United States v. Locke , 416 F. App'x 684 ( 2011 )

FILED
United States Court of Appeals
Tenth Circuit
March 21, 2011
Elisabeth A. Shumaker
UNITED STATES COURT OF APPEALS Clerk of Court
TENTH CIRCUIT
UNITED STATES OF AMERICA,
Plaintiff - Appellee,
v. No. 09-3222
(D. Ct. No. 2:07-CR-20167-KHV-7)
BOYTINA LOCKE, (D. Kan.)
Defendant - Appellant.
ORDER AND JUDGMENT *
Before TACHA, BALDOCK, and TYMKOVICH, Circuit Judges.
After examining the briefs and the appellate record, this three-judge panel
has determined unanimously that oral argument would not be of material
assistance in the determination of this appeal. See Fed. R. App. P. 34(a)(2); 10th
Cir. R. 34.1(G). The case is therefore ordered submitted without oral argument.
Defendant-appellant Boytina Locke entered into a plea agreement and
pleaded guilty to conspiracy to manufacture, to posses with intent to distribute,
and to distribute fifty grams or more of cocaine base and to possess with intent to
*
This order and judgment is not binding precedent except under the doctrines of
law of the case, res judicata and collateral estoppel. It may be cited, however, for its
persuasive value consistent with Fed. R. App. P. 32.1 and 10th Cir. R. 32.1.
distribute and to distribute five kilograms or more of cocaine, in violation of 21
U.S.C. §§ 846, 841(b)(1)(A)(ii), (b)(1)(A)(iii). He was sentenced to 360 months’
imprisonment. On appeal, he contends that the government breached the plea
agreement. We have jurisdiction pursuant to 28 U.S.C. § 1291, and we VACATE
and REMAND.
I. BACKGROUND
Mr. Locke was indicted as part of a conspiracy to distribute crack cocaine
throughout the Kansas City, Kansas metropolitan area. Thereafter, he entered
into a plea agreement wherein he agreed to plead guilty to the conspiracy and to
waive any right to appeal. 1 In exchange, the government promised to dismiss all
other charges against him and “to request a sentence within the guideline range
determined to be appropriate by the U.S. Probation Department and as approved
by the Court.”
Additionally, the government agreed to recommend that Mr. Locke receive
a two-level reduction for acceptance of responsibility under § 3E1.1(a) of the
United States Sentencing Guidelines Manual (“U.S.S.G.”). The government also
agreed that it would move for an additional one-level reduction under § 3E1.1(b)
because Mr. Locke “timely notified the government of his intention to enter a plea
1
That waiver provision, however, does not apply in this case. See United States v.
Rodriguez-Rivera, 518 F.3d 1208, 1212 (10th Cir. 2008) (“[A]n appellate waiver is not
enforceable if the Government breaches its obligations under the plea agreement.”).
-2-
of guilty.” 2 The government’s obligation to seek these reductions was expressly
made contingent, however, upon Mr. Locke’s “continuing manifestation of
acceptance of responsibility as determined by the United States.” Moreover, the
plea agreement stated:
If [Mr. Locke] denies or gives conflicting statements as to his
involvement, falsely denies or frivolously contests relevant conduct
that the court determines to be true, willfully obstructs or impedes
the administration of justice as defined in U.S.S.G. § 3C1.1 (or
willfully attempts to do so), or engages in additional criminal
conduct, the United States reserves the right to withdraw all of its
recommendations without breaching this agreement.
After conducting a Rule 11 colloquy, the district court accepted the plea
agreement.
The United States Probation Office prepared an initial presentence report
(“PSR”). The PSR held Mr. Locke responsible for 20.73 kilograms of cocaine,
plus additional quantities of other drugs, resulting in a base offense level of 34.
The PSR also recommended a two-level enhancement under § 2D1.1(b)(1) for
possession of a firearm and a four-level enhancement under § 3B1.1(a) for Mr.
Locke’s role in the offense, for an adjusted offense level of 40. After reducing
the offense level three levels pursuant to the plea agreement, and determining that
Mr. Locke’s criminal history category was V, the PSR author reached an advisory
guidelines range of 324 to 405 months’ imprisonment.
2
Although the two-level reduction under subsection (a) lies within the discretion of
the district court, “[a]n adjustment under subsection (b) may only be granted upon a
formal motion by the Government at the time of sentencing.” U.S.S.G. § 3E1.1. cmt. n.6.
-3-
Mr. Locke filed a sentencing memorandum, raising several objections to the
initial version of the PSR. Of note in this appeal, Mr. Locke challenged drug
transactions that were attributed to him in the PSR, claiming that the quantities
were excessive. Mr. Locke also challenged the factual basis for the two-level
firearm enhancement and the four-level enhancement for his role in the offense.
The government filed a response opposing Mr. Locke’s objections and arguing
that Mr Locke should lose the three-level reduction for acceptance of
responsibility “because his objections are clearly a false denial and an attempt to
frivolously contest sentencing matters.”
At the sentencing hearing, the government again articulated its position that
Mr. Locke’s objections to the PSR were frivolous, stating that it would not move
for the one-level reduction for the timeliness of Mr. Locke’s acceptance of
responsibility and that it opposed the two-level reduction. The district court then
heard testimony from an FBI agent and Mr. Locke himself concerning the drug
quantities attributed to him as relevant conduct and argument from both parties
concerning the two enhancements. The court resolved all of Mr. Locke’s
objections in favor of the government and in accordance with the PSR. The
district court then determined Mr. Locke’s total offense level to be 37, as
recommended in the PSR.
The government objected, noting that it had withdrawn the additional one-
level reduction for timely acceptance of responsibility, resulting in an offense
-4-
level of 38. When the court asked whether the government had a “recognized
ground for withdrawing” the extra level, the government responded that it did.
The government then recited the language from the plea agreement that “if the
defendant . . . falsely denies or frivolously contests relevant conduct that the
Court determines to be true, then the United States reserves the right to withdraw
its recommendation without breaching the agreement.” The government said its
withdrawal of the additional level was grounded on the district court’s rulings on
Mr. Locke’s objections to the PSR.
Mr. Locke argued against allowing the government to withdraw the one-
level reduction. He noted that the plea agreement did not require him to forego
all objections to the PSR, and “[t]he fact that the government disagrees with them,
and the fact that the Court ruled against him [] doesn’t make it frivolous.”
Although it agreed with Mr. Locke, the court refused to apply the one-level
reduction “because the government has to make that motion” and had not done so.
The district judge stated, however, that he would take the situation into
consideration when fashioning a sentence “because I don’t think [Mr. Locke’s]
testimony was frivolous or intentionally false.” The district court ultimately
sentenced Mr. Locke to 360 months’ imprisonment, the bottom of the applicable
guidelines range. Mr. Locke now appeals, arguing that the government breached
the plea agreement.
-5-
II. DISCUSSION
“Where the Government obtains a guilty plea which is predicated in any
significant degree on a promise or agreement with the U.S. Attorney, such
promise or agreement must be fulfilled to maintain the integrity of the plea.”
United States v. Villa-Vazquez, 536 F.3d 1189, 1196 (10th Cir. 2008) (quotations
omitted). “General principles of contract law define the government’s obligations
under the agreement, looking to the express language and construing any
ambiguities against the government as the drafter of the agreement.” United
States v. Guzman, 318 F.3d 1191, 1195 (10th Cir. 2003). Generally, whether the
government has breached a plea agreement is a question of law which we review
de novo. See United States v. Werner, 317 F.3d 1168, 1169 (10th Cir. 2003).
The Supreme Court has recently clarified, however, that plain-error review
applies when the defendant fails to object at the time of the alleged breach. See
Puckett v. United States, – U.S. –, 129 S. Ct. 1423, 1429 (2009). Resolving
whether Mr. Locke adequately objected to the alleged breach, however, is not
necessary in this appeal because the government admits to the breach, see
Guzman, 318 F.3d at 1196, and also concedes that the district court plainly erred
in sentencing him in a manner inconsistent with the terms of the plea agreement.
We therefore turn to the question of remedy. Mr. Locke requests that he be
allowed to withdraw his guilty plea and stand trial. “When the government has
breached a plea agreement, [however,] it is generally preferable to remand the
-6-
case to the district court for its determination as to whether defendant should be
resentenced by a different judge or should be allowed to withdraw his guilty
plea.” United States v. Brye, 146 F.3d 1207, 1213 (10th Cir. 1998). But “[w]hen
the government’s breach is particularly egregious or intentional, we will allow
[the] defendant to withdraw the guilty plea.” Id.Mr. Locke alleges that the government’s breach was egregious and
intentional for two reasons: (1) “a pattern of [mis]conduct by Kansas [federal]
prosecutors”; and (2) the “obvious failure of deterrence” in “a slew of reversals
for breaching plea agreements.” He argues that because the Assistant United
States Attorneys in Kansas continue to breach plea agreements despite the
reversals, a “stronger remedy is in order,” presumably allowing Mr. Locke to
withdraw his plea. We disagree. Nothing in the record suggests that the
government intentionally breached the plea agreement, nor is the breach in this
case egregious. The district court is in a better position to determine the
appropriate remedy in this case. Accordingly, we remand to the district court for
a determination as to whether Mr. Locke should be resentenced by a different
judge or should be allowed to withdraw his guilty plea.
-7-
III. CONCLUSION
For the foregoing reasons, we VACATE Mr. Locke’s sentence and
REMAND for proceedings consistent with this opinion.
ENTERED FOR THE COURT,
Deanell Reece Tacha
Senior Circuit Judge
-8-