(a) Entering a Plea.
(1) In General. A defendant may plead not guilty, guilty, or
(with the court’s consent) nolo contendere.
(2) Conditional Plea. With the consent of the court and the
government, a defendant may enter a conditional plea of
guilty or nolo contendere, reserving in writing the right to
have an appellate court review an adverse determination of a
specified pretrial motion. A defendant who prevails on appeal
may then withdraw the plea.
(3) Nolo Contendere Plea. Before accepting a plea of nolo
contendere, the court must consider the parties’ views and the
public interest in the effective administration of justice.
(4) Failure to Enter a Plea. If a defendant refuses to enter a
plea or if a defendant organization fails to appear, the court
must enter a plea of not guilty.
(b) Considering and Accepting a Guilty or Nolo Contendere Plea.
(1) Advising and Questioning the Defendant. Before the court
accepts a plea of guilty or nolo contendere, the defendant may
be placed under oath, and the court must address the defend-
ant personally in open court. During this address, the court
must inform the defendant of, and determine that the defend-
ant understands, the following:
(A) the government’s right, in a prosecution for perjury
or false statement, to use against the defendant any state-
ment that the defendant gives under oath;
(B) the right to plead not guilty, or having already so
pleaded, to persist in that plea;
(C) the right to a jury trial;
(D) the right to be represented by counsel—and if nec-
essary have the court appoint counsel—at trial and at
every other stage of the proceeding;
(E) the right at trial to confront and cross-examine ad-
verse witnesses, to be protected from compelled self-in-
crimination, to testify and present evidence, and to com-
pel the attendance of witnesses;
(F) the defendant’s waiver of these trial rights if the
court accepts a plea of guilty or nolo contendere;
(G) the nature of each charge to which the defendant is
pleading;
(H) any maximum possible penalty, including imprison-
ment, fine, and term of supervised release;
(I) any mandatory minimum penalty;
(J) any applicable forfeiture;
(K) the court’s authority to order restitution;
(L) the court’s obligation to impose a special assess-
ment;
(M) in determining a sentence, the court’s obligation to
calculate the applicable sentencing-guideline range and to
consider that range, possible departures under the Sen-
tencing Guidelines, and other sentencing factors under 18
U.S.C. §3553(a);
(N) the terms of any plea-agreement provision waiving
the right to appeal or to collaterally attack the sentence;
and
(O) that, if convicted, a defendant who is not a United
States citizen may be removed from the United States, de-
nied citizenship, and denied admission to the United
States in the future.
(2) Ensuring That a Plea Is Voluntary. Before accepting a
plea of guilty or nolo contendere, the court must address the
defendant personally in open court and determine that the
plea is voluntary and did not result from force, threats, or
promises (other than promises in a plea agreement).
(3) Determining the Factual Basis for a Plea. Before entering
judgment on a guilty plea, the court must determine that
there is a factual basis for the plea.
(c) Plea Agreement Procedure.
(1) In General. An attorney for the government and the de-
fendant’s attorney, or the defendant when proceeding pro se,
may discuss and reach a plea agreement. The court must not
participate in these discussions. If the defendant pleads guilty
or nolo contendere to either a charged offense or a lesser or re-
lated offense, the plea agreement may specify that an attor-
ney for the government will:
(A) not bring, or will move to dismiss, other charges;
(B) recommend, or agree not to oppose the defendant’s
request, that a particular sentence or sentencing range is
appropriate or that a particular provision of the Sentenc-
ing Guidelines, or policy statement, or sentencing factor
does or does not apply (such a recommendation or request
does not bind the court); or
(C) agree that a specific sentence or sentencing range is
the appropriate disposition of the case, or that a particu-
lar provision of the Sentencing Guidelines, or policy state-
ment, or sentencing factor does or does not apply (such a
recommendation or request binds the court once the court
accepts the plea agreement).
(2) Disclosing a Plea Agreement. The parties must disclose
the plea agreement in open court when the plea is offered, un-
less the court for good cause allows the parties to disclose the
plea agreement in camera.
(3) Judicial Consideration of a Plea Agreement.
(A) To the extent the plea agreement is of the type speci-
fied in Rule 11(c)(1)(A) or (C), the court may accept the
agreement, reject it, or defer a decision until the court has
reviewed the presentence report.
(B) To the extent the plea agreement is of the type speci-
fied in Rule 11(c)(1)(B), the court must advise the defend-
ant that the defendant has no right to withdraw the plea
if the court does not follow the recommendation or re-
quest.
(4) Accepting a Plea Agreement. If the court accepts the plea
agreement, it must inform the defendant that to the extent
the plea agreement is of the type specified in Rule 11(c)(1)(A)
or (C), the agreed disposition will be included in the judgment.
(5) Rejecting a Plea Agreement. If the court rejects a plea
agreement containing provisions of the type specified in Rule
11(c)(1)(A) or (C), the court must do the following on the
record and in open court (or, for good cause, in camera):
(A) inform the parties that the court rejects the plea
agreement;
(B) advise the defendant personally that the court is not
required to follow the plea agreement and give the defend-
ant an opportunity to withdraw the plea; and
(C) advise the defendant personally that if the plea is not
withdrawn, the court may dispose of the case less favor-
ably toward the defendant than the plea agreement con-
templated.
(d) Withdrawing a Guilty or Nolo Contendere Plea. A defendant
may withdraw a plea of guilty or nolo contendere:
(1) before the court accepts the plea, for any reason or no
reason; or
(2) after the court accepts the plea, but before it imposes
sentence if:
(A) the court rejects a plea agreement under Rule
11(c)(5); or
(B) the defendant can show a fair and just reason for re-
questing the withdrawal.
(e) Finality of a Guilty or Nolo Contendere Plea. After the court
imposes sentence, the defendant may not withdraw a plea of
guilty or nolo contendere, and the plea may be set aside only on
direct appeal or collateral attack.
(f) Admissibility or Inadmissibility of a Plea, Plea Discussions,
and Related Statements. The admissibility or inadmissibility of a
plea, a plea discussion, and any related statement is governed by
Federal Rule of Evidence 410.
(g) Recording the Proceedings. The proceedings during which
the defendant enters a plea must be recorded by a court reporter
or by a suitable recording device. If there is a guilty plea or a nolo
contendere plea, the record must include the inquiries and advice
to the defendant required under Rule 11(b) and (c).
(h) Harmless Error. A variance from the requirements of this
rule is harmless error if it does not affect substantial rights.