Lead Opinion
The government appeals from an order of the district court suppressing evidence — cocaine — seized pursuant to a search of defendant Jorge Zapata’s luggage on a train in Albuquerque, New Mexico, as well as statements made following his arrest. Because we hold that the encounter between the officers and Mr. Zapata was consensual, and did not constitute a seizure in violation of the Fourth Amendment, and because we hold that Mr. Zapata voluntarily consented to the search of his luggage, we reverse the district court’s grant of the motion to suppress.
BACKGROUND
Certain basic facts are undisputed. Drug Enforcement Administration Special Agent Kevin Small, dressed in civilian clothes, boarded an Amtrak train on May 27, 1992, while the train was stopped briefly in Albuquerque, en route from Los Angeles to Chicago. Accompanied by Abuquerque Police •Department Detective Sam Candelaria, who was under assignment to the Drug Enforcement Administration Task Force, Agent Small walked through the coach section of the train where Mr. Zapata was sitting with his common-law wife, Brenda Contreras, and their young son. Agent Small testified at the suppression hearing that there were approximately 45 to 55 people in the coach car at the time. The agent further testified that he decided to question Mr. Zapata because he observed two new duffle bags in the rack above Mr. Zapata’s seat and “of all the drug cases we’ve done on board the train ...
While Detective Candelaria “stood back against one of the windows watching the platform area,” Agent Small turned on a tape recorder in a small fanny pack he wore around his waist and approached Mr. Zapata from behind. Id. Agent Small showed Mr. Zapata his DEA badge, and proceeded to ask him a series of questions.
The district court found that Agent Small “block[ed] [Mr. Zapata’s] egress from the seat” while he asked him questions which “were rapid-fire, direct, accusatory and potentially incriminating.” Order at 1-2, R.Vol. I tab 16. The district court also found, and no one disputes this finding, that Mr. Zapata was never told that he could refuse to answer Agent Small’s questions or that he could otherwise refuse to comply with the agent’s requests. The district court further found that Mr, Zapata was “born and raised in Mexico, and is a Mexican citizen. He had about 11 years of education in Mexico. He has resided in the United States for 3 to 4 years, and is able to communicate in English to a certain degree. However, he speaks with a heavy accent, and his understanding
Mr. Zapata testified at the suppression hearing that he got “scared” and “very nervous” when Agent Small identified himself as a police officer. R.Vol. II at 40. He testified that he was scared and nervous because he “knew what was in the bags.” Id. When asked why he agreed to talk to the agent, Mr. Zapata testified, “I didn’t know that I didn’t have to talk to him and I thought I had to do it.” Id.
Mr. Zapata was indicted for possession with intent to distribute more than 500 grams of cocaine, in violation of 21 U.S.C. §§ 841(a)(1) and 841(b)(1)(B). He filed a motion to suppress all evidence seized pursuant to the search of his bags as well as all statements made following his arrest, on the grounds that “[t]he initial encounter between Jorge Zapata and Agent Small was an involuntary and nonconsensual seizure” in violation of the Fourth Amendment. Motion to Suppress at 4, R.Vol. I tab 6.
The district court held an evidentiary hearing at which Agent Small and Mr. Zapata testified, and the court listened to the tape recording of the encounter between the two. It granted Mr. Zapata’s motion to suppress, finding as follows:
10.Because of his upbringing in Mexico, Defendant believed that he must acquiesce to all police requests because failure to do so could result in dire consequences, including physical harm.
11. A reasonable person in these circumstances with Defendant’s background would not have felt free to ignore Agent Small’s presence, to decline Agent Small’s requests, or to otherwise terminate the encounter and go about his business. When Agent Small began to question Defendant, the Defendant reasonably believed that he was not free to leave or to refuse to answer questions. Defendant reasonably believed he was required to produce his ticket and identification and to allow the agent to search his luggage.
12. Under the circumstances of this case, Defendant reasonably felt intimidated by the presence of the officers, and reasonably interpreted Agent Small’s “requests” as commands or demands.
13. The government has not proven that Defendant’s consent to the police questioning and search was given freely and voluntarily. The questioning of Defendant was not a voluntary, consensual encounter.
14. Defendant was seized for purposes of the Fourth Amendment when Agent Small began asking Defendant questions. Agent Small lacked reasonable articulable suspicion that Defendant had been, was, or was about to be engaged in criminal activity to justify this seizure. The subsequent search and statements made by Defendant were fruits of the initial illegal detention.
Order at 3-4, R.Vol. I tab 16. The government appeals that order, arguing that the district court erred in concluding that Mr. Zapata was seized in violation of the Fourth Amendment and that the subsequent search and statements must be suppressed.
When we review an order granting a motion to suppress, “we accept the trial court’s factual findings unless clearly erroneous, and we view the evidence in the light most favorable to the district court’s finding.” United States v. Swepston,
We turn first to the question of whether the encounter on the Amtrak train between Agent Small and Mr. Zapata was a purely consensual encounter or an investigative detention implicating the Fourth Amendment.
I. Seizure or Consensual Encounter
“[A] seizure does not occur simply because a police officer approaches an individual and asks a few questions.” Florida v. Bostick, — U.S. -, -,
The Supreme Court in Bostick articulated the test to be applied to any police encounter, whether occurring on “trains, planes, [or] city streets”:
[I]n order to determine whether a particular encounter constitutes a seizure, a court must consider all the circumstances surrounding the encounter to determine whether the police conduct would have communicated to a reasonable person that the person was not free to decline the officers’ requests or otherwise terminate the encounter.
Bostick, — U.S. at - - -,
We consider a number of factors in determining whether a police-citizen encounter becomes a seizure: the location of the encounter, particularly whether the defendant is “in an open public place where he [is] within the view of persons other than law enforcement officers,” Ward,
Virtually all those factors indicate a consensual encounter between Agent Small and Mr. Zapata. First, the encounter occurred in a public setting, in a coach ear of the train, in view of dozens of other travel-lers. When confronted by authorities in such a public place, a reasonable person is less likely to feel that he is unable to decline the agent’s request or otherwise terminate the encounter. See Ward,
Furthermore, neither Agent Small nor Detective Candelaria touched or physically restrained Mr. Zapata in any way; the agents were in plain clothes and did not brandish or display their weapons; and the officers used a regular tone of voice in asking a series of essentially routine questions. See Ward,
While Mr. Zapata was never in-' formed by Agent Small that he need not answer the agent’s questions or refuse consent to search his luggage, although he was asked if he would “voluntarily” consent to the search, “this one factor by itself does not determine whether a seizure has occurred.” Ward,
We also specifically hold that the district court erred in considering Mr. Zapata’s “background” and “upbringing” in determining whether a seizure occurred. As this court made clear in Bloom, and reiterated in Laboy, the particular personal traits or subjective state of mind of the defendant may be relevant to some degree to the issue of the voluntariness of that person’s consent, but they are irrelevant to the legal question of whether a seizure has occurred by virtue of the police conduct involved. That inquiry is governed by Bostick's “reasonable person” test, which is clearly an objective test: under the totality of the circumstances, would “the police conduct ... have communicated to a reasonable person that the person was not free to decline the officers’ requests or otherwise terminate the encounter.” Bostick, — U.S. at -,
We conclude that, based on the totality of the circumstances, the encounter between Mr. Zapata and Agent Small remained consensual, and did not amount to a seizure in violation of the Fourth Amendment. The encounter occurred in a public setting, in view of dozens of other people, the officers’ conduct and demeanor was essentially non-eoercive and non-threatening, and Mr. Zapata’s ticket and identification were only briefly retained and were promptly returned. A reasonable person in Mr. Zapata’s position would have felt free to decline to answer the agent’s questions or otherwise terminate the encounter.
II. Voluntariness of Consent
The district court also found, and Mr. Zapata argues on appeal, that Mr. Zapata’s consent to the search of his luggage was not freely and voluntarily given. We turn now to that issue.
We determine the voluntariness of Mr. Zapata’s consent to the search of his luggage under the totality of the circumstances, with the government bearing the burden of proof. Soto,
The district court found that the government had failed to prove that Mr. Zapata’s consent was freely and voluntarily given. We “must accept that finding unless it is clearly erroneous.” Id. We hold that it is clearly erroneous.
Our recent decision in Soto is instructive. In finding that the consent given in that case was voluntary, we stated as follows:
[Tjhere is no evidence that any overt coercion was employed. It appears [the officer] did not unholster his weapon, did not use an insisting tone or manner, did not physically harass defendant, and no other officers were present. Further, the incident occurred on the shoulder of an interstate highway, in public view. [The officer] sought permission specifically to look in .the trunk, and the defendant got out of the ear and opened the trunk himself. Defendant makes no contention that he misunderstood [the officer’s] request; any such claim is precluded by defendant’s act of opening the trunk. Thus, defendant’s consent was unequivocal and specific.
Similarly, Agent Small in this case used no overt coercion or display of weapons. While the district court found that the agent’s questions were “rapid-fire, direct, accusatory and potentially incriminating,” the transcript of the interchange between Agent Small and Mr. Zapata suggests fairly routine questioning. And while virtually any question could conceivably be “potentially incriminating,” the only directly “potentially incriminating” question Agent Small asked Mr. Zapata (whether Mr. Zapata had any drugs in his luggage) occurred more than half way through the interchange. Moreover, as in Soto, the interchange and the giving of the consent occurred in public view in the coach section of the train in the presence of 45 to 55 other people. . Additionally, as in Soto, Agent Small specifically sought permission to search Mr. Zapata’s luggage, and Mr. Zapata makes no argument that, nor is there evidence that, he did not understand the agent’s request, which the agent made twice, to search the luggage. “[A]ny such claim is precluded by [Mr. Zapata’s] act of opening the [bag].” Id. And the transcript reveals that Mr. Zapata said, “Sure” and, “Yeah,” when asked whether he would consent to the search. See United States v. Werking,
The primary factor upon which the district court relied to conclude that Mr. Zapata’s consent was not voluntary, and a principal factor Mr. Zapata asserts on appeal, is his background and attitude toward police, derived from his experiences in his native Mexico. As we noted in Bloom, while “[a] person’s subjective characteristics may be relevant to the voluntariness of the person’s consent ... recent Supreme Court decisions cast doubt on this issue.” Bloom,
But even assuming some subjective characteristics are relevant to the validity of Mr. Zapata’s consent, we reject the notion that his attitude toward police, from whatever source, can constitute such a relevant subjec-five characteristic. While such attributes as the age, gender, education, and intelligence of the accused have been recognized as relevant, see United States v. Mendenhall,
For the foregoing reasons, the decision of the district court granting Mr. Zapata’s motion to suppress evidence is REVERSED and the case is REMANDED for further proceedings.
Notes
. The transcript of the recorded conversation between Agent Small and Mr. Zapata reveals the following interchange:
S/A Small: How you doing today? I'm with the police department, can I talk to you for a second?
ZAPATA: Sure.
S/A Small: Where are you headed today?
ZAPATA: Chicago.
S/A Small: And where did you get on the train at?
ZAPATA: Los Angeles.
S/A Small: Los Angeles?
ZAPATA: Uh-huh.
S/A Small: Do you have your ticket with you?
S/A Small: ZAPATA?
ZAPATA: (Cough) Yeah.
S/A Small: Do you have anything with a picture I.D. on it at all Mr. Zapata?
S/A Small: Do you live in Illinois or live in Los Angeles?
ZAPATA: Illinois.
S/A Small: Illinois? How long have you lived there?
ZAPATA: (Cough) For about two (2) years. Longer than that.
S/A Small: Two (2) years?
S/A Small: How long were you out in Los Angeles?
ZAPATA: Uh, three (3) weeks.
S/A Small: Three (3) weeks?
ZAPATA: Yeah.
S/A Small: Do you have any luggage with you today?
ZAPATA: Yes, I do.
S/A Small: Where is it? Do you know?
ZAPATA: Downstairs.
S/A Small: Downstairs? Do you have any other luggage with you?
ZAPATA: Yeah, up there.
S/A Small: I work for the Drug Enforcement Administration, okay. We have a problem on-board the train with people traveling out of Los Angeles, back to Illinois carrying drugs. You don’t have any drugs in your luggage do you?
ZAPATA: No, I don't.
S/A Small: Would you voluntarily consent for me to search?
ZAPATA: Sure.
S/A Small: Would that be all right?
ZAPATA: Yeah.
S/A Small: Ma’am, do you speak English? Brenda CONTRERAS: Yes.
S/A Small: Are one of these your bags? Brenda CONTRERAS: No.
S/A Small: Would you voluntarily consent for me to search this bag?
S/A Small: Hi there. How old is he?
ZAPATA: Oh, a year and a half.
S/A Small: Year and a half, that's about what mine is.
S/A Small: Sam.
S/A Small: Why don't you put your hands behind your back, all right?
S/A Small: Ma’am are you a citizen of the United States?
CONTRERAS: Yes.
S/A Small: Do you have your immigration papers with you? Uh huh. She's going with us anyway, Sam. She doesn't have her immigration papers?
S/A Small: About three (3) more in here.
S/A Small: Sir, do you have your immigration papers?
Addendum for the United States.
. Mr. Zapata also testified as follows:
Q Why did you allow Mr. Small to search your luggage?
A Because I saw that he was a police officer.
Q And of what significance was the fact he was a police officer?
A I didn’t know because I thought that when a policeman asks you something one has to answer.
Q Did you think that when he was asking you, that he was really telling you what to do?
A Yes, sir.
Q Did you believe that you had any choice in not doing what he said?
A At the moment I thought that if I didn’t do it he would get angry or he would do something else.
R.Vol. II at 42. When questioned by the court, Mr. Zapata indicated that he had heard that Mexican police "strike you, they hit you” when a citizen encounters a policeman. Id. at 47-48.
. Of course, the nature of the police-citizen encounter can change — what may begin as a consensual encounter may change to an investigative detention if the police conduct changes and vice versa. See Bloom,
. In this connection, Agent Small’s request that Mr. Zapata “voluntarily consent" to a search of his luggage would not necessarily constitute the specific statement that Mr. Zapata need not answer the agent's questions or permit a search of his luggage. In Bloom, Agent Small also asked for the defendant’s "voluntary” consent, yet we specifically noted that an important factor in our conclusion that a seizure had occurred was the lack of an explicit advisement that the defendant need not answer questions or permit a search of his belongings. See also Bostick, — U.S. at -,
. Agent Small testified that he did not immediately notice Mr. Zapata's accent because "[h]e didn't say a whole lot of words for me to pick up an accent. It wasn't until I think he said a couple sentences, you know, a couple words back to back that, I think he said 'up there' or something about the luggage that I picked up an
. In finding in Ward that subjective characteristics are relevant to the issue of coercion, we cited United States v. Recalde,
Moreover, even in Ward, the "personal traits” held to be relevant were the defendant's "slight physique and health problems"—characteristics more akin to the characteristics considered in Schneckloth and Mendenhall than the attitude toward authority mentioned in Recalde.
In any event, Recalde itself gives no indication of the weight to be given the factor of the defendant’s attitude toward authority, and the case itself demonstrates that it was only one of many factors leading to the conclusion that the consent was involuntary. See Joe,
. The majority opinion relies heavily on our decision in Soto, listing a number of factors present there as indicating voluntariness of consent. See supra p. 758. Those factors do lend support to a finding of voluntariness of consent. But we must keep in mind the fact that in Soto, we were reviewing a trial court's finding of voluntariness and were noting record evidence supporting the finding. Here we should similarly be giving consideration to the evidence and factors cited by the trial judge supporting his finding of a lack of voluntary consent, as we make our review of the whole record. In my judgment, the evidence and factors cited by the trial judge amply support his finding that the “government has not proven that defendant’s consent to the police questioning and search was given freely and voluntarily.” Order at 3.
Dissenting Opinion
dissenting:
I respectfully dissent.. I disagree with both the majority’s view that there was no
The majority opinion makes a thorough and forceful analysis from its perspective. I am unable to agree, however, particularly because I am convinced the significant perspective here was that of the trial judge who heard and saw the witnesses and was charged with the duty of making the critical findings of fact. To me the district court’s crucial finding that the “government has not proven that Defendant’s consent to the police questioning and search was given freely and voluntarily” cannot be held clearly erroneous on this record. Consent for the search of defendant’s luggage not being freely and intelligently given, the evidence from the search and the statement that followed were properly suppressed.
Our recent decision in United States v. Soto,
The voluntariness of consent must be determined from the totality of the circumstances, and the government bears the burden of proof on the issue_ the government must show that there was no duress or coercion, express or implied, that the consent was unequivocal and specific, and that it was freely and intelligently given.
Underlying the trial judge’s ultimate finding here that the government did not prove that consent for the questioning and search was given freely and voluntarily were specific, historical subsidiary fact findings: Agent Small positioned himself next to defendant’s seat, blocking egress; Small identified himself as a police officer, flashed his badge and began asking pointed questions about Zapata’s destination and from where he had come; Small requested Zapata’s ticket and identification; Small asked whether Zapata had any drugs in his luggage arid whether he would “voluntarily consent” to a search. The judge found that “[t]he questions were rapid-fire, direct, accusatory and potentially incriminating,” and that “Defendant was not advised of his right to refuse to answer the agent’s questions or to refuse to comply with the agent’s requests.” Order at 2.
The record amply supports these findings by the trial judge. Agent Small and Zapata were the only witnesses at the suppression hearing. Small admitted that when he first asked if he could talk to Zapata, he did not ever tell Zapata he had a right not to talk to Small and that Zapata had the right not to answer the question whether he had any luggage. Tr. at 27, 32. Most pertinently, the tape recording of their initial conversation and the transcript of it, Pl.’s Exs. 2 and 3,
A consent to search is valid if it is voluntarily given and the question whether a search is voluntary is a question of fact to be determined by the district court from the totality of the circumstances. United States v. Wright,
[W]hen a trial judge’s finding is based on his decision to credit the testimony of one of two or more witnesses, each of whom has told a coherent and facially plausible story that is not contradicted by extrinsic evidence, that finding, if not internally inconsistent, can virtually never be clear error.
Anderson v. Bessemer City,
Here the trial judge was weighing the testimony and demeanor of Agent Small and Zapata in order to make his findings of subsidiary facts and his ultimate finding that the government had not proven consent for the search was given freely and voluntarily. In my view, the judge’s assessment of the evidence bearing on those findings cannot be held clearly erroneous. Ample evidence supporting the trial judge’s views is apparent and we must remember that the government bore the burden of proof that Zapata’s consent was voluntary. United States v. Evans,
Thus I would uphold the trial judge’s finding that the government did not prove that Zapata’s consent for the search was free and voluntary. This conclusion alone is an ample premise for affirming the order of suppression. However, I also respectfully disagree with the majority’s rejection of the trial court’s finding that a seizure of Zapata occurred in these circumstances when Agent Small began questioning Zapata without reasonable articulable suspicion. Order at 3-4.
The majority opinion notes correctly that the question whether a seizure occurred is a question of law. See supra p. 756. In reversing the trial court’s seizure ruling, the majority relies first on Florida v. Bostick and its inquiry whether a reasonable person would have felt that he “was not free to decline the officer’s requests or otherwise terminate the encounter.” Primarily the majority opinion focuses on the factual similarity to one aspect of Bostick — that the encounter occurred in the coach car of the train and in view of some 45-55 other travelers.
Bostick itself instructs us that “[w]here the encounter takes place is one factor, but it is not the only one.” — U.S. at -,
In my judgment, the factual circumstances as found by the trial judge furnish a solid basis for his conclusion that a seizure occurred when the accusatory questioning began in this setting. I am persuaded that the judge was carefully considering Bostick, as well as Ward and Bloom, and that his ruling that a seizure occurred, without reasonable articulable suspicion, was not in error. Being convinced that no error was committed by the trial court in his underlying findings or in his conclusion that a seizure occurred without articulable suspicion, I would affirm on this additional ground.
. Respectively II Supp.R. and I Supp.R.
. The majority opinion acknowledges our rule that one panel may not overrule an earlier decision of the court and our consideration in United States v. Recalde,
. In Ward,
