United States v. Robert Mendoza, Reuben O. Mendoza, Jr., and Yolanda Ashton Ortiz

491 F.2d 534, 1974 U.S. App. LEXIS 9542
CourtCourt of Appeals for the Fifth Circuit
DecidedMarch 21, 1974
Docket73-1684
StatusPublished
Cited by28 cases

This text of 491 F.2d 534 (United States v. Robert Mendoza, Reuben O. Mendoza, Jr., and Yolanda Ashton Ortiz) is published on Counsel Stack Legal Research, covering Court of Appeals for the Fifth 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 Mendoza, Reuben O. Mendoza, Jr., and Yolanda Ashton Ortiz, 491 F.2d 534, 1974 U.S. App. LEXIS 9542 (5th Cir. 1974).

Opinions

GEWIN, Circuit Judge:

I

Appellants Robert Mendoza, Reuben 0. Mendoza and Yolanda Ortiz appeal from the district court’s judgment of conviction. On November 22, 1972, a two-count indictment was returned charging appellants in court one with unlawfully possessing with the intent to distribute 109.15 grams of cocaine, a controlled substance under Schedule II of the Controlled Substances Act of 1970, in violation of 21 U.S.C. § 841(a)(1), and in count two o.f unlawfully possessing with the intent to distribute 404 dosage units of amphetamines, a controlled substance under Schedule III of the Controlled Substances Act of 1970, in violation of 21 U.S.C. § 841(a)(1). On January 3, 1973, the district court conducted a hearing on a motion filed by appellants to suppress the above mentioned sub' [536]*536stances which were allegedly seized on the basis of a defective affidavit. On the basis of the facts elicited at the hearing, the court denied the suppression motion. We affirm.

In face of the district court’s order denying suppression, the appellants and the Government filed a stipulation for the trial of the appellants on February 14, 1973, which stipulation admitted in detail all the facts necessary to support a finding of guilt by the district court of the charges contained in the indictment. Even though the appellants had entered a plea of not guilty to the indictment they stipulated that they did not “contest any element of the offense alleged in either count of the indictment and agree [d] that the court may find them guilty as to each count.” In response to the not guilty pleas and the stipulations which supported a finding of guilt, the trial court “adjudged that the [appellants] upon [their pleas] of not guilty, and a finding of guilty [have] been convicted of the offense[s] .” (emphasis added) charged in the indictment.

In the stipulation signed by appellants, their counsel, and Government counsel, it was expressly stated that:

[Defendants] aware of the Court’s ruling on their joint motion to suppress the evidence, and of the nature of the Government’s evidence against them, . . . desire to protect their respective rights to appeal the Trial Court’s ruling on their motion to suppress. At the same time, all three defendants do not desire to unnecessarily prolong the proceedings herein.

Thus, even though appellants stipulated all the essential facts necessary for their conviction, they did not withdraw their pleas of not guilty, and sought to expressly reserve their right to appeal from the order denying the motion to suppress.

On this appeal, there is no attack on the facts as stipulated by appellants and their counsel. The district court carefully interrogated all appellants and their counsel and was assured by them that the stipulations were made knowingly and voluntarily with the full advice of privately retained counsel. Furthermore, the district court implicitly recognized the appellants’ reserved right to appeal from its order denying the motion to suppress the evidence.

As a threshold issue, it is incumbent upon an appellate court to determine whether it may properly exercise its jurisdiction in each case. Although neither party to this appeal has contested our jurisdiction, their omissions do not foreclose our review sua sponte. Accordingly, we must resolve whether an appeal may be properly perfected from a judgment of conviction emanating from a defendant’s contradictory plea of not guilty as compared with his subsequent stipulations which expressly and effectively admit sufficient facts to support an adjudication of guilty of the charges in the indictment but explicitly reserves the right to appeal.

Our sensitivity to the problem posed arises from this circuit’s recent en banc decision in United States v. Sepe, 486 F.2d 1044, affirming 474 F.2d 784 (5th Cir. 1973). In Sepe it was clearly stated that:

In the interest of clarity we point out that this case did not involve an express agreement to allow an appeal, but we now take advantage of an opportunity to say that as a matter of policy this Court disapproves the practice of accepting pleas of guilty or nolo contendere if they are coupled with agreements that the defendant may nevertheless appeal on non-jurisdictional grounds. Id. at 1045. (footnote omitted)

Sepe thus sounded this court’s disapproval of the use of conditional pleas of guilty and nolo contendere in our circuit. The underlying reasons for the court’s pronouncement in Sepe were markedly absent.

Demonstrating the judiciary’s ability to quickly respond to new guiding prin[537]*537ciples, Chief Judge Brown adequately supplied both the ratio decendi for the Sepe opinion and the remedy to be provided once it is shown that an appeal arises on non-jurisdictional grounds from a conditional plea in United States v. Mizell, 488 F.2d 97 (5th Cir. 1973). Mizell concerned an appeal from a nolo contendere plea on the non-jurisdictional issue of whether the district court properly refused to suppress evidence seized in an allegedly routine inventory search by the police.

The court first noted that the district court had apparently recognized by sanctioning the reserved right to appeal from the plea of nolo contendere, that Mizell’s conviction could not stand but for the allegedly illegally seized evidence. Second, the court noted the difficulty inherent in actually resolving the question whether the government could have established the guilt of Mizell even without the fruits of the search. It was observed that Mizell’s case did not present the situation where the government’s evidence is limited strictly to the surrounding facts or the actual fruits seized during the search.

Thus the Mizell court was requested to play the “appellate guessing game” of determining whether a ruling on the suppression order adverse to that made by the district court would actually result in a different disposition of the case on remand. However, the appellate tribunal is not the only judicial body which must meet the challenge of dealing with the contingencies of its ruling. The district court as well becomes inextricably involved in the “result oriented intrigue” which emanates from a district court approved appeal based on conditional pleas. The Mizell decision succinctly summarized the district court’s dilemma:

If the sentencing Judge accepts the proposed conditional plea he has first to predict what the Court of Appeals will decide as to appealability of that particular case. This means that if, as is true here, his prediction of appealability is faulty because of action of the Court of Appeals, the whole plea and sentencing procedure is infected by an assurance given which either was not, or could not have been made good.

The court wisely refused to accept the proffered challenge and remanded the case to the district court with directions to permit Mizell to plead anew.

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Bluebook (online)
491 F.2d 534, 1974 U.S. App. LEXIS 9542, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-robert-mendoza-reuben-o-mendoza-jr-and-yolanda-ashton-ca5-1974.