United States v. Gaines
Opinion of the Court
This appeal stems from a search, which took place after the police spoke with the defendant, Mr. Desmond Gaines. After a brief exchange, Mr. Gaines fled but was soon captured. The police then found cocaine, marijuana, PCP, drug paraphernalia, over $640, and a handgun. Mr. Gaines unsuccessfully moved to suppress this evidence. He now appeals,
1. The existence of a seizure . Two uniformed police officers approached Mr. Gaines with flashing roof lights and confronted him about a report that he was selling PCP. Did this confrontation entail a seizure? The answer turns on whether a reasonable person would have felt free to leave or terminate the encounter. We answer "no" and characterize the encounter as a seizure.
2. The attenuation of a possible Fourth Amendment violation . After effecting a seizure, the police allegedly acquired probable cause and learned of an outstanding arrest warrant. Did the development of probable cause or the subsequent discovery of the arrest warrant attenuate the connection between the seizure and the evidence? We answer "no," so introduction of the evidence can't be supported by attenuation of a Fourth Amendment violation.
Given our conclusions on these two issues, we vacate the denial of Mr. Gaines's motion to suppress.
I. The Kansas City police approach Mr. Gaines in marked police cars and question him about a report that he is selling PCP.
One morning, the police in Kansas City, Kansas, received a 911 call reporting that a man dressed in red had just sold drugs in a parking lot. Based on this information, police officers Carl Rowland and Shenee Davis responded.
The police officers pulled into the parking lot in two separate police cars and turned on their roof lights.
II. Was there a seizure?
The threshold issue is applicability of the Fourth Amendment. This amendment applies if the police had seized Mr. Gaines; it doesn't if the encounter had been consensual. United States v. Reeves ,
The existence of a seizure involves a matter of law. See United States v. Salazar ,
So let's consider how a reasonable person would have felt, facing the same circumstances that Mr. Gaines confronted. The encounter began with Mr. Gaines sitting in his car in a parking lot. Two uniformed police officers arrived in marked police cars, both flashing their roof lights. Would a reasonable person have felt free to leave? Perhaps. But the flashing roof lights,
This doubt would likely have intensified in Kansas (where Mr. Gaines was stopped) because of Kansas's traffic laws. See Berkemer v. McCarty ,
The district court minimized the impact of the flashing roof lights, crediting testimony by the police officers that they had activated their lights only because their cars were blocking a lane of traffic. But the officers' subjective intent had little bearing on whether a reasonable person would have thought that he or she could leave. See Brendlin v. California ,
But let's assume that a reasonable person would have felt free to drive away at this point.
At a minimum, the police officer's gesture would have cast further doubt on a reasonable *798person's belief that he or she was free to drive away. See Santos v. Frederick Cty. Bd. of Comm'rs ,
But let's assume that a reasonable person would still have felt free to leave. As Mr. Gaines exited the car, one police officer stood just a few feet away and said that they had come because of a report that Mr. Gaines was "up here selling some dope." The police officer then asked Mr. Gaines whether he had been selling "wet" (street-language for PCP). Meanwhile, another uniformed police officer circled the car, looking inside.
Would a reasonable person have felt free to leave? At a minimum, the accusatory question would have added to the reasonable person's doubt about his or her freedom to return to the car and drive away. See United States v. Glass ,
These were the five circumstances that confronted Mr. Gaines:
1. He was sitting in his car when two marked police cars approached and stopped right behind him with their roof lights flashing.
2. Both police officers were uniformed.
3. One police officer gestured for Mr. Gaines to get out of his car.
4. Mr. Gaines exited his car, and one of the police officers said that they had *799come based on a report that he was selling PCP in the parking lot.
5. While one police officer told Mr. Gaines that someone had accused him of selling PCP, the other police officer circled Mr. Gaines's car and looked inside.
Viewing these circumstances as a whole, we conclude that (1) the police officers showed their authority and (2) no reasonable person would have felt free to leave.
Still, the encounter would constitute a seizure only if Mr. Gaines had yielded to the show of authority. He ultimately fled, so the government denies that Mr. Gaines yielded. We disagree. One officer gestured for Mr. Gaines to get out of his car, and he did. When Mr. Gaines was asked questions, he responded. See United States v. Camacho ,
Mr. Gaines then fled. But by that point, he had already yielded to the show of authority. We addressed a similar issue in United States v. Morgan ,
We thus conclude that Mr. Gaines was seized.
III. Even if the seizure itself had been improper, would the attenuation doctrine permit introduction of the subsequently discovered evidence?
The government argues that even if the seizure had been improper, it would have had only an attenuated connection to the later discovery of evidence. This argument is based on the attenuation doctrine. Under this doctrine, a constitutional violation leading to the discovery of evidence does not require exclusion when only an attenuated connection exists between the constitutional violation and discovery of the evidence. Utah v. Strieff , --- U.S. ----,
*800To invoke the attenuation doctrine, the government bears a "heavy burden." United States v. Fox ,
1. An outstanding arrest warrant existed for Mr. Gaines prior to the encounter.
2. The police officers obtained probable cause to search the car based on the smell of PCP and observation of an open container of alcohol.
The district court found attenuation based on the outstanding arrest warrant. The court didn't address probable cause, but the government points to probable cause as an alternative basis to affirm the finding of attenuation. In our view, attenuation cannot be based on either the arrest warrant or the eventual development of probable cause.
A. Arrest Warrant
When the police officers searched the car, they did not know of any outstanding arrest warrants. But shortly after conducting the search and arresting Mr. Gaines, the police learned that he had an outstanding arrest warrant. Based on the discovery of the warrant, the district court found that the attenuation doctrine would allow introduction of the evidence even if the initial encounter had constituted an unlawful seizure. We disagree because (1) the execution of the arrest warrant might not have allowed a search of the car and (2) two of the attenuation doctrine's three factors support exclusion.
We again apply a dual standard of review, using the clear-error standard for findings of historical fact and de novo review for legal conclusions. Ornelas v. United States ,
The arrest warrant might have led to an arrest, and arresting Mr. Gaines would have allowed the police to conduct a search incident to an arrest. Chimel v. California ,
Here, the evidence at issue was in Mr. Gaines's car. If the police had arrested Mr. Gaines based on the arrest warrant, he might or might not have been within reach of the car at the time of the search. If Mr. Gaines was not within reach, the police could not have searched the car incident to the arrest. See Arizona v. Gant ,
At oral argument, the government theorized for the first time that the police could have impounded the car and conducted an inventory search. Though the district court didn't consider these theories, we can ordinarily consider alternative arguments to affirm if the record is adequately developed. United States v. Bagley ,
Even if we were to consider the government's new contention, however, we would reject it. To conduct an inventory search, the government had to prove that the police could lawfully impound Mr. Gaines's car. See United States v. Sanders ,
Here the government presented no evidence of standardized criteria for impoundment. Even with such evidence, however, the police could impound the car only upon proof of a community-caretaking rationale. For example, impoundment might have been permissible if the car had obstructed traffic or imperiled public safety. South Dakota v. Opperman ,
But let's generously assume that the police could have searched the car based on (1) discovery of the arrest warrant or (2) impoundment of the car. Even with this assumption, we could apply the attenuation doctrine only after considering three factors:
1. the "temporal proximity" between the Fourth Amendment violation and discovery of the evidence
2. the presence of "intervening circumstances"
3. the "purpose and flagrancy" of the officer's wrongdoing
Brown v. Illinois ,
The first factor (temporal proximity) supports Mr. Gaines because the evidence was discovered only minutes after the seizure. See Utah v. Strieff , --- U.S. ----,
The third factor (the purpose and flagrancy of the police wrongdoing) supports the government. The police officers arguably should have known that the encounter constituted a seizure. But the district court found that the police had been negligent (at worst). This finding was reasonable because the issue of reasonable suspicion is close. (We discuss this issue below.) So if the search had been unlawful, the police would have been (at worst) negligent.
We also consider the second factor (the presence of intervening circumstances between the allegedly unlawful stop and discovery of the evidence). This factor supports Mr. Gaines because the arrest warrant wasn't discovered until after the search. See United States v. Gaines ,
*802United States v. Beauchamp ,
The government contends that if Mr. Gaines had not fled, the police
• would have learned of the arrest warrant before searching the car and
• might have impounded the car.
For the sake of argument, we can assume that the government is right. But the attenuation doctrine addresses events as they actually occurred, not as they might have transpired. Thus, the arrest warrant and potential impoundment do not attenuate the connection between a possible Fourth Amendment violation and discovery of the evidence.
B. Probable Cause
The government also insists that the development of probable cause would have triggered the attenuation doctrine. We reject this argument.
According to the government, the police officers obtained probable cause when they smelled PCP and observed an open container of alcohol in Mr. Gaines's car. But even if probable cause existed, it would have flowed directly from the seizure. See Wong Sun v. United States ,
IV. Was the police's suspicion reasonable?
Even though Mr. Gaines was seized, the seizure would have been permissible if the police had a reasonable ground to suspect Mr. Gaines of a crime. See United States v. Cortez ,
Mr. Gaines asks us to remand for the district court to decide the issue in the first instance. We grant this request. The inquiry on reasonable suspicion ordinarily entails a fact-intensive inquiry better suited to the district court than to our court. See United States v. Esquivel-Rios ,
• whether the 911 caller implied that he or she had observed a drug sale and
• whether either police officer had known of past drug sales in the area where Mr. Gaines was located.
*803The issue is also close. The police learned of Mr. Gaines through an anonymous tip, and the Supreme Court concluded in Florida v. J.L. ,
Given the closeness of the issue and the district court's superior resources for fact-finding, we grant Mr. Gaines's request to remand for the district court to decide whether the police had reasonable suspicion.
V. Did Mr. Gaines abandon the black pouch?
When Mr. Gaines fled, he threw a black pouch onto the roof of a building. The police later found the pouch, and it contained illegal drugs, cash, and drug paraphernalia. All of this evidence was introduced at the trial. Mr. Gaines alleges that the evidence should have been excluded, and the government contends that Mr. Gaines abandoned the pouch.
The district court didn't address the issue, and the record on abandonment is inadequately developed. We therefore can't consider abandonment as an alternative ground for affirmance. See p. 800, above.
VI. Conclusion
The police effected a seizure when two uniformed police officers pulled behind Mr. Gaines in marked police cars, using their roof lights and pointedly telling Mr. Gaines that they had come because of a report that he was selling drugs in the parking lot. After conducting the search, the police learned of an outstanding warrant and arguably obtained probable cause during their discussion with Mr. Gaines. But neither the arrest warrant nor the later existence of probable cause attenuate the causal connection between the seizure and discovery of the evidence. We thus vacate the denial of Mr. Gaines's motion to suppress.
An issue remains on the existence of reasonable suspicion. This issue is better suited for the district court to decide in the first instance. We thus remand for consideration of the issue involving reasonable suspicion.
After a trial, Mr. Gaines was convicted of (1) possessing cocaine base, PCP, and marijuana with intent to distribute, (2) possessing a firearm in furtherance of a drug-trafficking crime, and (3) possessing a firearm after a felony conviction. But the appeal involves only the ruling on Mr. Gaines's motion to suppress.
In videos of the stop, it is hard to tell whether Officer Davis's roof lights were on. But Officer Davis testified in the suppression hearing that she had activated her roof lights.
When considering whether the district court clearly erred, we have often said that we view the evidence in the light most favorable to the district court's ruling or to the prevailing party. See United States v. Salazar ,
See 4 Wayne R. LaFave, Search & Seizure: A Treatise on the Fourth Amendment § 9.4(a), at 598-99 (5th ed. 2012) (stating that the "use of flashing lights as a show of authority ... will likely convert the event into a Fourth Amendment seizure").
See United States v. Williams ,
If the police officers had followed and reactivated their roof lights, Kansas law would have required the person to pull over. See
At a hearing, a prosecutor told the district court that the police officers had "encircle[d] the location" because the situation was "heightened." R., vol. I at 372.
We have sometimes cautioned that the mere existence of incriminating questions is not relevant to the existence of a seizure. See United States v. Little ,
After arresting Mr. Gaines, the police didn't impound the car. Instead, the police gave the keys to Mr. Gaines's acquaintance, who delivered the car to Mr. Gaines's mother.
This argument might succeed in other cases when a suspect commits a new crime during an unlawful seizure. For example, if a suspect resists arrest during the seizure, the new crime of resisting arrest might arguably attenuate the link between the seizure and a subsequent search. See United States v. Bailey ,
Mr. Gaines argues that the government waived its abandonment argument by failing to raise it in district court. For this argument, Mr. Gaines relies on United States v. Hernandez ,
On remand, the district court is also free to consider the government's argument involving abandonment of the black pouch. The issue of abandonment is fact-intensive and better suited for the district court to decide on a fuller record. See, e.g. , United States v. Driskill , No. 98-6331,
Dissenting Opinion
*804I would affirm the district court because Officers Rowland and Davis had reasonable suspicion to perform a brief investigative stop. And Officer Rowland quickly gained probable cause to arrest Gaines based on the open container plainly visible inside Gaines's vehicle. Although the majority thoroughly and persuasively analyzes the existence of a seizure and the applicability of the attenuation doctrine, I would not reach these two issues. I therefore dissent.
I see no need to remand for the district court to determine reasonable suspicion, despite the district court not reaching the issue below. The government squarely presented the issue to the district court and developed a detailed record regarding the officers' knowledge and observations. And based on this record, the officers had reasonable suspicion to detain Gaines briefly while they investigated possible criminal activity.
We may affirm on an alternative ground when the facts in the record are sufficiently developed and clear. See United States v. Springer ,
The Fourth Amendment permits brief investigative stops when law enforcement officers have "a particularized and objective basis for suspecting the particular person stopped of criminal activity." United States v. Cortez ,
In this case, the officers responded to a 911 call that exhibited adequate indicia of reliability. Combined with their knowledge of PCP-related drug activity at the address and in the immediate area, a brief investigative stop was fully justified.
The Supreme Court has noted that "[a]n anonymous tip alone seldom demonstrates the informant's basis of knowledge or veracity," Navarette v. California ,
The Supreme Court has plainly held that not all anonymous tips give police reasonable suspicion to make an investigative stop. In Florida v. J.L. ,
More recently, however, the Supreme Court has under different circumstances found an anonymous tip sufficient under the Fourth Amendment. See Navarette ,
Here, the informant appears to have personally observed Gaines conducting a drug transaction, but we cannot assume that fact when the record is inconclusive. The majority is correct that this is a disputed fact because the caller never explicitly says how he knows of the illegal conduct. The caller was certainly personally observing Gaines while on the phone with the 911 operator and noted that Gaines "just made about 20 dollars." Gov't Ex. 1 at 0:46-48. And he knew how Gaines was dressed and where he had parked his car. But we ultimately cannot be sure the tipster was in a similar position to the caller in Navarette .
We have no need to rely on this disputed fact, however, because the claim of eyewitness knowledge is only one indicium of reliability. It cannot be dispositive in either direction because officers have even less ability to confirm a tipster's claim of personal knowledge than other aspects of an anonymous call. And the other two relevant considerations are present. The caller made a "contemporaneous report" of his observations of Gaines's activities, criminal or not, and the caller used the 911 system. Navarette ,
The anonymous tipster described his observations to the emergency operator as he saw them, stating clearly, "I'm watching him right now." Gov't Ex. 1 at 1:39-41. This information is the "sort of contemporaneous report [that] has long been treated as especially reliable." Navarette ,
Also significant is the caller's use of the 911 emergency system. As the Supreme Court reasoned in Navarette , "A 911 call has some features that allow for identifying and tracing callers, and thus provide some safeguards against making false reports with immunity."
In this case, moreover, we have several other indicia of reliability. First, the caller told the 911 operator where he was. His first words were, "Uh yes, I'm down here at uh Frank Gill Center ... Frank Williams Center." Gov't Ex. 1 at 0:02-07. He later confirmed this location by exiting the building briefly to verify and report the exact address where he was located. See United States v. Madrid ,
Second, the caller spent over two minutes on the phone with the 911 operator and answered every question put to him. When the operator asked what type of car Gaines was driving, the caller answered honestly that he did not know but continued, "I can tell ya if you wait." Gov't Ex. 1 at 1:36-37. He also took the time to verify the address of the building where the police needed to go.
Third, the caller did not decline to give his name; the 911 operator simply never asked. This is certainly an indicium of reliability. See Madrid ,
The officers also had information beyond the anonymous (yet sufficiently reliable) tip on which to rely. They had first-hand officer observation and knowledge. The officers knew which person in the parking lot had been accused of drug dealing: another officer, Officer Wilcox, who at the time was off-duty at the Center, radioed in that the man getting into the Cadillac was the person who had been standing on the street corner dressed in all red when the tipster called. Thus, the officers could be confident that Gaines was the person the caller had accused of criminal activity. See Cortez ,
In addition, the officers had personal knowledge of drug, and specifically PCP-related, activity in the immediate area of the Wilhelmina Gill Center. See United States v. DeJear ,
Gaines now claims that the two officers' knowledge of drug activity at the Center and the immediate area is a disputed issue of fact that must be resolved by the district court. But the officers' testimony that each was aware of this drug activity is unequivocal-and unrefuted.
Officer Rowland laid foundation for a government exhibit that revealed eight police reports to the exact address for drug-related medical treatment that calendar year. The police reports confirm officers had been called to the address for drug overdoses three times in the two months prior to Gaines's arrest. Two of those reports specifically mention that the person receiving treatment had taken or had likely taken PCP, the specific drug the anonymous tipster identified.
Officer Rowland also testified extensively about his personal knowledge of these events. He told the court he had personally "responded to calls for service" in the immediate area of the Wilhelmina Gill Center for various things but certainly for "a lot of narcotics complaints." R., Vol. I at 151-52, 154. The officer testified that leading up to the day of the arrest "[w]e had an increased contact with individuals under the influence of PCP." Id. at 152. He continued, police received "[n]umerous medical calls, sometimes multiple within a few minutes in that general area of individuals exhibiting behavior that they were under the influence of PCP .... So we would usually respond, whether it be a police call or a medical call." Id.
We may rely on this record evidence based on the district court's findings of fact and the record evidence. The district court specifically found that Officer Rowland "was familiar with the Wilhelmina Gill Center and the surrounding area" and "had responded to several drug-related calls" at the Center. R., Vol. I at 136. The court also found that "officers had been dispatched to the Wilhelmina Gill Center eight times ... for medical calls involving reactions to PCP or other substances." Id. It is true that the district court did not specifically find that the officers were aware of the PCP-related medical calls established in the police records. But *808Gaines did not challenge the officers' assertion of this personal knowledge at the suppression hearing; he produced no evidence to contradict the officers' testimony and barely questioned them on the issue during cross-examination. Id. at 178-80, 195. The cross-examinations on this point were only to clarify that not all the drug-activity of which the officers knew was specifically PCP related.
The suppression hearing record therefore shows that (1) Officers Rowland and Davis personally responded to service calls in the area of the Center, especially for narcotics complaints; and (2) at least Officer Rowland was aware of the eight police reports he sponsored into evidence of drug related activity at the same address as the arrest happened, including the two service calls for PCP-related drug activity at the Center within two months of Gaines's arrest. This is sufficient evidence to conclude that the officers had additional knowledge, beyond the anonymous phone call, to raise reasonable suspicion that Gaines was selling PCP in the parking lot of the Wilhelmina Gill Center.
Thus, the officers reasonably relied on the anonymous tip in conjunction with their own knowledge because together "the informant's story and the surrounding facts possessed an internal coherence that gave weight to the whole." United States v. Brown ,
Gaines's counsel at oral argument contended that a 911 call does not make a tip more reliable because tipsters may use burner phones or other methods to hide detection. But this was no more true in 2015 when this incident occurred than in 2014 when the Supreme Court decided Navarette .
Reference
- Full Case Name
- UNITED STATES of America, Plaintiff-Appellee, v. Desmond S. GAINES, Defendant-Appellant.
- Cited By
- 29 cases
- Status
- Published