FILED U.S. COURT OF A P P E A LS E LE V EN T HC IR C U IT OCTOB ER 25 , 2005 THOMAS K. KAH

N CLERK [ DO NO T P UB L I S H] I N THE UN I TE D STATE S C OU RT OF APPE ALS F O R T H E E L E V E N T H C IR C U IT

________________________ N o. 05- 10365 N on -A rgum entC al endar

________________________ D . C. D o c k e tN o . 0 4 - 0 0 1 2 0 - CR- CG U N I T E D S T A T E S O F A M E R I C A , P la in tif f - A p p e lle e , v ersu s S H A W N L . C H A V I S , D e f e n d a n t- A p p e lla n t.

________________________ A pp ea l fr om the U ni t ed S t at es D i stri ctC ou rt f o rth e So u th e r n D i s tr i c to f A l a b a ma

_________________________ ( O c t ob e r 25, 2005) B efo re T JO F L A T , H U L L an d W IL S O N , C i rcu i tJu d g es. P E R C U R I A M: S ha w n L . C ha vi s pl e d gui l ty pur s ua ntt o a pl e a a gr e e m e ntt o the c r i m e ofWe do n ot add re ss C havis ’s ine ff

e c tiv ea ssi sta

nc ec laim. I f C havis ha s g oo d re a so n to 1 be lie vethat hi s atto rn e y ’s pe rf or manc ewa s c on sti tution a lly de fi c ie nt, hemay

purs uehis c laim i n a proc e e din gbrou ght u

nd e r 2 8 U .S. C. § 22 55 , whe rethefac ts und e rlyingthec laim m ay befully established. 2 p o s s e s s io n w ith in te n t to d is tr ib u te c o c a in e b a s e , in v io la tio n o f 2 1 U .S .C . § 84 1(a) (1). T he di stri ctcourtac ce pt ed hi s pl ea , adj ud ged h i m gu i l ty of the offens e, a nd i m pos e d s e nt e nc e . C ha vi s now a ppe a l s hi s c onvi c t i on. H e c ont e nds tha tthe di s tr i c tc our t , i n e nt e r t a i ni ng hi s gui l ty pl e a , f a i l e d t o gi ve hi m the w a r ni ngs r e qui r e d by F e d. R . C r i m . P . 11( c ) ( 3) , ( 4) & ( 5) ; thus , hi s pl e a w a s notknow i ng a nd vol unt a r y . H e c ont e nds a l t e r na t i ve l y tha thi s a t t or ne y , i n a dvi s i ng hi m t o s i gn the pl ea agre em ent , w as i neff ec t i ve. 1 In re spon se , the G ov ernm entas ks thatw e di sm i ss C havi s’ s app ea l beca use, a s pa r tof the pl e a a gr e e m e nt , he w a i ve d hi s r i ghtt o a ppe a l . T he pl e a a gr e e m e nt doe s c ont a i n a w a i ve r , butthe w a i ve rr e l a t e s onl y t o C ha vi s ’ s r i ghtt o a ppe a l a ny s e n te n c e th e c o u r t im p o s e d . N o th in g in th e a g r e e m e n t in d ic a te s th a t C h a v is w a iv e d h is r ig h t to ap p e a l h is c o n v ic tio n . C o n s e q u e n tly , th is a p p e a l, w h ic h g o e s to the he a r tof

the pl e a of

gui l ty , i s notw a i ve d. S e e U ni t e d S t a t e s v. B us he r t , 997 F .2 d 1 3 4 3 , 1 3 4 7 ( 1 1 th C ir . 1 9 9 3 ) . W he r e a de f

e nda nt , i n t e nde r i ng a pl e a of gui l ty , doe s notobj e c tt o the c our t ’ s R ul e 11 c ol l oquy w i th hi m , he m a y obt a i n the va c a t i on of hi s pl e a on a ppe a l onl y i f

he s how s pl a i n e r r or . U ni t e d S t a t e s v. V onn, 535 U . S . 55, 59, 1223

S . C t . 10 43 , 10 46 , 15 2 L . E d. 2d 90 (200 2). A cc ordi ng l y, he m ustes t abl i sh (1) that an er ror occurr ed, (2) thati s pl ai n, and (3) t hataf fe ct s s ub st ant i al ri gh t s. U ni t ed S t a t e s v. O l a no, 507 U . S . 725, 731- 32, 113 S . C t . 1770, 1776, 123 L . E d. 2d 508 ( 1993) . I f

he doe s thi s , w e m a y e xe r c i s e ourdi s c r e t i on a nd c or r e c tthe e r r or( by gr a nt i ng r e l i e f

) i f i t“ s e r i ous l y a f

f e c t s the f a i r ne s s , i nt e gr i ty , orpubl i c r e put a t i on of the j udi c i a l pr oc e e di ngs . ” I d. a t732, 113 S . C t . 15 1776 ( i nt e r na l quot a t i ons a nd c ita tio n o m itte d ) . B e f or e the di s tr i c tc our ta c c e pt s a gui l ty pl e a , i tm us ta ddr e s s the de f e nda nt in o p e n c o u r t a n d e n s u r e th a t th e th r e e c o r e c o n c e r n s o f R u le 1 1 h a v e b e e n m e t:

“ ( 1) the gui l ty pl e a m us tbe f r e e f r om c oe r c i on; ( 2) the de f e nda ntm us tunde r s t a nd the na tur e of

the c ha r ge s ; a nd ( 3) the de f e nda ntm us tknow a nd unde r s t a nd the consequences of hi s gui l ty pl ea . ” L ej ar de-R ada, 31 9 F . 3d 12 89 (i nt ernal quot a t i ons a nd c i t a t i on om i t t e d) . A c c or di ng t o R ul e 11, i f , i n a pl e a a gr e e m e nt , the gove r nm e ntpr om i s e s nott o pr os e c ut e a ddi t i ona l c ha r ge s , the c our tha s the opt i on of ac ce pt i ng the agree m ent , re j ec t i ng i t , or defe rr i ng a dec i si on un t i l af t eri thas re ad the pres ent ence i nv es t i gat i on re po rt . F ed. R . C ri m . P . 11 (c )( 1)(A ), (3)( A ). If the c our ta c c e pt s the pl e a a gr e e m e nt , i tm us ti nf or m the de f

e nda nttha tthe g o v e r n me n t ’ s p r o mi s e s w i l l b e i n c l u d e d i n th e c o u r t ’ s f i n a l j u d g me n t . Fe d . R. C ri m . P . (c )( 4). If

the courtre

j ec t s the pl eaagre em ent , i tm ustdo so i n t he m anner4

di c t a t e d by F e d. R . C r i m . P . 11( c ) ( 5) by i nf or m i ng the pa r t i e s tha ti tr e j e c t s the a gr e e m e nt , a dvi s i ng the de f e nda nttha tthe c our ti s notr e qui r e d t o f ol l ow the a gr e e m e nt , gi vi ng the de f e nda nta n oppor tuni ty t o w i thdr a w hi s pl e a , a nd a dvi s i ng the de f e nda nttha t , i f

the pl e a i s notw i thdr a w n, the c our t ’ s di s pos i t i on m a y notbe as fav o rab l e as t h ato f th e p l ea ag reem en t . F ed . R . C ri m . P . 1 1 (c)(5 ). A d d i t i o n al l y, the gove r nm e ntm a y pr om i s e t o “ r e c om m e nd, ora gr e e nott o oppos e the d e f e n d a n t’s r e q u e s t, th a t a p a r tic u la rs e n te n c e o rs e n te n c in g r a n g e is a p p r o p r ia te . .

. ” F ed . R . C ri m . P . 1 1 (c)(1 )(B ). If th e g o v ern m en tso p ro m i ses, th e co u rtm u st advi se the defendantthathe do es no thave a ri gh tt o w i thd ra w the pl ea i f the court d o e s n o tf

o l l o w th e r e c o mme n d a t i o n i n th e a g r e e me n t . Fe d . R. Cr i m. P. 11 (c )( 3)(B ). I n thi s c a s e , the di s tr i c tc our t , dur i ng the pl e a c ol l oquy , om i t t e d s om e of the st at em ent s r equi re d b y R ul e 11(c)( 3), (4), and (5) because tho se st at em ent s w er e e i the rnota ppl i c a bl e t o C ha vi s ’ s pl e a a gr e e m e nt , ora l r e a dy w e r e i nc l ude d i n the pl e a a gr e e m e nt . W e do notf a ul tthe c our tf

orha vi ng done s o; he nc e , w e f i nd no b a s is f o rv a c a tin g C h a v is ’s g u ilty p le a a n d h is c o n v ic tio n . AF F I RME D.