Plea Agreement
Drafts an enforceable plea agreement formalizing the negotiated resolution of criminal charges between defendant and prosecution, compliant with Fed. R. Crim. P. 11 or state equivalents.
Prerequisites
Gather before drafting:
- Case info — case number, court, presiding judge, full caption
- Charge sheet — all original charges with statute citations and max penalties
- Negotiated terms — plea charges, dismissed charges, sentencing concessions
- Factual basis — agreed facts establishing each element of plea offense(s)
- Defendant info — full legal name, aliases, DOB
- Cooperation terms (if any) — debriefing, testimony, ongoing obligations
Quick Start
- Collect all prerequisites above
- Identify agreement type (Rule 11(c)(1)(A), (B), or (C); or state equivalent)
- Draft sections in order below
- Run through the pitfalls checklist before finalizing
Document Sections
Draft these sections in order:
1. Parties & Jurisdiction
| Field |
Content |
| Defendant |
Full name, aliases/AKAs, DOB, case number |
| Prosecution |
Office (USAO / DA), assigned prosecutor |
| Court |
Name, district/division, presiding judge |
| Jurisdictional basis |
Statutory authority |
2. Charges & Plea Specification
- Table all original charges: count number, statute, offense, max penalty
- Table plea charges: counts defendant pleads to (guilty or nolo contendere)
- List dismissed/not-pursued charges
- If charge reduction: state both original and reduced charge explicitly
- Include voluntariness statement
3. Factual Basis
Stipulated facts establishing every element of each plea offense. Must cover:
- Date, time, location of offense
- Defendant's conduct constituting the crime
- Victims, co-conspirators, relevant parties
- Mental state / intent as required by statute
- Aggravating or mitigating circumstances relevant to sentencing
Write so defendant can acknowledge as true. This stipulation binds defendant and may be used in subsequent proceedings.
4. Sentencing Recommendations
Identify the agreement type:
| Type |
Effect |
| Rule 11(c)(1)(A) |
Charge dismissal / non-prosecution agreement |
| Rule 11(c)(1)(B) |
Non-binding recommendation — court may reject |
| Rule 11(c)(1)(C) |
Binding sentence — defendant may withdraw if court rejects |
For state cases, cite the equivalent rule.
Include as applicable: incarceration/probation recommendation, fines, restitution and payment schedule, supervised release conditions, forfeiture terms, guideline calculations, departure/variance positions, government sentencing posture, defendant's right to request different sentence.
5. Rights Waived & Retained
Waived:
- Jury trial and confrontation of witnesses
- Privilege against self-incrimination
- Compulsory process for defense witnesses
- Appeal (specify scope: sentence, conviction, or both)
- Post-conviction relief (specify exceptions: ineffective assistance, prosecutorial misconduct)
- Speedy Trial Act rights
Retained:
- Challenge illegal sentence
- Challenge voluntariness of plea
- Any other negotiated retained rights
Include confirmation defendant discussed waivers with counsel.
6. Additional Terms
Address as applicable:
- Cooperation obligations (testimony, debriefings, law enforcement cooperation)
- Related civil/administrative proceeding agreements
- Media contact restrictions
- Breach provisions — consequences for each party's breach
- Government's right to reinstate dismissed charges upon defendant's breach
7. Acknowledgments
Defendant affirms:
- Plea is voluntary — no force, threats, or undisclosed promises
- Reviewed agreement with counsel; understands all terms
- Satisfied with counsel's representation
- Understands charges and potential penalties
- Mentally competent; not under influence of substances
- Agreement constitutes entire understanding (integration clause)
8. Signature Blocks
Include signature lines with date fields for:
- Defendant — full name
- Defense counsel — name, bar number, certification that agreement was explained and plea is voluntary and knowing
- Prosecutor — name, title, office
- Judge — if required by local rules
Pitfalls & Checks
1---2name: plea-agreement3description: Drafts criminal defense plea agreements formalizing negotiated resolutions between defendant and prosecution. Covers charge specifications, factual basis, sentencing recommendations, rights waivers, cooperation terms, and breach provisions. Use when drafting plea deals, guilty plea agreements, no contest pleas, or cooperation agreements in criminal matters.4---5
6# Plea Agreement
7
8Drafts an enforceable plea agreement formalizing the negotiated resolution of criminal charges between defendant and prosecution, compliant with Fed. R. Crim. P. 11 or state equivalents.
9
10## Prerequisites
11
12Gather before drafting:
13
14- **Case info** — case number, court, presiding judge, full caption
15- **Charge sheet** — all original charges with statute citations and max penalties
16- **Negotiated terms** — plea charges, dismissed charges, sentencing concessions
17- **Factual basis** — agreed facts establishing each element of plea offense(s)
18- **Defendant info** — full legal name, aliases, DOB
19- **Cooperation terms** (if any) — debriefing, testimony, ongoing obligations
20
21## Quick Start
22
231. Collect all prerequisites above
242. Identify agreement type (Rule 11(c)(1)(A), (B), or (C); or state equivalent)
253. Draft sections in order below
264. Run through the pitfalls checklist before finalizing
27
28## Document Sections
29
30Draft these sections in order:
31
32### 1. Parties & Jurisdiction
33
34| Field | Content |
35|-------|---------|
36| Defendant | Full name, aliases/AKAs, DOB, case number |
37| Prosecution | Office (USAO / DA), assigned prosecutor |
38| Court | Name, district/division, presiding judge |
39| Jurisdictional basis | Statutory authority |
40
41### 2. Charges & Plea Specification
42
43- Table **all original charges**: count number, statute, offense, max penalty
44- Table **plea charges**: counts defendant pleads to (guilty or nolo contendere)
45- List **dismissed/not-pursued charges**
46- If charge reduction: state both original and reduced charge explicitly
47- Include voluntariness statement
48
49### 3. Factual Basis
50
51Stipulated facts establishing every element of each plea offense. Must cover:
52
53- Date, time, location of offense
54- Defendant's conduct constituting the crime
55- Victims, co-conspirators, relevant parties
56- Mental state / intent as required by statute
57- Aggravating or mitigating circumstances relevant to sentencing
58
59Write so defendant can acknowledge as true. This stipulation binds defendant and may be used in subsequent proceedings.
60
61### 4. Sentencing Recommendations
62
63Identify the agreement type:
64
65| Type | Effect |
66|------|--------|
67| Rule 11(c)(1)(A) | Charge dismissal / non-prosecution agreement |
68| Rule 11(c)(1)(B) | Non-binding recommendation — court may reject |
69| Rule 11(c)(1)(C) | Binding sentence — defendant may withdraw if court rejects |
70
71For state cases, cite the equivalent rule.
72
73Include as applicable: incarceration/probation recommendation, fines, restitution and payment schedule, supervised release conditions, forfeiture terms, guideline calculations, departure/variance positions, government sentencing posture, defendant's right to request different sentence.
74
75### 5. Rights Waived & Retained
76
77**Waived:**
78- Jury trial and confrontation of witnesses
79- Privilege against self-incrimination
80- Compulsory process for defense witnesses
81- Appeal (specify scope: sentence, conviction, or both)
82- Post-conviction relief (specify exceptions: ineffective assistance, prosecutorial misconduct)
83- Speedy Trial Act rights
84
85**Retained:**
86- Challenge illegal sentence
87- Challenge voluntariness of plea
88- Any other negotiated retained rights
89
90Include confirmation defendant discussed waivers with counsel.
91
92### 6. Additional Terms
93
94Address as applicable:
95
96- Cooperation obligations (testimony, debriefings, law enforcement cooperation)
97- Related civil/administrative proceeding agreements
98- Media contact restrictions
99- Breach provisions — consequences for each party's breach
100- Government's right to reinstate dismissed charges upon defendant's breach
101
102### 7. Acknowledgments
103
104Defendant affirms:
105
106- Plea is voluntary — no force, threats, or undisclosed promises
107- Reviewed agreement with counsel; understands all terms
108- Satisfied with counsel's representation
109- Understands charges and potential penalties
110- Mentally competent; not under influence of substances
111- Agreement constitutes entire understanding (integration clause)
112
113### 8. Signature Blocks
114
115Include signature lines with date fields for:
116
117- **Defendant** — full name
118- **Defense counsel** — name, bar number, certification that agreement was explained and plea is voluntary and knowing
119- **Prosecutor** — name, title, office
120- **Judge** — if required by local rules
121
122## Pitfalls & Checks
123
124- [ ] Use plain language; retain terms of art only where legally necessary
125- [ ] Number all paragraphs for cross-reference at plea colloquy
126- [ ] Verify internal consistency — dismissed charges, retained rights, and breach provisions must align
127- [ ] Confirm compliance with Fed. R. Crim. P. 11 (federal) or state equivalent plus local rules
128- [ ] For state cases, adapt all Rule 11 references to applicable state rule
129- [ ] Never include terms beyond what the parties actually negotiated
130- [ ] Flag ambiguous sentencing terms — courts scrutinize vagueness at plea hearings
131- [ ] For cooperation agreements, ensure defendant protections (use immunity, safe harbor provisions)
CaseMark