Lead Opinion
Defendant-appellant Don Michael Hudson entered a conditional guilty plea tp charges of possession with intent to distribute methamphetamine in violation of 21 U.S.C. § 841(a)(1) and being a felon in possession of a firearm in violation of 18 U.S.C. § 922(g)(1). Hudson appeals the district court’s denial of his motion to suppress evidence seized from his bedroom during his arrest and a contemporaneous search of the premises. Hudson advances three challenges on appeal. He argues that the war-rantless search which produced the drugs and firearms underlying his conviction was undertaken pursuant to a pretextual arrest. He also contends that agents of the Bureau of Alcohol, Tobacco, and Firearms [“ATF”] violated the “knock and announce” requirement set forth in 18 U.S.C. § 3109, and that the ATF agents exceeded the scope of the search incident to arrest and the plain view search that produced the drugs and the firearms.
We have jurisdiction pursuant to 28 U.S.C. § 1291, and we affirm.
FACTUAL AND PROCEDURAL BACKGROUND
In February 1994, after receiving a tip from a confidential informant, the ATF commenced an investigation into possible federal narcotics and weapons violations by members of the Hessians Outlaw Motorcycle Gang. The ATF was told by the confidential informant that Hudson was an associate of the Hessian gang, and that he manufactured methamphetamine for the gang. During the course of the investigation, ATF undercover agents and the confidential informant visited the Hessians’ alleged “clubhouse” to gather incriminating information. The informant discussed with Hudson the possible purchase of methamphetamine and the possible trade of methamphetamine for ephedrine, an ingredient of methamphetamine. The informant also witnessed Hudson trade methamphetamine for glassware that might be used in the manufacture of methamphetamine. Shortly thereafter, the informant purchased % of an ounce of methamphetamine ■ from Hudson.
The investigation of the Hessian gang culminated in the procurement of several federal search warrants and arrest warrants for several gang members. The ATF did not, however, obtain a federal arrest warrant or
Aware that federal prosecutors did not plan to prosecute Hudson based on the evidence the ATF had collected, Agent Betten-dorf contacted an Assistant District Attorney for Orange County to seek a state arrest warrant against Hudson. Based on the evidence that Hudson had sold % of an ounce of methamphetamine to the ATF’s confidential informant, Agent Bettendorf obtained á state arrest warrant for Hudson from the Orange County Assistant District Attorney. At Hudson’s suppression hearing, Agent Betten-dorf testified that he did not “normally” apply for state arrest warrants. The Orange County Assistant District Attorney testified at the hearing that it was not “usual” for federal ATF agents to ask him for the issue of state arrest warrants, but that it was “not the first time” it had-occurred. He testified that the sale of any illegal narcotic is a felony in California.
All of the warrants against the Hessian gang, including the state arrest warrant against Hudson, were executed on September 9, 1994. Both federal and state law enforcement agents executed the state arrest warrant at Hudson’s parents’ house. At around 3:30 a.m., the officers gathered near the house. At the time Hudson’s arrest was executed, the Drug Enforcement Administration (“DEA”) agent in charge of the arrest operation possessed the following information with respect to Hudson and his alleged associates in the Hessian gang: One of the ATF undercover agents who had participated in the investigation had heard Hessian gang members make statements of “anger and antipathy” about law enforcement officials and had heard them admit their involvement in violent crimes. The ATF undercover agent had also been told by gang members that he would be killed if he were discovered to be a law enforcement officer. At the time of Hudson’s arrest, the state and federal officials believed Hudson was an associate of the Hessian gang. They also knew that Hudson had a prior federal drug conviction, and knew that he had sold methamphetamine to the informant. In addition, the informant had told the DEA agent in charge of Hudson’s arrest that he had previously seen firearms and glassware associated with methamphetamine manufacture in Hudson’s bedroom at his parents’ house.
At the time the officers approached the house, a light or television was on in one of the bedrooms. One of the officers knocked loudly on Hudson’s front door and announced their presence and purpose. The front door was unlatched, and swung open with the officer’s knock. Without waiting for a response, the officers immediately entered the house.
The officers first moved through the house in a security sweep. They entered every room and. secured the individuals they found. The officers located Hudson in the southwest bedroom. He was standing in one corner of the room. The officers ordered him out of the room, handcuffed him, removed him from the house, and continued their sweep.
After the officers had completed then-sweep, one of them returned to the room to conduct a search incident to arrest. About three minutes passed between the arrest and the agent’s return to the room. On the ground where Hudson had been standing lay a rifle ease. The agent opened the rifle case and found a rifle. In one corner of the room was a table, on top of which sat glassware that appeared to the agent to contain methamphetamine. Agent Bettendorf was contacted and informed about the rifle and the glassware, and he told the officers on site that he would seek a search warrant based on the discovery of those materials. Before a search warrant was obtained, however, officers moved the glassware to the front lawn, citing concerns about the potential toxicity and flammability of the chemicals contained in the glassware. A state lab technician
Although state and federal officials had jointly executed a state arrest warrant, the Orange County Assistant District Attorney never prosecuted Hudson on state charges. At Agent Bettendorf s request, the Assistant District Attorney dismissed the state charges because federal prosecutors had elected to indict Hudson on federal charges. Hudson was charged in a three-count federal indictment with intent to distribute methamphetamine, use of a firearm during a drug-trafficking crime, and being a felon in possession of a firearm.
Hudson initially moved to suppress the evidence found at his house on grounds that the state arrest was merely a pretext for the agents to search for evidence of federal crimes. Thereafter,* he supplemented his motion to suppress, alleging that the ATF agents had violated the knock and announce statute, 18 U.S.C. § 3109, and that the search of the rifle case and the glassware was invalid because it was conducted without a search warrant. The district court denied both Hudson’s initial and supplemental motions to suppress.
Hudson entered a conditional guilty plea to two of the three counts contained in the indictment: possession with intent to distribute methamphetamine in violation of 21 U.S.C. § 841(a)(1) and being a felon in possession of a firearm in violation of 18 U.S.C. § 922(g)(1). Hudson timely appealed.
ANALYSIS
1. Whether the arrest was a pretext for the search
Hudson initially argued that his arrest under a state warrant was a mere pretext to search his house for evidence to support federal charges. Following oral argument in this appeal, we withdrew the case from submission pending the Supreme Court’s decision in United States v. Whren,
It is a well-settled principle that “ ‘an arrest may not be used as a pretext to search for evidence without a search warrant where one would ordinarily be required under the Fourth Amendment.’ ” United States v. Mota,
In deciding the standard we must apply to determine whether an arrest is pre-textual, we note that the various standards reflected in our past decisions appear to have been superseded by the Supreme Court’s recent decision in Whren v. United States, — U.S. -,
In Whren, police officers temporarily detained a motorist whom the officers had probable cause to believe had committed a civil traffic violation. In the course of the temporary detention of the motorist and his
The Supreme Court upheld the validity of the traffic stop on grounds that probable cause indisputably existed to support the stop. The Whren court thus reduced the pretext inquiry to a “probable cause” inquiry, explaining that “the constitutional reasonableness of traffic stops” is to be determined through “an ordinary, probable-cause Fourth Amendment analysis.” Id. at -,
The Court in Whren expressly rejected a subjective test of pretext, flatly dismissing the notion that “ulterior motives can invalidate police conduct that is justifiable on the basis of probable cause to believe that a violation of law has occurred.” Id. at -,
Having concluded that “[sjubjective intentions [of law enforcement officials] play no role in ordinary, probable-cause Fourth Amendment analysis,” the Court next rejected the defendants’ proposed test of pretext: The defendants insisted that a stop should be deemed pretextual if “the officer’s conduct deviated materially from usual police practices, so that a reasonable police officer in the same circumstances would not have made the stop for the reasons given.” Id. (emphasis added). The Court rejected this purportedly “objective” standard. It explained that the standard was “plainly and indisputably driven by subjective considerations,” since, “[i]nstead of asking whether the individual officer had the proper state of mind, the petitioners would have us ask, in effect, whether (based on general police practices) it is plausible to believe that the officer had the proper state of mind.” Id. Such an inquiry, opined the Court, would ignore the “Fourth Amendment’s concern with ‘reasonableness,’ [which] allows certain actions to be taken in certain circumstances, whatever the subjective intent.” Id. at -,
If we conclude that Whren governs our analysis of the arrest in this ease, then the Supreme Court’s firm rejection of this standard — whether “a reasonable police officer in the same circumstances would [ ] have made the stop for the reasons given” — appears to foreclose Hudson’s first argument: that the ATF officers would not have arrested Hudson, absent their, desire to search Hudson’s house, because the state drug charge was not a “major offense” for which the ATF would otherwise have arrested him.
We acknowledge that Whren involved a somewhat different context from that involved here: Whereas Whren set forth the standard for determining whether a traffic stop is pretextual, we are confronted here with a defendant’s allegation that his arrest was pretextual. In our view, however, the Whren analysis governs this case.
We begin by noting that, in determining whether police action is a mere pretext for a search, we have long followed identical principles in both the traffic stop context and the arrest context. Compare Mota,
What is more significant, however, is that Whren’s rationale dictates application of the
Applying the Whren standard here, we conclude that Hudson’s arrest was supported by probable cause. The evidence Agent Bettendorf presented to the Orange County Assistant District Attorney demonstrated adequate probable cause to believe that a felony drug sale had occurred. Hudson does not contend that there was a lack of probable cause to support the state warrant, nor does he suggest that the warrant was improperly obtained. Because the ATF agent obtained the arrest warrant pursuant to a showing of probable cause, we conclude, following Whren, that the arrest was valid.
Hudson’s alternative argument rests on dicta in Whren. In his supplemental brief, Hudson contends that the facts of this arrest and search make it subject to the “balancing” analysis Whren suggested would be applicable to “searches or seizures conducted in an extraordinary manner.” Id. at -,
We disagree because, in our view, the police action in this case does, not fall under the “rare exception” of cases involving “searches and seizures conducted in an extraordinary manner.” Id. Whren acknowledged that “in principle every Fourth Amendment case, since it turns upon a ‘reasonableness’ determination, involves a balancing of all relevant factors.” The Court explained, however, that “the result of that balancing is not in doubt” where probable cause exists to support the police action in question. Id. It did distinguish “rare exceptions” to this principle: cases where probable cause existed but where a balancing of government interests against a suspect’s interests was necessary because the “search[ ] or seizure[] [had been] conducted in an extraordinary manner, unusually harmful to an individuals’s privacy or even physical interests.” Id. Such cases include seizure by means of deadly force, id. (citing Tennessee v. Garner,
Hudson insists that such a “balancing” is required here because this case involved a dwelling and because the officers “entered the premises for the purpose of a search, even though they only had a valid warrant for his arrest for an unrelated minor crime.” He invokes Wilson v. Arkansas, — U.S. -,
We begin by noting that Hudson’s latter argument is foreclosed by the Whren analysis, which stated unequivocally that officers’ subjective motives are not relevant where probable cause exists to support a particular police action. Id. at -,
Hudson’s next challenge to the denial of his motion to suppress is that the arresting agents violated the “knock and announce” requirement of 18 U.S.C. § 3109 at the time they executed the state arrest warrant against him. He argues that it was illegal for the officers to enter his house through the open door immediately after knocking on that door and announcing their identity. He disagrees with the district court’s conclusion that the officers’ failure to await a response was justified by “mild exigency.”
We review de novo a district court’s determination of the validity of a protective sweep, including compliance with the “knock and announce” requirement of 18 U.S.C. § 3109. United States v. Arias,
The knock and announce rule is contained in 18 U.S.C. § 3109, which provides:
The officer may break open any outer or inner door or window of a house, or any part of a house, or anything therein, to execute a search warrant, if, after notice of his authority and purpose, he is refused admittance or when necessary to liberate himself or a person aiding him in the execution of the warrant.
18 U.S.C. § 3109.
The statute requires that an officer seeking to enter a house to execute a warrant must give notice of his purpose and authority, and must be refused entry before entering the house.
We have recognized, however, that “compliance with section 3109’s requirements may be excused by exigent circumstances.” McConney,
In particular, we have held that “mild exigency” is sufficient to justify simultaneous or immediate entry when entry can be accomplished without any physical destruction of property. Becker,
Applying this standard to the facts of this case, we conclude that mild exigency existed to excuse the officers’ failure to await refusal before entering the house. On the basis of the information they possessed at the time they executed the arrest warrant, the officers could have inferred a “likelihood” that the occupants would “try to escape, resist, or destroy evidence.” Id.
The DEA agent supervising Hudson’s arrest was aware of several facts suggesting that Hudson was likely to attempt escape or to resist arrest. That agent knew that Hudson had recently sold methamphetamine to a confidential informant, and had a prior conviction for a drug offense. Furthermore, that same confidential informant had seen firearms and drug paraphernalia in Hudson’s bedroom on a previous occasion.
Second, and more significant, is the recent observation of firearms in Hudson’s bedroom. That information, supplied by the ATF confidential informant who had cooperated with officials by going on an investigatory drug buy, offered solid support for the officers’ belief that Hudson was likely to have firearms in his bedroom. We have held that a suspect’s possession of firearms suffices to create a mild exigency. United States v. Reed,
We conclude that the combination of these factors supported the officers’ belief that a mild exigency existed, since these factors permitted an inference that there was a likelihood that Hudson might escape or resist arrest. See also McConney,
Our previous decisions reflect a finding of “mild exigency” on comparable facts. In McConney, we concluded a mild exigency existed where officers knew that the defendant had a prior conviction for a violent felony, was a drug dealer, was charged with racketeering, and had previously stated that he would “protect” members of his motorcycle gang. Id. Similarly, in Arias, we held that mild exigency existed where officers had information that the defendant’s house was used to store drugs, and where the officer in charge knew the house was occupied at that moment, and feared that the occupants might be destroying evidence or arming themselves. Arias,
3. The warrantless search
Hudson’s final challenge to the denial of his motion to suppress is that the warrantless search of his bedroom following his arrest was invalid. His challenge is twofold: He first contends that the “search incident to arrest” and “plain view” doctrines do not apply in cases where an arrest warrant is executed for a specific crime. He also urges, in the alternative, that the search exceeded the scope of a proper “search incident to arrest” or a “plain view” search. In the context of searches incident to arrest and plain view searches, we review de novo the district court’s application of established facts to legal standards. United States v. Turner,
We disagree with Hudson’s contention that United States v. Lefkowitz,
A “search incident to arrest” is an exception to the general rule against warrantless searches. McConney,
A legitimate “search incident to arrest” is limited to the arrestee’s person and to the area “within his immediate control,” meaning “the area from within which he might gain possession of a weapon or destructible evidence.” Chimel,
Concerning the temporal scope of the search, we have held that a “search incident to arrest” must be conducted “at ‘about the same time as the arrest.’ ” Turner,
With respect to the physical scope of the search, we have held that a search incident to arrest may “encompass a room from which the arrestee has been removed.” Id. at 887-88 (limiting holding to “the narrow facts of a short time span and the arrestee’s close proximity”). We have also held that a search incident to arrest may justify the opening of containers found within the physical area covered by the search. Andersson,
With these principles in mind, we consider the two items of evidence Hudson sought to suppress below.
We begin by noting that little time passed between the moment Hudson was arrested and the time the officer returned to his bedroom to conduct the search. After they arrested Hudson and removed him from the room, the officers quickly completed their sweep of the house, which was necessary to the security of the officers. One of the agents then returned to Hudson’s bedroom and searched the rifle case. The record indicates that a mere three minutes elapsed between Hudson’s arrest and the search of the rifle case. Cf. Turner,
We next consider the physical circumstances of the search. When Hudson was called out of his bedroom and arrested, one of the arresting officers noticed a rifle case near his feet. Although the rifle was contained in a ease, it was nevertheless well within Hudson’s reach, and thus constituted a potential danger to the arresting officers. The physical proximity of the rifle thus supports a conclusion that the search fell squarely within the spatial limitations of a search incident to arrest.
The record is less clear with respect to the glassware. We know that the glassware was on a table located in a corner of Hudson’s bedroom, but the record does not make clear Hudson’s position relative to that corner when he was arrested. Although the district court found that the glassware was within Hudson’s “grab area,” the precise distance between Hudson and the glassware is unclear. We need not rely on the “search incident to arrest” exception, however, since the record reflects that the glassware fell within the “plain view” exception to the warrant requirement.
The “plain view” exception to the warrant requirement allows for the seizure of evidence in plain view where two criteria are met: (1) “the initial intrusion must be lawful” and (2) “the incriminatory nature of the evidence must be immediately apparent to the officers.” United States v. Simpson,
The second criterion is met where the officer had “ ‘probable cause to associate the property with criminal activity.’ ” Texas v. Brown,
We hold that the second criterion of the plain view requirement was satisfied here. The officer spotted the glass containers and recognized them as the type of glassware often associated with methamphetamine manufacture. Moreover, based on his law enforcement experience, he was familiar with the appearance of methamphetamine, and quickly recognized the substance as methamphetamine.
We affirm the district court’s denial of Hudson’s motion to suppress.
Notes
. We note that a new judicial rule governing criminal procedure is to be applied retroactively to all cases, state and federal, that are pending on direct review or otherwise not final at the time the rale is announced. Griffith v. Kentucky,
. Defendant urges that under United States v. Chadwick, 433 U.S. 1,
Dissenting Opinion
dissenting:
The majority concludes that, under the Supreme Court’s recent decision in Whren v. United States, — U.S. -,
While the majority is correct in concluding that Whren constrains our decision in the present case to some extent, it inadvertently extends that decision considerably beyond its actual scope. As the Court acknowledged in Whren, reasonableness remains the touchstone of all Fourth. Amendment analysis. Here, given the nature of the police operation that occurred, we are required to examine closely all of the facts surrounding the invasion of the Hudson family home. Only by doing so can we properly address the question of reasonableness. In this case, we must perform a most careful constitutional balancing analysis of all relevant factors, notwithstanding the existence of probable cause. Such an analysis, even without regard to the officers’ motives in this case, leads inevitably to the conclusion that the overwhelmingly intrusive manner in which federal agents used their federal authority to arrest Hudson on a state charge and to collect evidence regarding a federal offense was unreasonable and therefore unconstitutional.
Whren addressed the particular question of “whether the temporary detention of a motorist who the police have probable cause to believe has committed a civil traffic violation was inconsistent with the Fourth
Amendment’s prohibition against unreasonable seizures unless a reasonable officer would have been motivated to stop the car by a desire to enforce the traffic laws.” Whren, — U.S. at -,
Whren is not a case that dealt with core Fourth Amendment values. In addressing the particular question posed by traffic stops of an automobile traveling on a public road, the Whren Court did not purport to evaluate the critical and highly sensitive constitutional interests that are implicated by heavily armed, nighttime intrusions into the sanctity of a family home in order to arrest a family member. Nor did the Court consider whether a gross disproportionality between the severity of an offense and the intrusiveness of the subsequent search and seizure could render a search unreasonable within the meaning of the Fourth Amendment. These considerations, as well as others, dictate not only a different result in this ease, but also that we reach that result by applying the kind of delicate balancing analysis appropri
It is well settled that individuals are entitled to greater Fourth Amendment protection in the privacy of their homes than in a motor vehicle. While the temporary detention of a motor vehicle and its occupants “interfere^ with freedom of movement” and can create “substantial anxiety,” and thus constitutes a “seizure” within the meaning of the Fourth Amendment, Delaware v. Prouse,
The recognition that a heavily armed predawn raid of a family home injures fundamental constitutional interests is only the beginning of what ought to be our analysis in this ease. We must also consider the relationship between the severity of the offense that was offered to justify the search, and the intrusiveness of all of the aspects of the search that actually occurred. Gross dispro-portionality between the intrusiveness of a search or seizure and the relative importance of the underlying offense can, of course, render the search unreasonable and therefore unconstitutional, even when- the search is supported by probable cause. See Tennessee v. Garner,
Whren is not to the contrary. It remains perfectly clear that not every search or seizure is constitutional simply because it is supported by probable cause. As Whren itself acknowledges, a search or seizure must always be.“reasonable” in light of “all relevant factors”: “every Fourth Amendment case, since it turns upon a ‘reasonableness’ determination, involves a balancing of all relevant factors.” Whren, at -,
I note a variety of factors that compel a careful balancing analysis in this case. These include the facts that: the nighttime raid of a home was involved; the agents faded to announce themselves before entering the home;
When all of the facts are considered, it is plain that the search and seizure that occurred in this ease was “unreasonable.” In deciding to raid Hudson’s parents’ home, federal agents relied upon an informant’s statements that Hudson manufactured methamphetamine for the Hessians and that he had seen firearms in the Hudsons’ residence on some unspecified occasions in the past. This informant had purchased one-sixteenth of an ounce of methamphetamine from Hudson and asserted that he had observed Hudson trading methamphetamine for materials used in the manufacture of methamphetamine. Yet
Notwithstanding the lack of probable cause to search Hudson’s home and the notable indifference of federal prosecutors to a case as “small” as Hudson’s, at 3:35 in the morning, a twelve-member team of federal and state agents wielding a bulletproof ballistic shield and search fights stormed the home, searched and handcuffed Hudson’s parents and younger brother, and detained them outside while sweeping the entire house. Hudson was found in his bedroom with his hands on his head; after removing him from his room, the officers performed a search of the room incident to his arrest, at which point they discovered the rifle and glassware that were admitted as evidence against him. Although Hudson’s father gave written consent to a search of his entire home, the agents refused to search the remainder of the house or to leave until a federal search warrant was obtained at noon the following day — over eight hours from the time that the raid began. During that eight-hour period, an ATF agent arrived and videotaped the interior of the house while the family remained on a couch in their living room.
The heavily armed raid on a family home in the middle of the night in order to arrest one family member, and the attendant disruption of a family’s peace and solitude, infringes on what may be our most deeply cherished privacy, safety, and property interests. When one adds the fact of the officers’ unannounced entry to the handcuffing and detention of the entire Hudson family, the videotaping of the contents of their home, and the militaristic occupation of their home that lasted over eight hours, it becomes difficult to imagine police conduct that could have struck more intrusively at the family’s basic right of privacy and security. Nor can the magnitude of this intrusion be explained or justified on the ground suggested by the government — the risk that Hudson might resist violently. Safety concerns weighed against the decision to arrest Hudson at home: as ATF Special Agent Manna acknowledged, “it would have been safer to arrest the defendant ... outside an area that he is familiar with.” And insofar as the agents were concerned by evidence that firearms were kept in the home, the most dangerous place to arrest Hudson was obviously at home.
Over the course of foür months, the government had ample opportunity to arrest Hudson away from his home, away from any perceived threat to officer safety, and in a dramatically less intrusivé manner. The truthful explanation for the awesomely intrusive approach that was actually taken — an explanation that the majority does not and cannot reject — is, of course, that the agents desired to collect evidence of other crimes. But that desire aloné — lacking the support of a search warrant that the agents knew they could not obtain — cannot render reasonable the pre-dawn raid on a private home, and the intimidation of an entire family, simply to execute a state arrest warrant issued on account of a sixty-dollar drug sale that took place four months earlier in a different place. A blitzkrieg of the Hudson family home was plainly not a reasonable manner in which to arrest Hudson for a rather minor crime. I respectfully dissent.
. Whereas the occupants of a motor vehicle enjoy only "reduced expectations of privacy" owing to "the pervasive regulation of vehicles capable of traveling on the public highways,” California v. Carney,
.The “simple and ancient requirement” that officers must announce themselves before entering a home, thereby giving the occupants an opportunity to cooperate and to admit the officers peacefully, "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.” Becker, 23 F.3d at 1540-41 (quoting United States v. Lockett,
. Cf. Franklin v. Foxworth,
. The combined importance of the first and third of these factors — the special protections afforded • by the Fourth Amendment to persons in their homes, and the need for some reasonable proportionality between the severity of the offense and the intrusiveness of the resultant search and seizure — is aptly illustrated by the Supreme Court’s decision in Welsh v. Wisconsin,
. Moreover, even under the majority's narrow, rule-based approach to determining whether a balancing analysis is necessary, the mere fact that the officers faffed to announce themselves before entering the Hudson home requires such an analysis in this case. In Wilson v. Arkansas, - U.S. -,
Wilson is directly controlling and requires a reasonableness analysis in the present case. The majority attempts to distinguish Wilson on the ground that the officers in the present case "did knock and announce their authority and purpose, and were therefore justified in not awaiting a response before entering.” This distinction is completely groundless, both as a matter of fact and as a matter of law. First, as a matter of fact, the manner of entry in the two cases cannot be distinguished. In both cases, the police were required to open an unlocked screen door in order to reach the main door of the residence, but in neither case were they required to open the main door. In Wilson, the main door was open, id. at -,
