*2 prosecution Cuero and the reached petition panel rehearing for The plea agreement, they which reduced is rehearing en banc DENIED. writing. plead guilty Cuero would to the IT IS SO ORDERED. felony two substantive counts listed in admit, amended four first WARDLAW, Circuit Judge, with whom exchange, prior convictions. the state SILVERMAN, joins, Judge, Circuit drop the charge would misdemeanor from concurring rehearing denial of en complaint. agreement represented This banc: charge bargain not a bar- only, sentence panel majority opinion for speaks As gain.1 plea agreement, indicated on respectfully suggest itself. I there that is agree particular did not parties sky no fall- need for the dissent’s “the sentence, leaving sentencing to the court ing” rhetoric. This is the where rare case statutory within maximum sentence contrary the state court’s decision was years, months of incarceration. then-clearly established pleaded On December Cuero guilty governing pleas induced plea to the terms of the agreements prosecutor. It with is no During change-of-plea proceed- deal. wonder that a of our active ing, the court agree- reviewed judges simple ap- declined to rehear this ment, signed by defense both counsel peal en banc. prosecutor, and the state noted that had parties left the “sentence for the
I. and that had Court” Cuero made no sen- Diego tencing People.” On October the San deals “with the The court County Attorney’s District Office filed a confirmed that had heard Cuero “the complaint against described,” court] Cuero. [the amended, complaint, charged complete it was his “full and understand- felonies, bodily in- causing great ing two to settle this case” jury to while driving accept agree- another under the and that he “wish[ed] short, Charge bargains arrange- imposed.” 1. ing of an the sentence to "consist[] Id. In whereby prosecutor ment the defendant and charge bargain in a the deal relates to the agree permitted that the defendant should be charges prosecution bring will and to plead guilty a less serious than is plead, will in a which defendant while supported by Wayne the evidence.” R. La- bargain parties agree- sentence reach an al., 21.1(a) (4th Fave et Criminal Procedure prosecution’s sentencing ment over the rec- 2016). bargains ed. "involve[] Sentence an re- ommendation. This distinction is also agreement whereby pleads the defendant ... in Federal flected Rule Criminal Procedure chargef original exchange ] in some promise kind of concern- from judge also ex- into a new him exposing to this case.” The ment years a maximum sentence of 25 addition to to life. On plained “[i]n April the document set forth the the new trial sen- agreement,” rights relinquished by tenced Cuero to 25 to life. constitutional pleading guilty. *3 II. fully performed obligations guilty plea bargain, pleading
under the
and
Under the Antiterrorism and Effective
(“AEDPA”),
waiving
rights.
Penalty
his constitutional and other
Death
Act
a habeas
petition may
granted
then moved to dismiss
government
unless the
adjudication
“in
of the
light
the misdemeanor count
court’s
of the claim un
un-
in
plea,” carrying
obligation
out its own
der review “resulted
a decision that was
to,
contrary
agreement.
pleaded
Once Cuero
or involved an unreasonable
der
of,
guilty
charges
application
clearly
to the relevant
and the
established Federal
drop
moved to
the misdemean-
law” or “resulted
a decision that was
prosecution
charge,
judge signed
the trial
based on an unreasonable determination
or
“Finding
accepting
light
presented
and
the facts
of the evidence
court’s
Order”
proceeding.”
and conclud-
in the State court
plea
Cuero’s
and admissions
28 U.S.C.
2254(d).
§
thereby.”
“[Cjlearly
“convicted
established Federal
ing that Cuero was
2254(d)(1)
sentencing
governing
for Janu-
law under
is the
The court scheduled
legal principle
principles
by
or
set forth
ary
at the time the state
Court
sentencing,
preparing
While
Lockyer
court renders its decision.”
v. An
concluded that an-
prosecution apparently
drade,
63, 71-72,
538 U.S.
convictions consti-
other of Cuero’s
(internal
quotation
155 L.Ed.2d
prosecutor
Though
tuted a strike.
omitted).
marks
At the' time of the state
(as evi-
previously aware of this conviction
decision, Supreme
court’s
by
charged
the fact she
it
denced
clearly established that was violation of
complaint
pleaded
to which Cuero had
process rights
Michael Cuero’s due
for the
deal),
pursuant
plea
she did
guilty
complaint
to amend its
prosecution to seek
prior conviction
initially
notice that the
guilty plea
induced
after Cuero entered
Notwith-
could be counted as a strike.
plea agreement
State.
“to settle
standing
agreement
the written
judge’s
prosecu
trial
decision to allow the
preexisting
this case” and Cuero’s
complaint
tion to amend the
after Cuero
conviction,
moved
prosecution
and
convicted
pleaded guilty
pursuant
and was
to add a second
to amend
thus violated
es
felony priors,
strike and two additional
law, satisfying
tablished
sentencing
drastically increasing Cuero’s
requirements.
AEDPA’s
years,
exposure from a maximum of
First,
holds that
years
minimum
Santobello v. New York
months to a
of 25
and
any significant
de-
A different
“when a
rests
maximum of 64
to life.
of the
gree
promise
than the one who
on
part
it can be said to be
signed
prosecutor,
so that
accepted
plea agreement
consideration,
such
permitted, over de- of the inducement
papers
the conviction
promise must be fulfilled.”
objection,
counsel’s
fense
(1971);
Cuero, 262,
495,
Second,
Mabry
the Court in
v. Johnson
pursuant
a “Finding
signed
Order”
instructed us that a
entered
judge. According
Mabry,
at that
plea agreement “implicates
point
transformed
504, 507-08,
the Constitution.” 467 U.S.
*4
“executory agreement”
from an
that did
(1984) (“A
2543,
104 S.Ct.
“implieate[]
the Constitution” to one
plea bargain standing alone is without con-
that bore'
significance”
“constitutional
be-
significance....
stitutional
It is the ensu-
cause
guilty plea
Cuero’s
and conviction
ing guilty plea
implicates
that
the Consti-
prosecutor’s
were induced
agree-
Only
tution.
after
respondent pleaded
charges.
ment to'the reduced
467 U.S. at
convicted,
guilty was he
and it is that
507-08, 104
plea
S.Ct. 2543. Cuero’s
rested
gave
conviction which
rise to the depriva-
promise
on a
of
prosecutor,
requiring
respondent’s
tion of
liberty at
issue
that promise
Santobello,
to be “fulfilled.”
here.”); see also Kercheval v. United
at
U.S.
Together,
these Supreme Court cases
pre-judgment plea
agreement
that it
clearly establish that a defendant whose would not make a sentencing recommenda-
guilty plea
tion,
by prosecutorial
was induced
and
pleaded guilty
Santobello
in ac-
language
Buckley
2.
‘clearly
This
from
other cita-
established’
Court law and
panel majori-
tions to circuit
in the
applied
whether the state court
that law un-
ty opinion
Sinclair,
guided
analysis only
reasonably.”
our
"for the
Woods
purpose
2014).
assessing
limited
what constitutes
Similarly,
argument
the dissent’s
that
agreement.
that
cordance with
258-59,
sentencing,
original plea agreement
495. At
“was not in
promise by urging
judgment
effect at the time
was entered”
broke its
government
signifi-
maximum available
and therefore lacks constitutional
adopt
court to
sentence,
begs
question.
original plea
cance
year.
one
Id.
was “in effect” when Cuero first
Supreme Court held
Santobello deal
to enforce the
and was convicted
process right
pleaded
had
due
finding
To the
plea agreement,
plea.
of his
to his
extent
terms
effect,”
solely
“in
breached
ceased
this was
inher-
adjudicative
government
that “the
element
because
the interim the
guilty”
agreement,
leaving
must
allowed to breach the
accepting
ent
protect
rights
plead
no
but to
a second time
safeguards
contain
choice
defendants,
including
right
have
different
be convicted
promise
argument
fulfilled when such once more. The dissent’s
re-
prosecutorial
guilty plea.
proposition
to induce a
duces to the
that because the
promise was used
added).
(emphasis
government
plea agree-
breached the first
Id. at
Cal. Penal Code Califor 969.5, § while allowing nia Penal agreements interpreted are to be in accor prosecution complaint to amend after the dance with law. state contract See Puckett entry guilty pleas plea agree without 129, States, 137, v. United ments, prosecution not allow the does (2009) (“[P]lea 1423, following a complaint amend its bargains essentially contracts.”); are Peo by prosecutorial prom that was induced 921, ple Segura, v. 44 Cal.4th 80 Cal. a plea agreement. ises embedded In (2008) (“A 649, Rptr.3d P.3d stead, prosecutor “a under California is, plea essence, agreement a contract plea bargain withdraw from between the defendant and the pleads guilty time the defendant before to which the court consents to be bound.” detrimentally relies on that otherwise bar Ames, (quoting People Cal.App.3d v. al., et gain.” 3 B.E. Witkin (1989))). “A Cal.Rptr. 2012) ed. (empha Criminal Law 382 negotiated is a form of added); People sis see also contract, interpreted and it is according (Alvarado), Cal.App.3d 255 general principles.” contract People (1989). Cal.Rptr. 50-51 California law Shelton, Cal.Rptr.3d 37 Cal.4th permit does not amendment the com (2006). 354, 125 P.3d plaint guilty when the entered By seeking to amend after precisely reliance on a be rights, pleaded Cuero waived all his interpretation cause such an run would convicted, prosecution and was breach- afoul process protections of the due promise ed the fundamental made attach under those circumstances. The dis agreed Cuero: The drop State wrong sent is as a matter of therefore thereby expo- limit maximum state as well as constitutional law. years, sure to 14 months incarceration. *6 IV. charge The foundation bargain is that parties agreement the reach an as to what The dissent further misstates California prosecution the will will not requisite remedy law providing'the for the and to what the will plead. defendant See prosecution’s breach. As the dissent ac- 21.1(a). LaFave, definition, supra, By knowledges, the Court has clear- a charge bargain means that ly prosecu- “the the established that construction of [a] strikes, tion will plea charges not later add agreement the concomitant obli- just are, will gations plead the defendant not to flowing therefrom within less reasonableness, charges broad than the agreed-upon bounds of matters and strikes. Adamson, The government’s attempt state law.” Ricketts v. to 483 amend the 1, 2680, n.3, 5 107 97 1 unequivocally L.Ed.2d breached its cen- (1987).Moreover, promise tral both Court and to Cuero.3 argues prose- prosecution 3. The that the legal dissent also forewent additional re- original in investigation cutor made a mistake the search and order secure Third, agreement, prosecu- quick, which could entitle the favorable resolution of this case. First, government's putative regard- tion to rescission. state has never "mistake” ing raised the issue of rescission based on mistake whether Cuero’s conviction consti- case, briefing many years in the this so tuted a strike under California law would Second, argument is waived. there is have no been a mistake not a mistake of fact, prosecutor’s original evidence that permit the state law does California re- promises plea agreement party's under the first arose scission of a contract based on a uni- equally likely interpretation from a application "mistake.” It is lateral mistaken
1025
breached,
sought
come it
breaching
is
“Where
is,
remedy
to the extent
purpose
agreement.
pro-
of the
Protection of Cuero’s due
by
the harm caused
possible,
repair
rights
specific
cess
therefore “leaves
per-
(internal
Buckley,
caused case, history. govern- In this prosecution precise to achieve the out- §§ to all the information ernment had access of the law. See Cal. Civ. Code 1689(b)(1). per- Finally, if the standard necessary even conclude that Cuero’s second strike, mitting mis- rescission for certain unilateral prior and its conviction constituted here, applied of fact rescission is takes entering plea agree- failure to do so before party mistake of fact was available to a whose exclusively the result of its own ment was negligence, Cal. Civ. the result of its own see calculated, though negligence at best or government's § late as was incorrect, decision at worst. gov- "discovery” of Cuero's strike here: adequate three-judge ment had access to accurate and case.1 The panel decision here information about Cuero’s convic- is not on based established federal original plea agree- tions at time of the as the Court has never held merely neglected ment to reflect his that the Due Process Clause precludes history original full criminal amend- post-plea, pre-judgment amendments to a ed'complaint. complaint. Nor has ever ordered the reinstatement anof al- by abstracting highest
It is
leged plea agreement that was not in ef-
“plea
noting
agreements play
level—
judgment
fect at
time
was entered.
part
justice
an instrumental
our criminal
an
judiciary
Such
exercise of raw federal
system”
my dissenting colleagues
—that
power, though,
exactly
what the Antiter-
impedes
this case
can claim that
the ad-
rorism and
Penalty
Effective Death
Act
justice in
ministration of criminal
Califor-
(“AEDPA”),
§
prohibits.
U.S.C.
I
disputes
plea agreements
nia. No one
respectfully dissent from our refusal
component
are
admin-
an “essential
rehear this case en banc.
Santobello,
justice.”
istration of
majority opinion
prior
People
agreed to with-
Thereafter,
petitioned
for habeas
draw the second amended complaint and
Court,
relief in
Superior
California
Cuero with
inflicting great
Court of Appeal, and
bodily injury to Feldman
driving
while
un-
Court, all of which denied
request
Cuero’s
der the
a drug
influence of
and having two
for relief. Cuero then filed a federal habeas
strikes,
prior
which had the effect of dra-
petition
Court,
in the District
which was
matically reducing
exposure.
also denied and serves as the basis for this
At the change-of-plea hearing held on
appeal.
March
People
filed a third
(“TAC”)
amended complaint
reflecting
II. DISCUSSION
changes.
these
Cuero withdrew his previ-
ous
pleaded
guilty to the
A federal
petition
habeas
challenging
single charge.
TAC’s
Cuero also
custody
admitted
shall be denied “unless the
the two
strikes contained in the
adjudication
[state court’s]
of the claim[]
(Rome
People
brief,
As noted in
Wende,
8. A Wende
People
named after
ro),
497, 504, 529-30,
13 Cal.4th
Cal.Rptr.
Cal.
25 Cal.3d
600 P.2d
Rptr.2d
(1996), pursuant
(1979),
court arrives
People’s
requested
amend-
Supreme
that reached
Court on
contrary
ment was neither
to nor
of law or if the state court decides
question
application
an unreasonable
differently
Supreme
a case
than the
Court
clearly
Supreme
established
materially indistinguishable
has on set of
”
precedent.
Harrington,
v.
829 F.3d
facts.’
Jones
(9th
2016) (alterations
Cir.
First,
Supreme
Court has never held
omitted)
v.
original
Williams
prevents
the Due Process Clause
362, 413,
Taylor, 529
120 S.Ct.
U.S.
amending
state
from
a criminal
(2000)). “A state court
Second,
complaint post-plea, pre-judgment.
unreasonably applies clearly established
969.5, 1009,
California Penal
sections
gov
if it ‘identifies the correct
federal law
specifically
post-plea
and 1192.5
allow for
erning legal
unreasonably applies
rule but
complaints,
amendments of
and no Califor-
particular
pris
it to the facts of the
state
nia court has limited
of the section’s
”
(alterations
original
case.’
Id.
oner’s
application to instances where a defendant
—
omitted)
Woodall,
v.
(quoting White
Third,
pleaded
agreement.
an
without
—,
134 S.Ct.
Supreme
specif-
Court has never held that
(2014)).
court decisions
L.Ed.2d 698
State
performance
only remedy
ic
is the
for al-
“against
Supreme
are to be measured
[the
leged
of the Due Process
violations
Clause
precedents as
‘the time the
Court’s]
during
plea bargaining process
or that
”
state court renders its decision.’ Greene
courts,
appellate
opposed
federal
Fisher,
34, 132
v.
565 U.S.
courts,
remedy
should fashion
(2011) (emphasis
original)
L.Ed.2d 336
fact,
In
any such violation.
has held
Andrade,
(quoting Lockyer opposite.
71-72,
1166,
.distinguishable.
defendant
victed, and it is that conviction which
agreed
plead guilty
exchange
for the
gave rise to
deprivation
of respon-
government’s explicit promise not to make
liberty
dent’s
at issue here.
a sentence recommendation.
People’s
First,
language
sec-
law.
119 L.Ed.2d
with state
U.S.
969.5,
and 1192.5 is broad
Mancari,
(1992)));
tions
Morton v.
nor
Supreme Court
the California
neither
535, 550-51,
Appeal has nar-
Court of
the California
(“Where
intention
there is no clear
Second, existing California law
it.
rowed
otherwise,
specific
will not be
a
statute
felony-
strong
repeat
desire that
evinces
one,
general
controlled or nullified
“longer prison sentences
offenders receive
enactment.”).
priority
regardless of
Cal. Penal Code
greater punishment.”
667(b). Third,
strongly
law
§
California
role
if
contract
law had a
ii. Even
dismissing or
prosecutors
disfavors
analysis,
play in
a reasonable
strikes, allow-
of a defendant’s
charging all
the Peo-
could conclude
occur
when
such action to
ing for
permissible.
ple’s amendment was
justice” or when
furtherance of
“in the
prove the
evidence to
there is insufficient
stated,
Although not
it is clear that
667(f)(1).14
§
Cal. Penal Code
strike. See
essentially
viewed
969.5,
light
of sections
alleged
amendment as
rescission
1192.5,
contract law is not con
plea agreement. Under California
initial
case has ever
trolling. Again, no California
party
to a contract
rescind
ap
state contract law limits
held that
given
party’s
contract if the
consent was
969.5,
plication of sections
by mistake.15 See Cal. Civ. Code
1192.5,Furthermore,
extent sections
1689(b)(1).
rescission,
To claim
the mis-
969.5,
and 1192.5 are inconsistent
must show that:
party
taken
allowing
state contract
regarding
made a mistake
ba-
[he]
complaint,
amend the
stat
People to
those
upon which
made
assumption
[he]
sic
govern
should
because
utory provisions
*15
(2)
contract;
a
the mistake has mate-
directly
more
situation
they speak
exchange of
upon
agreed
rial effect
See, e.g.,
Court.
faced
[him];
that is adverse to
performances
Hotel,
v. Amal
Gateway
LLC
RadLAX
(3)
the risk of the
does
bear
[he]
Bank,
639, 132 S.Ct.
566 U.S.
gamated
mistake;
of the mis-
(2012) (“It
the effect
2071,
2065,
967
is a
182 L.Ed.2d
that
take is such
enforcement
statutory
construction
commonplace
(al-
contract would be unconscionable.
specific governs
general.”
that the
667(f)
briefing
People's
did not address how
specifically refers to "seri-
15. The
14. Section
felony
How-
violent
convictions.”
with state con-
ous
ever,
its amendment is consistent
and/or
clear,
subsequent
Nonetheless,
as
case
makes
indepen-
we have an
tract law.
felony conviction” un-
violent
"serious and/or
duty
arguments
“what
or theories
dent
to ask
See,
667(f)
constitutes
strike.
der section
supported[ ]
... could have
the state court's
Acosta,
105, 111, 124
e.g., People v.
29 Cal.4th
decision;
possi-
and then
ask whether it is
[]
435,
(2002) ("Each
Cal.Rptr.2d
1035
Corp.,
Donovan v. RRL
26
him
paid
Cal.4th
Cuero had
could be refunded to
Cal.Rptr.2d
109
27
702
P.3d
in full.
differently,
Stated
initial
(2001). Here, there is no
doubt
could be
parties
and the
returned
unwound
People would not have entered into the
to the exact same position they occupied
alleged
initial
prior
entered,
being
as the
had it known that a second
conviction prosecutor had argued at the hearing on
Further,
constituted a strike.
if the Peo
Thus,
motion
amend.
this case is
ple’s
uncorrected,
mistake remained
defendant,
unlike those where
years
would have
received windfall—14
plea agreement,
against
testifies
an
facing
rather than
a maximum of 64
other
trial
cooperates
with law en
Therefore,
to life.
factors one and two are
meaningful way.
forcement
some
As a
result,
satisfied.
a reasonable judge could conclude
alleged
that the
rescission here
per
A
reasonable
could also conclude
See, e.g.,
missible.
NMSBPCSLDHB v.
factors
four
three and
were satisfied. As
Fresno,
County
Cal.App.4th 954,
recently
noted
the California
959-60,
Cal.Rptr.3d
(stating
Court,
Appeal in
v. Superior
Amin
“requir[es]
[party]
rescission
each
Cal.App.4th
Cal.Rptr.3d
return whatever consideration has been
(2015),
is a
“there
dearth of cases in
received”
Imperial Cas. & Indem.
regarding
California”
whether
Sogomonian,
Co. v.
Cal.App.3d
agreement is rescindable
to a prosecu-
due
(1988))).
Cal.Rptr.
majority
tor’s unilateral mistake. While the
in Amin
that the People
concluded
failed
if
process rights
3. Even
Cuero’s due
to establish that factors
four
three and
violated, Supreme
prece-
were
satisfied,
were
see 237
Cal.App.4th
specific
require
per-
does
dent
1400-07,
Cal.Rptr.3d
the dissent
formance.
1411-15,
disagreed,
Cal.Rptr.3d
id. at
870. For
purposes
appeal,
Cuero’s
Amin
concludes that the “Superi-
First,
significant
two
reasons.
or Court also unreasonably applied clearly
that,
shows
even as of
by failing
established federal law
to order
conclusively
courts had not
decided how specific performance of
[initial]
applied
Cuero,
mistake-of-fact rescission
plea agreement.”
entering into ment, this case from distinguishes Superior Court afforded Cuero the which Cuero, majority. by the See plea, those cited from his opportunity to withdraw contract law F.3d at 890-91.16 advantage. Nothing which he took this non-breaching that merely requires inconsistent with sequence of events is Here, to made whole. party be state law or established plea agreement, initial Cuero alleged result, As a there is no due precedent. trial, he received gave up right but violation, Superior Court did Superior when the right back err, not and Cuero is not entitled habe- amend. People’s request approved as relief. deprived It is true sentence, unlawfully generous majority’s opinion
receiving an
B. The
intrudes
no moment. California law
just
orderly
this is of
upon
but
admin-
that,
under these
not
establish
did
justice
istration of
in California
circumstances, a
entitled to
defendant is
possibly
states within
other
have never
re-acquire something he should
the Ninth Circuit.
instead,
place;
the first
it indicat
gotten in
goes
saying
preventing
“It
without
Alvarado,
just
opposite.
See
ed
much more the
dealing
crime is
(“Al
Cal.Rptr.
Cal.App.3d
than it is of the
business
the States
ineligibility
prejudicial
though probation
Government, and that
[federal
Federal
that Alvarado would rather it
in the sense
lightly
not
should
construe
courts]
alleged,
allegation
here does
upon
Constitution so as
intrude
to Alvarado’s substantial
prejudice
cause
justice by
administration of
the individual
fact,
merely
In
the amendment
rights.
California,
States.” Medina v.
505 U.S.
position
in the
he should
places Alvarado
112 S.Ct.
arraign
in at the time of his
have been
(1992) (citation omitted) (quoting Patter-
municipal
court had he not used
ment
York,
son v. New
432 U.S.
an
an alias and entered
immediate
(1977)).
2319,
may use an alias or be than forthcom less Further, ing history. about his criminal If past is any behavior of fu- indication FBI, reports from state and local law behavior, ture Michael Cuero on is well authorities, presentence enforcement way serving to a life sentence on an install- may investigators not be available. plan. ment Unfortunately, each new in- Cf. Cal.App.4th Court, Thompson likely stallment means that has vic- 156, 110 Cal.Rptr.2d 89 yet life, person timized another whose like (“At preliminary hearing, the time Feldman’s, Jeffrey will never be the same. prior may the defendant’s convictions injustice The true here is that will fully especially if People, known not have to serve the sentence has defendant used one more Superior legally imposed. In failing aliases, or has suffered convictions other follow Court’s to direction states.”). result, aAs mistakes are bound defer the state court’s reasonable deter- Though undoubtedly to occur. we want mination, only has not de- prosecutors through follow with prived Jeffrey family Feldman and his into, agreements they enter we should not justice entitled, they to which are but need impede agree their to revive those has also stripped California of a tool used upon discovery ments of additional in to ensure that criminal defendants receive formation unless and until the sentences that are commensurate with all establishes that we do they offenses have committed. Such specific so here. circumstances See meddling by a federal court in a state’s Medina, 2572; 505 U.S. at S.Ct. justice should occur Mabry, see also U.S. at required by clearly when established Su- (“The Due Process Clause is not a no such preme precedent. Because prosecutors!.]”). code of ethics here, I respectfully dis- exists majority’s substantially ruling inter- from this sent our refusal rehear case n justice feres with sys- California’s criminal banc. en requires tem. law prosecutors California a defendant’s serious and vio- i.e., felonies, lent strikes. the safe- Without
ty valve created California Penal 969.5, 1009, 1192.5, prosecu-
sections (a)
tors will be forced to between choose
pressing imperfect ahead information
and risk potentially violating (b) refusing negotiate until com-
