Lead Opinion
This appeal from convictions for drug-related crimes raises several significant issues, one of which involves standing to invoke a violation of the federal requirement for announcement before entry into a residence to serve a search warrant.
I
In June 1987, the Portland Police Bureau began investigating cocaine trafficking in the near north and northeast areas of the City of Portland, Oregon. Acting upon information supplied by a confidential informant, the police paid special heed to four individuals, Bradford Lockett, Herbert Lockett, Keith Horsley, and Marcella Manning. Portland police officers began to monitor the activities of Bradford Lockett (“Lockett”) and Manning, observing Lock-ett’s activities approximately ten to twenty hours per week from October 1987 until his arrest on February 6, 1988.
During this period, Portland police officers observed Lockett engage in numerous suspicious activities. On two occasions, they observed Lockett accompany Marcella Manning (who appeared to be Lockett’s girlfriend) to the Portland airport. In both instances, the pair drove their car in a manner that suggested that they were attempting to elude followers. At the airport, they avoided being seen with each other. Each time, Manning boarded a flight to Los Angeles; her name, however, was not on the passenger lists for any of these flights, suggesting that she purchased her tickets under an alias.
During the evening of January 19, 1988, Portland police set up a surveillance of a residence located at 6237 North Montana Street. Manning and another individual were observed through a picture window packaging a controlled substance. Lockett was present in the same room during most of this time, although he was never personally observed participating in the packaging process.
Also in January, Lockett and a young woman named Marvina Allen entered the Union Avenue branch of United States Bank with a briefcase containing $50,000 in cash and sought to purchase a cashier’s check. When Lockett was informed that a currency transaction report would have to be completed regarding the transaction, Lockett left the bank, returning later with Charles Allen. Lockett claimed that the money belonged to Charles Allen and Mar-vina Allen, even though Charles Allen was unemployed and Marvina Allen worked as a telephone operator.
On February 6, 1988, the police again began monitoring Lockett’s activities. Lockett and Marcella Manning were observed leaving an apartment located at 129 Northeast Thompson Street at approximately 3:05 p.m. The pair went to 6209 Northeast Seventh Avenue, where Manning delivered a blue and grey bag. They then proceeded to the 6237 North Montana Street residence. Both Lockett and Manning went into this location, where they remained for ten minutes. They then returned to the Thompson Street residence at approximately 4:00 p.m. As the evening progressed, the police observed numerous individuals go to the front door and then quickly leave.
At 7:13 p.m. that evening, numerous members of the Portland Police Bureau served a search warrant at the Thompson Street residence.
A subsequent search of Lockett’s residence, which he shared with his parents, revealed currency totaling $25,000.
Lockett was eventually convicted by a jury on four counts: conspiracy to possess cocaine with intent to distribute, conspiracy to distribute cocaine, distribution of 500 grams or more of cocaine, and possession of 500 grams or more of cocaine with intent to distribute. This timely appeal followed.
II
Lockett argues that evidence obtained as a result of the search at 129 Northeast Thompson Street must be suppressed because the searching officers violated the “knock and announce” statute, 18 U.S.C. § 3109 (1988).
A
A person whose personal interests have not been infringed by an unannounced police entry does not have standing to challenge the entry under section 3109. See United States v. Valencia-Roldan,
Accordingly, to determine whether Lock-ett has standing under section 3109, we first examine the purposes underlying section 3109. In United States v. Bustamente-Gamez,
B
We turn first to Lockett’s claim that he had an expectation of privacy in the Thompson Street residence. Lockett concedes that he did not reside at or hold a proprietary interest in the residence. However, Lockett maintains that he had an expectation of privacy nonetheless, citing our rule that a “formalized arrangement among defendants indicating joint control and supervision of the place [searched] is sufficient to support a legitimate expectation of privacy.” United States v. Johns,
The defendant bears the burden of proving that he has a legitimate expectation of privacy. See Rawlings v. Kentucky,
C
Lockett also contends that he has standing within the scope of section 3109’s safety rationale as set forth in Bustamente-Gamez and Ruminer merely because he was present at the Thompson Street residence at the time of the search. The safety rationale has been explained as follows:
Surreptitious entry of private premises ... is also fraught with physical — even mortal — danger for both the occupants of the private premises and the police. The occupants, on discovering the unidentified intruders, may attempt to shoot them, and the police will doubtless return the fire. This danger was one of the reasons for enactment of 18 U.S.C. § 3109 requiring knocking and notice to occupants before entry to execute a search warrant.
Ford,
Nevertheless, even if we assume that section 3109 was violated, the mere possession of standing under that section’s safety rationale is no guarantee that the relief Lockett seeks is available to him. Violation of section 3109 frequently results in the suppression of the evidence garnered after the illegal police entry. See United States v. Dicesare,
A primary object of the fourth amendment is to provide a constitutional safeguard for a person’s privacy. See INS v. Delgado,
Section 3109, like the fourth amendment, has as its primary purpose the protection of legitimate expectations of privacy. See Sabbath v. United States,
However, as we have already observed, section 3109 lacks symmetry with the
Indeed, the Supreme Court has warned against the overuse of suppression as a remedy. See Payner,
The motion to suppress was properly denied.
Ill
Lockett contends that the district court erred in allowing Portland Police Officer Derrick Foxworth to testify, as an expert, that only persons intimately involved with a cocaine packaging operation are usually allowed at the packaging site. Lockett does not dispute Foxworth’s status as expert witness under Rule 704. By so testifying, Lockett argues, Foxworth was opining as to guilt. We review a district court’s decision to permit the introduction of expert testimony for an abuse of discretion, and reverse only if manifest error is shown. See United States v. Miller,
A witness is not permitted to give a direct opinion about the defendant’s guilt or innocence. See United States v. Kinsey,
Lockett also argues that the testimony should have been excluded because the “expert testimony was not needed to explain ‘innocent’ actions.” Appellant’s Opening Brief at 19. We interpret this to be a challenge to the testimony under Federal Rule of Evidence 403. Lockett may be contending that the evidence’s “probative value was substantially outweighed by the danger of unfair prejudice.” Fed.R.Evid. 403.
IV
Lockett urges that the district court erred in denying his motion for a new trial. In support of his motion, Lockett offered an affidavit by Marcella Manning. This affidavit, Lockett asserts, is “newly discovered evidence” within the meaning of Federal Rule of Criminal Procedure 41, and thus, he is entitled to a new trial. We review a district court’s denial of a motion for new trial based on newly discovered evidence for an abuse of discretion. See United States v. Endicott,
Marcella Manning appeared at Lockett’s trial, but refused to testify. However, following Lockett’s conviction, Manning provided Lockett with a sworn affidavit in which she claims that Lockett did not have any knowledge that cocaine was being delivered to the Thompson Street residence, that he did not assist in any way with the packaging of the cocaine, and that none of the packaging materials or cocaine belonged to Lockett. Manning stated that Lockett had been at the residence for only five to eight minutes before the police broke in. Manning stated that, if Lockett received a new trial, she would testify that Lockett had no knowledge of or involvement with the cocaine found at the Thompson Street residence, and that she at no time conspired with Lockett to distribute cocaine. The district court denied the motion.
In United States v. Diggs,
V
Finally, Lockett contends that the federal Sentencing Guidelines, under which he was sentenced, violate the due process clause of the fifth amendment by effectively transferring sentencing authority from the district court to the prosecutor. We considered and rejected this argument in United States v. Sanchez,
AFFIRMED.
Notes
. This was one of six warrants served that evening in connection with the cocaine distribution investigation.
. Admittedly, we use the term "privacy” loosely. In Katz v. United States,
The average man would very likely not have his feelings soothed any more by having his property seized openly than by having it seized privately and by stealth.... And a person can be just as much, if not more, irritated, annoyed and injured by an unceremonious public arrest by a policeman as he is by a seizure in the privacy of his office or home.
Id. at 350 n. 4,
. In his concurrence, Judge Fernandez suggests that we might be giving the fourth amendment an unduly restrictive reading. Nonetheless, Judge Fernandez would deny standing to Lock-ett both under section 3109 and the fourth amendment. He apparently concedes that Lockett does not have a protected interest under the fourth amendment. See generally Rakas v. Illinois,
. This, of course, is not to say that a person’s physical well-being is never within the purview of the fourth amendment. See Garner v. Tennessee,
. What remedy, if any, might be available is beyond the scope of this opinion. We are not presented with a claim, for example, where Lockett could also allege physical injury.
. "Prejudice does not mean that the defendant’s case is merely damaged, for the more probative the evidence is, the more damaging it is apt to be.... Rather, prejudice outweighs probative value ... if the jury is basing its decision on something other than the established facts and legal propositions in the case.” United States v. Bowen,
Concurrence Opinion
concurring:
I concur in the cogent majority opinion, but find that I cannot agree with all of the reasoning in Part II of that opinion.
In Part II the majority determines that Lockett has standing to raise the knock and announce issue, but that he cannot have a suppression remedy. I agree that he has no right to claim that remedy, but I do not believe he has standing in the first place.
The majority approach appears to be driven by too narrow a construction of the fourth amendment itself, a point of view that causes the majority to believe that 18 U.S.C. § 3109 goes much beyond the amendment. While admitting that the fourth amendment may in some circumstances reach beyond mere privacy concerns (see footnote 4), the majority still sees privacy as the real core of the amendment. That view is understandable, since recent jurisprudence has focused upon the privacy aspect. Still and all, I believe it is incorrect.
It is my view that the safety emanations from the core of the fourth amendment are at least as important as its privacy emanations. The fear of a smashing in of doors by government agents is based upon much more than a concern that our privacy will be disturbed. It is based upon concern for our safety and the safety of our families. Indeed, the minions of dictators do not kick in doors for the mere purpose of satisfying some voyeuristic desire to peer around and then go about their business. Something much more malevolent and dangerous is afoot when they take those actions. It is that which strikes terror into the hearts of their victims. The fourth amendment protects us from that fear as much as it protects our privacy.
While the privacy paradigm has raised a mist before our eyes, no such brume afflicted our ancestors. The knock and announce requirement, including its safety purposes, was reported on by Sir Edward Coke. See Semayne’s Case, 5 Coke’s Rep. 91a (K.B.1603). And, as Justice Story indicated in his commentaries, the fourth amendment was designed to protect “personal security, personal liberty and private property.” See J. Story, Commentaries on the Constitution of the United States § 1902 (2d ed. 1851). Those concerns go far beyond mere privacy interests.
Similar concerns have been expressed throughout our history. See, e.g., Winston v. Lee,
Therefore, I do concur, but do so on grounds which bespeak a somewhat different view of the scope and power of the fourth amendment. I do so with the hope that we will not forget the full glory of that amendment and that we will continue to see that its brilliant light is made of a spectrum of colors, rather than the single one we see when we limit ourselves to using a privacy lens.
