Lead Opinion
The defendant, Michael Edmonds, appeals from the judgment of the Appellate Court affirming his conviction, following a conditional plea of nolo contendere, of one count of possession of narcotics with intent to sell in violation of General Statutes § 21a-277 (a), and one count of failure to appear in the first degree in violation of
General Statutes § 53a-172. See
State v. Edmonds,
Before setting forth the relevant facts and procedural history, we begin by observing that the standard of appellate review governing allegedly unconstitutional police searches and seizures differs from the standard that governs appellate review of other types of similarly fact intensive questions. It is well established that we
must "undertake a more probing factual review" of allegedly improper seizures, so that we may come to "an independent legal determination of whether a reasonable person in the defendant's position would have believed that he was not free to
leave."
State v. Burroughs,
In the present case, the trial court's oral decision, as supplemented by the undisputed testimony of the arresting officers, reveals the following relevant facts.
The officers testified that this area of Bridgeport is plagued by a high rate of violent crime. Both officers conceded, however, that the department considers essentially the entire city of Bridgeport to be a high crime area. There was no testimony that the crime rate in the neighborhood of Madison Avenue and Capitol Avenue is any higher than in other areas of Bridgeport.
At approximately 7 p.m., the two officers were driving northbound on Madison Avenue in a marked police cruiser when they stopped at a red light at the intersection of Madison and Capitol Avenues. As they waited for the light to change, they briefly observed a man, later identified as the defendant, who is black, standing alone in the parking lot at 944 Madison Avenue, behind a Subway sandwich restaurant located on the corner. Although it is not evidenced in the record, it may reasonably be assumed-and the state conceded at oral argument before this court-that the Subway restaurant would have been open for dinner at that hour.
The officers offered three reasons why the defendant aroused their suspicions at that time. First, Morales testified that, at the time the officers observed the defendant, "[i]t was pre-dark, it was starting to get dark." He indicated that the defendant "was loitering in the rear in the shadows ...." (Emphasis added.)
The trial court does not appear to have credited Morales' testimony that, at 7 p.m. on January 28, 2011, in Bridgeport, it was just "starting to get dark."
Second, both officers testified that the defendant aroused their suspicions because he was "loitering" in the Subway lot. In the police report they completed the evening of the incident, the officers wrote that "we observed a heavy set black male wearing a tan colored hooded sweatshirt loitering behind the Subway [s]andwich [s]hop...." In the section of the report entitled "Point of Illegal Entry/Means of Attack," the officers entered: "Loitering near Subway."
During the suppression hearing, however, both officers acknowledged that, at the time they first observed the defendant and decided to question him, they had no reason to believe that he was in violation of Bridgeport's loitering ordinance. Bridgeport Municipal Code § 9.04.010 provides: "Any person who, without permission or legitimate purpose, loiters upon the property of another or upon city-owned property, and who upon command of any police officer or person in charge of city-owned property fails to quit such property, shall be punished as provided in Chapter 1.12 of this code." In this case, there were no signs indicating "no loitering" posted at that location, and the officers had no information that the defendant was on Subway's property without permission or legitimate purpose, nor that he had been commanded to leave by a police officer or city official. Indeed, the officers readily conceded that the defendant might have been a resident of one of the apartment units located above the Subway restaurant. In addition, the period during which the officers were stopped at the red light, and had an opportunity to observe the defendant and conclude that he might be loitering, lasted only a few seconds. During that brief period, and given the poor lighting conditions, the officers were unable to determine even the defendant's skin color. All they could see was a "silhouette and just a vague color of his jacket."
Third, the officers testified that their suspicions were aroused because the Subway restaurant had been robbed multiple times in the past, including within the past year. There was undisputed testimony, however, that no incidents of any sort had been reported in the Bridgeport police logs for that Subway location during the preceding four months. Nor did the officers receive any calls with respect to that location on the date in question.
In any event, after having observed nothing more than a nondescript individual standing outside a Subway restaurant for a few seconds at 7 p.m. on a Friday evening, the officers decided to interrupt their patrol of the high school traffic situation to question him. They testified that they intended to ask him why he was in the parking lot, and whether he lived in one of the apartment units above the Subway restaurant.
There was no testimony suggesting that either Morales or Lawlor had any reason to believe that the defendant was armed or dangerous, nor that any sort of criminal activity was underway or recently had transpired at that location. Nevertheless, before stopping to talk to the defendant, they decided to radio their supervisor, Sergeant Ronald Mercado, for backup. Morales testified that "[w]e wanted to try to attempt to [identify] the party and we wanted [Mercado] to cover us." Later in the hearing, Morales reiterated that the two officers contacted Mercado because "we wanted cover."
The small parking lot in which the defendant was standing formed an L shape around the rear of the rectangular Subway building. There were only two entrances/exits to the lot. The small end of the L exited onto Capitol Avenue, and the large end onto Madison Avenue. Otherwise, the lot was enclosed by the Subway building on the street corner side, and by various commercial buildings on the opposite side. The lot was private property. The defendant, who was standing in the middle of the lot, was the only person in the lot at the time of the incident.
After Mercado reached the location to provide the requested "cover" for Morales and Lawlor, the three officers in two patrol cars entered the Subway lot from opposing directions and converged on the defendant simultaneously in the middle of the lot, near a staircase leading to the apartments located above the Subway shop. Morales and Lawlor entered the lot from the Capitol Avenue entrance, while Mercado entered through the Madison Avenue entrance. Both vehicles were marked police cruisers. All three officers were in uniform, and armed. The record does not reveal whether they activated the cruisers' light bars or sirens as they approached the defendant.
The precise sequence of events from the time the officers entered the Subway lot until they frisked the defendant is less clear. In their signed police report, the officers provided the following account: "We ... drove into the rear parking lot of [the] Subway [s]andwich [s]hop when the [defendant] turned away from us when he observed our patrol unit, Sergeant Mercado drove in from the Madison [Avenue] entrance and stopped the [defendant].... [The defendant] immediately stated 'I didn't rob nobody!' He kept moving his hands around in a nervous manner and yelling 'this is embarrassing!' while continuing to state his innocence."
The officers' testimony at the suppression hearing, together with the trial court's subsequent factual findings, injected some ambiguity into three elements of the police report account of events: (1) whether Mercado entered the lot precisely at the same time as Morales and Lawlor; (2) the circumstances under which the defendant was stopped; and (3) the timing and nature of the defendant's nervous hand movements.
First, with respect to the timing of the two cruisers entering the lot and approaching the defendant, Morales' testimony mirrored and expanded upon the account in the officers' police report: "As we entered from Capitol [Avenue] into the rear parking lot of Subway we observed the [defendant] still in the shadow of the parking lot. He immediately-when he saw our car, it's a marked unit, he immediately turned around and started walking away. That's-at the time when we went to go around the L shape of-toward Madison [Avenue] Sergeant Mercado entered in his marked unit and was able to stop the [defendant]." Morales later summarized this sequence of events by stating that the two cruisers "pulled in" at "about the same time" and arrived at the defendant's location in the middle of the lot at approximately the same time.
Lawlor's testimony was consistent with that of Morales on this point. He testified that when he and Morales entered the lot from Capitol Avenue, the defendant immediately turned and started to walk away, and that Mercado entered the lot from Madison Avenue "shortly thereafter."
The trial court found, however, that "[t]he two officers and ... Mercado entered the parking lot at the same time and through the only two entrances into the eatery's parking lot.... As soon as the two officers arrived ... the defendant started to immediately walk away from the officers...." (Emphasis added.) Because the police report, Morales, and Lawlor all indicated that Morales and Lawlor entered the lot from Capitol Avenue shortly before Mercado entered from Madison Avenue, and the record contains no evidence to the contrary, we must understand the court's finding that the two cruisers entered at the same time to mean that the two cruisers arrived at the lot at approximately the same time, and that, as the defendant began to walk away from the first cruiser, Mercado entered and the two simultaneously converged on his position in the middle of the lot.
Second, with respect to when the defendant was stopped, Morales' testimony was again consistent with the police report. In response to direct questioning by the trial court to clarify the sequence of events, Morales indicated that Mercado made the first contact with the defendant as he attempted to walk away from the cruiser driven by Morales and Lawlor, and that Mercado stopped the defendant "[b]y verbally commanding him to stop." Morales indicated that Mercado also "might have been" the one who began to question the defendant after he was stopped, although Morales was unsure.
Lawlor testified that it was Morales who "made contact with [the defendant] first," spoke to the defendant, and "handl[ed] more of the contact," while Lawlor himself observed the interaction. During that portion of the suppression hearing, however, Lawlor was not asked-and did not testify-about Mercado's role in the stopping and questioning of the defendant. Lawlor also did not testify as to how the defendant came to be stopped when he began to walk away from the first cruiser, and the trial court made no findings in this regard.
Third, the record contains three accounts of the defendant's nervous hand movements. The police report states that, after Mercado stopped the defendant and he denied having robbed anyone, "[the defendant] kept moving his hands around in a nervous manner and yelling 'this is embarrassing!' while continuing to state his innocence." Morales offered a far more detailed account at the suppression hearing. He testified that, after the officers exited their cars and the defendant denied having robbed anyone, and as the three officers approached him on foot, the defendant moved his hands in a nervous manner while he stood facing the officers, and repeatedly stated that he felt embarrassed.
The trial court found on this question that, "as the defendant started to immediately walk away from the officers, he was observed by ... Morales and ...
Lawlor to engage in movements around his waistband as he walked. While the police exited their vehicles and approached the defendant, he spontaneously yelled out 'I didn't rob anyone' and he kept saying that he was embarrassed." Although there was no evidence in the record to support the court's finding that Morales witnessed suspicious hand motions at the outset, while the officers were still in their vehicle pulling into the lot, the court was free to credit Lawlor's testimony that he witnessed such motions at that time. The court made no findings with respect to Morales' testimony that the defendant later defied the officers' commands to keep his hands in plain view, after the officers had stopped him.
In any event, it is clear that, soon after they entered the lot, exited their cruisers, and approached the defendant, the officers decided to pat the defendant down for their safety. Although they testified that they were concerned that he might have been carrying a weapon, the only fact they were able to articulate in support of that concern was that the defendant moved his hands near his waistband as he turned away from them. In fact, the officers did not find any weapons on the defendant when they frisked him. They did discover a bundle containing heroin, however, and arrested him.
The defendant moved to suppress the narcotics evidence, contending that its discovery was the fruit of an illegal search and seizure, in violation of the state and federal constitutions. The trial court denied the defendant's motion and the defendant subsequently entered a plea of nolo contendere to the counts of possession of narcotics with intent to sell and failure to appear in the first degree, conditional on his right to appeal the denial of his motion to suppress pursuant to General Statutes § 54-94a. Consistent with the plea agreement, the court, Arnold, J., imposed a total effective sentence of ten years imprisonment, execution suspended after four years, and three years probation.
The defendant appealed to the Appellate Court, arguing that he was seized when the police converged on him in the Subway parking lot or, at the very latest, when Mercado commanded him stop.
State v. Edmonds,
supra,
In part I of this opinion, we consider whether the Appellate Court properly concluded that the defendant was not seized until the officers patted him down for weapons and that certain of his claims in that regard are unreviewable. In part II, we consider whether, at the time of the defendant's seizure, the police officers possessed a reasonable and articulable suspicion of criminal activity, whether the purpose of the seizure was reasonable, and whether the scope and character of the seizure was reasonable in light of its purpose.
I
"[W]hen considering the validity of a ... [
Terry
] stop, our threshold inquiry is twofold.... First, we must determine at what point, if any, did the encounter between [the police officers] and the defendant constitute an investigatory stop or seizure.... Next, [i]f we conclude that there was such a seizure, we must then determine whether [the police officers] possessed a reasonable and articulable suspicion at the time the seizure occurred." (Internal quotation marks omitted.)
State v. Brown,
A
We begin by setting forth the legal test used to determine when a person is seized for purposes of the federal
and state constitutions.
Factors to be considered in determining whether police conduct projects coercion include, but are not limited to: the number of officers and vehicles involved; whether the officers are uniformed; whether the officers are visibly armed or have their weapons drawn; whether the vehicles involved are marked police cruisers, whether the vehicles' sirens and emergency lights are activated, and whether the vehicles' headlamps or
spotlights illuminate the defendant; whether the defendant is alone or otherwise appears to be the target of police attention; the nature of the location, including whether it is public or private property; whether the defendant is surrounded or fully or partially blocked in by the police; the character of any verbal communications or commands issued by the police officers; whether the officers advise the detainee of his right to terminate the encounter; the nature of any physical contact; whether the officers pursue after an initial attempt by the defendant to leave; whether the officers take and retain possession of the defendant's papers or property; and any other circumstance or conduct that bespeaks aggressiveness or a show of force on the part of the police, or suggests that the defendant is under suspicion or otherwise not free to leave. See
United States v. Griffith,
B
In support of its conclusion that the defendant was not seized until the officers frisked him for weapons, the Appellate Court offered the following analysis: "The facts found by [the trial court] and our independent
review of the record demonstrate nothing more than a benign police presence in the Subway parking lot. The court's oral decision portrays an unremarkable
scene of three uniformed officers approaching the defendant as part of a routine investigation to obtain identification and determine his purpose for being in the lot. In addition to the facts set forth in the court's oral decision, the record does not contain any evidence suggestive of threatening or coercive police conduct. For instance, there is no evidence that the police engaged their lights or sirens when they entered the Subway parking lot, that they brandished their weapons, or that they impeded the defendant's ability to move, either physically or verbally.... We conclude, therefore, that the defendant was not seized when the police approached him because a reasonable person in the defendant's position would not have believed that it was impermissible to leave the scene." (Citations omitted.)
State v. Edmonds,
supra,
Our own independent review of the record reveals anything but an unremarkable instance of benign community-police dialogue. On the contrary, we do not believe that any reasonable person, finding himself or herself in the position of the defendant, would have felt free to simply disregard the approaching officers and leave the scene. Numerous circumstances of the present case support this conclusion.
From the perspective of the defendant, the incident began when two police cruisers suddenly converged on him from opposite directions, effectively blocking off his only means of egress from the small Subway parking lot. It is well established that, when law enforcement officials block a suspect's vehicle so as to prevent him from driving off, they have, by that fact alone, executed a fourth amendment seizure. See, e.g.,
Pane v. Gramaglia,
State v. Clark,
We recognize that, in the present case, the officers did not fully block in the defendant, who presumably could have walked past one of the two police cruisers onto Capitol Avenue or Madison Avenue. Even under such circumstances, however, when officers have only partially blocked the available exits, courts have not hesitated to find a seizure when a reasonable person would conclude that the police have positioned their bodies or vehicles so as to effectively surround the suspect or thwart his egress. See, e.g., United States v.
Smith,
Although there is no Connecticut authority directly on point, given the unique factual circumstances of the present case,
State v. Rustad,
Docket No. 58691-2-I,
Indeed, the theory that the police seize an individual when they knowingly surround him or obstruct his free passage is firmly rooted in our state constitution and federal common law. In
State v. Oquendo,
To the extent that the state relies on
State v. Benton,
Burroughs
provides even weaker authority for the state's position, because in that case the police did nothing whatsoever to discourage or hinder the defendant from leaving the scene. In
Burroughs,
a single police cruiser pulled up
behind
a vehicle that was parked at night in an industrial area, without activating the cruiser's emergency lights or sirens.
State v. Burroughs,
supra,
Beyond the fact that two marked police cruisers converged on the defendant from opposite directions, effectively blocking him from exiting the lot, several other aspects of the present case would indicate to a reasonable person in the defendant's position that he was not free to leave. First, the defendant was the only person in the parking lot at the time the police entered. Whereas an individual standing in a crowded area or traveling a public road has no reason to assume that a sudden police presence is directed toward him, in the present
case it would have been apparent to the defendant that the two cruisers and three officers who suddenly approached were there for him. See
State v. Oquendo,
supra,
A third, critical consideration is the fact that, as the defendant turned to walk away from the marked police cruiser driven by Morales and Lawlor, he was confronted by a second cruiser, driven by Mercado, which had entered from the opposite direction, appearing to thwart his passage. There is a common trope in espionage and other action genre films in which the protagonist turns to retreat upon confronting an enemy, only to see more would-be captors appear from the other direction. At that point, he, along with the audience, realizes that he is trapped. Both courts and commentators have applied this basic intuition in the search and seizure context, recognizing that cornering or "pursuing a person who has attempted to terminate the contact by departing" sends a clear signal that the person is not free to leave. 4 W. LaFave, supra, § 9.4(a), p. 586; see, e.g.,
United States v. Beauchamp,
Other factors that would have indicated to a reasonable person in the defendant's position that he was not free to leave were the fact that he was approached by multiple uniformed police officers; see
State v. Benton,
supra,
Lastly, if we had any remaining doubt as to whether a reasonable person in the defendant's position would have felt free to disregard the three officers and leave the scene as they approached, those doubts are dispelled by the fact that Mercado, upon entering the Subway lot, commanded the defendant to stop. As a result of this command, the defendant, who initially sought to turn away from the first cruiser driven by Lawlor and Morales, stopped and submitted to police authority.
It is well settled that a reasonable citizen would not feel free to disregard a verbal command to stop issued by an armed, uniformed police officer. See
State v. Benton,
supra,
C
We next consider the state's assertion, which the Appellate Court found persuasive, that the defendant's claim that he was seized no later than when Mercado commanded him to stop is unreviewable on appeal. The state contends that we must determine either that the defendant was seized at the outset, when the officers converged on him in the middle of the parking lot, or later, when they patted him down for weapons. We disagree, and conclude that the defendant's full argument is preserved for appellate review and that we are not barred from considering any of the undisputed testimony in the record.
The following additional procedural history is relevant to our evaluation of the state's argument. The defendant filed with the trial court what fairly may be characterized as a boilerplate motion to suppress evidence. The motion alleged only that: (1) "certain items seized by law enforcement officer(s) or his agent(s) ... were not seized pursuant to a search and seizure warrant"; and (2) "[t]he search and seizure violated the laws and constitutions of the United States and of the [s]tate of Connecticut in that ... [t]he search and seizure was unreasonable." No memorandum of law setting forth specific legal theories or arguments accompanied the motion, and the state neither filed an objection to the motion nor sought any clarification or specification as to the grounds or theories on which the defendant objected to the search and seizure. In fact, neither party presented its theory of the seizure issue prior to the opening of testimony at the suppression hearing.
At the suppression hearing, the state proceeded first with its case, consistent with its burden of proving that the officers' warrantless search and seizure of the defendant was constitutional. See
State v. Eady,
When the prosecutor completed his redirect questioning of Morales, the trial court intervened to ask the officer a series of questions to clarify the timeline of events. The court specifically asked Morales one-half dozen questions about the circumstances under which Mercado had stopped the defendant from walking away, and twice asked Morales to confirm that Mercado did so by verbally commanding the defendant to stop. After questioning Morales in this area, the court gave the prosecutor an opportunity to ask Morales follow-up questions.
After the state rested, the defendant briefly called one witness to establish a lack of recent criminal activity at the Subway in question. The court then invited the state to present its closing argument, and the prosecutor for the first time offered the state's theory of the search and seizure. It was only then, at the very end of the hearing, after the witnesses had been excused, both sides had rested, and the state had presented its argument, that the court invited defense counsel to argue her theory of the case.
Defense counsel began by advising the court that the court's primary duty was to determine when the defendant was seized, if at all. At varying times, she argued that the defendant was seized: (1) when the police cruisers surrounded him in the lot; (2) when the three officers exited their cruisers and approached the defendant; or (3) when the police patted him down. At other times, however, defense counsel framed the issue more broadly. Near the end of the hearing, for example, she argued that the "bottom line" was that the defendant "was seized the minute that those police officers turned around and did a U-turn, came into the parking lot and stopped [ the defendant ]...." (Emphasis added.)
Despite the fact that defense counsel correctly advised the trial court that the court was obliged to determine whether a seizure occurred between the time that the officers entered the lot and when they verbally stopped the defendant, the trial court made no express findings in that regard. Instead, the court appears to have assumed that the frisk was the event of constitutional significance, and to have concluded that a seizure was justified at that time.
On appeal, the state argues that (1) the defendant failed to preserve his argument that a seizure occurred when Mercado commanded the defendant to stop, (2) the record is inadequate for us to review this allegedly unpreserved claim, and (3) the state relied to its detriment on the fact that the defendant opted not to raise this argument at the suppression hearing. All of the state's arguments are without merit.
First, we disagree with the conclusion of the Appellate Court that the defendant's claim that he was seized no later than when Mercado commanded him to stop is unpreserved and, therefore, can only be reviewed on appeal if it satisfies the
Golding
test.
State v. Edmonds,
supra,
Second, even if we agreed that the defendant's argument is unpreserved, we would disagree with the state-and the Appellate Court-that the record is inadequate to review that argument. The state contends that the record is inadequate because: (1) the trial court made no express findings with respect to Mercado's verbal command to stop; and (2) the testimony of Morales and Lawlor as to this point allegedly conflicts. The first contention is of little moment, as it is well established that, when reviewing the constitutionality of an alleged seizure, we must parse the entire record, and not only the trial court's express findings.
State v. Burroughs,
supra,
The primary question, therefore, is whether Morales' testimony on this point is uncontested. Morales clearly
testified, on multiple occasions, that it was Mercado who "stopped" the defendant. The police incident report-which Morales authored, for which Lawlor provided assistance, and which an unidentified supervisor reviewed and signed
For his part, Lawlor testified only that Mercado arrived shortly after Morales and he entered the lot, and that he could not recall where Mercado had parked. He gave no indication of what role Mercado played in the incident, if any, nor whether Mercado spoke to the defendant or issued any commands. When asked whether all three officers approached the defendant, Lawlor replied: "I don't recall at what specific time but we approached him." Nothing in Lawlor's testimony, then, directly contradicted Morales' testimony that Mercado ordered the defendant to stop as, or before, the defendant made any incriminating statements.
In fact, the state's argument that Lawlor offered conflicting testimony is based entirely on the following brief colloquy between the prosecutor and Lawlor:
"Q. Okay. Now, when you exited the vehicle did you make contact with the individual that was hanging out in back of the Subway?
"A. Well, contact was made.
"Q. By who?
"A. By-Officer Morales made contact with him first.
"Q. Okay. And then who made contact with him second?
"A. I was there, but Officer Morales was handling more of the contact first.
"Q. So is it a fair assessment to say that Officer Morales spoke to the individual and you just kind of observed what was going on?
"A. Yes."
During this colloquy, no mention is made of Mercado and, in particular, there is no discussion of any role that Mercado might have played before Morales and Lawlor exited their vehicle. In fact, Lawlor's entire testimony during this portion of the hearing is limited to the roles that he and Morales played in the events in question, and he is not asked about Mercado's role until much later. In context, then, there simply is no reason to interpret Lawlor's brief reference to the fact that, after he and Morales exited their vehicle, Morales made the first contact with the defendant, to mean that Lawlor disagreed with Morales' testimony that Mercado initiated the stop. Indeed, the failure of either party to seek clarification of Lawlor's testimony as to this point suggests that this testimony was not interpreted to conflict with Mercado's testimony or with the officers' incident report. The most reasonable reading of the testimony, therefore, is that Lawlor was merely indicating that, of the two partners, it was Morales who interacted with the defendant. Accordingly, we are not precluded from considering Morales' uncontradicted testimony with respect to the time of seizure.
Third, we are not persuaded by the argument that the state relied to its detriment on a belief that Mercado's verbal command to stop was not relevant to the case. As we already have explained, that issue clearly was raised at the suppression hearing. The trial court, sua sponte, questioned Morales about the command at some length, and afforded the prosecutor an opportunity to pursue the issue on redirect. Defense counsel later argued that the "bottom line" was that the defendant was seized during the minute in which the officers stopped the defendant. That the state opted to largely ignore the constitutional significance of the period during which the officers entered the lot and confronted the defendant, and instead focused almost exclusively on the reasonableness of the patdown search, was a strategic decision, and not the result of trial by ambuscade.
Nor is there any indication that the state declined to call Mercado as a witness out of a belief that his role in the encounter was somehow irrelevant. Rather, the prosecutor indicated at the suppression hearing that he had intended to call Mercado as a witness but that Mercado was on vacation in Florida at the time. Accordingly, we reject the state's argument that, in determining when the defendant was seized, we may not consider the undisputed testimony of the state's own witness, as corroborated by the officers' official incident report, that Mercado, upon entering the parking lot, restrained the defendant by issuing a verbal command to stop.
II
Having concluded that the defendant was seized no later than when Mercado commanded him to stop, we next consider whether the seizure was legal. It is well settled that a Terry stop is constitutionally permissible only if three conditions are met: "(1) the officer[s] must have a reasonable suspicion that a crime has occurred, is occurring, or is about to occur; (2) the purpose of the stop must be reasonable; and (3) the scope and character of the detention must be reasonable when considered in light of its purpose."
State v. Cyrus,
It is undisputed that, prior to the time the officers entered the lot to question the defendant, he did not make any suspicious statements or nervous gestures. He was just standing outside at night. It is well established that the fact that a citizen chooses to stand outside at the dinner hour, in a neighborhood plagued by crime, does not warrant any reasonable and articulable suspicion that he himself is engaged in criminal activity. See
State v. Santos,
Nor does standing in a private lot for a few seconds constitute loitering, particularly without any indication that the person is engaged in otherwise improper conduct or has been asked to leave the premises. See
Bridgeport Municipal Code § 9.04.010; see also
Wainwright v. New Orleans,
In the present case, Morales and Lawlor saw an otherwise nondescript man-if they could even discern that the vague "silhouette" they saw was male-standing outside a restaurant and apartment building for a few seconds at 7 p.m., in a city with a generally high crime rate. This particular location had not reported any criminal activity for at least the prior four months, and no incidents had been reported in the area that evening. There are 1001 legitimate reasons why a man might pause for a moment outside an open eatery at the dinner hour. He might have been meeting friends, family, or colleagues for supper; waiting for his children to come out of the restroom; reviewing the menu; checking to see if a friend was inside; pondering whether he was in the mood for sandwiches or fish; taking a smoke break; making a private call; or just getting a breath of fresh air. This was not a case where the defendant looked into a store window one dozen times without entering; see
Terry v. Ohio,
supra, 392 U.S. at 6,
As Justice Glass explained in his dissenting opinion in
State v. Cofield,
In fact, the defendant's conduct in this case was far less suspicious than conduct that has been held to be insufficient, as a matter of law, to justify a seizure. In
State v. Donahue,
Looking to other jurisdictions, the most similar case to the present case appears to be
People v. Revoal,
The only events of potential constitutional significance that transpired between the time the two cruisers entered the lot and the time that Mercado successfully commanded the defendant to stop are: (1) the fact that the defendant turned to leave when the police arrived; and (2) the fact that the defendant's hand moved near his waistband as he turned. These factors, taken together with those previously discussed, also do not provide sufficiently specific grounds to support a reasonable conclusion that the defendant was involved in criminal activity.
First, the fact that the defendant turned to walk away when he saw Morales and Lawlor driving into the Subway lot does not suggest that he was up to something nefarious. It is true that an individual's "[h]eadlong flight" upon perceiving police may justify a Terry stop.
Illinois v. Wardlow,
There are a number of legitimate reasons why a law-abiding citizen may not desire to remain on the scene when the police appear, especially in a dangerous neighborhood where police-citizen relations may be strained. See
Alberty v. United States,
"Among some citizens, particularly minorities and those residing in high crime areas, there is also the possibility that the fleeing person is entirely innocent, but, with or without justification, believes that contact with the police can itself be dangerous, apart from any criminal activity associated with the officer's sudden presence.... [T]he evidence supporting the reasonableness of these beliefs is too pervasive to be dismissed as random or rare, and too persuasive to be disparaged as inconclusive or insufficient." (Footnotes omitted.) See also
State v. Hicks,
Turning to the second factor, the state contends that the fact that Lawlor saw the defendant "engage in movements around his waistband as he walked" led the officers reasonably to suspect the defendant of criminal activity. Courts and commentators
have recognized, however, that the mere fact that the police report that a suspect moved his hands in the area of his waist, without further context or detail, does not justify a warrantless seizure. See
In re Jeremy P.,
The officers in the present case did not provide the sort of detailed testimony that has been found to support a reasonable and articulable suspicion of gun possession in other cases. For example, there was no testimony describing a gun-shaped bulge in the clothing, an awkward gait or arm movement typical of those carrying concealed guns, an informant's tip that the subject was armed, or the fact that persons similarly situated to the defendant frequently carry unlicensed guns. See, e.g.,
United States v. Parker,
Accordingly, while we remain cognizant of law enforcement officers' legitimate safety concerns, we cannot allow the police to invoke an individual's waistband like a talisman in order to justify any seizure after the fact. Particularly in a case such as the present one, where the facts that have been asserted as justifying an officer safety patdown-repeated fiddling with the waistband and refusal to comply with officers' orders-are almost entirely facts that the officers neglected to memorialize in their official incident report, and then claimed to remember two years later at a suppression hearing where they were unable to recall other basic details of the incident,
A decision of the Supreme Court of Colorado is instructive in this regard. See
People v. Thomas,
By contrast, our decision in
State v. Mann,
supra,
In the present case, by contrast, there was no specific and articulable basis for the officers to believe that the defendant was engaged in criminal conduct, that he was reaching for a weapon, or that they were in any immediate danger. For these reasons, we conclude that the officers' seizure of the defendant was not supported by a reasonable and articulable suspicion that he was engaged in criminal conduct and, accordingly, that his motion to suppress the narcotics evidence obtained in violation of his constitutional rights should have been granted.
The judgment of the Appellate Court is reversed and the case is remanded to that court with direction to reverse the judgment of the trial court and to remand the case to the trial court with direction to grant the defendant's motion to suppress.
In this opinion ROGERS, C.J., and PALMER, EVELEIGH and ROBINSON, Js., concurred.
We granted the defendant's petition for certification to appeal limited to the following two issues: (1) "Did the Appellate Court properly determine that the record was not adequate for appellate review of the defendant's claim that he was seized when Sergeant Ronald Mercado commanded him to stop?"; and (2) "Did the Appellate Court properly determine that the defendant was not seized until police officers conducted a patdown search of the defendant's person?"
State v. Edmonds,
The fourth amendment to the United States constitution provides in relevant part: "The right of the people to be secure in their persons, houses, papers, and effects, against unreasonable searches and seizures, shall not be violated...."
Article first, § 7, of the Connecticut constitution provides in relevant part: "The people shall be secure in their persons, houses, papers and possessions from unreasonable searches or seizures...."
Article first, § 9, of the Connecticut constitution provides: "No person shall be arrested, detained or punished, except in cases clearly warranted by law."
Although we have determined that, under certain circumstances, the relevant provisions of the state constitution provide broader protection from unreasonable search and seizure than does the fourth amendment; see, e.g.,
State v. Oquendo,
Only three witnesses testified at the suppression hearing: two of the three arresting officers, and a sergeant with the Bridgeport Police Department (department) called by the defense for the limited purpose of establishing that the department's computer aided dispatch system had not recorded any incidents at the location of the defendant's arrest during the four months preceding the defendant's arrest.
The court found, rather, that "[i]t was dark outside...."
See Time and Date AS, "Bridgeport, CT, USA-Sunrise, Sunset, and Daylength, January 2011," available at http://www.timeanddate.com/sun/usa/bridgeport?month=1&year=2011 (last visited June 1, 2016); see also
State v. Morris,
When the trial court asked Morales whether the fidgeting hand motions occurred at the same time as the defendant professed his innocence, Morales responded ambiguously: "[n]o, I believe that was before." (Emphasis added.)
Under
Golding,
a criminal defendant can prevail on an unpreserved claim of constitutional error if all of the following conditions are met: "(1) the record is adequate to review the alleged claim of error; (2) the claim is of constitutional magnitude alleging the violation of a fundamental right; (3) the alleged constitutional violation ... exists and ... deprived the defendant of a fair trial; and (4) if subject to harmless error analysis, the state has failed to demonstrate harmlessness of the alleged constitutional violation beyond a reasonable doubt." (Footnote omitted.)
State v. Golding,
supra,
Because we conclude, taking all of the relevant circumstances into account, that the defendant was seized without reasonable justification when Mercado commanded him to stop, we need not consider the defendant's alternative theory that he was seized at the outset, when the officers converged on his position in the center of the parking lot.
See footnotes 2 and 3 of this opinion.
Accordingly, this case is readily distinguishable from
State v. Brunetti,
It is unclear whether the supervisor's signature is that of Mercado or another supervisor.
At the time of the suppression hearing in February, 2013, for example, Morales, who had conducted more than 500 such patdowns over the course of his career, was unclear about or unable to recall a number of significant details of the January, 2011 incident involving this particular defendant: whether there were any cars in the lot; whether he patted the defendant down on a vehicle; who transported the defendant from the scene; which officer was driving the cruiser; whether Mercado was accompanied by another officer; where Mercado parked; what statements the defendant made upon being confronted; whether the defendant was wearing a hood; the circumstances under which the defendant provided the police with two different addresses; and which officer questioned the defendant. Morales did testify, however, that he specifically recalled: the defendant tussling with his pants in the area of his waistband and belt buckle; placing his hands behind him; fixing his pants; and ignoring the officers' commands that he keep his hands in plain view.
When Lawlor was first questioned as to what concern led to the need for an officer safety patdown, he replied only that he was concerned because the defendant initially started to walk away from the police and denied having robbed anyone. The prosecutor, however, responded by further prompting Lawlor: "[D]id the defendant make any movements with his hands at all to the best of your recollection?" Lawlor then volunteered that, in fact, the defendant had "moved them toward his waistband when he was walking away." Neither officer was able to explain why they had neglected to include these key details in their official incident report, which stated only that the defendant "kept moving his hands around in a nervous manner and yelling 'this is embarrassing!' while continuing to state his innocence."
Concurrence Opinion
I agree with and join the majority opinion because I believe that the seizure of the defendant, Michael Edmonds, occurred no later than the time at which he was commanded to stop by the police and that this seizure was not supported by a reasonable and articulable suspicion. I write separately, however, to emphasize that I do not express any opinion as to whether a seizure occurred when the two police vehicles entered the parking lot in which the defendant was standing.
ROBINSON, J., with whom ROGERS, C.J., and PALMER, EVELEIGH and McDONALD, Js., join, concurring.
I agree with the majority that the defendant, Michael Edmonds, was seized by the police when an officer commanded him to stop, and that this seizure was not supported by reasonable suspicion. I write separately to address the following concerns raised in the dissent: (1) that the majority's opinion "will ultimately have the practical effects of hindering law enforcement at the most fundamental level"; (2) that citizens living in "crime-plagued neighborhoods will likely meet today's
decision with bewilderment and frustration"; and (3) that such individuals "will ultimately be less safe" as these areas "will become fertile soil for the growth of further crime" as a result of the majority's opinion. On the contrary, I believe that the majority strikes an appropriate balance between law enforcement interests in investigating crimes and keeping their communities safe, and citizens' interests in enjoying their rights under the fourth amendment to the United States constitution, regardless of the fact that they may live or work in "crime-plagued neighborhoods...." I address each of these troubling issues in turn.
I first disagree with the dissent's assertion that "police will be hamstrung in their ability to thoroughly investigate and prevent crime" as a result of the majority's opinion. Contrary to the dissent's assertions, the majority does not imply that a
per se
seizure occurs when the officers merely "[pull] into a parking lot" and "sa[y] something indeterminate" to a suspect. The majority instead concludes that a variety of additional facts, which reveal the true character of the encounter, demonstrate that the defendant
in this case
reasonably did not feel free to leave. These facts include: (1) two marked police cruisers converged on him nearly simultaneously in a parking lot from opposite directions; (2) the cruisers at least partially blocked his ability to leave the area on foot; (3) the defendant was the only person
in the parking lot; (4) the encounter occurred at night; (5) the cruisers' headlights were focused on only him; (6) the parking lot is private property; (7) when the defendant initially
tried
to exercise his right to leave, by turning in the opposite direction when the first marked cruiser pulled up in front of him, a second marked cruiser blocked his path in that direction; (8) three uniformed and armed police officers exited from the cruisers; and (9) one
of the officers commanded him to stop. As the dissent recognizes, "the question of whether a defendant has been seized must be reviewed under the totality of the circumstances." See
United States v. Mendenhall,
Second, I do not agree with the dissent's assertion that citizens living in "crime-plagued neighborhoods" will "meet today's decision with bewilderment and frustration." The majority concludes that police seized the
defendant when they converged on him in two marked cruisers from opposite directions and commanded him to stop, and that this seizure was not supported by reasonable suspicion, because he was merely standing in a parking lot, at night, in a high crime area. I fail to see how such a decision would create "bewilderment and frustration" among people living in high crime areas, many of whom have been subject to a disproportionate number of suspicionless stops. See A. Wolf, "The Adversity of Race and Place: Fourth Amendment Jurisprudence in
Illinois v. Wardlow,
[120] S.Ct. 673 (2000),"
I believe that the majority's opinion takes an important step forward in protecting the fourth amendment rights of citizens living in such areas. By holding that police may not approach a pedestrian in the intimidating manner displayed in the present case solely on the basis of his or her presence in a high crime area, the majority ensures that this court does not "significantly [lower] constitutional protections for law-abiding citizens who, by choice or for reasons beyond their control,
live in high-crime areas...."
United States v. Black,
In the present case, other than observing that the defendant was a black man standing in the parking lot of a restaurant, the officers did not point to
any
suspicious conduct on the part of the defendant in justifying their initial seizure of him, beyond his presence in a high crime area.
Lastly, I respectfully, but emphatically, disagree with the dissent's contention that citizens living in high crime areas "will ultimately be less safe," and that those areas "will become fertile soil for the growth of further crime" as a result of the majority's opinion. Suspicionless stops are not only a violation of an individual's constitutional rights, they often breed fear and distrust toward police, which, in my view, is an additional unacceptable burden to place on the shoulders of citizens living in high crime areas. See, e.g.,
Illinois v. Wardlow,
Beyond fear and distrust, some citizens have developed hostility and animosity toward police as a result of the prevalence of suspicionless stops. See
Johnson v. State,
Moreover, widespread stops in high crime areas may not even be a "particularly efficient or even accurate method of identifying wrongdoers." R. Hutchins, "Stop Terry: Reasonable Suspicion, Race, and a Proposal to Limit Terry Stops," 16 N.Y.U. J. Legis. & Pub. Policy 883, 902-903 (2013). For example, one study found that, of the 4.4 million people stopped in New York City between 2004 and 2012, almost 90 percent were released by the police after no evidence of wrongdoing was found.
Accordingly, I join in the judgment of the court.
ESPINOSA, J., with whom ZARELLA, J., joins, dissenting.
In today's decision, the majority concludes that the defendant, Michael Edmonds, was seized within the meaning of the fourth amendment to the United States constitution and article first, §§ 7 and 9, of the constitution of Connecticut, by the mere act of a police officer speaking to him. The most troubling aspect of the majority's determination is that it rests not on the record and findings of the trial court, but on the majority's own inferences and assumptions about the record and a misreading of the relevant case law. The majority's decision disregards the appropriate standard of review, muddles our search and seizure jurisprudence, and will ultimately have the practical effects of hindering law enforcement at the most fundamental level and further endangering citizens living in crime-ridden neighborhoods. Accordingly, I am compelled to dissent. In my
view, the Appellate Court properly concluded that the record was inadequate to permit appellate review of the defendant's previously unraised claim that he was seized upon a police officer's verbal order to stop.
State v. Edmonds,
Prior to charting the factual landscape of the present case, I set forth the proper standard of review rather than the incorrect reading of the standard that the majority applies for the purposes of this case. In reviewing a motion to suppress, this court accords great deference to the findings of the trial court. "[T]he standard of review for a motion to suppress is well settled. A finding of fact will not be disturbed unless it is clearly erroneous in view of the evidence and pleadings in the whole record.... [W]hen a question of fact is essential to the outcome of a particular legal determination that implicates a defendant's constitutional rights, [however] and the credibility of witnesses is not the primary issue, our customary deference to the trial court's factual findings is tempered by a scrupulous examination of the record to ascertain that the trial court's
factual findings are supported by substantial evidence." (Internal quotation marks omitted.)
State v. Kendrick,
Conversely, the majority opinion states that "the standard of appellate review governing allegedly unconstitutional police searches and seizures differs from the standard that governs appellate review of other types of similarly fact intensive questions." While correctly recognizing that when presented with a claim of constitutional magnitude we must "[conduct] a scrupulous examination of the record" to ascertain whether each finding is supported by substantial evidence;
State v. Burroughs,
The majority also seeks to broaden the standard of review by purporting that "we must take account of any undisputed evidence that does not support the trial court's ruling in favor of the state but that the trial court did not expressly discredit." In support of this position, the majority relies on our decision in
State v. DeMarco,
Instead, the majority quibbles with and repeatedly questions the trial court's factual findings and introduces its own assumptions and inferences into the factual matrix of the present case, all while continually professing to do so under the auspices of the standard of review. Scrupulous review of the record requires us to examine whether the trial court's findings are supported by substantial evidence, not to decide what factual conclusions we ourselves
would draw from that same evidence. See
State v. Burroughs,
supra,
Because we are an appellate court, the raison d'etre of this institution is to review the judgment of the trial court without substituting our own preferred determinations in place of those of the trial court. In broadening the appropriate standard of review, the majority ignores "the fundamental distinction between the function of the fact finder, which is to make credibility determinations and to find facts, and the function of the appellate tribunal, which is to review, and not to retry, the proceedings
of the trial court." (Internal quotation marks omitted.)
State v. Lawrence,
In order to present aversion of the facts that is faithful to the record and the factual findings of the trial court, I take the time here to restate the relevant facts in a manner that ensures their accuracy and reflects this court's proper role in relation to that of the trial court. At approximately 7 p.m. on January 28, 2011, Officers Elson Morales and Joseph Lawlor of the Bridgeport Police Department were on patrol in their cruiser in the vicinity of Madison Avenue and Capitol Avenue in Bridgeport. The officers were on alert that evening as the police anticipated a large influx of youth into the neighborhood due to a nearby high school basketball game and this area of Bridgeport was well-known among local police for robberies and other violent crimes. As Morales and Lawlor proceeded down Madison Avenue, they observed the defendant standing alone in the poorly lit parking lot of a Subway sandwich shop. Because Morales was aware that the Subway shop had been the target of previous robberies, he radioed his supervisor, Sergeant Ronald Mercado, who was on patrol nearby, and informed him of the defendant's presence.
A brief description of the Subway parking lot in which the defendant was standing is helpful in understanding the facts in the present case. The Subway shop and its parking lot are located on a corner lot at the intersection of Madison Avenue and Capitol Avenue. The parking lot wraps around the building containing the Subway in an L-shape and has vehicle entrances from both Madison Avenue and Capitol Avenue. At the time of the defendant's arrest, the parking lot was open and was not enclosed by a fence, gate, or wall. Although the parking spaces in the lot are for the customers of Subway and a nearby bakery, the back side of the Subway building contains a flight of stairs that begins in the parking lot at the corner of the "L" and ascends to upper floor apartment units. To reach the stairs, residents of the apartments would have to walk through the parking lot. Several parking spaces are painted onto the asphalt along the long side of the Subway building.
Morales and Lawlor drove into the parking lot from the Madison Avenue entrance at the same time that Mercado pulled in from the Capitol Avenue entrance. The defendant was standing near one of the parking spaces along the side of the Subway building. Although both police vehicles were marked, there was no testimony that the officers had activated the lights or sirens in either vehicle. As soon as the police arrived, the defendant began to walk away while making a number of movements around his waist. When the officers exited their vehicles and approached the defendant, he blurted out, " 'I didn't rob anyone,' " and repeatedly told the officers that he was embarrassed. Morales then performed a patdown search of the defendant, during which a plastic packet fell from the defendant's waistband. Its contents were later found to contain narcotics.
The majority's failure to apply the proper standard of review results in an array of "facts" and groundless inferences that support the majority's own outcome, but that often run counter to the trial court's findings of fact or address details that the trial court never considered. As an addendum to my presentation of the facts as they were actually found by the trial court, I am obligated to point out each instance in which the majority draws a conclusion that has dubious or nonexistent support in the record in order to fully demonstrate both the majority's alteration of the standard of review and the threats that the improper standard poses to this court's fundamental role as an appellate tribunal. Upon my own review of the record, I have identified the following fifteen instances in which the majority finds facts that have insufficient or no support in the record:
First, the majority "assume[s]" that the Subway outside of which the defendant was standing was open for business. The majority takes this for inviolable fact merely because at oral argument before this court the state acknowledged that the Subway
may
have been open. But merely because an attorney says something does not make it an indisputable fact, particularly so here, where the record is utterly devoid of any information about the Subway shop's business hours or whether it was open on the day and time of the defendant's arrest. Furthermore, it is an elemental principle that arguments of counsel are
not
evidence. See
Bartholomew v. Schweizer,
Second, the majority decides that the "only reasonable inference" is that " anyone standing outside of the Subway" would "necessarily" have been standing in the shadows. (Emphasis in original.) The record does not support the majority's absolute conclusion that anyone in the parking lot would necessarily have been obscured in darkness. Although the record does reflect that there were not any lights on in the parking lot at the time of the defendant's arrest, Lawlor's testimony also clearly indicates that he nonetheless was able to see the defendant's silhouette and the color of his jacket despite the impenetrable darkness in which the majority concludes he "necessarily" would have been cloaked.
Third, the majority opinion concludes that the police cruisers "simultaneously" converged on the defendant, and then immediately contradicts itself by citing a statement to the contrary in the police report, namely that Morales and Lawlor entered the parking lot prior to Mercado's entrance. The trial court itself found only that the two cruisers entered the parking lot's two entrances at the same time, which is very different than the majority's would- be finding that the cruisers "simultaneously" converged on the defendant and blockaded him where he stood.
Fourth, the majority "must understand" the trial court's finding to "mean that the two cruisers arrived at the lot at approximately the same time" in order to support its preferred sequence of events, in which the cruisers "simultaneously converged on [the defendant's] position in the middle of the lot." (Emphasis in original.) But why must we understand the trial court's memorandum of decision to mean anything other than exactly what it states: "The two officers and Sergeant Mercado entered the parking lot at the same time and through the only two entrances into the [Subway] parking lot." The trial court's finding is supported by the officers' testimony, so why attempt to qualify or embellish it at all?
Fifth, the majority decides that the defendant could "presumably" have walked around the parked police cruisers onto either Capitol or Madison Avenues. The majority points to nothing in the record that supports this other than its own presumption.
Sixth, the majority assumes that "it would have been apparent" to the defendant that the police had entered the lot for the sole purpose of apprehending him. This is pure speculation. The defendant never testified and we have no way whatsoever of knowing what the defendant would have been thinking when the officers arrived in the parking lot.
Seventh, the majority concludes, with absolutely no basis, that the police would "not be expected to routinely patrol" in the area where the defendant was arrested. There is no support in the record for this proposition. Indeed, there is support to the contrary, namely Morales' testimony that he had previously conducted police work in that area of Bridgeport and was currently assigned to a special detail patrol of that area, and the trial court's finding that the officers' conduct was "normal" and "routine."
Eighth, the majority describes, with much hyperbole, the defendant as being cut off in all directions by the police like the "protagonist" in "espionage and other action genre films." This is an inaccurate reflection of the facts in the record as there is no indication that the officers blockaded the defendant with their cruisers all at once as the majority suggests.
Ninth, the majority "must at least assume" that the police illuminated the defendant in the headlights of their cruisers despite the lack of any testimony or evidence whatsoever indicating that the officers focused their headlights on the defendant. Why "must" we "assume" this? We should not be assuming anything, let alone drawing legal conclusions based on those assumptions.
Tenth, the majority, despite never having witnessed the police officers testify, takes it upon itself to correct an inconsistency in the testimony of the officers that the trial court itself never deemed necessary to address. No matter how "reasonable" the majority considers its own conclusion that Mercado spoke to the defendant first and Morales merely "interacted" with him, making such a resolution is fundamentally and solely the role of the trial court. At the suppression hearing, Morales testified that Mercado first spoke to the defendant, whereas Lawlor testified that Morales was the first to initiate contact with the defendant. But rather than just acknowledging the contradiction or requesting an articulation from the trial court, the majority simply resolves the factual inconsistency itself and in doing so may quite possibly have injected a factual error into its decision. Eleventh, the majority determines exactly what the officers would have seen from their cruiser on Madison Avenue, namely an "otherwise nondescript man ... if they could even discern that" the individual was actually a male or not. Lawlor testified that he saw the defendant's silhouette and the color of his jacket. The trial court found that Morales and Lawlor "observed [the defendant] standing alone" in the parking lot. There is no need to speculate beyond the trial court's finding and the officers' given testimony as to what they did or did not see.
Twelfth, the majority speculates as to why the defendant would have been standing in the Subway parking lot. Perhaps, the majority postulates, the defendant was "waiting for his children to come out of the restroom" or "reviewing the menu" or "pondering whether he was in the mood for sandwiches or fish" or "taking a smoke break" or "just getting a breath of fresh air." Again, this is sheer speculation. The defendant never testified and we have no way of knowing what thoughts were in his mind prior to his arrest. And regardless, this is irrelevant to the issue before the court.
Thirteenth, the majority assumes that "police-citizen relations" were estranged in the neighborhood of the defendant's arrest. There was no testimony to this effect and the trial court made no findings that the relationship between citizens and the police had broken down in the neighborhood where the defendant was arrested.
Fourteenth, the majority states that "[the police] never even testified that they actually believed the defendant was carrying a weapon." Lawlor, however, clearly testified that the defendant was initially patted down for officer safety because the officers found the defendant's furtive movements around his waist "concerning ... [b]ecause typically weapons are hidden such as guns in the waistband, knives." Despite the majority's insistence otherwise, the testimony demonstrates that, under the circumstances, the officers believed that the defendant may have been armed.
Fifteenth, the majority offers generic and unsupported approximations of the exact length of a typical human arm and the exact manner in which a typical human moves while walking in order to conclude that it would be "virtually impossible" for any person to behave in a manner contrary to the way the defendant behaved when the police approached him, specifically, in the present case, by making furtive movements around his waist. Again, the majority's statement has no basis, either in the record or reality.
Each of these fifteen examples represents an instance in which the majority has made factual findings-in many instances based on speculation. In thus expanding the scope of appropriate review and usurping the proper role of the trial court, the majority almost certainly ensures that some of its conclusions will rest in part on sheer factual error or unsupported inferences. This is patently unacceptable, particularly in cases-such as the present-that are of constitutional dimension.
Having outlined the proper parameters of the standard of review, I now address the defendant's substantive claims and the majority's treatment of them. I first discuss whether the Appellate Court properly concluded that the record was inadequate to review the defendant's claim, raised for the first time before the Appellate Court, that he was seized when Mercado allegedly gave him a verbal command to stop. Both the majority opinion and the defendant assert that the existing record is sufficiently developed to review this new claim. The state counters that the Appellate
Court was correct to find the record inadequate due to the defendant's failure to develop his claim at the suppression hearing, the absence of Mercado's testimony, and the conflicting testimony offered by Morales and Lawlor. I would conclude that the Appellate Court properly determined that the current record is insufficient to review the defendant's claim with any reasonable degree of accuracy.
State v. Edmonds,
supra,
The majority begins by deciding outright-despite providing no factual analysis of the circumstances of the alleged verbal command-that the defendant was seized when Mercado ordered him to stop. Only then, after already deciding the defendant's claim that he was seized at that moment, does the majority consider whether the claim was even reviewable in the first place. The majority's approach, whereby it reviews whether it may review a claim after already deciding the claim, defies the most basic notions of our well developed jurisprudence. I am also seriously troubled that the majority reverses the decision of the trial court on the basis of its conclusion that the trial court incorrectly resolved a claim that the defendant never brought before the trial court, and, therefore, on which the trial court made no factual findings.
As the defendant did not initially raise this claim at the suppression hearing, this court should review the unpreserved constitutional claim only if it satisfies all of the following conditions: "(1) the record is adequate to review the alleged claim of error; (2) the claim is of constitutional magnitude alleging the violation of a fundamental right; (3) the alleged constitutional violation ... exists and ... deprived the defendant of a fair trial; and (4) if subject to harmless error analysis, the state has failed to demonstrate harmlessness of the alleged constitutional violation beyond a reasonable doubt." (Footnote omitted.)
State v. Golding,
Upon my review of the record, I would conclude that the Appellate Court properly determined that the defendant's claim did not warrant
Golding
review.
State v. Edmonds,
supra,
Additionally, the testimony of Morales and Lawlor regarding Mercado's actions is contradictory. Morales testified that Mercado verbally ordered the defendant to stop. Conversely, Lawlor testified that it was Morales who first verbally engaged with the defendant. As this particular detail was irrelevant to the defendant's claims that he was seized when the officers pulled into the parking lot or when Morales performed the patdown, neither party sought to reconcile the contradiction or examine the officers further in order to precisely determine Mercado's actions. Indeed, after Lawlor made the
contradictory statement on direct examination, defense counsel extensively cross-examined Lawlor on a plethora of topics-the police report of the incident, Bridgeport's loitering ordinance, the exact logistics of how the officers approached the defendant-yet never once questioned him on his facially contradictory statement. Neither party subsequently used the contradiction in their arguments before the court nor did the court itself even make a finding of fact as to who first spoke to the defendant.
Because the parties never developed the testimony concerning the verbal command, the record currently before this court contains no information on exactly which officer gave the command, what the officer actually said, how he said it, the tone of voice in which he issued the command, where the officer was standing in relation to the defendant when he gave the command, whether the officer beckoned or gestured to the defendant while issuing the command, or whether the officer demonstrated a show of authority beyond that of his inherent authority as a law enforcement officer. Such information is pertinent to this court's analysis of
whether the verbal command constituted a seizure of the defendant. On the current record,
however, the feasibility of such an inquiry is severely curtailed, if not rendered practically impossible. See
State v. Jenkins,
supra,
In an attempt to circumvent the mandate of
Golding
that this court may not review constitutional claims when the record is inadequate;
State v. Golding,
supra,
I also observe that both on this point and throughout, the majority relies to a vast extent on authorities from our sister courts in other jurisdictions, despite the body of on point, applicable case law established by this
court's previous decisions. Merely because we do not have a previous case that is directly, factually analogous to the present case does not mean that we have an absence of authority to govern our decision. To be sure, it is often helpful for this court to examine case law from our sister courts, particularly when confronted with an issue of first impression or a split in authority. See
State v. Berrios,
As I have stated, the record currently before the court is inadequately developed for the purpose of making a determination as to whether the defendant was seized when an officer issued a verbal command. Indeed, the very out of state cases that the majority offers in support of its own position lend support to the contrary: that a verbal command alone is not necessarily a seizure and must be evaluated under the particular factual circumstances of the command. See
United States v. Stover,
Due to what can only be its tacit acknowledgment that the record is indeed inadequate to address this claim, the majority opinion instead premises its conclusion that the alleged verbal command was a seizure on the fact that Morales and Mercado had driven their police cruisers into the Subway parking lot from opposite directions. Although the fact that the police vehicles were present in the parking lot is certainly a factor for this court to consider in its analysis of whether the defendant was seized under the totality of the circumstances, it is not alone dispositive of whether
the verbal command itself
was a seizure. Rather than discussing the actual verbal command-the details of which, of course, are completely unknowable to us based on the record-the majority obfuscates its own analysis by arguing that because the police cruisers had entered into the parking lot, any verbal order after that point was necessarily a seizure. It is curious that the majority devotes such substantial length and depth to the issue of the police cruisers entering the parking lot, especially since the majority itself expressly declines to address the defendant's claim that he was seized upon the entry of the cruisers on the basis that his claim regarding the verbal command is dispositive.
Conversely, the Appellate Court concluded that the defendant was not seized until Morales performed a patdown search. The defendant argues that the Appellate Court improperly determined that he was not seized prior to the patdown, either when the officers first entered the Subway parking lot or, as the majority concludes, when Mercado allegedly commanded him to stop. In response, the state asserts that the Appellate Court's determination was correct, given the benign nature of the officers' encounter with the defendant until the time of the patdown search. Because the defendant's claim that he was seized upon Mercado's verbal command is unreviewable on the existing record, my discussion is confined to whether the defendant was seized when he submitted to Morales' patdown search or rather, as the defendant argues and the majority implicitly agrees, when the police initially drove into the two entrances of the Subway parking lot.
Under article first, §§ 7 and 9, of the Connecticut constitution, a person is seized when "by means of physical force or a show of authority, his freedom of movement is restrained." (Internal quotation marks omitted.)
State v. Burroughs,
supra,
The trial court in the present case made specific findings of fact about the conduct of the police officers in the Subway parking lot on the night of the defendant's arrest. Although all of the officers were in uniform and entered the parking lot in marked police cruisers, nothing in the trial court's factual findings or underlying evidence shows that the officers had activated their cruisers' lights, drawn their weapons, or taken any actions that amounted to a show of authority sufficient to cause a reasonable person to believe that he was unable to leave.
State v. Edmonds,
supra,
Likewise, no evidence in the record indicates that the officers positioned their vehicles in such a way as to physically block the defendant from departing. Indeed, the officers' testimony demonstrates that after they pulled into the parking lot, the
exits were
not
blocked.
Notably, the defendant in the present case was in the parking lot as a pedestrian rather than a motorist. As the parking lot was not contained by a fence or a wall, a reasonable person traveling on foot would not have felt himself unable to leave because two police cruisers pulled into the exits intended for motor vehicles rather than foot traffic. Given the open, unenclosed nature of the parking lot in which the defendant was standing, the present case is readily distinguishable from the sister state authority on which the majority relies, as those cases all involve instances in which persons or their vehicles were seized in contained areas. See
State v. Rustad,
Docket No. 58691-2-I,
The law enforcement community and citizens living in crime-plagued neighborhoods will likely meet today's decision with bewilderment and frustration. Indeed, the
majority opinion has grave and unsettling public policy implications. In essence, the defendant posits, and the majority agrees, that he was seized when two police cruisers pulled into a parking lot and when a police officer said something indeterminate to him. To characterize such police conduct as a seizure would convert a substantial number of ordinary interactions between the police and citizens into events of constitutional magnitude. The majority's result will adversely impact the "laudable interaction between the officer and citizenry" in the "performance
of his duty to guard the public safety and welfare...."
State v. Burroughs,
supra,
In addition to the detection and prevention of crime, the police perform an important community caretaker function. The desirable social benefits of cooperative discourse between police officers and citizens will be snuffed out by the majority's conclusion that under the routine circumstances of the present case the officers' conduct constituted a seizure. See
Immigration & Naturalization Service v. Delgado,
The majority, however, fails to see any such consequences. Although the majority's conclusions are certainly drawn from a legitimate concern for the constitutional rights of defendants, its conclusion that a defendant may be seized merely when two police cars enter a parking lot or when a police officer utters an unknown phrase to a defendant is an impractical and imprudent rule that ignores the reality of police work, particularly police work in those areas inundated with violent crime. Under the majority's conclusion, police will be less likely to initiate consensual encounters with citizens, as such encounters can now easily be transformed into events of constitutional magnitude by the mere act of an officer's approach. Indeed, after today's decision it is difficult to imagine what police-citizen interactions will not be considered a seizure. Given the numerous streets, businesses, and parking lots that can be found in any large, urban area, the police will be hamstrung in their ability to thoroughly investigate and prevent crime because approaching a citizen to obtain information could easily evolve into a seizure. In turn, citizens living in dangerous areas will ultimately be less safe and such areas will become fertile soil for the growth of further crime. The majority accurately observes that in areas with a history of strained relations between the police and citizenry, some citizens may be intimidated by the mere approach of a police officer. But what better way to rectify such a situation than developing a positive dialogue between police officers and the members of the communities that they serve? The majority's take undercuts the possibility of improving police-citizen relationships at the outset.
In his concurring opinion, Justice Robinson responds to my concerns that today's decision will make it more difficult for law enforcement to carry out its investigative duties. If, as the majority concludes and the concurring justices agree, a police officer cannot speak to a citizen without that interaction becoming the equivalent of taking that citizen into custody, then the police will be unable to effectively communicate with local communities in order to investigate criminal activity and gather information while on patrol. In the present case, we have no idea what the police actually said to the defendant and no way of knowing, given the incomplete state of the record. In this regard, the position that Justice Robinson takes in his concurring opinion further underscores the inadequacy of the record and my belief that its inadequacy places the particular question of whether the verbal command constituted a seizure beyond this court's review.
Justice Robinson-joined by every other member of the majority in an ostensible concurrence-also raises a series of legitimate concerns regarding racial profiling and suspicionless police stops. Although I agree entirely with the concerns that his concurring opinion expresses, I note that issues of race are simply not implicated in the present case. I do not understand why the concurring justices find it necessary to raise and exhaustively discuss issues of race when it has no foundation in the established facts of the case. While the issue of racially motivated policing is currently a prominent topic in our national discourse, as Justice Robinson's concurring opinion itself acknowledges, this case "is not the proper place or time" to discuss "complex societal issues" such as those that the concurrence itself raises. See footnote 1 of Justice Robinson's concurrence.
The issues of race raised by his concurrence should properly be discussed and debated in the public forum and it is not the role of this court to insert ourselves into that conversation when the parties themselves did not see fit to raise it.
Most importantly, at no point in the history of this appeal did the defendant or his counsel ever allege that the defendant was impermissibly stopped by the police on the basis of his race. In their testimony, the officers stated that when they first observed the defendant, they could only see his silhouette and that he was wearing a jacket. Nevertheless, Justice Robinson's concurring opinion chooses as its starting point that the defendant was stopped because he is a black man, an unfounded factual implication based on assertions that the majority makes without reference to the record. I have already discussed at length elsewhere in this opinion the utter lack of support in the record for such assertions. The theory that the defendant was the target of racial profiling by the police is yet another outgrowth of the inadequacy of the record in the present case and demonstrative of the factual uncertainties created by the majority's attempt to draw facts from the record that simply are not present.
Contrary to the conclusions of the majority, it is my opinion that the Appellate Court properly concluded that the defendant was seized when Morales performed a patdown of his person. There is no dispute in the present case that the patdown was a seizure: the police had both exerted the authority of their position and physically restrained the defendant. Once the police begin to perform a patdown search, a reasonable person would not believe he was free to disengage with the police and leave of his own volition.
Only after having first determined that a defendant has been seized, this court asks whether the police
possessed a reasonable and articulable suspicion that the defendant was engaged in criminal conduct when seized.
Terry v. Ohio,
In determining whether the police had a reasonable and articulable suspicion, this court has always acknowledged that there are certain circumstances that, while seemingly innocent on their own, may justify a seizure when viewed in conjunction with other circumstances that are present. Thus, while an individual's presence in a high crime area alone is not enough to provide officers with reasonable suspicion, officers need not disregard "the relevant characteristics of a location in determining whether the circumstances are sufficiently suspicious to warrant further investigation." (Internal quotation marks omitted.)
State v. Benton,
supra,
In my view, the established facts in the present case lead unfalteringly to the conclusion that the officers possessed a reasonable and articulable suspicion of criminal activity at the time they administered a pat-down search of the defendant. The record reflects that robberies and other violent offenses were commonplace in the area of Bridgeport in which Morales and Lawlor were on patrol. The officers witnessed the defendant standing alone in the shadows of the empty parking lot of a Subway shop that had been previously robbed. Although the officers may have been curious as to why the defendant was present in that location, nothing under the circumstances was at that point sufficient to merit a seizure.
The defendant's own words and actions immediately prior to the patdown, however, provided the police with the requisite reasonable and articulable suspicion. Both the trial court and the Appellate Court found this to be determinative and I would agree with their assessment. The record reflects that once the officers pulled into the Subway parking lot, the defendant began to walk away and make furtive movements around his waist. Lawlor later testified that he was concerned that the defendant may have had a weapon in his waistband. See
State v. Mann,
supra,
Despite the lack of testimony or findings of the trial court supporting its view, the majority discounts the significance of the defendant's movements around his waist by observing that "a typical man's hands hang only a few inches or so below his waist," and "under normal circumstances it is virtually impossible to turn and walk off in such a way that the hands do not appear to come into proximity [with the waist]." This unfounded observation about human anatomy is insufficient to serve as the justification for resolving a constitutional claim. I disagree that we should retailor our prior case law holding that furtive movements around the waist are a factor that may contribute to a reasonable and articulable suspicion;
State v. Mann,
supra,
Under the totality of the circumstances, it is clear to me that the defendant's actions and words in response
to the police presence provided the officers with a reasonable and articulable suspicion that the defendant was engaged in criminal conduct. Although each factor may be viewed as innocuous on its own, when taken together, the defendant's evasive behavior, furtive movements around his waist, presence in a high crime area at night, and unsolicited statement that he had not committed a robbery were sufficient to paint a portrait of potential criminal activity. See
State v. Benton,
supra,
The broader social policy issues raised by the dissent were not briefed, argued, or even broached by the parties or the majority. While I earnestly believe that this is not the proper place or time to discuss the extremely complex societal issues of police enforcement in "crime-plagued neighborhoods," if I did not do so, the ominous assertions made in the dissent would go unquestioned. This is something that I simply cannot accept, especially when the satisfactory resolution of these issues requires both critical analysis and open, honest and robust debate, given these very troubling times in our nation's history. This separate and relatively short concurrence should by no means be regarded as a substitute for the comprehensive in-depth discussion that I believe is necessary.
As the majority states, although the nearby restaurant had been the site of previous robberies, that "particular location had not reported any criminal activity for at least the prior four months, and no incidents had been reported in the area that evening." Although one of the officers testified that the defendant was "loitering" in "the shadows," the majority aptly notes that, because it was nighttime, "the only reasonable inference is that anyone standing outside the [restaurant] at dinnertime on that particular evening necessarily would have been standing in the 'shadows.' " (Emphasis in original.) Finally, as the majority also notes, the officer also "had no reason to believe that [the defendant] was in violation of [the applicable municipal] loitering ordinance," especially since it may reasonably be assumed that the restaurant was open for dinner at that time.
As mentioned in the portion of this dissenting opinion discussing the standard of review, the majority avoids this problem by making its own credibility and factual determination by resolving the conflicting testimony in favor of the version of events present in Morales' testimony.
In a subsequent portion of this dissenting opinion, I fully address the defendant's claim that he was seized upon the entry of the police cruisers into the parking lot.
In her concurring opinion, the Chief Justice-while agreeing that the defendant was seized "no later than the time at which he was commanded to stop by the police"-disavows the majority's analysis regarding the officers' entrances into the parking lot. Yet, the majority's conclusion that the verbal command was a seizure is ultimately premised on its analysis of how the police entered the parking lot in their police cruisers. In this regard, the concurrence appears to accept the majority's suggestion that a verbal command alone is sufficient to constitute a seizure.
The majority presents the call for cover as if it were part of some irregular, nefarious plot by the police rather than routine practice. Police calling for cover in seemingly harmless situations is routine for good reason. Consider State Trooper Russell Bagshaw who, pulling into a parking lot at night to investigate a potential burglary, did not call for cover and was shot and killed by a burglar exiting a nearby building. See
State v. Johnson,
The following exchange occurred on cross-examination:
"[Defense Counsel]: Okay. So at this point you're at one entrance, Sergeant Mercado at the other entrance. The entrance or exit, however you want to call it, they're blocked at this point with police cars?
"[Morales]: No, they're not blocked."
The following exchange occurred on cross-examination:
"[Defense Counsel]: Okay. And here is State's exhibit number 3.... And to the best of your knowledge do you know where you parked your car if you can tell on that photo?
"[Lawlor]: Approximately in this area here. It's approximate. I'm not going to give you a definite spot....
"[Defense Counsel]: So let the record reflect that the witness pointed to the bottom center of the photograph, approximately, Your Honor. If that may be reflected."
