United States v. RoseUnited States v. Rose
OPINION OF THE COURT
This сase raises a procedural issue that has nagged our Court for decades and for which we have unwittingly given conflicting answers: whether a criminal defendant who failed to raise a reason to suppress evidence before the District Court may raise the reason on appeal. We conclude that he cannot absent good cause: such a suppression issue is waived under
I. Background
Rose failed to file federal income tax returns for tax years 1998 through 2002, despite having received compensation during those years for services relating to his medical transcription business. In February 2005 a grand jury charged Rose with willful failure to file tax returns in violation of
Before the District Court, Rose, proceeding pro se, moved to suppress physical evidence seized in a search of his home. He advanced four arguments. First, he argued the search was “neither reasonable nor necessary because all pertinent information was already in the government’s possession” and because the affidavit on which the search was based “did not even suggest the existence of any additional evidence.” (Emphasis in original.) Second, Rose contended the warrant was “so overly broad as to make it indistinguishable from the ‘general warrants’ prohibited by the Fourth Amendment,” as it sought “to seize numerous items which could not possibly be related to any crime, as well as many items that constitute articles of protected speech [ie., items containing anti-tax expression].” Third, he claimed that the search was motivated by a “desire to retaliate against” him for “exercising [his] First Amendment rights.” He concluded by stating that “[t]he government’s seizure of various articles of protected speech was unquestionably contrary to established law.”
In May 2005, the District Court held a suppression hearing and denied the motion to suppress. A five-day jury trial followed, resulting in conviction on all five counts notwithstanding Rose’s defense that he believed in good faith that
He challenges before us the District Court’s denial of his motion to suppress, arguing that the warrant violated the particularity requirement of the Fourth Amendment. In support of this theory, Rose reasons that (a) the warrant was defective on its face for failing either to
II. Rose’s Suppression Arguments Are Waived
All of the suppression issues that Rose raises on appeal are new; he did not raise them before the District Court. We disagree with the contention that Rose raised before the District Court the argument that the warrant, because it did not indicate for which of the offenses listed in the affidavit the magistrate found probable cause, authorized a general search in violation of the First and Fourth Amendments. Rose did not argue this to that Court. Instead, he argued that the warrant permitted a search for various items of evidence that could not be related to any crime, that were protected by the First Amendment, and that contained information of which the Government was already aware. Only now does Rose focus on the relationship between the warrant and the affidavit’s list of offenses, asking whether the former specifically refers to any part of the latter.
In our Court, suppression issues raised for the first time on appeal are waived absent good cause under Rule of Criminal Procedure 12.
See United States v. Lockett,
A. The Rules’ Text and History 4
The text of Rule 52(b) has remained substantially unchanged since the initial version of the Criminal Rules.
See
When the provisions governing suppression issues moved to Rules 41(f) and 12 in 1972, they arguably no longer required that motions to suppress be raised before trial.
See Chavez-Valencia,
All of this changed in 1974, when the Rules were amended explicitly to
require
— this time with threаt of waiver— that motions to suppress be raised prior to trial.
[f]ailure by a party to raise defenses or objections or to make requests which must be made prior to trial, at the time set by the court pursuant to subdivision (c), or prior to any extension thereof made by the court, shall constitute waiver thereof, but the court for cause shown may grant relief from the waiver.
The advisory committee notes to the 1974 amendment to
Subsequent minor changes notwithstanding, the 1974 amendments resulted in the treatment of suppression motions in
B. Our Court’s Decisions
Our Court has never explicitly acknowledgеd the tension between
Our waiver cases began with
Frank,
where we invoked
We most fully explained the propriety of a waiver approach in
Lockett,
By contrast, we have occasionally applied plain error review to suppression issues raised for the first time on appeal. In none of these cases, however, did a party suggest in briefing that we hold the issues to be waived. In
Martinez-Zayas,
we considered a defendant’s claim, raised for the first time on appeal, that a warrаnt issued by a nonlawyer and nonjudge bail commissioner was invalid under
We applied plain error review again in
Riddick,
this time to a defendant’s argument, raised for the first time on appeal, that the warrant contained stale facts and that it failed to list with particularity the items to be seized.
Finally, citing
Riddick, Martinez-Zayas
and
United States v. Bey,
C. Other Jurisdictions’ Approaches
In other courts, “the prevailing rule is that the failure to assert a particular ground [for suppression] operates as a wаiver of the right to challenge the admissibility of the evidence on that ground.” 6 Wayne R. LaFave,
Search and Seizure: A Treatise on the Fourth Amendment
§ 11.2(a) (4th ed.2004);
see also Chavez-Valencia,
Other courts, by contrast, have depended for their answer on whether the record is sufficiently developed to permit an accurate resolution of the issue on appеal. In
United States v. Lopez-Lopez,
the First Circuit Court refused to apply plain error review to an argument that was waived under
Other courts have gone further, holding untimely claims under
In a particularly detailed treatment of this issue,
Chavez-Valencia
in the Fifth Circuit joined those courts employing a waiver approach.
under the currentRule 12 , motions to suppress are now given identical treatment as motions based on defects in the institution of the prosecution and motions based on defects in the indictment. As noted above, these two claims historically have been foreclosed on appeal if not first raised in the district court. It therefore seems to us that the intent of the drafters to give the term “waiver” its ordinary meaning as it applies to motions to suppress is [clear].
Id. at 131.
After reconciling this textual reading with Fifth Circuit precedent,
Chavez-Valencia
examined various policy considerations that support a waiver approach. It noted that because the exclusionary rule is “not devised so much [as] a personal right of the defendant, but, instead, as an incentive to protect the public against an overaggressive police force,” the Supreme Court has “refused to apply the exclusionary rule for Fourth Amendment violations where the costs of its implementation outweigh!] the benefit gained by deterrence of future violations.”
Id.
(citing
United States v. Leon,
Chavez-Valencia
found little benefit to allowing a defendant to raise an untimely suppression issue on appeal. Specifically, this would not deter much (if any) police misconduct. It noted that, to find an effect on police misconduct, “ ‘we would have to imagine a policeman tempted to make an unconstitutional search or seizure pausing to think and then being dissuaded by the consideration that the prospective defendant, if he is so unlucky as to have a lawyer who commits plain error in failing to file a timely pretrial suppression motion, will have another bite at the apple.’”
Chavez-Valencia,
D. Analysis
We agree with
Chavez-Valencia
that under
1.
Though each of
Rose counters that
Moreover, we join the Fifth Circuit’s conclusion in
Chavez-Valencia
that policy considerations support a waiver approach.
See
The parties spend much time discussing our Court’s prior cases, some of which applied plain error review and some of which applied waiver to suppression issues raised for the first time on appeal. This is understandable. We do not think, however, that any of these cases controls the outcome we reach today. As mentioned at the outset of this opinion, we appear to be the first panel in our Circuit to analyze
To the extent there is any indicаtion that we silently considered (but did not explicitly discuss) the tension when deciding these prior cases, that indication is that we resolved the tension in favor of waiver. In
Martinez-Hidalgo
the Government stated in its brief that “[a]s the [suppression] issue was not raised below, the standard of review is plain error,” Brief for the Appellee,
Martinez-Hidalgo,
As for the cases that applied plain error review, we have little doubt that those applications were inadvertent. We noted previously that in none of the cases applying plain error review did а party raise the possibility of waiver in its brief. That our Court did not uncover
For all of these reasons, we hold that
2. Rose Has Not Shown Good Cause
Having concluded that Rose’s suppression arguments are untimely under
III. Conclusion
Under
Notes
. Thе grand jury also charged Rose's wife, Tessa David Rose. She stood trial separately and is not a party to this appeal.
. The District Court had jurisdiction, pursuant to
. Rose also argues that the District Court denied him a fair trial and that the prosecutor committed reversible error. We have considered these arguments, and conclude that they lack sufficient merit to require our addressing them in depth. As to the fair trial argument, we are satisfied that submission to the jury of allegedly inflammatory e-mail evidence was not plain error or an abuse of discretion, that the District Court did not err in excluding documentary, videotape, and testimonial evidence that Rose sought to introduce, and that the Court did not abuse its discretion in instructing the jury as to our decision in
United States v. Bell,
. For a helpful review of the Rules’ pre-1997 text and history, see
United States v. Chavez-Valencia,
. In another portion of its brief, the Government did suggest the issue was waived. Brief for the Appellee,
supra,
at 18,
. Neither party in
Lockett
raised in its briefing the possibility of plain error review. The Government argued that the defendant had not raised the issue before the district court and therefore waived it, Brief for Appellee United States of America at 15, 27-30,
Lockett,
. As discussed previously, the contents of current
. Though we offer this rationale, we think it unwise to excuse a defendant from compliance with
. To be fair, we reiterate that, in another portion of its brief, the Government suggested the issue was waived. Brief for the Appellee,
supra,
at 18,
. We are unpersuaded by Rose’s argument that because