing;

8.2 Not bring additional charges against Defendant arising from the conduct described in the factual basis, except as provided in the breach provisions of this Agreement;

8.3 Recommend ☐ a sentence of [________________________________] ☐ acceptance of responsibility ☐ [________________________________];

8.4 ☐ File a motion for downward departure pursuant to USSG § 5K1.1 and/or 18 U.S.C. § 3553(e) if, in the Government's sole discretion, Defendant has provided substantial assistance (see Section 14);

8.5 ☐ Recommend that Defendant be permitted to self-surrender;

8.6 ☐ [________________________________] (other Government obligations).

9. DEFENDANT'S OBLIGATIONS

Defendant agrees to:

9.1 Enter a plea of guilty to Count(s) [________________________________] consistent with this Agreement;

9.2 Provide truthful, complete, and accurate information to the United States Probation Office during the preparation of the Presentence Investigation Report (PSR), including full financial disclosure;

9.3 Appear at all court proceedings as required and comply with all conditions of release;

9.4 Not commit any new federal, state, or local offense prior to sentencing;

9.5 Not obstruct or attempt to obstruct justice;

9.6 Pay the mandatory special assessment of $[________________________________] on or before the date of sentencing;

9.7 Pay all restitution as ordered by the Court;

9.8 ☐ Forfeit the following property and assets: [________________________________] (see Section 12);

9.9 ☐ Cooperate fully and truthfully with the Government as described in Section 14; and

9.10 ☐ [________________________________] (other Defendant obligations).

10. RIGHTS WAIVED BY GUILTY PLEA (BOYKIN RIGHTS)

Defendant acknowledges that by entering a plea of guilty, Defendant voluntarily, knowingly, and intelligently waives the following constitutional and statutory rights as required by Boykin v. Alabama, 395 U.S. 238 (1969), and Fed. R. Crim. P. 11(b)(1):

10.1 Right to a Jury Trial. The right to a speedy and public trial by an impartial jury, at which Defendant would be presumed innocent and the Government would bear the burden of proving every element of the charged offense beyond a reasonable doubt. U.S. Const. amend. VI.

10.2 Right to Confront Witnesses. The right to confront and cross-examine all witnesses testifying against Defendant. U.S. Const. amend. VI.

10.3 Right Against Self-Incrimination. The right not to testify and the right against compelled self-incrimination, with the assurance that the jury would be instructed that no adverse inference may be drawn from Defendant's silence. U.S. Const. amend. V.

10.4 Right to Compulsory Process. The right to compel the attendance of witnesses and to present evidence in Defendant's defense. U.S. Const. amend. VI.

10.5 Right to Assistance of Counsel. The right to the assistance of counsel at trial and at every critical stage of the proceedings. U.S. Const. amend. VI.

10.6 Right to Present a Defense. The right to present a complete defense, including the right to testify on Defendant's own behalf.

10.7 Presumption of Innocence. The right to the presumption of innocence and to require the Government to prove guilt beyond a reasonable doubt as to each element.

10.8 Defendant understands that by pleading guilty, Defendant admits the facts constituting the offense and that there will be no trial of any kind.

11. APPEAL AND COLLATERAL ATTACK WAIVER

11.1 ☐ Appeal Waiver. Defendant knowingly and voluntarily waives the right to appeal or collaterally attack the conviction and sentence, including any appeal under 28 U.S.C. § 1291 or collateral attack under 28 U.S.C. § 2255, except that Defendant retains the right to appeal or collaterally attack:

(a) Any sentence exceeding the statutory maximum;
(b) Any sentence based on an unconstitutional factor (e.g., race, religion, national origin);
(c) The voluntariness of the guilty plea or this Agreement;
(d) ☐ Any sentence above the guideline range as determined by the Court at sentencing;
(e) ☐ Ineffective assistance of counsel claims relating directly to this waiver; and
(f) ☐ Any issue that the Court determines is not subject to waiver.

11.2 ☐ The Government likewise agrees not to appeal or seek modification of any sentence within the stipulated guideline range or any sentence consistent with the recommendations made pursuant to this Agreement.

11.3 ☐ No Appeal/Collateral Attack Waiver. The parties do not include an appeal waiver in this Agreement. Defendant retains all appellate and post-conviction rights.

12. RESTITUTION, FORFEITURE, AND SPECIAL ASSESSMENT

A. Special Assessment

12.1 Defendant agrees to pay the mandatory special assessment of $[________________________________] (currently $100 per felony count and $25 per misdemeanor count, pursuant to 18 U.S.C. § 3013) on or before the date of sentencing.

B. Restitution

12.2 ☐ Mandatory Restitution. Defendant agrees to pay restitution in the amount of $[________________________________] to the following victim(s):

☐ The exact amount of restitution shall be determined at or before sentencing.

12.3 ☐ Discretionary Restitution. The parties agree that the Court may order restitution in its discretion.

12.4 Defendant agrees that restitution shall be due ☐ immediately ☐ in installments as determined by the Court.

C. Forfeiture

12.5 ☐ Defendant agrees to forfeit the following assets and property to the United States:

• [________________________________]
• [________________________________]
• $[________________________________] (money judgment)

12.6 ☐ Defendant agrees that the forfeiture is part of the sentence and consents to the entry of a Preliminary Order of Forfeiture and a Final Order of Forfeiture.

12.7 ☐ Defendant agrees not to contest any administrative or judicial forfeiture proceedings related to the above-described property.

D. Fine

12.8 ☐ The parties agree to recommend that ☐ no fine be imposed ☐ a fine of $[________________________________] be imposed.
☐ The parties reserve the right to argue regarding the appropriateness of a fine.

13. IMMIGRATION AND COLLATERAL CONSEQUENCES

13.1 Immigration Consequences. Defendant understands that if Defendant is not a citizen of the United States, a conviction may result in removal (deportation), exclusion from admission, or denial of naturalization under the Immigration and Nationality Act, 8 U.S.C. § 1101 et seq. Padilla v. Kentucky, 559 U.S. 356 (2010).

13.2 Defendant has discussed the immigration consequences of this plea with counsel. Defendant understands that the Court cannot make any promise or guarantee regarding immigration consequences and that Defendant's plea may subject Defendant to mandatory removal proceedings.

13.3 Other Collateral Consequences. Defendant understands that a federal felony conviction may also result in:

☐ Loss of the right to possess firearms (18 U.S.C. § 922(g)(1))
☐ Loss of the right to vote (varies by state)
☐ Ineligibility for certain federal benefits
☐ Adverse effects on professional licensing and employment
☐ Sex offender registration requirements (if applicable)
☐ DNA collection (34 U.S.C. § 40702)
☐ Other: [________________________________]

13.4 The Government has not made any representations or promises regarding immigration or collateral consequences.

14. COOPERATION PROVISIONS

☐ (Complete this section if the agreement includes cooperation terms; otherwise mark N/A)

☐ N/A — No cooperation provisions are included in this Agreement.

☐ Cooperation Agreement. Defendant agrees to cooperate fully and truthfully with the Government, including:

14.1 Providing complete, truthful, and accurate information about all criminal activity of which Defendant has knowledge, including Defendant's own conduct and the conduct of others;

14.2 Testifying truthfully before any grand jury, at any trial, or at any other proceeding as requested by the Government;

14.3 Submitting to interviews and debriefings as requested by the Government;

14.4 Producing all documents, records, and other tangible evidence in Defendant's possession or control as requested;

14.5 Submitting to polygraph examinations if requested by the Government;

14.6 Not alerting or informing any person that they are or may be the subject of a Government investigation;

14.7 Not committing any further criminal offenses.

14.8 USSG § 5K1.1 / 18 U.S.C. § 3553(e) Motion. If the Government determines, in its sole discretion, that Defendant has provided substantial assistance in the investigation or prosecution of another person, the Government agrees to file a motion at or before sentencing pursuant to USSG § 5K1.1 and/or 18 U.S.C. § 3553(e) (if a mandatory minimum applies). The nature and extent of any departure shall be determined by the Court.

14.9 Use of Statements. Defendant understands that truthful statements made pursuant to this Agreement may be used by the Government in connection with sentencing in this case. If Defendant breaches this Agreement, all statements made by Defendant may be used against Defendant in any proceeding, including trial.

14.10 No Guarantee. Defendant understands that cooperation does not guarantee any particular sentence or that the Government will file a § 5K1.1 motion. The decision to file such a motion rests solely in the Government's discretion.

15. BREACH OF AGREEMENT

15.1 Breach by Defendant. If Defendant breaches any provision of this Agreement — including but not limited to committing a new offense, providing false or incomplete information, obstructing justice, failing to appear, or failing to cooperate as agreed — the Government may, at its option:

(a) Prosecute Defendant for any federal offense, including counts dismissed under this Agreement and any offenses disclosed during cooperation;

(b) Use any statements made by Defendant, including statements made during cooperation debriefings, plea proceedings, and proffer sessions, in any criminal proceeding, without limitation;

(c) Withdraw any sentencing recommendations or motions filed on Defendant's behalf;

(d) Reinstate any charges that were dismissed pursuant to this Agreement; and

(e) Pursue any other lawful remedies.

15.2 Breach by Government. If the Government breaches any material provision of this Agreement, Defendant may seek specific performance or, at Defendant's election, withdraw the guilty plea.

15.3 Disputes regarding breach shall be resolved by the Court after an evidentiary hearing, if necessary.

16. VOLUNTARINESS

16.1 Defendant states that this guilty plea is made voluntarily, knowingly, and intelligently, and not as the result of force, threats, intimidation, or promises other than those contained in this Agreement. Brady v. United States, 397 U.S. 742, 748 (1970).

16.2 Defendant has had sufficient time to consult with counsel and is fully satisfied with the representation and advice received from counsel.

16.3 Defendant is not under the influence of any drug, medication, or other substance that would impair Defendant's ability to understand this Agreement or to enter a knowing and voluntary plea.

16.4 Defendant understands that the Court is required to conduct a plea colloquy pursuant to Fed. R. Crim. P. 11 and that the Court must be satisfied that the plea is voluntary and that a factual basis exists before accepting the plea.

17. ENTIRE AGREEMENT / INTEGRATION

17.1 This Agreement constitutes the entire agreement between the parties regarding the disposition of the charges and supersedes all prior negotiations, discussions, representations, and agreements, whether written or oral.

17.2 No promises, agreements, or representations have been made to Defendant other than those expressly set forth in this written Agreement.

17.3 Any modification of this Agreement must be in writing and signed by all parties.

18. ACCEPTANCE AND SIGNATURES

Defendant acknowledges that Defendant has read this Agreement (or had it read and explained), understands its terms, and enters into it voluntarily and of Defendant's own free will.

DATED: [__/__/____]

DEFENDANT

I have read this Agreement and have discussed it fully with my attorney. I understand all of its terms and I agree to those terms voluntarily and of my own free will. I am pleading guilty because I am in fact guilty of the offense(s) to which I am pleading.

[________________________________]
[________________________________], Defendant

Date: [__/__/____]

DEFENSE COUNSEL

I have fully explained this Agreement to my client and have answered all of my client's questions. I believe my client understands the terms of this Agreement and is entering into it voluntarily, knowingly, and intelligently. I have advised my client of the rights being waived, the potential penalties, and the immigration consequences of the guilty plea.

[________________________________]
[________________________________], Esq.
☐ Federal Defender / ☐ CJA Panel Attorney / ☐ Retained Counsel
[________________________________] (Bar Number)
[________________________________] (Address)
Telephone: [________________________________]
Email: [________________________________]

Date: [__/__/____]

UNITED STATES OF AMERICA

[________________________________]
[________________________________]
Assistant United States Attorney
United States Attorney's Office
[________________________________] District of [________________________________]
[________________________________] (Address)
Telephone: [________________________________]
Email: [________________________________]

Date: [__/__/____]

RULE 11 COLLOQUY CHECKLIST

The following checklist is provided for counsel's reference to ensure compliance with the Court's plea colloquy requirements under Fed. R. Crim. P. 11. This checklist is not part of the Agreement.

☐ Defendant placed under oath (Rule 11(b)(1))
☐ Nature of each charge explained (Rule 11(b)(1)(G))
☐ Maximum penalties explained (Rule 11(b)(1)(H))
☐ Mandatory minimum, if applicable, explained (Rule 11(b)(1)(I))
☐ Court's obligation to calculate guidelines range explained (Rule 11(b)(1)(M))
☐ Court's authority to depart/vary from guidelines explained (Rule 11(b)(1)(M))
☐ Rights waived by guilty plea explained (Boykin rights) (Rule 11(b)(1)(B)-(F))
☐ Immigration consequences discussed (Rule 11(b)(1)(O); Padilla v. Kentucky)
☐ Appeal/collateral attack waiver discussed (if applicable)
☐ Terms of plea agreement disclosed in open court (Rule 11(c)(2))
☐ Factual basis established (Rule 11(b)(3))
☐ Plea is voluntary and not the result of force, threats, or promises outside the agreement (Rule 11(b)(2))
☐ Court satisfied that plea is knowing, voluntary, and intelligent

SOURCES AND REFERENCES

• Fed. R. Crim. P. 11 — Pleas: https://www.law.cornell.edu/rules/frcrmp/rule_11
• 18 U.S.C. § 3553(a) — Factors to be considered in imposing a sentence
• USSG § 3E1.1 — Acceptance of responsibility
• USSG § 5K1.1 — Substantial assistance to authorities
• 18 U.S.C. § 3553(e) — Authority to impose below mandatory minimum for substantial assistance
• Boykin v. Alabama, 395 U.S. 238 (1969) — Rights waived by guilty plea
• Brady v. United States, 397 U.S. 742 (1970) — Voluntariness of guilty plea
• United States v. Booker, 543 U.S. 220 (2005) — Advisory nature of guidelines
• Padilla v. Kentucky, 559 U.S. 356 (2010) — Duty to advise on immigration consequences
• DOJ Justice Manual, 9-16.000 — Pleas and Rule 11: https://www.justice.gov/jm/jm-9-16000-pleas-federal-rule-criminal-procedure-11
• DOJ Justice Manual, 9-27.000 — Principles of Federal Prosecution
• DOJ Criminal Resource Manual, 626 — Plea Agreements and Sentencing Appeal Waivers: https://www.justice.gov/archives/jm/criminal-resource-manual-626-plea-agreements-and-sentencing-appeal-waivers-discussion-law