Lead Opinion
OPINION
delivered the opinion of the court,
After unsuccessfully moving to suppress evidence resulting from the traffic stop that led to his arrest, the defendant, Tyson Lee Day, pleaded guilty to third offense driving under the influence and driving on a revoked license. The plea agreement provided for reservation of a certified question of law regarding whether the traffic stop was based on reasonable suspicion, supported by specific and articulable facts, that a criminal offense had been or was about to be committed. On appeal, the Court of Criminal Appeals concluded that at the time the officer initiated the traffic stop, he lacked reasonable suspicion. Accordingly, the court reversed the judgment of the trial court and, because the question was dispositive, dismissed the case. We granted the State’s application for permission to appeal to consider the question of whether the community care-taking rationale for traffic stops justified the stop in this case. After carefully examining the certified question, however, we conclude that the community caretak-ing issue was not included within the scope of the question reserved for review. Accordingly, our review extends solely to the issue preserved, i.e., whether the traffic stop was based on reasonable suspicion, supported by specific and articulable facts, that a criminal offense had been or was about to be committed. We conclude that the facts do not support a finding of reasonable suspicion. Accordingly, we affirm the judgment of the Court of Criminal Appeals.
Factual and Procedural Background
On May 16, 2004, Hendersonville Police Officer Jeff Tarkington was headed northbound on routine patrol along New Shackle Island Road when he noticed a southbound vehicle flashing its lights. The vehicle’s driver, later determined to be Ms. Ferrell, waved her arms at Officer Tarkington and pointed at the white sport utility vehicle (SUV) in front of her. Officer Tarkington made a U-turn and pulled between the two vehicles. He activated his blue lights and initiated a traffic stop of the SUV. Ms. Ferrell also pulled over to the side of the road behind Officer Tarkington’s patrol car. Officer Tarkington admitted that at the time he stopped the SUV he had not seen the defendant engaged in “any bad driving or anything of that nature.” After first speaking with Ms. Ferrell, Officer Tarkington approached the SUV, which was driven by the defendant.
Prior to trial, the defendant filed a motion to suppress any evidence obtained as a result of the traffic stop. He alleged that the stop was in violation of the Fourth Amendment of the United States Constitu
In response, the State argued that “reasonable suspicion” is an imprecise term that should be interpreted in a commonsense, non-technical manner, considering the totality of the circumstances. The State contended that a police officer should not have to articulate a precise crime that is suspected, only that there are facts and circumstances indicative that a crime of some sort either has been committed or is in progress. The requirement of reasonable suspicion is intended to curtail arbitrary police action. Accordingly, where a citizen informant in an automobile flashes her headlights at the officer and makes hand signals that can be reasonably interpreted as indicating a problem, that is sufficient to support a finding of reasonable suspicion.
Although acknowledging that it was a close issue, the trial court agreed with the State. The court implicitly relied upon the community caretaking function of law enforcement in denying the motion to suppress:
If an officer sees somebody flicking their lights, trying to get his attention, and then pointing, it seems to me that it is certainly reasonable within the circumstances to pull the car over and at least do an investigatory stop. I mean, there could have been a medical issue. It could have been — the car might have been fleeing from some kind of an accident. You’re right, we don’t know, but I think it warrants an investigatory stop.
Would I have preferred that he witness some erratic driving himself? Yes. But on the other hand, I think that the officer, you know, he’s got to consider public safety. He was alerted to the fact that obviously something was the matter. And so I feel that it was reasonable under the totality of the circumstances to stop the car.
Based on the trial court’s ruling, the defendant and the State negotiated a plea agreement under which the defendant pleaded guilty to third-offense DUI and driving on a revoked license in return for sentences of eleven (11) months, twenty-nine (29) days, and six (6) months, respectively, to be served concurrently and suspended after service of one hundred twenty (120) days in jail. Part of the plea agreement was that the defendant would be permitted to certify and appeal the question of law challenging the validity of
that the stop of the Defendant’s vehicle and seizure of the Defendant’s person (by which law enforcement obtained evidence that the Defendant motioned to be suppressed) was not based upon reasonable suspicion, supported by specific and articulable facts, that a criminal offense had been or was about to be committed ....
The question, as stated, did not specifically include an inquiry as to whether the stop was justified under the community care-taking function.
On appeal, the Court of Criminal Appeals reversed the judgment of the trial court and dismissed the indictments. The court concluded that the act of an unknown driver signaling a law enforcement officer and pointing to another vehicle, without more, was insufficient to support a finding of reasonable suspicion that a crime had been or was being committed. The court did not expressly discuss whether a community caretaking exception would apply to justify the traffic stop in this case.
The State applied to this Court for permission to appeal, specifically raising the issue of whether a community caretaking exception to the reasonable suspicion requirement exists in Tennessee. The State pointed out that the Court of Criminal Appeals opinion in Jenkins,
The State also argued that the Court of Criminal Appeals had applied the wrong standard in analyzing the nature of Ms.
Scope of the Certified Question
The State argues in this Court that under the community caretaking function of law enforcement, upon observing the flashing fights and hand signals from Ms. Ferrell, Officer Tarkington was not only justified, but obligated, to make the traffic stop to assess the situation. We note, however, that this issue was neither raised in, nor addressed by, the Court of Criminal Appeals. Accordingly, our preliminary concern is whether this issue relating to the community caretaking function is encompassed within the scope of the question certified for appeal. The agreed order referenced by the judgment document in this case states the certified issue as:
that the stop of the Defendant’s vehicle and seizure of the Defendant’s person (by which law enforcement obtained evidence that the Defendant motioned to be suppressed) was not based upon reasonable suspicion, supported by specific and articulable facts, that a criminal offense had been or was about to be committed. ...
It was on this narrow issue, and this issue alone, that the Court of Criminal Appeals issued its opinion.
The right to plead guilty — and still preserve a question of law for appeal — is a product of the Tennessee Rules of Criminal Procedure, adopted effective July 13, 1978. While the initial version of Rule 37 provided the right to appeal a certified question, it contained no guidance or procedures for raising such appeals.
the order must state that the certified question was expressly reserved as part of a plea agreement, that the State and the trial judge consented to the reservation and that the State and the trial judge are of the opinion that the question is dispositive of the case. Of course, the burden is on defendant to see that these prerequisites are in the final order and that the record brought to the appellate courts contains all of the proceedings below that bear upon whether the certified question of law is dispositive and the merits of the question certified.
The Preston prerequisites have been strictly construed; indeed, we have described the requirements in Preston as “explicit and unambiguous.” State v. Irwin,
The present form of Rule 37, which became effective on July 1, 2002, expressly adopted the Preston prerequisites in subsection (b)(2)(A)(i)-(iv). Under the current Rule, an appeal may be pursued after a plea of guilty or nolo contendere if the defendant entered into a plea agreement under Rule 11(a)(3) but explicitly reserved — with the consent of the state and of the court — the right to appeal a certified question of law that is dispositive of the case, and the following requirements are met:
(i) the judgment of conviction or other document to which such judgment refers that is filed before the notice of appeal, contains a statement of the certified question of law that the defendant reserved for appellate review;
(ii) the question of law is stated in the judgment or document so as to identify clearly the scope and limits of the legal issue reserved;
(iii) the judgment or document reflects that the certified question was expressly reserved with the consent of the state and the trial court; and
(iv)the judgment or document reflects that the defendant, the state, and the trial court are of the opinion that the certified question is dispositive of the case[.]
Tenn. R.Crim. P. 37(b)(2)(A) (emphasis added).
In the trial court, the issue concerning the constitutional validity of the traffic stop was initially raised by the defendant in a motion to suppress. In response to that motion, the State suggested that, viewed under a standard of reasonableness, the officer’s “investigative” and “community caretaking” functions justified the stop. In ruling on the motion, the trial court acknowledged that it was a close question, but ultimately concluded that “public safety” concerns rendered the stop valid.
Despite the earlier references to “community caretaking” and “public safety” concerns during the course of the suppression hearing, when the parties entered the plea agreement and drafted the certified question under Rule 37, they faded to include the specific question of whether the traffic stop of the defendant was justified under the community caretaking function. The narrow issue certified was whether the stop of the defendant’s vehicle and seizure of the defendant’s person was based upon reasonable suspicion, supported by specific and articulable facts, that a criminal offense had been or was about to be committed.
Once again we emphasize the importance of clearly identifying the scope and limits of an issue intended to be preserved
Regardless of what has appeared in pri- or petitions, orders, colloquy in open court or otherwise, the final order or judgment from which the time begins to run to pursue a T.R.A.P. 3 appeal must contain a statement of the dispositive certified question of law reserved by defendant for appellate review and the question of law must be stated so as to clearly identify the scope and the limits of the legal issue reserved. For example, where questions of law involve the validity of searches and the admissibility of statements and confessions, etc., the reasons relied upon by defendant in the trial court at the suppression hearing must be identified in the statement of the certified question of law and review by the appellate courts will be limited to those passed upon by the trial judge and stated in the certified question, absent a constitutional requirement otherwise.
Preston,
Standard of Review
A trial court’s findings of fact in a suppression hearing will be upheld by this Court unless the evidence preponderates otherwise. State v. Williams,
Analysis
I. Protection Against Unreasonable Seizure
Both the Fourth Amendment to the United States Constitution and article
Neither provision, however, limits all contact between citizens and law enforcement. The courts have recognized three levels of police-citizen interactions: (1) the full-scale arrest, which must be supported by probable cause; (2) the brief investigatory detention, which must be supported by reasonable suspicion of wrong-doing; and (3) the brief police-citizen encounter, which requires no objective justification.
The Fourth Amendment and article I, section 7 protections against unreasonable seizures apply to all seizures, even those of brief duration. The touchstone is “reasonableness.” Florida v. Jimeno,
The law is settled that an automobile stop by the use of flashing blue lights constitutes a “seizure” within the meaning of both the Fourth Amendment to the United States Constitution and article I, section 7 of the Tennessee Constitution. Delaware v. Prouse,
Whether the stop of a vehicle is considered “reasonable” depends on whether the officer had either probable cause or an “articulable and reasonable suspicion” that the vehicle or its occupants were subject to seizure for a violation of the law. See Prouse,
The level of reasonable suspicion required to support an investigatory stop is lower than that required for probable cause. Alabama v. White,
In Pulley, this Court noted that “the reasonableness of seizures less intrusive than a full-scale arrest is judged by weighing the gravity of the public concern, the degree to which the seizure advances that concern, and the severity of the intrusion into individual privacy.”
‘is a less demanding standard than probable cause not only in the sense that reasonable suspicion can be established with information that is different in quantity or content than that required to establish probable cause, but also in the sense that reasonable suspicion can arise from information that is less reliable than that required to show probable cause.’
Pulley,
The United States Supreme Court has held that a court must consider the totality of the circumstances when determining whether a police officer’s reasonable suspicion is supported by specific and articulable facts. White,
II. Constitutionality of the Defendant’s Seizure under a Requirement of Reasonable Suspicion
We turn now to the specific circumstances surrounding Officer Tarking
The State argues that the fact that the defendant’s vehicle was mobile and moving created a certain exigency. It contends that had a crime been committed or been in progress, and Officer Tarkington stopped Ms. Ferrell to get the specific nature of her complaint before attempting to stop the defendant’s vehicle, the defendant would have been long gone from the scene. Officer Tarkington’s only other alternative would have been to follow the defendant in hopes that he would commit a criminal offense that would justify the stop.
As set forth in the defendant’s brief, the gist of the question before us is “whether one motorist drawing an officer’s attention and pointing at another motorist, standing alone, rises to the level of reasonable suspicion, supported by specific and articula-ble facts, that a criminal offense has been or is about to be committed.” We are constrained to answer this question in the negative.
As noted, the reasonableness of a seizure turns on the facts and circumstances of each case. Pulley,
In this case, however, the citizen informant was unknown to Officer Tarkington. At the point when she was flashing her lights and waving and pointing at the SUV in front of her, she was completely anonymous to him. “For reliability to be presumed, information about the citizen’s status or his or her relationship to the events or persons involved must be present.” Id. at 637; see also Cauley,
Thus, it is in Officer Tarkington’s assessment of the content of Ms. Ferrell’s communications that we find a constitutional deficit. See Pulley,
As acknowledged by Justice Koch in his dissenting opinion, “[t]he State has the burden of proof of establishing reasonable suspicion or probable cause by a preponderance of the evidence.” State v. Hannah,
Conclusion
On the narrow certified question presented to us, we hold that a law enforcement officer signaled by an anonymous citizen-driver in a manner obviously intended to invite the officer’s intervention as to a third party — but without any indication as to the nature of the citizen’s concern or any other information — does not have reasonable suspicion adequate to stop and seize the third party. Whether the community caretaking exception would relieve the officer of the need to have reasonable suspicion before stopping the vehicle is a question that must await another case in which it is properly presented. The judgment of the Court of Criminal Appeals is affirmed. The costs of this appeal are assessed against the State, against whom execution may issue if necessary.
WILLIAM C. KOCH, JR., J„ filed a dissenting opinion.
Notes
. Although Officer Tarkington testified at the suppression hearing that he "talked to the complainant first to find out what was going on” and "[s]he had told me what had happened,” he never testified as to the substance of his conversation with Ms. Ferrell. We still do not know the nature of her complaint.
. In its written response to the defendant’s motion to suppress, the State characterized Ms. Ferrell’s actions as "clear signals to stop another driver."
. State v. Day, No. M2006-00989-CCA-R3-CD,
. As noted in note 4, Jenkins was distinguished by the Court of Criminal Appeals on the basis that it involved a stop based on a violation of traffic law, concern for the safety and welfare of the driver, and that the stop in that case was directed solely against the driver making the signals, not any other driver.
. The original form of Rule 37 provided only that "[a]n appeal lies from any ... judgment of conviction ... [u]pon a plea of guilty or nolo contendere if ... defendant entered into a plea agreement under Rule 11 (e) but explicitly reserved with the consent of the State and of the court the right to appeal a certified question of law that is dispositive of the case....” Tenn. R.Crim. Proc. 37(b)(2)(i) (1978).
. Both the defendant and the State focused solely on the issue of reasonable suspicion in the Court of Criminal Appeals, the State giving only a passing reference to the officer’s “duty to protect public safety.”
. All too frequently appeals of certified questions have been dismissed for failure to comply with the strict requirements of Tennessee Rule of Criminal Procedure 37(b)(2)(A). See, e.g., Pendergrass,
. These exceptions include searches and seizures conducted incident to a lawful arrest, those yielding contraband in "plain view,” those in the “hot pursuit” of a fleeing criminal, those limited to a "stop and frisk” based on reasonable suspicion of criminal activity, those based on probable cause in the presence of exigent circumstances, and those based on consent. State v. Cox,
. This last category would include the community caretaking or public safety function. Williams,
. In support of its analysis, the dissent repeatedly refers to information obtained from victims of, or eyewitnesses to, criminal activity. As of the moment that Officer Tarkington seized the defendant, however, he did not know or have reasonable grounds to believe that Ms. Ferrell held either of these positions.
. Although Ms. Ferrell’s actions in flashing her lights and pointing would certainly be sufficient to support a stop of Ms. Ferrell to investigate the nature of her distress, they were not sufficiently specific and articulate to support the stop and seizure of the defendant under the unique facts of this case.
. In fact, Officer Tarkington testified at the suppression hearing that a backup officer arrived at the scene after the stop.
Concurrence Opinion
dissenting in part.
The State of Tennessee filed its Tenn. R.App. P. 11 application in this case to determine whether Tennessee recognizes the “community caretaking” exception to the requirement that police officers have at least reasonable suspicion when they make a traffic stop. I agree with the Court’s conclusion that we cannot address this question because it is beyond the scope of the legal issue certified to this Court in accordance with Tenn. R.Crim. P. 37(b)(2). Rather than dismissing the appeal as being improvidently granted, the Court has decided to determine whether, under the essentially undisputed facts, Officer Jeff Tarkington acted reasonably when he stopped Tyson Lee Day’s automobile on May 16, 2004. The Court has decided that Officer Tarkington did not act reasonably. I cannot concur with this conclusion.
A.
The facts are straightforward and compelling. On May 16, 2004, while on a routine patrol on New Shackle Island
Based on these observations, Officer Tarkington performed a U-turn and pulled between the white SUV and Ms. Ferrell’s vehicle. He activated his blue lights to signal the driver of the white SUV to pull over. The driver complied. Officer Tarkington stopped his cruiser in back of the white SUV, and Ms. Ferrell pulled over in back of Officer Tarkington. After a brief conversation with Ms. Ferrell, Officer Tarkington approached the white SUV which was being driven by Tyson Lee Day. Officer Tarkington could smell the odor of alcohol on Mr. Day’s breath. After Mr. Day failed several field sobriety tests, Officer Tarkington arrested him.
Mr. Day’s blood alcohol content proved to be .25 percent. Officer Tarkington’s subsequent investigation revealed that Mr. Day was driving on a revoked license and that he had two prior DUI convictions. Mr. Day was charged by presentment with his third offense of driving under the influence and with driving on a revoked license. When the trial court denied his motion to suppress the evidence of his intoxication based on his claim that Officer Tarkington did not have a reasonable suspicion to stop him, Mr. Day pleaded guilty to both offenses and was sentenced to one hundred and twenty days in jail followed by seven months on probation. As part of his guilty plea, Mr. Day, acting in accordance with Tenn. R.Crim. P. 37(b)(2), reserved the right to challenge the admissibility of the evidence of his intoxication on appeal. On March 7, 2007, the Court of Criminal Appeals reversed Mr. Day’s convictions on the ground that Officer Tarkington did not have a reasonable suspicion to stop Mr. Day on May 16, 2004. State v. Day, No. M2006-00989-CCA-R3-CD,
B.
There is no question that stopping an automobile and detaining its occupants constitutes as “seizure” for the purpose of the constitutional protections against unreasonable searches and seizures.
An articulable and reasonable suspicion must be something more than an “inchoate and unparticularized suspicion or hunch.” Terry v. Ohio,
As it has developed over the years, the “reasonable suspicion” standard is a common sense standard that permits an officer to make a brief investigatory stop when he or she reasonably suspects that a specific person has engaged in, is engaging in, or is about to engage in criminal activity. The reasonableness of an officer’s suspicion depends on both the content of the information the officer possesses and the degree of reliability of that information. Alabama v. White,
C.
The Court has decided that Officer Tarkington acted unreasonably because he did not know Ms. Ferrell’s identity when he stopped Mr. Day and because he did not follow Mr. Day’s vehicle until Mr. Day committed an infraction that would justify pulling him over. I disagree. Police officers are often called upon to make split-second judgments in circumstances that are tense, uncertain, and rapidly evolving. See Graham v. Connor,
Dismissing Ms. Ferrell as an anonymous informant artificially undermines her significance. The manner in which police officers receive information from citizens runs the gamut from completely anonymous telephone calls to citizens who have face-to-face contact with the officer. A completely anonymous tip is the least reliable and must be corroborated with additional facts. See Florida v. J.L.,
Other federal and state courts have differentiated between the reliability of information provided by a completely anonymous informant and information provided by a citizen informant who witnessed a criminal act and who provided the information in a face-to-face meeting with the police or who have placed their anonymity at risk and who may be identified by the police. Justice Kennedy has observed that:
If an informant places his anonymity as risk, a court can consider this factor in weighing the reliability of the tip. An instance where a tip might be considered anonymous but nevertheless sufficiently reliable to justify a proportionate police response may be when an unnamed person driving a car the police officer later describes stops for a moment and, face to face, informs the police that criminal activity is occurring.
Florida v. J.L.,
Ms. Ferrell placed her anonymity at risk when she signaled Officer Tarkington to stop the white SUV being driven by Mr. Day. In light of the proximity between Mr. Day’s vehicle and Ms. Ferrell’s vehicle, Officer Tarkington could reasonably have concluded that Ms. Ferrell had witnessed the commission of a crime or that she was signaling him that Mr. Day needed assistance. The contours of the constitutional protection against unreasonable searches and seizures are shaped by the concept of reasonableness. Florida v. Jimeno,
. U.S. Const. amend IV; Tenn. Const. art. I, § 7.
. People v. Johnson,
