U.S. v. Sandoval-Lopez
| Decision Date | 08 August 1997 |
| Docket Number | SANDOVAL-LOPEZ,SANDOVAL-LOPE,Nos. 96-30249,D,96-30250,s. 96-30249 |
| Citation | 122 F.3d 797 |
| Parties | 97 Cal. Daily Op. Serv. 6330, 97 Daily Journal D.A.R. 10,339 UNITED STATES of America, Plaintiff-Appellee, v. Jose Maria, aka Jose Maria Lopez-Sandoval, Defendant-Appellant. UNITED STATES of America, Plaintiff-Appellee, v. Joaquin, Defendant-Appellant. |
| Court | U.S. Court of Appeals — Ninth Circuit |
Donald E. Kresse, Jr., Assistant United States Attorney, Yakima, WA, for Plaintiff-Appellee.
Gregory Scott, Yakima, WA, for Defendant-Appellant Jose Maria Sandoval-Lopez.
Jerry D. Talbott, McArdle, Dohn, Talbott, Simpson & Gibson, Yakima, WA, for Defendant-Appellant Joaquin Sandoval-Lopez.
Appeals from the United States District Court for the Eastern District of Washington; Alan A. McDonald, District Judge, Presiding. D.C. Nos. CR-94-02061-AAM, CR-94-02062-AAM.
Before: WRIGHT, REINHARDT, and THOMAS, Circuit Judges.
This case involves nothing more than a simple, albeit novel, question of contract law: Did the defendants repudiate or breach their plea agreements in collaterally attacking their convictions when, because of a change in the law, the conduct to which they pled guilty was no longer a crime? We conclude that they did not, and therefore reverse.
Defendants Jose Maria Sandoval-Lopez and Joaquin Sandoval-Lopez were indicted on federal drug trafficking charges. They were also charged with two counts each of using or carrying a firearm in the commission of a drug trafficking offense, in violation of 18 U.S.C. § 924(c)(1) (the "gun counts"). 1 On the fourth day of trial, they accepted the government's offer of plea bargains. Under the plea agreements, the defendants each pled guilty to the two gun counts. In return, the government agreed to drop the drug trafficking charges and to ask that the defendants be sentenced to ten years (five per count), which the parties and the court all believed was the mandatory minimum under the statute. The district court initially accepted the pleas on those terms.
Subsequently, however, the district court determined that the defendants' sentences had been calculated incorrectly, and that the proper sentence for two gun counts was twenty-five years (five for the first count and twenty for the second). It then issued an order to show cause why the defendants should not be permitted to withdraw their pleas. In response, the parties submitted a "Sentencing Stipulation/Resolution," in which they agreed that if the district court imposed the agreed-upon ten-year sentences, the government would waive its right to appeal the calculation error, and the defendants would stipulate "that they, each, are not aggrieved for purposes of appeal by virtue of the Court's not imposing terms of incarceration greater than ten years as the Court was otherwise obligated." The district court approved the stipulation and entered judgment, sentencing each defendant to ten years in prison, and the defendants commenced serving their sentences.
Nine months later, the Supreme Court issued its decision in Bailey v. United States, --- U.S. ----, 116 S.Ct. 501, 133 L.Ed.2d 472 (1995), holding that the "use" prong of § 924(c)(1) "requires evidence sufficient to show an active employment of the firearm by the defendant, a use that makes the firearm an operative factor in relation to the predicate offense." Id. at ----, 116 S.Ct. at 505. In so holding, the Court changed what had been the settled understanding in this circuit as to the statutory definition of "use." 2 The defendants then filed motions under 28 U.S.C. § 2255 collaterally attacking their convictions on the basis that the conduct to which they had pled guilty was no longer a crime. The district court properly granted those motions and vacated the defendants' convictions, concluding that the government had not produced sufficient evidence to establish violations under either the "use" or the "carry" prong of § 924(c)(1). 3 Subsequently, the district court issued an order holding that the defendants had breached their plea agreements by challenging their convictions, and therefore that the government was no longer bound by its promise regarding the dismissed drug trafficking charges. The district court also held that the Double Jeopardy Clause did not bar reinstatement of the dismissed charges, despite the facts that (a) the government and the defendants did not agree on plea bargains until the fourth day of trial, and (b) the defendants did not waive double jeopardy under the terms of the plea agreements. The district court then ordered the drug charges reinstated and ruled that the government was entitled to retry the defendants on the previously-dismissed counts. While the defendants' service of their sentences terminated when the district court vacated their convictions on the gun counts, they remained in custody pending trial on the reinstated drug charges.
On appeal, the defendants contend that they may not be tried on the drug charges, arguing (1) that the district court erred in concluding that they breached their plea agreements, (2) that both parties are still bound by those agreements, and (3) that the government is therefore precluded from reinstating the dismissed counts and subjecting the defendants to a further trial on them. As a separate ground, the defendants contend that, even if the plea agreements are no longer binding, reinstatement of the charges violates the Double Jeopardy Clause. The government seeks to uphold the reinstatement of the charges solely on the ground that the defendants repudiated or breached their plea agreements. We conclude, to the contrary, that no breach or repudiation occurred, and we therefore reverse.
The parties appear to be in agreement that we have appellate jurisdiction over the claim that the government is barred by the plea agreements from reinstating the dismissed charges, as well as over the related double jeopardy claim. We have an obligation, however, to consider the question of our jurisdiction sua sponte. See WMX Technologies, Inc. v. Miller, 104 F.3d 1133, 1135 (9th Cir.1997) (en banc). We conclude that we have jurisdiction over both claims under 28 U.S.C. § 1291. Both are based on the identical facts and seek the identical relief. Only the legal theories differ. Indeed, both claims involve the same concerns and are subject, for the same reasons, to the collateral-order rule of Cohen v. Beneficial Indus. Loan Corp., 337 U.S. 541, 69 S.Ct. 1221, 93 L.Ed. 1528 (1949). See Abney v. United States, 431 U.S. 651, 659-63, 97 S.Ct. 2034, 2040-42, 52 L.Ed.2d 651 (1977). As in the case of its ruling that double jeopardy does not apply, the district court's conclusion that the government is not barred by the plea agreements from subjecting the defendants to trial on the drug counts because they breached or repudiated those agreements "constitute[s] a complete, formal, and, in the trial court, final rejection" of their claim, id. at 659, 97 S.Ct. at 2040; the elements of the claim "are completely independent of [the defendants'] guilt or innocence," id. at 660, 97 S.Ct. at 2040; and the defendants' rights would be "significantly undermined if appellate review ... were postponed until after conviction and sentence." Id. at 660-61, 97 S.Ct. at 2040-41.
Plea bargains are contractual in nature and subject to contract-law standards. See United States v. Read, 778 F.2d 1437, 1441 (9th Cir.1985). Just as with other forms of contracts, a negotiated guilty plea is a "bargained-for quid pro quo." United States v. Partida-Parra, 859 F.2d 629, 633 (9th Cir.1988). Thus, either party can be said to "breach" a plea bargain if it fails to live up to the promises it made under the terms of the agreement. Where a defendant has breached a plea agreement, courts have found the government to be free from its obligations. See, e.g., id. (citing United States v. Verrusio, 803 F.2d 885, 887-89 (7th Cir.1986); United States v. Reardon, 787 F.2d 512, 516 (10th Cir.1986)). Where the government is in breach, there are several available remedies, including allowing the defendant to withdraw his guilty plea or ordering "specific performance" by the government. See id. at 633. (citing United States v. Herrera, 640 F.2d 958, 960 (9th Cir.1981)); see generally Fed.R.Crim.P. 32(e) (governing plea withdrawals).
In accordance with standard contract-law principles, if the government is correct that the defendants breached or repudiated their plea agreements in this case, it is no longer bound by its promise to dismiss the drug trafficking charges and is free to reinstate the dismissed counts insofar as they are not barred by double jeopardy. If no breach or repudiation occurred, the government's argument fails and the defendants are entitled to hold it to its promise with respect to the dismissed drug counts.
Although there was no written plea agreement in this case, the Assistant United States Attorney explained to the district court the substance of the plea bargains:
The offers were that the defendants, Jose Maria Sandoval Lopez would enter a guilty plea to Counts 8 and 9 of the Indictment; [and] Joaquin Sandoval Lopez would enter a guilty plea to Counts 11 and 12 of the Indictment 4 ... with the stipulations by Jose and Joaquin Sandoval Lopez with the requisite predicate offenses exist, narcotics offenses existed under the current Ninth Circuit law for this Court to impose two consecutive five-year sentences; and, further, that there will be no opposition on the seizures, forfeitures of cars, currency, weapons or cellular telephones in this case that might arise and give rise to a double jeopardy argument.
The defendants ... are willing to enter pleas to those counts of the Indictment with the stipulations.
The government argues that under the plea agreements the defendants promised (1) to...
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