Lead Opinion
Defendant-Appellant John Stevens Hauk appeals the district court’s denial of his motion to suppress evidence discovered as a result of a protective sweep of his residence. Mr. Hauk argues that the police lacked reasonable suspicion for the protective sweep because it was based on uncorroborated information in an anonymous tip. Exercising jurisdiction under 28 U.S.C. § 1291, we AFFIRM the district court’s denial of Mr. Hauk’s motion to suppress. However, on plain error review, we conclude that Mr. Hauk’s sentence violated his Sixth Amendment rights under United States v. Booker, — U.S. -,
I.
On April 2, 2003, an anonymous caller informed the FBI Violent Crimes Fugitive Task Force (“the Task Force”) that Mr. Hauk was selling illegal drugs out of his house at 5050 Walker in Kansas City, Kansas. The record does not contain any description of the caller, nor does it include a transcript or recording of the call. The only record of the call is a tip sheet, which states:
Caller states that subject lives at the residence and has large quantities of drugs in the home. Callеr states that there is drugs in the ceiling, hall closet by the bedroom, night stand next to the bed and in a duffle bag in the closet. He also has scales in the bedroom. The drugs that he has are cocaine, crack and marijuana. Subject sleeps in the day time and is up at night selling. He has no dogs at his location but does have guns in the home. Caller also states that he is a parole violator and has warrants. He also has a “runner” who goes by the name of Spencer. He drives a red Chevy Astro van. Caller states that he has been in the home and does get drugs from him.
Motion to Suppress, R. Vol. I, Doc 19, 1-2. After he received this information, Detective Michael Shomin of the Kansas City, Kansas Police Department confirmed an outstanding state warrant for Mr. Hauk’s arrest for violation of parole. He also obtained a photograph of Mr. Hauk.
On the following day, a number of Task Force officers set up surveillance of 5050 Walker. A group of officers met near the residence to plan an approach to arrest Mr. Hauk. Before the approach began, a member of the surveillance team informed Dеtective Shomin that a red Camaro had pulled into Mr. Hauk’s driveway. The officer could not describe the driver or tell where he had gone, but he thought that he might have entered the house.
Shortly thereafter, Task Force members surrounded the residence, and Detective Shomin and another officer knocked on the front door. After a few minutes, Mr. Hauk answered the door in his boxer shorts. Recognizing his callers as police officers, Mr. Hauk immediately tried to close the door. The officers forced their way into the house and arrested Mr. Hauk immediately inside the front door. Detective Shomin and other officers then fanned out through the house to conduct a protective sweep, which lasted approximately five to ten minutes. During the sweep, the officers saw what appeared to be illegal drugs in several locations in the house.
On the strength of their observations during the protective sweep, the police obtained a search warrant for Mr. Hauk’s residence. During the ensuing search, the police discovered a large quantity of co
Mr. Hauk moved to suppress the evidence, arguing that the protective sweep constituted an illegal search of his house. The district court denied the motion to suppress, finding that “there were articula-ble facts which rationally led the agents to the reasonable conclusion that another individual, whether a narcotics customer or Mr. Spencer, might be in the home and might pose a danger to the arresting officers.” Mr. Hauk entered a conditional guilty plea to count two, reserving his right to appeal the denial of his motion to suppress.
II.
Mr. Hauk argues that the protective sweep was unlawful because the arresting officers lacked reasonable suspicion that a third party posing a danger to the officers was present in the house. If the protective sweep was unlawful, then the police officers’ observations of drugs in the house could not have been used to support the search warrant, and the products of the ensuing warranted search must be suppressed.
We review the district court’s findings of fact on a motion to suppress for clear error, viewing the evidence in the light most favorable to the government, but the ultimate determination of reasonable suspicion or probable cause is a mixed question of law and fact that we review de novo. Ornelas v. United States,
A challenge to a search necessarily begins with the Fourth Amendment, which provides:
The right of the people to be secure in thеir persons, houses, papers, and effects, against unreasonable searches and seizures, shall not be violated, and no Warrants shall issue, but upon probable cause ... and particularly describing the place to be searched, and the persons or things to be seized.
U.S. Const, amend. IV. When they first accosted Mr. Hauk at his home, the police had a warrant for Mr. Hauk’s arrest. They did not (at that time) have a warrant to search the house. An arrest warrant, however, “implicitly carries with it the limited authority to enter a dwelling in which the suspect lives when there is reason to believe the suspect is within.” Payton v. New York,
In Maryland v. Buie, the Supreme Court recognized an exception to the warrant requirement for a cursory, limited search of a residence incident to arrest — a so-called protective sweep — if the circumstances present “articulable
A.
Appellant argues that rather than being based on specific, articulable facts, the protective sweep of his home was based on “generalizations by [the officers] about drug offenders, their use of weapons, and their use of other people,” and that the police officer conceded in his testimony that the sweep “would have occurred regardless of the information in the anonymous tip.” He thus argues that the search failed the constitutional standards for protective sweeps set forth in Buie. The testimony to which Aрpellant refers is that of Detective Michael Shomin:
Q: So I take it then it is just a matter of routine when you are executing arrest warrants at a particular residence, that a protective sweep then is done, because in your experience, there is at least some likelihood that some other person might be present, correct?
A: Absolutely.
Q: So, as a general policy of the police department, when you folks effect an arrest warrant, you routinely do a protective sweep regardless, right?
A: For officer safety, absolutely.
Testimony of Detective Michael Shomin, R. Vol. II, 22:10-19.
The Fourth Amendment does not sanction automatic searches of an arrestee’s home, nor does the fact-intensive question of reasonable suspicion accommodate a policy of automatic protective sweeps. Given the specific mission of the Task Force to apprehend violent fugitives, it may be that its arrests involve a heightened level of danger. If this is the case, the circumstances of each arrest might well create reasonable suspicion sufficient for a protective swеep. Applied indiscriminately to all arrest warrants, however, the Kansas City policy sweeps too broadly. For example, a routine protective sweep would presumably be inappropriate if conducted by officers serving a warrant for a traffic ticket or securities fraud. Cf. Ybarra v. Illinois,
Neither do we endorse the Task Force’s practice of automatic protective sweeps based on the assumption that “drug houses” are inherently dangerous. Detective Shomin testified that drug houses are, in his experience, places of violence, and this is no doubt true. However, given the Supreme Court’s general disinclination to carve out subject-matter-specific exceptions from the Fourth Amendment, see, e.g., Florida v. J.L.,
If the government were relying on the validity of the Kansas City policy to support this protective sweep, or if the subjective motivations of the officers in undertaking the sweep were controlling, we would thus have to reverse this conviction. In light of Detective Shomin’s testimony, there is every reason to believe that the police engaged in the sweep of Mr. Hauk’s residence not because they believed they had reasonable suspicion of danger, but because they were executing a “general policy” of conducting protective sweeps in the course of all arrests within a home. But the Supreme Court has squarely held that the legality of searches and seizures under the Fourth Amendment depends not on the subjective motivations of the police, but on whether there was an objectively reasonable basis for the search or seizure. Whren v. United States,
We note, though, that the actual, subjective motivations of the police officers in conducting the sweep may have relevance to the degree of deference the district court should accord the officer’s professional experience and judgment regarding whether reasonable suspicion of danger existed. Ordinarily, as the Supreme Court has instructed, district courts must accord “due weight” to the judgments of police officers on the ground that their “experience and specialized training” may allow them “to make inferences from
B.
When the articulable facts supporting reasonable suspicion come from an informant, the police must have an objective basis to rely on the tip. If anonymous, uncorroborated tips were deemed a sufficient basis for search, malicious informants could use the device of a phoney tip to wreak injury (indignity, invasion of privacy, suspicion, and sheer annoyance) on their enemies, rivals, or acquaintances without fear of being held responsible. See United States v. Johnson,
When police obtain “sufficient independent corroboration,” however, even an anonymous tip generally provides a basis for reasonable suspicion. United States v. Danhauer,
In Alabama v. White, for example, an anonymous caller informed the police that the suspect would leave a specific apartment at a particular time, that she would drive a brown Plymouth station wagon with a broken right tail light to a particular motel, and that she would be carrying cocaine in a brown leather case. Id. at 327,
Generally, to be sufficient to support an inference of credibility and reliability, the corroborated information must be “predictive” in nature. Predictive information is defined broadly as knowledge that the informant could not acquire from any source but the suspect, whether directly or indirectly, providing reason to believe that the informant has “inside information — a special familiarity with [the suspect’s] affairs,” and is not just a member of the “general public.” White,
Reliance on an anonymous tip is justified when the tip contains “a range of details relating not just to easily obtained facts and conditions existing at the time of the tip, but to future actions of third parties ordinarily not easily predicted.” Gates,
Corroboration of information other than predictive facts, such as the basis of the informant’s knowledge, the circumstances under which it was obtained, and the amount of detail about the alleged criminal activity, can also justify reliance on an anonymous tip in appropriate circumstances. See Gates,
We stress that this case involved a protective sweep, rather than an investigative detention or search, like that in White and
[T]he requirеment that an anonymous tip bear standard indicia of reliability in order to justify a stop in no way diminishes a police officer’s prerogative, in accord with Terry, to conduct a protective search of a person who has already been legitimately stopped. We speak in today’s decision only of cases in which the officer’s authority to make the initial stop is at issue.
J.L.,
C.
Let us turn, then, to the anonymous tip in Mr. Hauk’s case. The tip contained four different types of information: (1) identification of Mr. Hauk as a parole violator with outstanding warrants, together with his address; (2) information that he sleeps during the day and has no dogs; (3) information regarding the whereabouts in the house of drugs, drug sales equipment (scales), and guns; and (4) information that he has an associate named “Spencer” who drives a red Chevy Astro van.
The first category of information — identification of Mr. Hauk as a parole violator, and his address — is not precisely “predictive” information, but it indicates more than casual observation. General information, such as the suspect’s address or the make of the suspect’s vehicles, “is clearly insufficient for probable cause or even reasonable suspicion.” United States v. Jenkins,
The second category of information, that Mr. Hauk sleeps during the day and has no dogs, is “predictive” both in the ordinary sense (it is a prediction that during the day, Mr. Hauk will be sleeping and will be unaccompanied by man’s best friend) and in the more general sense that it is information unlikely to be known by the general public. White,
The third category of information — location of drugs, drug scales, and guns — is predictive in the sense of not being known to the general public, and would be highly supportive of the reasonableness of the protective sweep if it were reliable. But this portion of the tip was completely uncorroborated. We do not find that the corroboration of the rest of the tiр was sufficiently powerful to carry with it a reasonable basis for accepting the credibility and veracity of this portion. On the other hand, the information is highly detailed, reporting the presence of drugs “in the ceiling, hall closet by the bedroom, night stand next to the bed and in a duffle bag in the closet,” along with “scales in the bedroom.” Moreover, the tipster claimed to be reporting first hand information, which he gleaned from being inside the house in the course of purchasing drugs from Mr. Hauk. (“Caller states that he has been in the home and does get drugs from him.”) This degree of detail, claim of firsthand knowledge, and information about the circumstances of learning the information, lends weight to the credibility of the tip. See Gates,
The fourth category of information in the tip — -that Mr. Hauk hаd an associate named “Spencer” who drove a red vehicle- — -is ultimately the most important. To be sure, for an anonymous tip to support reasonable suspicion, the tip must “be reliable in its assertion of illegality, not just in its tendency to identify a determinate person.” J.L.,
While they were waiting outside the residence, a red Camaro pulled into Mr. Hauk’s driveway. The driver disappeared, perhaps into the house, though the officers could not see where he had gone. The unidentified driver’s apparent entry into Mr. Hauk’s house without knocking or requiring permission to enter gave the police reason to think that the driver was either the householder or a close associate, perhaps the runner. When Mr. Hauk appeared at the door shortly thereafter in boxer shorts, it seemed to confirm that the man who emerged from the vehicle was someone other than Mr. Hauk, on the assumption that it is unusual for a person to enter his house and immediately disrobe. The police therefore had a reason to suspect that there was an unidentified person lurking somewhere in the house.
Mr. Hauk’s effort to retreat into his house reinforced the officers’ reasonable suspicion that the situation was dangerous. At the very least, forcible resistance by the subject of a warrant justifies an officer’s suspicion that the arrestee has not given up on crime. Cf. Illinois v. Wardlow,
Viewed as a totality, the facts in this case supported each element required to justify a protective sweep. When the Task Force officers knocked on Mr. Hauk’s door, they knew that (1) Mr. Hauk violated parole on a narcotics trafficking conviction; (2) an anonymous informant claimed that Mr. Hauk wаs selling drugs out of his house, that he had a runner named Spencer, and that he had guns in the house; (3) an unidentified individual had recently parked in the driveway and might have entered the house, and (4) Mr. Hauk attempted to slam the door on the officers.
Police are predisposed by their instinct for self-preservation to assume that an unknown situation is dangerous. The Fourth Amendment limits officers’ ability to act on this assumption, but we must take care not to restrict officers’ common-sense precautions, particularly in cases involving reasonable suspicion. As the Supreme Court has frankly stated,
Articulating precisely what “reasonable suspicion” and “probable cause” mean is not possible. They are common-sense, nontechnical conceptions that deal with*1193 the factual and practical considerations of everyday life on which reasonable and prudent men, not legal technicians, act_They are ... fluid concepts that take their substantive content from the particular contexts in which the standards are being assessed.
Ornelas,
Mr. Hauk argues that the officers should have conducted a more thorough investigation to corroborate the tip before they arrested him. The officers might, for example, have waited to see whether Mr. Hauk had a stream of short-term visitors consistent with a retail drug operation. But the principle behind this argument would require officers to delay service of a valid arrest warrant whenever circumstances suggest that a protective sweep might be necessary. Efforts to enforce the Fourth Amendment through deterrence of unreasonable police behavior should be tailored not to interfere with the proper execution of police functions. See United States v. Calandra,
We thus conclude that the faсts known to the Task Force officers created a reasonable suspicion that a dangerous third party was inside Mr. Hauk’s house at the time of the arrest. The measures taken in this case were therefore reasonable, and the district court properly denied Mr. Hauk’s motion to suppress.
III.
Mr. Hauk filed a supplemental brief arguing that his sentence was invalid under Blakely v. Washington,
Booker extended the Sixth Amendment holding of Blakely, concluding that in the context of the mandatory federal Sentencing Guidelines, “[a]ny fact (other than a prior conviction) which is necessary to support a sentence exceeding the maximum authorized by the facts established by a plea of guilty or a jury verdict must be admitted by the defendant or proved to a jury beyond a reasonable doubt.”
Mr. Hauk pleaded guilty to count two of the indictment, which charged possession with intent to distribute 768.6 grams of cocaine. At his sentencing hearing, the government argued that Mr. Hauk was
The district court determined Mr. Hauk’s base offense with reference to all of the drugs discovered in his house. See U.S.S.G. § 2D1.1, Application Note 12 (“Types and quantities of drugs not specified in the count of conviction may be considered in determining the offense level.”). The total quantity of drugs, including those discovered in Mr. Starns’s room, resulted in a base offense level of 30. See id. § 2Dl.l(b)(5). The firearm in Mr. Starns’s room increased the base offense by two levels, to 32. See id. § 2Dl.l(b)(l). The district court reduced the adjusted offense level by three points for acceptance of responsibility, see U.S.S.G. § 3El.l(a), (b), resulting in a total offense level of 29, which indicated a sentencing range of 140 to 175 months imprisonment. The court sentenced Mr. Hauk to 140 months imprisonment, the minimum sentence in that range. Based solely on the drug quantities admitted by the defendant, and without an adjustment for acceptance of responsibility, Mr. Hauk’s base offense level would have been 26, see id. § 2Dl.l(c)(7), and his sentencing range would have been 110 to 137 months. See id. § 5A. Based on the admitted quantities, and giving Mr. Hauk credit for acceptance of responsibility, the offense level would be 23, and the sentencing range would be 84 to 105 months. See U.S.S.G. § 3El.l(a), (b); id. ch. 5, pt. A. Either way, Mr. Hauk’s sentence was in excess of the sentencing range based on the admitted facts.
Because Mr. Hauk did not raise his Blakely challenge in the district court, we review for plain error. United States v. Gonzalez-Huerta,
It is now well established that constitutional Booker error satisfies the first two criteria for plain error review. We turn, then, to the third and fourth.
A. Substantial Rights
To violate a defendant’s substantial rights, “the error must have been
In a case involving constitutional Booker error, a defendant can show an effect on his substantial rights in at least two ways. First, the defendant may be able to demonstrate “a reasonable probability that a jury applying a reasonable doubt standard would not have found the same facts that the judge found by a preponderance of the evidence.” See Dazey,
The Guidelines require sentenсing courts to consider “relevant conduct” at sentencing, see U.S.S.G. § 1B1.3, including uncharged drug quantities “if they are part of the same conduct for which the defendant was convicted.” United States v. Mendez-Zamora,
The district court relied on two pieces of evidence to support the finding of jointly undertaken criminal activity: the anony
Mr. Hauk’s testimony also provides an uncertain basis for the finding of joint drug sales activity. For example, Agent Volanti testified that Mr. Hauk told him that “he had to go through his friend Spence” and that he “would use Spence ... as the middle man.” R. Vol. IV 14-15. This vague reference is the only suggestion that Mr. Starns acted as a middle man at or near the time of the arrest. In the full context of the interview, however, it appears that Mr. Hauk could have been describing his introduction to suppliers through Mr. Starns in the past rather than a continuing pattern of activity. Mr. Hauk acknowledged that Mr. Starns had introduced him to suppliers in the past, but he testified that the most recent introduction occurred approximately a year before the arrest. While this admission may make it more likely than not that Mr. Starns played a joint role in “the commission of the offense of conviction,” U.S.S.G. § lB1.3(a)(l), the connection between this admission and the district court’s conclusion is sufficiently distant in time that a fact-finder applying a reasonable doubt standard might not make the same determination. Cf. United States v. Mozee,
Moreover, the district court did not discuss several pieces of evidence that undermine the conclusion that he and Mr. Starns were selling illegal drugs together. For example, there is evidence that the door to Mr. Starns’s room was locked, an assertion which, if true, would support the theory that his and Mr. Starns’s dealings were independent. During his testimony, Mr. Hauk discussed a photograph of the arrest scene and indicated that the police broke down the door to Mr. Starns’s room, which supports his claim the door was locked. In addition, Mr. Hauk testified that Mr. Starns had been staying with him for only three weeks to a month at the time of his arrest. He admitted that he and Mr. Starns knew many of the same suppliers, but he insisted they did not purchase large quantities of drugs together and Mr. Starns did not bring people to his house to buy drugs.
Perhaps most significantly, while readily admitting to possession of all other drugs in the house, Mr. Hauk consistently denied any connection to crack cocaine, whiсh was the substance found in the suitcase in Mr. Starns’s room. Agent Volanti testified
Using the “less rigid” approach required in analysis of constitutional plain errors, the cumulative effect of this conflicting evidence leads us to conclude that there is a reasonable probability that a fact-finder using a reasonable doubt standard would not reach the same conclusion as the district court. Accordingly, we hold that the district court’s Sixth Amendment error affected Mr. Hauk’s substantial rights.
B. The Integrity, Fairness, or Public Reputation of Judicial Proceedings
An appellate court has discretion to correct an error not preserved at trial when the error affects the integrity, fairness, or public reputation of judicial proceedings. Gonzalez-Huerta,
All three of these factors suggest that a remand would be appropriate in Mr. Hauk’s case. First, the error in his sentence is the type of constitutional error identified by the Booker merits majority as a violation of a defendant’s Sixth Amendment rights. To leave an erroneous sentence intact after acknowledging that it was calculated through constitutionally suspect means could reflect poorly on the public reputation of the judiciary. Second, Mr. Hauk vigorously contested the factual basis of the enhancements that increased his sentence. Cf. United States v. Maldonado-Ramires,
Finally, we consider whether the mandatory application of judge-found facts substantially increased Mr. Hauk’s sentence. This depends, in part, on whether we give Mr. Hauk credit for acceptance of responsibility, as the district court did. This Circuit has not decided whether adjustment for acceptance of responsibility is deemed to be judicial fact-finding for purposes of Booker; however, the outcome of Mr. Hauk’s case does not depend on the answer to that question. With or without credit for acceptance of responsibility, the judge-found facts violated Mr. Hauk’s Sixth Amendment rights, and they exposed him to a substantial increase in punishment.
The effect of the judge-found facts was to increase the bottom of the applicable sentencing range by either 30 or 56 months, depending on whether Mr. Hauk is credited with acceptance of responsibility. While these increases are not as large as the ten years the Supreme Court called “very serious” in Booker,
In doing so, we do nоt mean to suggest that the district court ought to reach a different conclusion on remand, but only that, in light of Booker, it should have the opportunity to resentence Mr. Hauk under the new, non-mandatory Guidelines regime.
y.
For the reasons stated above, we conclude that the arresting officers had reasonable suspicion sufficient to justify the protective sweep. The district court’s denial of Mr. Hauk’s motion to suppress is therefore AFFIRMED. Reviewing Mr. Hauk’s claim of constitutional sentencing error under Rule 52(b), we VACATE the sentence and REMAND for further proceedings consistent with this opinion.
. The tip is ambiguous regarding which of the two men, Hauk or Spencer, drives the van, but because the preceding sentence in the tip sheet refers to Spencer, it is more likely (and certainly objectively reasonable to assume) that the “he” in the next sentence refers to Spencer.
. The circumstances may also indicate that a lower sentence is particularly unlikely, for example, when the court imposes a sentence at the top of the Guidelines range. Cf. United States v. Riccardi, 405 F.3d 852, 876 (10th Cir.2005) (finding a constitutional Booker error to be harmless because the court’s factual findings werе supported by overwhelming evidence and the court sentenced at the top of the Guidelines range).
Concurrence Opinion
concurring in the judgment.
I concur in the judgment but write separately to express my dissent to the approach taken by the majority in Part IIA. Like the majority, I question the constitutionality of the alleged policy of the Kansas City Police Department to conduct a sweep of every residence when executing an arrest warrant. That issue, however, is
During the hearing on Mr. Hauk’s suppression motion, Detective Shomin testified that it was the policy of the Kansas City Police Department to routinely cоnduct a protective sweep when executing an arrest warrant. When the district court ruled on the motion, however, it clearly and repeatedly stated that its ruling was not based on the alleged policy,
[TJhere [were] statements made to the court in regards to the evidence specifically as they related to Detective Sho-min’s testimony in regards to whether or not there is some type of official or unofficial pattern or practice of the Kansas City, Kansas Police Department when they execute their arrest warrant. I would tell you, Mr. Hauk and Mr. Harris, that is not the issue before the court in this case.... So, the issue about this pattern and practice, this blanket exception is not before the court. The court is not going to rule one way or the other in regards to that pattern or practice legality.
Consistent with these statements, the court resolved the motion by concluding that the facts presented, together with the reasonable inferences that could be drawn from those facts, provided justification for the protective sweep. Accordingly, the court made no finding that a policy or practice exists, let alone a finding that the officers acted pursuant to any such policy.
Hauk focuses his appellate argument on his position that no specific, articulable facts existed to support the protective sweep. The bulk of his argument is directed toward challenging the officers’ reliance on the information contained in the anonymous tip which he asserts contains no predictive information that could be corroborated. As the majority points out, he also includes one sentence in his appellate brief, arguing that the sweep was therefore improper because it was based solely on “ ‘generalizations by [the officers] about drug offenders, their use of weapons, and their use of other people.’ ” Majority Op. at 1186 (quoting Appellant’s Br. at 13-14). He does not argue or provide any support for the position that the alleged policy is unconstitutional or that the professional judgment of the officers is not entitled to “due weight” because the sweep was conducted pursuant to the alleged policy. See Phillips v. Calhoun,
In resolving this appeal the majority first addresses the propriety of the alleged “practice” testified to by Detective Sho-min. Recognizing that the government did not base its argument on the alleged policy, the majority concludes that “[i]f the government were relying on the validity of the Kansas City policy to support this protective sweep, or if the subjective moti
Because I agree with the majority’s ultimate conclusion, reached without any reliance on the dicta, that “the facts in this case supported each element required to justify a protective sweep,” I concur in the judgment.
