Rule 11 colloquy11/30/2022 ![]() Judge Lynch began with a discussion of the evolution of Rule 11 since its initial promulgation in 1945. The defendant did not object to these asserted deficiencies in the plea allocution, but he argued on appeal that these numerous omissions called “the integrity of the proceedings” into question. and to compel the attendance of witnesses Rule 11(b)(1)(E)). to be protected from compelled self-incrimination. RULE 11 COLLOQUY TRIALDuring the plea colloquy, the district court failed to specifically address the waiver of the following rights: the right to plead not guilty, or having already so pleaded, to persist in that plea (Rule 11(b)(1)(B)) the right to a jury trial (Rule 11(b)(1)(C)) the right to be represented by counsel – and if necessary have the court appoint counsel – at trial and at every other stage of the proceeding Rule 11(b)(1)(D)) the right at trial. Two weeks after this inquiry began-and after a suicide attempt-Pattee pleaded guilty. When Pattee could no longer afford to pay his retained counsel, the district court sought information about his assets prior to appointing counsel. The Pattee decision will be cited primarily in the context of assessing compliance with Rule 11. Despite the Court’s evident unhappiness with plea allocutions that do not check all the necessary boxes, it followed prior Supreme Court and Second Circuit precedent that only permit a guilty plea to be vacated for a Rule 11 violation in certain limited circumstances. Nevertheless, it would have aided the defendant here and would “serve the interests of justice” for courts to add this advice where appropriate, such as when “the outcome of a suppression motion is largely determinative of the defendant’s prospects at trial.” Id. ![]() In other words, a defendant cannot plead guilty, and then challenge the denial of a suppression motion or a motion for a bill of particulars these are all waived when the defendant admits his guilt. For example, Rule 11 does not require the trial court judge to advise the defendant that a guilty plea waives non-jurisdictional defects in the proceedings prior to the entry of the plea. Rather, it noted that “he Rule’s list of required elements of a guilty plea proceeding should serve as a baseline and a trigger to seek out additional issues relevant to the particular defendant.” Id. The Court also took pains to emphasize that technical compliance, while mandatory, is not the thrust of Rule 11. Judge Lynch, himself a former federal district judge and federal prosecutor, admonished trial court judges for a “recurring issue” with Rule 11 omissions, but the Court nonetheless held that appellate “scrutiny is strict only at the level of assessing compliance, and does not frequently require vacatur of a plea.” Slip Op. ![]() When one of the authors of this blog served as a federal prosecutor, he was given such a checklist during his first few days of work and instructed to bring a copy to every guilty plea allocution. Many prosecutors use a checklist in order to make sure that the court does not mistakenly omit one of the Rule 11 requirements. The opinion is noteworthy for its extensive discussion of Rule 11 of the Federal Rules of Criminal Procedure, which requires a court to inform a defendant of fifteen (15) specified matters before accepting a plea of guilty. After losing a motion to suppress, the defendant pleaded guilty to all 13-counts and was sentenced to a 47-year term of incarceration. The Defendant was charged in a 13-count Indictment for producing, distributing, and possession of child pornography. Pattee, 14-32163-cr (April 21, 2016) (GC, GEL, RJL), the Court affirmed a judgment of conviction and sentence entered in the United States District Court for the Western District of New York (Frank P. ![]()
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