United States v. Gabriel Mirabal
FOR PUBLICATION (2024)
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Rule of Law:
In a criminal case, a sworn statement of a government attorney in a plea agreement or sentencing memorandum is a party admission, excluded from the definition of hearsay under Federal Rule of Evidence 801(d)(2).
Facts:
- Gabriel Mirabal and Erik Rojo were inmates at a federal prison.
- On August 19, 2017, while returning from lunch, one inmate wore a white shirt and the other a brown shirt.
- The brown-shirted inmate triggered a metal detector, and Correctional Officer Brian Moreno initiated a pat-down search.
- A verbal exchange occurred, and the brown-shirted inmate threw the first punch at Officer Moreno.
- Mirabal asserted that the brown-shirted inmate threw the punch in self-defense after Officer Moreno quickly raised his arm.
- Officer Anthony Guerrero then rushed to assist Moreno.
- The white-shirted inmate, who had already walked past the detectors, ran back and joined the altercation, punching both officers.
- Both Officer Moreno and Officer Guerrero suffered physical injuries during the fight.
Procedural Posture:
- A grand jury indicted Gabriel Mirabal and co-defendant Erik Rojo for assaulting federal officers.
- Rojo entered into a plea agreement with the government, which included a factual basis identifying Mirabal as the inmate who started the physical altercation.
- The government subsequently filed an amended plea agreement for Rojo that removed all references to Mirabal.
- Mirabal proceeded to trial in the U.S. District Court for the Central District of California.
- The government filed a motion in limine to exclude the original factual basis from Rojo's plea agreement, arguing it was inadmissible hearsay.
- The district court granted the government's motion, ruling the evidence was hearsay and therefore inadmissible.
- A jury convicted Mirabal on two counts of assaulting a federal officer.
- Mirabal (appellant) appealed his conviction to the United States Court of Appeals for the Ninth Circuit, arguing against the United States (appellee).
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Issue:
Does a sworn statement of a government attorney in a co-defendant's plea agreement or sentencing memorandum constitute a party admission excluded from the definition of hearsay under Federal Rule of Evidence 801(d)(2)?
Opinions:
Majority - Judge H.A. Thomas
Yes. A sworn statement by a government attorney in a co-defendant's plea agreement is a party admission and is not hearsay under Federal Rule of Evidence 801(d)(2). The court reasoned that under its precedent in United States v. Van Griffin, statements from the 'relevant and competent section of the government' can be considered party admissions. In a criminal prosecution, the Department of Justice is the relevant government entity, and its attorneys' formal, signed statements in court filings like plea agreements represent the official position of the United States government, not merely the personal opinion of an individual prosecutor. The fact that the government later amended its filing does not change the fact that it had once adopted the original factual basis as its official position. Therefore, the district court made an error of law by excluding the government's prior statement as hearsay.
Analysis:
This decision solidifies that the government, as a party in a criminal case, can be held to its prior official statements made in court filings under Federal Rule of Evidence 801(d)(2). It empowers defendants to introduce the government's prior inconsistent factual assertions as substantive evidence, thereby preventing prosecutors from easily changing their theory of the case without facing evidentiary consequences. By treating the U.S. Attorney's Office as an agent whose formal statements bind the government as a party-opponent, the ruling enhances fairness and consistency in criminal prosecutions and clarifies the scope of party admissions in this context.
