Elgine Haceta McArdle
David
F. Cross
McArdle Law Office
Assistant
Prosecuting Attorney
Wheeling, West Virginia
Ohio
County
Attorney for the Petitioner
Wheeling,
West Virginia
Attorney
for the Respondents
The Opinion of the Court was delivered PER CURIAM.
1. 'A writ of prohibition will not issue
to prevent a simple abuse of discretion by a trial court. It will only issue
where the trial court has no jurisdiction or having such jurisdiction exceeds
its legitimate powers. W. Va. Code, 53-1-1. Syl. pt. 2, State
ex rel. Peacher v. Sencindiver, 160 W. Va. 314, 233 S.E.2d 425 (1977).'
Syl. pt. 2, State ex rel. Kees v. Sanders, 192 W. Va. 602, 453 S.E.2d
436 (1994). Syl. Pt. 1, State ex rel. United Hosp. Center, Inc. v.
Bedell, 199 W.Va. 316, 484 S.E.2d 199 (1997).
2. In determining whether to entertain and
issue the writ of prohibition for cases not involving an absence of jurisdiction
but only where it is claimed that the lower tribunal exceeded its legitimate
powers, this Court will examine five factors: (1) whether the party seeking
the writ has no other adequate means, such as direct appeal, to obtain the
desired relief; (2) whether the petitioner will be damaged or prejudiced in
a way that is not correctable on appeal; (3) whether the lower tribunal's
order is clearly erroneous as a matter of law; (4) whether the lower tribunal's
order is an oft repeated error or manifests persistent disregard for either
procedural or substantive law; and (5) whether the lower tribunal's order
raises new and important problems or issues of law of first impression. These
factors are general guidelines that serve as a useful starting point for determining
whether a discretionary writ of prohibition should issue. Although all five
factors need not be satisfied, it is clear that the third factor, the existence of clear error
as a matter of law, should be given substantial weight. Syl. Pt. 4,
State ex rel. Hoover v. Berger, 199 W. Va. 12, 483 S.E.2d 12 (1996).
3. Where the issue on an appeal from the circuit
court is clearly a question of law or involving an interpretation of a statute,
we apply a de novo standard of review. Syl. Pt. 1, Chrystal
R.M. v. Charlie A.L., 194 W. Va. 138, 459 S.E.2d 415 (1995).
4. A recognized corollary to the principle
that a guilty plea must be shown to have been intelligently and voluntarily
entered is the rule that if the plea is based on a plea bargain which is not
fulfilled or is unfulfillable, then the guilty plea cannot stand. Syl.
Pt. 1, State ex rel. Morris v. Mohn, 165 W. Va. 145, 267 S.E.2d 443
(1980).
5. A guilty plea entered pursuant to a plea
bargain which promises a concurrent sentence must be set aside where the promise
of concurrency is not fulfilled. Syl. Pt. 3, State ex rel. Morris
v. Mohn, 165 W. Va. 145, 267 S.E.2d 443 (1980).
6. The entry of a nolo contendere or a guilty
plea pursuant to a plea bargain and the oral pronouncement of a sentence by
a circuit court does not impose a double jeopardy bar where the defendant has not served any portion of the sentence.
Syl. Pt. 13, Myers v. Frazier, 173 W. Va. 658, 319 S.E.2d 782 (1984).
Per Curiam:
This matter is before this Court upon a writ of
prohibition filed by Thomas T.J. Gessler, Jr. (hereinafter Petitioner)
seeking to prevent the enforcement of a May 3, 2002, order of the Circuit
Court of Ohio County reinstating six counts of an indictment against the Petitioner.
The Petitioner contends that a plea agreement in which he pled guilty to two
counts in exchange for the dismissal of the remaining six counts with prejudice
should not have been set aside by the lower court. Upon thorough review of
this matter, this Court concludes that the lower court correctly resolved
this matter, and we consequently deny the requested writ of prohibition.
The Petitioner requests a writ of prohibition, contending
that the six counts had been dismissed with prejudice and cannot be reinstated
against him without violating principles of double jeopardy. He further contends
that the dismissal with prejudice, pursuant to the plea agreement, is binding upon both the defendant and the
State, despite the mutual mistake regarding the classification of the crimes
as misdemeanors or felonies. The State asserts that the lower court properly
resolved the quagmire by withdrawing the plea agreement and reinstating the
remaining six counts. The State contends that only a valid plea agreement
is enforceable and binding and maintains that the plea agreement in the present
case was not a valid and enforceable plea agreement because the sentence to
be imposed was a legal impossibility based upon the mutual mistake regarding
the classification of the crimes as felonies rather than misdemeanors. Thus,
the State concludes that the lower court implemented the only proper remedy,
voiding the agreement in its entirety and placing the parties, both the defendant
and the State, in the positions they occupied prior to their execution of
the plea agreement.
This Court elaborated on this standard of review in syllabus point four of State
ex rel. Hoover v. Berger, 199 W. Va. 12, 483 S.E.2d 12 (1996), as follows:
In determining whether to entertain
and issue the writ of prohibition for cases not involving an absence of jurisdiction
but only where it is claimed that the lower tribunal exceeded its legitimate
powers, this Court will examine five factors: (1) whether the party seeking
the writ has no other adequate means, such as direct appeal, to obtain the desired
relief; (2) whether the petitioner will be damaged or prejudiced in a way that
is not correctable on appeal; (3) whether the lower tribunal's order is clearly
erroneous as a matter of law; (4) whether the lower tribunal's order is an oft
repeated error or manifests persistent disregard for either procedural or substantive
law; and (5) whether the lower tribunal's order raises new and important problems
or issues of law of first impression. These factors are general guidelines that
serve as a useful starting point for determining whether a discretionary writ
of prohibition should issue. Although all five factors need not be satisfied,
it is clear that the third factor, the existence of clear error as a matter
of law, should be given substantial weight.
In determining the third factor, the existence of clear
error as a matter of law, we will employ a de novo standard of review,
as in matters in which purely legal issues are at issue. Syllabus point one
of Chrystal R.M. v. Charlie A.L., 194 W. Va. 138, 459 S.E.2d 415 (1995),
provided that [w]here the issue on an appeal from the circuit court is
clearly a question of law or involving an interpretation of a statute, we apply
a de novo standard of review.
A. West Virginia Jurisprudence
This Court also addressed the potential double jeopardy
bar in Myers and concluded as follows in syllabus point thirteen: The
entry of a nolo contendere or a guilty plea pursuant to a plea bargain and the oral pronouncement of a sentence
by a circuit court does not impose a double jeopardy bar where the defendant
has not served any portion of the sentence. The Court essentially determined
that double jeopardy had simply not attached at that stage. This Court was
adamant in Myers that rules regarding the attachment of jeopardy
at a jury or a nonjury trial cannot be directly transposed to the plea bargain
process. . . . 173 W. Va. at 671, 319 S.E.2d at 796. While Myers
did not include a discussion of attachment of jeopardy to charges dismissed
with prejudice, the assertions of Myers assist our current analysis.
The Myers Court explained as follows:
We have generally followed
the United States Supreme Court's holdings with regard to when jeopardy attaches,
as summarized in United States v. Martin Linen Supply Co., 430 U.S.
564, 569, 97 S.Ct. 1349, 1353, 51 L.Ed.2d 642, 650 (1977): 'The protections
afforded by the [Double Jeopardy] Clause are implicated only when the accused
has actually been placed in jeopardy. . . . This state of jeopardy attaches
when a jury is empaneled and sworn, or, in a bench trial, when the judge begins
to receive evidence.' (Citations omitted) See Syllabus Point 1, Adkins
v. Leverette, W.Va., 264 S.E.2d 154 (1980); Syllabus Point 4, Manning
v. Inge, W.Va., 288 S.E.2d 178 (1982).
173 W. Va. at 671, 319 S.E.2d at 795-96 (footnotes omitted). In footnote twenty
of Myers, this Court explained:
Even though jeopardy attaches
at a certain stage in a plea bargain proceeding, this does not mean that it
has become irretrieveably embedded. As illustrated in United States v.
Tateo, 377 U.S. 463, 84 S.Ct. 1587, 12 L.Ed.2d 448 (1964), if a defendant
is successful in setting aside his guilty plea conviction, the State is not
barred from prosecuting him on the underlying offense. In Tateo, the United States Supreme Court recognized
that while jeopardy had initially attached when the guilty plea was entered
and sentence had been executed, the subsequent setting aside of the guilty
plea because it was coerced did not preclude further prosecution because it
was analogous to a reversal on appeal for trial error, citing United States
v. Ball, 163 U.S. 662, 16 S.Ct. 1192, 41 L.Ed. 300 (1896), and Forman
v. United States, 361 U.S. 416, 80 S.Ct. 481, 4 L.Ed.2d 412 (1960).
173 W. Va. at 671 n.20, 319 S.E.2d at 796 n.20.
An excellent example of the reasoning of other jurisdictions
facing similar scenarios is found in Chae v. People, 780 P.2d 481 (Colo.
1989). In that case, the Supreme Court of Colorado discussed the inclusion
of the sentence recommendation as a material part of, rather than a separate
consideration from, the plea agreement entered into by Mr. Chae. 780 P.2d
at 487. Because the illegal sentencing provision prevented Mr. Chae from being
bound by his original plea agreement, the court found that the district attorney
was also not bound by the agreement. Id. at 488. Thus, the court remanded
the case with directions that the district attorney could reinstate the charges
against Mr. Chae that had previously been dismissed under the plea agreement.
Id.
In United
States v. Greatwalker,
285 F.3d 727 (8th Cir. 2002), the United States Court of Appeals
for the Eighth Circuit found that [e]ven when a defendant, prosecutor,
and court agree on a sentence, the court cannot give the sentence effect if
it is not authorized by law. 285 F.3d at 730.
In that case, the plea agreement contained an unfulfillable promise that the
defendant would receive a sentence below the statutory minimum. Having found
that plea agreement void, the court held that [b]ecause
the illegal sentence prevents both Greatwalker
and the Government from being bound by the plea agreement, the Government
may reinstate the dropped charges. . . .
(See footnote 3)
Applying the principles enumerated by this Court,
as well as other jurisdictions, we find that the lower court correctly resolved
this unfortunate predicament by holding that a plea agreement which cannot be fulfilled based upon legal
impossibility must be vacated in its entirety, and the parties must be placed,
as nearly as possible, in the positions they occupied prior to the entry of
the plea agreement. See Ohio v. Johnson, 467 U.S. 493, 502 (1984) (stating
that defendant should not be entitled to use the Double Jeopardy Clause
as a sword to prevent the State from completing its prosecution. . . .);
Lewis v. Warner, 802 P.2d 1053, 1056 (Ariz. App. 1990) (recognizing
that dismissal of charges prior to trial, as part of a plea agreement
or otherwise, does not operate as an acquittal so as to preclude later prosecution
on double jeopardy grounds); Dixon v. State, 981 S.W.2d 698 (Tex. App.
1998) (finding that where State, as part of plea bargain agreement, reduces
charges against defendant in exchange for guilty plea, and defendant successfully
challenges conviction, both parties resume their original positions, and there
is no double jeopardy bar in retrying defendant for greater offense).
For
the reasons which gave rise to this appeal, the prosecution of the misdemeanor
counts, originally charged as felonies, relating to or alleging that the defendant
was a felon in possession of a firearm may not proceed. We deny the Petitioner's
requested writ of prohibition and permit the prosecution to proceed on the
six felonies for which the indictment was returned.