United States v. Bruce Swisshelm

848 F.3d 1157, 2017 WL 695074, 2017 U.S. App. LEXIS 3112
CourtCourt of Appeals for the Eighth Circuit
DecidedFebruary 22, 2017
Docket16-1416
StatusPublished
Cited by4 cases

This text of 848 F.3d 1157 (United States v. Bruce Swisshelm) is published on Counsel Stack Legal Research, covering Court of Appeals for the Eighth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Bruce Swisshelm, 848 F.3d 1157, 2017 WL 695074, 2017 U.S. App. LEXIS 3112 (8th Cir. 2017).

Opinion

WOLLMAN, Circuit Judge.

Bruce Swisshelm pleaded guilty to one count of bank fraud, in violation of 18 U.S.C. § 1344, and one count of money laundering, in violation of 18 U.S.C. § 1957, and was sentenced to a term of twelve months and one day of imprisonment on each count, to run concurrently. The government appeals from the sentence, contending that Swisshelm violated the parties’ plea agreement by arguing for a sentence below the range calculated under the United States Sentencing Guidelines Manual (U.S.S.G. or Guidelines). We vacate the sentence and remand for resen-tencing before a different judge.

I.

Swisshelm and the government entered into a written plea agreement, under *1159 which Swisshelm agreed to plead guilty to one count of bank fraud and one count of money laundering and the government agreed not to bring any additional charges or seek additional sentencing enhancements. The agreement contemplated that the United States Probation Office would prepare a presentence report (PSR) that would inform the district court of Swissh-elm’s advisory Guidelines sentencing range. Under ¶ 10(g) of the agreement, the government agreed not to “seek an upward departure from the Guidelines or a sentence outside the Guidelines range,” and Swisshelm agreed not to “seek a downward departure from the Guidelines or a sentence outside the Guidelines range.” The PSR calculated a total offense level of 25, a criminal history category of I, and an advisory sentencing range of 57 to 71 months’ imprisonment. The district court adopted the findings set forth in the PSR.

Notwithstanding the plea agreement’s unambiguous terms, Swisshelm argued for a below-Guidelines sentence, both in his sentencing memorandum and during the sentencing hearing. Swisshelm also submitted letters from members of his community attesting to his character, almost all of which opined that he should not receive any sentence of incarceration. The government several times objected to Swisshelm’s contra-bargain requests during the sentencing hearing, directing the court’s attention to ¶ 10(g) of the agreement. Defense counsel responded by saying that she believed that the agreement allowed her to argue for a variance, where-' upon the court instructed her to continue with her argument. The district court ultimately varied downward from the Guidelines range and imposed the sentence set forth above.

The government argues that Swissh-elm’s sentencing memorandum, the letters submitted therewith, and defense counsel’s request for a downward variance violated the plea agreement. It asks that the case be remanded for resentencing before a different judge. Swisshelm now concedes that his sentencing-hearing argument for a below-Guidelines sentence violated the plea agreement, describing the violation as “inadvertent,” a characterization the record belies. He argues that his breach did not affect the district court’s decision and that if remanded for resentencing, the case need not be assigned to a different judge.

II.

“We review questions regarding the interpretation and enforcement of plea agreements de novo. Where a plea agreement has been accepted by the court, we generally interpret the meaning of the terms in the agreement according to basic principles of contract law.” United States v. Mosley, 505 F.3d 804, 808 (8th Cir. 2007). A number of decisions have addressed a prosecutor’s breach of a plea agreement. “[W]hen a plea rests in any significant degree on a promise or agreement of the prosecutor, so that it can be said to be part of the inducement or consideration, such promise must be fulfilled.” Santobello v. New York, 404 U.S. 257, 262, 92 S.Ct. 495, 30 L.Ed.2d 427 (1971). The prosecutions breach of a plea agreement implicates the defendant’s due-process right, as well as “the honor of the government, public confidence in the fair administration of justice, and the effective administration of justice in a federal scheme of government.” United States v. Van Thournout, 100 F.3d 590, 594 (8th Cir. 1996) (quoting United States v. Harvey, 791 F.2d 294, 300 (4th Cir. 1986)). We have held that the appropriate remedy for a prosecutor’s breach is a remand for resen-tencing before a different judge, or, subject to the defendant’s election and the district court’s discretion, withdrawal of the plea agreement. Mosley, 505 F.3d at *1160 812; United States v. Van Horn, 976 F.2d 1180, 1183-84 (8th Cir. 1992); Brunelle v. United States, 864 F.2d 64, 65 (8th Cir. 1988) (per curiam); United States v. McCray, 849 F.2d 304, 305-06 (8th Cir. 1988) (per curiam). Whether the breach of the plea agreement actually influenced the district court’s sentencing decision is immaterial. Mosley, 505 F.3d at 810-11; Van Horn, 976 F.2d at 1184; Brunelle, 864 F.2d at 65; McCray, 849 F.2d at 305. 1

We have not yet decided the appropriate remedy for the defendant’s breach of a plea agreement. Other circuits have come to differing conclusions on this question. Compare United States v. Williams, 510 F.3d 416, 427-28 (3d Cir. 2007) (applying same remedy to defendant’s breach as to government’s breach and remanding to a different judge for resentencing), United States v. Bowe, 257 F.3d 336, 346 (4th Cir. 2001) (remanding to district court to determine whether appropriate remedy for defendant’s breach was specific performance, withdrawal of plea, or other equitable relief), and United States v. Alexander, 869 F.2d 91, 94-95 (2d Cir. 1989) (holding that prosecution is generally entitled to specific performance or withdrawal of plea following defendant’s breach, but because the government waived its right to withdrawal of plea, only the possibility of specific performance remained), with United States v. Bradstreet, 207 F.3d 76, 81 (1st Cir. 2000) (affirming despite defendant’s breach of plea agreement because district court was not bound by agreement and prosecution had notice of and chance to respond to defendant’s argument in breach of agreement).

We do not now decide the proper remedy for any future defendant’s breach of a plea agreement, but in the particular circumstances of this case we decline to treat Swisshelm’s breach of the plea agreement differently from a breach by the government.

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Bluebook (online)
848 F.3d 1157, 2017 WL 695074, 2017 U.S. App. LEXIS 3112, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-bruce-swisshelm-ca8-2017.