United States v. Robert H. Schmidt and Lawrence B. Schmidt

47 F.3d 188, 40 ERC (BNA) 1603, 1995 U.S. App. LEXIS 2122
CourtCourt of Appeals for the Seventh Circuit
DecidedFebruary 1, 1995
Docket19-2904
StatusPublished
Cited by61 cases

This text of 47 F.3d 188 (United States v. Robert H. Schmidt and Lawrence B. Schmidt) is published on Counsel Stack Legal Research, covering Court of Appeals for the Seventh Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Robert H. Schmidt and Lawrence B. Schmidt, 47 F.3d 188, 40 ERC (BNA) 1603, 1995 U.S. App. LEXIS 2122 (7th Cir. 1995).

Opinions

COFFEY, Circuit Judge.

The defendants, Robert H. Schmidt and Lawrence B. Schmidt, were charged in a four-count information with violations of the Clean Water Act.1 See 33 U.S.C. §§ 1317(d), 1319(c) and 1319(e)(4). The defendants were also charged with intentional storage of hazardous wastes without a permit in violation of 42 U.S.C. § 6928(d)(2). Thereafter, on March 5, 1993, the defendants, represented by counsel, pled guilty to the charges in the information (Robert pled guilty to Counts I, II, and III while Lawrence pled guilty to Counts III and IV). Included in each of the defendants’ guilty pleas was the following clause:

The defendant recognizes that the court is not bound by any estimate of the probable sentencing guideline that the defendant may have received from his attorney, the government or the probation office. Realizing the uncertainty in estimating what sentence he will ultimately receive, the defendant knowingly waives his right to appeal the sentence imposed by the district court in exchange for the concessions [190]*190made by the government in this agreement2

Record at 16-10 (plea agreements of Robert H. Schmidt and Lawrence B. Schmidt signed and approved by each of them on March 5, 1993) (emphasis added). At the sentencing hearing held on September 10, 1993, the district court sentenced Robert to thirty months imprisonment, imposed a fine of $50,-000, and ordered a period of supervised release for two years. The court also sentenced Lawrence to twenty-four months imprisonment, imposed a fine of $25,000, and ordered supervised release for two years. On appeal, the defendants are challenging the district court’s application of the United States Sentencing Guidelines.

As a preliminary matter, we must address the question of the defendants’ waivers of their right to appeal. Although the government has not relied on the defendants’ waivers, we are not precluded from affirming on that basis. See, e.g., United States v. Giovannetti, 928 F.2d 225, 227 (7th Cir.1991) (per curiam) (appellate court has the discretion to overlook the government’s failure to argue harmless error). In deciding whether to determine the merits of the Schmidts’ arguments or overlook the government’s failure to argue waiver, one controlling consideration is whether the waivers were “certain or debatable.” Id. Accordingly, we have focused our attention on the circumstances surrounding the Schmidts’ execution of their plea agreements, each of which contained the waiver of the right to appeal.

Several of our sister circuits have held that a waiver of a right to appeal contained within a guilty plea is enforceable. See United States v. Bushert, 997 F.2d 1343, 1347-50 (11th Cir.1993); United States v. Melancon, 972 F.2d 566, 567-68 (5th Cir.1992); United States v. Rivera, 971 F.2d 876, 896 (2d Cir.1992); United States v. Rutan, 956 F.2d 827, 829 (8th Cir.1992); United States v. Navaro-Botello, 912 F.2d 318, 321-22 (9th Cir.1990), cert. denied, 503 U.S. 942, 112 S.Ct. 1488, 117 L.Ed.2d 629 (1992); United States v. Wiggins, 905 F.2d 51, 52-54 (4th Cir.1990); see also United States v. Hendrickson, 22 F.3d 170, 174 (7th Cir.1994) (finding no waiver of the right to appeal because such a waiver “must be express and unambiguous”); Johnson v. United States, 838 F.2d 201, 203-04 (7th Cir.1988) (upholding waiver of right to appeal not contained in the plea agreement but in a separate pleading). These courts reasoned that it is well settled that a defendant may waive constitutional rights as part of a plea bargaining agreement. Newton v. Rumery, 480 U.S. 386, 393, 107 S.Ct. 1187, 1192, 94 L.Ed.2d 405 (1987). Although the right to appeal is statutory and not constitutional, Abney v. United States, 431 U.S. 651, 656, 97 S.Ct. 2034, 2038, 52 L.Ed.2d 651 (1977), the courts have upheld waiver of the statutory right to appeal. E.g., Melancon, 972 F.2d at 567-68.

The courts have, however, placed restrictions on the waiver of the right to appeal. Obviously a waiver will be upheld only if the record clearly demonstrates that the defendant knowingly and voluntarily entered into the plea agreement. Id. Additionally, despite a valid waiver of the right to appeal, a defendant could appeal his sentence if the trial court relied on a constitutionally impermissible factor such as race or if the court sentenced the defendant above the statutory maximum. United States v. Marin, 961 F.2d 493, 496 (4th Cir.1992) (“a defendant who waives his right to appeal does not subject himself to being sentenced entirely at the whim of the district court. For example, a defendant could not be said to have waived his right to appellate review of a sentence imposed in excess of the maximum penalty provided by statute or based on a constitutionally impermissible factor such as race.”).

In addition to the clear waiver of the right to appeal in the defendants’ respective [191]*191guilty pleas, this court has examined the transcript of the defendants’ March 5, 1993 guilty plea hearing, including the district judge’s advice to the respective defendants that their respective plea agreements contained a waiver of the right to appeal:

THE COURT: The agreements further provide that ... realizing the uncertainty in estimating the sentence that you will ultimately receive, each of you in the agreement knowingly waives your right to appeal the sentence imposed by this Court in exchange for concessions made by the government in this agreement.
So, in other words, you’re giving up an important right here, the right to appeal the sentence if, for example, you feel it’s too severe for some reason. Do you understand that?
ROBERT SCHMIDT: Yes, sir.
LAWRENCE SCHMIDT: Yes.

Guilty Plea Transcript at 26-27 (emphasis added). Later in the hearing, the court again asked the defendants if they understood that they were foregoing their right to appeal:

THE COURT: The Sentencing Reform Act has resulted in certain sentencing guidelines for judges to follow in determining the sentence in a criminal case. Have each of you and your attorneys talked about how the Sentencing Commission guidelines might apply to your case?
ROBERT SCHMIDT: Yes.

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Bluebook (online)
47 F.3d 188, 40 ERC (BNA) 1603, 1995 U.S. App. LEXIS 2122, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-robert-h-schmidt-and-lawrence-b-schmidt-ca7-1995.