United States v. Mitchell (2011)

United States Court of Appeals for the Tenth Circuit · 2011 · Evidence

633 F.3d 997 (10th Cir. 2011)

Updated August 22, 2026

EvidenceFederal Rule of Evidence 410withdrawn guilty pleaplea colloquyplea agreementwaiverknowing and voluntaryMezzanatto

Facts

Mitchell was charged with conspiracy to transport stolen securities. On the day trial was to begin, he entered a plea agreement and pleaded guilty; the agreement expressly stated that if he withdrew his plea, he would assert no claim under Rule 410 or other law that his statements under the agreement were inadmissible. Mitchell later obtained new counsel and was allowed to withdraw his plea, with the district court expressing concern about possible undue influence by prior counsel but still finding the plea knowing and voluntary. Before trial, the district court granted the government's motion in limine and admitted the plea statements, including statements from the plea agreement and plea colloquy, in the government's case-in-chief.

Issue

Whether Mitchell's guilty plea and Rule 410 waiver were knowing and voluntary, and if so, whether a valid Rule 410 waiver allows the government to use statements from a withdrawn guilty plea in its case-in-chief at trial.

Rule

Absent some affirmative indication that the agreement was entered into unknowingly or involuntarily, a defendant's waiver of Rule 410's exclusionary protections in a plea agreement is valid and enforceable. The reasoning of Mezzanatto extends beyond impeachment and rebuttal use to permit the government to introduce withdrawn-plea statements in its case-in-chief when the defendant knowingly and voluntarily agreed to that use.

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One of 10 multiple-choice questions for this case. Pick an answer to see why.

In Albuquerque, Javier Mena signed a written plea agreement on a federal fraud charge. The agreement stated that if he later withdrew his guilty plea, any statements he made in the agreement or during the plea hearing could be used against him "at any trial, hearing, or other proceeding." After obtaining new counsel, Javier withdrew the plea, and the court found his original plea had been knowing and voluntary.

At Javier's later trial, may the prosecution introduce his plea-hearing admissions during its case-in-chief?

Explanation. The majority held that absent an affirmative indication the plea agreement was entered unknowingly or involuntarily, a Rule 410 waiver is valid and enforceable, and Mezzanatto's reasoning extends beyond impeachment to case-in-chief use. Because Javier knowingly and voluntarily agreed that his withdrawn-plea statements could be used at trial, the prosecution may use them in its case-in-chief.