Opinion ID: 552412
Heading Depth: 2
Heading Rank: 1

Heading: Michael Gene Landon

Text: 11 Landon argues on appeal that the district court violated Rule 11 of the Federal Rules of Criminal Procedure when it modified a plea agreement after unconditional acceptance. Rule 11 specifically describes the appropriate procedure for accepting plea agreements. District courts are prohibited from participating in any plea-bargaining discussions. The rule states that when parties reach a plea agreement that defines a specific sentence as the appropriate disposition of the case, a district court may accept or reject the agreement, or may defer its decision as to the acceptance or rejection until there has been an opportunity to consider the presentence report. Fed.R.Crim.P. 11(e)(2). Once a court has accepted an agreement, however, there is no provision in the rules that allows it to reject or modify the agreement. If the government or the court does not adhere to the terms of a plea agreement, a defendant has two remedies, namely, specific performance of the plea agreement or withdrawal of the plea. United States v. Jefferies, 908 F.2d 1520, 1526 (11th Cir.1990) (plea agreement that stipulates thirteen grams of cocaine in offense with governmental promise to make no attempt to influence court prohibits sentencing court from considering fifteen kilograms of cocaine mentioned in presentence report). 12 Appellate courts have consistently prohibited district courts from interfering in the plea bargaining process. In United States v. Werker, 535 F.2d 198 (2d Cir.1976), a district court was about to intervene in the plea bargaining process and tell the defendant what sentence would be imposed if the defendant pleaded guilty. Id. at 201. The government sought and obtained a writ of mandamus to prevent the district court from revealing this information. Id. at 200. The Second Circuit held that Rule 11 unequivocally prohibited the judge from intervening in this way. Id. at 202. 13 In United States v. Cruz, 709 F.2d 111 (1st Cir.1983), the court unconditionally accepted a plea agreement whereby the defendant pleaded guilty to a misdemeanor narcotics possession. Two months later the district court reversed itself and rejected the plea on the grounds that it was too lenient in light of the presentencing report. The First Circuit overruled the district court, saying once the court accepted the agreement, thereby binding the defendant and prosecution, it could not simply change its mind based on information in the presentence report, at least where that information revealed less than fraud on the court. Id. at 114-15. 14 Courts have ruled, however, that there are circumstances where a district court may bypass the limits of Rule 11. In United States v. Partida-Parra, 859 F.2d 629 (9th Cir.1988), the court held that a district court may go beyond the bounds of Rule 11 when there is a fraud on the court. Id. at 632. The Ninth Circuit went on to distinguish factual mistakes from fraud: We have found no authority that empowers the court to abrogate a plea agreement to relieve one party of its own mistake. Id. at 633. In this case, however, neither the government nor the court argues fraud, so the exception is not available. 15 Applying the reasoning of Jefferies, Werker, Cruz, and Partida-Parra, we hold that Rule 11 does not authorize a district court to intervene in the plea agreement process absent a showing of fraud.
16 To support the court's reformation of the plea agreement, the government relies on contract law doctrines. This comparison is not novel. Other courts have compared accepted plea agreements to contracts. 1 In United States v. Weaver, 905 F.2d 1466 (11th Cir.1990), the court applied contract principles to a government letter granting immunity to a criminal defendant. In responding to the defendant's claim that there was a mutual mistake in the contract, the court said: 17 [R]eformation of a written agreement is warranted only when the evidence demonstrates that the parties' mutual mistake resulted in a written document which does not accurately reflect the terms of their agreement. Consequently, reformation is generally, without more, not an available remedy where the evidence demonstrates mistake or change of mind of only one of the contracting parties. 18 Id. at 1472 (citations omitted). Applying this principle to Landon's plea agreement, there was no mistake in Landon's mind about the term of imprisonment. Landon is further justified in relying upon the specific time period in the plea agreement because the government had the Rule 11(e)(1)(B) option of agreeing to recommend a specific sentence; instead, the government chose to promise a specific term of imprisonment pursuant to Rule 11(e)(1)(C). 19 Plea agreements are like contracts; however, they are not contracts, and therefore contract doctrines do not always apply to them. United States v. Zweber, 913 F.2d 705, 711 (9th Cir.1990). In Zweber, the defendants pleaded guilty to possessing cocaine with intent to distribute. Pursuant to the plea agreement, the government agreed to recommend certain reductions to decrease their sentences. Id. at 707. At sentencing, the court granted no reductions or downward departures and denied the defendants' subsequent motion to withdraw their guilty pleas. Id. On appeal, the defendants argued that the plea agreement was void because both parties to the agreement were mutually mistaken about the law governing the Guidelines. Id. at 711. In rejecting this argument, the Ninth Circuit said that [t]he fact that the mistake in this case was mutual does not support the defendant's claim.... Analogies to contract law in this setting are not perfect. Id. 20 This court has also acknowledged the inherent limits of the contract analogy. In United States v. Vogt, 901 F.2d 100 (8th Cir.1990), we applied contract principles to decide that the government waived its right to complain of the defendant's breach by waiting ten weeks before seeking to vacate the plea agreement. Vogt, 901 F.2d at 102. After applying the Restatement (Second) of Contracts, we noted that  'contract principles provide a useful means by which to analyze the enforceability of plea agreements.'  Id. (emphasis added) (quoting United States v. Vogt, No. Cr. 88-39, Order at 2 (N.D.Iowa July 12, 1989)). 21 In United States v. Pelletier, 898 F.2d 297 (2d Cir.1990), the government used immunized testimony in arguing that the defendants' false testimony resulted in a breach of the agreement that granted their immunity. Id. at 301. Although the court recognized the strong influence of contract law principles on such agreements, it held that due process requires that [the] government adhere to the terms of any plea bargain or immunity agreement it makes. Id. The court rejected the government's breach of contract argument stating that due process required a deviation from normal commercial contract law. Id. at 302. 22 In Partida-Parra, the Ninth Circuit specifically refused to apply the contract doctrine of mutual mistake to plea agreements. 859 F.2d at 634. Recognizing the limitation of the plea agreement/contract analogy, the court held that district courts could not revisit an accepted plea to consider whether [a] 'contract' was formed (as distinct from considering whether it was breached). Id. 23 When the district court told Landon that it would not have accepted the guilty plea had it known of the mistaken criminal history classification, it was attempting to revisit the original plea agreement because of a mutual mistake. Even though the contract law analogy may seem to invite such revisitations, they are simply not allowed.
24 The need to preserve judicial objectivity also militates against allowing district courts to modify plea agreements. Judicial involvement in plea negotiations could lead a defendant to believe that refusal of a court-supported plea offer would result in an unfair trial. The risk of not going along with the disposition that a judge apparently desires might lead a defendant to plead guilty even if innocent. Judicial involvement in the process also makes it more difficult for the judge to determine whether a plea was entered voluntarily. Furthermore, the unequal bargaining power of the judge and the accused raises obvious questions of fundamental fairness. The court is supposed to be an objective arbiter between the government and the individual. Participation in the plea bargaining process endangers the court's objectivity and thus could further undermine the criminal justice system. 2 25 The government argues that even if the original plea agreement was breached, Landon accepted a subsequent agreement that cured the breach. In support of this argument, the government cites United States v. Holman, 728 F.2d 809 (6th Cir.1984), where the district court had unconditionally accepted a Rule 11(e)(1)(C) plea agreement. Id. at 811. Upon reading the presentence report, the district court decided to reject the plea agreement and give the defendant an opportunity to withdraw his plea. Id. The defendant withdrew his plea, and his subsequent motion to have the original plea reinstated was denied. Id. The defendant then entered into a new plea agreement, which the court accepted. Id. The Sixth Circuit held that even though the district court improperly rejected the original plea agreement, the defendant's second plea agreement was made with a full understanding of the possible consequences [and therefore] cured any prejudice possible from the first proceeding. Id. at 813. 26 Although Landon did enter into a second plea agreement after the district court rejected the original agreement, the circumstances were significantly different. Because the second plea agreement was the result of the district court's improper reformation of the original plea agreement, the second plea agreement does not cure the problems of the original plea agreement. If the district court had merely rejected the agreement and allowed the parties to renegotiate, this court could have affirmed the sentence based on the subsequent plea agreement. When the district court modified the original plea agreement in its conclusions of law on February 14, 1990, it violated Rule 11. Furthermore, by telling Landon that he had eight days to make up his mind and that the district court would not accept Landon's former plea, the district court became even more of an advocate for its proposed reformation. Rule 11's absolute prohibition against judicial involvement in plea bargaining is specifically designed to prevent this loss of objectivity. 27 Therefore, since the district court did not have the authority under Rule 11 or under any of the relevant contract theories to modify Landon's original plea agreement, we reverse the district court and remand for reinstatement of the original plea agreement.