Opinion ID: 778734
Heading Depth: 2
Heading Rank: 2

Heading: Sentencing Agreement

Text: 13 Sternberg bases his entire argument on the thirteenth numbered paragraph of the sentencing agreement. He claims that the paragraph obligates him to apply for reinstatement upon release from prison, yet the government is preventing him from doing so. An excluded individual is not allowed to apply for reinstatement until his period of exclusion expires. See 42 U.S.C. § 1320a-7(g)(1); 42 C.F.R. § 1001.3001(a)(1). Sternberg argues the government breached the agreement because it rendered performance of his promise impossible when it excluded him for longer than his prison term. 14 Sentencing agreements, like plea agreements, are generally interpreted according to commercial contract principles. See United States v. Massey, 997 F.2d 823, 824 (10th Cir.1993) (noting that interpretation of plea agreements governed by contract principles); United States v. Ross, 245 F.3d 577, 582 (6th Cir.2001) (analogizing sentencing agreements to plea agreements). Sensitivity to the weighty interests of the defendant, however, counsels for some modification of those rules. See United States v. Calabrese, 645 F.2d 1379, 1390 (10th Cir.1981). Therefore, the government may not escape its obligations by relying upon a rigidly literal construction of the language of the agreement. United States v. Cooper, 70 F.3d 563, 565 (10th Cir.1995) (quotation omitted). Moreover, the nature of the government's promise is based not simply on the text of the agreement but what the defendant reasonably understood to be the government's obligations when the agreement was made. See Allen v. Hadden, 57 F.3d 1529, 1534 (10th Cir.1995). It remains, however, the burden of the party asserting breach to prove promise and breach by a preponderance of the evidence. See id. 15 We are not persuaded that Sternberg could have reasonably understood that the government promised to limit his exclusion period to the length of his incarceration. The government's promises are listed on the second page of the agreement. The relevant portion of the contract provides 16 In return for the government's agreement to an offense level of 25, its withdrawal of its request for an abuse of a position of trust enhancement, and its agreement to request Judge Vratil to depart downward to an offense level of 25, the defendant agrees to ... [fourteen numbered promises]. 17 (emphasis added). The next fourteen paragraphs contain promises by Sternberg. In the quoted portion of the agreement summarizing the government's promises, there is no mention of a particular exclusion period and no indication the parties intended to set one. Paragraph thirteen likewise does not mention any particular exclusion period, an obligation by the government to impose a particular exclusion period, or, for that matter, the government at all. Even if we considered the agreement ambiguous, which we do not, Sternberg offers no evidence extrinsic to the sentencing agreement indicating that the parties contemplated the length of his exclusion. See Cunningham v. Diesslin, 92 F.3d 1054, 1059-60 (10th Cir.1996) (holding government did not promise mandatory parole when petitioner failed to show promise in plea agreement or negotiations). In sum, given the structure of the agreement, the language enumerating the government's promises, the absence of any mention of a particular exclusion period, and the dearth of evidence regarding the parties' intent, Sternberg has failed to demonstrate that he could have reasonably understood the sentencing agreement to obligate the government to limit his exclusion to his prison term. 18 Sternberg argues that the government must be held to meticulous standards of both promise and performance when it enters into sentencing agreements. Correale v. United States, 479 F.2d 944, 947 (1st Cir.1973). We agree with this general statement. The high standards by which the government must abide do not, however, obligate it to perform promises it did not make. See United States v. Furman, 112 F.3d 435, 439 (10th Cir.1997) ([O]bligations do not issue from mere silence; we shall not impose duties on the government that are not an express or implied part of its agreement with the defendant.). In the cases cited by Sternberg, it was undisputed that the government did make a promise. See, e.g., Correale, 479 F.2d at 946 (All sides agree that... the United States Attorney promised to make a recommendation that the court impose a [concurrent sentence].). At issue in Correale was not whether the government's higher duty created a promise when none existed, but rather whether the government's making of an illegal promise and failure to perform such a promise invalidated the plea agreement. See id. at 948-49. Because we conclude the government did not promise an exclusion period equal to Sternberg's incarceration, the cases Sternberg cites are inapposite. 19 At oral argument, Sternberg raised the additional contention that because he cannot perform his promise to apply for reinstatement on release from prison, the government could bring an action for breach or otherwise seek to have the sentencing agreement set aside. A proper reading of the agreement dispels this concern. The agreement implicitly conditions Sternberg's obligation to move for reinstatement on his being allowed to do so. Parties to an agreement may make one party's performance contingent on satisfaction of a condition. Restatement (Second) of Contracts § 226 (1981). If a condition does not or cannot occur then performance is not required. See id. § 225(1), (2). Thus, Sternberg is not required to comply with paragraph thirteen while the condition that he be able to apply is not satisfied. Furthermore, under this reading of the agreement, there is no merit to Sternberg's argument that the government's interference with his performance is itself a breach. Non-occurrence of a condition is not a breach by a party unless [it] is under a duty that the condition occur. Id. § 225(3). As we have stated, the structure and plain wording of the sentencing agreement indicate that the government did not promise to impose an exclusion period coterminous with Sternberg's incarceration. The government, therefore, is under no obligation to ensure the condition occur. See id. § 226 cmt. a (An intention to make a duty conditional may be manifested by the general nature of an agreement, as well as by specific language.). 5