Guilty Plea vs Going to Trial.

The various sources cited in the federal sentencing guidelines and public filings on this topic reflect a wide range of results. Some report guilty-plea resolutions as high as 95% in 2003, and others report them as high as 98% in more recent years. However, these statistics do not have the same meaning across the federal courts nationwide. Many of these statistics, for example, do not provide a consistent denominator, making it difficult to draw definitive conclusions.

That said, the general range of these statistics does provide information about the most likely resolution of federal criminal cases. Many federal criminal cases are resolved through a guilty plea (even with the uncertainty of the evidence at trial, in some cases), and this is partly because the most common goal for defendants in these cases is to avoid a jury trial. A guilty plea resolves the question of guilt, but sentencing may remain uncertain; taking a case to trial carries risks including conviction and potentially greater sentencing exposure.

What is a Federal Not-Guilty Plea?

While federal guilty pleas resolve the trial aspect of a case, a federal not-guilty plea keeps the government’s burden of proof in place. In a federal criminal trial, the government must prove every element of the defendant’s alleged offenses beyond a reasonable doubt. To be convicted, the jury must have no reasonable doubt as to the defendant’s culpability.

Why Do Defendants Plead Guilty to Federal Charges?

When considering a federal guilty plea, the key factor is often the degree of uncertainty surrounding the proof available to the government. If the government has a compelling case, this may make a guilty plea a better option. This is true in part because pleading guilty has the potential to mitigate the conviction risk and the sentencing risk. There are also risks associated with a trial, such as potential cooperation from alleged co-defendants, and this may also influence the defendant’s decision as well.

Which Federal Plea Terms Change the Charges, Sentence, and Appeal Risks?

A federal open plea is a type of guilty plea in which the defendant enters the plea without a negotiated plea agreement in place. This means that there are no terms that the government is required to abide by. One of the few potential benefits of the open plea is the possibility of not being required to waive certain rights that are typically given up in a plea agreement. However, this means that there is also no protection against related prosecution that may stem from a negotiated plea agreement with the government.

Can a Plea Agreement Binding the Sentencing Judge?

While sentence reduction is a common feature of plea negotiations, not all plea agreements include terms that are binding upon the sentencing judge. Under the Federal Rules of Criminal Procedure, these plea agreements can fall into three categories:

• Rule 11(c)(1)(A), the government agrees not to bring, or to move to dismiss, other charges.
• Rule 11(c)(1)(B), the parties recommend a sentencing range that is not binding.
• Rule 11(c)(1)(C), the agreement specifies the sentence that will be imposed, and it is binding if the judge accepts the plea.

What Terms are Commonly in Federal Plea Agreements?

While not all federal guilty pleas are governed by these Rule 11(c)(1)(A), (B), or (C) agreements, federal plea agreements commonly identify several other terms as well:

• Charges, the specific charges (if any) for which the defendant will plead guilty.
• Dismissed counts, the counts that the government agrees to dismiss as a result of the plea.
• Admitted factual conduct, the specific factual conduct that the defendant admits as a basis for the guilty plea.

Will a Federal Plea Agreement Obligate the Defendant to Waive Rights?

Another common feature of federal plea agreements is the waiver of certain rights. While an open plea leaves some grounds for appeal open, a negotiated plea agreement often requires the defendant to waive their right to appeal specific aspects of the case. This is a trade-off for any protections offered within the negotiated agreement.

Is a Federal Plea Agreement Binding upon the Parties if Entered?

Once the judge accepts the terms of a negotiated plea agreement, then the terms of the agreement will become binding. Any material breach of a plea agreement may require a case-specific remedy, rather than automatically terminating the agreement and authorizing prosecution of the original charges.

How Can You Compare a Negotiated Sentence With Uncertain Federal Trial Outcomes?

When considering whether to take a case to trial, one important factor for defendants is to compare the risk of a guilty plea with the risk of a lost trial. A negotiated plea can result in several different outcomes. It could reduce the defendant’s exposure for imprisonment, fines, or probation. While prosecutors gain from securing a guilty plea in most cases, the time and resources that go into jury trials are not insignificant. This may influence a prosecutor’s decision to offer a negotiated plea.

Can a Guilty Plea Lead to a Sentence Reduction Based on Acceptance of Responsibility?

For defendants, weighing a negotiated plea means weighing the plea against the alternative. However, even with a guilty plea, the acceptance-of-responsibility reductions under the federal sentencing guidelines will not necessarily be available. The sentencing judge must determine whether the defendant clearly demonstrates acceptance of responsibility. The determination depends on the defendant’s conduct, and a guilty plea alone does not entitle the defendant to the reduction.

Can Going to Trial Increase the Risk of Sentencing Based on Obstruction?

Defendants who go to trial will have similar concerns. Specifically, if a defendant takes the witness stand and provides false testimony, then the sentencing judge can apply the federal sentencing guidelines’ obstruction-of-justice enhancement. The federal sentencing guidelines’ obstruction-of-justice enhancement generally adds two levels to the defendant’s offense level, which can increase the potential for imprisonment.

Does Going to Trial Mean That You Obstructed Justice?

Of course, this means that defendants have the same decision to make. If a defendant goes to trial and gets convicted, it doesn’t mean that the defendant obstructed justice during the proceeding. The obstruction of justice enhancement requires more than merely being convicted after a trial.

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What Changes After a Federal Judge Accepts Your Guilty Plea?

Does Rule 11 Apply When the Defendant Wants to Plead Guilty?

Rule 11 of the Federal Rules of Criminal Procedure applies in all federal cases where a defendant wants to plead guilty. The rule requires the federal judge to ask a set of questions designed to establish the defendant is making a “knowing and voluntary” plea. Importantly, the rule also requires that the defendant understands the consequences of the guilty plea. For example, if the defendant is not making an open plea, the Rule 11 questioning will reflect what they understand themselves to have given up.

Does the Federal Court Require a Factual Basis for Accepting a Guilty Plea?

Under Rule 11(b)(3), federal courts must determine that there is a factual basis for a guilty plea before entering judgment on it. This can take various forms. In some cases, this factual basis is established as part of the pre-sentencing reports and other information. In some cases, this will be part of a separate plea colloquy involving questions, answers, and other evidence.

Does a Federal Judge Participate in the Prosecution and Defendant’s Plea Agreement?

While defendants and prosecutors negotiate the terms of a guilty plea, the federal court is not a party to the negotiated agreement. In fact, judges cannot be involved in this process as it could lead to claims of conflict of interest or partiality. This means that even if you and the prosecutor reach an agreement, the federal judge is not bound by the agreement unless the terms specifically state so.

When Does a Federal Court Schedule the Defendant’s Sentencing Hearing?

In most cases, federal courts schedule the defendant’s sentencing hearing after the federal judge accepts the defendant’s guilty plea. While the guilty plea may resolve the criminal charges, it does not resolve the penalty. This typically takes place in a second hearing weeks or months later.

When Can a Defendant Withdraw Their Plea Offer?

Before a defendant’s guilty plea offer is accepted by the court, the defendant can withdraw the plea without showing a good reason for withdrawal. After the court accepts the plea but before it imposes sentence, the defendant may withdraw the plea only by showing a fair and just reason.

When Does Federal Cooperation Reduce Punishment Without Eliminating Its Risks?

One benefit of cooperation in a federal criminal prosecution is the opportunity for a reduction under Section 5K1.1 of the federal sentencing guidelines. Under Section 5K1.1, if a defendant or other witness provides the government with substantial assistance in its investigation or prosecution, the prosecution may file a substantial-assistance motion.

Substantial-assistance motions allow the sentencing judge to depart below the sentencing guidelines. This is most important in cases with mandatory minimums. In some cases, a motion under 18 U.S.C. § 3553(e) or a qualifying safety-valve provision under 18 U.S.C. § 3553(f) may permit a sentence below an otherwise applicable statutory minimum.

When Does Cooperation not Lead to a Sentence Reduction?

While cooperation can lead to a reduced federal sentence in some cases, it is not guaranteed to work. This means that a defendant must still consider other factors when deciding whether to cooperate with the federal authorities in a federal criminal case. Even if information is provided, the prosecution can still decline to file a substantial-assistance motion under the federal sentencing guidelines. The prosecution can also pursue trial when it may not be warranted due to limited evidence.

What are the Risks of Cooperating in a Federal Prosecution?

In addition to the risk of not receiving a reduction in the sentence, cooperating in a federal criminal prosecution comes with other risks as well. As a rule, defendants may cooperate with the government before entering a guilty plea or being convicted at trial. This means that those who cooperate face a public record of their conviction.

For defendants who cooperate in federal criminal cases, this potentially exposes them to retaliation. While federal prosecutors have the ability to keep cooperating defendants safe, there are other risks as well. This is true for safety risks but can also include professional or reputational risks for many defendants who provide information to federal law enforcement.

In addition to these risks, a Section 5K1.1 reduction ordinarily requires a government substantial-assistance motion.

If You Want Someone to Look at Your Case

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