– Table of Contents –

Federal Rules of Evidence – Rule 410

(through July 14, 2022)

Actual Rule

(a) Prohibited Uses. In a civil or criminal case, evidence of the following is not admissible against the defendant who made the plea or participated in the plea discussions:

(1) a guilty plea that was later withdrawn;

(2) a nolo contendere plea;

(3) a statement made during a proceeding on either of those pleas under Federal Rule of Criminal Procedure 11 or a comparable state procedure; or

(4) a statement made during plea discussions with an attorney for the prosecuting authority if the discussions did not result in a guilty plea or they resulted in a later-withdrawn guilty plea.

(b) Exceptions. The court may admit a statement described in Rule 410(a)(3) or (4):

(1) in any proceeding in which another statement made during the same plea or plea discussions has been introduced, if in fairness the statements ought to be considered together; or

(2) in a criminal proceeding for perjury or false statement, if the defendant made the statement under oath, on the record, and with counsel present.

Selected Committee Notes 

Withdrawn pleas of guilty were held inadmissible in federal prosecutions in Kercheval v. United States, 274 U.S. 220, 47 S.Ct. 582, 71 L.Ed. 1009 (1927). The Court pointed out that to admit the withdrawn plea would effectively set at naught the allowance of withdrawal and place the accused in a dilemma utterly inconsistent with the decision to award him a trial. The New York Court of Appeals, in People v. Spitaleri, 9 N.Y.2d 168, 212 N.Y.S.2d 53, 173 N.E.2d 35 (1961), reexamined and overturned its earlier decisions which had allowed admission. In addition to the reasons set forth in Kercheval, which was quoted at length, the court pointed out that the effect of admitting the plea was to compel defendant to take the stand by way of explanation and to open the way for the prosecution to call the lawyer who had represented him at the time of entering the plea. State court decisions for and against admissibility are collected in Annot., 86 A.L.R.2d 326.

Pleas of nolo contendere are recognized by Rule 11 of the Rules of Criminal Procedure, although the law of numerous States is to the contrary. The present rule gives effect to the principal traditional characteristic of the nolo plea, i.e., avoiding the admission of guilt which is inherent in pleas of guilty. This position is consistent with the construction of Section 5 of the Clayton Act, 15 U.S.C. §16(a), recognizing the inconclusive and compromise nature of judgments based on nolo pleas. General Electric Co. v. City of San Antonio, 334 F.2d 480 (5th Cir. 1964); Commonwealth Edison Co. v. Allis-Chalmers Mfg. Co., 323 F.2d 412 (7th Cir. 1963), cert. denied 376 U.S. 939, 84 S.Ct. 794, 11 L.Ed.2d 659; Armco Steel Corp. v. North Dakota, 376 F.2d 206 (8th Cir. 1967); City of Burbank v. General Electric Co., 329 F.2d 825 (9th Cir. 1964). See also state court decisions in Annot., 18 A.L.R.2d 1287, 1314.

Exclusion of offers to plead guilty or nolo has as its purpose the promotion of disposition of criminal cases by compromise. As pointed out in McCormick §251, p. 543

“Effective criminal law administration in many localities would hardly be possible if a large proportion of the charges were not disposed of by such compromises.”

See also People v. Hamilton, 60 Cal.2d 105, 32 Cal.Rptr. 4, 383 P.2d 412 (1963), discussing legislation designed to achieve this result. As with compromise offers generally, Rule 408, free communication is needed, and security against having an offer of compromise or related statement admitted in evidence effectively encourages it.

Limiting the exclusionary rule to use against the accused is consistent with the purpose of the rule, since the possibility of use for or against other persons will not impair the effectiveness of withdrawing pleas or the freedom of discussion which the rule is designed to foster. See A.B.A. Standards Relating to Pleas of Guilty §2.2 (1968). See also the narrower provisions of New Jersey Evidence Rule 52(2) and the unlimited exclusion provided in California Evidence Code §1153.

– Table of Contents –

Key Rules (MBE/MEE)

• FRE 103 – Evidence Rulings
• FRE 104 – Preliminary Questions
• FRE 105 – Limiting How Evidence may be Used
• FRE 106 – Completeness Rule
• FRE 201 – Judicial Notice
• FRE 301 – Presumptions
• FRE 401 – Relevance
• FRE 402 – Irrelevant = Inadmissible
• FRE 403 – Excluding the Prejudicial, Confusing, etc.
• FRE 404 – Character Evidence
• FRE 405 – Proving Character
• FRE 406 – Habit, Routine
• FRE 407 – Subsequent Remedial Measures
• FRE 408 – Compromise Negotiations
• FRE 409 – Offers to Pay Expenses
• FRE 410 – Pleas, Related Statements
• FRE 411 – Liability Insurance
• FRE 412 – Victim’s Sexual Predisposition
• FRE 413, 414, 415 – Other Sex-Related Rules
• FRE 501 – Privilege in General
• FRE 502 – Attorney-Client Privilege, Work-Product Doctrine
• FRE 601 – Witness Competency
• FRE 602 – Personal Knowledge
• FRE 605 – Judge as Witness
• FRE 606 – Juror as Witness
• FRE 607 – Impeachment
• FRE 608 – Honest, Dishonest Character
• FRE 609 – Evidence of Criminal Conviction
• FRE 610 – Religious Beliefs
• FRE 611 – Mode, Order of Evidence
• FRE 612 – Recollection Refreshed
• FRE 613 – Prior Statements
• FRE 614 – Court Witness Examination
• FRE 615 – Excluding Witnesses
• FRE 701 – Non-Expert Opinion
• FRE 702 – Expert Opinion
• FRE 703 – Bases of Expert Opinion
• FRE 704 – Ultimate Issue
• FRE 705 – Disclosing Underlying Data
• FRE 801 – Hearsay Defined
• FRE 802 – Rule Against Hearsay
• FRE 803 – Strong Hearsay Exceptions
• FRE 804 – Weak Hearsay Exceptions
• FRE 805 – Double Hearsay
• FRE 806 – Impeaching Hearsay Declarants
• FRE 807 – Residual Hearsay Exception
• FRE 901 – Authentication, Identification
• FRE 902 – Self-Authenticating Evidence
• FRE 1001 – Original Defined
• FRE 1002 – Original Sometimes Required
• FRE 1003 – When Copies Generally Admissible
• FRE 1004 – Other Times Admissible
• FRE 1005 – Public Record Copies Often Admissible
• FRE 1006 – Summaries
• FRE 1007 – Acknowledged Content
• FRE 1008 – Functions of Court, Jury
• FRE 1101 – Rules’ Applicability