Lead Opinion
OPINION
¶ 1 Aрpellant Johnathon Serna (Serna) appeals from his conviction for misconduct involving weapons, a class four felony. The dispositive issue on appeal is whether, in what the superior court found was a consensual encounter, the police officers were entitled to retrieve a weapon from Serna’s person. For the following reasons, we affirm.
FACTS AND PROCEDURAL BACKGROUND
¶ 2 On October 25, 2010, at approximately 10:00 p.m., two police officers were in their patrol car driving on North 28th Avenue in Phoenix. Officers described the area as “high crime,” a “gang neighborhood” where “violence takes place,” and having “numerous drug complaints.” The officers saw Serna and a woman standing in the middle of an intersecting street, Garfield. The officers turned their ear onto Garfield and after they did so, Serna and the woman separated. The woman walked north; Serna walked south to a friend’s house. Officers described this as a common stratagem in the arеa, as persons disperse to avoid contact with law enforcement inquiries into potential criminality.
¶ 3 The officers stopped their car in front of the house and got out. One of the officers called to Serna to get his attention. Serna turned around and walked toward the officers. Serna was “very cooperative and polite.” The officer who called out to Serna asked him if he lived at the house. Serna responded the house belonged to a friend. The officer then observed a bulge on Serna’s waistband and asked him if he had any firearms or illegal drugs.
¶ 4 After the officer removed the gun, the other officer asked Serna if he had ever been incarcerated or had any felony convictions. Serna said he had been convicted of a felony. The two officers then arrested him as a prohibited possessor. See Arizona Revised Statutes (A.R.S.) section 13-3102(A) (Supp. 2012).
¶ 6 The superior court denied Serna’s suppression motion. After finding the encounter as described above was consensual (“Given the totality of the circumstances, the encounter ... was not so intimidating that a reasonable person would feel he was not free to leave.”), and noting the characterization of the area in which the encounter took place (“a ‘violent’ and ‘gang
DISCUSSION
¶ 7 Serna does not take issue with the factual findings made by the superior court, all of which are summarized above. Instead, he argues that even assuming the encounter was consensual, the Fourth Amendment did not allow the police to frisk him for “safety purposes absent reasonable grounds to believe he was involved in criminal activity.” The argument Serna raises presents an issue of law; thus our review is de novo. State v. Moody,
¶ 8 The Fourth Amendment prohibits “unreasonable searches and seizures.” U.S. Const, amend. IV. Generally, there are three types of encounters between police and individuals, each with different degrees of government intrusion and implications under the Fourth Amendment.
¶ 9 The first is a consensual encounter in which an individual willingly agrees to speak to police officers. An encounter is consensual “[s]o long as a reasonable person would feel free to disregard the police and go about his business.” Florida v. Bostick,
¶ 10 The second type of encounter, based on Terry v. Ohio,
1Í11 Terry also addressed when police may perform a protective search, a limited pat-down for weapons called a Terry frisk. Although a Terry stop and a Terry frisk are both seizures under the Fourth Amendment, these seizures have different justifications. A police officer may conduct a Terry stop if the officer has “a reasonable suspicion supported by articulable facts that criminal activity ‘may be afoot,’ ” United States v. Soko-low,
¶ 12 The third type of police-citizen encounter is an arrest — a classic seizure under the Fourth Amendment that must be based on probable cause.
¶ 13 We consider here whether, under the Fourth Amendment it was reasonable for the officers to retrieve the gun from Serna’s waistband for officer safety pursuant to Terry. Citing In re Ilono H.,
¶ 14 In Ilono, a panel of this court held a police officer was not entitled to conduct a protective search as part of a consensual encounter even if the officer had reasonable grounds to believe the target of the encounter was armed and dangerous in the absence of any reason to believe the target had committed or was committing a crime. Id. at 476, ¶ 11,
¶ 15 In State v. Caraveo,
¶ 16 That most Terry frisks are preceded by Terry stops does not make the former dependent on the latter. Consensual encounters can escalate; what begins as a benign conversation between a police officer and an individual can evolve and give rise to a reasonable suspicion that the individual is involved in criminal activity or, even if not involved in such activity, is armed and presently dangerous. We agree that the “danger to officer safety that justifies a protective search may arise after a consensual encounter or investigative stop” has begun. Davis,
¶ 18 In Orman, in what was clearly a consensual encounter, a police officer working off-duty for a shopping mall approached the defendant and asked to speak to him. After the defendant said “sure,” the officer told the defendant he had information the defendant was carrying a gun and asked if that was true.
¶ 19 We agree with Orman’s holding that a protective Terry frisk is justified where “a reasonably prudent [officer] in the circumstances would be warranted in the belief that his safety or that of others was in danger,” whether arising from a consensual encounter or a Terry stop. Id. (quoting Terry,
¶ 20 The Supreme Court’s decision in Pennsylvania v. Mimms,
¶ 21 “[T]he purpose of a limited protective search for weapons is to allow a police officer to pursue his work without fear of violence.” Orman,
¶ 22 To make this determination, a court is obligated to consider all of the circumstances. See Terry,
¶ 23 Here, the officers approached Serna at night in a gang-ridden, dangerous, and violent area of Phoenix. After the officers noticed the “bulge” on Serna’s right side, they asked Serna if he was armed and, when he admitted he was, had him place his hands on his head
¶ 24 Considering these circumstances in light of all the ease law, especially Orman and Mimms, we hold that the superior court correctly denied Serna’s motion to suppress the gun.
¶ 25 Our holding gives police enough flexibility to react reasonably to whatever situation confronts them while still safeguarding the Fourth Amendment protections of lawfully armed individuals. ¶25 We therefore affirm Serna’s conviction and sentence.
Notes
. A neighbor testified that Serna was also asked whether he had thrown something away.
. See Arizona Revised Statutes (A.R.S.) section 13-3102(K) (Supp.2012) (officer may take temporary custody of firearm during encounter with citizen).
. Because the statutes are the same in relevant part as when Serna committed his offense, we cite the current versions.
. "A complaint is a written statement of the essential facts constituting а public offense____" Ariz. R.Crim. P. 2.3(a). The officer's description of the neighborhood as "high crime" with "numerous drug complaints” appears in the factual statement of the complaint. Thus, this information is part of the case record; indeed, it forms part of the charging document. Cf. infra ¶ 57 note 14.
. But even if we did agree with the conclusion of the Ilono panel, this case is very different from
. The dissent argues that Mimms is limited to a traffic stop, which, the dissent posits, is a particularly dangerous type of encounter. The Mimms discussion on this point was in the context of an assertion that a traffic stop is less dangerous than other street encounters. We reject the idea that a routine traffic stop is inherently more dangerous than police investigations in other contexts, such as the high-crime neighborhood where this encounter took place.
. The dissent says this transformed the encounter into a detention. We do not agree that effectuating the statutorily authorized retrieval of the gun meant that the officers were at that point exercising physical restraint over Serna. In any event, the officer's direction that Serna move his hands so they could temporarily take custody of his gun was reasonable under the circumstances.
. We do not hold, as the dissent posits, that police may frisk a citizen simply because he is armed. We consider the totality of the circumstances in determining the objective reasonableness of police conduct. Nor, contrary to the dissent's assertion, do we mean to suggest that,
. The dissent asserts, citing A.R.S. § 13-3102(M)(1), that the applicability of § 13-3102(K) requires an "investigatory stop” based on reasonable suspicion. However, § 13— 3102(M)(1) authorizes an officer to temporarily retrieve a firearm from a subject in any “lawful ... criminal investigation.” In fact, the statutory definition of "contacted by a law enforcement officer” covers the gamut of police activity, from civil traffic matters, to criminal investigations, to detentions and arrests. This investigation conducted by officers working the dangerous streets in a criminal milieu, characterized by gang activity and illicit drug trafficking, is clearly a criminal investigation. This is so, even though the contact with Serna was consensual, the dissent’s assertion to the contrary notwithstanding. It is especially so if credit is given to the third-party witness’s testimony that officers believed Serna had thrown something awаy in this "high crime residential area with numerous drug complaints.”
Dissenting Opinion
Dissenting.
¶ 26 The dispositive issue in this appeal is whether the police violated Serna’s Fourth Amendment right to be free from an unreasonable search and seizure when, in what started as a consensual encounter, the police, without suspicion of any criminal activity by Serna or anyone else and without any reason to think he was dangerous, ordered him to place his hands on his head and then removed a gun he was wearing in a belt holster simply because they encountered him at night, in what they described as a bad part of town, and after he had told them he was carrying a gun. The majority says “no.”
¶ 27 I respectfully disagree and say “yes” for three separate, but interrelated reasons: first, the majority’s answer runs afoul of established Fourth Amendment principles that bar police in on-the-street encounters— such as what happened here — from doing precisely what they did unless they have reasonablе suspicion that criminal activity is “afoot”; second, the majority’s answer flies in the face of a state statute that, consistent with these principles, does not authorize police to do what they did here; and third, the majority’s answer treats everyone who is armed as being dangerous, an approach to the Fourth Amendment that cannot be squared with what that Amendment stands for.
I. Fourth Amendment Principles: Consensual Encounters and Terry Stops and Frisks
¶ 28 As relevant here, the Fourth Amendment states the “right of the people to be secure in their persons, houses, papers, and effects, against unreasonable searches and seizures, shall not be violated.”
¶ 30 A tension exists between an individual’s right to be left alone, free from government interference, and the flexibility police need to respond to a variety of situations that present differing levels of risk to themselves and the public. As the Supreme Court explained in Terry, the Fourth Amendment cannot be interpreted or applied in such a way as to “exclude the products of legitimate police investigative techniques.” Id. at 13,
¶ 31 The majority notes — correctly so — that consensual encounters can escalate. Police-citizen encounters are dynamic, fluid situations and the line between a consensual encounter and a Terry stop and frisk may shift. See Terry,
¶ 32 Instead, adopting the approach taken by the superior court in denying Serna’s suppression motion, the majority views the entire encounter between the police and Ser-na — from inception through the officers’ removal of his gun — as a consensual encounter. Although I agree the initial police — Serna encounter was consensual, the police officers escalated the encounter into a seizure under the Fourth Amendment when they ordered Serna to put his hands on his head. As one officer acknowledged at the suppression hearing, he “commanded” Serna to put his hands on his head. At that point, Serna was not free to go; he had been seized. Id. at 16,
¶ 33 Accordingly, the issue becomes whether at that point, the police were constitutionally entitled to seize Serna. The answer is “no”; the police had no reasonable suspicion that any criminal activity was “afoot” or that Serna had committed, was committing, or was going to commit a crime. Instead, as the officers acknowledged at the suppression hearing, when they approached Serna, it was just a “routine” inquiry, “kind of a thing [patrol officers] do.” The majority fails to address the utter absence of reasonable suspicion and instead reasons the police were entitled to seize Serna and conduct a
¶34 Thus, under the majority’s approach to the Fourth Amendment, police may turn what starts as a consensual encounter into a Terry stop and frisk without the Terry-required prerequisite for both — reasonable suspicion of criminal activity. See also supra ¶ 17. But, this approach flies in the face of the balance between individual rights and public safety the Supreme Court reached in Terry, which the Court reiterated as recently as 2009. In Arizona v. Johnson,
First, the investigatory stop must be lawful. That requirement is met in an on-the-street encounter, Terry determined, when the police officer reasonably suspects that the person apprehended is committing or has committed a criminal offense. Second, to proceed from a stop to a frisk, the police officer must reasonably suspect that the person stopped is armed and dangerous.
Id. at 326,
¶ 35 Even before the Supreme Court reaffirmed the prerequisites for a “stop and frisk” in Johnson, another panel of this court recognized the Fourth Amendment prohibits police from escalating a consensual encounter into a Terry stop and frisk unless they have reasonable suspicion of criminal activity, even if they reasonably believe the target of the encounter is armed and dangerous. In In re Ilono H.,
¶36 The majority rejects Ilono H. and, relying on a ease decided by the Ninth Circuit Court of Appeals, United States v. Orman,
¶ 37 Although I agree the justification for a Terry stop is different from the justification for a Terry frisk, the two actions are, as discussed above, interrelated; a Terry frisk is dependent on the circumstances of the stop. That is what Terry and the cases that properly apply it recognize. See Terry,
We merely hold today that where a police officer observes unusual conduct which leads him reasonably to conclude in light of his experience that criminal activity may be afoot and that the рersons with whom he is dealing may be armed and presently dangerous, where in the course of investigating this behavior he identifies himself as a policeman and makes reasonable inquiries, and where nothing in the initial stages of the encounter serves to dispel his reasonable fear for his own or others’ safety, he is entitled for the protection of himself and others in the area to conduct a carefully limited search of the outer clothing of such persons in an attempt to dis*524 cover weapons which might be used to assault him.
¶ 38 Further, the justification for a Terry stop — reasonable suspicion of criminal activity — and the justification for a Terry frisk — reasonable grounds to believe the person is armed and dangerous — reinforce one another to create meaningful Fourth Amendment standards for determining the legitimacy of police interference with individual liberty in the absence of probable cause to arrest. Allowing police to frisk a person in a consensual encounter without any reasonable suspiciоn of criminal activity significantly lessens the State’s burden of showing the police were entitled to invade a person’s right to be left alone which, in my view, is especially important in the context of a consensual encounter.
¶ 39 I then come to the heart of the majority’s approach to the Fourth Amendment— that requiring reasonable suspicion before police can frisk a person will hamstring police from doing their “legitimate duties” and put them in harm’s way. See supra ¶ 17. When phrased in such categorical, stark “it’s either this or that” terms, at first blush one would be hard pressed to disagree. But, the reality is not so stark.
¶ 40 First, implicit in the majority’s reasoning is the belief that reasonable suspicion of criminal activity and reasonable belief that an individual is armed and dangerous must arise sequentially. That is not necessarily true, however, and Terry does not require that. The grounds for a Terry stop and a Terry frisk can arise simultaneously. As the Supreme Judicial Court of Massachusetts explained in Commonwealth v. Narcisse,
[I]t is clear that [reasonable suspicion that an individual has committed, is committing, or is about to commit a criminal offense and is armed and dangerous] may occur simultaneously. In such cases, a reasonable belief that an individual has a weapon and appears inclined to use it acts to satisfy both prongs of the Terry analysis. When an individual appears to be ready to commit violence, either against police officers or bystanders, it is reasonable to believe that he is “about to commit a crime,” thus satisfying Terry’s first prong. Moreover, the individual’s conduct simultaneously gives rise to a reasonable belief that he is armed and dangerous, satisfying the second.
Id. at 446 (internal citations omitted).
¶ 41 Second, implicit in the majority’s reasoning is a belief that an armed person is a dangerous person, a point discussed in more detail below. See infra Part III, ¶¶ 48-53. The conclusion (dangerousness) does not inevitably follow, however, from the predicate (being armed). Indeed, when the police have no reasonable basis to suspect аny criminal activity, there is even less of a basis for “a reasonably prudent man in the circumstances [to believe] that his safety or that of others [is] in danger.” Terry,
¶ 42 Finally, implicit in the majority’s reasoning is the belief that the most important interest at stake here is police safety. The Fourth Amendment does not, however, require police to put themselves in harm’s way or ignore threats to their safety. As important as police safety is, the Fourth Amendment secures an equally important interest — the right of the people to be free from unwarranted police interference and restraint. The Supreme Court balanced those interests in Terry, and adopted a mechanism — the suppression of evidence taken in violation of the Fourth Amendment — to deter such improper police conduct. As the Court explained, “experience has taught that [the exclusion of evidence seized in violation of the Fourth Amendment] is the only effective deterrent to police misconduct in the criminal context, and that without it the constitutional guarantee against unreasonable searches and seizures would be a mere ‘form of words.’ ” Id. at 12,
¶43 In short, I cannot agree with the majority that police may conduct a Terry frisk as part of a consensual encounter when all they know is that the target of the frisk is armed. See infra ¶¶ 55-56. The record contains no evidence the police reasonably suspected any criminal activity when, after Ser-na admitted he was carrying a gun, the police ordered him to put his hands on his head and then removed his gun. As I see it, the
11. A.R.S. § 13-3102 and Public Policy
¶ 44 The majority also says its approach to the Fourth Amendment — which would allow police to conduct a Terry stop and frisk without any reasonable suspicion of criminal activity — is consistent with the “public policy of the legislature as to how officers should handle interactions with armed persons.” See supra ¶ 24 and supra ¶ 3 note 2. The majority, however, has misread what the Arizona Legislature did. Instead, the Legislature actually codified Terry’s reasonable suspicion requirement for such encounters.
¶ 45 By way of background, in 2010, the Legislature passed, and the Governor signed, Senate Bill 1108 which, with certain exceptions, authorizes Arizona residents and United States citizens to carry a concealed weapon. See A.R.S. § 13-3102(A)(2); 2010 Ariz. Sess. Laws, eh. 59, §§ 1-4 (2nd Reg. Sess.). As part of Senate Bill 1108, the Legislature also amended A.R.S. § 13-3102 — the statute that describes the criminal offense of misconduct involving weapons. As amended and as relevant here, a person commits misconduct involving weapons by knowingly carrying a deadly weapon and, “[wjhen contacted by a law enforcement officer,” failing “to accurately answer the officer if the officer asks whether the person is carrying a concealed deadly weapon.” AR.S. § 13-3102(A)(1)(b). Subsection K of AR.S. § 13-3102 provides that if “a law enforcement officer contacts a person who is in possession of a firearm, the law enforcement officer may take temporary custody of the firearm for the duration of that contact.” Characterizing this subsection as representing the “public policy of the legislature,” the majority suggests the Legislature’s policy is consistent with its approach to the Fourth Amendment — equating armed with dangerous. See supra ¶ 24. But, this is not the case.
¶ 46 The flaw in the majority’s reading of subsection K is that under A.R.S. § 13-3102(A)(1)(b), a police officer is not entitled to take possession of a firearm from a person unless the person was first “contacted by a lаw enforcement officer.” “Contacted by a law enforcement officer” means, as defined by the 2010 amendment and as relevant here, “an investigatory stop by a law enforcement officer that is based on reasonable suspicion that an offense has been or is about to be committed.” AR.S. § 13-3102(M)(1).
¶ 47 Accordingly, the “public policy” of this State is consistent with Terry.
III. Armed and Presently Dangerous
¶ 48 As noted above, the majority justifies its approach to the Fourth Amendment, in part, on the view that being armed equals being dangerоus regardless of the circumstances. I reject this equation.
¶ 49 First, the “armed equals dangerous” justification for a protective frisk dispenses with the concept and significance of dangerousness. As recognized by the Idaho Supreme Court in State v. Henage,
¶ 50 Second, the “armed equals dangerous” justification makes only one factor — being armed — significant. Yet, Terry instructs that when an individual challenges the legality of a frisk, a court is obligated to decide whether the frisk was objectively reasonable by considering all and not just one of the circumstances. Terry,
¶ 51 Third, the “armed equals dangerous” justification is not supported by the Supreme Court’s decision in Pennsylvania v. Mimms,
¶ 52 Seizing on the word “thus” in the foregoing quote, the majority reads Mimms as authorizing police officers to automatically frisk a person when the only basis for the frisk is the officer’s reasonable belief the person is armed. That reading, however, ignores the context for the court’s language — a traffic stop. Not only has the Court described that type of encounter as being “especially hazardous,” Michigan v. Long,
¶ 53 When the encounter is consensual, as it was here, and there is no reasonable suspicion of criminal activity, reasonable belief — indeed, even certainty — that the individual is armed does nоt, by itself, allow police to assume the individual is dangerous and to then invade that individual’s personal security. In my view, Terry meant exactly what it said: when an officer has reasonable suspicion of criminal activity, then the officer is entitled to conduct a protective search when,
TV. Totality of the Circumstances
¶ 54 The “central inquiry under the Fourth Amendment” is the “reasonableness in all the circumstances of the particular governmental invasion of a citizen’s personal security.” Id. at 19,
¶ 55 The officers first saw Serna and a woman standing in a street when they decided to approach them. They turned their car and drove towards them. Serna and the woman separated, which is not at all surprising because they were in the street with a ear coming towards them. Serna then walked to a friend’s house. When the officers approached him, they had no reasonable suspicion that crime was “afoot.” They described no evasive action, questionable movement, or suspicious behavior that could justify any reasonable belief Serna, or anyone else for that matter, had committed or was about to commit a crime.
¶ 56 The officers then called out to Serna. He acknowledged them, walked toward them, and was cooperative and polite. They saw a bulge on the side of his hip, near his waist, and asked him if he was armed. Serna said yes. The offiсers “commanded” Serna to put his hands on his head and then removed his gun from the belt holster he was wearing around his waist. At no time did Serna do anything to cause the officers to reasonably believe that because of this fact and this fact alone, the circumstances had changed. Indeed, at the suppression hearing, the police described nothing more than a consensual encounter, what one officer described as a “consensual contact” with a person they now knew was carrying a gun.
¶ 57 Now, as part of the circumstances described by the officers at the suppression hearing, they knew Serna was in a bad neighborhood, a gang neighborhood where there had been violence.
¶ 58 Considering the totality of the circumstances, the officers did not have reasonable suspicion to make a Terry stop and most assuredly did not have reasonable grounds to believe Serna, although armed, was dangerous. At the suppression hearing, the officers testified they ordered Serna to put his hands on his head and then seized his gun as a matter of general practice. As one of the officers explained: “given the fact ... it is a dangerous neighborhood, and for officer safety reasons, when you’re talking with somebody, you typically don’t like to talk to them when they have a gun on them because it could be hazardous for you.”
¶ 59 General practice, however, cannot trump the Fourth Amendment.
¶ 60 For the foregoing reasons and on this record, I respectfully disagree with the majority’s approach to the Fourth Amendment. The police were not entitled to seize Serna and remove his gun under the Fourth Amendment, and the superior court should have granted Serna’s motion to suppress. I would reverse Serna’s conviction and remand this matter for further proceedings consistent with suppression of the gun evidence.
. The Fourth Amendment's prohibition against unreasonable searches and seizures is applicable to the states through the Due Process Clause of the Fourteenth Amendment. State v. Hutton,
. I address the "bad neighborhood" circumstance infra ¶ 57.
. In full, A.R.S. § 13 — 3102(M)(1) states that " '[c]ontacted by a law enforcement officer’ means a lawful traffic stop or criminal investigation, arrest or detention or an investigatory stop by a law enforcement officer that is based on reasonable suspicion that an offense has been or is about to be committed.” The majority appears to suggest that the seizure here can be justified under this provision because the officers were conducting a "criminal investigation.” See supra ¶ 24 note 9. The problem with this suggestion is that it flies in the face of the facts. The officers were on a routine patrol when they saw Serna; they were not conducting a "criminal investigation,” and even they characterized their encounter with Serna as being nothing more than consensual. As one officer stated, "Again, this was a consensual contact.”
. The Final Amended Fact Sheet for S.B. 1108, prepared by Senate Research and dated May 4, 2010, explained the legislation ”[s]pecifie[d] that if a person in possession of a firearm is contacted by a law enforcement officer, the officer may take temporary custody of the firearm for the duration of the contact.”
. Even if A.R.S. § 13 — 3102(K) could be construed to allow police to conduct a Terry stop and frisk without reasonable suspicion of criminal activity, it would be unenforceable under the Fourth Amendment. U.S. Const, art. VI, cl. 2
. Facts matter here. The majority cites to certain "facts” that are not part of the record made at the suppression hearing. Contrary to what the majority repeatedly says, see, e.g., supra ¶ 2, no one testified at the suppression hearing that the area the officers were patrolling when they found Serna was a "high crime” area, with "numerous drug complaints.” Thus, not only did the superior court not consider these "facts” when it denied Serna’s motion to suppress, but these "facts" are not "facts" we are entitled to consider in reviewing the superior court’s ruling. E.g., State v. Spears,
The majority also relies on other "facts” that are, at best, dubious. First, the majority notes the record contains no evidence the officers "touched Serna’s person in the course of retrieving” his gun. See supra V 16 note 5. Really— when Serna’s gun was in a belt holster on his waistband? Second, the majority notes a neighbor testified at the hearing that she heard the officers asking Serna whether he had thrown something away. See supra ¶ 3 note 1 and ¶ 24 note 9. The officers — who were both extensively questioned about what they said to Serna both before and after they seized his gun — never mentioned asking Serna if he had thrown something away.
. The reason why the high crime area circumstance, standing alone, cannot justify a Terry stop or frisk should be obvious: it can allow for racial, ethnic, and socio-economic profiling. United States v. Caruthers,
