Lead Opinion
OPINION
for the Court.
This case came before the Supreme Court on September 23, 2008, on appeal by the defendant, Sengly Huy (Huy or defendant), from a Superior Court judgment of conviction stemming from a police officer’s discovery of a firearm in the trunk of the defendant’s vehicle. After the defendant’s motion to suppress the incriminating pistol was denied by the trial justice, the defendant waived his right to a jury trial and the parties filed an agreed stipulation of facts. Based on these stipulated facts, the trial justice found the defendant guilty beyond a reasonable doubt of both counts in the criminal information, to wit, carrying a pistol without a license, in violation of G.L. 1956 § ll-47-8(a) (count 1), and altering the marks of identification on a firearm, in violation of § 11-47-24
Facts and Travel
The following testimony was elicited during the pretrial suppression hearing. Providence police patrolman Angelo A’Vant (A’Vant) testified that in February 2004 he received information from a known, reliable confidential informant that Huy carried a large caliber pistol with an attached laser site and drove a black Acu-ra bearing Massachusetts registration. According to A’Vant, the informant also supplied him with a physical description of
On February 9, 2004, officers Fabio Zue-na
Huy subsequently was charged with carrying a pistol without a license in violation of § ll-47-8(a), and with altering the marks of identification on a firearm pursuant to § 11-47-24. The defendant filed several pretrial motions seeking to suppress both the firearm and his statements to the police. He alleged (1) that the firearm was seized in violation of the Fourth Amendment to the United States Constitution and article 1, section 6, of the Rhode Island Constitution and (2) that his subsequent statement to the police was involuntary and was obtained as the result of an unlawful arrest. These motions were denied by the trial justice, who found that the informant’s tip justified both the arrest and the subsequent search of defendant’s vehicle.
At a subsequent proceeding several weeks later, defendant waived his right to a jury trial and stipulated to the facts upon which this conviction rests. Specifically, both sides stipulated to the following:
“1. During the [mjonth of February, 2004, Providence [p’Jolice [officers Fabio Zuena and Angelo A’Vant received information from a known, reliable [cjonfi-dential [informant that the [defendant, Sengly Huy, was carrying a .45 caliber gun with a laser site attached in the trunk of his vehicle, a black Acura bearing Massachusetts registration: ‘53P-R09’.
“2. Confidential [ijnformant provided [pjolice [ojfficers Zuena and A’Vant with the name of the defendant, a description of the defendant, a description of the vehicle the defendant would be operating with the registration number, where the defendant could be located, and the location of the gun within the vehicle. In addition, [cjonfidential [ijnformant informed police that the defendant is a member of the South Side Boys (SSB) and carries the weapon for protection.
“3. On February 9, 2004, Providence [pjolice [ojfficers Fabio Zuena and Angelo A’Vant received information from a known, reliable [cjonfidential [ijnformant that the defendant had the gun in his vehicle and hangs in the West End and Hartford Avenue areas.
“4. Providence [pjolice [ojfficers proceeded to the Hartford Avenue area where they observed defendant’s vehicle receiving a passenger (Vanny Pron) and, at that time, Providence [pjolice blocked and approached the defendant’s vehicle. At that time, Providence [pjo-lice [ojfficers Fabio Zuena and Angelo A’Vant removed all three occupants of the vehicle, the defendant, who was in the driver’s seat, his girlfriend, Bounma Thammavongsa, who was in the front passenger’s seat, and Vanny Pron who was in the rear passenger’s seat. The defendant was placed in the [pjolice officers’ vehicle unhandcuffed. Police [ojf-ficer A’Vant conducted a search of the vehicle’s trunk and discovered a .45 caliber with laser site hidden beneath a large speaker.
“5. The defendant was then placed under arrest.
“6. At that point, Providence [pjolice Detective Patricia Cornell was notified. Detective Cornell responded to the scene and took custody of the .45 caliber with laser site.
“7. The .45 caliber with laser site had an obliterated serial number.
“8. The defendant was taken to the [pjolice [sjtation and given his rights and made a knowing, intelligent, and voluntary waiver of his rights and gave a statement admitting that the gun was his.
“9. Defendant waives all objections to admissibility based on genuineness, originality, authenticity, and/or chain of custody of said gun and test fire documents.”
Additionally, the parties stipulated that defendant did not have a license to carry the weapon. The record discloses that the stipulation of facts constituted the only proof presented at trial — neither the weapon nor defendant’s confession was introduced; yet it is the alleged unconstitutional manner in which the police obtained this evidence that is the basis of this appeal.
The transcript of the jury-waived trial reveals that defendant proffered a single objection to the portion of the stipulated facts that described the state’s confidential informant as reliable. Defense counsel stated that “to the extent that [the stipulation] indicate[s] that it was a reliable [cjonfidential [ijnformant, clearly that was testified to by the [sjtate, that’s what we disagree with, and we say that is something we’d like to contest and have the Supreme Court review.”
Analysis
Before this Court, Huy contends that the officers did not have probable cause to search the trunk of his vehicle and did so in violation of his constitutional right against unreasonable searches and seizures. He appears to base this argument, not on the reliability of the informant, but on the failure of the officers to undertake a sufficient investigation to verify the informant’s tip. Although defendant concedes that the officers may have had the requisite reasonable suspicion to stop the vehicle, he argues that they did not possess probable cause to arrest him at gunpoint or to search the trunk of his vehicle. Huy also contends, contrary to the stipulated facts, that he immediately was placed in handcuffs and arrested before the officers found the firearm in the trunk. Additionally, Huy asserts that his later confession was the fruit of the illegal search and arrest. See Wong Sun v. United States,
Although we are mindful of the non-frivolous issues of constitutional dimension that could be argued with respect to defendant’s arrest and the search of his vehicle, we decline to address the merits of this case. Because neither the firearm nor the confession was admitted into evidence during the state’s case-in-chief, the question of whether the exclusionary rule should apply to the arrest and subsequent search of defendant’s vehicle simply is not before us. We decline to decide whether a firearm or a confession that was not introduced into evidence should have been suppressed because, regardless of the answer to those questions, the ultimate result in this case would be the same: defendant stands convicted based on an agreed stipulation of facts.
Waiver
Very rarely does this Court delve into issues that were not preserved for our review. See, e.g., State v. Bido,
In count 1 of the criminal information, defendant was charged with a viola
“No person shall, without a license or permit issued as provided in §§ 11-47-11, 11-47-12 and 11-47-18, carry a pistol or revolver in any vehicle or conveyance or on or about his or her person whether visible or concealed, except in his or her dwelling house or place of business or on land possessed by him or her or as provided in §§ 11-47-9 and 11-47-10.”
In prosecuting defendant for an alleged violation of that section, the state had “the burden of proving ‘every element necessary to constitute the crime charged beyond a reasonable doubt.’ ” State v. Davis,
Huy not only seeks a ruling that his arrest and the fruits thereof were obtained in violation of the constitutional prohibitions against unreasonable searches and seizures, but he also seeks to be relieved from the factual stipulations to which he agreed. “A stipulation entered into with the assent of counsel and their clients, relative to an evidentiary fact or an element of a claim, is conclusive upon the parties and removes the issue from the controversy.” Rhode Island Public Telecommunications Authority v. Russell,
In this case, the parties did not stipulate merely to the introduction of evidence that would be submitted to the trier of fact for its decision; rather, they agreed to the facts upon which the decision of the trial justice was based. See Barnes v. State,
This Court previously has recognized the widely accepted force of stipulations on subsequent appeals:
“When an adverse party is willing to stipulate to the truth of a certain allegation, the party having the burden of proving that allegation is relieved from proving it, that is, a stipulation renders proof unnecessary and both prevents an independent examination by a judicial officer or body with respect to the matters stipulated and binds the parties on appeal.” Russell,914 A.2d at 990 (quoting 73 Am.Jur.2d Stipulations § 17 at 500-01 (2001)).
Here, the state and defendant stipulated that Huy unlawfully possessed a firearm with an obliterated serial number, thus rendering the elements of both crimes uncontested. The state did not produce evidence — testimonial or tangible — to prove the truth of its allegations against defendant, nor was the trial justice required to pass upon the weight of the evidence. Huy’s objection to the stipulation concerning the informant’s reliability is immaterial because questions about the reliability of the informant or the credibility of the evidence were of no moment to the trial justice’s findings. Consequently, because defendant relieved the state from its bur
This Court recently has stressed “the prophylactic purposes that underlie the [exclusionary] rule — ‘to deter law enforcement officers from violating a defendant’s rights.’ ” State v. Barkmeyer,
Consequently, if the alleged improperly obtained evidence has not been admitted at trial, there is nothing that the exclusionary rule can accomplish. In such a case, the deterrent function served by the exclusionary rule has no place. See Linkey,
Conclusion
Accordingly, we are satisfied that the defendant failed to preserve his Fourth Amendment contentions on appeal. For the reasons stated herein, the appeal is denied and dismissed and the judgment of conviction is affirmed. The papers in this case may be remanded to the Superior Court.
Notes
. General Laws 1956 § 11-47-24 provides:
"No person shall change, alter, remove, or obliterate the name of the maker, model, manufacturer's number, or other mark of identification on any firearm. Possession of any firearm upon which any of these marks shall have been changed, altered, removed, or obliterated shall be prima facie evidence that the possessor has changed, altered, removed, or obliterated it. Violation of the provisions of this section may be punished by imprisonment for not more than five (5) years.”
. Throughout the transcript of the suppression hearing officer Zuena is called "Sorena.” Because the rest of the record identifies him as Zuena, however, we refer to him as such in our opinion.
. The vehicle actually was owned by Lone Thammavongsa, the mother of Huy’s girlfriend, Bounma Thammavongsa. According to Huy's pretrial testimony, he drove Lone’s automobile on a regular basis. Bounma was sitting in the passenger seat of the vehicle when the police officers boxed it in.
. Additionally, defendant purported to object to the fact that his statement to the police, in which he admitted that the firearm was his, was the result of a knowing, intelligent, and voluntary waiver of his rights. However, defendant has not raised the Fifth Amendment on appeal.
. The dissent disagrees with this holding and criticizes the majority for declining to reach the merits of the motion to suppress. But in this case, the dissent neither addresses the merits nor tackles the thorny question of the continued viability of the stipulation of facts should the motion to suppress be granted.
Dissenting Opinion
dissenting.
I respectfully dissent from the holding of the majority that the defendant failed to preserve his Fourth Amendment contentions on appeal.
The record on appeal reflects the following facts. The defendant was arraigned and charged with violating G.L. 1956 § 11-47-8(a)
The exclusionary rule
The majority is troubled by the fact that neither the gun nor Huy’s incriminating statement was entered into evidence during the jury-waived trial. Citing Linkey v. Maryland,
Furthermore, I disagree with the majority’s view that the poisonous tree lacked fruit. In Linkey, the court reasoned that the exclusionary rule keeps out tainted evidence, so that if the tainted evidence, or its fruit, never becomes part of the eviden-tiary bundle at trial, the conviction is not based on any error that would warrant the application of the exclusionary rule. But, there is no requirement that evidence that a defendant seeks to exclude must be documentary or tangible in nature. To the contrary, under the Fourth Amendment,
Here, although the prosecutor never offered the actual firearm or the documents containing Huy’s incriminating statement at trial, in my judgment this is irrelevant to the preservation of Huy’s appeal. Huy’s pre trial motion sought to “suppress any and all reference to or use of, tangible evidence seized” and “all use of or reference to any evidence derived from this unlawfully seized material.” There can be no doubt that the trial justice considered the fruit of the alleged illegal search. He considered the police officer’s testimony that he found a weapon in the trunk of the car. Also, he considered the police officer’s testimony that Huy gave a statement in which he admitted to owning the firearm.
Huy’s stipulated-bench trial is not a plea of guilty
In effect, the majority’s decision essentially equates Huy’s stipulated-bench trial to a guilty plea by concluding that Huy waived his right to appeal to this Court because he stipulated to the facts and relieved the prosecutor of her burden of proof. See State v. Keohane,
In the case at hand, the proceedings below were distinctly adversarial. Huy did not plea bargain, he did not plead guilty, he did not plead nolo contendere, he did not waive his right to present evidence, and he did not waive his right to cross-examine witnesses. The trial justice weighed the evidence, engaged in inferential fact-finding, and found sufficient evidence to conclude that Huy was guilty. During the trial, Huy also asserted “qualifications” that were essentially defenses challenging the admissibility of the state’s evidence. See Sullivan,
Huy’s appeal is not moot
It seems to me that the majority’s opinion is based upon principles of mootness. In other words, it suggests that a ruling by this Court would not affect the conviction and would therefore, not redress Huy’s injury. Cf. United States v. Larson,
However, unlike Linkey or Larson, and contrary to the majority’s assertion, I respectfully submit that Huy did not concede to “the ultimate facts sought to be proved.” The defendant did not stipulate that he knowingly carried a firearm with obliterated marks. Rather, he stipulated that he did not have a license to carry a firearm, that he “was in the driver’s seat,” that “[p]olice [ojfficer A’Vant conducted a search of the vehicle’s trunk and discovered a .45 caliber with laser site hidden beneath a large speaker,” and that “[t]he .45 caliber with laser site had an obliterated serial number.” An essential element to convict under § ll-47-8(a) requires “conscious carrying,” and there must be proof that “the defendant’s knowledge was there, that he was knowingly carrying a pistol in that vehicle.” State v. Benevides,
The distinction between stipulations and agreed facts
I agree with the majority that there may be a difference in the effect of stipulating to the facts that the evidence will show and submitting an agreed statement of facts. See Barnes,
I see little foundation for the majority’s assumption that Huy “agreed to the facts upon which the decision of the trial justice was based.” In my opinion, this is not so clear from the record. The written document entered into the record is simply entitled “Stipulation.” When presented with the stipulation, the trial justice, remarked, “I might add for the record that the Court has held a motion to suppress in this case. The stipulated facts seem to track the evidence that came out in that hearing on that motion.” Further, Huy’s counsel said that “these were the facts that were elicited at the suppression hearing, and that’s why we agree and stipulate to that.”
Conclusion
In sum, the majority’s decision dispatches Huy’s appeal as if he had pled guilty, when he clearly did not intend to waive his rights to a decision by a fact-finder. To preserve his appeal, the majority would have him go through the repetition of a proceeding in which the state would call
. General Laws 1956 § ll-47-8(a) provides in pertinent part:
“No person shall, without a license or permit issued as provided in §§ 11-47-11, 11-47-12 and 11-47-18, carry a pistol or revolver in any vehicle or conveyance or on or about his or her person whether visible or concealed, except in his or her dwelling house or place of business or on land possessed by him or her or as provided in §§ 11-47-9 and 11-47-10.”
. The exclusionary rule may apply to a defendant’s incriminating statements obtained by exploitation of illegally seized evidence. See State v. Jennings,
. In fact, I take note of several cases in which, although waiver was not at issue on appeal, this Court reached the merits of appeals based on motions to suppress after defendants were found guilty after stipulated-bench trials. See State v. Swindell,
.Although in State v. Dustin,
. Although the record contains the stipulation that Huy gave a statement admitting that the gun belonged to him, he asserted the defense that the statement was not voluntary. Furthermore, this statement does not amount to an admission that Huy knew that his gun was in the car or that he knew he was carrying the gun. See § ll-47-8(a); State v. Benevides,
.Huy is not seeking to withdraw his stipulation or contradict any stipulated facts on appeal. Rather, his appeal is based on facts submitted to the Court by stipulation that flowed from the testimony in the suppression hearing relating to an illegal search. With all due respect, I believe that the majority needlessly latches on to the fact that Huy attempted to contradict the stipulation by arguing he was arrested before the search. At oral argument, however, Huy's counsel acknowledged that his argument that there was an illegal arrest would not affect the outcome of his appeal. This is so because if the police had probable cause to search the vehicle at the time of the stop, whether he was arrested before or after the weapon was discovered would have no bearing on the outcome of the appeal. Likewise, if the police lacked probable cause to search, the illegality of the arrest would not change the outcome. Consequently, Huy essentially waived the arrest argument, basing his case solely on his arguments about the illegality of the search.
. It should be no surprise that at oral argument, Huy’s counsel asserted that the stipulation was to evidence.
. Huy's stipulation that he did not have a license to carry a weapon was made separate from the stipulation read into the record and can fairly be considered an agreed statement of fact rather than a stipulation of evidence because this fact was never elicited at the suppression hearing. The fact that Huy made this factual assertion separate from the stipulation at issue further supports a conclusion that the latter was meant to serve as an agreement only to the content of the testimony.
