United States v. Under Seal

902 F.3d 412
Court of Appeals for the Fourth Circuit·Decided August 22, 2018·No. 17-4558·Published·Cited by 15 cases

Opinion

TRAXLER, Circuit Judge:

Appellant pleaded guilty pursuant to a plea agreement to conspiracy to commit access-device fraud, see 18 U.S.C. § 1029 (b)(2), and aggravated identity theft, see 18 U.S.C. § 1028A. The district court imposed a total sentence of 49 months. Appellant appeals, arguing that the district court erred by allowing the government to decline to seek a substantial-assistance sentence reduction without following the procedure set out in the plea agreement. Finding no error, we affirm.

I.

A.

The plea agreement executed by the parties consists of two parts - the standard plea agreement used by the United States Attorney's office in the Southern Division of the District of Maryland, and a sealed supplement containing terms specific to Appellant's case.

Paragraph 19 of the standard-term portion of the plea agreement is entitled "Obstruction or Other Violations of Law," and provides as follows:

The Defendant agrees that he will not commit any offense in violation of federal, state or local law between the date of this agreement and his sentencing in this case. In the event that the Defendant (i) engages in conduct after the date of this agreement which would justify a finding of obstruction of justice under U.S.S.G. § 3C.1, or (ii) fails to accept personal responsibility for his conduct by failing to acknowledge his guilt to the probation officer who prepares the Presentence Report, or (iii) commits any offense in violation of federal, state, or local law, then this Office will be relieved of its obligations to the Defendant as reflected in this agreement. Specifically, this Office will be free to argue sentencing guideline factors other than those stipulated in this agreement, and it will also be free to make sentencing recommendations other than those set out in this agreement. As with any alleged breach of this agreement, this Office will bear the burden of convincing the Court of the Defendant's obstructive or unlawful behavior and/or failure to acknowledge personal responsibility by a preponderance of the evidence. The Defendant acknowledges that he may not withdraw his guilty plea because this Office is relieved of its obligations under the agreement pursuant to this paragraph.

J.A. 27.

The sealed supplement to the plea agreement requires Appellant to "fully and truthfully respond to all questions from federal law enforcement authorities" and to "fully and truthfully disclose to the Government all information with respect to the Defendant's activities and the activities of others concerning all matters as to which the Government may choose to inquire." J.A. 32. The sealed supplement also explicitly required Appellant to "testify fully and truthfully before grand juries and at any trial and other court proceeding with respect to any matters about which [the government] may require testimony." J.A. 33.

Paragraphs 3 and 4 of the sealed portion address Appellant's cooperation with the government and provide as follows:

3. If the Defendant fully complies with all of the terms of the plea agreement and this Sealed Supplement, then in connection with the Defendant's sentencing, this Office will inform the Probation Office and the Court of (i) the nature and extent of the Defendant's cooperation; and (ii) all other information with respect to the Defendant's background, character, and conduct which this Office deems relevant to sentencing, including the conduct that is the subject of any counts of the Indictment that this Office has agreed to dismiss at sentencing.
4. If this Office determines that the Defendant has provided substantial assistance in an investigation or prosecution of others, and if the Defendant has fully complied with all obligations under the plea agreement and this Sealed Supplement, this Office will make a motion, pursuant to U.S.S.G. § 5K1.1 and/or 18 U.S.C. § 3553 (e), if this Office in its discretion deems it appropriate, requesting that the Court: (1) sentence the Defendant in light of the advisory factors set forth in § 5K1.1(a)(1)-(5), requesting a downward departure of up to 2 levels for Count One, and (2) giving the Court discretion to impose a sentence below the two-year mandatory consecutive sentence for Count Two. This Office shall have sole discretion in determining whether to make any motion pursuant to § 5K1.1 and/or § 3553(e). This Office is not obligated to use the Defendant's cooperation or assistance in any matter. This Office's determination whether the Defendant has provided substantial assistance will not depend in any way on the outcome of any trial or other proceeding. If this Office makes a motion for departure under both § 5K1.1 and § 3553(e), the Defendant is bound by the § 5K1.1 departure level recommended by this Office. If this Office makes a motion for departure under only § 5K1.1 -- and thus does not make a motion under § 3553(e) -- the Defendant is not bound by the § 5K1.1 departure level recommended by this Office. The Defendant understands that should this Office determine not to make a motion pursuant to § 5K1.1 and/or § 3553(e), that will not entitle the Defendant to withdraw a guilty plea once it has been entered. It is also understood that, even if such a motion is made, the sentence to be imposed on the Defendant remains within the sole discretion of the Court.

J.A. 33-34 (emphasis in original).

The sealed supplement also includes provisions mirroring the terms set out in paragraph 19 of the standard-term portion quoted above. Under paragraph 6 of the sealed supplement, entitled "Remedies for Breach," the government is released from its obligations under the agreement if, inter alia ,

the Defendant has knowingly withheld information; given false, incomplete, or misleading testimony or information; falsely implicated an innocent person in the commission of a crime, exaggerated the involvement of any person in the commission of a crime in order to appear cooperative, or falsely minimized the involvement of any person or the Defendant in the commission of a crime; engaged in conduct after the date of this agreement which would justify a finding of obstruction of justice under U.S.S.G. § 3C1.1....
....
Whether or not the Defendant has violated the terms of the plea agreement and this Sealed Supplement shall be determined by the Court in an appropriate proceeding at which the Defendant's disclosures and documents shall be admissible and at which this Office shall be required to establish any alleged breach by a preponderance of the evidence. ...

J.A. 34-35.

B.

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United States v. Under Seal, 902 F.3d 412 (4th Cir. 2018).

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