United States v. Harold Spear, III
753 F.3d 964
9th Cir.2014Background
- Spear, a licensed physician in Hawaii, was indicted in 2007 on 20 counts for distributing oxycodone and methadone outside the usual course of medical practice and not for a legitimate medical purpose.
- In July 2009, Spear entered a written plea agreement pleading guilty to four indictment counts and one information count, with the government dismissing the remaining counts.
- The plea agreement included an appellate waiver stating Spear knowingly waives the right to appeal his sentence, with limited exceptions for certain grounds in subparagraphs (a) and (b).
- A magistrate judge explained the waiver to Spear at change-of-plea, focusing on waiver of appeals related to sentencing and ineffective assistance claims.
- Spear was sentenced to 151 months in prison (low end of the Guidelines), and he timely appealed, challenging the plea’s factual basis, the government’s compliance with the plea, and the district court’s denial of his motion to withdraw the plea.
Issues
| Issue | Plaintiff's Argument | Defendant's Argument | Held |
|---|---|---|---|
| Whether the appellate waiver covers conviction appeals | Spear contends the waiver applies only to sentencing, not conviction. | Government contends the waiver broadly bars appeals, including conviction issues. | Waiver is limited to sentencing; conviction appeal remains permissible. |
Key Cases Cited
- United States v. Rahman, 642 F.3d 1257 (9th Cir. 2011) (enforces that waiver scope must be knowingly and voluntarily made)
- United States v. Jeronimo, 398 F.3d 1149 (9th Cir. 2005) (tests waiver validity for appeal rights)
- United States v. Cope, 527 F.3d 944 (9th Cir. 2008) (clarity in plea terms favors government; ambiguity construed against drafter)
- United States v. Arias-Espinosa, 704 F.3d 616 (9th Cir. 2012) (explicit waivers can distinguish conviction vs. sentence appeals)
- United States v. Joyce, 357 F.3d 921 (9th Cir. 2004) (defines 3742 scope and its relation to sentencing appeals)
- Corey v. United States, 375 U.S. 169 (1963) (discusses the relationship between judgment of conviction and sentence)
- United States v. Littlejohn, 224 F.3d 960 (9th Cir. 2000) (recognizes separate waiver of sentence vs. conviction rights)