United States v. Lundy

63 M.J. 299, 2006 CAAF LEXIS 914, 2006 WL 2018662
CourtCourt of Appeals for the Armed Forces
DecidedJuly 18, 2006
Docket03-0620/AR
StatusPublished
Cited by72 cases

This text of 63 M.J. 299 (United States v. Lundy) is published on Counsel Stack Legal Research, covering Court of Appeals for the Armed Forces primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Lundy, 63 M.J. 299, 2006 CAAF LEXIS 914, 2006 WL 2018662 (Ark. 2006).

Opinions

Judge BAKER

delivered the opinion of the Court.

On January 27, 2000, Appellant was convicted in accordance with his pleas of forcible sodomy with a child under the age of twelve, forcible sodomy with a child under the age of sixteen, and six specifications of indecent acts with a child under the age of sixteen in violation of Articles 125 and 134, Uniform Code of Military Justice (UCMJ), 10 U.S.C. §§ 925, 934 (2000). He was convicted contrary to his pleas of attempted carnal knowledge with a child under the age of twelve and attempted indecent acts with a child over the age of sixteen in violation of Article 80, UCMJ, 10 U.S.C. § 880 (2000). The adjudged sentence included a dishonorable discharge, confinement for twenty-three years and reduction to the lowest enlisted grade (E-l). The sentence approved by the convening authority included a dishonorable discharge and confinement for eighteen years. He also approved the reduction to E-l, but waived the mandatory forfeitures under Article 58b, UCMJ, 10 U.S.C. § 858b (2000). This case is on appeal to this Court a second time.1

Appellant’s pretrial agreement included a commitment from the convening authority on behalf of the United States to “defer any and all reductions and forfeitures, until sentence is approved, suspend any and all adjudged and waive any and all automatic reductions and forfeitures and pay them to [Appellant’s] wife to the full extent of the law.” The question presented on this appeal is whether the timing of the Government’s execution of this term was material to the agreement and therefore to Appellant’s decision to plead guilty. If so, Appellant argues that under United States v. Perron, 58 M.J. 78 (C.A.A.F.2003), he is entitled to withdraw his plea as improvident.

BACKGROUND

After the trial, the convening authority deferred the adjudged reduction in grade and the mandatory forfeitures that would have taken effect under Article 58b, UCMJ. However, the convening authority did not suspend or waive “any and all adjudged ... [and] automatic reductions and forfeitures.” In light of an Army regulation that precluded suspending a mandatory reduction in grade unless a convening authority also suspended any related confinement or punitive discharge, the convening authority did not suspend Appellant’s mandatory reduction. Dep’t of the Army, Reg. 600-8-19, Personnel-General: Enlisted Promotions and Reductions para. 7-ld (May 1, 2000). Consequently, upon the convening authority’s action, Appellant was automatically reduced from grade E-6 to E-l. In turn, Appellant’s wife received payments based on the rate of pay of an E-l rather than that of an E-6. Thus, Appellant’s wife received some of what was bargained for on her behalf, but not all.

In Lundy II, because the United States Army Court of Criminal Appeals in Lundy I determined that the provision at issue here [301]*301was a material term, we remanded to that court to determine: (a) whether specific performance was possible; and if not (b) whether there were viable options for alternative relief under Perron. 60 M.J. at 60. However, in light of our conclusion in Perron that the government cannot impose alternative relief on an unwilling appellant to satisfy a material term in a pretrial agreement, we also ordered the lower court to determine whether the timing of any payments was material to the pretrial agreement. Id. at 60-61.

In Lundy III, the Court of Criminal Appeals determined on remand that specific performance was available. 60 M.J. at 944. It further concluded that “[a]lthough appellant argues that specific performance at this late date is, in actuality, a form of alternative relief because the timing of payments is a material provision of his pretrial agreement, he has failed to demonstrate such materiality.” Id. The lower court noted that following Lundy II, the Secretary of the Army’s designee authorized the convening authority to suspend Appellant’s automatic reduction without the requirement of also suspending the related confinement and punitive discharge. Id. at 943. Further, after the lower court’s determination in Lundy III, the Defense Finance and Accounting Service made payment to Appellant’s wife in October 2005 in the amount of the difference between the E-l rate and the E-6 rate of pay for six months with interest. At this point, Appellant received the monetary benefit of his bargain. However, Appellant now renews his claim that the timing of payments at the E-6 rate for the six-month period following the convening authority’s action “played a large part in his decision to enter into the pretrial agreement,” and thus his plea was improvident.

DISCUSSION

A pretrial agreement is a contract between the accused and the convening authority. See United States v. Acevedo, 50 M.J. 169, 172 (C.A.A.F.1999). Therefore, “we look to the basic principles of contract law when interpreting pretrial agreements.” Id. However, a pretrial agreement is a constitutional rather than a commercial contract. Typically, an accused foregoes his or her constitutional rights, including the privilege against compulsory self-incrimination, the right to trial by members, and the right to confront witnesses against him in exchange for a reduction in sentence or other benefit. Perron, 58 M.J. at 81. As a result, when interpreting pretrial agreements, “contract principles are outweighed by the Constitution’s Due Process Clause protections for an accused.” Acevedo, 50 M.J. at 172. In a criminal context, the government is bound to keep its constitutional promises, whereas in a commercial context it might accept the financial consequences of breach. Thus, financial remedies are not necessarily an appropriate or available remedy for breach of a plea agreement. The right to confrontation, for example, is not redeemable for interest.

Interpretation of a pretrial agreement is a question of law, which we review de novo. Id. Whether the government has complied with the material terms and conditions of an agreement presents a mixed question of law and fact. Hometown Financial, Inc. v. United States, 409 F.3d 1360, 1369 (Fed.Cir.2005); Gilbert v. Dep’t of Justice, 334 F.3d 1065, 1071 (Fed.Cir.2003). Generally courts look to all of the facts and circumstances for this determination, and the inquiry is generally considered a question of fact. Singer v. West Publ’g Corp., 310 F.Supp.2d 1246, 1253 (S.D.Fla.2004). In the context of pretrial agreements involving the constitutional rights of a military accused, we look not only to the terms of the agreement, or contract, but to the accused’s understanding of the terms of an agreement as reflected in the record as a whole. Where, as here, the relevant facts are undisputed, the materiality determination necessarily reduces to a question of law. Gilbert, 334 F.3d at 1072; United States v. Green, 1 M.J. 453, 456 (C.M.A.1976).

An appellant bears the burden of establishing that there is a significant basis in law or fact to overturn a guilty plea.

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Cite This Page — Counsel Stack

Bluebook (online)
63 M.J. 299, 2006 CAAF LEXIS 914, 2006 WL 2018662, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-lundy-armfor-2006.