BENCHBOOK FOR U.S. DISTRICT COURT JUDGES-2007
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Section 1 - Criminal Pre-Trial

        1.07 Arraignment And Plea (FRCP 10)

        1.07.1 Arraignment And Plea: Inquiries And Procedures
        1.07.2 Arraignment And Plea: Other Sources [Reserved]

BENCHBOOK FOR U.S. DISTRICT COURT JUDGES-2007

1.07.1 Arraignment And Plea: Inquiries And Procedures (FRCP 10)

[Note: Under the Crime Victims’ Rights Act, 18 USC 3771(a)(2) and (3), any victim of the offense has the right to notice of "any public court proceeding . . . involving the crime . . . of the accused," and to attend that proceeding. It may be advisable to ask the prosecutor if there are any victims and, if so, whether the government has fulfilled its duty to notify them.]

A defendant who was charged by indictment or misdemeanor information may waive appearance at the arraignment if a written waiver is signed by the defendant and defense counsel, the defendant affirms that a copy of the indictment or information was received, the plea is not guilty, and the court accepts the waiver. FRCP 10(b).

The following procedure may be used whether the defendant appears in person or has consented to video teleconference under FRCP 10(c). If the arraignment is by video teleconferencing and there is no prior written consent, begin the arraignment by having the defendant explicitly consent to conduct the arraignment by video teleconference and waive the right to appear in person.

A.     Preliminary

Have oath administered and ask the defendant:

1. What is your full name?

2. How old are you?

3. How far did you go in school? What is your employment experience?

[If you are not sure the defendant can understand English, ask:]

4. Are you able to speak and understand English?

[If the defendant has an attorney, ask counsel if he or she has been able to communicate with the defendant. If you doubt the defendant’s capacity to understand English, use a certified interpreter. See 28 USC 1827.]

5. Are you currently or have you recently been under the care of a physician or a psychiatrist or been hospitalized or treated for narcotics addiction? Have you taken any drugs, medicine, or pills or drunk any alcoholic beverage in the past twenty-four hours?

[If the answer to either question is yes, pursue the subject with the defendant and with counsel to determine that the defendant is currently competent to enter a plea.]

6. Do you have an attorney?

[If not, see supra section 1.02: Assignment of counsel or pro se representation).]

B.     Ask the defendant:

1. Have you received a copy of the indictment (information)?

2. Have you had time to consult with your attorney?

3. Do you want the indictment (information) read, or will you waive the reading of the indictment (information)?

[Have the indictment (information) read if the defendant so desires.]

4. How do you plead to the charges?

C.     If the defendant’s plea is not guilty:

1. Set motion and/or trial dates according to your local Speedy Trial Act plan.

2. Continue or reset bail (see supra section 1.03: Release or detention pending trial).

D.     If the defendant indicates a desire to plead guilty or nolo contendere, see infra section 2.01: Taking pleas of guilty or nolo contendere.

BENCHBOOK FOR U.S. DISTRICT COURT JUDGES-2007

1.07.2 Arraignment And Plea Inquiries And Procedures: Other Sources [Reserved]