What Happens at an Arraignment — In Plain Words

General information only — not legal advice, and not written by a lawyer.

This page explains the federal process.

That means cases in United States federal court.

State courts run their own versions of this step.

State rules and state steps can be different.

This page does not describe any one state's process.

The short answer

An arraignment is a hearing in open court.

The court makes sure the defendant has a copy of the indictment or information.

That paper is the formal charge.

The indictment or information is read to the defendant.

Or the court states the substance of the charge instead.

Then the court asks the defendant to plead to the indictment or information.

That three-part list is what Rule 10 of the Federal Rules of Criminal Procedure says an arraignment must consist of.

Two different steps: initial appearance and arraignment

These are not the same step.

They have different rules.

• Initial appearance is Rule 5.
• Arraignment is Rule 10.

Rule 5 says this plainly about pleas:

“A defendant may be asked to plead only under Rule 10.” — Rule 5(d)(4)

So no plea is asked for at the initial appearance under Rule 5.

The plea is asked for at the arraignment under Rule 10.

Step one: the initial appearance (Rule 5)

After an arrest in the United States, the person making the arrest must take the defendant without unnecessary delay before a magistrate judge.

Rule 5 allows an appearance before a state or local judicial officer in the place Rule 5(c) provides, unless a statute provides otherwise.

In a felony case, Rule 5(d)(1) says the judge must inform the defendant of:

• the complaint against the defendant, and any affidavit filed with it;
• the defendant's right to retain counsel, or to request that counsel be appointed if the defendant cannot obtain counsel;
• the circumstances, if any, under which the defendant may secure pretrial release;
• any right to a preliminary hearing;
• the defendant's right not to make a statement, and that any statement made may be used against the defendant; and
• for a defendant who is not a United States citizen, that the defendant may request that an attorney for the government or a federal law enforcement official notify a consular office from the defendant's country of nationality that the defendant has been arrested — and that a treaty or other international agreement may require consular notification even without that request.

Rule 5(d)(2) says the judge must allow the defendant a reasonable opportunity to consult with counsel.

Rule 5(d)(3) says the judge must detain or release the defendant as provided by statute or by the rules.

If the defendant is charged with a misdemeanor only, Rule 5(e) says the judge must inform the defendant in accordance with Rule 58(b)(2).

Video teleconferencing may be used to conduct an appearance under Rule 5 if the defendant consents.

How the U.S. Courts overview describes the pretrial stage

The U.S. Courts “Criminal Cases” page describes the initial appearance this way.

A judge who has reviewed arrest and post-arrest investigation reports advises the defendant of the charges filed.

The judge considers whether the defendant should be held in jail until trial.

The judge determines whether there is probable cause to believe that an offense has been committed and that the defendant has committed it.

Defendants who are unable to afford counsel are advised of their right to a court-appointed attorney.

Defendants released into the community before trial may be subject to electronic monitoring or drug testing.

They may also be required to make periodic reports to a pretrial services officer, to ensure appearance at trial.

That overview is a short summary.

Rule 5 above is the rule text itself.

Step two: the arraignment (Rule 10)

Rule 10(a) says an arraignment must be conducted in open court.

It must consist of three things, in this order:

1. ensuring that the defendant has a copy of the indictment or information;
2. reading the indictment or information to the defendant, or stating to the defendant the substance of the charge; and then
3. asking the defendant to plead to the indictment or information.

The U.S. Courts overview puts it in shorter words:

“The defendant enters a plea to the charges brought by the U.S. Attorney at a court hearing known as arraignment.”

When the defendant does not have to be there in person

Rule 10(b) covers waiving appearance.

A defendant need not be present for the arraignment if all of these are true:

• the defendant has been charged by indictment or misdemeanor information;
• the defendant, in a written waiver signed by both the defendant and defense counsel, has waived appearance and has affirmed that the defendant received a copy of the indictment or information and that the plea is not guilty; and
• the court accepts the waiver.

Rule 10(c) covers video.

Video teleconferencing may be used to arraign a defendant if the defendant consents.

Your right to a lawyer, as the anchors state it

At the initial appearance in a felony case, Rule 5(d)(1)(B) says the judge must tell the defendant about the right to retain counsel.

The judge must also tell the defendant about the right to request that counsel be appointed if the defendant cannot obtain counsel.

Rule 5(d)(2) says the judge must allow the defendant a reasonable opportunity to consult with counsel.

The U.S. Courts overview says defendants who are unable to afford counsel are advised of their right to a court-appointed attorney.

After the plea

This part comes from the U.S. Courts “Criminal Cases” overview.

It describes two plea paths.

“More than 90 percent of defendants plead guilty rather than go to trial.” — U.S. Courts, “Criminal Cases”

If the defendant pleads guilty:

• If a defendant pleads guilty in return for the government agreeing to drop certain charges or to recommend a lenient sentence, the agreement often is called a “plea bargain.”
• If the defendant pleads guilty, the judge may impose a sentence.
• But more commonly, the judge will schedule a later hearing to determine the sentence.
• In most felony cases, the judge waits for the results of a presentence report from the court's probation office before imposing sentence.

If the defendant pleads not guilty:

• If the defendant pleads not guilty, the judge will schedule a trial.

Rule 10(a) itself does not list plea names in its main text.

It says only that the defendant is asked to plead to the indictment or information.

The guilty and not guilty paths above are the ones the U.S. Courts overview describes.

What this page does not cover

This page does not give timelines for a real case.

It does not give bail amounts.

It does not give penalty figures.

The sources above do not set those out for the arraignment step in that way.

It also does not describe state court arraignments.

State courts run their own versions of this step.

General information only — not legal advice, and not written by a lawyer.