UNITED STATES OF AMERICA, PETITIONER V. ALEJANDRO GARCIA IBARRA No. 90-1713 In The Supreme Court Of The United States October Term, 1990 The Solicitor General, on behalf of the United States, petitions for a writ of certiorari to review the judgment of the United States Court of Appeals for the Tenth Circuit in this case. Petition For A Writ Of Certiorari To The United States Court Of Appeals For The Tenth Circuit TABLE OF CONTENTS Question Presented Opinions below Jurisdiction Statute and rule involved Statement Reasons for granting the petition Conclusion OPINIONS BELOW The opinion of the court of appeals (App., infra, 1a-18a) is reported at 920 F.2d 702. The district court opinions (App., infra, 19a-50a) are reported at 731 F. Supp. 1037 and 725 F. Supp. 1195. JURISDICTION The judgment of the court of appeals was entered on December 3, 1990. A petition for rehearing was denied on February 12, 1991 (App., infra, 51a-52a). The jurisdiction of this Court is invoked under 28 U.S.C. 1254(1). STATUTE AND RULE INVOLVED 1. 18 U.S.C. 3731 provides in pertinent part: An appeal by the United States shall lie to a court of appeals from a decision or order of a district court () suppressing or excluding evidence * * *. * * * * * The appeal in all such cases shall be taken within thirty days after the decision, judgment or order has been rendered and shall be diligently prosecuted. The provisions of this section shall be liberally construed to effectuate its purposes. 2. Federal Rule of Appellate Procedure 4(b) provides in pertinent part: When an appeal by the government is authorized by statute, the notice of appeal shall be filed in the district court within 30 days after the entry of (i) the judgment or order appealed from or (ii) a notice of appeal by any defendant. A judgment or order is entered within the meaning of this subdivision when it is entered in the criminal docket. STATEMENT QUESTION PRESENTED Whether the time to file an appeal of a suppression order runs from the denial of a timely filed motion to reconsider that order, even when the motion to reconsider is based on a previously conceded theory of admissibility. 1. On March 24, 1989, Wyoming Highway Patrolman Scott Mahaffey saw a car with California tags weaving along an interstate highway. He stopped the car to determine whether the driver was intoxicated. Respondent, who was driving, did not appear to be intoxicated, but Officer Mahaffey discovered that respondent was driving with a suspended license. The license of his passenger, Maria Linares, was also suspended. Respondent produced a California registration certificate for the car in the name of Charles Joseph Petrocchi, explaining that he had purchased the car from Petrocchi two days earlier; he could not produce a bill of sale, however, and the ownership transfer portion of the registration certificate was not filled in. App., infra, 29a-30a; Tr. 6, 9-12, 15, 20, 37, 99. /1/ Mahaffey gave respondent a ticket for operating a motor vehicle with a suspended license, which required respondent to post a $220 appearance bond. After giving Mahaffey $220 for the bond, respondent stated that he had only about $40 left with which to reach Chicago. App., infra, 30a-31a; Tr. 18-21, 24, 71. In further discussion about his destination, respondent gave inconsistent answers to Mahaffey's questions and finally asserted that he was moving to Chicago, although he appeared to be "traveling 'light'" (App., infra, 31a). At that point, Mahaffey's suspicions were aroused, and he asked respondent whether the car contained weapons, large amounts of money, or controlled substances. When respondent said no, Mahaffey requested and received permission to search the car, and respondent unlocked the trunk. While Mahaffey searched the passenger compartment, Patrolman Gregory Leazenby (who had arrived on the scene while Mahaffey was questioning respondent) searched the trunk. Respondent's car and the patrol cars were parked on a narrow shoulder at a sharp curve in the highway where there had been several accidents; another accident had nearly occurred during the officers' investigation. Because of his concerns about safety, Mahaffey conducted only a brief search by the highway. App., infra, 31a; Tr. 20-23, 88-89; 91-92, 107. In light of all the circumstances, Mahaffey decided to impound the car, and he arranged for a private towing service to tow it into Laramie, a short distance away. App., infra, 31a-32a; Tr. 23-27, 93-94, 107-109. As the officers drove respondent and Linares to the Western Union office in Laramie so that they could wire for more money and arrange for someone to drive the car, Mahaffey reached Petrocchi's wife on his radio, and she informed him that her husband had sold the vehicle to respondent two weeks earlier. Mahaffey also learned that respondent had no liability insurance for the vehicle, although liability insurance is required for driving in Wyoming. App., infra, 32a; Tr. 27-28, 102-103. The officers left respondent and Linares at the Western Union office and went to the towing service lot. En route, Leazenby told Mahaffey that he had seen "a small plastic bag or something" protruding from underneath the spare tire in the trunk. Tr. 90. At the towing service lot, Mahaffey started an inventory of the car's contents by removing all the items from the trunk. Mahaffey later testified that he believed he "was operating under a continuance of consent." Tr. 28-29, 105-106. As Mahaffey was emptying the trunk, he noticed a plastic bag behind the spare tire. He removed the tire and found a large package wrapped with duct tape. Through a cut in the tape he saw a white powdery substance, which turned out to be cocaine. App., infra, 32a; Tr. 29-31. Mahaffey ceased his search of the vehicle, notified the Drug Enforcement Administration (DEA) and the Wyoming Division of Criminal Investigation (DCI) of his discovery, and relinquished custody of the vehicle to officials of those agencies. Leazenby returned to the Western Union office and arrested respondent and Linares. After being advised of his Miranda rights, respondent admitted to a DCI agent that he was transporting cocaine to Chicago. App., infra, 32a; Tr. 30, 61, 99, 112-113. 2. Respondent was indicted by a federal grand jury for possession of cocaine with the intent to distribute it. He filed a pretrial motion to suppress all the evidence seized during the search as well as his statement to the DCI agent, asserting that the stop of his vehicle was pretextual; that his consent to the search was involuntary and was, in any event, withdrawn prior to the second search; and that the second search was not made pursuant to a lawful inventory procedure. In opposition to the motion, the government defended the legality of the stop and the impoundment, and argued that the cocaine would inevitably have been discovered once Mahaffey conducted his planned inventory search. App., infra, 33a, 44a-45a. The government originally asserted that the search of the car at the towing service lot was made pursuant to respondent's continuing consent, but it later abandoned that argument, stating that "additional search has failed to provide legal support for this position, and the argument is conceded." App., infra, 21a. After an evidentiary hearing, the district court granted respondent's motion to suppress on November 15, 1989. App., infra, 29a-50a. The court found that the initial stop was lawful, but that an inventory search was not reasonable, because there was insufficient justification for taking custody of the car. /2/ App., infra, 37a, 43a, 49a. The Assistant United States Attorney handling the case reported the adverse decision to the Criminal Division of the Department of Justice. At the direction of the Criminal Division, the Assistant United States Attorney on December 13, 1989, moved for reconsideration of the suppression order reasserting the continuing consent rationale. On January 3, 1990, the district court denied reconsideration after considering the argument on the merits. App., infra, 19a-28a. On January 30, 1990, the government filed a notice of appeal. App., infra, 5a. 3. The court of appeals by a divided vote, dismissed the appeal on the ground that it lacked jurisdiction to review the district court's order. App., infra, 1a-18a. The court held that the 30-day statutory time period in which to take an appeal ran from the date of the initial order suppressing the evidence, not from the date of the denial of reconsideration of that motion, because the government's motion sought only to raise a previously conceded issue. /3/ For that reason, the court held that the government's notice of appeal was jurisdictionally out of time. App. infra, 11a. The court of appeals distinguished United States v. Dieter, 429 U.S. 6 (1976), in which this Court held that the government has 30 days from the district court's denial of a timely filed motion for reconsideration to appeal an order suppressing evidence or dismissing an indictment. The court noted that the motion in this case, unlike the motion in Dieter, involved an attempt to raise a previously conceded issue. The court found that distinction significant because, it said, a concession is generally binding on the party that makes it, and because the court had previously indicated (in United States v. Smith, 781 F.2d 184 (10th Cir. 1986)), its disapproval of government efforts to raise previously conceded issues. Accordingly, the court concluded, a motion raising such an issue has very little likelihood of success and is more likely to prolong the litigation process, thereby "subvert(ing), rather than further(ing), the concern for judicial economy." App., infra, 9a. For that reason, the court found that the government's motion attempting to withdraw a concession should be equated with a successive motion for reconsideration, which does not toll the appeal time. App., infra, 6a-9a. The court of appeals also concluded that Dieter was not controlling because the government's motion did not ask the district court to correct an error of law in its original opinion or to consider an argument previously made that it had not addressed, "(n)or did the government in its motion cite contrary authority announced after it conceded the continuing consent issue, sparing the parties and the appellate court the burden of unnecessary appellate proceedings." App., infra, 9a-10a. The court accordingly concluded that the government's motion did not toll the time for taking an appeal, because it did not "ask 'the District Court to reconsider (a) question decided in the case' in order to effect an 'alteration of the rights adjudicated.'" App., infra, 10a, quoting United States v. Dieter, 429 U.S. at 9. Judge Baldock dissented. He found the court's holding to be "plainly contrary to United States v. Dieter." App., infra, 12a. In his view, Dieter directs that "we do not conduct a merits review of every motion for reconsideration to insure that it meets the salutary purposes of the rule which provides for tolling the time in which to take an appeal." Ibid. REASONS FOR GRANTING THE PETITION The decision of the court of appeals creates uncertainty in an area where it is essential to have a bright-line rule capable of easy application. As a result, the decision, which conflicts with the reasoning of another court of appeals, is likely to impair the efficient administration of criminal proceedings in the federal system and the effective management of the government's criminal litigation. 1. In civil cases, Fed. R. App. P. 4(a) specifically provides that the time for filing a notice of appeal runs from the entry of an order denying a motion for reconsideration. The provision dealing with criminal appeals, Fed. R. App. P. 4(b), contains no similar language; nevertheless, United States v. Dieter, 429 U.S. 6 (1976), requires the same result in criminal cases. See R. Stern, Appellate Practice in the United States 96 (1981). The decision of the court of appeals blurs this heretofore clear jurisdictional rule, creating uncertainty about the circumstances under which a reconsideration motion will toll the appeal time. Because it requires a party considering whether to file a motion for reconsideration to guess about the time within which he must file an appeal if his motion is unsuccessful -- or simply not promptly decided -- it will deter the filing of such motions. The Federal Rules of Criminal Procedure should be applied to encourage the correct resolution of cases at the district court level without the expenditure of appellate resources. If a district court is willing to reconsider an unwarranted initial determination on the basis of a reconsideration motion, even one that retracts an ill-considered concession, the system of justice benefits by getting the case decided correctly at the trial level, and perhaps avoiding an appeal. /4/ The system benefits even when the motion does not avoid an appeal. Whether the court grants the reconsideration motion, considers the new matter on the merits before denying it, or denies the motion on the ground that the prior concession should be binding under the circumstances, the court of appeals will be able to resolve the case based on a fully developed legal and factual record. 2. The court of appeals took a narrow view of what constitutes a "proper motion for reconsideration," and thus created a broad and ill-defined exception to the principle that the time for filing a notice of appeal does not start to run until the denial of a timely motion for reconsideration. A "proper" motion for reconsideration, the court held, is one that "ask(s) the court to reconsider a (previously raised) point of law or fact that it misapprehended or overlooked." App., infra, 8a n.3; see also id. at 11a n.7. Thus, the court's rule would apparently bar motions for reconsideration based on new legal or factual arguments raised for the first time in the reconsideration motion. While a court may be free in some circumstances to refuse to consider points previously conceded or new arguments raised for the first time on reconsideration, it is most unwise, we submit, to convert that discretionary decision into a jurisdictional rule. Put another way, the appellate court's jurisdiction should not turn on that court's assessment of whether the appellant was entitled to raise a particular legal or factual issue in its motion for reconsideration in the district court. As a general matter, principles of finality should be as clear as possible, so that litigants and the courts will have no room for doubt about when an order is final and when the time for filing an appeal begins to run. Murky jurisdictional lines create waste and potential unfairness -- wasted time on appellate decisions dealing with the jurisdictional issues, and the forfeiture of potentially meritorious claims when the party pressing those claims guesses wrong about the scope of the jurisdictional rule. To confine "proper" motions for reconsideration to those simply asking for reconsideration of particular legal and factual matters previously raised by the party, rather than the reconsideration of the order in question, would create a fertile ground for dispute over matters having nothing to do with the merits of the cause. Arguments could be expected to arise over whether a particular issue was raised in the motion for reconsideration for the first time, rather than simply given greater emphasis or a new characterization. Disagreements would surely arise about whether a particular citation or statement in the initial pleading was sufficient to make a particular argument that was expanded upon in the motion for reconsideration. And there would be great doubt about the extent to which the government could present new factual allegations to the court, which may have become relevant only because of an unexpected legal ground adopted by the court in its initial ruling. Moreover, when presenting something other than a square restatement of its initial argument, the government would have to gamble that the appellate court would regard the motion for reconsideration as "proper." Even if the district court considered the motion on the merits, as in this case, the government would still run the risk that the appellate court would regard the motion as "improper" and thus treat the appeal as untimely. The uncertainties flowing from such a regime would create pointless distractions in a system already straining to handle its caseload. 3. Motions for reconsideration are an essential part of the federal government's administration of its criminal cases. The government's criminal litigation is monitored by the Criminal Division of the Department of Justice in Washington. Each United States Attorney's Office is required to inform the Division immediately of all district court decisions that are adverse to the government. United States Attorneys' Manual paras. 2-2.110, 9-2.171 (1988). The Division reviews each such decision to ensure that the United States Attorney has presented every argument that is legally and factually supportable, and that the positions advanced are consistent throughout the federal system. It is unavoidable that the various United States Attorney's Offices will sometimes take differing positions on a legal issue. Through the adverse decision reporting process, the Department learns of such inconsistencies. For instance, a United States Attorney's Office may have advanced a position that is legally at odds with the Department's position, perhaps by conceding a legal argument that is being pressed in other United States Attorney's Offices, or by failing to make appropriate arguments that are being asserted in similar cases in other offices. When such lapses are identified, the Division frequently suggests to the United States Attorney that he move for reconsideration in the district court before authorization for an appeal is sought from the Solicitor General. It follows that the government's reconsideration motions sometimes seek to retract inappropriate concessions, and often bring new legal arguments to the attention of the district court. Uncertainty about the circumstances in which a motion for reconsideration will toll the government's appeal time would greatly complicate the use of the motion for reconsideration as a tool for maintaining the uniformity of criminal litigation policies. Under the requirement established by the decision in this case, the government would have to weigh the risk that a motion for reconsideration would forfeit the government's appeal rights if the appellate court considered it inappropriate. /5/ 4. The decision below misinterprets this Court's decision in United States v. Dieter, supra, which adopted the bright line rule rejected by the court below. Dieter held that a party's appeal time runs from the denial of a timely filed motion for reconsideration. The Criminal Appeals Act, 18 U.S.C. 3731, provides that an appeal by the United States from a decision or order of a district court suppressing evidence shall be taken within 30 days after the order has been rendered. Accord Fed. R. App. P. 4(b) (government appeal must be filed within 30 days after the entry of the order appealed from). Dieter is grounded on the "traditional and virtually unquestioned practice," 429 U.S. at 8 n.3 (quoting United States v. Healy, 376 U.S. 75, 79 (1964)), that the filing of a motion to reconsider suspends the finality of the court's judgement pending the court's determination whether the judgment should be modified. See, e.g., Department of Banking v. Pink, 317 U.S. 264, 266 (1942); Communist Party of Indiana v. Whitcomb, 414 U.S. 441, 445 (1974) ("Appellees' motion for reconsideration * * * suspended the finality of the (district court) judgment * * * until the District Court's denial of the motion * * * restored it."). Cf. R. Stern, E. Gressman and S. Shapiro, Supreme Court Practice 312 (6th ed. 1986); Rule 13.4 of the Rules of this Court. /6/ The court of appeals attempted to distinguish Dieter on the ground that the government's reconsideration motion in this case was unlike the motion in Dieter. /7/ The court likened a motion for reconsideration of a previously conceded issue to a successive motion for reconsideration, which does not affect the running of the appeal time. /8/ That analogy is inapt. In this case the government filed only one motion for reconsideration. Even if, as the court observed, concessions are usually binding and their withdrawal disfavored, that does not somehow transform a single motion to reconsider based on a previously conceded theory into an impermissible successive attempt to toll the government's appeal time. /9/ The court of appeal suggested that Dieter is inapplicable to the government's motion in this case because the instant motion "did not request that the district court correct an alleged error of law or set aside a ruling on the grounds of mistake or inadvertance." App., infra, 9a. The court of appeals concluded, therefore, that the government's motion, unlike the motion at issue in Dieter, did not ask the district court to "reconsider (a) question decided in the case" in order to effect an "alteration of the rights adjudicated." App., infra, 10a (quoting Dieter, 429 U.S. at 9). This cramped view of the appropriate scope of a motion for reconsideration is inconsistent with Dieter. In Dieter, the Tenth Circuit had found Healy inapplicable because the post-trial motion in Healy "was directed squarely at an alleged error of law committed by the trial court," whereas in Dieter, the Government's motion to set aside the court's ruling on the ground of mistake or inadvertence "was an entirely different species of pleading." 429 U.S. at 8. This Court reversed, explaining that the considerations that had prompted the rule announced in Healy "fully apply whether the issue presented on appeal is termed one of fact or of law," and that nothing in Healy supported the distinction drawn by the court of appeals. Ibid. The Dieter Court concluded: "It is true that the Government's post-dismissal motion was not captioned a 'petition for rehearing,' but there can be no doubt that in purpose and effect it was precisely that, asking the District Court to 'reconsider (a) question decided in the case' in order to effect an 'alternation of the rights adjudicated.'" Id. at 8-9 (quoting Department of Banking v. Pink, 317 U.S. 264, 266 (1942)). As Judge Baldock explained below, the clear import of Dieter is that a court is not to consider the merits of a motion for reconsideration in determining its jurisdictional effect. App., infra, 12a. The majority's response (App., infra, 7a-8a n.3) -- that it was merely looking beyond the caption of the government's motion in order to determine its substance, the same inquiry that this Court had conducted in Dieter and in Pink -- misapprehends the nature of the Court's inquiry in Dieter and Pink. The Court in those cases looked beyond the caption of the government's motion solely to determine the nature of the relief sought. Thus, in Pink, the motion did not toll the time within which to petition for certiorari because it did not challenge the final judgment of the lower court. 317 U.S. at 266. /10/ In contrast, the government's motion in Dieter, although not termed a motion for reconsideration, was treated like on because it did challenge the district court's judgment -- it sought an "alteration of the rights adjudicated." This case is like Dieter, not Pink. The government's reconsideration motion clearly challenged the district court's ruling -- it sought a reversal of the district court's order suppressing evidence. Accordingly, like the motion in Dieter, the motion in this case tolled the government's appeal time by depriving the initial order of finality until the district court ruled on the government's motion. 5. Finally, the court of appeals' decision is inconsistent with the decision of the Eleventh Circuit in United States v. Ladson, 774 F.2d 436, 438-439 n.3 (1985). In Ladson, the Eleventh Circuit recognized that Dieter teaches that a reconsideration motion asserting a new argument tolls the time for filing an appeal. It rejected the argument that such a motion does not ask the court to "reconsider" anything, correctly observing that the motion seeks reconsideration of the court's "ultimate holding on the suppression issue." 774 F.2d at 438 n.3. The court below recognized, App., infra, 10a-11a n.7, that it analysis of the "proper" scope of a motion for reconsideration conflicts with this approach. While the narrow holding of this case -- involving a withdrawn concession -- does not conflict with the holding in Ladson, the analysis in the two cases in squarely at odds. Because of its substantial practical importance in the day-to-day administration of criminal justice, the issue raised by that conflict warrants resolution by this Court. CONCLUSION The petition for a writ of certiorari should be granted. The Court may wish to consider summary reversal. Respectfully submitted. KENNETH W. STARR Solicitor General ROBERT S. MUELLER, III Assistant Attorney General WILLIAM C. BRYSON Deputy Solicitor General HARRIET S. SHAPIRO Assistant to the Solicitor General DEBORAH WATSON Attorney MAY 1991 /1/ "Tr." refers to the transcript of the hearing on the motion to suppress held on Sept. 12, 1989. /2/ The district court noted the government's concession that the second search could not be justified under a continuing consent theory. App., infra, 37a. /3/ Although the court of appeals repeatedly referred to the question at issue here as involving the "tolling" of the appeal time, there is no suggestion that traditional tolling is involved. Instead, the question is whether the district court's denial of the reconsideration motion is the final appealable order that starts the time for appeal of the decision on the merits. For convenience, we will follow the court of appeals' practice in referring to this as a question of tolling. /4/ Despite the "disfavor" with which the court below views attempts to retract concessions, the general rule is that a party's concession on a point of law is not binding on a court of appeals. See Government of Virgin Islands v. Josiah, 641 F.2d 1103, 1107 n.1 (3d Cir. 1981); United States v. Smith, 621 F.2d 483, 489 n.3 (2d Cir. 1980), cert. denied, 449 U.S. 1086 (1981); United States v. Tortorello, 533 F.2d 809, 812 (2d Cir.), cert. denied, 429 U.S. 894 (1976); United States v. Lisk, 522 F.2d 228, 231 n.8 (7th Cir. 1975), cert. denied, 423 U.S. 1078 (1976). Since an appellate court is free to consider whether to permit a party to retract a concession, it follows that a district court should also be able to do so in the first instance. /5/ If the government did decide to file a reconsideration motion in such circumstances and the district court did not act on the motion within 30 days of its original decision on the merits, the government would be required to protect its appeal rights by filing a notice of appeal, thereby presumably removing the case from the district court's jurisdiction without a ruling on the reconsideration motion. /6/ In Bowman v. Loperena, 311 U.S. 262, 266 (1940), the Court held that even an untimely petition for rehearing of a district court order tolled the time for taking an appeal because the district court allowed the petition and considered it on its merits. A fortiori, the appeal time should be tolled by a timely filed motion for reconsideration (even one asserting grounds disfavored by the court of appeals), particularly when -- as here -- the district court has considered it on the merits before denying it. See generally R. Stern, Appellate Practice in the United States 96 (1981). /7/ As Judge Baldock observed in dissent, App., infra, 12a, Dieter itself arose out of a prior unsuccessful attempt by the Tenth Circuit to "craft distinctions * * * on the general rule that the government has thirty days from the district court's denial of a timely filed motion for reconsideration to appeal an order granting suppression." /8/ In United States v. Marsh, 700 F.2d 1322 (10th Cir. 1983), upon which the court below relied, a motion for reconsideration of a trial court's order denying a new trial did not toll the time period in which to file a notice of appeal because the new trial motion was, in essence, a motion for rehearing. The motion for reconsideration, which served an identical function, was therefore successive. As the court explained: "(The defendant) is not entitled to two bites, so to speak. * * * (H)e is not entitled to two motions for rehearing, and that is what, in substance, is sought." 700 F.2d at 1324. Accord United States v. Rothseiden, 680 F.2d 96, 97 (11th Cir. 1982). /9/ As Judge Baldock noted in his dissent, App., infra, 17a, "the government's right to appeal the suppression order * * * should not be abrogated merely because the government exercised its right to file a motion for reconsideration on grounds obviously viewed with disfavor by this court." /10/ The motion at issue in Pink simply sought the court's certification that a federal question had been presented to it for decision. In that circumstance, the Court explained (317 U.S. at 266 (emphasis added)): A timely petition for rehearing tolls the running of the three-months period because it operates to suspend the finality of the state court's judgment, pending the court's further determination whether the judgment should be modified so as to alter its adjudication of the rights of the parties. Here no such alteration of the rights adjudicated was asked, and the finality of the court's first order was never suspended. APPENDIX