Opinion ID: 163077
Heading Depth: 2
Heading Rank: 1

Heading: Government's Breach of the Plea Agreement

Text: 13 On appeal, Guzman maintains that the government breached the Plea Agreement by recommending a sentence at the upper end of the guideline range, and by recommending a two-point upward adjustment for obstruction of justice. Whether a plea agreement has been violated is a question of law that the Court reviews de novo. United States v. Peterson, 225 F.3d 1167, 1170 (10th Cir.2000), cert. denied, 531 U.S. 1131, 121 S.Ct. 893, 148 L.Ed.2d 799 (2001). 2 14 General principles of contract law define the government's obligations under the agreement, looking to the express language and construing any ambiguities against the government as the drafter of the agreement. United States v. Brye, 146 F.3d 1207, 1210 (10th Cir. 1998). This Circuit uses a two-step analysis to determine whether the United States violated a plea agreement: the sentencing court should 1) examine the nature of the promise; and 2) evaluate the promise in light of the defendant's reasonable understanding of the promise at the time of the guilty plea. Id. 15 Here, the government agreed to: (1) recommend a sentence at the low end of the guideline range (PA ¶ 7(D)), and (2) recommend that Guzman not receive a two-point obstruction of justice enhancement (PA ¶ 7(C)). Guzman's reasonable understanding at the time of the plea was that the government would make these recommendations as long as he complied with his own obligations under the Plea Agreement, which were to plead guilty, waive his appellate rights, cooperate in a complete and truthful debriefing, successfully complete a polygraph examination (if administered), provide other testimony if necessary, and continue to accept responsibility. Guzman also understood that he could not attempt to obstruct justice (as defined by U.S.S.G. § 3C1.1), deny or give conflicting statements as to his own involvement in the offense, or engage in additional criminal conduct. 16 The government did not perform several of its commitments in the Plea Agreement: in paragraphs 5 and 6 of its February 6 response to Guzman's Sentencing Memorandum, the government affirmatively recommended a sentence at the upper end of the guideline range, as well as an enhancement for obstruction of justice. The government repeated these recommendations at sentencing. See Sentencing Hearing Transcript, at 105. The government claims, however, that it made these recommendations because Guzman had previously breached the Plea Agreement, thus vitiating the Agreement. 17 Under the law of this Circuit, [i]f the pleadings reveal a factual dispute on the issue of breach [of a plea agreement], the district court must hold a hearing to resolve the factual issues. United States v. Calabrese, 645 F.2d 1379, 1390 (10th Cir.1981). In other words, the government may not unilaterally declare a breach of a plea agreement; a court must hold a hearing and make a finding that the defendant breached the agreement before the government is released from its obligations under the agreement. Id.; see also United States v. Ailsworth, 927 F.Supp. 1438, 1445-46 (1996). 18 The government argues that although the District Court judge did not make an express finding of breach, its findings at the sentencing hearing were equivalent to a determination that Guzman breached the Agreement. In a pre-sentence pleading, the government had argued that Guzman's drug planting allegations constituted an attempt to obstruct justice. Government's Response to Defendant's Sentencing Memo, at ¶ 5 n. 1. At sentencing, the District Court specifically found Guzman's allegations to be untrue. However, the District Court did not make a determination that Guzman's false allegations about drug planting constituted obstruction of justice, or even criminal conduct, in violation of the Plea Agreement. The District Court did impose an upward adjustment for obstruction of justice, basing it, not on what it had determined to be Guzman's false drug planting statement, but because of the alleged intimidation of Howze. 3 Despite the foregoing, the District Court granted a downward adjustment for acceptance of responsibility, which also was contingent upon the absence of any obstruction of justice. See Plea Agreement at ¶ 7(B). Aside from this possible obstruction of justice, the government also argued that Guzman breached the Plea Agreement by failing to cooperate. However, Guzman's continuing cooperation was a precondition only for the filing of a § 5K1.1 motion, and not for the government's other promises under the Agreement. See Plea Agreement at ¶ 7(E). The government has not alleged that Guzman failed to comply with any other obligation under the Agreement. 4 19 In this case, the District Court permitted a unilateral declaration of breach, and entertained the unfavorable recommendations that followed, without holding the hearing or making the determination required by Calabrese. Although the court heard witness testimony at sentencing, that testimony was not focused on the Plea Agreement. More importantly, the court made no express finding that Guzman had breached the Plea Agreement before the government made its sentencing recommendations. 20 We find that the District Court erred by entertaining the government's recommendations with respect to the sentence without holding a hearing and making a determination as to whether the Plea Agreement had been breached by either Guzman or the government. 21