PUBLISHED
UNITED STATES COURT OF APPEALS
FOR THE FOURTH CIRCUIT
UNITED STATES OF AMERICA,
Plaintiff-Appellee,
v. No. 11-4531
LESTER NICHOLSON,
Defendant-Appellant.
Appeal from the United States District Court
for the District of South Carolina, at Anderson.
Henry F. Floyd, District Judge.
(8:10-cr-00725-HFF-1)
Argued: March 21, 2012
Decided: April 18, 2012
Before DUNCAN, KEENAN, and DIAZ, Circuit Judges.
Affirmed by published opinion. Judge Duncan wrote the opin-
ion, in which Judge Keenan and Judge Diaz joined.
COUNSEL
ARGUED: Jessica Ann Salvini, SALVINI & BENNETT,
LLC, Greenville, South Carolina, for Appellant. William
Jacob Watkins, Jr., OFFICE OF THE UNITED STATES
ATTORNEY, Greenville, South Carolina, for Appellee. ON
BRIEF: William N. Nettles, United States Attorney, Colum-
2 UNITED STATES v. NICHOLSON
bia, South Carolina, David C. Stephens, Assistant United
States Attorney, OFFICE OF THE UNITED STATES
ATTORNEY, Greenville, South Carolina, for Appellee.
OPINION
DUNCAN, Circuit Judge:
Appellant Lester Nicholson was indicted for fraudulently
obtaining benefits under the Federal Employment Compensa-
tion Act ("FECA"). Nicholson pleaded guilty at a plea hear-
ing, during which the district court conducted a colloquy
pursuant to Federal Rule of Criminal Procedure 11.
Subsequently, Nicholson sought to withdraw his guilty
plea, apparently because he received a letter stating that his
government benefits would be terminated as a consequence of
his conviction. The district court denied his motion to with-
draw. It sentenced Nicholson to five years of probation and
ordered him to make restitution payments.
On appeal, Nicholson contends that the district court failed
to follow the mandates of Rule 11 by not advising him that
his FECA benefits may be terminated as a result of his guilty
plea. He further argues that the district court conducted an
insufficient inquiry into how certain pain medication he was
taking affected his competence to enter the guilty plea.
Finally, Nicholson challenges the district court’s denial of his
motion to withdraw his guilty plea. For the reasons that fol-
low, we affirm.
I.
A.
Nicholson was employed as a mail carrier by the United
States Postal Service and suffered a job-related injury in 2001.
UNITED STATES v. NICHOLSON 3
Sometime thereafter, he began receiving payments under the
FECA. The Department of Labor’s Office of Workers’ Com-
pensation Programs requires recipients of FECA benefits to
annually submit a Form EN-1032, on which they are required
to report, inter alia, their employment status during the previ-
ous 15 months. In June 2008, Nicholson began operating a
for-profit restaurant. On July 10, 2008, he signed and submit-
ted the Form EN-1032, stating that he had not been self-
employed or involved in any business enterprise in the past 15
months. On November 12, 2008, during an interview with
agents from the Department of Labor, Nicholson admitted
that he had falsified his answers on the Form EN-1032.
B.
On July 13, 2010, a grand jury indicted Nicholson for vio-
lating 18 U.S.C. § 1920, which proscribes the use of false
statements and/or fraud to obtain federal employees’ compen-
sation. During a plea hearing in the United States District
Court for the District of South Carolina on December 22,
2010, Nicholson entered a plea of guilty to the indictment. At
the outset of the plea hearing, the district court advised Nich-
olson that it would be asking him a series of questions to
determine whether he was entering his plea freely, voluntar-
ily, knowingly, and intelligently. During the plea hearing,
Nicholson informed the court that he had earned an asso-
ciate’s degree. When asked whether he could read, write,
speak, and understand the English language, Nicholson
responded in the affirmative.
When the district court asked Nicholson whether he had
taken any medication, drugs, or alcohol within the last 24
hours, he responded that he had taken "pain pills" during that
time. J.A. 13. Upon receiving this information, the district
court followed up by asking Nicholson to specify exactly
what he had consumed. Nicholson responded, "Lortab, sir, for
pain." Id. The district court advised Nicholson that such medi-
cation could affect his sobriety, and inquired whether he was
4 UNITED STATES v. NICHOLSON
sober and understood what he was doing. Nicholson
responded in the affirmative. The district court provided the
government and Nicholson’s counsel an opportunity to raise
"any issue of competency," but neither party voiced any con-
cerns. J.A. 14. The district court then found that Nicholson
was competent for purposes of entering his guilty plea.
The colloquy continued. In response to questions from the
court, Nicholson indicated that he was satisfied with his attor-
ney’s representation and affirmed that his lawyer had done
everything Nicholson had asked him to do. The district court
read the indictment to Nicholson and examined the elements
of the § 1920 offense. It further advised him of the applicable
penalty: "Penalty maximum is $250,000 fine, imprisonment
up to five years, supervised release of three years and a spe-
cial assessment of $100." J.A. 25. Nicholson acknowledged
the elements and penalty. Nicholson also agreed with the gov-
ernment’s factual bases for the plea.
After explaining the operation of the advisory Sentencing
Guidelines, the district court asked Nicholson whether he was
indeed guilty. Nicholson hesitated, whereupon the district
court offered him a jury trial. Nicholson responded: "I under-
stand that, sir. I got kids, so I take whatever thrown at me."
J.A. 38. The district court stated: "No. The question is are you
pleading guilty of your free will because you are guilty?" J.A.
38-39. Nicholson responded: "Yes, sir." J.A. 39.
C.
Sometime in February 2011, Nicholson approached his
counsel and asked that counsel research whether he could
withdraw his guilty plea. Nicholson indicated to his attorney
that he wished to withdraw his guilty plea because he had
received a letter from the government terminating all future
benefits and wages.
UNITED STATES v. NICHOLSON 5
On March 27, 2011, Nicholson moved to withdraw his
guilty plea pursuant to Rule 11(d). Nicholson argued that the
factors set forth in United States v. Moore, 931 F.2d 245, 248
(4th Cir. 1991), to be considered when determining whether
a defendant should be allowed to withdraw his guilty plea,1
compelled the conclusion that his guilty plea should be set
aside. Specifically, Nicholson argued that his plea was not
knowing and voluntary because "his physician had prescribed
him pain medication that affected his judgment . . . [and] was
interfering with his ability to reason." J.A. 47. Nicholson fur-
ther contended that he credibly asserted his legal innocence,
asserting that "he was ambivalent in his answers to the court’s
questioning and he wanted to assert his legal innocence." Id.
Notably, at no point, either in his motion or the subsequent
hearing, did Nicholson object to the court’s failure to advise
him during the plea colloquy regarding the potential loss of
government benefits.
On April 27, 2011, the district court conducted a hearing
regarding Nicholson’s motion to withdraw his guilty plea. At
its close, the district court concluded that based on the tran-
script and its recollection of Nicholson’s demeanor and
appearance, as well as the court’s longstanding experience in
similar situations, Nicholson entered his plea knowingly and
voluntarily. The district court indicated that Nicholson was
competent, telling him "And, sir, that day you were all there."
J.A. 60. It further found that there was no evidence in the
record at the time of the plea that Nicholson asserted his legal
innocence. It further found that a two-month delay was too
great a period of time, and that there was no evidence that
Nicholson’s lawyer was in any way incompetent. While rec-
ognizing that the government had not suggested that it would
be prejudiced if Nicholson’s motion were granted, the district
court nevertheless found that allowing Nicholson to withdraw
a "clear, knowing and voluntary plea . . . would be a waste of
judicial resources and an inconvenience." J.A. 60.
1
We discuss the factors set forth in Moore in depth in Part II.A.
6 UNITED STATES v. NICHOLSON
At the conclusion of the hearing, the district court sen-
tenced Nicholson to five years’ probation, and further ordered
that he make restitution payments to the Office of Workers’
Compensation Programs.
II.
On appeal, Nicholson contends that the district court failed
to comply with the mandates of Rule 11 when it did not
advise him of the possible termination of his FECA benefits
as a result of his guilty plea.2 He further argues that the dis-
trict court conducted an insufficient inquiry into the effect of
pain medication on his competence to enter the guilty plea.
Finally, Nicholson challenges the district court’s denial of his
motion to withdraw his guilty plea. We address each conten-
tion in turn.
A.
The first issue raised on appeal is whether the district court
erred when it failed to advise Nicholson that his FECA bene-
fits could be terminated as a result of his guilty plea. Because
Nicholson did not preserve this challenge to the plea colloquy
in the district court, we review it for plain error. "To establish
plain error, the appealing party must show that an error (1)
was made, (2) is plain (i.e., clear or obvious), and (3) affects
substantial rights." United States v. Strieper, 666 F.3d 288,
295 (4th Cir. 2012) (quotation marks omitted). "Even if an
appellant satisfies these elements, we may exercise our discre-
tion to correct the error only if it seriously affects the fairness,
integrity or public reputation of judicial proceedings." Id.
(quotation marks omitted).
Rule 11 sets out the information a court is to convey to
2
We refer to termination as a possibility because the record itself is
unclear on this point. It neither contains the letter of termination, nor refers
to the source of the Secretary of Labor’s authority in this regard.
UNITED STATES v. NICHOLSON 7
ensure that a defendant who pleads guilty understands the
consequences of the plea. Fed. R. Crim. P. 11; United States
v. Gray, 491 F.3d 138, 149 (4th Cir. 2007). "The Rule 11 col-
loquy is designed to provide a structure to protect the defen-
dant against making an uninformed and involuntary decision
to plead guilty and to protect the public from an unjust judg-
ment of guilty when a public trial has not been conducted."
United States v. Bowman, 348 F.3d 408, 417 (4th Cir. 2003).
Pursuant to the rule, a court must inform the defendant of and
determine that he understands the mandatory minimum pen-
alty provided by law, if any; the maximum possible penalty
provided by law for the offense to which the plea is offered;
and any applicable forfeiture. Fed. R. Crim. P. 11 advisory
comm. note (1974 Amendment).
"For a guilty plea to be constitutionally valid, a defendant
must be made aware of all the direct, but not the collateral,
consequences of his plea." Meyer v. Branker, 506 F.3d 358,
367-368 (4th Cir. 2007) (quotation marks omitted). "Direct
consequences have a definite, immediate and largely auto-
matic effect on the range of the defendant’s punishment. A
consequence is collateral when it is uncertain or beyond the
direct control of the court." Id. at 368 (emphasis added) (quo-
tation marks and citations omitted); see also United States v.
Gonzalez, 202 F.3d 20, 27 (1st Cir. 2000), abrogated on other
grounds by Padilla v. Kentucky, 130 S. Ct. 1473 (2010)
("What renders a plea’s effects collateral is not that they arise
virtually by operation of law, but the fact that [the conse-
quence] is not the sentence of the court which accepts the plea
but of another agency over which the trial judge has no con-
trol and for which he has no responsibility." (quotation marks
omitted)).3 In Appleby v. Warden, 595 F.3d 532 (4th Cir.
3
Gonzalez, which concerned the immigration consequences of a plea,
held both that the district court was not required to inform the defendant
of such consequences under Rule 11, and that counsel’s failure to advise
the defendant did not constitute ineffective assistance of counsel. 202 F.3d
at 24-28. It rested both holdings on the notion that deportation was a col-
8 UNITED STATES v. NICHOLSON
2010), we specifically noted that courts have held that collat-
eral consequences of a plea include the potential loss of fed-
eral benefits. Id. at 540.
Applying the foregoing principles, we hold that the loss of
government benefits was a collateral consequence of Nichol-
son’s plea, and that therefore the district court was not
required to advise him of it pursuant to Rule 11. Under
Meyer, it is dispositive that an individual or entity other than
the district court was responsible for the termination of Nich-
olson’s benefits. The district court had neither control nor
responsibility over that decision. Thus, even assuming the
validity of Nicholson’s assertion that the loss of government
benefits was a definite consequence of his plea,4 it was never-
theless collateral because it was beyond the district court’s
lateral consequence of a conviction. Id. In Padilla, the Court abrogated
Gonzalez to the extent that it held that the Sixth Amendment does not
require counsel to advise a defendant of the fact that "his plea carries a
risk of deportation." 130 S. Ct. at 1486. The Court specifically declined
to address "how to distinguish between direct and collateral conse-
quences" of a guilty plea. Id. at 1481 n.8. Padilla also did not address dis-
trict courts’ obligations under Rule 11. Post-Padilla, at least one circuit
has held that the decision did not alter the scope of a district court’s obli-
gations under Rule 11. See United States v. Delgado-Ramos, 635 F.3d
1237, 1239-41 (9th Cir. 2011).
Because the defendant in Padilla raised only a Sixth Amendment
claim, the Court had no occasion to consider the scope of a dis-
trict court’s obligation under Rule 11, whether a defendant’s due
process rights are violated if the court fails to inform him of the
immigration consequences of his plea, or the continued viability
of the distinction between direct and collateral consequences in
the due process context.
Id. at 1240. The Advisory Committee on Criminal Rules has echoed that
position, noting that "Padilla was based solely on the constitutional duty
of defense counsel, and it does not speak to the duty of judges." Report
of the Advisory Committee on Criminal Rules (Dec. 8, 2010).
4
We note again that the record is devoid of any evidence with respect
to the termination of Nicholson’s benefits.
UNITED STATES v. NICHOLSON 9
direct control. Notably, the only punishment imposed on
Nicholson by the district court was five years’ probation and
restitution payments.
Because Nicholson has failed to establish that the district
court erred, we need not consider the remaining prongs of the
plain error standard.
B.
The second issue raised on appeal is whether the district
court conducted a sufficient inquiry into Nicholson’s compe-
tence to enter a guilty plea. We evaluate the sufficiency of the
colloquy under the harmless error standard. United States v.
Damon, 191 F.3d 561, 564 n.2 (4th Cir. 1999).
"Before a court may accept a guilty plea, it must ensure that
the defendant is competent to enter the plea." Id. at 564. We
have held that "the plea colloquy required by Rule 11 must be
conducted with some flexibility." Id. at 565. When a response
in a plea colloquy "raises questions about the defendant’s
state of mind, the court must broaden its inquiry to satisfy
itself that the plea is being made knowingly and voluntarily."
Id. With a medicated defendant, a court should ascertain the
effect, if any, of the medication on his ability to enter a know-
ing and voluntary plea. Id. For medication to render a defen-
dant incompetent, the medication must have so impaired his
mental faculties that he was "incapable of full understanding
and appreciation of the charges against him, of comprehend-
ing his constitutional rights, and of realizing the consequences
of his plea." Id. (quoting United States v. Truglio, 493 F.2d
574, 578 (4th Cir. 1974)).
In Damon, the defendant informed the court that he was
"currently" under the influence of an antidepressant medica-
tion, and his lawyer added that "impaired judgment" was
listed as a side effect. Id. We observed:
10 UNITED STATES v. NICHOLSON
This information should have raised a red flag for
the district court as to Damon’s competence to plead
guilty. However, the district court simply continued
with the routine Rule 11 colloquy without following
up on the drug information or making any further
inquiry into Damon’s mental state or the possibility
that his judgment could be impaired.
Id. We held that "[t]he district court erred when it failed to
inquire about what effect, if any, Damon’s medication had on
his ability to make a voluntary plea and to understand the con-
sequences." Id. We therefore remanded to the district court for
a competency determination. Id. at 566. We further stated:
"Although we leave the details of the inquiry to the district
court, we expect, for example, that the court will want to
examine the medical records to determine the type, amount,
and schedule of medication taken by Damon before he
entered his plea." Id.
On these facts, we conclude that the district court con-
ducted a sufficient inquiry into Nicholson’s competence.
When the district court learned that Nicholson had taken "pain
pills" during the preceding 24 hours, it asked Nicholson to
specify exactly what he had consumed. J.A. 13. The district
court followed up by informing him that the medication in
question could affect his sobriety. The court then probed fur-
ther and asked whether Nicholson was sober and understood
what he was doing. Nicholson responded in the affirmative.
The court provided the government and defense counsel an
opportunity to raise issues about the competency of the defen-
dant’s guilty plea, but neither did. Thus, unlike Damon, where
the district court failed to make any follow-up inquiry into the
defendant’s competence, here the district court asked follow-
up questions, the responses to which raised no red flags.5 As
5
Relying on Damon, 191 F.3d at 564, Nicholson contends that the dis-
trict court erred because it did not inquire into how much of the medica-
tion he had ingested, whether or not the medication affected his ability to
UNITED STATES v. NICHOLSON 11
such, the district court’s inquiry into Nicholson’s competence
was sufficient.
C.
The final issue raised on appeal is whether the district court
erred in denying Nicholson’s motion to withdraw his guilty
plea. Our review is for abuse of discretion. United States v.
Ubakanma, 215 F.3d 421, 424 (4th Cir. 2000). "A district
court abuses its discretion when it acts in an arbitrary manner,
when it fails to consider judicially-recognized factors limiting
its discretion, or when it relies on erroneous factual or legal
premises." United States v. Henry, ___ F.3d ___, 2012 WL
745536, at *5 (4th Cir. Mar. 8, 2012).
Rule 11 "authorizes the withdrawal of a guilty plea before
sentencing if ‘the defendant can show a fair and just reason
for requesting the withdrawal.’" Bowman, 348 F.3d at 413
(quoting Fed. R. Crim. P. 11(d)(2)(B)). "A defendant has no
absolute right to withdraw a guilty plea, and the district court
has discretion to decide whether a fair and just reason exists
upon which to grant a withdrawal." Id. (quotations omitted).
"The most important consideration in resolving a motion to
withdraw a guilty plea is an evaluation of the Rule 11 collo-
quy at which the guilty plea was accepted." Id. at 414. "Thus,
when a district court considers the plea withdrawal motion,
the inquiry is ordinarily confined to whether the underlying
plea was both counseled and voluntary." Id. (quotation marks
think clearly, and/or whether or not he was experiencing any side effects.
We find this argument unpersuasive. Although Nicholson is correct that
the Damon court expected the district court to conduct a detailed inquiry
upon remand, it did so only after it determined that Damon’s answers to
the district court’s questions raised a "red flag." 191 F.3d at 565. Here, by
contrast, the district court followed up with additional questions, the
answers to which assuaged its concerns. Accordingly, because Nichol-
son’s answers raised no red flags, there was no need for the district court
to conduct a detailed inquiry into Nicholson’s medical records.
12 UNITED STATES v. NICHOLSON
omitted). "A voluntary and intelligent plea of guilty is an
admission of all the elements of a formal criminal charge and
constitutes an admission of all material facts alleged in the
charge. Accordingly, a properly conducted Rule 11 guilty plea
colloquy leaves a defendant with a very limited basis upon
which to have his plea withdrawn." Id. (quotation marks and
alterations omitted). Indeed, it "raise[s] a strong presumption
that the plea is final and binding." Id. (quotation marks omit-
ted).
"When considering a defendant’s motion to withdraw his
guilty plea, the court may also consider other circumstantial
factors that relate to whether the defendant has advanced a
fair and just reason." Id. at 414. As previously mentioned, in
Moore, we articulated the following, nonexclusive list of fac-
tors for consideration in deciding a withdrawal motion: (1)
whether the defendant has offered credible evidence that his
plea was not knowing or not voluntary; (2) whether the defen-
dant has credibly asserted his legal innocence; (3) whether
there has been a delay between the entering of the plea and
the filing of the motion to withdraw the plea; (4) whether the
defendant had the close assistance of competent counsel; (5)
whether withdrawal will cause prejudice to the government;
and (6) whether it will inconvenience the court and waste
judicial resources. 931 F.2d at 248.
As we have already noted, the district court conducted the
Rule 11 proceeding appropriately; it advised Nicholson of the
consequences of his plea and conducted a sufficient inquiry
into whether he was competent to enter the plea. Accordingly,
there is a strong presumption that Nicholson’s plea is valid
and binding.
Turning to the Moore factors, we conclude that they do not
provide a fair and just reason for withdrawing Nicholson’s
guilty plea. The first factor does not favor Nicholson: he has
failed to establish that his medication rendered his plea
unknowing or involuntary. As to the second factor, Nicholson
UNITED STATES v. NICHOLSON 13
has not credibly asserted his innocence: he admitted under
oath that he filed a false form, informed the court that he was
pleading guilty because he was indeed guilty, and admitted
guilt when confronted by law enforcement. With regard to the
third factor, Nicholson concedes that he delayed in filing the
motion to withdraw the plea, but contends that the delay was
in part due to trial counsel’s reluctance to file the motion.
Even were we to accept that explanation, the fact remains that
Nicholson pleaded guilty on December 22, 2010, but did not
approach his attorney about filing a motion until February
2011. In Moore, we described a six-week period between the
plea and the filing of the motion as a "long delay[ ]." 931 F.2d
at 248. As to the sixth factor, we agree with the district court
that a trial in this case would be a waste of judicial resources
and time, particularly given Nicholson’s repeated admission
of guilt.
That some of the factors conceivably cut in Nicholson’s
favor does not alter our conclusion. We assume, without
deciding, that the fourth factor favors Nicholson. He argues
that he was not afforded effective representation because his
trial counsel failed to advise him that his guilty plea would
result in his loss of all his government benefits. With respect
to the fifth factor, we note that the government has not argued
that withdrawal will cause prejudice to the United States.
However, these two factors are insufficient to overcome the
strong presumption that Nicholson’s plea is final and binding.
Nor do they show a fair and just reason for requesting the
withdrawal. Thus, we have no hesitation in concluding that
the district court, after carefully considering the judicially rec-
ognized factors constraining its exercise of discretion, appro-
priately denied Nicholson’s motion.
III.
For the foregoing reasons, the judgment of the district court
is
AFFIRMED.