Opinion ID: 196984
Heading Depth: 4
Heading Rank: 1

Heading: Challenge to the Guilty Plea

Text: 24 Although he never moved to withdraw his plea prior to sentencing, Rivera-DeCelis now challenges its validity. 7 He claims that his plea was not voluntary, because the district court failed to offer an adequate explanation of the charges against him or to determine whether he understood the consequences of his plea. 25 We do not agree. On the record before us, we find no error. 1. Legal Standards 26 A defendant does not enjoy an absolute right to withdraw a plea of guilty, once it has been entered. United States v. Isom, 85 F.3d 831, 834 (1st Cir.1996); United States v. Austin, 948 F.2d 783, 786 (1st Cir.1991); Fed.R.Crim.P. 11 & 32(e). Where a defendant does not seek to withdraw his plea before the district court and challenges its validity only on appeal, he or she faces a high hurdle: The challenge can succeed only if the defendant demonstrates that there was a substantial defect in the Rule 11 proceeding itself. 8 United States v. Piper, 35 F.3d 611, 613-14 (1st Cir.1994), cert. denied, --- U.S. ----, 115 S.Ct. 1118, 130 L.Ed.2d 1082 (1995); see also United States v. Japa, 994 F.2d 899, 902 (1st Cir.1993); 9 United States v. Parra-Ibanez, 936 F.2d 588 (1st Cir.1991); 10 accord United States v. Cotal-Crespo, 47 F.3d 1, 3 (1st Cir.), cert. denied, --- U.S. ----, 116 S.Ct. 94, 133 L.Ed.2d 49 (1995); Fed.R.Crim.P. 32(e). 27 In evaluating the validity of an appellant's plea, we review the totality of the circumstances surrounding the Rule 11 hearing. Cotal-Crespo, 47 F.3d at 4. 11 2. The Plea Colloquy 28 As to the validity of the Rule 11 proceeding below, appellant Rivera-DeCelis rests his argument on two points: (1) his limited education and ability to understand the written word, because of his dyslexia; and (2) the district court's failure to ensure that Rivera-DeCelis actually had read the superseding indictment under which he was charged. The government argues that the appellant's Rule 11 challenge--at this late hour--is wholly without merit. 29 The government has the better argument. 30 The core concerns of Rule 11 require that the defendant be instructed in open court with respect to the nature of the charge to which the plea is offered, Fed.R.Crim.P. 11(c)(1), and that a plea  'cannot be considered truly voluntary unless the defendant possesses an understanding of the law in relation to the facts.'  United States v. Broce, 488 U.S. 563, 570, 109 S.Ct. 757, 762, 102 L.Ed.2d 927 (1989) (quoting McCarthy v. United States, 394 U.S. 459, 466, 89 S.Ct. 1166, 1171, 22 L.Ed.2d 418 (1969)); Piper, 35 F.3d at 614. 31 In the case before us, the district judge addressed Rivera-DeCelis personally, directly, and with careful questions designed to ensure that defendant actually understood the proceedings. The judge specifically explained both the elements of each offense and the factual accusations against the defendant. As he walked Rivera-DeCelis through these aspects of the case against him, the judge inquired--at each turn--whether Rivera-DeCelis subjectively understood the situation. The district judge also made sure that Rivera-DeCelis in fact grasped the consequences of his plea. Fed.R.Crim.P. 11(c)(1). Only after assuring himself that Rivera-DeCelis understood the charges, the facts that formed their bases and the consequences of his plea, did the district judge ask Rivera-DeCelis to attest to the facts to which he was pleading guilty. 12 32 Consideration of other factors surrounding the plea does not yield a better result for the appellant. With respect to the validity of the proffered reasons for requesting that we set aside Rivera-DeCelis' plea, we are not persuaded, particularly given the care with which the district judge directly addressed the defendant on each issue of central concern under Rule 11. The timing of the request, made for the first time before an appellate court, also counsels against setting aside the plea. The defendant made no assertion of legal innocence; and, finally, the plea was offered pursuant to a negotiated plea agreement. 33 In short, the district judge fully addressed the core concerns of Rule 11. Accordingly, we decline to set aside appellant Rivera-DeCelis' plea of guilty. 34