United States v. Santiago Gonzalez

66 F.3d 3, 1995 U.S. App. LEXIS 27266, 1995 WL 555558
CourtCourt of Appeals for the First Circuit
DecidedSeptember 25, 1995
Docket94-1246
StatusPublished
Cited by38 cases

This text of 66 F.3d 3 (United States v. Santiago Gonzalez) is published on Counsel Stack Legal Research, covering Court of Appeals for the First 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. Santiago Gonzalez, 66 F.3d 3, 1995 U.S. App. LEXIS 27266, 1995 WL 555558 (1st Cir. 1995).

Opinion

McAULIFFE, District Judge.

Juan Santiago-González (“defendant”) appeals from the district court’s refusal to enforce a term of his written plea agreement (“Agreement”) which ostensibly required the government to file a motion for downward departure under § 5K1.1 of the United States Sentencing Guidelines. He also questions the district court’s calculation of his base offense level under the Guidelines. For the reasons set forth below, we affirm.

I. BACKGROUND

On July 2, 1992, defendant and three others were indicted on four counts of defrauding the Corporación Insular de Seguros (“CIS”) of $1,401,000.00. CIS, a privately held insurance company chartered in the Commonwealth of Puerto Rico, was controlled by the defendant and two of three co-defendants. Defendant was employed as CIS’s vice president for claims. Two of his co-defendants served as CIS’s president and vice president for finance and operations, *5 respectively, and the third, an attorney, was engaged in private practice. The three corporate officers were effectively able to manage the company’s assets and authorize payment of claims made against its policies.

From October of 1991 until May of 1992, defendant and his colleagues jointly ran a false insurance claim scheme. Defendant, as vice president for claims, reopened previously closed claim files so fictitious claims could be made against those accounts. The vice president for finance established and assigned cash reserves to those reopened accounts. The attorney then submitted fictitious claims on behalf of non-existent clients, which were paid by CIS and charged against the reserves assigned to the reopened accounts. The false claims were paid by checks drawn on CIS’s bank account and made payable to the attorney, as counsel for the fictitious claimants. The attorney cashed the checks, kept part of the proceeds for himself, and distributed the remainder among the three CIS officers, usually in equal shares.

Defendant’s collaborators pled guilty soon after they were charged, but defendant entered a not guilty plea and stood trial. Two days into his trial, defendant reconsidered and accepted a plea bargain. In exchange for defendant’s plea of guilty, the government agreed to exercise its discretion to file a motion for downward departure under U.S.S.G. § 5K1.1, contingent on defendant’s anticipated “completely truthful, forthright, and honest assistance and information.” Additionally, the plea agreement required defendant to submit to a polygraph examination “should the United States deem it appropriate.” After executing the Agreement, defendant dutifully entered pleas of guilty to mail fraud and aiding and abetting. 18 U.S.C. § 1341; 18 U.S.C. § 2.

In late April 1993, the government deemed it appropriate for defendant to submit to a polygraph examination in order to resolve some doubt about whether he was being entirely truthful and cooperative in the ongoing investigation. Defendant submitted to the polygraph and, in the opinion of the examiner, the test results indicated deception. Accordingly, at sentencing the govemment refused to move for a downward departure under U.S.S.G. § 5K1.1.

In addition, the district court, relying on the testimony of his accomplices, found that defendant was not a minor participant in the scheme, as he claimed. Instead of adjusting his offense level downward as defendant had hoped, the trial judge upwardly adjusted his base offense level, relying on U.S.S.G. § 2F1.1(2) (more than minimal planning) and U.S.S.G. § 3B1.3 (abuse of position of trust).

II. DISCUSSION

On appeal, defendant raises two issues. First, he challenges the district court’s refusal to enforce the government’s obligation to move for downward departure under § 5K1.1. Next, he questions the district court’s calculation of his base offense level under the Guidelines.

A. Denial of Specific Performance of the Plea Agreement

Defendant says that by meeting with the prosecution, providing truthful information, and submitting to the requested polygraph examination, he substantially performed his obligations under the Agreement, thereby earning the departure motion. He argues that the government’s obligation to file a § 5K1.1 motion was contingent only upon his providing “truthful information,” which, in substance, he did.

The Agreement provides that “if in the opinion of the [polygraph] examiner your answers indicate deception you will be in breach of this agreement.” Defendant concedes that the polygraph examiner was of the opinion that his answers indicated deception, and he does not seriously dispute that in fact he did not answer all questions truthfully. But, he says, successfully passing a polygraph examination was not a condition precedent to the government’s obligation to move for downward departure; it was simply an additional undertaking intended to provide the government with some means of gauging the extent of his “truthful cooperation” (which was the condition precedent). His failure to answer every question truthfully during the polygraph examination may have *6 frustrated the government’s desire for “corroboration,” and the absence of corroboration may have devalued his “truthful cooperation” by some degree, he argues, but he nevertheless substantially “truthfully cooperated.” He reasons that he at least earned the departure motion, and says that it is the extent of the departure that should reflect his less than perfect performance.

We have held that plea agreements “must be attended by safeguards to insure the defendant what is reasonably due in the circumstances.” United States v. Baldacchino, 762 F.2d 170, 179 (1st Cir.1985) (citing Santobello v. New York, 404 U.S. 257, 92 S.Ct. 495, 30 L.Ed.2d 427 (1971)). We have also recognized that principles of contract law often provide useful references when construing plea agreements. See United States v. Anderson, 921 F.2d 335, 337 (1st Cir.1990) (“It is black letter law that plea agreements, ‘though part and parcel of criminal jurisprudence, are subject to contract-law standards in certain respects.’ ”) (quoting United States v. Hogan, 862 F.2d 386, 388 (1st Cir.1988)); see also United States v. Papaleo, 853 F.2d 16,19 (1st Cir.1988) (“A contractual approach to plea agreements ensures not only that constitutional rights are respected, but also that the integrity of the criminal process is upheld.”); United States v. González-Sánchez, 825 F.2d 572

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Bluebook (online)
66 F.3d 3, 1995 U.S. App. LEXIS 27266, 1995 WL 555558, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-santiago-gonzalez-ca1-1995.