Lead Opinion
Clarence Frazier Banks, III appeals from his conviction, following a jury trial where he was found guilty of being a felon in possession of a firearm in violation of 18 U.S.C. § 922(g). On appeal, Banks argues the following: (1) the district court
I.
Des Moines police arrested Banks on May 4, 2004 when he drove up to the driveway of a house where they were executing a narcotics search warrant. Officer Mahlstadt found narcotics on or near Banks, who told police his name was Andre Stevens. Banks was released before police learned his true identity or that he was wanted on-out-of state warrants. On May 12, Officer Stueckrath was conducting surveillance when he observed Banks in a car. He arrested Banks on the out-of-state warrants and identified the car as being registered to Brenda Jones. That same day Officer Mahlstadt contacted Jones. He learned that Banks had been staying at Jones’s apartment and that she had loaned him her car. Officer Mahlstadt obtained consent from Jones to search her apartment for contraband.
Inside the apartment, Mahlstadt sat with Jones while Officer Mathis searched the bedroom. Jones told the officers that they would find a small bag of marijuana in her bedroom closet, and Officer Mathis seized it. On the floor in Jones’s bedroom, Mathis found a black zippered gym bag. Inside the gym bag, he found a locked, plastic container bearing the words “PHOENIX ARMS,” men’s clothing, and a credit card offer letter addressed to Andre Stevens. Mathis loosened the hinge on the Phoenix Arms container and seized a Phoenix Arms semi-automatic pistol and ammunition, along with a receipt for the gun from a Colorado pawn shop made out to Andre Stevens. Upon further search of the bag, Mathis discovered an Alcohol, Tobacco, and Firearm (ATF) purchase form for the gun, which was also in the name of Andre Stevens. Mathis seized the gun, ease, ammunition, receipt, ATF form, and letter.
Jones told police that the bag belonged to Banks, although she referred to him as Andre Stevens. Banks was indicted for being a felon in possession of a firearm under 18 U.S.C. § 922(g). At trial, Banks stipulated to the use of the alias. Jones identified him as Andre Stevens, along with testifying that he spent several nights at her apartment and that he had borrowed her car with permission. Banks was convicted of violating § 922(g). He was sentenced to 100 months’ imprisonment, followed by three years of supervised release.
The threshold issue in this case is whether Officer Mathis’s search of the locked gun case and seizure of its contents violated Banks’s Fourth Amendment rights. Banks filed a motion to suppress the gun, arguing Mathis violated his Fourth Amendment rights when he broke open and searched the gun case without a warrant. The district court denied the motion, holding that no Fourth Amendment search occurred because Banks had no reasonable expectation of privaсy in the contents of what was plainly a gun case. Banks appeals the denial of his motion to suppress.
We review “findings of historical fact only for clear error and ... give due weight to inferences drawn from those facts by resident judges and local law enforcement officers,” but the ultimate conclusion of whether an exception to the warrant clause exists we review de novo. Ornelas v. United States,
A.
Police may seize, without a warrant, an item that is 1) in plain view 2) when it is observed from a lawful vantage point,
First, we consider whether police should have obtained a warrant before they opened the Phoenix Arms container. Observing objects in plain view violates nо reasonable expectation of privacy, which obviates the need for a search warrant. Horton v. California,
There is some suggestion, however, that this does not end the inquiry of whether police may open the container without a warrant because the contents of a single-purpose container are not truly in plain view. In Arizona v. Hicks, the Court gave life to the idea that some lesser invasions of privacy might be justified without a warrant when part of the object is in plain view and police have probable cause to seize it.
B.
We now turn to the application of the law to the facts before us. First, plain view requires that police observe the container from a lawful vantage point. Jones gave the officers consent to search her apartment, which is where they observed the gun case. Second, the container must be readily identifiable as a single-purpose container whose distinctive configuration allows police to infer its contents, United States v. Meada,
Not only was [the case] a molded plastic case, a configuration handgun manufacturers commonly use when initially packaging a firearm for the end consumer, this particular case had the manufacturer’s name, dearly indicating an arms product, imprinted on the entire length of the front of the case....
United States v. Banks, No. 4:05-cr-00049, slip op. at 16 (S.D.Iowa Sep. 15, 2005) (emphasis added). Particularly persuasive is the factual finding by the district court that the Phoenix Arms container was consistent with containers that handgun manufacturers “commonly use when initially packaging” a firearm, id., because such a finding supports the single-purpose nature of this container. This finding is supported by the size of the writing on the case: “PHOENIX ARMS” spans the width of the case and consumes about a quarter of the length of the case. These characteristics are similar to those of a container the First Circuit held was readily identifiable as a gun case. Meada.
Banks argues that the district court’s determination must be made from the perspective of a lay person. In other words, he contends the district court may not consider testimony based on the special expertise of a police officer, knowledgeable in firearms, in deciding whether a case is readily identifiable as a gun case. See United States v. Gust,
Finally, we consider whether police had probable cause to seize the gun case.
The collective knowledge doctrine imputes the knowledge of all officers involved in an investigation upon the seizing officer in order to uphold “an otherwise invalid search or seizure.” United States v. Gillette,
The record shows that Officer Stueck-rath was investigating Banks’s fugitive status, while Officers Mathis and Mahlstadt investigated Banks’s possible involvement in narcotics. Banks argues that since the two investigations were independent, the collective knowledge doctrine should not apply. However, the two investigations were neither entirely independent nor entirely dependent upon onе another. The record is clear that the officers were exchanging information and communicating with each other regarding their respective investigations. Banks, No. 4:05-cr-00049, slip op. at 4 (S.D.Iowa Mar. 21, 2006). In fact, Officer Stueckrath was present either just before or just as the gun case was being opened. Even if his investigation was independent from Mathis’s and Mahls-tad’s, his presence at the seizure is enough to justify application of the collective knowledge doctrine. See United States v. Blow,
III.
Banks complains that the district court abused its discretion when it admitted the pawn shop receipt and ATF form. We review the district court’s evidentiary rulings for abuse of discretion. United States v. Sanchez-Godinez,
In addition to the sales receipt that Officer Mathis found in the Phoenix Arms case, the government also introduced an ATF purchase form that it obtained from the Colorado pawn shop which sold the gun, in order to show that the gun was sold to a man using the name Andre Stevens. Banks argues that the district court erred when it admitted the ATF purchase form into evidence under Fed.R.Evid. 807, the residual hearsay exception, relying uрon an interpretation of that rule by the Fourth Circuit in United States v. Simmons,
In Simmons, a split panel of the Fourth Circuit approved of the admission of an ATF tracing form under Rule 807.
Here, the point of contention between the parties is the circumstantial guarantee of trustworthiness of the form.
The ATF form would fall within the business records exception; however, the government did not call a witness from the pawn shop who was familiar with its record-keeping practices. Business records are admissible despite being hearsay because of their unusual reliability, which includes “systematic checking, by regularity and continuity which produce habits of precision, by actual experience of business in relying upon them, or by a duty to make an accurate record as part of a continuing job or occupation.” Fed.R.Evid. 803 advisory committee note to 1972 Proposed Rules ¶ 6. The business record itself does not establish these things. A witness is necessary to show that the statement was made at or near the time of the transaction, kept in the course of regularly conducted activity, and prepared in the regular course of business. Fed. R. Evid 803(6); See United States v. Franks,
In this case, however, those record-keeping practices are mandated by law. Unlike other businesses, a firearms dealer is required to record all of its sales on Form 4473. 27 C.F.R. § 478.124(a). Specific information must be collected, including the buyer’s name, sex, address, date and place of birth, height, weight, race, citizenship status, and a certification that the buyer is not a person prohibited from possessing a firearm. Id. at § 478.124(c)(1). A dealer must maintain Form 4473 in an indexed manner for no less than 20 years after the date of sale. Id. at § 478.129(a). Upon demand, a dealer must make available its records for inspection by ATF officers. 27 C.F.R. § 478.121(b). Failure to comply with these provisions may result in the dealer losing its license to sell firearms. On Target Sporting Goods, Inc. v. Attorney General,
As the note to Rule 803 emphasizes, when a statement is made concurrent with a “duty to make an accurate record as part of a continuing job or occupation” we can infer a certain level of trustworthiness. Fed. R. Ev. 803 advisory committee note to 1972 Proposed Rules ¶ 6. In most cases, this duty is established by testimony of a record’s custodian. In this case, it is established by the ATF regulations requiring proper record keeping practices. Simmons,
B.
We next consider whether the district court erred in admitting the gun receipt into evidence. Although the receipt would clearly be hearsay for the purpose of proving that Banks purchased the gun, the district court admitted the receipt for a nonhearsay purpose. Banks asserts that the prosecutor used the receipt in the hearsay manner. Even if he is corrеct, however, any error committed was harmless because it did not affect the substantial rights of the defendant, United States v. Melecio-Rodriguez,
C.
Banks argues that insufficient evidence exists to support his conviction. We consider the evidence in the light most favorable to the government and reverse only if no reasonable jury could have found Banks guilty. United States v. Dabney,
The jury heard credible testimony from Brenda Jones that Banks left a gym bag at her apartment. Officer Mahlstаdt testified that the gun case and gun were found inside the gym bag along with the ATF form, the receipt, and the credit card offer letter — each of these documents contained the alias that the Banks admitted to using. Banks was linked to Jones not only by her testimony, but by the fact that he was arrested driving her car. As to the second element, the jury considered the ATF form, which demonstrated that the gun was sold by a dealer in Colorado, along with the opinion of ATF Agent Pritchett that the gun was manufactured in Ontario, California. The gun was seized in Brenda Jones’s Iowa apartment. These facts are sufficient to support the conviction.
IV.
Finally, Banks appeals his sentence. A district court must impose a sentence that is in accordance with the sentencing factors specified in 18 U.S.C. § 3553(a). Although United States v. Booker,
A.
The district court found that Banks had committed two prior felony crimes of violence. Accordingly, the district court calculated his offense level at 24. See USSG § 2K2.1(a)(2). Banks admits to the two felonies, but contends that neither one satisfied the standard to be categorized as a crime of violence. We review the district court’s determination de novo. United States v. Alas-Castro,
Banks’s second enhancing felony was a conviction for sexual assault on a child. Banks argues that since thе crime can be committed by mere sexual contact with a minor, it is not necessarily a crime of violence. Sexual contact between parties of “differing physical and emotional maturity carries ‘a substantial risk that physical force ... may be used in the course of committing the offense.’ ” Alas-Castro,
B.
Next, Banks argues that his criminal history category wаs miscalculated as a Category YI instead of a Category Y. “We review the district court’s interpretation and application of the sentencing guidelines de novo and its factual findings for clear error.” United States v. Brave Thunder,
Once the government has proven the fact of conviction, the defendant bears the burden of proving the conviction was constitutionally infirm. United States v. Charles,
C.
Lastly, Banks argues that the district court imposed an unreasonable sentence. His recommended guidelines range was 100 to 125 months. The district court sentenced him to 100 months, the lowest end of the guidelines range. We review the ultimate sentence for reasonableness. United States v. New,
Banks argues that the district court failed to consider several facts in calculating his ultimate sentence, including the fact that he had an overly strict father, that his parents divorced when he was 15, that he was a bright, intelligent and engaged child, that he has two minor children, that he obtained his GED and took business classes at the community college, and that he worked as a drug counselor. According to the record, Banks raised these facts in his sentencing memorandum and the district court considered each § 3553(a) factor. While some of these facts are commendable and some are unfortunate, we cannot say that the district court failed to give them proper weight. To the contrary, the district court sentenced Banks to the low end of the guideline recommendation. This suggests that the district court gave consideration to the facts advanced by Banks in coming to his
V.
For the reasons stated, we affirm the judgment of the district court.
Notes
. Chief Judge Loken concurs in all but Part II.A of this opinion.
. The Honorable Robert W. Pratt, Chief Judge, United States District Court for the Southern District of Iowa.
. Banks does not argue that the police conducted an unlawful search when Officer Mathis went through the gym bag, conceding that Mathis was in a lawful vantage point when he found and observed the exterior of the gun case.
. Banks only argues this point in his brief and admits that along with the receipt the ATF form was "the crucial piece[] of evidеnce relied upon by the government." Banks does not address the other Rule 807 requirements.
. Banks stipulated to the third element of the offense, that he was a prohibited person under 18 U.S.C. § 922(g).
. Even a Class 5 felony is punishable by a term exceeding one year. Colorado Rev. Stat. § 18-1.3-401.
. Banks also argues that the assessment of one point for committing the instant offense within two years of release from custody for another offense was in error, because he served time for the other charge after the instant conduct and not before. USSG § 4A1.1 (e), comment (n.5) (noting that this section applies only if the conduct occurs after the release from custody). The government admits this error. As a result, Banks hаs 13 criminal history points, not 14. Nevertheless, he is still in criminal history category VI. See United States v. Evans,
Concurrence Opinion
concurring.
I join the opinion of the court except Part II.A, which I consider unnecessary. Part II.A concludes that the police need probable cause, but not a warrant, to open a single-purpose container in plain view. The probable cause requirement is needed, the court explains, to make clear that the police may not “open any seemingly innocuous single-purpose container.” Ante at 774. Though the concern is legitimate, the court’s remedy is redundant. The plain view doctrine authorizes seizure of an item only when the incriminating nature of the item is immediately apparent. As the court explains in Part II.B, the incriminating nature of the firearm kept in Banks’s single-purpose container was immediately apparent, which satisfied the probable cause requirement. In other words, requiring probable cause adds nothing to the safeguards inherent in the narrow plain view and singlepurpose-container doctrines. See United States v. Weinbender,
The more difficult issue is whether the police must also obtain a warrant before opening a single-purpose container that the plain view doctrine authorizes them to seize, when that container has been found during the consensual search of a home. See United States v. Chadwick,
