UNITED STATES of America, Plaintiff-Appellee, v. Donald L. ZINK, Defendant-Appellant

107 F.3d 716, 97 Cal. Daily Op. Serv. 1116, 97 Daily Journal DAR 1703, 1997 U.S. App. LEXIS 2804, 1997 WL 66511
CourtCourt of Appeals for the Ninth Circuit
DecidedFebruary 19, 1997
Docket95-50534
StatusPublished
Cited by52 cases

This text of 107 F.3d 716 (UNITED STATES of America, Plaintiff-Appellee, v. Donald L. ZINK, Defendant-Appellant) is published on Counsel Stack Legal Research, covering Court of Appeals for the Ninth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
UNITED STATES of America, Plaintiff-Appellee, v. Donald L. ZINK, Defendant-Appellant, 107 F.3d 716, 97 Cal. Daily Op. Serv. 1116, 97 Daily Journal DAR 1703, 1997 U.S. App. LEXIS 2804, 1997 WL 66511 (9th Cir. 1997).

Opinion

TROTT, Circuit Judge:

OVERVIEW

Donald L. Zink appeals a $5.8 million restitution order imposed following his guilty plea conviction for making false statements in loan applications, in violation of 18 U.S.C. § 1014. Zink contends that the district court erred by imposing such a large restitution order because he lacks the ability to pay such an amount. The government argues: 1) that Zink waived the right to appeal his restitution order in his plea agreement; 2) that Zink failed to object to the magnitude of the restitution order; and 3) that the district court did not commit plain error by imposing such a large restitution order.

We conclude that the plea agreement and Rule 11 colloquy are ambiguous as to whether Zink waived his right to appeal the restitution order. Nevertheless, we hold that Zink’s clear acquiescence in the restitution order relieved the district court of any independent obligation to further determine Zink’s ability to pay restitution. Under these circumstances, we cannot say that the restitution order seriously affects the fairness, integrity, or public reputation of Zink’s proceedings, such that the order amounts to “plain error.” We therefore affirm. .

BACKGROUND

In early 1990, Zink purchased an $11,650,-000 apartment complex in California. To finance the purchase, Zink obtained thirty- • eight loans totalling $12.5 million from seven banks. In applying for these loans, Zink misrepresented the purchase price of the complex and. made false statements about the state of his personal finances. Between October 1990 and January 1991, Zink defaulted on all the loans. The seven banks suffered losses of approximately $5.8 million.

In 1994, the government indicted Zink for making the false statements on his loan applications. The parties entered into a plea agreement, in which Zink agreed to “pay the full amount of restitution to be determined by the court at the time of sentencing.” At the sentencing hearing, the district court imposed a $5.8 million restitution order. At no time during any of the proceedings before the district court did Zink object to the amount, calculation, or imposition of restitution. In this appeal, Zink challenges the amount of restitution ordered by the district court.

DISCUSSION

A. Waiver of Appeal

The threshold issue we must determine is whether Zink, by the terms of the plea agreement, waived his right to appeal the restitution order. We review de novo the question of whether a defendant has waived a statutory right to appeal. United States v. Haggard, 41 F.3d 1320, 1325 (9th Cir.1994). “[A]n express waiver of the right to appeal in a negotiated plea of guilty is valid if knowingly and voluntarily made.” United States v. Bolinger, 940 F.2d 478, 479 (9th Cir.1991).

Zink’s plea agreement contains the following statement, under the heading “WAIVER OF RIGHT TO APPEAL SENTENCE”:

Acknowledging the immediately preceding paragraph, you knowingly and voluntarily waive your right to appeal any sentence imposed by the court in this case and the manner in which the sentence is determined, so long as your sentence is within the statutory maximum specified above.

The “statutory maximum specified above” refers to the preceding paragraph concerning *-866 sentencing guideline range calculations. There is no reference to restitution in the “Waiver of Right to Appeal Sentence” section.

We reviewed a plea agreement similar to the one in this case in United States v. Catherine, 55 F.3d 1462 (9th Cir.1995). In Catherine, we concluded that the defendant did not waive the right to appeal a restitution order, despite the fact that he waived his right to appeal his sentence of confinement under the Sentencing Guidelines. Id. at 1464. Paragraph 7 of the Catherine plea agreement, entitled ‘Waiver of Appeal,” set out the conditions of the waiver:

7. The defendant also agrees that if he receives a sentence within the range .of offense level 13 or less ... he hereby waives any right to appeal from that sentence.

Id.

The structure of the plea agreement in Catherine “indicate[d] that the defendant waived only his right to appeal his offense level and criminal history category under the Sentencing Guidelines.” Id. “The referent ‘that sentence’ cannot refer to the amount of restitution because restitution is not calculated using the guidelines; it is determined by a separate standard set out in 18 U.S.C. § 3663.” Id.

In the instant case, the plea agreement states that Zink “waive[s] [his] right to appeal any sentence ... so long as [his] sentence is within the statutory maximum specified above.” Like the statement in the Catherine agreement, the statement “any sentence” appears to refer only to sentences calculated by using the Sentencing Guidelines. The entire preceding paragraph details the statutory máximums for confinement recognized in the Sentencing Guidelines. The government’s attempts to distinguish Catherine are therefore unavailing.

A recent Second Circuit decision supports our interpretation of the plea agreement. In United States v. Ready, 82 F.3d 551 (2nd Cir.1996), the court rejected the government’s contention that a defendant waived his right to appeal a restitution order. Like the agreement in our case, the plea agreement contained an ambiguity as to whether the term “sentence” included the restitution penalty. Id. at 560. “[T]he word ‘sentence,’ as used in the [agreement], would not include restitution, because restitution penalties are not linked in any way with the Guidelines base offense levels.” Id. The court construed the ambiguity strictly against the government and considered the merits of the defendant’s claim regarding the restitution order.

Moreover, nowhere in Zink’s Rule 11 plea colloquy does the district court advise Zink of any waiver of appeal. In fact, at Zink’s sentencing hearing, the district court advised Zink that he had “the right to appeal from the judgment of this court.” The government did not object to this advisement. See. United States v. Littlefield, 105 F.3d 527, 529 (9th Cir.1997) (Hall, J. concurring) (concluding defendant validly waived right to appeal sentence, in part because “prosecution promptly objected to the [district court’s] advisement of appellate rights”).

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107 F.3d 716, 97 Cal. Daily Op. Serv. 1116, 97 Daily Journal DAR 1703, 1997 U.S. App. LEXIS 2804, 1997 WL 66511, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-of-america-plaintiff-appellee-v-donald-l-zink-ca9-1997.