Lead Opinion
MOORE, J., delivered the opinion of the court, in which POLSTER, D. J., joined.
McKEAGUE, J. (p. 476), delivered a separate concurring opinion.
OPINION
Defendanb-Appellant Ricky A. Caruthers (“Caruthers”) appeals his conviction for possession of a firearm by a convicted felon, in violation of 18 U.S.C. §§ 922(g)(1) and 924(e). Caruthers argues that the district court erred by denying his motion to suppress evidence obtained pursuant to an investigative detention, because the stop was both unjustified in its inception and excessive in its means. He also contends for the first time on appeal that the district court erroneously enhanced his
I. BACKGROUND
A. Factual Background
At approximately 1:15 A.M. on June 17, 2003, a central dispatcher with the Nashville police and fire departments received an anonymous emergency call. On the basis of this call, the dispatcher created a written report containing the following information: “Male black.... Red shirt, shorts, fired gun in the air, arguing with female at location, gun is in the suspect’s pocket, fired the weapon once.... Location], J.C. Napier.” Joint Appendix (“J.A.”) at 143-^44 (Suppression Hr’g Tr. at 106-07) (Heath Test.). Officers Carl Stocks (“Officer Stocks”) and Jonathan Mays (“Officer Mays”) were dispatched to the intersection of Lewis and Lafayette Streets, the location of J.C. Napier public housing development, at approximately 1:20 A.M. They arrived on the scene about three to five minutes later.
The officers observed a black man wearing a red shirt (later identified as Caruthers) entering the parking lot of a nearby gas station; he was walking in the direction away from the J.C. Napier development. Nobody else was in the area. Officer Mays drove away in order to take a position at the opposite end of the alley behind the building. Officer Stocks pulled his cruiser alongside Caruthers, approximately two to three feet away. The cruiser’s flashing lights were not on, and Officer Stocks did not have a weapon drawn. Officer Stocks remained in his vehicle’s seat and said through the rolled-down window, “hey, man, come here a second,” or “hey, man, come here, let me talk to you a second.” J.A. at 48-49 (Suppression Hr’g Tr. at 11-12) (Stocks Test.). Caruthers then “took off in a hurried[ ] fashion around the corner of the business.” J.A. at 49; see also J.A. at 50 (“He took off real quick, kind of in a semi-running [fashion] .... ”). Officer Stocks exited his cruiser to give chase, momentarily losing sight of Caruthers. Officer Stocks followed Caruthers around the corner, where he saw Caruthers “kind of hunched down a little bit.” J.A. at 50. Caruthers was “kind of against the wall of the business and he was kind of leaned over where kind of his knees were kind of bent a little bit, so he was kind of leaning toward the ground.” J.A. at 51. Officer Stocks “told him to come here,” whereupon Caruthers “turned around, put his hands up[,] and came walking back toward [Officer Stocks].” J.A. at 50. Officer Stocks “grabbed ahold of [Caruthers], escorted him to [the] patrol car, [and] placed him in the back seat.” J.A. at 50. Officer Stocks did not tell Caruthers that he was under arrest, pat him down, or handcuff him before placing him in the patrol car, the doors of which were locked such that Caruthers would be unable to exit the vehicle without kicking out the window.
While these events were unfolding, Officer Mays, who had taken his position at the opposite end of the alley, proceeded to drive up the alley toward Officer Stocks and Caruthers. Officer Mays arrived on the scene as Officer Stocks placed Caruthers in the patrol car. A “few seconds” after placing Caruthers in the cruiser, Officer Stocks “went back to where [he] saw [Caruthers] standing hunched over and found the loaded weapon laying on the ground in plain view.” J.A. at 50-51 (Stocks Test.); see also J.A. at 90 (Mays Test.). The pistol was “[e]xactly where [Caruthers] was leaned down.” J.A. at 51
The entire encounter — from when Officer Stocks first saw Caruthers to when Officer Mays recovered the ammunition from the back of the patrol car — lasted three or four minutes.
B. Procedural Background
After Caruthers was indicted for possession of a firearm by a convicted felon, in violation of 18 U.S.C. §§ 922(g)(1) and 924, he moved to suppress the ammunition and statements.
Pursuant to an agreement with the government, Caruthers entered a conditional guilty plea, explicitly reserving his right to appeal the denial of his suppression motion. With respect to the sentence that ultimately would be imposed, Caruthers waived his right to appeal certain issues. The waiver provision provided in relevant part:
The defendant is aware that 18 U.S.C. § 3742 affords a defendant the right to appeal the sentence imposed. Acknowledging this, the defendant knowingly waives the right to appeal any sentence within the maximum provided in the offense level as determined by the Court or the manner in which that sentence was determined on the grounds set forth in 18 U.S.C. § 3742 or on any ground whatever, in exchange for the concessions made by the government in this plea agreement. Such waiver does not apply, however, to claims of involuntariness, prosecutorial misconduct, ineffective assistance of counsel, or if the Court departs upward.
J.A. at 183 (Plea Agreement ¶ 13). The agreement also included provisions raising the possibility that the ACCA would apply. The district court accepted Caruthers’s plea.
At sentencing, the court found, on the basis of Caruthers’s three burglary convictions and one drug conviction, that Caruthers was an armed career criminal and calculated a sentencing range of 180 months (the statutory minimum for armed career criminals under § 924(e)) to 210 months (the ceiling for an offense level of 30 and a criminal history category of VI
Caruthers now appeals the denial of his motion to suppress. He also argues for the first time on appeal that his burglary convictions are not “violent felonies” within the meaning of the ACCA. Therefore, Caruthers contends, his fifteen-year sentence exceeds the statutory maximum of ten years (as set forth in § 924(a)(2)) for an unenhanced § 922(g)(1) conviction.
II. ANALYSIS
A. Fourth Amendment
1. Standard of Review
“When reviewing the denial of a motion to suppress, we review the district court’s findings of fact for clear error and its conclusions of law de novo.” United States v. Henry,
2. Merits
We recently reviewed the relevant analytical framework for assessing an investigative detention under Terry v. Ohio,
a. Reasonable Suspicion
The first part of the analysis is whether there was reasonable suspicion to justify the investigative detention. This determination, which is made in light of the totality of the circumstances, United States v. Arvizu,
We begin our inquiry with the fact that Caruthers matched the description given in the anonymous 911 call. In Florida v. J.L.,
Yet we must be mindful of the Supreme Court’s teachings in this area. An anonymous tip is less reliable than “a tip from a known informant whose reputation can be assessed and who can be held responsible if her allegations turn out to be fabricated.” J.L.,
The first concern relates to the motives of the tipster. A tipster who refuses to identify himself may simply be making up the story, perhaps trying to use the police to harass another citizen.... A second concern relates not to a tip’s anonymity but to its level of specificity. Overly generic tips, even if made in good faith, could give police excessive discretion to stop and search large numbers ofcitizens.... [A] tip [like the one in J.L.) could, obviously, give police an excuse to stop and search a large number of young men. The Court’s insistence on additional detail from the tipster and corroborating observation by the police helps ensure that police do not use vague tips to violate the Fourth Amendment rights of innocent citizens.
United States v. Johnson,
We turn next to Caruthers’s reaction upon encountering Officer Stocks. The Supreme Court has explained that “nervous, evasive behavior is a pertinent factor in determining reasonable suspicion.” Illinois v. Wardlow,
However, flight is not the only type of “nervous, evasive behavior.” Furtive movements made in response to a police presence may also properly contribute to an officer’s suspicions. See, e.g., J.L.,
[T]he officer testified that he was additionally suspicious because when he drove by Broomfield in his squad car before turning around and getting out and accosting him he noticed that Broomfield was “starting] straight ahead.” Had Broomfield instead glanced around him, the officer would doubtless have testified that Broomfield seemed nervous or, the preferred term because of its vagueness, “furtive.” Whether you stand still or move, drive above, below, or at the speed limit, you will be described by the police as acting suspiciously should they wish to stop or arrest you. Such subjective, promiscuous appeals to an ineffable intuition should not be credited.
The purportedly furtive conduct here is of a sufficiently objective, particularized sort to alleviate such concerns. Soon after Officer Stocks began to give chase, Caruthers was seen “hunched down” near a wall, “kind of leaning toward the ground.” Bending or leaning tends to be more suspicious when accompanied by some other indication of an attempt to conceal contraband or to reach for a weapon, such as arm movements or the sound of an item being moved, see United States v. McGlown,
Finally, we address the “contextual considerations.” Wardlow,
We note, however, the dangers of relying too easily or too heavily on these contextual factors. “[A]ny person who happened to wander into a high-crime area, late at night, in the immediate aftermath of a serious crime, could be detained.” United States v. Woodrum,
The citing of an area as “high-crime” requires careful examination by the court, because such a description, unless properly limited and factually based, can easily serve as a proxy for race or ethnicity. District courts must carefully examine the testimony of police officers in cases such as this, and make a fair and forthright evaluation of the evidence they offer, regardless of the consequences. We must be particularly careful to ensure that a “high crime” area factor is not used with respect to entire neighborhoods or communities in which members of minority groups regularlygo about their daily business, but is limited to specific, circumscribed locations where particular crimes occur with unusual regularity.
United States v. Montero-Camargo,
Based on the analysis above, the totality of the circumstances — -an individual, whose general appearance and location matched the description given in the anonymous shot-fired call, fled and made furtive movements when approached by the police late at night in a high-crime area — provided reasonable suspicion to conduct a Terry stop. This and other courts have concluded likewise in similar circumstances. See United States v. McAllister,
b. Degree of Intrusion
We proceed to the second part of the investigative-detention analysis: whether the degree of intrusion was reasonable. “As part of the second prong, we must ‘ascertain whether the detention is reasonable, that is, (1) was it sufficiently limited in time, and (2) were the investigative means used the least intrusive means reasonably available.’ ” Davis,
When Officer Stocks approached Caruthers while investigating a shot-fired call, Caruthers fled and then was observed in a position suggesting that he was discarding what — given the call — might have been a gun. Naturally, Officer Stocks wanted to search that area for an abandoned weapon. Given that Caruthers had already demonstrated that he was a flight risk, it was reasonable for Officer Stocks to take steps to avert another attempted escape while he conducted this search. See Bennett,
The three cases on which Caruthers relies are distinguishable. In United States v. Richardson,
In United States v. Butler,
Finally, in United States v. Thompson,
B. Sentencing
1. Waiver
Caruthers argues that his sentence exceeds the statutory maximum for his conviction, because the district court erroneously ruled that he qualified for the ACCA enhancement.
a. Scope of the Agreement
We initially address whether Caruthers’s appeal comes within the scope of the plea agreement. According to the government, Caruthers waived his appeal by specifically agreeing that the ACCA sentencing enhancement would apply to him. This claim fails for two reasons. First, it is belied by the text of the provisions contemplating application of the ACCA, which are written in qualified rather than unconditional terms. J.A. at 172-73 (Petition to Enter a Plea of Guilty ¶ 5) (“I understand that I may qualify as an Armed Career Criminal enhancement and if I do, I will be subject to a mandatory minimum sentence .... I have been advised by my attorney that the guideline range could be 180-210 months imprisonment if I qualify for the ‘Armed Career Criminal’ enhancement.” (emphases added)), 178 (Plea Agreement ¶ 2) (“The defendant understands, that should he qualify as an Armed Career Criminal, he faces a mandatory minimum sentence .... ” (emphasis added)), 179 (Plea Agreement ¶ 3) (“The government and the defendant anticipate that the following guideline provisions will apply .... ” (emphasis added)). Second, we have held that an agreement to be sentenced under the Guidelines does not effect a waiver of appeal. United States v. Smith,
Caruthers’s plea agreement does, however, contain an explicit appeal waiver provision: “[T]he defendant knowingly waives the right to appeal any sentence within the maximum provided in the offense level as determined by the Court or the manner in which that sentence was determined on the grounds set forth in 18 U.S.C. § 3742 or on any ground whatever.” J.A. at 183 (Plea Agreement ¶ 13). Caruthers argues that his appeal does not come within the literal terms of the waiver clause, especially in light of the principle that plea agreements are to be interpreted strictly, with ambiguities construed against the government. See, e.g., United States v. Fitch,
b. Enforceability of the Waiver Clause
Caruthers next contends that even if the waiver provision’s language encompasses his appeal, it cannot as a matter of law preclude attacking a sentence on the grounds that it exceeds the statutory maximum. Caruthers has cited no cases from this court addressing his argument, and it indeed appears to be a matter of first impression in this circuit.
It is well settled in the federal courts that “a defendant who waives his right to appeal does not subject himself to being sentenced entirely at the whim of the district court.” United States v. Marin,
These courts offer several different rationales for the doctrine. Some suggest that a district court is without jurisdiction to impose a sentence exceeding the statutory maximum, Bushert,
The question then becomes whether Caruthers’s appeal can accurately be called a challenge of his sentence on the grounds that it exceeds the statutory maximum. The argument for such a characterization is that being a felon in possession of a firearm and being an armed career criminal in possession of a firearm are two separate offenses. Under this view, the baseline statutory maximum for purposes of the waiver inquiry is the ten-year maximum for being a felon in possession of a firearm, see 18 U.S.C. § 924(a)(2), and Caruthers’s fifteen-year sentence exceeded it. The argument against such a characterization is that being a felon in possession of a firearm and being an armed career criminal in possession of a firearm are not two separate offenses, but simply recidivism-contingent variants of the same offense. Under this view, the baseline statutory maximum for purposes of the waiver inquiry is the life-imprisonment maximum for being an armed career criminal in possession of a firearm, see 18 U.S.C. § 924(e)(1); United States v. Wolak,
Unfortunately, neither party briefed or argued this issue. (Indeed, the government did not bother to address Caruthers’s enforceability argument at all.) In any event, we need not determine whether Caruthers’s appeal qualifies as a challenge on the grounds that his sentence exceeds the statutory maximum, because, for the reasons discussed below, it fails on the merits. Thus, we assume for present purposes that Caruthers’s appellate waiver is unenforceable, and we now turn to the merits of Caruthers’s sentencing argument.
“This Court reviews a district court’s conclusion that a crime constitutes a violent felony under the ACCA ... de novo.” United States v. Hargrove,
3. Merits
a. Burglaries as Violent Felonies Under the ACCA
A person convicted of being a felon in possession of a firearm under § 922(g)(1) generally is subject to a maximum prison
The district court applied § 924(e) to Caruthers on the basis of four prior felony convictions in Tennessee: two for third-degree burglary, one for second-degree burglary, and one for a serious drug offense. Caruthers argues that § 924(e)’s definition of “violent felony” encompasses neither second-nor third-degree burglary as they existed in Tennessee at the time of his convictions, leaving him with fewer than three qualifying predicate offenses and making the application of the ACCA enhancement erroneous.
In Taylor v. United States,
b. Application to the Pre-November1989 Tennessee Burglary Statute
Caruthers argues that the burglary statute under which he was convicted did not require unlawful entry, one of the Taylor generic-burglary elements. Such an argument would appear to have no merit with respect to Tennessee’s current burglary statute, which includes the element of acting “without the effective consent of the property owner.” TENN. CODE ANN. § 39-14-402(a). However, Caruthers was convicted of offenses occurring before the current statute went into effect on November 1, 1989.
Burglary in the second degree is the breaking and entering into a dwelling house or any other house, building, room or rooms therein used and occupied by any person or persons as a dwelling place or lodging either permanently or temporarily and whether as owner, renter, tenant, lessee or paying guest, by day, with the intent to commit a felony.
TENN. CODE ANN. § 39-3-403(a) (1982). Third-degree burglary was defined as “the breaking and entering into a business house, outhouse, or any other house of another, other than dwelling house, with the intent to commit a felony.” Id. § 39-3-404(a)(l).
We first address whether Tennessee’s pre-November-1989 burglary statute is generic.
Yet a burglary statute may also be non-generic if it “inelud[es] places, such as automobiles and vending machines, other than buildings.” Taylor,
The record contains the indictments of only two of Caruthers’s three burglary convictions,
In light of this conclusion, Caruthers was actually convicted of offenses including “the basic elements of unlawful or unprivileged entry into, or remaining in, a building or structure, with intent to commit a crime,” i.e., generic burglaries. Taylor,
III. CONCLUSION
For the reasons set forth above, we AFFIRM the district court’s denial of Caruthers’s motion to suppress and AFFIRM Caruthers’s sentence.
Notes
. The motion to suppress argues that "all evidence and statements obtained following the stop and arrest of [Caruthers] must be suppressed.” J.A. at 15 (Mot. to Suppress at 5). This statement could conceivably include the pistol, but at the suppression hearing Caruthers's counsel conceded, J.A. at 157 (Suppression Hr'g Tr. at 120), that Caruthers had "standing” to challenge only the ammunition and statements. Although the Supreme Court has rejected the use of standing doctrine in this context, Minnesota v. Carter,
. Caruthers complains that Officer Stocks must not have been motivated by safety concerns, because Caruthers could have had another weapon on his person yet Officer Stocks did not frisk Caruthers before placing him in the cruiser. We acknowledge that this may have constituted bad policing, as it could have resulted in an armed individual being left unsupervised in the vehicle, but an officer's motivations are not relevant to the objective reasonableness standard of the Fourth Amendment. In any event, even with this oversight, detaining Caruthers in the patrol car had the safety benefit mentioned in the text. Finally, the argument that the Fourth Amendment is violated when an officer's actions were not intrusive enough (i.e., he should have frisked Caruthers, too) is curious, to say the least.
. Caruthers does not deny that his agreement was knowing, voluntary, and intelligent. See United States v. Fleming,
. This development (or lack thereof) appears to be an artifact of the language used in many of the appellate waivers in this circuit, which explicitly permit appeals of sentences exceeding the statutory maximum. See, e.g., United States v. Luebbert,
. The circuits have been similarly uniform in accepting the principle that defendants who have otherwise waived their appellate rights may yet attack sentences based on constitutionally impermissible criteria like race. See, e.g., Bownes,
. We acknowledge that we have said that a valid appellate waiver leaves this court without jurisdiction to hear a sentencing appeal. United States v. McGilvery,
There are several reasons, however, to read McGilveiy for less than all it might be worth.
Finally, the Supreme Court has recently and repeatedly admonished courts not to be cavalier in their use of the term "jurisdictional.” See Arbaugh v. Y&H Corp.,-U.S.-,
For these reasons, we conclude that our assumption that Caruthers's appellate waiver is unenforceable does not constitute an impermissible assumption of jurisdiction.
. Caruthers was convicted of second-degree burglary committed in 1984 and of third-degree burglaries committed in 1983 and on September 1, 1989.
. We have not squarely addressed this issue. Unfortunately, the two times we came close to answering the question, we reached different conclusions. First, in United States v. Anderson,
In the second case, we clearly identified the version of the statute we examined, and it was identical to the definition under which Caruthers was convicted. Compare United States v. Bureau,
Finally, we note that the Eighth Circuit held the statute in effect in 1966 to be generic, United States v. Moore,
. Because the statute is nongeneric only in the sense that it permitted burglaries of non-buildings, we need only look for the "building or structure” element in the indictments and related documents. In other words, because we have already determined that the statute itself requires unlawful entry, we need not search for the unlawful-entry element in Caruthers's indictments.
. The information regarding the third burglary conviction is contained in a "Classification Report” prepared by the state corrections department. J.A. at 313. We are not satisfied that this document is a "comparable judicial record of [the] information” contained in the indictment. Shepard,
Concurrence Opinion
concurring.
I join the majority opinion in full, but write separately to address two points related to the discussion of whether Caruthers’s waiver of appellate rights with regard to his sentencing argument was enforceable. First, the majority opinion states that one court, in dicta, has held that a defendant cannot waive the right to appeal a sentence above the statutory maximum because a district court is without jurisdiction to impose such a sentence. This decision misconceives the nature of jurisdiction. A district court either has jurisdiction to sentence a defendant or does not have such jurisdiction.
Second, while I agree with the approach of avoiding resolution of the waiver issue, both because it was not adequately addressed by the parties and because it is unnecessary to resolve it in this case, I write separately to briefly note my view on the issue. I do not believe that Caruthers’s appeal of his sentence should be characterized as a challenge on the grounds that it exceeds the statutory maximum. Instead, I adhere to the view that being a felon in possession of a firearm and being an armed career criminal in possession of a firearm are not two separate offenses, but simply recidivism-contingent variants of the same offense, and therefore the statutory maximum of this offense is life.
. In this case, the district court had jurisdiction to sentence Caruthers pursuant to 18 U.S.C. § 3231 which provides that "[t]he district courts of the United States shall have original jurisdiction, exclusive of the courts of the States, of all offenses against the laws of the United States.”
. I further note that where ACCA status is an issue, district courts are required to advise the defendant that the statutory maximum is life. See Fed.R.Crim.P. 11(b)(1)(H) (requiring the trial court to ascertain that a defendant understands “any maximum possible penalty” before accepting a guilty plea (emphasis added)).
