FILED
United States Court of Appeals
Tenth Circuit
August 20, 2008
PUBLISH Elisabeth A. Shumaker
Clerk of Court
UNITED STATES COURT OF APPEALS
TENTH CIRCUIT
UNITED STATES OF AMERICA,
Plaintiff - Appellee,
v. No. 07-2233
DANIEL TRUJILLO,
Defendant - Appellant.
APPEAL FROM THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF NEW MEXICO
(D.C. NO. CR-06-1168-JCH)
Richard Winterbottom, Assistant Federal Public Defender, (Stephen P. McCue,
Federal Public Defender, and Margaret A. Katze, Assistant Federal Public
Defender, on the briefs), Albuquerque, New Mexico, for Defendant - Appellant.
David N. Williams, Assistant United States Attorney, (Gregory J. Fouratt, United
States Attorney, with him on the brief), Albuquerque, New Mexico, for Plaintiff -
Appellee.
Before HARTZ, Circuit Judge, McWILLIAMS, Senior Circuit Judge, and
HOLMES, Circuit Judge.
HARTZ, Circuit Judge.
Daniel Trujillo was indicted in the United States District Court for the
District of New Mexico on two counts of being a felon in possession of firearms
and ammunition. See 18 U.S.C. § 922(g)(1), 924(a)(2). He pleaded guilty to one
count in accordance with a plea agreement, under which the government agreed to
dismiss the other count and he agreed not to appeal his sentence. The court
sentenced him to 46 months’ imprisonment. On appeal Mr. Trujillo raises several
challenges to his sentence. To overcome his agreement not to appeal the
sentence, he contends that the government breached the plea agreement by
agreeing with the probation office’s presentence report (PSR) that conduct related
to the dismissed count could be considered in calculating his base-offense level
under the United States Sentencing Guidelines (USSG). Exercising jurisdiction
under 28 U.S.C. § 1291, we hold that the government complied with the plea
agreement, and we dismiss Mr. Trujillo’s appeal.
I. BACKGROUND
We take the background facts from the PSR. The dismissed count was
based on events occurring on February 12, 2006. A parole officer with the New
Mexico Corrections Department searched the apartment of Mirella Zamarrippa in
Rio Rancho, New Mexico. The officer discovered a Norinco rifle under the
mattress of the bed in the master bedroom, a Ravens Arms .25 caliber pistol in a
closet, and ammunition in a drawer filled with men’s briefs. A special agent from
the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) was called to the
scene, and Ms. Zamarrippa agreed to cooperate. She said that she had been living
in the apartment with Mr. Trujillo, that the firearms belonged to him, and that she
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had told him to take the firearms out of the apartment because she knew their
presence to be a violation of her probation. The officers seized photographs in
the apartment that showed Mr. Trujillo and others trafficking and using narcotic
substances and firearms. The ATF later determined that Mr. Trujillo had been
convicted in New Mexico state court of aggravated assault with a deadly weapon,
a felony.
The second count was based on events on August 19, 2006. In response to
a disturbance call, officers from the Albuquerque Police Department went to an
apartment complex, observed Mr. Trujillo yelling at a woman, and arrested him.
They removed from his person a Raven Arms .25 caliber pistol, ammunition, and
marijuana.
Mr. Trujillo was indicted on the two counts on January 24, 2007. On
March 26 he reached a plea agreement with the government and pleaded guilty to
Count II. In exchange, the government promised that it would recommend a
three-level reduction for acceptance of responsibility, see USSG 3E1.1, and a
sentence at the low end of the applicable Guidelines sentencing range. 1 The
1
The promise appears in Paragraph 9 of the agreement:
9. The United States and the defendant stipulate as follows:
a. As of the date of this agreement, the Defendant
has clearly demonstrated a recognition and affirmative
acceptance of personal responsibility for the Defendant’s
criminal conduct. Consequently, pursuant to U.S.S.G.
§ 3E1.1, so long as the Defendant continues to accept
responsibility for his or her criminal conduct, the Defendant
(continued...)
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agreement acknowledged, however, that the court would not be bound by these
recommendations:
The Defendant understands that the above stipulations are not
binding on the Court and that whether the Court accepts these
stipulations is a matter solely within the discretion of the Court after
it has reviewed the presentence report. Further, the Defendant
understands that the Court may choose to deviate from the advisory
guideline sentence. The Defendant understands that if the Court does
not accept any one or more of the above stipulations and reaches an
advisory guideline sentence different than expected by the
Defendant, or if the Court deviates from the advisory guideline
range, the Defendant will not seek to withdraw the plea of guilty. In
other words, regardless of any stipulations the parties may enter into,
the Defendant’s final sentence is solely within the discretion of the
Court.
R. Vol. I, Doc. 25 at 5.
Under the plea agreement the government also promised that it would
dismiss Count I and would not bring additional charges against Mr. Trujillo
arising from conduct then known by the U.S. Attorney. 2 But the government
1
(...continued)
is entitled to a reduction of three levels from the base
offense level as calculated under the sentencing guidelines.
This reduction depends on the Defendant personally
providing to the United States Probation officer who
prepares the presentence report in this case an appropriate
oral and written statement in which the Defendant clearly
establishes his entitlement to this reduction.
b. The United States at sentencing will recommend
the lower end of the imprisonment range of the appropriate
advisory guideline.
R. Vol. 1, Doc. 25 at 5.
2
These promises appear in Paragraph 14 of the agreement:
14. Provided that the defendant fulfills his obligations as set
(continued...)
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“reserve[d] the right to make known to the United States Probation Office, for
inclusion in the [PSR] . . . , any information that the United States believes may
be helpful to the Court.” Id. at 3.
In addition to agreeing to plead guilty to Count II, Mr. Trujillo waived his
right to appeal his sentence. The agreement contained the following waiver
provision:
WAIVER OF APPEAL RIGHTS
13. The defendant is aware that Title 18, United States Code,
Section 3742 affords a defendant the right to appeal the sentence
imposed. Acknowledging that, the defendant knowingly waives the
right to appeal any sentence within the maximum provided in the
statute of conviction (or the manner in which that sentence was
determined) on the grounds set forth in Title 18, United States Code,
Section 3742 or on any ground whatever, in exchange for the
concessions made by the United States in this plea agreement.
Id. at 6–7.
After Mr. Trujillo pleaded guilty, the probation office prepared the PSR.
Because he had a prior conviction for a crime of violence (the aggravated-assault
2
(...continued)
out above, the United States agrees that:
a. The United States will move at the time of
sentencing to dismiss Count 1 of the Indictment: 18 U.S.C.
§§ 922(g)(1) and 924(a)(2), that being Felon in Possession
of Firearms and Ammunition on or about the 17th day of
February, 2006.
[b]. The United States will not bring additional
charges against the defendant arising out of the defendant’s
conduct now known to the United States Attorney’s Office
for the District of New Mexico.
R. Vol. I, D. 25 at 7.
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conviction), it assigned him a base-offense level of 20. See USSG
§ 2K2.1(a)(4)(A). The PSR increased his offense level by 2 because the offenses
charged involved the possession of three firearms (including the Norinco rifle and
Raven Arms .25 caliber pistol referenced in Count I, as well as the Raven Arms
.25 caliber pistol charged in Count II). See id. § 2K2.1(b)(1)(A) (specific offense
characteristic based on number of firearms involved); id. § 1B1.3 (relevant
conduct is to be considered in determining specific offense characteristics). It
added another 2 points because the Norinco rifle had been stolen, see id.
§ 2K2.1(b)(4)(A), and then reduced the offense level by 3 for acceptance of
responsibility, see id. § 3E1.1(a), leading to a total offense level of 21.
Mr. Trujillo’s aggravated-assault conviction produced three criminal-history
points, see id. § 4A1.1(a), and he received an additional two points because the
offense to which he pleaded guilty had occurred less than two years after his
release from state custody, see id. § 4A1.1(e). His five criminal-history points
placed him in criminal-history category III. As a result, his Guidelines sentencing
range was 46 to 57 months in prison.
Mr. Trujillo’s response to the PSR objected to consideration of conduct
related to Count I in calculating his base-offense level. He contended:
The government and Mr. Trujillo agreed to a plea agreement whereby
Mr. Trujillo would plead guilty to Count II of the indictment and the
government would dismiss Count I of the indictment. Mr. Trujillo
agreed to enter into the above plea with the government because
there was a benefit to him—the dismissal of Count I. As he was
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receiving a benefit he agreed to waive his constitutional right to
appeal the sentence imposed. If Mr. Trujillo was not to have
received a benefit by entering into a plea agreement with the
government he would not have done so.
R. Vol. I, Doc. 32 at 1. In addition, he challenged the relatedness of the two
counts on the ground that “[e]ach of the counts in the indictment involve incidents
that occurred on completely different dates, at completely different locations and
involved completely different firearms. There was no common scheme or plan
and no course of conduct. The counts are completely unrelated.” Id. at 2. He
also pointed out that “[Ms. Zamarrippa] ha[d] ple[aded] guilty to [possession of
the two firearms specified in Count I] and she admitted that it was she who
possessed those weapons.” Id.
The government did not file a response to Mr. Trujillo’s objection. But the
probation office’s response explained why it applied the enhancements arising
from his Count I offense:
[A]ccording to the federal Sentencing Guidelines handbook, text and
analysis, 2007 edition, the enhancement for number of firearms
includes additional firearms, and is relevant conduct to the
defendant’s offense of being a felon in possession of a firearm. This
includes conduct underlying a vacated conviction. In order for the
Court to consider the firearms in vacated counts to increase the
defendant’s sentence under 2K2.1, the Court needs find only a
preponderance of the evidence that the defendant possessed the
firearms. The guns need not be recovered in criminal activity for the
enhancement to apply. In this case the defendant has a history of
possessing firearms. The rifle was found between the mattresses of
the adult bed in the master bedroom of the house. The .25 pistol was
found in a closet along with nine Winchester 12 gauge cartridge
ammunition and one Hornanday .40 S & W caliber cartridge
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ammunition and a firearm part. The ammunition was found in a blue
plastic bag in a drawer filled with men’s boxer briefs. The agents
also seized several photographs as evidence showing Trujillo and
[others] trafficking and using narcotic substances and firearms. The
weapon possessed by Trujillo on August 19, 2006, is the same model
and caliber as the one found at his residence on February 17, 2006.
R. Vol. II, Add. at 1.
At the sentencing hearing on August 13, 2007, Mr. Trujillo renewed his
objections to the PSR. Defense counsel stated:
Mr. Trujillo was originally charged in a two-count indictment
through plea negotiations with the government. He was willing to
give up some very valuable rights, for example, his right to appeal,
because the government was willing to, at the time of sentencing,
move to dismiss one of the counts, and he pled guilty to the other
count. Based on the one count that he pled guilty to, the bottom of
the sentencing range would be 30 months. Based on probation
officer’s assessment of factors related only to the be [sic] dismissed
counts, his bottom of the sentencing range is now 46 months. So, in
other words, half again of what the sentence would be for the count
that he applied for. So even if relevant conduct were an issue here, I
will in a minute argue that I don’t think that is, that the principle that
is applied in this situation, even if that were, that would be patently
unfair. That would really be the dog, the tail wagging the dog, that
his sentence would be increased 50 percent for an otherwise
acquitted or dismissed conduct.
R. Vol. IV at 2–3. When asked by the court for his views, the prosecutor said that
he “concur[red] with the [PSR] and ha[d] no objections to the report.” Id. at 5.
He then stated that he had not heard before the hearing that Ms. Zamarrippa had
pleaded guilty to possessing the firearms, but added that
if you look at the facts and circumstances surrounding that first
count, the defendant was residing and living with her at the time
those two guns were found. And, you know, certainly there is a
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connection and nexus from that perspective. And we think the
guidelines and the analysis in the report are accurate.
Id. at 6.
Counsel for Mr. Trujillo responded that the prosecutor was “dangerously
close to a Santobello violation when he advocates for something that goes against
the spirit of the plea agreement.” Id. at 7; see Santobello v. New York, 404 U.S.
257, 262 (1971) (when plea bargain induces guilty plea, government must fulfill
its promises under the bargain). She went on to say:
[B]y the spirit of the plea agreement, what I mean is that the
government negotiated with Mr. Trujillo for him to give up valuable
constitutional rights in exchange for them dismissing one of the
counts. Arguing in favor of what I think is, in fact, incorrect relevant
conduct argument, but arguing in support of that seems to me to be
going against the spirit of the plea agreement in that the dismissal of
that count is meaningless if it ends up being the cause of a 50 percent
increase in his sentence.
R. Vol. IV at 8. The prosecutor stood his ground:
The plea agreement was that we agreed to the reduction of three
levels, and we would argue the lower end. We did not agree that the
analysis of relevant conduct would not apply. So if counsel is
implying that we’re somehow going against the spirit of the
agreement, she’s wrong, because we have honored that. We do
intend to dismiss Count I, and I’ll move for that right now. But, and
that’s the extent of the plea agreement as indicated. . . . I don’t think
her comments are appropriate since we have honored this agreement,
we continue to honor it. She’s trying to make this point about
relevant conduct not applying. At no time did we ever agree that that
would not be part of the analysis by Probation.
Id. at 7–8.
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The district court overruled Mr. Trujillo’s objection regarding relevant
conduct, explaining, “[I]t appears to me that the advisory guideline calculations
and applications were properly considered, so it looks to me like the relevant
conduct would include possession of the, of the guns that were referenced in
Count I.” Id. at 11–12. The court adopted the findings in the PSR and sentenced
Mr. Trujillo to 46 months’ imprisonment.
II. DISCUSSION
“Because an appellate waiver is not enforceable if the Government breaches
its obligations under the plea agreement, we must first address whether the
Government’s conduct during sentencing constituted a breach.” United States v.
Rodriguez-Rivera, 518 F.3d 1208, 1212 (10th Cir. 2008) (citation omitted). We
review de novo whether the government has breached a plea agreement. See
United States v. VanDam, 493 F.3d 1194, 1199 (10th Cir. 2007). In interpreting a
plea agreement, we rely on general contract principles and construe any
ambiguities against the government as the drafter of the agreement. See United
States v. Cachucha, 484 F.3d 1266, 1270 (10th Cir. 2007). “We thus look to the
express language in the agreement to identify both the nature of the government’s
promise and the defendant’s reasonable understanding of this promise at the time
of the entry of the guilty plea.” VanDam, 493 F.3d at 1199.
Mr. Trujillo contends that he “reasonably expected that the allegations in
[Count I], if dismissed, would not affect his sentence,” Aplt. Br. at 31, and that
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the government therefore breached the agreement by urging the court to enhance
his sentence based on the conduct underlying that count. We disagree and hold
that the government did not breach the agreement.
It was unreasonable for Mr. Trujillo, or his attorney, to believe that
dismissal of Count I would preclude consideration of the facts underlying that
charge when the district court computed his offense level. The Sentencing
Guidelines specifically endorses such consideration:
In the case of a plea agreement that includes the dismissal of any
charges or an agreement not to pursue potential charges (Rule
11(c)(1)(A)), the court may accept the agreement if the court
determines, for reasons stated on the record, that the remaining
charges adequately reflect the seriousness of the actual offense
behavior and that accepting the agreement will not undermine the
statutory purposes of sentencing or the sentencing guidelines.
However, a plea agreement that includes the dismissal of a charge or
a plea agreement not to pursue a potential charge shall not preclude
the conduct underlying such charge from being considered under the
provisions of § 1B1.3 (Relevant Conduct) in connection with the
count(s) of which the defendant is convicted.
USSG § 6B1.2(a) (emphasis added). The commentary to § 6B1.2(a) further
explains that a plea agreement to dismiss a charge cannot prevent the court from
considering the underlying conduct as relevant conduct when computing the
offense level:
The second paragraph of subsection (a) provides that a plea
agreement that includes the dismissal of a charge . . . shall not
prevent the conduct underlying that charge from being considered
under the provisions of § 1B1.3 (Relevant Conduct) in connection
with the count(s) of which the defendant is convicted. This
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paragraph prevents a plea agreement from restricting consideration
of conduct that is within the scope of § 1B1.3 (Relevant Conduct) in
respect to the count(s) of which the defendant is convicted; it does
not in any way expand or modify the scope of § 1B1.3 (Relevant
Conduct).
(emphasis added). See United States v. McGee, 7 F.3d 1496, 1498–99 (10th Cir.
1993) (court may consider conduct underlying dismissed counts when imposing
sentence).
Moreover, nothing in the plea agreement precluded the government from
advocating for an offense-level enhancement based on conduct related to the
dismissed count. There is no inconsistency between promising to recommend a
sentence at the low end of the Guidelines sentencing range and also arguing in
favor of a Guidelines sentencing range greater than what the defendant desires.
Cf. United States v. Villa-Vazquez, No. 07-3160, slip op. at 15–18 (10th Cir.
Aug. 20, 2008) (government breached agreement to recommend low-end sentence
when it recommended an upward departure and variance; agreement to
recommend low-end sentence implies that government will not seek departure or
variance from sentencing range calculated under Guidelines).
Given that a plea agreement cannot preclude the court from considering the
facts underlying a dismissed count and that the government made no affirmative
promise not to support an offense-level enhancement based on the conduct
underlying that count, Mr. Trujillo could not reasonably have understood that the
agreement precluded the government from recommending such an enhancement.
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Cf. United States v. Scroggins, 965 F.2d 480, 483 (7th Cir. 1992) (no breach when
prosecutor advocated upward departure based in part on conduct underlying
dismissed charge); United States v. Fox, 889 F.2d 357, 363 (1st Cir. 1989)
(government would not have breached plea agreement by providing information
regarding offenses that it promised not to prosecute); 5 Wayne R. LaFave, Jerold
H. Israel, Nancy King, & Orin S. Kerr, Criminal Procedure § 21.2(d), at 626–27
& 627 n.211 (3d ed. 2007) (“[D]efendants sometimes claim a violation of the
Santobello rule when either the court or parole agency takes into account an
aspect of defendant’s conduct encompassed within a charge dropped pursuant to a
plea bargain. . . . In these and like circumstances (including when dismissed
counts are used to determine the offense level under the federal sentencing
guidelines), courts have consistently held that there has been no breaking of the
plea bargain.” (footnotes omitted)). The government performed its promises.
Accordingly, we conclude that it did not breach the plea agreement.
Mr. Trujillo also argues that even if the government did not breach the plea
agreement, it cannot enforce his appeal waiver because it did not seek
enforcement until its merits brief, rather than filing a timely prebriefing motion.
We reject the argument.
We permit certain dispositive motions to be filed before merits briefing as a
convenience to a movant. If the movant is successful, it will avoid having to brief
the merits issues that would otherwise be raised by the opposing party. To
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prevent such motions from interfering with the orderly and prompt disposition of
appeals, we impose strict time requirements on such motions. But failure to file a
timely motion does not foreclose raising the issue in the merits brief.
In particular, Tenth Circuit Rule 27.2(A)(1)(d) permits the government to
file a motion to enforce an appeal waiver, provided that the motion is timely, see
Fed. R. App. P. Rule 27.2(A)(3)(b) (2007), and attached to the motion are the plea
agreement and the transcripts of the plea hearing and sentencing hearing, see id.
Rule 27.2(A)(2)(b). The rule explicitly states, however, that “[f]ailure to file a
motion does not foreclose a party from raising the issue in a merits brief.”
Id. Rule 27.2(A)(3). Mr. Trujillo’s reliance on two of this court’s unpublished
cases is misplaced. Neither precludes the government from raising appellate
waiver in its merits brief. Our published law clearly permits the practice. See
United States v. Ibarra-Coronel, 517 F.3d 1218, 1221 n.3 (10th Cir. 2008)
(government is not precluded from raising waiver in its response brief).
III. CONCLUSION
Because we hold that Mr. Trujillo’s waiver of his appellate rights is
enforceable, we DISMISS the appeal and do not reach his substantive claims.
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