T hi s di s pos i t i on i s notappr opr i a t e f orpubl i c a t i on a nd i s notpr e c e de nt * e xc e pta s pr ovi de d by 9 C i r . R . 36- 3. th T he H onor abl e T hom a s S . Z i l l y , S e ni orU ni t e d S t a t e s D i s tr i c tJ udge ** f orthe W e s t e rn D i s tr i c tof W a s hi ngt on, s i tt i ng by de s i gna t i on. NOT F OR P UB L I CAT I ON UN I TE D STATE S C OU RT OF APPE ALS FOR T HE NI NTH CI RC UI T UN I T E D S T AT E S OF AME R I C A, P l ai nt i ff

- A pp el l ee , v. J OSE M AN UEL L OPEZ , D e f

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A pp ea l fr om the U ni t ed S t at es D i stri ctC ou rt

f orthe D i s tr i c tof

A r i z ona R a ne rC . C ol l i ns , D i s tr i c tJ udge , P r e s i di ng A r gue d a nd S ubm i tt e d M a y 16, 2013 S a n F r a n c is c o , C a lif

o rn ia B ef ore: M cK E O W N and W A T F O R D , C i rc ui tJudg es , and Z IL L Y , S eni or D i stri ct Judg e. ** A l th o u g h th e G o v ern m en tm ad e a fav o rab l e p l ea o ffer, d efen d an tJo se M a nue l L ope z pl e a de d gui l ty w i thoute nt e r i ng i nt o a ny a gr e e m e ntw i th the G ove rnm e nt , a nd r e c e i ve d as e nt e nc e 18 m onths hi ghe rtha n the one pr opos e d by 

# FI LED MA Y28 2 013 M OLLY C. DW Y ER, CLERK U . S. C O U R T OF APPE ALS2 12- 10134

the G ove rnm e nt . A s a r e s ul tof a r e c or di ng e qui pm e ntm a l f unc t i on, no tr a ns c r i pt of the c ha nge of

pl e a he a r i ng i s a va i l abl e . T he s e unus ua l f a c t s f or m the ba s i s f

or d e f e n d a n t’s ap p e a l. T he abs e nc e of

a tr a ns c r i ptors ui t abl e r e c or di ng of the pl e a pr oc e e di ngs c o n s titu te s a v io la tio n o f F e d e r a l R u le o f

C r im in a l P r o c e d u r e 1 1 ( g ) . C o n tr a ry to the G ove rnm e nt ’ s a s s e r t i on, thi s R ul e 11( g) vi ol a t i on i s nota na l y z e d unde rthe C o u r t R e p o r te rA c t, s p e c if ic a lly 2 8 U .S .C . § 7 5 3 ( b ) , b u t r a th e ris s u b je c t to h a r m le s s e rr o rr e v ie w . See F e d. R . C r i m . P . 11( h) . U nde ra ha r m l e s s e rr or a na l y s i s , the G ove rnm e ntbe a r s the bur de n of e s t abl i s hi ng tha tthe R ul e 11 tr a n s g r e s s io n h a d n o e f

f e c t o n d e f

e n d a n t’s s u b s ta n tia l r ig h ts . E . g. , U ni ted Stat es v. Ji m enez -D om i ng uez , 296 F . 3d 863, 866 ( 9th C i r . 2002) . T he G ove rnm e ntha s not s a t i s f i e d thi s bur de n. A b s e n t a v e rb a tim r e c o r d in g o f th e p le a p r o c e e d in g s , it is n o t p o s s ib le to a s s e s s w he the rthe r e qui r e m e nt s of R ul e 11 w e r e m e t . C ontr a ry t o the G ove rnm e nt ’ s c ont e nt i on, the M a gi s tr a t e J udge ’ s F i ndi ngs a nd R e c om m e nda t i on a r e nota n a de qua t e s ubs t i tut e f ora tr a ns c r i ptof

the c ha nge of

pl e a he a r i ng. T he F in d in g s a n d R e c o m m e n d a tio n r e c ite s o m e , b u t n o t a ll, o f th e m a tte r s o u tlin e d in R ul e 11( b) , pr ovi de no s pe c i f i c s c onc e rni ng a ny appl i c abl e m a nda t ory m i ni m um or m a x im u m p e n a ltie s , a n d in d ic a te th a t th e s e n te n c in g g u id e lin e s “ap p ly ” w h e n , in3 12- 10134

fact , th ey are o n l y ad v i so ry, se e U ni ted Stat es v. B oo ke r , 5 4 3 U .S . 2 2 0 , 2 4 5 ( 2 0 0 5 ) . G i ven the G ov ernm ent ’ s i nabi l i ty t o d em on stra t e thatthe R ul e 11(g) vi ol at i on w as harm l es s, defe nd anti s “ ent i t l ed t o p l ea d anew . ” McCarthy v. U ni ted Stat es , 394 U . S . 45 9, 46 3 (19 69 ). W e there fore vaca t e both the j ud gm entand the gu i l ty pl ea , an d rem an d th i s m att er t o th e d i stri ctco u rtfo r fu rth er p ro ceed i n g s. VA C AT E D a n d R E MAND E D.