Opinion ID: 792364
Heading Depth: 1
Heading Rank: 2

Heading: the change-of-plea colloquy

Text: 19 The appellant's principal argument on appeal is that, in electing to plead guilty, he relied on misleading statements that prompted him to believe that he would secure the benefit of the safety valve provision (and, thus, a lower sentence). The appellant says that he would not have pleaded guilty but for this mistaken impression and that, therefore, his plea was involuntary. We find this argument unconvincing. 20 Where, as here, a defendant fails to object contemporaneously to a particular aspect of change-of-plea proceedings, appellate review of a belatedly asserted objection is for plain error. United States v. Vonn, 535 U.S. 55, 63, 122 S.Ct. 1043, 152 L.Ed.2d 90 (2002). In order to prevail under this rigorous standard, the defendant must show (1) that an error occurred (2) which was clear or obvious and which not only (3) affected the defendant's substantial rights, but also (4) seriously impaired the fairness, integrity, or public reputation of judicial proceedings. United States v. Duarte, 246 F.3d 56, 60 (1st Cir.2001). 21 Withdrawing a guilty plea is not an absolute right. See Fed.R.Crim.P. 11(d)(2)(B) (requiring a defendant to show a fair and just reason for withdrawal). The barriers to withdrawal of a guilty plea become more formidable when, as in this case, the request is not made until after sentence has been imposed. Vonn, 535 U.S. at 72, 122 S.Ct. 1043. While an evaluation of the reason for the requested withdrawal of a guilty plea entails an appraisal of the totality of the circumstances, the case law suggests that an inquiring court should give particular weight to four elements: (i) the plausibility of the proffered reason, (ii) the timing of the attempted retraction, (iii) the presence or absence of a claim of innocence, and (iv) whether the circumstances cast serious doubt on the bona fides of the original plea. United States v. Torres-Rosa, 209 F.3d 4, 8-9 (1st Cir.2000). 22 Here, the reason proffered as a justification for the appellant's attempted withdrawal of his guilty plea relates to the statements of the magistrate judge and the appellant's former counsel at the change-of-plea hearing. His basic complaint is that he received a harsher sentence than those statements had led him to anticipate. There is a signal problem with this approach: the fact that a defendant finds himself faced with a stiffer sentence than he had anticipated is not a fair and just reason for abandoning a guilty plea. Id. at 9. Cases holding to this effect are legion. See, e.g., United States v. Rodríguez-León, 402 F.3d 17, 26 (1st Cir.2005); United States v. Moore, 362 F.3d 129, 135 (1st Cir.2004); Miranda-González v. United States, 181 F.3d 164, 165 (1st Cir.1999); United States v. Gonzalez-Vazquez, 34 F.3d 19, 22 (1st Cir.1994). 23 This maxim has particular force in the case at hand. The Agreement made three things crystal clear: that the sentencing decision rested in the discretion of the district court, that safety valve eligibility might well influence that decision, and that whether or not the appellant was eligible for the safety valve remained an open question. Given these three things, it is surpassingly difficult for the appellant to argue convincingly that the denial of the safety valve reduction somehow constitutes a fair and just reason for allowing him, after the fact, to withdraw his guilty plea. 24 The appellant strives to blunt the force of this reasoning by pointing to statements made at the change-of-plea hearing. These statements, he suggests, comprised promises, and their non-fulfillment rendered his plea involuntary under Fed.R.Crim.P. 11(b)(2). This suggestion elevates hope over reason. 25 During the change-of-plea colloquy, the magistrate judge systematically addressed every requirement of Rule 11. The magistrate judge supportably found that the appellant was competent, that he was adequately represented, and that he understood the charge, the Agreement, the impact of the sentencing guidelines, and the existence of the statute providing for a minimum 120-month sentence. The magistrate judge also secured the appellant's flat assurance that no promises, apart from those contained in the Agreement, had influenced his decision to plead guilty. 26 The appellant's responses to the magistrate judge's questions bear witness to the voluntariness of the plea. He acknowledged his awareness that the district judge could impose a harsher sentence than the government was recommending and that such a sentencing determination, if it came to pass, would not be a valid basis for a withdrawal of his plea. He also vouchsafed his understanding of the requirements for safety valve eligibility and acknowledged that a failure to meet those requirements would subject him to the mandatory minimum sentence. 27 Viewed in this light, it is readily apparent that the fault — if there was one — lies not with what others said but with the appellant himself. For whatever reason, he was not forthcoming when the magistrate judge questioned him directly about his criminal history. 1 Given that lack of candor, the charge that the magistrate judge misled the appellant rings hollow. 28 We also reject the appellant's related argument that his former attorney's statement regarding his criminal history misled him. The attorney's statement that the appellant had no prior criminal record, quoted supra, was a response to a query from the bench, not a promise directed at the appellant. 2 Moreover, that statement can logically be read as mirroring the facts then known to the attorney. That is important because, as we said in an analogous situation, the appellant was in a far better position [than the attorney] ... to supply the missing integer in the sentencing equation: his prior criminal record. Torres-Rosa, 209 F.3d at 10. Given the appellant's failure to correct the apparent misstatement and come forward with the information that he undeniably possessed, he cannot now blame the dashing of his hopes for a lower sentence on his attorney. See id. 29 The PSI Report further undermines the appellant's argument. Whatever confusion may have existed prior to the issuance of the PSI Report, that report made pellucid that, at a bare minimum, the appellant would receive a 120-month mandatory minimum sentence. Notwithstanding this looming reality, the appellant neither interposed an objection to the PSI Report nor protested the denial of the safety valve reduction during his disposition hearing. This sequence of events tends to discredit the appellant's asseveration that his plea was involuntary. See, e.g., Gonzalez-Vazquez, 34 F.3d at 23 (explaining that undue delay in asserting supposed ground for plea withdrawal may undercut the request); United States v. Parrilla-Tirado, 22 F.3d 368, 373 (1st Cir.1994) (similar). 30 If more were needed — and we do not think that it is — we note that the appellant has not asserted a claim of innocence (nor could he reasonably do so, considering his red-handed arrest). The absence of a claim of innocence counsels against allowing a guilty plea to be withdrawn. Torres-Rosa, 209 F.3d at 9; Gonzalez-Vazquez, 34 F.3d at 23. 31 To say more on this issue would be to paint the lily. For the reasons elucidated above, we conclude, without serious question, that the record contains no hint of error, plain or otherwise, such as would incline us to set aside the appellant's guilty plea.