Opinion ID: 3161987
Heading Depth: 1
Heading Rank: 2

Heading: guilty plea and appeal waiver

Text: Because Steinger did not object to the district court’s determination that he was competent to enter a guilty plea, our review is for plain error only. 2 United States v. Rodriguez, 751 F.3d 1244, 1251 (11th Cir.), cert. denied, 135 S. Ct. 310 2 A defendant’s sentence appeal waiver cannot bar his claim that he was incompetent to plead guilty. United States v. Wingo, 789 F.3d 1226, 1234 n.8 (11th Cir. 2015). 9 Case: 14-14081 Date Filed: 12/11/2015 Page: 10 of 16 (2014). “To establish plain error, a defendant must show that there is (1) error, (2) that is plain, and (3) affects substantial rights.” Id. (quotations omitted). In addition, in the context of guilty pleas, the defendant must show that, but for the error, there was a reasonable probability that he would not have entered the plea. Id. at 1252. Defendants have a fundamental right under the Due Process Clause not to be convicted while incompetent. United States v. Wingo, 789 F.3d 1226, 1235 (11th Cir. 2015). Thus, a defendant’s guilty plea, and any corresponding waiver of his appellate rights, is not valid if the defendant was incompetent at the time of the plea. See id. A defendant is competent to enter a guilty plea only when he “has sufficient present ability to consult with his lawyer with a reasonable degree of rational understanding and has a rational as well as factual understanding of the proceedings against him.” Rodriguez, 751 F.3d at 1252 (quotation marks omitted). Federal Rule of Criminal Procedure 11 safeguards a defendant’s right not to plead guilty while incompetent by requiring the district court to “conduct an inquiry into whether the defendant makes a knowing and voluntary guilty plea.” United States v. Hernandez-Fraire, 208 F.3d 945, 949 (11th Cir. 2000). The court must address three core concerns: (1) whether the plea is free from coercion; (2) whether the defendant understands the nature of the charges; and (3) whether the defendant knows and understands the consequences of his plea. Id. 10 Case: 14-14081 Date Filed: 12/11/2015 Page: 11 of 16 A similar inquiry is required in order for a sentence appeal waiver to be enforceable. The record must make clear that the defendant “understood the full significance of the waiver,” or that “the district court specifically questioned the defendant about the waiver” during the plea colloquy. United States v. Johnson, 541 F.3d 1064, 1066 (11th Cir. 2008).
The record evidence establishes that the district court did not err, plainly or otherwise, by accepting Steinger’s guilty plea. In May 2013, about ten months before Steigner pled guilty, two mental health professionals evaluated him and agreed that he could understand the charges against him and participate in his own defense. They concluded that Steinger’s medications did not impede his cognitive abilities and he was competent to stand trial. Specifically, the medical experts found that Steinger was alert and oriented and was able to give coherent responses to questions. Accordingly, at this juncture, there was no evidence that Steinger was incompetent. See Rodriguez, 751 F.3d at 1252. While Steinger contends that his health deteriorated between May 2013 and March 2014, causing him to become incompetent, the record does not support his contention. Steinger spoke at two status conferences before pleading guilty in March 2014, and he provided lucid and pointed commentary about his health on 11 Case: 14-14081 Date Filed: 12/11/2015 Page: 12 of 16 each occasion. He also presented seemingly rational reasons for delaying his spinal surgery at UMH; although, based on Dr. Newman’s and Dr. Stribling Riley’s suggestion that Steinger was malingering, it was reasonable to believe that he was delaying the surgery to manipulate his legal proceedings. Furthermore, while it appears that Steinger began taking stronger pain medications at some time before the December 2013 status conference, there was no indication that Steinger was unable to focus during the proceedings, and his treating physician testified that he was “with it 100 percent.” Similarly, at the change-of-plea hearing in March 2014, Steinger acted appropriately and stated that he was thinking clearly, could understand what was happening, and understood his plea agreement and the factual proffer. There is no doubt that Steinger suffered from serious physical health conditions and was taking a number of medications to control his pain, but Steinger’s own admissions and behavior throughout his two cases showed that his cognitive abilities remained intact. At the worst, Steinger was distracted and anxious because of his health conditions and 26-month hospitalization, but there was no indication that he failed to appreciate the proceedings against him or assist his attorneys in preparing a defense. See id. Rather, the record of the proceedings showed that Steinger consistently was alert, articulate, and attentive to the factual basis of the 12 Case: 14-14081 Date Filed: 12/11/2015 Page: 13 of 16 proceedings and had the ability to consult with his counsel. 3 See id. Therefore, the district court did not err by determining that Steinger was competent to enter a guilty plea. Finally, to the extent that Steinger seeks to invalidate his guilty plea or sentence appeal waiver for reasons other than his competency, his arguments fail. At the change-of-plea hearing, the district court confirmed that Steinger understood the nature of the charges against him and the consequences of pleading guilty. See Fed. R. Crim. P. 11; Hernandez-Fraire, 208 F.3d at 949. Steinger further agreed that no one coerced him into entering his plea. See Fed. R. Crim. P. 11; Hernandez-Fraire, 208 F.3d at 949. Likewise, the district court questioned Steinger about the provisions of the sentence appeal waiver and Steinger did not express any misunderstandings. See Johnson, 541 F.3d at 1066. Steinger’s plea agreement and sentence appeal waiver are both valid and enforceable.