U.S. v. Peglera, 93-5939

• Citation: 33 F.3d 412
• Decision Date: 01 September 1994
• Docket Number: No. 93-5939,93-5939
• Parties: UNITED STATES of America, Plaintiff-Appellee, v. Miguel PEGLERA, Defendant-Appellant.
• Court: United States Courts of Appeals. United States Court of Appeals (4th Circuit)

Page 412

33 F.3d 412

UNITED STATES of America, Plaintiff-Appellee, v. Miguel PEGLERA, Defendant-Appellant.

No. 93-5939.

United States Court of Appeals, Fourth Circuit.

Argued July 20, 1994.

Decided Sept. 1, 1994.

George Bullock Currin, Raleigh, NC, argued, for appellant.

John S. Bowler, Asst. U.S. Atty., Raleigh, NC, argued (Janice McKenzie Cole, U.S. Atty., Christine B. Hamilton, Asst. U.S. Atty., on brief), for appellee.

Before WILKINSON and WILKINS, Circuit Judges, and ANDERSON, United States District Judge for the District of South Carolina, sitting by designation.

Vacated and remanded by published opinion. Judge WILKINSON wrote the opinion, in which Judge WILKINS and Judge ANDERSON joined.

OPINION

WILKINSON, Circuit Judge:

The question in this case is whether the government violated the terms of appellant's plea agreement, thereby requiring us to remand the case for specific performance of that agreement. Because the government failed to honor promises that were expressly stated in the plea agreement, we vacate appellant's sentence and remand the case for resentencing.

I.

On March 24, 1993, a federal grand jury returned a nine-count indictment against appellant Miguel Peglera and five other defendants. Peglera was charged with one count of conspiracy to distribute and possess with intent to distribute cocaine base, see 21 U.S.C. Secs. 841(a)(1) & 846, and two counts of possession with intent to distribute cocaine base, see 21 U.S.C. Sec. 841(a)(1). Pursuant to a written plea agreement, Peglera entered a plea of guilty to the conspiracy count on August 23, 1993. In exchange for the guilty plea, the agreement provided that the government would dismiss the two possession counts against Peglera and recommend a sentence at the low end of the guideline range. The agreement also stated that, barring a change of circumstances due to defendant's conduct, a three-level downward adjustment for Peglera was warranted under Sec. 3E1.1 of the Sentencing Guidelines for acceptance of responsibility, and an enhancement for an aggravating role in the offense under U.S.S.G. Sec. 3B1.1 was not warranted. Also of importance to this appeal, the agreement provided that

defendant ... reserves the right to argue at sentencing that the Schedule II narcotic controlled substance for which he should be held accountable is cocaine hydrochloride [powder cocaine] and reserves the right to appeal an adverse ruling on this issue.

Peglera was sentenced by the district court on November 23, 1993. At the sentencing hearing, he testified that although he had seen cocaine base being cooked on at least one occasion, he personally distributed only powder cocaine. After the court overruled Peglera's objections on this point, Peglera argued that he should be sentenced at the low end of the guideline range. In doing so, he noted that the government had agreed to recommend such a sentence. ¹

The government first responded to appellant's request by claiming that it "did not agree to recommend the lowest end of the guidelines." In fact, when asked by the court whether the plea agreement stated that Peglera should get a sentence at the low end of the range, the prosecutor responded that "there's nothing in the plea agreement." The government further argued that although it had agreed to a three-level reduction for acceptance of responsibility, it now opposed that reduction because Peglera's testimony at sentencing indicated that he had not accepted responsibility for participation in the conspiracy.

At the conclusion of the government's statement, the court explained that:

[T]he plea agreement before me says the government agrees, at sentencing, it will dismiss counts six and seven of the indictment [the possession counts], as to this defendant only [and] that it agrees to recommend a sentence at the low end of the guideline range.

The government responded by arguing that it was no longer bound by the terms of the plea agreement--including the requirement that it recommend a sentence at the low end of the guideline range--as a result of Peglera's testimony. The government maintained that Peglera's testimony was, based on all the evidence, incorrect, and thus that circumstances had changed so as to excuse the government's performance of its obligations under the agreement. The court decided to grant Peglera the three-level reduction for acceptance of responsibility and sentenced him to 212 months imprisonment, a point at the middle of the guideline range. Peglera now appeals, maintaining that the government's breach of the plea agreement entitles him to a new sentencing.

II.

It is well-established that the interpretation of plea agreements is rooted in contract law, and that "each party should receive the benefit of its bargain." United States v. Ringling, 988 F.2d 504, 506 (4th Cir.1993). A central tenet of contract law is that no party is obligated to provide more than is specified in the agreement itself. Accordingly, in enforcing plea agreements, the government is held only to those promises that it actually made to the defendant. See United States v. Fentress, 792 F.2d 461, 464 (4th Cir.1986). This court has previously noted that the government's duty in carrying out its obligations under a plea agreement is no greater than that of "fidelity to the agreement." Id. at 464.

The obvious corollary to the above principle is that the parties must live up to those promises which they do make. This is especially important when the contract is a plea agreement, since the government's performance of its obligations implicates the defendant's constitutional rights. See United States v. Harvey, 791 F.2d 294, 300 (4th Cir.1986). As the Supreme Court has explained, "when 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, 499, 30 L.Ed.2d 427 (1971). Indeed, a defendant's plea of guilty can truly be said to be voluntary only when "the bargain represented by the plea agreement is not frustrated." United States v. Jureidini, 846 F.2d 964, 965-66 (4th Cir.1988). Because a government that lives up to its commitments is the essence of liberty under law, the harm generated by allowing the government to forego its plea bargain obligations is one which cannot be tolerated.

III.

Peglera maintains that the government breached the plea agreement by failing to recommend a sentence at the low end of the guideline range. Peglera points to a provision in the plea...