During a routine patrol of a Bronx apartment building, New York City Police Department (“NYPD”) Officer Chris Ay-bar observed defendant Jose Diaz sitting in a stairwell while holding a plastic cup that seemed to Aybar to smell of alcohol. Officer Aybar initially intended only to issue Diaz a summons — not to make an arrest — for violating New York’s open-container law. She ordered him to stand against the wall and produce identification. Diaz stood and then, as if to retrieve something, fumbled with his hands in his jacket pockets and rearranged his waistband. Officer Aybar frisked Diaz and felt a bulge on the side of his jacket; she opened his jacket pocket and discovered a loaded handgun. She then arrested Diaz, who was later found guilty, by the presiding district judge (Jesse M. Furman, Judge) acting as trier of fact, of being a previously convicted felon in possession of a firearm in violation of 18 U.S.C. § 922(g). He received a sentence of thirty-three months’ imprisonment.
Before the trial, Diaz filed a motion to suppress evidence about the presence of the gun on Fourth Amendment grounds. The district court denied the motion, concluding that the search was a lawful search incident to an arrest supported by probable cause. Having thereafter been convicted, Diaz now appeals that denial, arguing that (1) Officer Aybar lacked probable cause to arrest and search Diaz for violat
We disagree. We conclude that Officer Aybar had probable cause to arrest Diaz inasmuch as she had a reasonable belief that an apartment-building stairwell is a public place for purposes of the open-container law and that Diaz was violating that law. And because she had probable cause to arrest Diaz — and ultimately did arrest him — the warrantless search was a lawful search incident to an arrest, even though Officer Aybar testified that before finding the gun she intended only to issue a summons, not to make an arrest.
BACKGROUND
On the night of March 21, 2015, NYPD Officers Chris Aybar and Jose Espinal entered a four-story, twelve-unit private apartment building located at 584 East 167th Street in New York City’s Borough of the Bronx, to conduct a floor-by-floor patrol as part of the NYPD’s “Clean Halls” program,
They proceeded to climb the stairs to the third-floor landing, where they saw three men: defendant Jose Diaz, Collin Maloney, and Joshua Knox. Diaz was sitting next to a bottle of vodka and holding a red plastic cup. As Officer Aybar approached Diaz, she saw clear liquid in the cup and smelled what seemed to be alcohol. Maloney was also holding a red plastic cup, and Knox was holding a lit “blunt” (marijuana cigarette) in one hand and a box of “roaches” (butts of smoked marijuana cigarettes) in the other.
Officer Aybar testified that she did not initially intend to arrest Diaz, only to issue him a summons for violating New York’s open-container law,
Because Officer Aybar did not feel safe confronting Diaz while he was seated, she ordered him to stand against the wall and produce his identification. Diaz stood, and
On May 5, 2015, a grand jury returned a single-count indictment charging Diaz with possessing a firearm as a previously convicted felon in violation of 18 U.S.C. § 922(g). Diaz filed a motion to suppress evidence concerning the firearm on Fourth Amendment grounds. On July 24, 2015, during an evidentiary hearing on that motion, Diaz testified that (1) he was not drinking alcohol in the apartment-building stairwell; (2) he produced his identification when Officer Aybar asked for it; and (3) Officer Aybar took the jacket (which he was not wearing) from him and searched it rather than frisking him.
Following the hearing, the district court denied the suppression motion by opinion and order dated August 14, 2015. See United States v. Diaz,
The district court rejected Diaz’s argument that Officer Aybar lacked probable cause to arrest him on the ground that an apartment-building stairwell is not a “public place” within the meaning of the open-container law. See id. at 173-76. It noted that “a compelling argument [could] certainly be made that the common areas of residential buildings do not qualify as public places for purposes of the [ ] law,” but ultimately concluded that it “need not resolve that unsettled question of state law because, even if Officer Aybar was mistaken in her belief that the stairwell qualified as a ‘public place’ for purposes of the open-container law, her mistake was an objectively reasonable one” that did not violate the Fourth Amendment. Id. at 174.
The district court also rejected Diaz’s argument that the search could not be justified as a search incident to an arrest because Officer Aybar did not intend to arrest Diaz until after she found the gun. See id. at 176-81. In reaching this conclusion, it relied on United States v. Ricard,
After the district court denied Diaz’s motion to suppress, the case proceeded to a bench trial on stipulated facts. On September 11, 2015, Diaz was found guilty of possessing a firearm as a previously convicted felon in violation of 18 U.S.C. § 922(g). He received a sentence of thirty-three months’ imprisonment. This appeal followed.
DISCUSSION
Diaz appeals from the denial of his motion to suppress evidence concerning the gun found in his jacket on the grounds that (1) Officer Aybar lacked probable cause to conduct the search, and (2) in any event, the warrantless search was not justified as a search incident to an arrest because Officer Aybar did not intend to arrest him when she began the search. We disagree in both respects.
I. Standard of Review
“On appeal from a district court’s ruling on a motion to suppress evidence, we review legal conclusions de novo and findings of fact for clear error.” United States v. Ganias,
II. Probable Cause
Diaz’s first argument fails because at the time of the search, Officer Aybar had
A police officer ordinarily has probable cause to arrest when he or she “ha[s] knowledge of, or reasonably trustworthy information as to, facts and circumstances' that are sufficient to warrant a person of reasonable caution in the belief that an offense has been or is being committed by the person to be arrested.” Manganiello v. City of New York,
Officer Aybar’s probable-cause determination was predicated on the New York open-container law, which provides that “[n]o person shall drink or consume an alcoholic beverage, or possess, with intent to drink or consume, an open container containing an alcoholic beverage in any public place,” N.Y.C. Admin. Code § 10-125(b),
The Supreme Court’s decision in Heien provides clear guidance in this regard. There, two North Carolina police officers found cocaine in a vehicle they had stopped because one of its two tail lights was inoperative, which the officers believed to be a violation of state law. Heien,
The test for whether an officer’s mistake of law was objectively reasonable “is not as forgiving as the one employed in the distinct context of deciding whether an officer is entitled to qualified immunity,” id. at 589, often where a party brings a claim under Bivens
We think that Officer Aybar’s belief that the apartment-building stairwell qualified as a “public place” within the meaning of the open-container law was an objectively reasonable prediction of the scope of the law when it was made. As in Heien, her assessment was premised on a reasonable interpretation of an ambiguous state law, the scope of which had not yet been clarified. Even now, the New York Court of Appeals has not addressed whether a common area inside an apartment building is a “public place” within the meaning of the open-container law, and the other New York courts that have done so have reached conflicting conclusions. Compare People v. Medina,
III. Search Incident to an Arrest
Diaz next contends that the search was not a lawful search incident to an arrest because, at the time of the search, Officer Aybar did not intend to arrest Diaz and would not have ultimately done so had she not discovered the gun as a fruit of the search. We are not persuaded.
The seareh-incident-to-arrest doctrine is an exception to the general requirement that an officer must obtain a judicial warrant supported by probable cause before conducting a search. See Riley v. California, — U.S. -,
In United States v. Ricard,
Diaz has conceded that Ricard controls if it continues to be precedential and therefore binding on us, but contends that it does not remain binding precedent in light of the Supreme Court’s decision in Knowles v. Iowa,
Knowles can in some respects be likened to Ricard. The officers in both cases had probable cause to arrest the defendants for speeding but initially elected not to do so, and then proceeded to conduct searches that revealed evidence of crimes for which the defendants were ultimately arrested. But critically, the search in Knowles occurred after the officer had completed the traffic stop by issuing a citation, whereas the search in Ricard (and the case at bar) occurred before any such event took place. It thus remained uncertain in Ricard (and here) whether the encounter would lead to an arrest; the dangers to the officer that accompany the prospect of arrest therefore remained present. See Knowles,
Our conclusion comports with those of other circuits addressing the scope of Knowles. See, e.g., United States v. Chauncey,
Arguing otherwise, Diaz asserts that Knowles stands for a broader proposition that overrules Ricard: An officer may conduct a search incident to an arrest only if she has already made an arrest or an arrest is impending. In support of this interpretation, he points to a recent New York Court of Appeals decision addressing the scope -of Knowles. See People v. Reid,
We think his rationale is mistaken for two reasons. First, it ignores that an officer who stops a person to issue a citation faces an evolving situation. As events develop and new information becomes available — the presence of a gun, for example- — a police officer is entitled to change her course of action. Cf. Graham v. Connor,
Diaz insists that no subjective inquiry is necessary to determine whether an arrest was occurring or about to occur at the time of the search. That question, in his view, can be answered on a case-by-case basis by looking only to objective evidence such as, inter alia, an officer’s contemporaneous statements, the length of any pre-search detention, the issuance of a citation, calls for backup, the presence or absence of handcuffs, and the treatment of similarly situated suspects at the scene.
But even if limited to objective evidence, the case-by-case approach runs counter to the principle “that the authority to conduct a full field search as incident to arrest [is] a bright-line rule.” Knowles,
Thus, we conclude that, contrary to the Reid court’s interpretation, Knowles does not require case-by-case determinations as to whether or not an arrest was impending at the time of the search; it instead stands for the proposition that the bright-line search-incident-to-arrest doctrine does not apply where an officer has completed the encounter by issuing a citation instead of making an arrest.
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In sum, we conclude that in the context of the facts of the case at bar, an officer like Officer Aybar, who has probable cause to believe that a person has committed a crime premised on an objectively reasonable mistake of law, may lawfully search that person pursuant to' the search-incident-to-arrest doctrine, provided that a “formal arrest follow[s] quickly on the heels of’ the frisk. Rawlings,
CONCLUSION
For the foregoing reasons, we AFFIRM the judgment of the district court.
Notes
.This program has also been referred to as “Operation Clean Halls” and the "Trespass Affidavit Program.” Ligon v. City of New York,
. The record does not disclose the identity of the person responsible for placing the paper there.
. Officer Aybar also testified that she intended to issue a summons to Maloney for an open-container offense, and to arrest Knox for marijuana possession.
. Officer Aybar had previously arrested open-container-law violators who had open warrants.
. The district court "decline[d, howeverj to credit Officer Aybar's testimony in one critical respect”: It explained that “[a]fter the [g]ov-ernment’s redirect examination, in response to additional questioning by the Court, Officer Aybar testified that Diaz refused to give his identification to her when asked, telling her that he didn’t have [identification],” which was "potentially significant” because Officer Aybar had previously testified that if an individual who had committed an open-container violation did not have identification, "she would have to arrest him or her and verify who they were.” Diaz,
. The district court "swiftly rejected” the government's alternative theory that the search was justified as a frisk on the basis of reasonable suspicion because, at the time of the search, there were not sufficient facts to establish reasonable suspicion that Diaz was armed and dangerous. Diaz,
. Diaz also challenges his sentence on appeal. His only argument in this regard is that the district court erroneously concluded that his prior conviction for possession of a sawed-off shotgun qualified as a "crime of violence” pursuant to the then-applicable residual clause of section 4B1.2 of the United States Sentencing Guidelines (“Guidelines”), U.S.S.G. § 4B 1.2(a)(2) (Nov. 2015) (defining a "crime of violence” as an offense that “is burglary of a dwelling, arson, or extortion, involves use of explosives, or otherwise involves conduct that presents a serious potential risk of physical injury to another" (emphasis added)), which he contends is unconstitutionally vague in light of Johnson v. United States, - U.S. -,
. There is an exception to the open-container prohibition for “a block party, feast or similar function for which a permit has been obtained.” N.Y.C. Admin. Code § 10 — 125(b). The exception does not apply here.
. The building’s owner permitted NYPD officers to enter the property pursuant to the "Clean Halls” program. Although likely less pertinent, at the time the officers entered the apartment building, the front door was propped open with a newspaper.
. The Helen principle accommodates "the reality that an officer may suddenly confront a situation in the field as to which the application of a statute is unclear — however clear it may later become.” Heien,
. Bivens v. Six Unknown Fed. Narcotics Agents,
. In this respect, the label "mistake of law” may be a misnomer that could lead to confusion. The notion of a mistake seems to presuppose that the legal question was already settled, yet it is only when the legal question is unsettled that an officer’s erroneous assessment of the law can be objectively reasonable. It may be useful, therefore, to think of such an assessment instead as an inaccurate prediction of law. In this light, the question is whether the officer’s prediction as to the scope of the ambiguous law at issue was objectively reasonable — even if ultimately mistaken — such that a reasonable judge could have accepted it at the time it was made in light of the statutory text and the available judicial interpretations of that text. Formulated this way, the Heien principle has echoes of a defendant’s due-process right to fair warning of the crime for which he or she is punished. See Bouie v. City of Columbia,
. We acknowledge that applying the Heien principle may come at a cost: It may "ha[ve] the perverse effect of preventing or delaying the clarification of the law” inasmuch as "courts need not interpret statutory language but can instead simply decide whether an officer’s interpretation was reasonable!)]” a “result [that] is bad for citizens, who need to know their rights and responsibilities, and ... bad for police, who would benefit from clearer direction.” Heien,
. As Diaz notes, the Sixth and Ninth Circuits have cited Knowles for the proposition that there can be no search or seizure incident to an arrest unless an arrest is made. See Menotti v. City of Seattle,
. Diaz also points to a recent decision by the California Supreme Court, People v. Macabeo,
. We do not address whether the search was a lawful Terry search because we conclude that the search was a lawful search incident to an arrest.
