Sean Jarred Davis pleaded guilty to conspiracy to possess with intent to distribute heroin and fentanyl under a written plea agreement. The agreement stipulated that the government would seek a four-level leadership enhancement and a two-level firearm enhancement, while agreeing not to argue for any additional enhancements. However, the plea agreement allowed the district court to reject these stipulations and reserved the government's right to provide information for the presentence report. The probation officer subsequently recommended an additional two-level enhancement for the offense being committed as a pattern of criminal conduct engaged in as a livelihood. At sentencing, the government argued for the stipulated enhancements but did not actively argue for the livelihood enhancement, yet the court adopted the report and imposed it. Davis appealed, challenging the livelihood enhancement and arguing that the government breached the plea agreement and that the appeal waiver was not valid.
The court addressed two primary issues: whether the government breached the plea agreement and whether the appeal waiver was enforceable. Regarding the breach, the court noted that plea agreements are contracts and a breach occurs only when a promise made to induce the plea is unfulfilled. Since the government did not actively argue for the livelihood enhancement and the enhancement was based on the probation officer's independent recommendation, the court found no breach. Davis's claim of breach was reviewed for plain error as it was not raised below. Regarding the waiver, the court applied the totality of the circumstances test, citing the Rule 11 colloquy where Davis affirmed he understood the agreement and the waiver. The court found the waiver clear and unambiguous, noting that Davis preserved the right to appeal only the leadership enhancement. Consequently, the challenge to the livelihood enhancement was dismissed. On the leadership enhancement, the court applied de novo review to the legal conclusion and clear error review to factual findings. The court found that the evidence supported the district court's determination that Davis exercised decision-making authority and control over younger members of the conspiracy, satisfying the requirements for a four-level enhancement under USSG § 3B1.1(a).
The decision reinforces the enforceability of appeal waivers in plea agreements when the defendant has knowingly and voluntarily agreed to them during a Rule 11 colloquy. It clarifies that a government breach does not occur when the court imposes an enhancement based on a probation officer's recommendation, even if the government did not actively argue for it, provided the plea agreement reserved the right to provide such information. The ruling limits future appeals by defendants who have signed similar waivers, barring challenges to enhancements not explicitly reserved in the waiver, while leaving the application of leadership enhancements subject to factual review.
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