Structure and Interpretation of Plea Agreements

Plea agreements in United States federal criminal cases are binding contracts between the defendant and the government that resolve the case without trial. Governed by Federal Rule of Criminal Procedure 11(c) and enforced under contract-law principles, they specify the charges to which the defendant will plead, the government’s sentencing recommendations or concessions, and any agreed-upon waivers or cooperation obligations. Approximately 97 percent of federal convictions result from guilty pleas, making plea agreements the primary mechanism for case resolution. |title_mode=replace

Types of Plea Agreements Under Rule 11(c)

Rule 11(c)(1) classifies plea agreements into three categories, each with different binding effects:

(C) Agreements – Binding on the Court and Parties

The government and defendant agree that a specific sentence or sentencing range is appropriate (e.g., “the parties agree to a sentence of 60 months”). The court must accept the agreement or reject it entirely and allow the defendant to withdraw the plea. Used in approximately 15–20 percent of federal cases.

(B) Agreements – Binding on the Government Only

The government agrees not to oppose a defense request or to recommend a specific sentence, but the recommendation is not binding on the court. Typical language: “The government will not oppose a downward variance” or “recommends a sentence at the low end of the guideline range.” Most common type (approximately 70 percent of agreements).

(A) Agreements – Charge Bargaining

The government agrees to dismiss or not bring certain charges, or to bring charges to a lesser offense. May be combined with (B) or (C) provisions.

Standard Provisions and Clauses

Federal plea agreements typically contain the following sections:

• Factual basis and stipulated facts
• Guideline calculations (binding under Rule 11(c)(1)(C) or non-binding stipulations)
• Waiver of appeal and collateral-attack rights (post-conviction § 2255)
• Cooperation provisions (if applicable)
• Forfeiture and restitution agreements
• Immigration consequences acknowledgment
• Breach provisions and remedies

Appeal and Collateral-Attack Waivers

Most federal plea agreements contain a waiver of the right to appeal or file a § 2255 motion except on limited grounds (ineffective assistance of counsel affecting the plea, prosecutorial misconduct, or sentences above the statutory maximum). The Supreme Court upheld the enforceability of such waivers in Garza v. Idaho (2019) and earlier cases, provided the plea was knowing and voluntary.

Interpretation and Enforcement

Courts interpret plea agreements using ordinary contract principles, with ambiguities construed against the government as drafter (United States v. Harvey, 4th Cir. 2015). Material breach by the defendant (e.g., failure to cooperate) allows the government to be relieved of its obligations, including reinstating dismissed charges. Courts conduct a thorough Rule 11 colloquy to ensure the defendant understands the agreement and enters the plea voluntarily.

Cooperation (“5K1.1”) and Safety-Valve Provisions

Many agreements include:

• A commitment to provide substantial assistance, enabling a government motion under U.S.S.G. §5K1.1 or 18 U.S.C. § 3553(e)
• Safety-valve eligibility (18 U.S.C. § 3553(f)) for drug defendants meeting five criteria, allowing sentencing below mandatory minimums

Terminology

• Rule 11(c)(1)(C) Agreement – Fully binding “C-type” plea
• Appeal Waiver – Contractual relinquishment of direct appeal rights
• Collateral-Attack Waiver – Waiver of § 2255 rights
• Proffer-Protected Agreement – Letter agreement governing pre-plea cooperation interviews
• Kastigar Letter – Promise of use immunity for proffer statements
• Breach Clause – Provision defining consequences of non-compliance

See also

• Federal Rule of Criminal Procedure 11
• Guilty Plea Colloquy
• Sentencing Memoranda

External links

• Justice Manual § 9-27.625 – Plea Agreements and Appeal Waivers
• Federal Defender Sample Plea Agreement (2025)