United States v. Carbajal-Váldez, 874 F.3d 778

Carbajal-Váldez pleaded guilty to one count of conspiracy to possess with intent to distribute 5+ kg of cocaine after interdiction of a vessel off Puerto Rico that yielded ~1,434 kg of cocaine. Three crewmen were arrested; Carbajal identified himself as the vessel’s captain.
The plea agreement contemplated base offense level 38, a 3-level acceptance reduction, possible 2-level safety-valve reduction, and mutual promises not to seek other adjustments; the government agreed to recommend a within-guidelines sentence but made no binding promises about guideline calculations or criminal history.
The probation officer recommended a two-level “captain/pilot” enhancement under USSG §2D1.1(b)(3)(C) for Carbajal (but not for his codefendants), based on his admission he procured the vessel, steered it, and acted as master.
Neither party filed written objections to the PSI; at disposition defense counsel orally disputed the enhancement but the district court adopted the PSI findings (including the captain enhancement) and sentenced Carbajal to 168 months (bottom of the amended guideline range).
Carbajal appealed, arguing (1) the captain enhancement was unsupported and (2) the prosecutor breached the plea agreement at sentencing and by defending the enhancement on appeal. The waiver-of-appeal clause in the plea agreement did not bar this appeal because the sentence exceeded the agreement’s conditions.

Issue	Plaintiff's Argument	Defendant's Argument	Held
Whether the §2D1.1(b)(3)(C) captain enhancement was properly applied	Gov: PSI and hearing record supported finding that Carbajal acted as captain by procuring, steering, and directing the voyage	Carbajal: The title alone (self-identification) is insufficient; must show specific functions supporting captaincy	Held: Affirmed — PSI and disposition transcript (admission + conduct) supplied a plausible, non–clearly erroneous factual basis for the enhancement
Whether the government breached the plea agreement at sentencing by confirming Carbajal’s captain admission and the PSI guideline calculations	Carbajal: Prosecutor’s factual concessions and agreement with PSI calculations breached the Agreement	Gov: Prosecutor had duty of candor; responding to court and acknowledging PSI facts/calculations did not breach promises and was consistent with asking for leniency	Held: Affirmed — prosecutor’s statements did not breach the Agreement; government may defend a lawful sentence on appeal

United States v. Nuñez, 852 F.3d 141 (1st Cir. 2017) (sources for facts after guilty plea)
United States v. Ruiz-Huertas, 792 F.3d 223 (1st Cir. 2015) (standard of appellate review for sentencing)
United States v. McDowell, 918 F.2d 1004 (1st Cir. 1990) (preference for explicit sentencing findings but implicit adoption of PSI may suffice)
United States v. Van, 87 F.3d 1 (1st Cir. 1996) (upholding implicit adoption of PSI findings)
United States v. Schultz, 970 F.2d 960 (1st Cir. 1992) (PSI can supply sufficient basis for enhancements)
United States v. Almonte-Nuñez, 771 F.3d 84 (1st Cir. 2014) (prosecutor’s dual duties at sentencing; duty of candor vs. plea obligations)
United States v. Saxena, 229 F.3d 1 (1st Cir. 2000) (balancing prosecutor’s obligations at sentencing)
United States v. Colón, 220 F.3d 48 (2d Cir. 2000) (government may defend lawful sentence on appeal)
Berger v. United States, 295 U.S. 78 (1935) (narrow exceptions where government must confess error)