The “influencers” section of my blog reveals my admiration for the work of Stephen Covey, who authored The Seven Habits of Highly-Effective People. As one of those habits, he advised, “Seek first to understand, then to be understood.” It’s powerful wisdom—especially true for anyone facing charges in federal court for the first time.
Such people instinctively protest:
“But I’ve never even had a speeding ticket before!”
This impulse reflects an understandable human emotion. We want others to hear us, to understand us. Yet’s it’s a mistake to think that stakeholders care anything about you. They will see you for what you are: someone facing criminal charges.
To advance your prospect for best outcomes, try to think of it from the stakeholder’s perspective. Whether you’ve been cited with a speeding ticket in the past is irrelevant to the change in your status. Another way of looking at things is that you’ve never died before. That doesn’t make you immortal. In other words, your previously spotless record holds little sway with stakeholders whose primary concern is the charge you now face.
When navigating the criminal justice system, rather than trying to persuade others that you’re don’t belong, start by working to develop a better understanding of how the system and people inside of it operate. After you clearly grasp the system’s mechanisms, motivations, and expectations, you can more effectively communicate your own story and advocate for your best interests.
I didn’t understand the system when authorities first arrested me. Ignorance of the system led to my making a series of strategic mistakes at the start of my sentence. I had broken the law, and I could not change the past. But had I understood more about the system, I could have made better decisions while going through the process.
What should you know before you get started?
Although I’m not a lawyer and I’m not qualified to dispense legal advice, I’ll share what I learned from going through the system.
The Investigation and Arrest
Most federal cases result from lengthy investigations by agencies like the FBI, DEA, SEC, or IRS. These investigations often include collecting evidence through surveillance, financial records, or interviews.
If you’re arrested, it’s crucial to know your rights. You have the right to remain silent and the right to an attorney. Exercise these rights immediately. You should expect law enforcement officers to use everything you say to build or strengthen a case against you.
- Do not discuss your case or provide explanations during your arrest.
- Request an attorney before any questioning, no matter how confident you feel about explaining your side of the story.
The Initial Appearance and Arraignment
After your arrest, you’ll appear before a judge for an initial hearing. At this stage, the court will confirm your identity, explain the charges, and determine whether you’ll be held in custody or released on bail as you await trial.
Soon after, you’ll have an arraignment, where a judge will formally read the charges against you. The judge will ask that you enter a plea of “guilty” or “not guilty.” Most people begin by pleading “not guilty” at this stage. It allows the defense attorney time to review the evidence. This stage mark the start of the legal process, not the end.
Discovery (Understanding the Evidence)
After the arraignment, you’ll enter the discovery phase. This is an opportunity for you and your legal team to review all the evidence that prosecutors intend to use against you. Discovery may include witness statements, documents, audio or video recordings, and other case details.
Defense attorneys consider this stage as being critical for crafting a defense strategy. An experienced attorney will help identify strengths and weaknesses in the evidence, providing you with a clearer understanding of the case’s potential outcomes.
- Be honest with your attorney. Share all relevant information to ensure a complete defense.
- Avoid discussing your case with anyone else, including family and friends, as innocent comments can unintentionally hurt your defense.
- Ask your attorney if he’ll allow you to participate in building a mitigation strategy.
Plea Bargaining
A large percentage of federal cases are resolved through plea bargains. This means the prosecution may offer to reduce your charges or recommend a lighter sentence in exchange for your guilty plea. While this can be an attractive option, it’s important to weigh the offer carefully.
Questions to consider before accepting a plea deal:
- Does the evidence overwhelmingly support the charges?
- What are the risks of going to trial versus the plea’s potential sentence?
Speak with your attorney about the pros and cons of any deal. A good lawyer won’t pressure you into a decision but will help you fully understand your options. You should also do your research, to get a better understanding of the results that follow for people who’ve gone through an arraignment in federal court. The more you learn about the system, and the results that most people get, the more confident you’ll become in building a strategy.
Preparing for Trial (If Necessary)
If your case doesn’t result in a plea agreement or dismissal, prosecutors will likely proceed to trial. Trials involve selecting a jury, presenting evidence, and calling witnesses. Both the prosecution and defense build arguments, and the jury (or judge, in a bench trial) ultimately decides whether you’re guilty or not guilty.
Trials can be lengthy and unpredictable. In my case, the trial lasted three to four weeks. I wasn’t prepared for all the challenges. Consider how well you’ve prepared, and all resources available to you, long before you choose to proceed through trial.
- Follow your attorney’s guidance regarding how to present yourself in court.
- Consider your appearance, body language, and demeanor.
- Familiarize yourself with courtroom procedures so you feel more confident during proceedings.
Sentencing
If the judge or jury find you guilty, either through a plea deal or after trial, the next step is to prepare for sentencing. A federal probation officer will conduct a pre-sentence investigation. Make sure you learn everything possible about that investigation, and the influence of the report the probation officer will generate.
Federal sentencing guidelines consider the nature of the offense, criminal history, and other contributing factors that may enhance the sentence.
A judge ultimately determines penalties, which may include fines, probation, or prison time, or a combination of all three. Sentencing hearings also provide an opportunity for your attorney to offer mitigating evidence that could reduce the severity of your punishment. I encourage you to work with your attorney, and to participate in building a comprehensive mitigation strategy. Start preparing early for the next phase of your life, no matter the outcome. It’s never too late to start building a new path forward.
Key Terms
Understanding the language of the legal system removes some of the fear of the unknown. Start with some basic terms that come up during federal cases:
- Plea Bargain: An agreement between the defendant and prosecution to resolve the case without trial, often involving a reduced sentence.
- Proffer: A statement made by the defendant to the prosecution outlining their involvement in the charges against them.
- Subpoena: A legal document ordering someone to appear in court as a witness or provide evidence.
- Deposition: An out-of-court testimony given under oath and recorded for use in trial.
- Motion: A formal request made to the judge by either party during a trial.
- Mitigating Circumstances: Factors that may lessen the severity of a crime
- Arraignment: A hearing where you formally hear your charges and enter a plea.
- Discovery: The process of examining the evidence the prosecution has against you.
- Indictment: A formal charge issued by a grand jury, signifying there is sufficient evidence to move forward.
- Sentencing Guidelines: A framework judges use to determine appropriate penalties for federal crimes.
Steps You Can Take Right Now
- Find a Qualified Attorney. Look for someone experienced in federal cases. This partnership will shape how well you understand and handle the process.
- Educate Yourself. The more informed you are about the federal system, the less overwhelming it becomes. Ask questions, stay involved, and take notes during meetings with your lawyer.
- Focus on Your Mindset. Fear and worry don’t change outcomes, but preparation does. Commit to staying proactive and disciplined throughout the process.
- Avoid Social Media. Anything you post online can be accessed and used by investigators or attorneys. Silence protects you.
Being charged with a federal crime doesn’t define who or what you are. You will always have the opportunity to respond, to recalibrate. You should strive to understand the process, make informed decisions, calculate the risks, protect your rights, and prepare for the road ahead.
Reflection Questions:
- What resources or individuals can help you better understand your case?
- How can you shift your focus from fear to strategizing for the future?
- What proactive step can you take today to support your defense?
Use all the tools we make available at Prison Professors to learn. And if you don’t know something, ask.
