Ellis v. United States District CourtEllis v. United States District Court
OPINION
This case involves the extent of a district court’s discretion to reject a charge bargain in a proposed plea agreement.
Facts
Marciano Carlos Ellis was indicted for first degree murder.
Ellis killed Barker on Fort Lewis, a military reservation, so there was federal jurisdiction, and, though sixteen years old when he murdered Barker, Ellis was transferred to adult prosecution.
At the change of plea proceeding on December 8, 2000, the district judge put Ellis under oath and carefully took him through the examination required by
At the end of the colloquy, Ellis pleaded guilty, and the judge made findings:
THE COURT: Mr. Ellis, what is your plea, guilty or not guilty?
THE DEFENDANT: I plead guilty, Your Honor.
THE COURT: Okay. I find that you knowingly and intelligently waived your rights to have this matter presented to a Grand Jury. And you know your rights to a jury trial. And you know your rights to appeal. You know the maximum possible punishment.... there’s possible fines or a period of supervised release .... [maximum five years and $175,000 ] ... [and a mandatory penalty assessment of $100].
The court ordered a preparation of a pre-sentence report and set a date for sentencing.
The presentence report disclosed that Ellis had three prior adjudications, the most serious of which was for residential burglary. He also had seven other charges or arrests, some apparently quite
The presentence report also laid out facts showing that the FBI had developed a very solid case against Ellis. A witness had seen a person fitting Ellis’s description, and wearing a coat he commonly wore up until but not after the murder, get into the cab on the night of the murder. After a flyer had been posted about the murder of the cabdriver, a second witness called the FBI and said that “a high school friend of [Ellis] had boasted about killing a cab driver on Ft. Lewis,” and that Ellis had asked this friend to “help him plan the robbery and killing of a cab driver.” After the murder, Ellis showed this witness a “taxi license card on a chain” and told him it had belonged to the driver he had killed.
FBI agents placed an electronic wire on this witness, and got Ellis on the wire saying “Yeah, that was me,” in response to the friend asking about the murder of the cabdriver. Also on the wire, Ellis said he’d gotten into the back seat, they’d gone to Northgate Road, he shot the driver there, and he took $2,300 which he used to buy drugs.
The FBI got a search warrant and found in Ellis’s residence a receipt for the gun that ballistic tests showed was the gun used in the murder. They also found a brass shell casing matching the ballistics of the bullets in the cabdriver’s skull. Ellis had had his girlfriend act as a strawman to buy the gun for him, when she turned 21, because he was too young to buy a gun. The girlfriend, a third potential witness, kept a newspaper clipping about Ellis being held for the cabdriver’s murder in her wallet. A fourth witness testified before the grand jury that he and Ellis used to sell methamphetamine together, and that Ellis had told him he had shot the cabdriver. Following the lead of this fourth witness, the gun was traced to “a gang member who is well known to law enforcement.” The gang member, a potential fifth witness, sold the FBI the gun for $1,000, enabling them to tie the gun to the shell casing found at Ellis’s residence and the paperwork from his girlfriend’s purchase of it.
In its Sentencing Recommendation, the United States Probation Office urged a sentence of 151 months, for a term of imprisonment “at the top of the sentencing guideline range” (though not the statutory maximum) for second degree murder. The probation officer acknowledged that that would exceed the amount agreed to in the 11(e)(1)(C) plea bargain, and that imposition of such a sentence would “allow[ ][the defendant] the opportunity to withdraw from the Plea Agreement.” But he said he could not “recommend a sentence which is less than the maximum allowed under the guidelines for an offense such as the one before the Court.”
Prior to the sentencing hearing, the government filed a memorandum urging acceptance of the plea bargain. The AUSA argued that the cabdriver, Mr. Barker, was an “unfortunate soul who was in the wrong place at the wrong time,” but that “there is much about the defendant that also is fairly 8939 characterized as most unfortunate,” in that he was sixteenand-a-half at the time he murdered the cabdriver (eighteen by the time of the criminal proceeding), he lived in an unstructured environment, he had had no contact with his father for many years, and he received virtually no supervision from his mother. Also listed as “unfortunate” were the government’s observations that Ellis and “his associates” didn’t attend school regularly, if at all, and “[t]heir days were indistinguishable, one from the next, and consisted primarily of sleeping, eating junk food, hanging out in one apartment or another, playing video games, using alcohol and drugs, [and ] engaging in sexual activi
. At the outset of the sentencing hearing on April 17, 2001, the district judge said “I think I should tell you now, I’m not going to accept it. I’ve read the government’s sentencing memorandum and the probation’s recommendation. I can’t accept it.” He nevertheless heard argument. Both the AUSA and defense counsel argued strenuously for acceptance of the plea agreement, but the court decided to adhere to its rejection:
I have read the government’s Sentencing Memorandum, together with the Defendant’s Sentencing Memorandum, and I have listened to the government and the Defendant. I must tell you, justice in my opinion hasn’t been done in this case, the way it stands now. I think the matter should go to a jury. I think the matter should go to a jury, period. So the ball is back in the government’s court.
The court then set trial on the pending indictment for first degree murder.
Defense counsel then filed what it styled a “Motion for Compliance with
Ellis then filed a petition for a writ of mandamus. The petition requests that we direct the district court to vacate its orders rejecting the plea agreement and setting the case for trial, direct assignment of the case to a different district judge, and hold that Ellis was entitled to be sentenced for second degree murder in accord with his plea agreement. The government filed a response agreeing with the defense,
Argument
Mandamus issues “only in extraordinary situations” and where there are “exceptional circumstances amounting to a judicial usurpation of power.”
(1) the district court’s order raises new and important problems, or issues of law of first impression; (2) the district court’s order is clearly erroneous as a matter of law; (3) the party seeking the writ has no other adequate means, such as a direct appeal, to attain the relief he or she desires; and (4) the petitioner will be damaged or prejudiced in a way not correctable on appeal.6
In this case, petitioners’ argument for mandamus rests on the second ground, and no other ground is applicable. But the district court was correct as a matter of law, so mandamus is inappropriate.
Petitioners’ first argument is that the district court accepted Ellis’s plea to second degree murder, and is stuck with it. Their theory is that under United States v. Hyde,
The district court did indeed accept the plea at the December 8 proceeding, in the portion quoted above where the court said “Okay. I find that you knowingly and intelligently waived your rights to have this matter presented to a Grand Jury. And you know your rights.... ” This meant that so far as the court could determine, the plea was voluntary, the defendant was competent to enter it, the defendant had been properly advised of the consequences and understood them, the defendant knowingly and intentionally waived his rights to jury trial, confrontation, and so forth, as required by the procedure for accepting pleas set out in Federal Rule of Criminal Procedure ll.
But petitioners’ implication, that the plea must stand despite subsequent judicial rejection of the plea bargain, does not follow, from Hyde or anything else. The point of Hyde was to correct an error our court had made on a different issue. We had held that even after the court accepts a guilty plea, so long as it hasn’t yet accepted the plea bargain, the defendant can withdraw the plea for any reason rather than a “fair and just reason” as provided by
That acceptance of the plea may precede acceptance of the plea bargain, however, does not imply that acceptance of the plea (including dismissal of charges where the plea is to a lesser offense) is final and binding on the court, even if the plea bargain is rejected.
We so held in United States v. Cordova-Perez.
First, Hyde spoke to a different issue, attempts by defendants to withdraw pleas without a “fair and just reason,” such as when events make clear that a sentence will be harsher than they had expected.
Third, Hyde provides expressly for this analysis, treating acceptance of the plea agreement as a “condition subsequent” to the acceptance of the plea
[T]he Rules nowhere state that the guilty plea and the plea agreement must be treated identically. Instead, they explicitly envision a situation in which the defendant performs his side of the bargain (the guilty plea) before the Government is required to perform its side (here, the motion to dismiss four counts). If the court accepts the agreement and thus the Government’s promised performance, then the contemplated agreement is complete and the defendant gets the benefit of his bargain. But if the court rejects the Government’s promised performance, then the agreement is terminated and the defendant has the right to back out of his promised performance (the guilty plea), just as a binding contractual duty may be extinguished by the nonoccurrence of a condition subsequent.29
The procedure urged on us by petitioners in the case at bar would conflict with this. Merely allowing the defendant at his election to back out of his plea won’t effectuate the termination of the plea agreement where the defendant has pleaded to a lesser offense, unless the government can proceed on the original indictment. Vacating the plea is appropriate and consistent with Hyde. Ellis’s plea was accepted subject to a condition subsequent, judicial approval of the plea agreement.
Petitioners present another argument, that the district judge improperly encroached on the executive branch’s prerogative to decide how to prosecute crimes and when to dismiss charges. Their citations are to cases under
[t]he purpose of the 6B1.2(a) plea bargaining standard is to avoid inappropriate lenience. Congress wanted sentencing judges to review charge-reduction plea agreements to ensure that such agreements do not result in undue leniency or unwarranted sentencing disparities .... The guidance was to assure that judges can examine plea agreements to make certain that prosecutors have not used plea bargaining to undermine the sentencing guidelines.34
We concluded in Fine that “[p]lea bargaining is not a private contractual arrangement unaffected by the public interest. The public interest does not favor fictional minimalization of crimes actually commitr ted for purposes of sentencing. Under the guidelines, a strong judicial hand is necessary to protect the public interest.”
As for how to reconcile this proposition with the proposition that a district court has but limited discretion to deny a government motion to dismiss charges, the tension is illusory. The government, if it wishes to invoke its prerogative under
Ellis (but not the government) argues that remand to a different judge is necessary in order to have his plea agreement fairly considered and to avoid bias.
The petition for a writ of mandamus is DENIED.
Notes
.
.
. Because the defendant and the government agree as to most of their arguments, we refer to them jointly as “petitioners" except where otherwise noted.
. See Bauman v. United States District Court,
.
. Id. at 654-55.
.
.
. Hyde,
. See United States v. Hyde,
. Hyde I,
. Hyde II,
.
. See, e.g., United States v. Grant,
.
. See, e.g., United States v. Cordova-Perez,
.
. Id. at 1555.
. Id. at 1554.
. Id. at 1556; accord United States v. Foy, 28 F.3d 464, 471 (5th Cir.1994), cert. denied,
. Hyde II,
.
. U.S. Sentencing Guidelines Manual § 6Bl.l(c) (2000) ("The court shall defer its decision to accept or reject any nonbinding recommendation pursuant to
.
. Cordova-Perez, 65 F.3d at 1555-56.
. See United States v. Partida-Parra,
. Hyde II, 520 U.S. at 679,
. Id. at 675 n. 2,
. Id. at 677-78,
. See United States v. Garcia-Valenzuela,
. See, e.g. United States v. Palafox-Mazon,
. U.S. Sentencing Guidelines Manual § 6B 1.2(a) (2000) ("In the case of a plea agreement that includes the dismissal of any charges or an agreement not to pursue potential charges ... the court may accept the agreement if the court determines, for reasons stated on the record, that the remaining charges adequately reflect the seriousness of the actual offense behavior and that accepting the agreement will not undermine the statutory purposes of sentencing or the sentencing guidelines.”).
.
. Id. at 601 (internal quotations omitted).
. Id. at 604 (internal quotations omitted).
.
. Accord United States v. Escobar Noble,
. See United Nat’l Ins. Co. v. R & D Latex Corp.,