The opinion was delivered by
This case requires us to decide whether the State may, in its discretion, withdraw from a plea agreement when a case is remanded with directions to resentence the defendant to a lesser penalty based on the holding in
State v. McAdam,
As part of a plea agreement, Charles D. Boley pled no contest to one count of attempt to manufacture methamphetamine, in violation of K.S.A. 65-4159(a) and K.S.A. 21-3301, a severity level 1 drug felony. Originally, Boley had been charged with this offense, or, alternatively, with manufacture of methamphetamine and with conspiracy to manufacture methamphetamine, in violation of K.S.A. 65-4159(a) and K.S.A. 21-3302. Pursuant to the plea agreement, the State dismissed the conspiracy charge and agreed to recommend a downward durational departure sentence of 48 months’ imprisonment. The district court accepted the plea after questioning Boley to ascertain the voluntariness of his plea.
Before sentencing, Boley argued to the district court that the conviction should carry a severity level 3 felony penalty under K.S.A. 65-4161(a) or, alternatively, should be a misdemeanor under K.S.A. 65-4127c rather than a severity level 1 felony. The district court found that Boley had agreed to plead guilty to a severity level 1 felony, but did impose the 48-month downward departure sentence recommended by the State.
Boley appealed. In
State v. Boley,
In addition, the
Boley
Court of Appeals remanded the case for resentencing and ruled that because resentencing would frustrate the State’s purpose in entering the plea agreement, upon remand the State could withdraw from the plea agreement and refile the charges that were dismissed pursuant to that agreement or choose to perform under the plea agreement as modified. See
Upon Remand for Resentencing Pursuant to McAdam Should the State be Released From its Obligation to Abide by the Plea AgreementP
In his petition for review, Boley first argues we need not review the analysis of the Boley Court of Appeals because — except for the fact that he objected to the severity level of his crime before the district court — his case is in exactly the same procedural posture as
Barnes,
which required the case to be remanded for resentencing under the rule announced in
McAdam
and nothing more. See
In his brief, Boley also cites several other decisions. However, much like
Barnes,
the issue of whether the State could withdraw from the plea agreement was not addressed in any of those opinions because it was not raised by the parties. See
State v. Santos-Garza,
Thus, we examine the
Boley
Court of Appeals’ analysis and determination that the State could withdraw from the plea under the frustration of purpose doctrine. In reaching this holding, the court relied primarily on
United States v. Bunner,
The Tenth Circuit Court of Appeals held that a defendant’s successful post-plea challenge to his sentence did not repudiate his plea agreement; however, it did frustrate the government’s purpose in entering into the plea agreement. Therefore, under the frustration of purpose doctrine, the government could choose to be discharged from its obligations under the plea agreement and reinstate the previously dismissed charges.
In following
Bunner,
the
Boley
Court of Appeals noted that this court has previously applied contract law principles to the construction of plea agreements. Indeed, we have noted that “while principles of contract law cannot be blindly incorporated into the area of plea bargaining, they provide a useful analytical framework.”
State v. Smith,
Contract analysis appropriately begins with the first issue considered by the Tenth Circuit in
Bunner.
Did the defendant breach the plea agreement by challenging his sentence? The
Bunner
court rejected this argument, noting that nothing in the plea agreement suggested the defendant had relinquished his right to attack his sentence.
In Kansas,
“ail plea discussions are premised upon an understanding that such agreements are not binding upon the trial judge. Thus, when a plea agreement of guilty is tendered or received as a result of a prior plea agreement, the trial judge may give the agreement consideration, but is not bound by its terms and can reach an independent decision on whether to approve a negotiated charge or sentence concessions.” State v. Hill,247 Kan. 377 , 385,799 P.2d 997 (1990).
See K.S.A. 21-4713 (listing the actions prosecutor may take under plea agreements; prosecutor may
recommend
sentence);
State v. Ford,
The Tenth Circuit in Bunner and the Boley Court of Appeals in this case next considered whether the defendant’s actions frus *994 trated the purposes that tire parties had hoped to achieve through the plea agreement. The frustration of purpose doctrine is stated in the Restatement (Second) of Contracts § 265 (1979):
“Where, after a contract- is made, a party’s principal purpose is substantially frustrated without his fault by the occurrence of an event the non-occurrence of which was a basic assumption on which the contract was made, his remaining duties to render performance are discharged, unless the language or the circumstances indicate the contrary.”
The Bunner court stated the considerations and elements of the frustration of purpose doctrine:
“When two parties enter into a contract, each has an object or purpose for which [that party] joins tire transaction. See Arthur Linton Corbin, Corbin on Contracts § 1353 (1962). These purposes form the basis of the agreement, absent which neither party would consent to be bound. Occasionally, however, through no fault of either party, a reasonably unforeseeable event intervenes, destroying the basis of the contract and creating a situation where performance by one party will no longer give the receiving party what induced [that party] to enter into the contract in the first place. [Citation omitted.] Although the supervening event does not render performance impossible, one party’s performance becomes virtually worthless to the other. See Restatement [Second of] Contracts § 265 (1979). When this occurs, the aggrieved party is discharged from performing under the doctrine of frustration of purpose. Corbin on Contracts § 1353.”134 F.3d at 1004 .
The
Bunner
court identified the parties’ purposes in entering into the plea agreement, noting that both parties entered the agreement to avoid the uncertainty of a jury verdict. The defendant also hoped to avoid the risk of being convicted on all of the original charges, and the government wanted to ensure the defendant would serve time for violating 18 U.S.C. § 924(c). See
The
Bunner
court concluded that once the defendant successfully challenged his sentence and his sentence was vacated, he was completely relieved of his obligations under the plea agreement and his performance became worthless to the government. Furthermore, because the underlying purpose of the agreement had been frustrated and the basis of the government’s bargain had been destroyed, the government’s obligations under the agreement became dischargeable, and the court held that the government could
*995
choose to withdraw from the agreement and reinstate the original charges.
In the instant case, the Boley Court of Appeals applied the Bunner reasoning as follows:
“Here, both parties operated on the assumption that tire defendant would be convicted under K.S.A. 65-4159(a), a drug severity level 1 offense, in exchange for dismissal of other offenses in the complaint. The parties then agreed that the State would recommend a downward durational departure sentence of 48 months. By successfully challenging his severity level of conviction under McAdam, the defendant would receive a new sentence of 17-19 months. While, unlike in Bunner, the State has not lost its entire bargained-for value, the significant reduction in sentence clearly frustrates the State’s intended purpose in seeking a plea to a conviction under K.S.A. 65-4159(a). Consequently, the plea agreement should be deemed voidable at the discretion of the prosecutor.”32 Kan. App. 2d at 1198-99 .
Unlike the Tenth Circuit, however, the Boley Court of Appeals did not examine the elements of the frustration of purpose doctrine. The elements of the doctrine are enumerated in the Restatement (Second) of Contracts § 265, comment a. The first step in applying the doctrine is to determine whether the frustrated purpose was “so completely the basis of the contract that . . . without it the transaction would make little sense.” Restatement (Second) of Contracts § 265, comment a. In Burner, the State’s purpose in entering into the plea agreement was entirely frustrated when it was determined that the defendant’s conduct was not a violation of 18 U.S.C. § 924(c).
In contrast, in this case, the State’s purposes were achieved. Through the plea agreement, the State avoided a trial and the attendant risk of a not guilty verdict, i.e., the State obtained a conviction of a severity level 1 drug felony without having to prove the defendant guilty beyond a reasonable doubt before a jury. Additionally, the defendant served time in prison, albeit not as much time as the State expected. Because the plea agreement did not and could not bind the sentencing court, the State, in entering into the agreement, could not be assured of a specific sentence and, therefore, the length of the sentence cannot be considered to “be so completely the basis of the contract that without it the transaction would make little sense.”
*996 However, according to the Boley Court of Appeals, when Boley successfully attacked his sentence, with the result that he would receive only a 17-19 month sentence, the State’s purpose in entering the plea bargain was at least partially frustrated. Although true, this analysis does not comport with application of the frustration of purpose doctrine. The Restatement defines the second element of the doctrine by stating: “[T]he frustration must be substantial. It is not enough that the transaction has become less profitable for the affected parly or even that [it] will sustain a loss. The frustration must be so severe that it is not fairly to be regarded as within the risks . . . assumed under the contract.” Restatement (Second) of Contracts § 265, comment a.
In this regard Boley’s case is distinguishable from
Burner.
In
Bunner,
the defendant’s attack on his sentence did not result in a remand for resentencing; his sentence was vacated. See
Furthermore, in Kansas both parties to a plea agreement assume the risk the sentencing court will impose a sentence different than the sentence recommended as part of the plea agreement because sentence recommendations made pursuant to a plea bargain are not binding on the trial court. See
Hill,
Additionally, the State bore the risk that Boley would appeal his sentence. The prosecutor could have protected against this risk by including a provision in the plea agreement requiring the defendant to waive his right to appeal or indicating that if the defendant successfully challenged his sentence, such action would be considered a breach of the agreement. In fact, the plea agreement did provide for other circumstances where the State would be released from its obligations under the agreement and allowed to reinstate charges, i.e., if the defendant failed to comply with all bond conditions, failed to appear for all court appearances, or violated federal, state or local laws pending disposition of the case.
Thus, the State does not meet the second element of the frustration of purpose doctrine because the frustration was not “so severe” that it is fairly regarded as within the risks assumed under the contract. Restatement (Second) of Contracts § 265, comment a.
The third and final element of the doctrine is that the “nonoccurrence of the frustrating event must have been a basic assumption on which the contract was made.” Restatement (Second) of Contracts § 265, comment a. The written plea agreement in this case was dated July 14, 2003. By that point in time, the issue of whether someone convicted of manufacture of methamphetamine could be sentenced to a severity level 1 drug felony had been percolating in the Court of Appeals. The Court of Appeals’ decision in
State v. McAdam,
Thus, contraiy to the Boley Court of Appeals’ holding, we conclude that the elements of the frustration of purpose doctrine were not met under the facts of this case.
The
Boley
Court of Appeals also noted that some jurisdictions apply the principles of mutual mistake to require rescission of the plea agreement, rather than giving the prosecution a choice. The court rejected this result, holding that there was no mutual mistake of law and that requiring rescission would be inequitable to the State because evidence might have been destroyed and witnesses lost.
The court also recognized that “where there is a mistake of law in a plea agreement, the risk of the mistake may fall to the State, which is presumed to be in a better position to know the applicable law.”
As discussed above, under the circumstances of this case, when the plea agreement was signed, this court’s
McAdam
decision was foreseeable because the Court of Appeals had issued its decision and this court had granted review. More important, as noted in
State v. Barnes,
*999
Coy v. Fields,
The
Coy
court rejected the State’s argument, based on
Banner,
that the probation provision was a material part of the plea agreement and that the nullification of that provision frustrated the purpose of the plea agreement. The court noted that the plea agreement provided only for the
possibility
of up to lifetime probation, but the agreement also contemplated that the judge could sentence the defendant within the legal range. Had the court done so, the State could not have complained.
Coy,
The
Coy
court relied in part on
Patience
in holding that the State bears the risk when a sentencing provision in a plea agreement proves to be illegal and unenforceable.
Coy,
The Utah court refused the State’s request to rescind the plea agreement, noting that the defendant had neither breached, withdrawn from, nor modified the agreement, conditions which generally would have permitted the State to withdraw. Patience, 944 *1000 P.2d at 386-88. Moreover, the court held that rescission was inappropriate even under a contract law analysis:
“[A] party may not rescind an agreement based on mutual mistake where that party bears the risk of mistake. See 17A Am. Jur. 2d Contracts § 215 (1991). In this case, we conclude the State bore the risk of the mistake as to the law in effect at the time the parties entered into the plea agreement. The State is generally in the better position to know the correct law . . . and the State must be deemed to know the law it is enforcing. Indeed, it is the State’s law, duly enacted by its legislative branch, that is in issue. The State must be charged with knowledge of its own legislative enactments and, in that sense, cannot be said to have been mistaken about the governing statute in effect when it agreed to the plea arrangement. [Citation omitted.] ....
“. . . Under these circumstances, we refuse to relieve the State of what it now considers a bad bargain where the plea agreement was the result of uninduced mistake as to the current provisions of Utah statute.
“We conclude that the State may not rescind the plea agreement in this case based on mutual mistake.” Patience,944 P.2d at 387-88 .
In
Coy
and
Patience,
die prosecutors were mistaken about the governing statutes currently in effect. Here, the issues related to the construction of statutes. However, that difference is not critical. In
Patience,
the court in a footnote distinguished several cases which had vacated plea agreements because of a later interpretation of a state statute which the parties could not reasonably have anticipated.
Coy and Patience are analogous and persuasive. We conclude that the State may not rescind the plea agreement in this case based upon a mistake of law.
Finally, we consider another case cited by the
Boley
Court of Appeals,
Jolly v. State,
In
Boswell,
the defendant pled guilty to two charges as part of a plea agreement wherein the State agreed to join in recommending a particular sentence. The trial court imposed the recommended sentence, part of which included an upward durational departure. Boswell appealed, and the Court of Appeals held the upward durational departure sentence was unconstitutional and illegal under
State v. Gould,
The court approvingly cited Jolly, a factually similar case where the defendant had entered into a plea agreement which recommended an illegally excessive sentence. As quoted by the Boswell court, Jolly held:
“ ‘[D]ue to the fact that a post-conviction motion may be raised and ruled upon years after imposition, the state may no longer have the witnesses and other evidence necessary to pursue a trial after a defendant successfully has his judgment and sentence vacated. Therefore, in a situation involving a reduction of sentence in contravention of the plea bargain, the state should be given the option of either agreeing that both the judgment and sentence should be vacated and taking the defendant to trial on all original charges, or agreeing that only the excessive sentence should be vacated, while having the judgment stand and allowing the defendant to be resentenced . . . .’392 So. 2d at 56 .” Boswell,30 Kan. App. 2d at 14 .
The Boswell court followed Jolly and held:
“[W]hen a plea agreement includes an agreement to recommend to the court an illegal sentence, die sentencing court imposes the recommended but illegal sentence, and the illegal sentence impermissibly increases the defendant’s term of imprisonment, die State may either allow die defendant to withdraw his or her guilty plea or agree that the illegal portion of the sentence be vacated and the defendant be resentenced to the proper lesser term.” Boswell,30 Kan. App. 2d at 14 .
In
Johnson,
the defendant was charged with first-degree murder but pled guilty to an amended charge of voluntary manslaughter as part of a plea agreement wherein the State agreed to recommend an upward durational departure sentence. The trial court
*1002
imposed the recommended sentence. On appeal, the State acknowledged that the upward durational departure sentence was illegal, but argued that under
Boswell
it should have the option of requiring a retrial on the amended complaint. The
Johnson
court rejected this argument.
In other words, the upshot of both Boswell and Johnson is that when a defendant successfully challenges an illegally excessive sentence imposed as the result of a plea bargain, it is the defendant’s choice, not the State’s, whether to obviate the plea agreement or not.
The
Boley
Court of Appeals in this case disagreed with the
Johnson
court’s interpretation of
Boswell
because it directly contradicted the reasoning of
Jolly. Boley,
In
Jolly,
the defendant was sentenced to an illegally excessive sentence as the result of a “material mistake of law” by the trial judge, prosecutor, and defense counsel, all of whom mistakenly believed a mandatory minimum 3-year sentence applied. The defendant filed a motion to correct the sentence. The
Jolly
court agreed the trial judge erred in accepting a plea conditioned on the imposition of an improper sentence. However, the court ruled that a motion to correct the sentence was not the proper remedy under Florida law; rather, the defendant should have filed a motion to
*1003
vacate the judgment and sentence, or, in other words, a motion to set aside the plea. Thus, the defendant only had the choice of remaining bound by the original plea agreement and sentence or moving to set aside the plea. If the defendant chose the latter, only then did the State have the choice of agreeing that both the conviction and sentence should be set aside or insisting that the defendant be resentenced to the proper term.
Thus, we agree with the Boley Court of Appeals’ conclusion that Jolly held the defendant’s only choice was whether to either withdraw the plea or abide by the original plea agreement and sentence.
Nonetheless,
Jolly
is distinguishable from this case in several respects. First,
Jolly
was not a direct appeal and the central issue was the appropriate remedy under Florida law. Furthermore, the plea negotiations in
Jolly
were “based on the premise that the defendant would receive a mandatory three-year sentence” so that Jolly’s postconviction motion would result in a “reduction of sentence in contravention of the plea bargain.”
The State offers no other basis for providing it relief from the plea agreement it negotiated with Boley. We, therefore, reverse the Boley Court of Appeals, vacate the sentence of the district court, and remand this case to the district court for further proceedings consistent with this opinion.
