UNITED STATES OF AMERICA, Plaintiff-Appellant, versus KELLY DONALD
GOULD, Defendant-Appellee.
No. 02-30629
UNITED STATES COURT OF APPEALS FOR THE FIFTH CIRCUIT
2004 U.S. App. LEXIS 5505
March 24, 2004, Filed
PRIOR HISTORY: [*1] Appeal from the United States District
Court for the Middle District of Louisiana. 01-CR-105-1-D. James J
Brady, US District Judge.United States v. Gould, 194 F. Supp. 2d 482,
2002 U.S. Dist. LEXIS 6892 (M.D. La., 2002)
DISPOSITION: Reversed.
COUNSEL: For UNITED STATES OF AMERICA, Plaintiff - Appellant: M
Patricia Jones, Assistant US Attorney, US Attorney's Office, Baton
Rouge, LA.
For KELLY DONALD GOULD, Defendant - Appellee: Rebecca L Hudsmith,
Federal Public Defender, Joseph R Streva, Jr, Federal Public Defender's
Office, Western District of Louisiana, Lafayette, LA.
JUDGES: Before KING, Chief Judge, GARWOOD, JOLLY, HIGGINBOTHAM, DAVIS,
JONES, SMITH, WIENER, BARKSDALE, EMILIO M. GARZA, DEMOSS, BENAVIDES,
STEWART, DENNIS, CLEMENT and PRADO, Circuit Judges. * E. GRADY JOLLY,
Circuit Judge, concurring in part and dissenting in part. JERRY E.
SMITH, Circuit Judge, dissenting. DeMoss, Circuit Judge, dissenting,
joined by Stewart, Circuit Judge.
* Judge Pickering was not a member of the court when this case was
submitted to the court en banc and did not participate in the decision.
OPINIONBY: GARWOOD
OPINION: GARWOOD, Circuit Judge:
In this felon-in-possession prosecution (18 U.S.C. §
922(g)(1)), the Government appeals the district court's granting of the
motion to suppress filed by defendant-appellee Kelly Donald Gould
(Gould).
Louisiana deputy sheriffs, having received on October 17, 2000, a
telephone warning that Gould, known to be a convicted felon with a
reputation for violence, was planning to kill two local judges, went
that same evening to the approximately 14 x 16 foot trailer where Gould
lived to talk to him, not then intending [*2] to arrest him. The
officers, who had neither a search nor an arrest warrant, were admitted
by another resident of the trailer, Dennis Cabral, who said Gould was
asleep in his bedroom. The officers entered and proceeded down the hall
towards the bedroom Cabral had indicated. The bedroom door was open,
but the officers did not see Gould, and they then conducted a brief
protective sweep for him, looking under the bed and opening the door to
each of the two bedroom closets, in one of which they saw in plain
view, but did not then seize, three rifles. They promptly then ran
outside and later found Gould hiding in the woods. In subsequent
questioning Gould stated he was keeping the rifles for their owner, a
female acquaintance. Gould was then arrested, executed a consent to
search, and the rifles were then seized.
The district court, granting the motion to suppress the weapons, held
that although "Cabral had apparent authority to consent to the search
of the mobile home . . . he had no apparent authority to consent to a
search of the master bedroom." The Government sought to invoke the
"protective sweep" doctrine of Maryland v. Buie, 494 U.S. 325, 110 S.
Ct. 1093, 108 L. Ed. 2d 276 (1990). [*3] However, the district
court, though recognizing that the officers "needed to locate the
defendant for their own safety, so they could make sure he did not
launch a surprise attack from a hidden location," construed our opinion
in United States v. Wilson, 36 F.3d 1298, 1306 (5th Cir. 1994), as
having "explicitly restricted the use of the 'protective sweep'
exception to the warrant requirement to searches incident to arrest,"
and thus held that "because the 'protective sweep' was not conducted as
an incident to arrest, however, the search of the closet in the master
bedroom was illegal." In denying the government's motion for
reconsideration, the district court summarized and confirmed its prior
ruling:
"This court noted the defendant's violent past, and did not dispute
that the officers were justified in viewing the defendant as a violent
and potentially dangerous individual. Furthermore, the officers' search
of the master bedroom did not exceed the acceptable scope of a
protective sweep, which extends only to a cursory inspection of those
spaces where a person may be found, and lasts no longer than is
necessary to dispel the reasonable suspicion of danger.
[*4] However, this court found that the initial search was
illegal, because it did not meet the requirement that a protective
sweep must be incident to an arrest."
A panel of this court affirmed. United States v. Gould, 326 F.3d 651
(5th Cir. 2003). The panel concluded that it was bound by Wilson, the
most reasonable reading of which was that it laid down an
across-the-board, bright-line rule that, whatever the other
circumstances of a particular case might be, the "protective sweep"
doctrine was always inapplicable if the sweep was not incident to an
arrest. Gould at 654-55. The panel, however, suggested the
appropriateness of considering en banc "whether this Circuit should
adhere to Wilson's ipso facto disallowance of all protective sweeps not
incident to an arrest." Id. at 655, et seq. We then voted the case en
banc. United States v. Gould, 335 F.3d 376 (5th Cir. 2003).
I.
WHETHER A PROTECTIVE SWEEP MUST ALWAYS BE INCIDENT TO AN ARREST
We turn initially to the primary issue now before us, namely whether
there is an across-the-board, hard and fast per se rule that a
protective sweep can be valid only [*5] if conducted incident to
an arrest. We hold there is not.
We begin, of course, with the Supreme Court's opinion in Buie. And that
opinion does, indeed, begin with the statement that "[a] 'protective
sweep' is a quick and limited search of premises, incident to an arrest
and conducted to protect the safety of police officers or others." Id.
at 1094. But there was no dispute in Buie that the sweep was incidental
to arrest, and nothing in Buie states that if the officers were
otherwise lawfully in the defendant's home and faced with a similar
danger such a sweep would have been illegal. The Buie Court had no
occasion to so state as the sweep there was indisputably incident to
the arrest. We note that in United States v. Knights, 534 U.S. 112, 122
S. Ct. 587, 151 L. Ed. 2d 497 (2001), likewise a home search case, the
Court describes as "dubious logic" the argument "that an opinion
upholding the constitutionality of a particular search implicitly holds
unconstitutional any search that is not like it." Id. at 590.
We do not suggest that Buie did not emphasize the fact of arrest. It
indeed did. But it did so because the arrest exposed [*6] the
officers to danger. Buie at 1098. However, Buie gives no indication
that circumstances other than arrest which expose police officers to a
comparable degree of danger could not also justify a similar protective
response (at least where those circumstances are not the product of
police illegality or misconduct). Similarly, Buie notes that the arrest
there was pursuant to a warrant, so the officers were lawfully on the
premises for a proper purpose. Id. at 1096 (citing Payton v. New York,
445 U.S. 573, 100 S. Ct. 1371, 63 L. Ed. 2d 639 (1980)) and 1097. But
nothing in Buie suggests that the result would have been different had
the police otherwise properly entered the house as, for example,
pursuant to a proper consent rather than a warrant. Cf. Payton at
1374-75 ("We now . . . hold that the Fourth Amendment . . . prohibits
the police from making a warrantless and nonconsensual entry into a
suspect's home in order to make a routine felony arrest") and 1378 ("we
are dealing with entries into homes made without the consent of any
occupant"). Moreover, Buie makes clear that neither the arrest nor the
warrant sufficed to justify the sweep [*7] there, which occurred
after the arrest and was of an area of the home well removed from the
place of arrest, an area in which the defendant retained a Fourth
Amendment protected privacy interest. Id. at 1097, 1099 (citing the
holding in Chimel v. California, 395 U.S. 752, 89 S. Ct. 2034, 23 L.
Ed. 2d 685 (1969), that a search incident to an in-home arrest may not
extend beyond the area from within which the arrestee might then obtain
a weapon). Rather, the sweep in Buie was evaluated on a general Fourth
Amendment reasonableness standard, and was justified, in reliance on
the principles of Terry v. Ohio, 392 U.S. 1, 88 S. Ct. 1868, 20 L. Ed.
2d 889 (1968), and Michigan v. Long, 463 U.S. 1032, 103 S. Ct. 3469, 77
L. Ed. 2d 1201 (1983), where there was reasonable suspicion that the
area swept harbored a person posing a danger to the officers present
and the sweep was limited to a cursory inspection of places where a
person may be found and lasted no longer than necessary to dispel the
reasonable suspicion of danger nor longer than what it takes to
complete the arrest and leave the house. Buie at 1096-99.
In Buie, two [*8] men, one wearing a red running suit, committed
an armed robbery and later that day an arrest warrant respecting that
offense was issued for Buie and another man (no search warrant was ever
issued). Two days thereafter the police, by having a telephone call
made to Buie's house which was answered first by a female and then by
Buie, ascertained that Buie was at home, and then proceeded to his
house, entered it and looked for Buie on the first and second floors.
Then Officer Rozar went to the top of the basement stairs and shouted
into the basement stating "'this is the police'" and "ordering anyone
down there to come out." Id. at 1095. Then,
"Buie emerged from the basement. He was arrested, searched and
handcuffed by Rozar. Thereafter, Detective Joseph Frolich entered the
basement 'in case there was someone else' down there. He noticed a red
running suit lying in plain view on a stack of clothing and seized it."
Id. (emphasis added).
The Maryland Court of Appeals reversed Buie's robbery conviction
holding that the trial court erred by denying his motion to suppress
the running suit because Frolich's sweep of the basement was supported
neither by [*9] a search warrant nor by probable cause to believe
that a serious and demonstrable potentiality for danger existed there;
reasonable suspicion did not suffice. Buie v. State, 314 Md. 151, 550
A.2d 79 (Md. 1988). The Supreme Court vacated and remanded, holding
that reasonable suspicion sufficed, and that probable cause was not
required, for such a protective sweep. Buie, 110 S. Ct. at 1094-95.
The Supreme Court, though acknowledging that the arrest warrant
authorized the police to search for Buie anywhere in the house,
including the basement, "until the point of Buie's arrest," id. at 1096
(emphasis added), nevertheless expressly recognized that "once he
[Buie] was found, however, the search for him was over, and there was
no longer that particular justification for entering any rooms [i.e.,
the basement] that had not yet been searched" and that "Buie had" a
Fourth Amendment protected "expectation of privacy in those remaining
areas of his house." Id. at 1097. This conclusion likewise plainly
followed from Chimel v. California, 395 U.S. 752 (1969), which, as Buie
noted, "held that in the absence of a search [*10] warrant, the
justifiable search incident to an in-home arrest could not extend
beyond the arrestee's person and the area from within which the
arrestee might have obtained a weapon." Buie at 1099. See also id. at
1098 (rejecting argument "that entering rooms not examined prior to the
arrest is a de minimis intrusion that may be disregarded").
The Buie Court thus noted that at "issue in this case is what level of
justification the Fourth Amendment required before Detective Frolich
could legally enter the basement to see if someone else was there." Id.
at 1096. To resolve that issue the Court invoked the general
reasonableness standard of the Fourth Amendment, balancing the
intrusion on the protected interests against the promotion of
legitimate governmental interests, particularly as guided by Terry and
Michigan v. Long. Buie thus states:
"It goes without saying that the Fourth Amendment bars only
unreasonable searches and seizures [citation omitted]. Our cases show
that in determining reasonableness, we have balanced the intrusion on
the individual's Fourth Amendment interests against its promotion of
legitimate governmental interests. [citations [*11] omitted].
Under this test, a search of the house or office is generally not
reasonable without a warrant issued on probable cause. There are other
contexts, however, where the public interest is such that neither a
warrant nor probable cause is required. [citations omitted].
The Terry case is most instructive for present purposes. . . . Applying
that balancing test, it was held that although a frisk for weapons
'constitutes a severe, though brief, intrusion upon cherished personal
security,' [citation omitted] such a frisk is reasonable when weighed
against the 'need for law enforcement officers to protect themselves
and other prospective victims of violence in situations where they may
lack probable cause for an arrest.'
. . .
The [Michigan v.] Long Court expressly rejected the contention that
Terry restricted preventative searches to the person of a detained
suspect. [citation omitted]. In a sense, Long authorized a 'frisk' of
an automobile for weapons.
The ingredients to apply the balance struck in Terry and Long are
present in this case. . . . In Terry and Long we were concerned with
the immediate interest of the police officers [*12] in taking
steps to assure themselves that the persons with whom they were dealing
were not armed with, or able to gain immediate control of, a weapon
that could unexpectedly and fatally be used against them. In the
instant case, there is an analogous interest of the officers in taking
steps to assure themselves that the house in which a suspect is being,
or has just been, arrested is not harboring other persons who are
dangerous and who could unexpectedly launch an attack. . . .
. . . we hold that there must be articulable facts which, taken
together with the rational inferences from those facts, would warrant a
reasonably prudent officer in believing that the area to be swept
harbors an individual posing a danger to those on the arrest scene.
This is no more and no less than was required in Terry and Long, and as
in those cases we think this balance is the proper one." Buie at
1096-98 (emphases added; footnote omitted). n1
n1 Buie also recognizes as a special category of permissible sweep, one
without even reasonable suspicion, of "closets and other spaces
immediately adjoining the place of arrest from within which an attack
could be immediately launched." Id. at 1098 (emphasis added). The Buie
opinion language concerning the requirement for reasonable suspicion
appearing in the penultimate sentence of the quotation set out in the
text above applies to sweeps of areas "beyond" those "immediately
adjoining the place of arrest." Id. at 1098 (emphasis added). No one
has ever contended that the sweep in the present case is within that
special category as to which not even reasonable suspicion is required
(and which may or may not depend on the fact of arrest). We accordingly
do not further address this special category and this opinion's
subsequent discussion of protective sweeps generally should be
understood as not referring to it.
[*13]
We recognize that, as stated in United States v. United States District
Court, 407 U.S. 297, 92 S. Ct. 2125, 2134, 32 L. Ed. 2d 752 (1972), and
reiterated in Payton at 1379-80, 82, "physical entry of the home is the
chief evil against which the wording of the Fourth Amendment is
directed" and "the Fourth Amendment has drawn a firm line at the
entrance to the house." n2 However, Buie makes clear that that worthy
principle does not preclude application in the in-home sweep context of
the general reasonableness standard calculated by balancing the
intrusion on Fourth Amendment interests against the promotion of
legitimate governmental interests, including those of officer safety.
Indeed, Buie expressly noted and rejected the Maryland Court of
Appeals' refusal to apply the reasonable suspicion standard of Terry
and Long on the ground that "the sanctity of the home" required a more
demanding standard. Id. at 1096. We also note that recently the Supreme
Court in Knights applied the same general reasonableness, balancing
test in upholding a home search, stating "the touchstone of the Fourth
Amendment is reasonableness, and the reasonableness of [*14] a
search is determined 'by assessing, on the one hand, the degree to
which it intrudes upon an individual's privacy and, on the other, the
degree to which it is needed for the promotion of legitimate
governmental interests.'" Knights at 591 (quoting Wyoming v. Houghton,
526 U.S. 295, 119 S. Ct. 1297, 1300, 143 L. Ed. 2d 408 (1999)). n3
n2 The Fourth Amendment provides:
"The right of the people to be secure in their persons, houses, papers,
and effects, against unreasonable searches and seizures, shall not be
violated, and no Warrants shall issue, but upon probable cause,
supported by Oath or affirmation, and particularly describing the place
to be searched, and the persons or things to be seized."
n3 Knights upheld a reasonable suspicion based law-enforcement
(nonprobation related) investigative search without a warrant of a
probationer's home where a condition of probation was a blanket
agreement to consent to searches.
We also observe that in Terry, the Court stated that the "inestimable
right of personal security belongs as much to the citizen on the
streets of our cities as to the homeowner closeted in his study to
dispose of his secret affairs," Terry at 1873, and (as Buie noted, 110
S. Ct. at 1098), it rejected the notion that the weapons pat-down there
was merely a "petty indignity," stating that, to the contrary, it was
"a serious intrusion upon the sanctity of the person." Id. at 1877.
[*15]
Applying this balancing principle, and mindful of Buie's heavy reliance
on Terry and Long, neither of which involved an arrest, we hold that
arrest is not always, or per se, an indispensable element of an in-home
protective sweep, and that although arrest may be highly relevant,
particularly as tending to show the requisite potential of danger to
the officers, that danger may also be established by other
circumstances. We note in this connection the statements in Long that
"if a suspect is 'dangerous,' he is no less dangerous simply because he
is not arrested", id. at 3481, and "the officer remains particularly
vulnerable in part because a full custodial arrest has not been
effected." Id. at 3482 (emphasis added). Buie does state that "the risk
of danger in the context of an arrest in the home is as great as, if
not greater than, it is in an on-the-street or roadside investigatory
context" such as in Terry or Long. Buie at 1098. Buie gives two reasons
for that conclusion: first, in the Terry and Long frisk context the
confrontation has "not escalated to the point of arrest" which involves
"taking a person into custody for [*16] the purpose of
prosecuting him," and, second:
"unlike an encounter on the street or along a highway, an in-home
arrest puts the officer at the disadvantage of being on his adversary's
'turf.' An ambush in a confined setting of unknown configuration is
more to be feared than it is in open, more familiar surroundings." Id.
While the first reason focuses on arrest, the second does not and seems
equally applicable to a police investigatory confrontation in the home
as to an in-home arrest. Accordingly, in the in-home context it appears
clear that even without an arrest other circumstances can give rise to
equally reasonable suspicion of equally serious risk of danger of
officers being ambushed by a hidden person as would be the case were
there an arrest. n4
n4 Knowles v. Iowa, 525 U.S. 113, 119 S. Ct. 484, 142 L. Ed. 2d 492
(1998), relied on by Gould, does not point in a contrary direction.
There the Court held that a routine traffic stop of an automobile for
speeding, for which no arrest was made and only a citation was
issued-where there was no reasonable suspicion of danger-"does not by
itself justify . . . a full field-type search" of the car, even though
"a full search of the passenger compartment" would be authorized
"pursuant to a custodial arrest." Id. at 488 (emphasis added). There
the Court expressly recognized that with reasonable suspicion of danger
the officer could conduct a "patdown" both of any occupant of the
vehicle and "of the [vehicle's] passenger compart" under Terry and
Long. Id. All Knowles says is that while arrest alone may often be
enough to give rise to meaningful concern for officer safety (or
destruction of evidence), in the absence of arrest there must be some
other circumstances giving rise to reasonable suspicion of danger.
[*17]
Several decisions of other circuits have upheld an in-home Buie
protective sweep even though not incident to an arrest. In United
States v. Patrick, 294 U.S. App. D.C. 393, 959 F.2d 991 (D.C. Cir.
1992), the D.C. Circuit dealt, as we do here, with a consent entry case
and upheld the protective sweep of a bedroom in the apartment which the
party authorizing entry (the court assumed arguendo) had no right to
authorize search of, even though the sweep was not incident to an
arrest. The court stated:
"We first note that, even if Smith could not have consented to the
search of Patrick's bedroom, he could, as lessee of the apartment,
unquestionably give the police authority to search the rest of it. Once
the police were lawfully on the premises, they were authorized to
conduct a protective sweep based on their reasonable belief that one of
its inhabitants was trafficking in narcotics. . . . We think the
holding in Buie, notwithstanding the search there was conducted
pursuant to a warrant and not consent, supports the police search here.
Accordingly, the police validly entered the bedroom when they looked
through the open door and saw Patrick inside. [*18] " Id.
at 996-97 (emphasis added).
Similarly, in United States v. Taylor, 248 F.3d 506 (6th Cir. 2001),
another consent entry case, the court likewise upheld a protective
sweep not incident to an arrest, stating:
"Taylor argues that a protective sweep is authorized only when it is
made incident to a lawful arrest. Therefore, he contends, because Hill
had not been arrested when the officers made their cursory search of
Taylor's apartment, the sweep was per se invalid. In contrast, the
government argues that while Buie and Biggs [United States v. Biggs, 70
F.3d 913 (6th Cir. 1995)]were each decided in the factual context of
officers making an arrest, nothing in those opinions indicates that an
arrest is a mandatory prerequisite for conducting a protective sweep of
the area. The government further points out that the Buie decision was
based upon the reasoning set forth in the Supreme Court's earlier
decisions in Terry and Long, both of which were investigative stop
cases.
We believe the government presents the more compelling argument." Id.
at 513.
In United States v. Garcia, 997 F.2d 1273 (9th Cir. 1993), [*19]
the court similarly upheld a protective sweep in a consent entry case
where no arrest was made until after the sweep discovered guns in plain
view. n5
n5 Another consent entry case with a similar result is U.S. v.
Koubriti, 199 F. Supp. 2d 656 (E.D. Mich. 2002).
Also noteworthy is United States v. Daoust, 916 F.2d 757 (1st Cir.
1990), an opinion by then Judge (now Justice) Breyer. There the
officers, looking through a window into the kitchen of a home, observed
a particularly described pistol hanging over the kitchen sink. They
then procured a search warrant to search for that particular pistol.
Armed with that warrant, they went into the house, but did not confine
themselves to going to the kitchen where they knew the gun described in
the warrant was, but rather conducted a protective sweep of all the
rooms in the house, discovering in those other rooms other weapons (not
covered by the warrant) in plain view. There was no arrest or attempted
arrest. The First Circuit held that [*20] nevertheless the
protective sweep was justified under Buie.
The cases in which the courts have indicated that protective sweeps
must always be incident to arrest, are mostly ones involving situations
where the entry into the house was itself illegal. n6
n6 In U.S. v. Davis, 290 F.3d 1239 (10th Cir. 2002), there was an
illegal, warrantless entry into the house, which the court held was not
justified by exigent circumstances. The constitutionality of the
protective sweep is addressed only in a brief footnote, n.4 at 1242-43,
where it is rejected because there was no arrest, quoting the first
sentence of Buie, and also apparently because it was not narrowly
confined to a cursory visual inspection of places where a person might
be hiding, as required by Buie.
U.S. v. Reid, 226 F.3d 1020 (9th Cir. 2000), was likewise an illegal
entry case, the court holding that the consent to entry had been
coerced and that there were no exigent circumstances. The court went on
to observe that protective sweep did not apply because there was no
arrest and no facts demonstrated that a reasonably prudent officer
would have believed that the apartment harbored an individual posing a
danger to the officers. Id. at 1027. This was a split decision, and
does not cite the Garcia case in which the Ninth Circuit had held that
a protective sweep need not be incident to an arrest.
Gould also cites U.S. v. Johnson, 170 F.3d 708 (7th Cir. 1999). That
case involved a pat-down search and detention of a person after he had
stepped out of the apartment, there was no entry into the apartment,
and "no one had consented to a police entry." Id. at 719. The police
did not have a warrant and there was "no reason to believe that Johnson
[who was patted down] was carrying a weapon or any kind of illegal
substances at the moment he emerged from the apartment, and Johnson
himself took no action himself to make them fearful for anyone's
safety." Id. at 714. Because the detention and pat-down of Johnson was
without reasonable suspicion, it was held invalid. Id. at 720. There
were three opinions, including a dissent by Judge Easterbrook and a
special concurrence by Judge Evans. While the opinion of Judge Wood
does contain some references to Buie, and the fact that the pat-down of
Johnson was neither incident to an arrest nor a cursory visual
inspection of those places in which a person might be hiding, id. at
716, the issues and factual context of Johnson make it completely
inapposite here.
[*21]
Having held that an in-home protective sweep is not necessarily or per
se invalid, regardless of other circumstances, merely because it is not
incident to an arrest, we accordingly disapprove of the language to the
contrary in Wilson. n7 We note, however, our agreement with Wilson's
ultimate determination that the challenged search of the wastebasket
and seizure of the checkbook in it could not be justified as a
protective sweep. In the first place, there was no evidence in Wilson
indicating any danger was posed; Wilson was suspected only of stealing
from the mail and nothing suggested he (or anyone else present) was
dangerous or violent or anything of the kind. In the second place, as
Wilson itself properly observes, "the seizure of the checkbook from the
wastebasket was not within the narrow ambit of a 'cursory visual
inspection' of a place where a person could be hiding." Wilson at 1306
(citing Buie, 110 S. Ct. at 1099). n8
n7 We observe that in Wilson the panel either did not cite or did not
have available to it the opinions in Patrick, Taylor, Garcia and
Daoust. Essentially, Wilson simply assumed that Buie always requires
that the sweep be incident to arrest. [*22]
n8 Wilson also correctly states that the plain view doctrine did not
apply, because the checkbook was not in plain view in the bathroom and
because the only thing incriminating about the checkbook was the names
on the checks, and they were not visible because of the checkbook
cover; the incriminating character of the evidence was not immediately
apparent. Id. at 1306.
Thus, in the present case the district court erred as a matter of law
in holding, in its understandable reliance on the language in Wilson,
that a protective sweep could never be valid, regardless of other
circumstances, unless incident to an arrest, and on that sole basis
granting the motion to suppress.
II. OTHER PROTECTIVE SWEEP REQUIREMENTS
We now turn to the other requirements for a valid in-home protective
sweep and their applicability here.
A. Other requirements generally
First, it is at least implicit in Buie that although the protective
sweep may extend to areas of the home where the police otherwise (i.e.,
apart from the protective sweep doctrine) then have no right to go,
nevertheless when [*23] undertaken from within the home, the
police must not have entered (or remained in) the home illegally and
their presence within it must be for a legitimate law enforcement
purpose. n9
n9 Normally, absent a warrant the police may not enter a home except
with consent or in "exigent circumstances." See, e.g., Payton, at 1378;
Mincey v. Arizona, 437 U.S. 385, 98 S. Ct. 2408, 2413, 57 L. Ed. 2d 290
(1978); U.S. v. Jones, 239 F.3d 716, 719-20 (5th Cir. 2001); U.S. v.
Howard, 106 F.3d 70, 73-75 (5th Cir. 1997); U.S. v. Rodea, 102 F.3d
1401, 1404-05, 1408-09 (5th Cir. 1996); U.S. v. Rico, 51 F.3d 495,
500-01 (5th Cir. 1995). Whether (or if so to what extent and under what
conditions) the doctrine of "protective sweep" authorizes a
warrantless, non-consensual entry into a home that would not be
authorized under the more general doctrine of "exigent circumstances"
is unclear. See, e.g., U.S. v. Wilson, 306 F.3d 231, 238-39 (5th Cir.
2001); U.S. v. Watson, 273 F.3d 599, 602-03 (5th Cir. 2001); U.S. v.
Merritt, 882 F.2d 916, 921 (5th Cir. 1989); Kirkpatrick v. Butler, 870
F.2d 276, 281-83 (5th Cir. 1989). We do not address that question here
since under the district court's adequately supported findings the
officers' entry into the mobile home was legal as pursuant to valid
consent.
[*24]
Further, the protective sweep must be supported "by a reasonable,
articulable suspicion", Buie at 1099, "that the area to be swept
harbors an individual posing a danger to" those on the scene. Id. at
1100.
Next, the legitimate protective sweep may not be "a full search" but
may be no more than "a cursory inspection of those spaces where a
person may be found." Id. at 1099.
Finally, the sweep is subject to two time limitations. First, it may
"last[] no longer than is necessary to dispel the reasonable suspicion
of danger," id.; and, second, it may last no longer than the police are
justified in remaining on the premises. See id. ("and in any event no
longer than it takes to complete the arrest and depart the premises");
see also id. at 1098 (police permitted "to take reasonable steps to
ensure their safety after, and while making, the arrest").
B. Relevant facts and findings here
1. Introduction
In our review of the district court's suppression order, we observe
that the only witnesses at the suppression hearing were three of the
deputy sheriffs who were present on the scene, who were called by the
Government, and Cabral, the sole defense witness. [*25] The
district court explicitly credited the testimony of the deputies and
refused to credit Cabral's. n10
n10 The district court stated "this court finds that the detectives'
version of the events of October 17, 2000 is more credible" and "the
consistent testimony of these detectives who were sequestered during
the evidentiary hearing is more credible than the testimony of the
defendant's friend and partner [Cabral], who was allegedly involved in
the murder plot and who has been convicted of several crimes."
2. Officers were legally within the mobile home
The testimony of the officers was to the effect that Cabral met them at
the entrance to the mobile home, that they told him they were looking
for Gould and wanted to speak to him. Cabral said that Gould was in his
bedroom, indicating where it was, was probably asleep, and that they
were welcome to come in and check it out. The officers entered, walked
toward Gould's bedroom, noticed the door was open but did not see
Gould, so conducted a brief protective [*26] sweep of the bedroom
and its two closets, in one of which the guns were observed in plain
view. n11 The district court found that "Cabral consented to the entry
of the detectives into the trailer to search for the defendant" and
that "the detectives were reasonable in believing that Mr. Cabral was
authorized to consent to the search." However, the court found that
"because there was no indication that Mr. Cabral lived in the master
bedroom, he had no apparent authority to consent to a search of the
master bedroom." We conclude that the only reasonable construction of
the credited testimony is not only that Cabral consented to the
officers' entry into the mobile home to look for Gould but also that
this consent, at least by the clearest implication, extended to the
master bedroom. This is so because, although the officers did not
specifically and separately mention the bedroom in asking to come in,
they did state they wanted to talk to Gould and asked if they could
come in to see if he was there, and Cabral responded that Gould was
likely asleep in his bedroom, pointing to it, and stating "you are more
than welcome to come in and check it out." Cabral, however, lacked any
authority, [*27] actual or apparent, to consent to a search
of the master bedroom (although he had at least apparent authority to
otherwise consent to a search of the mobile home), and for that reason
the search of the master bedroom had to be justified as a protective
sweep, just as did the search of the basement in Buie. The district
court declined to justify the search of the bedroom on that basis
solely because the sweep was not incident to an arrest.
n11 For example, Deputy Ard testified:
"Q. And you spoke to Mr. Cabral and told him why y'all wanted to be
there?
A. Yes, sir.
Q. Okay. As I understand it, he said that Gould was in his bedroom?
A. Right.
Q. Did he say it's okay to go search Kelly Gould's bedroom?
A. He said, he's in his bedroom. You are more than welcome to come in
and check it out.
Q. All right. But he specifically talked about being in his bedroom,
right? He wasn't in Dennis Cabral's bedroom?
A. No. He said, his bedroom - if you looking at the trailer, he's to
the left. He said, his bedroom is in the back. He's in there, and he's
probably asleep."
Deputy Brown gave similar testimony, viz:
"A. . . . We asked him [Cabral] if Kelly Gould was home, and he said,
yes, he is. I believe he's asleep in his bedroom, and he pointed toward
the north end of the trailer where the only bedroom is on that side of
the trailer.
We asked him for permission to come inside the residence to see if
Kelly Gould was in the trailer. We wanted to speak with him. We did not
have any intentions of arresting him at that time. We just simply
wanted to talk to him about the incidents that we've talked about so
far. He said, sure. No problem. Come in."
. . .
"Q. Did you in fact enter the trailer at the invitation of Mr. Cabral?
A. Yes, we did."
. . .
"When we entered, we immediately went to the left to the direction
where Dennis Cabral had pointed to the bedroom, went toward the bedroom
door, which is the only bedroom on that end of the trailer.
When we got to the bedroom, the door of the bedroom was open; so
looking for him strictly for officer safety reasons, due to the
allegations of wanting to kill police officers, and judges, and those -
also the incident that occurred in the courtroom or the Judge's office
earlier that day, officer safety was, you know, a predominate issue in
our mind. So we entered his bedroom, which the door was open. We looked
on the floor. We looked in a closet area to the right of the bed, any
place that he could physically hide his body. There was a closet to the
left. The closet door was partially open, but not good enough for me to
see inside for a person. I opened the door up, looked briefly to see if
he was there, never entering the closet itself, and standing in the
corner was three weapons, three rifles."
. . .
"Q. Okay. So, did you ask him [Cabral] if Kelly Gould was there?
A. Yes, I did.
Q. Okay. And he told you, he's in the back?
A. He told me that he was in his bedroom. He believed him to be asleep.
He pointed in the direction to his right, which would have been to my
left."
. . .
"Q. Okay. So the only information he gave you was that Kelly Gould was
there? He didn't invite you to come in?
A. That is not correct. He did let us come in when we asked him, do you
mind if we come in and see if he's there.
Q. Uh-huh.
A. He said, sure. Come in. No problem. And we entered.
Q. All right. And he pointed to the back bedroom where Kelly Gould was?
A. He pointed to the back bedroom that he identified as Kelly Gould's
bedroom.
Q. Did you ask permission to go in that bedroom?
A. No, sir.
Q. You didn't? All right.
A. But when I approached the bedroom, Kelly Gould's bedroom, the door
was open.
Q. The door of the bedroom was open?
A. That is correct.
Q. You were able to look into the bedroom and look around?
A. Yes.
Q. You went into the bedroom?
A. Yes, I did.
Q. Okay. Did you look under the bed?
A. I looked for any place that I thought a human person could be hiding
possibly."
[*28]
We recognize that protective sweeps following a consent entry may in
certain circumstances pose Fourth Amendment concerns not present in
cases where the initial entry is pursuant to a warrant. For example,
concerns might arise respecting a consent to entry requested for a
stated common purpose but actually intended not for that purpose but
rather for the purpose of gaining access in order to then make a
protective sweep of the entire home for unrelated reasons and thus
circumvent the warrant requirement. Concerns of a similar character
might also arguably arise where the consent to entry is given expressly
or implicitly only as to a limited area but the protective sweep
extends clearly beyond that area without anything having developed
since entry suggestive of greater or more imminent danger than that
initially apparent just prior to entry. We do not purport to now
ultimately resolve hypothetical cases of those varieties, for the
mentioned kinds of concerns are not meaningfully implicated here. The
credited evidence does not show and the district court did not find
that the officers sought entry for any purpose other than what they
stated to Cabral, namely to see if Gould was [*29] there and to
talk to him, and Cabral, knowing that purpose, consented to the entry.
Moreover, the consent which he purported to give was not either
expressly or implicitly limited, but rather, by the clearest
implication, extended to the master bedroom. Finally, after the
officers entered the mobile home and proceeded down the hall towards
the master bedroom and approached, but before they arrived at, its
entrance, they observed that the bedroom's door was open; Gould was not
in his bed asleep, as Cabral had just represented, nor was Gould
otherwise visible, so the danger and imminence of ambush then
dramatically increased, justifying the few seconds "sweep" looking
under the bed and opening the two bedroom closet doors.
We decline to adopt any across-the-board rule that a protective sweep
can never be valid where the initial entry to the home is pursuant to
consent, even where the consent does not of itself legally authorize
the entry into the area swept. Any such rule either would require
officers to forego any and all consent entries or would prevent them,
once having so entered, from taking reasonable, minimally intrusive,
means for self-protection when reasonable suspicion [*30] of the
danger of ambush arises. Applying the general reasonableness standard
of Buie and Knights we hold that the Fourth Amendment imposes no such
Hobson's choice. We note that a "knock and talk" police investigatory
practice has clearly been recognized as legitimate. See, e.g., United
States v. Jones, 239 F.3d 716, 720 (5th Cir. 2001). Certainly, the
officers were in the mobile home for a legitimate governmental purpose,
namely questioning Gould about the information they had received
earlier that day, in two telephone calls from Gould's employee (or
co-worker) Forehand, an individual otherwise unknown to them, that
Gould, known to be a person prone to violence, was planning to kill two
local judges. As the district court recognized, "the officers had a
legitimate governmental interest in questioning the defendant about the
information they had received."
In its opinion denying the Government's motion for reconsideration, the
district court faulted the officers on the basis that "the officers
could have approached the defendant as he left his mobile home one day,
or they could have followed him in any other public place, without
necessitating the entry into [*31] his residence," and that
accordingly the officers "created the dangerous situation by
approaching and entering the mobile home." Although not explicitly
addressed by the district court this raises the question of the
potential applicability of our cases holding that although exigent
circumstances may justify a warrantless probable cause entry into the
home, they will not do so if "the exigent circumstances were
manufactured by the agents." See, e.g., United States v. Rico, 51 F.3d
495, 502 (5th Cir. 1995). We have indicated that this involves two
levels of inquiry, first whether the officers deliberately created the
exigent circumstances with the bad faith intent to avoid the warrant
requirement, and second, even if they did not do so in bad faith,
whether their actions creating the exigency were sufficiently
unreasonable or improper as to preclude dispensation with the warrant
requirement. Id. (recognizing that in United States v. Socey, 269 U.S.
App. D.C. 453, 846 F.2d 1439, 1449 (D.C. Cir.), cert. denied, 488 U.S.
858, 109 S. Ct. 152, 102 L. Ed. 2d 123 (1988), the D.C. Circuit
rejected going beyond the first level of inquiry). [*32]
Here, there is no finding and no evidence to suggest that the officers
acted with the intent to create an emergency to circumvent the warrant
requirement. n12 We need not and do not here determine whether or to
what extent the second (or "reasonableness") level of inquiry in our
manufactured exigent circumstances cases, which involve situations
where the entry into the home otherwise contravenes the Fourth
Amendment, should be applicable to situations such as the present one
where the entry is pursuant to a valid, non-pretextual consent as above
described. This is because even under that second level of inquiry the
officers' actions here may not be deemed to have been improper. Our
exigent circumstances cases have consistently held in this regard that
"we will not second-guess the judgment of law enforcement officers
where reasonable minds may differ." United States v. Howard, 106 F.3d
70, 76 (5th Cir. 1997); United States v. Rodea, 102 F.3d 1401, 1410
(5th Cir. 1996); Rico at 505. Here there is absolutely no testimony
that the tactics or procedures followed by the officers were
unreasonable or contrary to standard or good law [*33]
enforcement practices (or to the policies or practices of their
jurisdictions). There is no evidence that the officers ever observed
Gould away from his home so that they could have followed him and
approached him in a public place, or that they had any idea of where he
might be other than the mobile home. The information that the officers
received on the evening of October 17 was that Gould, known as a
dangerous and violent person, was planning to kill two particular local
judges. Clearly, reasonable officers could conclude that the
appropriate course of conduct was to go directly to the mobile home,
which is where Forehand told them Gould was, rather than wait until
"one day", which might well be a day after someone was killed. n13
n12 Had the officers acted with such improper motive or intent, we
assume such would have invalidated the sweep.
n13 In its original opinion the district court found that "the
detectives would not have arrested the defendant if they had not found
the firearms in the closet, because they would have had no probable
cause that he had committed a crime" (emphasis added). This was
doubtless based on, among other things, the testimony of Officer Brown
who stated that prior to seeing the guns in the closet "I had no
knowledge there was weapons in the house." However, in its opinion
denying the Government's motion for reconsideration, the court states,
without referring to its initial opinion, that
". . . the officers could have obtained a valid search warrant based on
the information provided to them by Mr. Forehand. Mr. Forehand informed
the officers that, while at the mobile home one day, the defendant had
retrieved a twenty-two caliber rifle, equipped with a scope, from his
bedroom and showed it to him. Mr. Forehand also reported that Gould
described additional weapons that he owned. (See Affidavit of Officer
Leonardo Moore, East Baton Rouge Sheriff's Office, p. 3). With this
information and the officers' knowledge that the defendant was a
convicted felon, the officers should have obtained a search warrant for
the mobile home . . . ."
The only cited support is the referenced affidavit of Moore, which is
dated July 25, 2001, and is attached to the original criminal complaint
in this case. As the Government has consistently pointed out, while the
Moore affidavit does state that Forehand so advised the officers, it is
clear from the affidavit itself, as well as from the record as a whole,
that he did so only on being questioned by the officers at the trailer
after Gould's arrest. On this appeal, Gould has consistently recognized
that that is the case, and has indeed emphasized that the officers did
not have probable cause to arrest Gould until they saw the guns in the
closet. Thus, in oral argument to the panel Gould's counsel asserted
that before looking into the closet "they [the officers] had no
information as the Government pointed out that he had a gun" and "they
[the officers] didn't know about the guns." Similarly, at oral argument
to the en banc court Gould's counsel stated "keep in mind, these folks
[the officers ] had no probable cause. They didn't even know there were
guns in the house." Accordingly, we disregard the district court's
search warrant finding as it is clearly based on a misapprehension of
the evidence. We need not and do not determine what the legal effect of
this finding would have been.
[*34]
We conclude that the officers were legally within the mobile home for a
legitimate governmental purpose when the protective sweep was
undertaken.
3. The officers had reasonable suspicion of danger
When the open bedroom door revealed that Gould was not in bed, as had
just previously been represented to the officers, or otherwise visible
to them, a reasonable basis for suspicion arose that Gould, whom they
had been informed was prone to violence and was plotting to kill two
judges, might be hiding in the room and posing an imminent danger to
the officers. Gould has not challenged this, and the district court
found that the officers "needed to locate the defendant for their own
safety, so they could make sure he did not launch a surprise attack
from a hidden location" and that the bedroom sweep lasted "no longer
than . . . necessary to dispel the reasonable suspicion of danger."
This element of a legitimate protective sweep is clearly satisfied.
Judge Smith's dissent asserts that the district court's conclusion that
the officers were justified in viewing Gould as a threat to their
safety is based on the court's concededly erroneous statement in its
opinion on reconsideration [*35] that Forehand had told the
officers in his call earlier that day that Gould had firearms at the
trailer, so the officers, knowing Gould was a convicted felon, could,
and hence should, have first procured an arrest warrant. Judge Smith
then asserts that because the officers lacked such knowledge (in its
initial opinion, the district court found that the officers lacked
probable cause to arrest Gould until they saw the firearms in the
bedroom closet, see note 13, supra) they had no legitimate safety
concern justifying the protective sweep when they saw Gould was not in
his bed. Judge Smith's reasoning in this respect basically confuses
probable cause with reasonable suspicion. In Buie the Supreme Court
expressly rejected the Maryland Court of Appeals' holding that a
protective sweep required "probable cause to believe" there was "'a
serious and demonstrable potentiality for danger,'" id. at 1096, and
went on to hold that the reasonable suspicion standard of Terry and
Long governed. Here there is no evidence that the officers had been
specifically told that Gould had weapons at the trailer. On the other
hand, the credited - indeed the undisputed - testimony is that
[*36] the officers had been told by Forehand that Gould "had
planned to go on a killing spree killing judges, police officers, and
minority groups . . . and that he was going to go to some type of place
after he did these incidents and hide from the police, and those kinds
of things, and snipe anybody out that tried to come in and take him
into custody." n14 That a person is planning to go on such a wide
killing spree - and thereafter "snipe" at those who might try to take
him into custody - certainly suggests that that person has, at the
least, ready access to lethal weapons. n15 As a matter of law, the
credited testimony establishes that the officers had the requisite
reasonable suspicion of enhanced danger when they, at night on Gould's
turf, saw that Gould was not in his bed asleep, as Cabral had just told
them he was. n16
n14 The officers also knew Gould had several arrests and at least one
felony conviction for a crime of violence and was known for violent
behavior.
n15 Nothing in the record intimates that the officers had any
information even suggesting that Gould did not have or have ready
access to a firearm or firearms or other lethal weapons. [*37]
n16 Where the relevant historic facts are undisputed (or are
established by adequately supported district court findings) whether or
not there is reasonable suspicion is a question of law. See, e.g.,
Blackwell v. Barton, 34 F.3d 298, 305 (5th Cir. 1994); United States v.
McSween, 53 F.3d 684, 687 n.5 (5th Cir. 1995); 5 LaFave, Search and
Seizure (3d Ed.) § 11.7(c) at 406-07 (". . . the clearly
erroneous standard is applied to severable underlying facts while the
de novo standard is applied to the ultimate question whether those
facts add up to reasonable suspicion"). Moreover, it is clear that the
district court never found there was not the requisite reasonable
suspicion. On the contrary, it described its holding as follows: "this
court noted the defendant's violent past, and did not dispute that the
officers were justified in viewing the defendant as a violent and
potentially dangerous individual . . . the officers' search of the
bedroom did not exceed the acceptable scope of a protective sweep,
which . . . lasts no longer than is necessary to dispel the reasonable
suspicion of danger." (emphasis added).
[*38]
4. The sweep was properly limited in scope and duration
The district court found that "the officers' search of the master
bedroom did not exceed the acceptable scope of a protective sweep,
which extends only to a cursory inspection of those spaces where a
person may be found, and lasts no longer than is necessary to dispel
the reasonable suspicion of danger." The credited evidence clearly
supports these findings and satisfies those elements of a legitimate
protective sweep.
If the fact that Gould was not in his bed or otherwise visible in the
bedroom can be taken as signifying a refusal on his part to talk to the
officers and in that sense a termination of their consent to be in the
mobile home for that purpose, n17 nevertheless that does not mean that
the officers could not conduct the sweep. They did not have to go back
out of the mobile home without taking some brief, minimally intrusive
steps to protect themselves against ambush as they were on the way out.
In Buie effectuating arrest was the only justification for being in the
home, but the sweep of the basement was not commenced until Buie was
already arrested, searched and handcuffed on the first floor.
[*39] Buie at 1095. The court made clear that the sweep authority
extended until the officers not only complete the arrest but also
"depart the premises," id. at 1099, and that the officers were
permitted "to take reasonable steps to ensure their safety after, and
while making, the arrest." Id. at 1098 (emphasis added). Indeed, here,
just as the brief sweep of the bedroom was completed the officers heard
someone yell that Gould had departed the mobile home through a back
door, and they "immediately" likewise departed the bedroom and went
outside looking for Gould. n18
n17 And it is not clearly evident that that is so. There was certainly
reasonable suspicion that Gould was hiding under the bed or in the
closets, but such suspicion does not exclude the reasonable possibility
that he had innocently stepped outside without intending to avoid the
officers. Reasonable suspicion is just that, it is not probable cause
or a more likely than not standard, and it does not exclude other
reasonable possibilities.
n18 Officer Brown testified:
"After I determined immediately that he wasn't in the room, I started
to exit the bedroom, and at that time somebody in - and I don't
remember who it was at this time - yelled, I think he just ran out of
the back door, which is nearby, near the bedroom area. So I looked and,
sure enough, the back door was wide open. So immediately I jumped out
the back door looking to see if I could get a visual on him to try to
locate him."
[*40]
The challenged protective sweep was properly limited in scope and
duration.
Conclusion
We hold that a protective sweep as authorized by Buie need not always
be incident to an arrest. The district court erred in holding
otherwise. Applying the standards and limitations articulated in Buie
and the general reasonableness criteria of the Fourth Amendment, we
conclude that the protective sweep here was valid. The district court's
suppression order is accordingly
REVERSED.
CONCURBY: E. GRADY JOLLY (In Part)
DISSENTBY: E. GRADY JOLLY (In Part); JERRY E. SMITH; DeMoss
DISSENT: E. GRADY JOLLY, Circuit Judge, concurring in part and
dissenting in part:
I agree that a protective sweep need not be conducted incident to
arrest to be valid under the Fourth Amendment. The constitutionality of
such searches must be assessed under a standard of general
reasonableness, in consideration of the factors discussed by the
majority.
I also agree that the "knock and talk" is usually a legitimate law
enforcement tool, and that the officers in this case were legally in
Gould's home based on Cabral's consent.
Under the totality of the circumstances, however, it was unreasonable
for the police to enter [*41] Gould's bedroom and search his
closets, essentially for the reasons discussed by Judge Smith. It seems
to me that if the door to the bedroom had been closed -- or even if
Gould had been in the room -- the search could have been justified by
the majority on basically the same grounds (risk of ambush, etc.) it
has used to justify the search of an open room in the absence of the
subject.
I therefore would affirm the suppression of the evidence.
JERRY E. SMITH, Circuit Judge, dissenting:
I respectfully dissent from the majority's result and from much of its
analysis, largely on the basis ably expressed by Judge DeMoss in
dissent. I agree, however, with the majority's conclusion that United
States v. Wilson, 36 F.3d 1298 (5th Cir. 1994), is in error and must be
overruled.
Maryland v. Buie, 494 U.S. 325, 108 L. Ed. 2d 276, 110 S. Ct. 1093
(1990), is no exception to the longstanding view that "the touchstone
of the Fourth Amendment is reasonableness, and the reasonableness of a
search is determined 'by assessing, on the one hand, the degree to
which it intrudes upon an individual's privacy and, on the other, the
degree to which it is needed for the promotion of legitimate
[*42] governmental interests.'" United States v. Knights, 534
U.S. 112, 118-19, 151 L. Ed. 2d 497, 122 S. Ct. 587 (2001) (quoting
Wyoming v. Houghton, 526 U.S. 295, 300, 143 L. Ed. 2d 408, 119 S. Ct.
1297 (1999)). Buie established that a search very much like the present
one was reason able; that conclusion alone is an insufficient basis for
deciding (as the panel in this case was precedent-bound to do) that the
present search is presumptively invalid, no matter how reasonable.
The majority correctly identifies a number of the factors that are
important to assessing the reasonableness of the officers' decision to
conduct a protective sweep. Some--such as the requirement that the
search be performed for the safety of the officers; the necessity of
having articulable facts from which an officer reasonably could
apprehend danger; the importance of limiting the search to a cursory
visual inspection of those places that could hide a person; and the cap
on the duration of the search--come directly from Buie, 494 U.S. at
333-36. Others--such as the legitimacy of the officers' presence and
purpose on the scene; the validity and scope of their consent to enter
the home; the [*43] requirement that facts justify the sweep
arise after officers obtain consent to enter for a conversation; and
the potentially pernicious effect of allowing officers to themselves
create the justification for a sweep--are reasonable and insightful
attempts to compensate for the critical distinction between this case
and Buie: the absence of an arrest or arrest warrant. n19
n19 See slip op. at 24-25 (legitimacy of purpose); id. at 23-24
(validity and scope of consent); id. at 23 (concern that sweeps will be
attempted after obtaining consent but before new facts indicate a
heightened danger); id. at 25-27 (potential that sweep would be
improper if officers unnecessarily created dangerous situation).
A faithful application of these principles does not, however, lead to
the conclusion that the protective sweep was reasonable. At best, it
seems we are ill-equipped to reach that conclusion, relying as we must
on nothing more than a paper record compiled under the mistaken
impression that the reasonableness [*44] of the search was wholly
irrelevant to its constitutionality. This matter should be remanded so
that the rule that the majority properly crafts can be applied in a
hearing convened for the purpose of elucidating those facts that bear
directly on the reasonableness of the sweep. Solely on the basis of the
scant record now on appeal, the sweep was unreasonable, so the order
granting the motion to suppress should be affirmed. Although I agree
with most of the persuasive critiques found in Judge DeMoss's forceful
dissent, and although I share his concern that there is no such thing
as valid consent where the consenting party has no idea that the
officers will then be entitled to conduct a search, I write separately
to focus on one particularly serious flaw in the majority's analysis.
I start with a point also made by Judge DeMoss: The majority puffs this
court's assessment of the "knock and talk" strategy, taking what was
once "not inherently unreasonable," United States v. Jones, 239 F.3d
716, 720 (5th Cir. 2001), and making it something that has "clearly
been recognized as legitimate." Slip op. at 25 (citing only Jones as
authority). That is quite a transformation [*45] in only three
years' time.
I doubt even the majority would contend that this now "clearly . . .
legitimate" tactic, which consists primarily of approaching a suspect
at his home to seek his voluntary cooperation in an investigation,
presents the compelling sort of interest found in the officers' duty to
execute an arrest warrant. Officers use "knock and talk" encounters as
just one of the many available investigative tools, and they do so
hoping that they will be able to determine whether there even exists
the probable cause that is necessary to obtain an arrest or search
warrant.
In seeking the proper balance between privacy and the promotion of
legitimate governmental interests, Houghton, 526 U.S. at 300, it may
well be that our decisions "mean that the police use a tactic like
'knock and talk' somewhat less frequently, but that may be the price of
compliance with the Fourth Amendment." United States v. Johnson, 170
F.3d 708, 718 (7th Cir. 1999). There are other lawful ways for police
to pursue their investigation without testing the limits of the Fourth
Amendment, including--as the district court found--by returning another
day when Gould was [*46] present and amenable to speaking with
them.
I make this point only to highlight a significant principle that the
majority opinion recognizes but fails to invoke: However high the
government's interest in protecting its officers, there must be some
other legitimate purpose for which officers secure themselves. See slip
op. at 25. A search that does nothing more than allow the officers
safely to remain in a place where they have no reason or right to be
will, of necessity, be unreasonable in all but the rarest of
circumstances. The majority's assessment that the police have a
legitimate interest in pursuing "knock and talk" encounters suffices to
create a justification for the officers' presence in Gould's trailer,
and it plays a large role in the eventual conclusion that this search
was reasonable in light of all the circumstances.
Yet, even assuming the majority correctly assesses the legitimacy of
the "knock and talk" technique, a reasonable officer would have known,
before entering Gould's bedroom, that the original purpose of the
encounter would not be realized that day. At best, from the officers'
perspective, Gould was not home and was unable to discuss the
allegations made [*47] against him. At worst, he was hiding and
did not wish to speak with them. n20
n20 The fact that Gould was found hiding in the woods, wearing only his
boxer shorts, adequately attests to the fact that the latter of these
two possibilities was the more realistic that day.
As Judge DeMoss rightfully recognizes, slip op. at 7-8 (DeMoss, J.,
dissenting), the majority glosses over this error by assessing the
legitimacy of the officers' purpose and the reasonableness of their
fear at two different points in time. Slip op. at 25, 28-29. It is true
that at one point, the officers were in the mobile home with a valid
purpose: to discuss with Gould the serious allegations against him. It
is equally true that the officers were, at another point, in the
bedroom with a legitimate fear: that Gould was hiding in a closet and
posed a threat to their safety. But there is no consanguinity between
these points. The legitimate purpose of the encounter had all but
evaporated by the time the majority concludes the officers possessed
[*48] a valid fear.
The officers had no reason to enter Gould's bedroom if Gould was not
therein, voluntarily cooperating. An empty room serves no investigative
purpose where the entire focus of the investigation is on having a
conversation. This fact is illustrated by the action taken by the
officers as soon as the room was secure: They left it. Inasmuch as the
sweep served no purpose other than to secure a room in which the
officers had nothing to do, it was unreasonable and in violation of the
Fourth Amendment.
The majority has a rejoinder to that argument: Regardless of whether
the officers should have known that their quest for a "knock and talk"
encounter had been rendered fruitless, they nonetheless possessed a
compelling interest in securing the mobile home so they could safely
depart from it. Slip op. at 29-30. I agree that this is one of two
articulated justifications for the sweep in Buie, n21 and, if supported
by the record, conceivably could serve to make the sweep reasonable as
well. The record, however, flatly refutes that view. Moreover, the
majority's assertion to the contrary is based in large part on a
factual finding that it previously overturns as being clearly
[*49] erroneous.
n21 See Buie, 494 U.S. at 335-36 ("The sweep lasts no longer than is
necessary to dispel the reasonable suspicion of danger and in any event
no longer than it takes to complete the arrest and depart the
premises.").
There is no dispute that Cabral lacked even the apparent authority to
consent to the entry into Gould's bedroom. Slip op. at 22-23. As a
result, the sweep must be justified on the basis of the threats facing
the officers at the instant before they entered that room. Id. That is
to say, once the officers observed that Gould was not in his bedroom
(which they could not enter without his consent, nor had an
investigative reason to enter without his presence), their decision to
enter and conduct a sweep is reasonable only if they would have faced a
greater danger by not entering. The majority appears to conclude that
it was not only safer, but obviously so, for the police to enter the
room that potentially housed a danger, than it was to retreat the few
feet toward the [*50] doorway they had used only an instant
before.
We are not faced here with Daedalus's Labyrith or the Minotaur lurking
somewhere inside. The officers--one of whom already had his gun
drawn--were in a fourteen-by-sixty-foot trailer home, and there is
every indication that they had as plain a view of their path to retreat
as they did of the empty bedroom. n22 The government has not even
argued, in its briefs, that the officers were unable to depart safely.
n22 Here again, the sparse record inhibits the court's ability truly to
assess whether the sweep was a reasonable alternative to a safe
retreat. At en banc oral argument, significant time was devoted to the
question whether this was a single-wide or double-wide trailer home,
and what effect that might have on the officers ability to leave the
scene safely. It is apparent that such questions became relevant only
after the court determined that Wilson was not good law, and there
should be no great surprise in finding that a district court's
memorandum addressing an entirely different question provides poor
fodder on which to graze.
[*51]
Instead, the government's posture throughout this case is that there
was no need to flee, because the officers still were conducting a valid
"knock and talk" investigation. As I have shown, and as the majority
tacitly concedes, slip op. at 29, that claim is in consistent with the
scope of the "knock and talk" technique, which has, as its central
premise, the presence of a voluntarily cooperating witness. To
compensate for the absence of any investigative purpose to the sweep,
the majority instead has adopted the notion that there was a greater
danger in retreating than there was in sweeping, a claim not supported
by the district court's findings of fact, to which we ordinarily should
defer.
As the majority correctly observes, the officers knew Gould had a
violent past and was alleged to have been making threats against
government officials. But all those facts were known to the officers
before they decided even to enter the house. If that alone placed them
in an unjustified state of danger, that was so as much at the time they
elected to enter the mobile home as when they chose to sweep. If the
majority's new rule is taken to countenance a sweep whenever police
seek voluntary consent [*52] to enter a building that they
already perceive to be intolerably dangerous, Judge DeMoss is surely
correct to assign this investigative technique the new moniker: "knock,
enter, maybe talk, and search." Slip op. at 6 (DeMoss, J., dissenting).
n23
n23 There is no basis for the majority's conclusion, slip op. at 12,
that this situation was inherently dangerous, as the Supreme Court
described the in-home arrest in Buie. In Buie, 494 U.S. at 333, the
Court recognized the danger an officer faces when forced to effect a
confrontational encounter on his "adversary's 'turf.'" Here, although
the majority correctly recognizes that a "knock and talk" encounter
does not include the potentially explosive confrontation of an arrest,
slip op. at 12, it nevertheless concludes that the encounter is
dangerous by virtue of being on the adversary's turf. Id.
This completely mistakes the fact that in a "knock and talk" encounter,
there is no adversary. The whole point is to approach a citizen and
learn something through voluntary cooperation.
[*53]
Apparently, however, this is not the point the majority is attempting
to make, for it unambiguously requires officers to justify the sweep on
the basis of evidence that was discovered after they obtained consent
to enter. Slip op. at 23. Nevertheless, though the majority laudably
imposes this limitation on its new rule, the majority has not
faithfully applied that rule to the present record.
The only fact to which the majority points for its explanation of how
the officers went from the point of being safe enough to enter the room
to the point of being threatened enough to justify a sweep, is the
finding that Gould was not in the bedroom where Cabral said he would
be. The most natural inference to draw from that fact is that Gould was
not home, or that if he was home, he wanted nothing to do with the
officers.
Even assuming the reasonableness of the belief that Gould in stead was
preparing to ambush the officers as they left the scene--something he
chose not to do when they entered the home, and was far more likely to
do when the officers drew nearer in their search for him--that would
pose a threat to the officers only when they were outside the bedroom,
if they also believed [*54] Gould was in possession of a firearm.
This is the unambiguous basis on which the district court determined
that "the officers were justified in viewing the defendants as a danger
to their safety," a statement that immediately follows the paragraph in
which the court states that the officers knew, before they arrived at
the scene, that Gould had a firearm. But the majority cannot possibly
reach the same conclusion, because its opinion also states that the
district court clearly erred when it found that the officers knew about
the weapon! Slip op. at 27 n.13.
As a result, there is no basis in the record for the majority's
contention that it was more dangerous for the officers to leave the
room instead of entering a confined area that they suspected housed a
threat, and start poking around. That is a theory that was manufactured
out of whole cloth at the en banc oral argument.
If the majority genuinely suspects that this might have been the case,
the best it can do is remand so the record can be developed with an eye
to the correct governing legal standard. As the court correctly
determines today, that standard is not just whether the sweep was made
incident to arrest (as Wilson [*55] erroneously led the district
court to believe), but rather whether the sweep was a reasonably
necessary, minimally intrusive means of securing an area in which the
officers needed to perform a task of compelling importance.
The majority recites, then loses sight of, the well-established maxim
that "physical entry of the home is the chief evil against which the
wording of the Fourth Amendment is directed." Payton v. New York, 445
U.S. 573, 585, 63 L. Ed. 2d 639, 100 S. Ct. 1371 (1980). Because the
majority thereby gives insufficient respect to the constraints of the
Fourth Amendment, I respectfully dissent.
DeMoss, Circuit Judge, dissenting, joined by Stewart, Circuit Judge.
Because the majority opinion essentially creates another exception to
the constitutional requirement that nonconsensual warrantless searches
are unreasonable and this newly created exception is overly broad and
unnecessary, I respectfully dissent.
This case presents the difficult issues of: (1) whether the protective
sweep exception defined by the Supreme Court in Maryland v. Buie, 494
U.S. 325, 108 L. Ed. 2d 276, 110 S. Ct. 1093 (1990), is limited to
situations involving the execution of an arrest warrant [*56] as
we held in United States v. Wilson, 36 F.3d 1298 (5th Cir. 1994); and
if not (2) whether the search in this case was reasonable. In
addressing these two issues, I think the majority makes three
significant errors. First, the majority's starting point in its Fourth
Amendment analysis concerning a warrantless search of a home is faulty
and therefore the majority does not fully account for the lack of
consent in this case. Second, the majority's reliance on the so-called
"clearly" legitimate "knock and talk" police investigatory tactic is
misplaced and therefore the majority's holding leads to an end-run
around the Fourth Amendment's protections. Third, the majority has
misconstrued the holding of the Supreme Court in Buie. I will address
these three errors in order.
I.
The Fourth Amendment provides:
The right of the people to be secure in their persons, houses, papers,
and effects, against unreasonable searches and seizures, shall not be
violated, and no Warrants shall issue, but upon probable cause,
supported by Oath or affirmation, and particularly describing the place
to be searched, and the persons or things to be seized.
U.S. Const. [*57] amend. IV. Further, "it is a 'basic
principle of Fourth Amendment law' that searches and seizures inside a
home without a warrant are presumptively unreasonable." Payton v. New
York, 445 U.S. 573, 586, 63 L. Ed. 2d 639, 100 S. Ct. 1371 (1980)
(citing Coolidge v. New Hampshire, 403 U.S. 443, 477-78, 29 L. Ed. 2d
564, 91 S. Ct. 2022 (1971)). Additionally, the "physical entry of the
home is the chief evil against which the wording of the Fourth
Amendment is directed." United States v. United States District Court,
407 U.S. 297, 313, 32 L. Ed. 2d 752, 92 S. Ct. 2125 (1972).
Accordingly, our law dictates that unless some exception applies, the
search at issue in this case, a warrantless nonconsensual search of
Kelly Gould's bedroom in his home, must be found unconstitutional.
The majority is correct that the Supreme Court has outlined a "general
reasonableness approach" that can be applied in Fourth Amendment cases
and which requires balancing the intrusion on the protected interests
against the promotion of legitimate governmental interests. See, e.g.,
United States v. Knights, 534 U.S. 112, 118-19, 151 L. Ed. 2d 497, 122
S. Ct. 587 (2001). This reasonableness inquiry, however, is [*58]
to be conducted within the bedrock legal boundaries outlined above,
i.e., a nonconsensual warrantless search of a home is presumed
unreasonable. Id. at 121 (describing what the Fourth Amendment normally
requires). The inquiry conducted in Knights, that the majority purports
to rely on in this case, is in fact within these legal boundaries
because unlike in this case, the defendant in Knights was on probation
and as a term of his probation had consented in writing to unannounced
searches of his home. Id. at 114. The Supreme Court found the
"probation search condition" a "salient circumstance" and thus both the
intrusion on the defendant's expectation of privacy was less and the
governmental interest was greater, i.e., heightened concerns due to the
fact that probationers are more likely to engage in criminal conduct,
making the search at issue in that case constitutional. Id. at 118.
Therefore, unlike in this case, where there is no probation and no
general consent agreement, the Supreme Court's reasonableness inquiry
in Knights is well within established Fourth Amendment jurisprudence.
Unfortunately, the majority [*59] opinion skips some significant
concerns in this case and does not address the established legal
principles I have already outlined. The majority's inquiry starts by
giving too little credence to Gould's privacy interest and the
intrusion of the officers coming into his house late in the evening to
look for him when they had no factual basis whatsoever for assuming he
would be agreeable to talking to them or that he was even present. When
a search is performed pursuant to consent, the government has the
burden of proving that the individual who gave consent had the
authority to do so and that the search was conducted within the scope
of that consent. United States v. Ibarra, 965 F.2d 1354, 1356 n.2 (5th
Cir. 1992) (en banc). "The standard for measuring the scope of a
suspect's consent under the Fourth Amendment is that of 'objective'
reasonableness--what would the typical reasonable person have
understood by the exchange between the officer and the suspect?"
Florida v. Jimeno, 500 U.S. 248, 251, 114 L. Ed. 2d 297, 111 S. Ct.
1801 (1991). The majority opinion emphasizes that the officers were
legitimately in the home. The record, however, is clear that the
officers did [*60] not have consent to enter Gould's bedroom.
Even resolving all factual disputes and making all credibility
determinations in favor of the government, the testimony at the
suppression hearing indicated that Cabral thought Gould was either in
the backyard working out or in his (Gould's) bedroom. As officers went
back to the bedroom they may have thought Gould was possibly there but
they testified that he did not appear to be present and they understood
that they never had consent to enter the bedroom. The legitimacy of the
officers' presence, if legitimate at all, ended at the threshold to the
bedroom door. n24 The majority seems to wash over this concern by not
fully addressing the issue and instead references the very
distinguishable Knights holding. This case, however, is different than
Knights because here the consent did not extend to the entire
residence. If the majority believes the search was based on consent
then that should be the holding, rather than creating an additional
unnecessary and overly broad exception to the warrant requirement. n25
In summary, because the majority starts from the wrong place, it ends
in the wrong place and hence its Fourth Amendment analysis [*61]
is flawed.
n24 The majority indicates that the protective sweep allowed the
officers to go into an area that they did not have consent to enter,
i.e., the bedroom. Consent is an issue concerning the officers'
legitimacy to be on the premises and where this legitimacy begins and
ends is a significant issue which the majority discusses in a
contradictory fashion. For instance, if the officers had consent, they
certainly exceeded the scope of the consent when they entered the
bedroom. On the other hand, if the protective sweep exception allows
the officers to enter the bedroom then the original consent validating
their presence in the residence certainly did not understand this to be
within the scope of the consent and therefore the consent was invalid
and the officers' presence was not legitimate in the first place. Under
the majority's view there is no way to resolve the issues regarding
consent.
n25 Of course, such a holding would be contrary to the district court's
finding that Cabral did not have authority to consent to the search of
Gould's bedroom and after all, it is Gould's privacy interest that is
at stake in this case.
[*62]
II.
In satisfying its first requirement of this newly created exception to
the protections afforded by the Fourth Amendment, i.e., that the
officers were legally present in the mobile home, the majority relies
on the "knock and talk" police investigatory tactic mentioned in United
States v. Jones, 239 F.3d 716, 720 (5th Cir. 2001). The majority refers
to this practice as being "clearly . . . recognized as legitimate." The
"knock and talk" tactic is hardly well-established law. n26 The Fifth
Circuit case establishing the concept of "knock and talk" merely states
that "this investigative tactic is not inherently unreasonable." Jones,
239 F.3d at 720.
n26 There are two aspects of Jones which make it a very weak decision
upon which to posit a new exception to the Fourth Amendment. First the
gun in Jones was lying in plain view on a kitchen table visible to the
police officer standing outside the screen door of the entrance to the
apartment. Id. at 719. The district court in Jones found that this hand
gun in plain view was an "exigent circumstance," justifying the
officer's entry into the apartment without a warrant. Id. at 720. No
such circumstance exists here in Gould. Secondly, it is noteworthy that
Jones has never been discussed or cited by the Supreme Court. Several
other circuits have cited Jones but only the Sixth Circuit has really
examined the Jones case and indicated some agreement with the Fifth
Circuit's "knock and talk" concept. United States v. Carter, 315 F.3d
651, *4 n.6 (6th Cir. 2003) (vacated for rehearing en banc). This Sixth
Circuit opinion, however, has now been vacated because the case was
heard en banc, but there is presently no subsequent opinion available.
[*63]
Use of the "knock and talk" tactic may be reasonable in some cases,
e.g., police may follow-up on a lead and approach a citizen, seeking
the citizen's cooperation. In this case, however, the officers
conducted an intrusive search of a bedroom with neither consent, nor
search warrant, nor arrest warrant, nor any exigent circumstances. The
majority has created an exception that permits an officer to ask for
permission to enter a home from a third party who may have authority to
consent to only part of the home but not all of the home and then
immediately contend that he, the officer, is so apprehensive about his
own safety that he must conduct a protective sweep of areas where he
has no consent to be, when the officer had no obligation or duty to
enter the home in the first place. This new exception is really a
"knock, enter, maybe talk, and search" police investigatory tactic, all
conducted without a warrant, and resulting in an end-run around the
protections afforded by the Fourth Amendment.
In addition, the majority has not stated why their new exception is
necessary or why we should not find that the officers created a
situation that resulted in a Fourth Amendment violation [*64]
when they in fact had many other permissible ways to pursue their
investigation, i.e., seeking a search warrant based on the informant's
tip. The majority does address the issue of exigent circumstances that
can sometimes make a warrantless search permissible. This search,
however, as the majority agrees, is not based on any exigency. In fact,
as the district court noted the officers "could have approached the
defendant as he left his mobile home one day, or they could have
followed him and approached him in any other public place without
necessitating the entry into his residence." Just as there was no
consent, there was no exigent circumstance to support this search.
Recognizing that the officers cannot create the exigency, we evaluate
the reasonableness of the officers' conduct not at the point of the
search but prior to the point when the encounter escalates making a
search necessary or a foregone conclusion. United States v.
Munoz-Guerra, 788 F.2d 295, 298 (5th Cir. 1986). Therefore, in this
case, the officers' conduct is not evaluated at the point when they are
searching for Gould because according to the government the officers
are concerned that Gould [*65] might ambush them. Instead the
reasonableness of the conduct is evaluated at the point in time when
the officers call for Gould and he does not answer because according to
the officers' testimony he does not appear to be in his room. United
States v. Gould, 326 F.3d 651, 652 (5th Cir. 2003). At that point in
time, it is more reasonable to assume Gould is either not present or if
present does not wish to talk to the officers, than that Gould is about
to unleash some surprise attack on the officers. Likewise, it is
unreasonable for the officers, under no duty to execute an arrest
warrant and not having consent, to go into Gould's bedroom to seek him
out. The officers had no duty to persist, and in fact the officers had
no authority to persist, in their search for Gould.
Of course, the government does not argue that the officers were
searching for Gould wishing to talk to him because such a search is not
within the protective sweep exception. Rather the government argues the
officers were afraid Gould would attack them. This argument is contrary
to the undisputed facts in the record that indicate Gould was at best
avoiding the officers and at worst unaware of the officers [*66]
because he was in the backyard. And although the officers knew of
Gould's violent past, there is nothing in the record to establish that
Gould would be waiting for the officers in order to ambush them.
Because the officers could not obtain the cooperation of Gould or
because Gould actually was not present, the officers' use of the "knock
and talk" tactic, by definition, was unsuccessful and therefore the
officers should have pursued their investigation by other means and not
by an illegal search.
The majority is worried that affirming the district court's decision to
grant the motion to suppress will mean that law officers cannot use the
"knock and talk" tactic if they are apprehensive of being ambushed. But
voluntary engagement with law officers and not an ambush situation is
precisely what the "knock and talk" tactic requires and to define the
tactic as broadly as the majority has is essentially to do away with
the warrant requirement. In other words, in some situations, such as
this case, the "knock and talk" tactic progressed as far as lawful when
Gould was non-responsive or not present. At that point, the officers
should have pursued other means to continue their investigation--that
[*67] is what the Fourth Amendment requires. The majority's
opinion is an unreasonable extension of the "knock and talk" tactic and
does not fully account for the well-established Fourth Amendment
principle that a warrantless nonconsensual search of a home is presumed
unreasonable and in this case there was no exigency and nothing
necessitating the intrusion into Gould's bedroom.
III.
We decided to review en banc the Gould case to determine: (1) whether
the rule established in Wilson that a protective sweep of a home was
limited to an arrest situation, as defined by the Supreme Court in
Buie, was correct; and (2) if the protective sweep exception to the
search warrant requirement is not limited as Wilson and Buie indicate,
whether the warrantless search of Gould's bedroom was reasonable.
The majority characterizes the rule outlined in Wilson as a
"bright-line" rule; Wilson, however, directly follows the precise
language used by the Supreme Court in its definition of the protective
sweep exception in Buie. See Wilson, 36 F.3d at 1305-06. The protective
sweep exception as outlined in Buie requires the following three
elements. [*68] First, the officers must be executing an
arrest warrant in a suspect's home. See generally Buie, 494 U.S. 325,
108 L. Ed. 2d 276, 110 S. Ct. 1093 (mentioning over 65 times the
concept of arrest in a home when defining a protective sweep). Second,
the officers must perceive some danger from another person or persons.
Id. at 332-36 (indicating that not every in-home arrest will justify a
protective sweep and listing several factors that are used to validate
the reasonableness of the perceived danger, such as the nature of the
crime for which the arrest is being executed, the likely presence of
cohorts, and the time and place of arrest). Third, the search may only
be a quick and limited cursory inspection of those places another
person might be hiding. Id. at 335-36. Here, the majority has ignored
the first two elements and only addressed the third. n27
n27 The Supreme Court has never expanded the concept of the protective
sweep from its original limited definition in Buie. In fact, there are
only three Supreme Court cases even citing Buie, none of which include
a discussion of the contours of the protective sweep. See Richards v.
Wisconsin, 520 U.S. 385, 394, 137 L. Ed. 2d 615, 117 S. Ct. 1416
(1997); United States v. James Daniel Good Real Property, 510 U.S. 43,
67, 126 L. Ed. 2d 490, 114 S. Ct. 492 (1993); Horton v. California, 496
U.S. 128, 140, 110 L. Ed. 2d 112, 110 S. Ct. 2301 (1990). The only
slightly relevant citation occurred in Richards where the Supreme Court
addressed the appropriate balance between legitimate law enforcement
concerns at issue in the execution of search warrants and individual
privacy interests affected by no-knock entries. 520 U.S. at 394. The
Richards Court cited Buie for its allowance of "a protective sweep of a
house during an arrest where the officers have 'a reasonable belief
based on specific and articulable facts that the area to be swept
harbors an individual posing a danger to those on the arrest scene.'"
Id. (citing Buie, 494 U.S. at 337) (emphasis added).
[*69]
Of course, there is good reason for the limited definition as outlined
in Buie and tracked by this Court in Wilson. Such a definition avoids
the quagmire that the majority finds itself in after rejecting the
language in Buie and Wilson. The majority is forced to fashion a new
exception with alternative elements that are vague; and as such the new
exception swallows the rule that a warrant is generally required for an
in-home search. After fashioning a new exception the majority is then
forced to apply its vague standards and determine if the search at
issue here was reasonable. Because the district court did not address
the reasonableness of the search, it would seem more appropriate to me
for this Court to remand the case for a more detailed inquiry into the
complicated and extremely fact specific issue of reasonableness. See
Buie, 494 U.S. at 337 (noting that remand was required to determine if
the protective sweep, although conducted in the context of the
execution of an arrest warrant, was based on a reasonably perceived
threat of danger from an additional person and was a limited cursory
inspection as defined by the Supreme Court). Remand to address
[*70] this complicated inquiry, however, would not be necessary
if the holding of Buie is followed.
First, the element that the officers must be executing an arrest
warrant in a home in order to conduct a protective sweep cannot be so
easily disposed of and an alternative substituted for it. As the Buie
court noted:
The risk of danger in the context of an arrest in the home is as great
as, if not greater than, it is in an on-the-street or roadside
investigatory encounter. . . . A protective sweep . . . occurs as an
adjunct to the serious step of taking a person into custody for the
purpose of prosecuting him for a crime. Moreover, unlike an encounter
on the street or along a highway, an in-home arrest puts the officer at
the disadvantage of being on his adversary's "turf."
494 U.S. at 333; see also Knowles v. Iowa, 525 U.S. 113, 117, 142 L.
Ed. 2d 492, 119 S. Ct. 484 (1998) (finding that the danger to the
officers "flows from the fact of the arrest, and its attendant
proximity, stress, and uncertainty"). In place of this element the
majority substitutes the following element: the police presence in the
home must be for a legitimate law enforcement purpose.
[*71] The majority's element is an inadequate substitution. There
are many legitimate law enforcement purposes that may permit officers
to do something short of conducting a warrantless search, e.g., enter a
home for the purpose of talking to the person who gave the officers
consent and had authority to consent to the entry. Such a legitimate
purpose does not somehow give the officer carte blanche to then search
the house. n28 In the protective sweep situation, as defined by Buie,
the officers must have more than a legitimate purpose to be in the
home, the officers must have a compelling reason, i.e., be in the house
under the obligation to execute an arrest warrant. This requirement is,
in fact, the essence of the Buie holding and this requirement is a
limiting factor on the officers' conduct that is missing from the
majority's opinion.
n28 See the discussion of the problems with the majority's analysis of
consent in section I of this dissent.
Second, Buie is not about fear of the person to [*72] be
arrested. 494 U.S. at 328 (noting that Buie was already arrested when
the protective sweep was conducted). Such a fear or concern for officer
safety is already sufficiently protected by allowing the officers to
actually execute the arrest warrant and search for the person subject
to the arrest if necessary. See, e.g., Chimel v. California, 395 U.S.
752, 763, 23 L. Ed. 2d 685, 89 S. Ct. 2034 (1969) (addressing both the
threat posed by the arrestee and the scope of a search incident to an
arrest). Buie is about a reasonable, articulable suspicion "that the
area to be swept harbors an individual posing a danger to those on the
arrest scene." Buie, 494 U.S. at 337. Here, there is no such fear, and
the majority opinion allows the officers to do something they normally
would need a warrant to do, search a residence which they do not have
consent to search and where the resident is either not present or not
interested in talking to them. Again, the majority's neglect of this
requirement leads to an overly broad new exception to the Fourth
Amendment.
The majority opinion mentions two temporal limitations on the
protective sweep that were articulated in [*73] Buie. These
limitations are: that the protective sweep "last[] no longer than is
necessary to dispel the reasonable suspicion of danger and in any event
no longer than it takes to complete the arrest and depart the
premises." Buie, 494 U.S. at 335-36. The majority, changing the
language of these limitations slightly, neglects the fact that these
limitations depend on the arrest and the officers search for someone
other than the arrestee and therefore apart from these requirements the
limitations are hollow and void of any objective criteria, i.e., the
duration of the arrest, by which to evaluate the officers' conduct.
Under the majority's view these limitations are meaningless and this
again points out the vagueness of the majority holding in this case.
Finally, in my view this case should have never been prosecuted in
federal court. The original criminal conduct which precipitated the
arrest was strictly local in nature: one Louisiana resident (Forehand)
reported to the sheriff of one Louisiana parish (and not to the FBI,
the DEA, the ATF, or the U.S. Marshall Service) that another Louisiana
resident (Gould) had made oral threats to kill two Louisiana judges
[*74] (not federal judges) and some other Louisiana residents
(not residents of another state) apparently because of a proceeding of
some sort in a Louisiana court (not a federal court) relating to a
state law claim (not a federal question). If the admonitions in United
States v. Lopez, 514 U.S. 549, 131 L. Ed. 2d 626, 115 S. Ct. 1624
(1995) and United States v. Morrison, 529 U.S. 598, 146 L. Ed. 2d 658,
120 S. Ct. 1740 (2000) about drawing a line between local and national
interests have any meaning at all, then this criminal investigation
would have undoubtedly fallen on the local side of the line. All of the
law enforcement actors in this case were state officers.
Furthermore, I think it would be ridiculous to conclude that the
firearms found as a result of a warrantless search in Gould's closets
in Gould's bedroom in Gould's trailer home in the woods of rural
Louisiana had any effect whatsoever, much less a substantial effect, on
interstate commerce as Lopez and Morrison require for a federal
prosecution. Lopez, 514 U.S. at 562-63; Morrison, 529 U.S. at 608-09.
The events which precipitated this case occurred on October 17, 2000.
The federal [*75] indictment in this case was not handed down
until August 9, 2001, more than 9 months later, which clearly indicates
that the federal indictment was an afterthought. To better understand
this anomaly and what actually happened during this period, I have
prepared from the record a factual chronology of the events in this
time frame which is attached as Exhibit A to this dissent.
From the chronology in Exhibit A, I would suggest that the following
conclusions should be readily drawn:
A. The dismissal on March 5, 2001, of the state solicitation for murder
charge for "no probable cause" pulls the rug out from under the
government's assertion that Gould's "threats to kill" were sufficiently
real and immediate to justify talking with him even without any
warrant; and
B. The decision of the state court on July 25, 2001, to grant Gould's
motion to suppress pulls the rug out from under the subsequent federal
indictment based on identical facts; and should have been disclosed to
the federal district court addressing the federal suppression hearing.
Had it been, the federal district court might well have based its
decision on the alternate ground that the state had already ruled
[*76] the seizure of the firearms was unconstitutional.
In summary, the Fourth Amendment is the keystone that holds up the arch
of our Bill of Rights which in turn is the unique contribution of our
founding fathers to our system of government which has now survived
longer than any other representative government in the world. In his
famous dissent in Olmstead v. United States, Justice Brandeis called
privacy-which he defined as: "the right to be let alone"-"the most
comprehensive of rights and the right most valued by civilized men."
277 U.S. 438, 478, 72 L. Ed. 944, 48 S. Ct. 564 (1928)(Brandeis, J.,
dissenting). Justice Brandeis argued that the framers knew that
Americans wanted protection from governmental intrusion not only for
their property, but also for their thoughts, ideas and emotions. Take
away the Fourth Amendment and the right of privacy disappears.
The deputy sheriffs here in Gould made no attempt to develop a sworn
affidavit in writing from the purported informant, Forehand, n29 and
they therefore made no attempt to get either a search warrant or an
arrest warrant from an independent third party magistrate on the basis
of probable cause. I have no doubt that the deputy sheriffs [*77]
believed that they were acting reasonably and with good intentions. But
the old adage warns us that "the road to hell is paved with good
intentions." In my judgment, that is precisely where the majority
opinion wants to put us-by unhooking the "protective sweep" from its
connection with the execution of an arrest warrant in a home, which is
where the Supreme Court framed the concept. In my view the gambit of
getting permission to enter a citizen's home in order to talk to
someone and then conducting a protective sweep search under the guise
of sensing danger to the investigating officer will effectively
eliminate the need for complying with the Fourth Amendment and at that
point we will all be, literally and figuratively, on the road to hell.
n29 After giving oral reports over the telephone to the deputy sheriffs
about Gould and after being present at Gould's trailer house on the
night of Gould's arrest, Forehand disappears from the investigation and
processing of this trial. Forehand never gave a written statement to
the deputy sheriffs and did not testify for the government at the
suppression hearing so the government's case as to the need for the
police to interview Gould (i.e., Gould's threats to kill state judges)
is based entirely on the hearsay testimony of the deputy sheriffs.
There is nothing in this record that demonstrates the reliability or
credibility of Forehand as a previous informant of the sheriff's
department.
[*78]
Conclusion
The majority opinion creates a new exception to the Fourth Amendment
that is overly broad and unnecessary. The district court's granting of
the motion to suppress in this case should be affirmed. For these
reasons, I respectfully dissent.
EXHIBIT A
CHRONOLOGY
1. On October 17, 2000, the Livingston Parish Sheriff's Officers on the
scene arrested Gould and charged him with the state crime of possession
of a firearm by a convicted felon. See LA. Rev. Stat. Ann. §
14:95.1 (West 2004), in Cause No. 15571, 21st Judicial District Court,
Livingston Parish.
2. On October 18, 2000, an arrest warrant was issued out of the East
Baton Rouge Parish charging Gould with Solicitation for Murder. See LA.
Rev. Stat. Ann. § 14:28.1 (West 2004).
3. Gould was in the custody of the East Baton Rouge Parish from October
18, 2000, until March 5, 2001, when no probable cause was found for the
Solicitation for Murder charge.
4. On March 5, 2001, Gould was returned to the custody of the
Livingston Parish on the felon in possession charge.
5. On May 31, 2001, Gould filed a motion to suppress evidence
[*79] obtained without a warrant in Cause No. 15571 in the 21st
Judicial District Court of Louisiana. Gould's motion was based on his
argument that all physical evidence and any statements to be used
against him were obtained without a search warrant and without his
consent. An evidentiary hearing was held on Gould's motion to suppress
on July 25, 2001, at which one of the officers who arrested Gould on
October 17, 2000, testified. At the end of this hearing the state judge
granted Gould's motion and bond was set and the case was continued
until September 19, 2001. No. 15571, Louisiana v. Kelly Gould.
6. Also on July 25, 2001, a federal criminal complaint was filed in the
United States District Court for the Middle District of Louisiana
charging Gould with being a felon in possession of a firearm in
violation of 18 U.S.C. § 922(g)(1). The person who swore out
the affidavit was an agent of B.A.T.F. not one of the deputy sheriffs
that was present on October 17, 2000, at Gould's arrest. This affiant
was apparently unaware of the fact that the state complaint on the
solicitation for murder charge had been dismissed and the fact that the
state felon in possession [*80] charge had been put on hold after
the granting of Gould's motion to suppress since he made no mention of
those proceedings.
7. Gould made his state bond on July 26, 2001, and was released from
state custody.
8. On August 9, 2001, Gould was indicted by a federal grand jury on the
federal gun charge.
9. On August 17, 2001, there was a federal detention hearing and
following the hearing Gould was ordered detained on the federal charges.
10. On September 19, 2001, the 21st Judicial District Court of
Louisiana continued the state case against Gould subject to
reassignment to another judge.
11. On December 19, 2001, the federal district court held a hearing
concerning Gould's motion to suppress. At this hearing there was
testimony from the following local law officers: Detective Jim Brown
who was in charge of the case for the Livingston Parish Sheriff's
Office testified; his partner the night of the visit to Gould's
trailer, Officer Jason Ard testified; and Lieutenant Carl Krester, who
had been assigned the case from the East Baton Rouge Sheriff's Office
and was also present at Gould's trailer, testified for the government.
Dennis Cabral who worked with and lived [*81] with Gould and was
present the night of the search testified for the defense. The B.A.T.F.
agent who swore out the federal complaint on July 25, 2001, did not
testify. Likewise, Forehand did not testify.
12. On April 2, 2002, the federal district court granted Gould's
federal motion to suppress.
13. After granting the motion to suppress the federal district court
continued the trial date indefinitely pending the government's appeal
of the granting of the motion to suppress.
14. Gould's motion to be released on bond pending appeal was denied on
June 3, 2002, and according to the record Gould has remained in federal
custody.