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Breyer, J., dissenting
SUPREME COURT OF THE UNITED STATES
BOOKER T. HUDSON, Jr.,
PETITIONER v. MICHIGAN
on writ of certiorari to the court of appeals of
michigan
[June 15, 2006]
Justice Breyer,
with whom Justice Stevens, Justice Souter,
and Justice Ginsburg join, dissenting.
In Wilson v. Arkansas,
514 U. S. 927 (1995) , a unanimous Court held that the
Fourth Amendment normally requires law enforcement officers to
knock and announce their presence before entering a dwelling. Today’s
opinion holds that evidence seized from a home following a violation
of this requirement need not be suppressed
As a result, the Court destroys the strongest
legal incentive to comply with the Constitution’s knock-and-announce
requirement. And the Court does so without significant support in
precedent. At least I can find no such support in the many
Fourth Amendment cases the Court has decided in the near century
since it first set forth the exclusionary principle in Weeks v.
United States,
232 U. S. 383 (1914) . See Appendix, infra.
Today’s opinion is thus doubly troubling. It
represents a significant departure from the Court’s precedents. And it
weakens, perhaps destroys, much of the practical value of the
Constitution’s knock-and-announce protection.
I
This Court has set forth the legal principles
that ought to have determined the outcome of this case in two sets of
basic
Fourth Amendment cases. I shall begin by describing that
underlying case law.
A
The first set of cases describes the
constitutional knock-and-announce requirement, a requirement that this
Court initially set forth only 11 years ago in Wilson v.
Arkansas, supra. Cf. Sabbath v. United States,
391 U. S. 585 (1968) (suppressing evidence seized in violation of
federal statutory knock-and-announce requirement); Miller v.
United States,
357 U. S. 301 (1958) (same). In Wilson, tracing the lineage
of the knock-and-announce rule back to the 13th century, 514 U. S., at
932, we wrote that
“[a]n examination of the common law of search and
seizure leaves no doubt that the reasonableness of a search of a
dwelling may depend in part on whether law enforcement officers
announced their presence and authority prior to entering.” Id.,
at 931.
We noted that this “basic principle” was
agreed upon by “[s]everal prominent founding-era commentators,” id.,
at 932, and “was woven quickly into the fabric of early American law”
via state constitutions and statutes, id., at 933. We further
concluded that there was
“little doubt that the Framers of the
Fourth Amendment thought that the method of an officer’s entry
into a dwelling was among the factors to be considered in assessing
the reasonableness of a search or seizure.” Id., at 934.
And we held that the “common-law ‘knock and
announce’ principle forms a part of the reasonableness inquiry under
the
Fourth Amendment .” Id., at 929. Thus, “a search or seizure
of a dwelling might be constitutionally defective if police officers
enter without prior announcement.” Id., at 936; see United
States v. Banks,
540 U. S. 31, 36 (2003)
; United States v. Ramirez,
523 U. S. 65, 70 (1998)
; Richards v. Wisconsin,
520 U. S. 385, 387
(1997) .
B
The second set of cases sets forth certain
well-established principles that are relevant here. They include:
Boyd v. United States,
116 U. S. 616 (1886) . In this seminal
Fourth Amendment case, decided 120 years ago, the Court wrote, in
frequently quoted language, that the
Fourth Amendment ’s prohibitions apply
“to all invasions on the part of the government
and its employés of the sanctity of a man’s home and the privacies of
life. It is not the breaking of his doors, and the rummaging of his
drawers, that constitutes the essence of the offence; but it is the
invasion of his indefeasible right of personal security, personal
liberty and private property.” Id., at 630.
Weeks, supra. This case, decided
28 years after Boyd, originated the exclusionary rule. The
Court held that the Federal Government could not retain evidence
seized unconstitutionally and use that evidence in a federal criminal
trial. The Court pointed out that “[i]f letters and private documents”
could be unlawfully seized from a home “and used in evidence against a
citizen accused of an offense, the protection of the
Fourth Amendment declaring his right to be secure against such
searches and seizures is of no value, and … might as well be stricken
from the Constitution.” 232 U. S., at 393.
Silverthorne Lumber Co. v. United
States,
251 U. S. 385 (1920) . This case created an exception to (or a
qualification of) Weeks’ exclusionary rule. The Court held that
the Government could not use information obtained during an illegal
search to subpoena documents that they illegally viewed during that
search. Writing for the Court, Justice Holmes noted that the
exclusionary rule “does not mean that the facts [unlawfully] obtained
become sacred and inaccessible. If knowledge of them is gained from an
independent source they may be proved like anyothers … .” 251 U. S.,
at 392. Silverthorne thus stands for the proposition that the
exclusionary rule does not apply if the evidence in question (or the
“fruits” of that evidence) was obtained through a process unconnected
with, and untainted by, the illegal search. Cf. Nix v.
Williams,
467 U. S. 431, 444
(1984) (describing related “inevitable discovery” exception).
Wolf v. Colorado,
338 U. S. 25 (1949) , and Mapp v. Ohio,
367 U. S. 643 (1961) . Both of these cases considered whether
Weeks’ exclusionary rule applies to the States. In Wolf,
the Court held that it did not. It said that “[t]he security of one’s
privacy against arbitrary intrusion by the police … is … implicit in
‘the concept of ordered liberty’ and as such enforceable against the
States through the Due Process Clause.” 338 U. S., at 27–28. But the
Court held that the exclusionary rule is not enforceable against the
States as “an essential ingredient of the right.” Id., at 29.
In Mapp, the Court overruled Wolf. Experience, it said,
showed that alternative methods of enforcing the
Fourth Amendment ’s requirements had failed. See 367 U. S., at
651–653; see, e.g., People v. Cahan, 44 Cal. 2d
434, 447, 282 P. 2d 905, 913 (1955) (Traynor, C. J.) (“Experience [in
California] has demonstrated, however, that neither administrative,
criminal nor civil remedies are effective in suppressing lawless
searches and seizures”). The Court consequently held that “all
evidence obtained by searches and seizures in violation of the
Constitution is, by that same authority, inadmissible in a state
court.” Mapp, 367 U. S., at 655. “To hold otherwise,” the Court
added, would be “to grant the right but in reality to withhold its
privilege and enjoyment.” Id., at 656.
II
Reading our knock-and-announce cases, Part
I–A, supra, in light of this foundational
Fourth Amendment case law, Part I–B, supra, it is clear
that the exclusionary rule should apply. For one thing, elementary
logic leads to that conclusion. We have held that a court must “conside[r]”
whether officers complied with the knock-and-announce requirement “in
assessing the reasonableness of a search or seizure.” Wilson,
514 U. S., at 934 (emphasis added); see Banks, 540 U. S., at
36. The
Fourth Amendment insists that an unreasonable search or seizure
is, constitutionally speaking, an illegal search or seizure. And ever
since Weeks (in respect to federal prosecutions) and Mapp
(in respect to state prosecutions), “the use of evidence secured
through an illegal search and seizure” is “barred” in criminal trials.
Wolf, supra, at 28 (citing Weeks); see Mapp,
supra, at 655.
For another thing, the driving legal purpose
underlying the exclusionary rule, namely, the deterrence of unlawful
government behavior, argues strongly for suppression. See Elkins
v. United States,
364 U. S. 206, 217
(1960) (purpose of the exclusionary rule is “to deter—to compel
respect for the constitutional guaranty … by removing the incentive to
disregard it”). In Weeks, Silverthorne, and Mapp,
the Court based its holdings requiring suppression of unlawfully
obtained evidence upon the recognition that admission of that evidence
would seriously undermine the
Fourth Amendment ’s promise. All three cases recognized that
failure to apply the exclusionary rule would make that promise a
hollow one, see Mapp, supra, at 657, reducing it to “a
form of words,” Silverthorne, supra, at 392, “of no
value” to those whom it seeks to protect, Weeks, supra,
at 393. Indeed, this Court in Mapp held that the exclusionary
rule applies to the States in large part due to its belief that
alternative state mechanisms for enforcing the
Fourth Amendment ’s guarantees had proved “worthless and futile.”
367 U. S., at 652.
Why is application of the exclusionary rule
any the less necessary here? Without such a rule, as in Mapp,
police know that they can ignore the Constitution’s requirements
without risking suppression of evidence discovered after an
unreasonable entry. As in Mapp, some government officers will
find it easier, or believe it less risky, to proceed with what they
consider a necessary search immediately and without the requisite
constitutional (say, warrant or knock-and-announce) compliance. Cf.
Mericli, The Apprehension of Peril Exception to the Knock and Announce
Rule—Part I, 16 Search and Seizure L. Rep. 129, 130 (1989)
(hereinafter Mericili) (noting that some “[d]rug enforcement
authorities believe that safety for the police lies in a swift,
surprising entry with overwhelming force—not in announcing their
official authority”).
Of course, the State or the Federal Government
may provide alternative remedies for knock-and-announce violations.
But that circumstance was true of Mapp as well. What reason is
there to believe that those remedies (such as private damages actions
under
42 U. S. C. §1983), which the Court found inadequate in Mapp,
can adequately deter unconstitutional police behavior here? See
Kamisar, In Defense of the Search and Seizure Exclusionary Rule, 26
Harv. J. L. & Pub. Pol’y 119, 126–129 (2003) (arguing that “five
decades of post-Weeks ‘freedom’ from the inhibiting effect of
the federal exclusionary rule failed to produce any meaningful
alternative to the exclusionary rule in any jurisdiction” and that
there is no evidence that “times have changed” post-Mapp).
The cases reporting knock-and-announce
violations are legion. See, e.g., 34 Geo. L. J. Ann. Rev. Crim.
Proc. 31–35 (2005) (collecting court of appeals cases); Annot., 85
A. L. R. 5th 1 (2001) (collecting state-court cases); Brief for
Petitioner 16–17 (collecting federal and state cases). Indeed, these
cases of reported violations seem sufficiently frequent and serious as
to indicate “a widespread pattern.” Ante, at 2 (Kennedy,
J., concurring in part and concurring in judgment).Yet the majority,
like Michigan and the United States, has failed to cite a single
reported case in which a plaintiff has collected more than nominal
damages solely as a result of a knock-and-announce violation. Even
Michigan concedes that, “in cases like the present one … , damages may
be virtually non-existent.” Brief for Respondent 35, n. 66; And
Michigan’s amici further concede that civil immunities prevent
tort law from being an effective substitute for the exclusionary rule
at this time. Brief for Criminal Justice Legal Foundation 10; see also
Hope v. Pelzer,
536 U. S. 730, 739
(2002) (difficulties of overcoming qualified immunity defenses).
As Justice Stewart, the author of a number of
significant
Fourth Amendment opinions, explained, the deterrent effect of
damage actions “can hardly be said to be great,” as such actions are
“expensive, time-consuming, not readily available, and rarely
successful.” Stewart, The Road to Mapp v. Ohio and Beyond: The
Origins, Development and Future of the Exclusionary Rule in
Search-and-Seizure Cases, 83 Colum. L. Rev. 1365, 1388 (1983). The
upshot is that the need for deterrence—the critical factor driving
this Court’s
Fourth Amendment cases for close to a century—argues with at least
comparable strength for evidentiary exclusion here.
To argue, as the majority does, that new
remedies, such as
42 U. S. C. §1983 actions or better trained police, make
suppression unnecessary is to argue that Wolf, not Mapp,
is now the law. (The Court recently rejected a similar argument in
Dickerson v. United States,
530 U. S. 428, 441–442
(2000) .) To argue that there may be few civil suits because
violations may produce nothing “more than nominal injury” is to
confirm, not to deny, the inability of civil suits to deter
violations. See ante, at 11. And to argue without evidence (and
despite myriad reported cases of violations, no reported case of civil
damages, and Michigan’s concession of their nonexistence) that civil
suits may provide deterrence because claims may “have been
settled” is, perhaps, to search in desperation for an argument. See
ibid. Rather, the majority, as it candidly admits, has simply
“assumed” that, “[a]s far as [it] know[s], civil liability is an
effective deterrent,” ibid., a support-free assumption that
Mapp and subsequent cases make clear does not embody the Court’s
normal approach to difficult questions of
Fourth Amendment law.
It is not surprising, then, that after looking
at virtually every pertinent Supreme Court case decided since Weeks,
I can find no precedent that might offer the majority support for its
contrary conclusion. The Court has, of course, recognized that not
every
Fourth Amendment violation necessarily triggers the exclusionary
rule. Ante, at 4–5; cf. Illinois v. Gates,
462 U. S. 213, 223
(1983) (application of the exclusionary rule is a separate question
from whether the
Fourth Amendment has been violated). But the class of
Fourth Amendment violations that do not result in suppression of
the evidence seized, however, is limited.
The Court has declined to apply the
exclusionary rule only:
(1) where there is a specific reason to believe
that application of the rule would “not result in appreciable
deterrence,” United States v. Janis,
428 U. S. 433, 454
(1976) ; see, e.g., United States v. Leon,
468 U. S. 897, 919–920
(1984) (exception where searching officer executes defective search
warrant in “good faith”); Arizona v. Evans,
514 U. S. 1, 14 (1995)
(exception for clerical errors by court employees); Walder v.
United States,
347 U. S. 62 (1954) (exception for impeachment purposes), or
(2) where admissibility in proceedings other than
criminal trials was at issue, see, e.g., Pennsylvania Bd. of
Probation and Parole v. Scott,
524 U. S. 357, 364
(1998) (exception for parole revocation proceedings); INS v.
Lopez-Mendoza,
468 U. S. 1032, 1050
(1984) (plurality opinion) (exception for deportation proceedings);
Janis, supra, at 458 (exception for civil tax proceedings);
United States v. Calandra,
414 U. S. 338, 348–350
(1974) (exception for grand jury proceedings); Stone v.
Powell,
428 U. S. 465, 493–494
(1976) (exception for federal habeas proceedings).
Neither of these two exceptions applies here.
The second does not apply because this case is an ordinary criminal
trial. The firstdoes not apply because (1) officers who violate the
rule are not acting “as a reasonable officer would and should act in
similar circumstances,” Leon, supra, at 920, (2) this case does
not involve government employees other than police, Evans,
supra, and (3), most importantly, the key rationale for any
exception, “lack of deterrence,” is missing, see Pennsylvania Bd.
of Probation, supra, at 364 (noting that the rationale for not
applying the rule in noncriminal cases has been that the deterrence
achieved by having the rule apply in those contexts is “minimal”
because “application of the rule in the criminal trial context
already provides significant deterrence of unconstitutional
searches”); Michigan v. Tucker,
417 U. S. 433, 447
(1974) (noting that deterrence rationale would not be served if rule
applied to police officers acting in good faith, as the “deterrent
purpose of the exclusionary rule necessarily assumes that the police
have engaged in willful, or at the very least negligent, conduct”).
That critical latter rationale, which underlies every
exception, does not apply here, as there is no reason to think that,
in the case of knock-and-announce violations by the police, “the
exclusion of evidence at trial would not sufficiently deter future
errors,” Evans, supra, at 14, or “ ‘further the ends of
the exclusionary rule in any appreciable way,’ ” Leon, supra,
at 919–920.
I am aware of no other basis for an exception.
The Court has decided more than 300
Fourth Amendment cases since Weeks. The Court has found
constitutional violations in nearly a third of them. See W. Greenhalgh,
The
Fourth Amendment Handbook: A Chronological Survey of Supreme Court
Decisions 27–130 (2d ed. 2003) (collecting and summarizing 332 post-Weeks
cases decided between 1914 and 2002). The nature of the constitutional
violation varies. In most instances officers lacked a warrant; in
others, officers possessed a warrant based on false affidavits; in
still others, the officers executed the search in an unconstitutional
manner. But in every case involving evidence seized during an illegal
search of a home (federally since Weeks, nationally since
Mapp), the Court, with the exceptions mentioned, has either
explicitly or implicitly upheld (or required) the suppression of the
evidence at trial. See Appendix, infra. In not one of those
cases did the Court “questio[n], in the absence of a more efficacious
sanction, the continued application of the [exclusionary] rule to
suppress evidence from the State’s case” in a criminal trial.
Franks v. Delaware,
438 U. S. 154, 171
(1978) .
I can find nothing persuasive in the
majority’s opinion that could justify its refusal to apply the rule.
It certain-ly is not a justification for an exception here (as the
majority finds) to find odd instances in other areas of law
thatdo not automatically demand suppression. Ante, at 10
(suspect confesses, police beat him up afterwards; sus-pect
confesses, then police apparently arrest him, takehim to
station, and refuse to tell him of his right to counsel). Nor can it
justify an exception to say that somepolice may knock at the
door anyway (to avoid beingmistaken for a burglar), for other police (believingquick
entry is the most secure, effective entry) will not voluntarily do so.
Cf. Mericli 130 (describing Special Weapons and Tactics (SWAT) team
practices); R.Balko, No SWAT (Apr. 6, 2006), available at http://www.cato.org/pub_display.php?pub_id=6344
(all Internet materials as visited June 7, 2006, and available in
Clerk of Court’s case file).
Neither can the majority justify its failure
to respect the need for deterrence, as set forth consistently in the
Court’s prior case law, through its claim of “substantial social
costs”—at least if it means that those “social costs” are somehow
special here. The only costs it mentions are those that typically
accompany any use of the
Fourth Amendment ’s exclusionary principle: (1) that where the
constable blunders, a guilty defendant may be set free (consider
Mapp itself); (2) that defendants may assert claims where
Fourth Amendment rights are uncertain (consider the Court’s
qualified immunity jurisprudence), and (3) that sometimes it is
difficult to decide the merits of those uncertain claims. See ante,
at 8–9. In fact, the “no-knock” warrants that are provided by many
States, by diminishing uncertainty, may make application of the
knock-and-announce principle less “cost[ly]” on the whole than
application of comparable
Fourth Amendment principles, such as determining whether a
particular warrantless search was justified by exigency. The
majority’s “substantial social costs” argument is an argument against
the
Fourth Amendment ’s exclusionary principle itself. And it is an
argument that this Court, until now, has consistently rejected.
III
The majority, Michigan, and the United States
make several additional arguments. In my view, those arguments rest
upon misunderstandings of the principles underlying this Court’s
precedents.
A
The majority first argues that “the
constitutional violation of an illegal manner of entry was
not a but-for cause of obtaining the evidence.” Ante, at 5.
But taking causation as it is commonly understood in the law, I do not
see how that can be so. See W. Keeton, D. Dobbs, R. Keeton, & D. Owen,
Prosser and Keeton on Law of Torts 266 (5th ed. 1984). Although the
police might have entered Hudson’s home lawfully, they did not in fact
do so. Their unlawful behavior inseparably characterizes their actual
entry; that entry was a necessary condition of their presence in
Hudson’s home; and their presence in Hudson’s home was a necessary
condition of their finding and seizing the evidence. At the same time,
their discovery of evidence in Hudson’s home was a readily foreseeable
consequence of their entry and their unlawful presence within the
home. Cf. 2 Restatement (Second) of Torts §435 (1963–1964).
Moreover, separating the “manner of entry”
from the related search slices the violation too finely. As noted,
Part I–A, supra, we have described a failure to comply with the
knock-and-announce rule, not as an independently unlawful event, but
as a factor that renders the search “constitutionally
defective.” Wilson, 514 U. S., at 936; see also id., at
934 (compliance with the knock-and-announce requirement is one of the
“factors to be considered in assessing the reasonableness of a
search or seizure” (emphasis added)); Ker v. California,
374 U. S. 23, 53 (1963)
(opinion of Brennan, J.) (“[A] lawful entry is the indispensable
predicate of a reasonable search”).
The Court nonetheless accepts Michigan’s
argument that the requisite but-for-causation is not satisfied in this
case because, whether or notthe constitutional violation occurred
(what the Court refers to as a “preliminary misstep”), “the police
would have executed the warrant they had obtained, and would have
discovered the gun and drugs inside the house.” Ante, at 5. As
support for this proposition, Michigan rests on this Court’s
inevitable discovery cases.
This claim, however, misunderstands the
inevitable discovery doctrine. Justice Holmes in Silverthorne,
in discussing an “independent source” exception, set forth the
principles underlying the inevitable discovery rule. See supra,
at 4. That rule does not refer to discovery that would have taken
place if the police behavior in question had (contrary to fact) been
lawful. The doctrine does not treat as critical what hypothetically
could have happened had the police acted lawfully in the first
place. Rather, “independent” or “inevitable” discovery refers to
discovery that did occur or that would have occurred (1) despite
(not simply in the absence of) the unlawful behavior and (2)
independently of that unlawful behavior. The government cannot,
for example, avoid suppression of evidence seized without a warrant
(or pursuant to a defective warrant) simply by showing that it could
have obtained a valid warrant had it sought one. See, e.g.,
Coolidge v. New Hampshire,
403 U. S. 443, 450–451
(1971) . Instead, it must show that the same evidence “inevitably
would have been discovered by lawful means.” Nix v.
Williams, 467 U. S., at 444 (emphasis added). “What a man
could do is not at all the same as what he would do.”
Austin, Ifs And Cans, 42 Proceedings of the British Academy 109,
111–112 (1956).
The inevitable discovery exception rests upon
the principle that the remedial purposes of the exclusionary rule are
not served by suppressing evidence discovered through a “later,
lawful seizure” that is “genuinely independent of an
earlier, tainted one.” Murray v. United States,
487 U. S. 533, 542
(1988) (emphasis added); see also id., at 545 (Marshall, J.,
joined by Stevens and O’Connor, JJ.,
dissenting) (“When the seizure of the evidence at issue is ‘wholly
independent of’ the constitutional violation, then exclusion arguably
will have no effect on a law enforcement officer’s incentive to commit
an unlawful search”).
Case law well illustrates the meaning of this
principle. In Nix, supra, police officers violated a
defendant’s
Sixth Amendment right by eliciting incriminating statements from
him after he invoked his right to counsel. Those statements led to the
discovery of the victim’s body. The Court concluded that evidence
obtained from the victim’s body was admissible because it would
ultimately or inevitably have been discovered by a volunteer search
party effort that was ongoing—whether or not the
Sixth Amendment violation had taken place. Id., at 449. In
other words, the evidence would have been found despite, and
independent of, the
Sixth Amendment violation.
In Segura v. United States,
468 U. S. 796 (1984) , one of the “trio of cases”
Justice Scalia says “confirms [the
Court’s] conclusion,” ante, at 13, the Court held that an
earlier illegal entry into an apartment did not require suppression of
evidence that police later seized when executing a search warrant
obtained on the basis of information unconnected to the initial entry.
The Court reasoned that the “evidence was discovered the day following
the entry, during the search conducted under a valid warrant”—i.e.,
a warrant obtained independently without use of any information found
during the illegal entry—and that “it was the product of that
search, wholly unrelated to the prior [unlawful] entry.” Segura,
supra, at 814 (emphasis added).
In Murray, supra, the Court
upheld the admissibility of seized evidence where agents entered a
warehouse without a warrant, and then later returned with a valid
warrant that was not obtained on the basis of evidence observed during
the first (illegal) entry. The Court reasoned that while the agents’
“[k]nowledge that the marijuana was in the warehouse was assuredly
acquired at the time of the unlawful entry … it was also
acquired at the time of entry pursuant to the warrant, and if that
later acquisition was not the result of the earlier entry there is
no reason why the independent source doctrine should not apply.” Id.,
at 541 (emphasis added).
Thus, the Court’s opinion reflects a
misunderstanding of what “inevitable discovery” means when it says,
“[i]n this case, of course, the constitutional violation of an illegal
manner of entry was not a but-for cause of obtaining the
evidence.” Ante, at 5. The majority rests this conclusion on
its next statement: “Whether that preliminary misstep has occurred
or not, the police … would have discovered the gun and the drugs
inside the house.” Ibid. Despite the phrase “of course,”
neither of these statements is correct. It is not true that, had the
illegal entry not occurred, “police would have discovered the guns and
drugs inside the house.” Without that unlawful entry they would not
have been inside the house; so there would have been no discovery. See
supra, at 12.
Of course, had the police entered the house
lawfully, they would have found the gun and drugs. But that fact is
beside the point. The question is not what police might have done had
they not behaved unlawfully. The question is what they did do. Was
there set in motion an independent chain of events that would have
inevitably led to the discovery and seizure of the evidence despite,
and independent of, that behavior? The answer here is “no.”
B
The majority, Michigan, and the United States
point out that the officers here possessed a warrant authorizing a
search. Ante, at 5. That fact, they argue, means that the
evidence would have been discovered independently or somehow
diminishes the need to suppress the evidence. But I do not see why
that is so. The warrant in question was not a “no-knock” warrant,
which many States (but not Michigan) issue to assure police that a
prior knock is not necessary. Richards, 520 U. S., at 396, n. 7
(collecting state statutes). It did not authorize a search that fails
to comply with knock-and-announce requirements. Rather, it was an
ordinary search warrant. It authorized a search that complied with,
not a search that disregarded, the Constitution’s
knock-and-announce rule.
Would a warrant that authorizes entry into a
home on Tuesday permit the police to enter on Monday? Would a warrant
that authorizes entry during the day authorize the police to enter
during the middle of the night? It is difficult for me to see how the
presence of a warrant that does not authorize the entry in question
has anything to do with the “inevitable discovery” exception or
otherwise diminishes the need to enforce the knock-and-announce
requirement through suppression.
C
The majority and the United States set forth a
policy-related variant of the causal connection theme: The United
States argues that the law should suppress evidence only insofar as a
Fourth Amendment violation causes the kind of harm that the
particular
Fourth Amendment rule seeks to protect against. It adds that the
constitutional purpose of the knock-and-announce rule is to prevent
needless destruction of property (such as breaking down a door) and to
avoid unpleasant surprise. And it concludes that the exclusionary rule
should suppress evidence of, say, damage to property, the discovery of
a defendant in an “intimate or compromising moment,” or an excited
utterance from the occupant caught by surprise, but nothing more.
Brief for United States as Amicus Curiae 12, 28.
The majority makes a similar argument. It says
that evidence should not be suppressed once the causal connection
between unlawful behavior and discovery of the evidence becomes too
“attenuated.” Ante, at 5. But the majority then makes clear
that it is not using the word “attenuated” to mean what this Court’s
precedents have typically used that word to mean, namely, that the
discovery of the evidence has come about long after the unlawful
behavior took place or in an independent way, i.e., through
“ ‘means sufficiently distinguishable to be purged of the primary
taint.’ ” Wong Sun v. United States,
371 U. S. 471, 487–488
(1963) ; see Brown v. Illinois,
422 U. S. 590, 603–604
(1975) .
Rather, the majority gives the word
“attenuation” a new meaning (thereby, in effect, making the same
argument as the United States). “Attenuation,” it says, “also occurs
when, even given a direct causal connection, the interest protected by
the constitutional guarantee that has been violated would not be
served by suppression of the evidence obtained.” Ante, at 6.
The interests the knock-and-announce rule seeks to protect, the Court
adds, are “human life” (at stake when a householder is “surprised”),
“property” (such as the front door), and “those elements of privacy
and dignity that can be destroyed by a sudden entrance,” namely, “the
opportunity to collect oneself before answering the door.” Ante,
at 7. Since none of those interests led to the discovery of the
evidence seized here, there is no reason to suppress it.
There are three serious problems with this
argument. First, it does not fully describe the constitutional values,
purposes, and objectives underlying the knock-and-announce
requirement. That rule does help to protect homeowners from damaged
doors; it does help to protect occupants from surprise. But it does
more than that. It protects the occupants’ privacy by assuring them
that government agents will not enter their home without complying
with those requirements (among others) that diminish the offensive
nature of any such intrusion. Many years ago, Justice Frankfurter
wrote for the Court that the “knock at the door, … as a prelude to a
search, with-out authority of law … [is] inconsistent with the
conception of human rights enshrined in [our] history” and
Constitution. Wolf, 338 U. S., at 28. How much the more
offensive when the search takes place without any knock at all. Cf.
Wilson, 514 U. S., at 931 (knock-and-announce rule recognizes that
“the common law generally protected a man’s house as ‘his castle of
defence and asylum’ ” (quoting 3 W. Blackstone, Commentaries *288));
Miller, 357 U. S., at 313 (federal knock-and-announce statute
“codif[ied] a tradition embedded in Anglo-American law” that reflected
“the reverence of the law for the individual’s right of privacy in his
house”).
Over a century ago this Court wrote that “it
is not the breaking of his doors” that is the “essence of the
offence,” but the “invasions on the part of the government … of the
sanctity of a man’s home and the privacies of life.” Boyd, 116
U. S., at 630. And just this Term we have reiterated that “it is
beyond dispute that the home is entitled to special protection as the
center of the private lives of our people.” Georgia v.
Randolph, 547 U. S. ___, ___ (2006) (slip op., at 10) (quoting
Minnesota v. Carter,
525 U. S. 83, 99 (1998)
(Kennedy, J., concurring)). The
knock-and-announce requirement is no less a part of the “centuries-old
principle” of special protection for the privacy of the home than the
warrant requirement. See 547 U. S., at ___ (slip op., at 10) (citing
Miller, supra, at 307). The Court is therefore wrong to
reduce the essence of its protection to “the right not to be intruded
upon in one’s nightclothes.” Ante, at 10; see Richards,
520 U. S., at 393, n. 5 (“[I]ndividual privacy interest[s]” protected
by the ruleare “not inconsequential” and “should not be
undulyminimized”).
Second, whether the interests underlying the
knock-and-announce rule are implicated in any given case is, in a
sense, beside the point. As we have explained, failure to comply with
the knock-and-announce rule renders the related search unlawful.
Wilson, supra, at 936. And where a search is unlawful, the
law insists upon suppression of the evidence consequently discovered,
even if that evidence or its possession has little or nothing to do
with the reasons underlying the unconstitutionality of a search. The
Fourth Amendment does not seek to protect contraband, yet we have
required suppression of contraband seized in an unlawful search. See,
e.g., Kyllo v. United States,
533 U. S. 27, 40 (2001)
; Coolidge, 403 U. S., at 473. That is because the exclusionary
rule protects more general “privacy values through deterrence of
future police misconduct.” James v. Illinois,
493 U. S. 307, 319
(1990) . The same is true here.
Third, the majority’s interest-based approach
departs from prior law. Ordinarily a court will simply look to see if
the unconstitutional search produced the evidence. The majority does
not refer to any relevant case in which, beyond that, suppression
turned on the far more detailed relation between, say, (1) a
particular materially false statement made to the magistrate who
issued a (consequently) invalid warrant and (2) evidence found after a
search with that warrant. But cf. ante, at 15, n. 2 (plurality
opinion) (citing New York v. Harris,
495 U. S. 14 (1990) , as such a case in section of opinion that
Justice Kennedy does not join). And the
majority’s failure does not surprise me, for such efforts to trace
causal connections at retail could well complicate
Fourth Amendment suppression law, threatening its workability.
D
The United States, in its brief and at oral
argument, has argued that suppression is “an especially harsh remedy
given the nature of the violation in this case.” Brief for United
States as Amicus Curiae 28; see also id., at 24. This
argument focuses upon the fact that entering a house after knocking
and announcing can, in some cases, prove dangerous to a police
officer. Perhaps someone inside has a gun, as turned out to be the
case here. The majority adds that police officers about to encounter
someone who may try to harm them will be “uncertain” as to how long to
wait. Ante, at 9. It says that, “[i]f the consequences of
running afoul” of the knock-and-announce “rule were so massive,”
i.e., would lead to the exclusion of evidence, then “officers
would be inclined to wait longer than the law requires—producing
preventable violence against officers in some cases.” Ante, at
8–9.
To argue that police efforts to assure
compliance with the rule may prove dangerous, however, is not to argue
against evidence suppression. It is to argue against the validity of
the rule itself. Similarly, to argue that enforcement means
uncertainty, which in turn means the potential for dangerous and
longer-than-necessary delay, is (if true) to argue against meaningful
compliance with the rule.
The answer to the first argument is that the
rule itself does not require police to knock or to announce their
presence where police have a “reasonable suspicion” that doing so
“would be dangerous or futile” or “would inhibit the effective
investigation of the crime by, for example, allowing the destruction
of evidence.” Richards, supra, at 394; see Banks,
540 U. S., at 36–37; Wilson, supra, at 935–936.
The answer to the second argument is that
States can, and many do, reduce police uncertainty while assuring a
neutral evaluation of concerns about risks to officers or the
destruction of evidence by permitting police to obtain a “no-knock”
search warrant from a magistrate judge, thereby assuring police that a
prior announcement is not necessary. Richards, 520 U. S., at
396, n. 7 (collecting state statutes). While such a procedure cannot
remove all uncertainty, it does provide an easy way for officers to
comply with the knock-and-announce rule.
Of course, even without such a warrant, police
maintain the backup “authority to exercise independent judgment
concerning the wisdom of a no-knock entry at the time the warrant is
being executed.” Ibid. “[I]f circumstances support a reasonable
suspicion of exigency when the officers arrive at the door, they may
go straight in.” Banks, supra, at 37. And “[r]easonable
suspicion is a less demanding standard than probable cause … .”
Alabama v. White,
496 U. S. 325, 330
(1990) ; see Terry v. Ohio,
392 U. S. 1, 21–22
(1968) (no
Fourth Amendment violation under the reasonable suspicion standard
if “the facts available to the officer at the moment of the seizure or
the search ‘warrant a man of reasonable caution in the belief’ that
the action taken was appropriate”).
Consider this very case. The police obtained a
search warrant that authorized a search, not only for drugs, but also
for guns. App. 5. If probable cause justified a search for
guns, why would it not also have justified a no-knock warrant, thereby
diminishing any danger to the officers? Why (in a State such as
Michigan that lacks no-knock warrants) would it not have justified the
very no-knock entry at issue here? Indeed, why did the prosecutor not
argue in this very case that, given the likelihood of guns, the
no-knock entry was lawful? From what I have seen in the record, he
would have won. And had he won, there would have been no suppression
here.
That is the right way to win. The very process
of arguing the merits of the violation would help to clarify the
contours of the knock-and-announce rule, contours that the majority
believes are too fuzzy. That procedural fact, along with no-knock
warrants, back up authority to enter without knocking regardless, and
use of the “reasonable suspicion” standard for doing so should resolve
the government’s problems with the knock-and-announce rule while
reducing the “uncertain[ty]” that the majority discusses to levels
beneath that found elsewhere in
Fourth Amendment law (e.g., exigent circumstances). Ante,
at 8. Regardless, if the Court fears that effective enforcement of a
constitutional requirement will have harmful consequences, it should
face those fears directly by addressing the requirement itself. It
should not argue, “the requirement is fine, indeed, a serious matter,
just don’t enforce it.”
E
It should be apparent by now that the three
cases upon which Justice Scalia relies—Segura
v. United States,
468 U. S. 796 ; New York v. Harris,
495 U. S. 14 ; and Ramirez,
523 U. S. 65 —do not support his conclusion. See ante, at
13–15. Indeed, Justice Kennedy declines
to join this section of the lead opinion because he fails to see the
relevance of Segura and Harris, though he does rely on
Ramirez. Ante, at 3 (opinion concurring in part and
concurring in judgment).
Justice Scalia
first argues that, if the “search in Segura could be ‘wholly
unrelated to the prior entry, … when the only entry was warrantless,
it would be bizarre to treat more harshly the actions in this case,
where the only entry was with a warrant.” Ante, at 14.
Then it says that, “[i]f the probable cause backing a warrant that was
issued later in time could be an ‘independent source’ for a
search that proceeded after the officers illegally entered and waited,
a search warrant obtained before going in must have at least
this much effect.” Ibid. I do not understand these arguments.
As I have explained, the presence of a warrant that did not authorize
a search that fails to comply with knock-and-announce requirements is
beside the point. See Part III–B, supra. And the timing of the
warrant in Segura made no difference to the case. The relevant
fact about the warrant there was that it was lawfully obtained and
arguably set off an independent chain of events that led the police to
seize the evidence. 468 U. S., at 814; see also id., at 814–815
(“The valid warrant search was a ‘means sufficiently distinguishable’
to purge the evidence of any ‘taint’ arising from the entry”
(citations omitted)). As noted, there is no such independent event, or
intervening chain of events that would purge the taint of the illegal
entry, present here. See supra, at 15. The search that produced
the relevant evidence here is the very search that the
knock-and-announce violation rendered unlawful. There simply is no
“independent source.”
As importantly, the Court in Segura
said nothing to suggest it intended to create a major exclusionary
rule exception, notwithstanding the impact of such an exception on
deterrence. Indeed, such an exception would be inconsistent with a
critical rationale underlying the independent source and inevitable
discovery rules, which was arguably available in Segura, and
which is clearly absent here. That rationale concerns deterrence. The
threat of inadmissibility deters unlawful police behavior; and the
existence of an exception applicable where evidence is found through
an untainted independent route will rarely undercut that deterrence.
That is because the police can rarely rely upon such an exception—at
least not often enough to change the deterrence calculus. See
Murray, 487 U. S., at 540 (“We see the incentives differently. An
officer with probable cause sufficient to obtain a search warrant
would be foolish to enter the premises in an unlawful manner. By doing
so, he would risk suppression of all evidence on the premises … ”);
Nix, 467 U. S., at 445 (“A police officer who is faced with the
opportunity to obtain evidence illegally will rarely, if ever, be in a
position to calculate whether the evidence sought would inevitably be
discovered”); id., at 444 (“If the prosecution can establish by
a preponderance of the evidence that the information ultimately or
inevitably would have been discovered by lawful means—here the
volunteers’ search—then the deterrence rationale has so little basis
that the evidence should be received”).
Segura’s police officers would have
been foolish to have entered the apartment unlawfully with the ex
ante hope that an independent causal chain of events would later
occur and render admissible the evidence they found. By way of
contrast, today’s holding will seriously undermine deterrence in
knock-and-announce cases. Officers will almost always know ex ante
that they can ignore the knock-and-announce requirement without
risking the suppression of evidence discovered after their unlawful
entry. That fact is obvious, and this Court has never before today—not
in Segura or any other post-Weeks (or post-Mapp)
case—refused to apply the exclusionary rule where its absence would so
clearly and so significantly impair government officials’ incentive to
comply with comparable
Fourth Amendment requirements.
Neither does New York v. Harris,
supra, support the Court’s result. See ante, at 6, 14;
but see ante, at 3 (opinion of Kennedy,
J.) (declining to join section relying on Harris). In Harris,
police officers arrested the defendant at his home without a warrant,
in violation of Payton v. New York,
445 U. S. 573 (1980) . Harris made several incriminating
statements: a confession in his home, a written inculpatory statement
at the stationhouse, and a videotaped interview conducted by the
district attorney at the stationhouse. 495 U. S., at 16. The trial
court suppressed the statements given by Harris in the house and on
the videotape, and the State did not challenge either of those
rulings. Ibid. The sole question in the case was whether the
written statement given later at the stationhouse should also have
been suppressed. The Court held that this later, outside-the-home
statement “was admissible because Harris was in legal custody … and
because the statement, while the product of an arrest and being in
custody, was not the fruit of the fact that the arrest was made in the
house rather than someplace else.” Id., at 20. Immediately
after the Court stated its holding, it explained:
“To put the matter another way, suppressing the
statement taken outside the house would not serve the purpose of the
rule that made Harris’ in-house arrest illegal. The warrant
requirement for an arrest in the home is imposed to protect the
home, and anything incriminating the police gathered from arresting
Harris in his home, rather than elsewhere, has been excluded, as it
should have been; the purpose of the rule has thereby been
vindicated.” Ibid. (emphasis added).
How can Justice Scalia
maintain that the evidence here—a gun and drugs seized in the home—is
“ ‘not the fruit’ ” of the illegal entry? Ante, at 14. The
officers’ failure to knock and announce rendered the entire search
unlawful, Wilson, 514 U. S., at 936, and that unlawful search
led to the discovery of evidence in petitioner’s home. Thus, Harris
compels the opposite result than that reached by the Court today.
Like the Payton rule at issue in Harris, the
knock-and-announce rule reflects the “reverence of the law for the
individual’s right of privacy in his house.” Miller, 357 U. S.,
at 313; cf. Harris, 495 U. S., at 17 (“Payton itself
emphasized that our holding in that case stemmed from the ‘overriding
respect for the sanctity of the home that has been embedded in our
traditions since the origins of the Republic’ ”). Like the confession
that was “excluded, as it should have been,” in Harris, id.,
at 20, the evidence in this case was seized in the home, immediately
following the illegal entry. And like Harris, nothing in
petitioner’s argument would require the suppression of evidence
obtained outside the home following a knock-and-announce
violation should be suppressed, precisely because officers have a
remaining incentive to follow the rule to avoid the suppression of any
evidence obtained from the very place they are searching. Cf. ibid.
(“Even though we decline to suppress statements made outside the home
following a Payton violation, the principle incentive to obey
Payton still obtains: the police know that a warrantless entry
will lead to the suppression of any evidence found, or statements
taken, inside the home”).
I concede that United States v.
Ramirez,
523 U. S. 65 , offers the majority its last best hope. Ante,
at 14–15. But not even that case can offer the majority significant
support. The majority focuses on the Court’s isolated statement that
“destruction of property in the course of a search may violate the
Fourth Amendment , even though the entry itself is lawful and
the fruits of the search are not subject to suppression.”
Ramirez, supra, at 71 (emphasis added). But even if I
accept this dictum, the entry here is unlawful, not lawful. Wilson,
514 U. S., at 931, 934. It is one thing to say (in an appropriate
case) that destruction of property after proper entry has nothing to
do with discovery of the evidence, and to refuse to suppress. It would
be quite another thing to say that improper entry had nothing to do
with discovery of the evidence in this case. Moreover, the deterrence
analysis for the property destruction cases (where, by definition,
there will almost always be quantifiable damages) might well differ.
IV
There is perhaps one additional argument
implicit in the majority’s approach. The majority says, for example,
that the “cost” to a defendant of “entering this lottery,” i.e.,
of claiming a “knock-and-announce” violation, “would be small, but the
jackpot enormous”—namely, a potential “get-out-of-jail-free card.”
Ante, at 8. It adds that the “social costs” of applying the
exclusionary rule here are not worth the deterrence benefits. Ante,
at 13. Leaving aside what I believe are invalid arguments based on
precedent or the majority’s own estimate that suppression is not
necessary to deter constitutional violations, one is left with a
simple unvarnished conclusion, namely, that in this kind of case, a
knock-and-announce case, “[r]esort to the massive remedy of
suppressing evidence of guilt is unjustified.” Ibid. Why is
that judicial judgment, taken on its own, inappropriate? Could it not
be argued that the knock-and-announce rule, a subsidiary
Fourth Amendment rule, is simply not important enough to warrant a
suppression remedy? Could the majority not simply claim that the
suppression game is not worth the candle?
The answer, I believe, is “no.” That “no”
reflects history, a history that shows the knock-and-announce rule is
important. See Wilson, supra, at 931–936. That “no”
reflects precedent, precedent that shows there is no pre-existing
legal category of exceptions to the exclusionary rule into which the
knock-and-announce cases might fit. See supra, at 8–9. That
“no” reflects empirical fact, experience that provides confirmation of
what common sense suggests: without suppression there is little to
deter knock-and-announce violations. See supra,at 6–7.
There may be instances in the law where text
or history or tradition leaves room for a judicial decision that rests
upon little more than an unvarnished judicial instinct. But this is
not one of them. Rather, our
Fourth Amendment traditions place high value upon protecting
privacy in the home. They emphasize the need to assure that its
constitutional protections are effective, lest the Amendment ‘sound
the word of promise to the ear but break it to the hope.’ They include
an exclusionary principle, which since Weeks has formed the
centerpiece of the criminal law’s effort to ensure the practical
reality of those promises. That is why the Court should assure itself
that any departure from that principle is firmly grounded in logic, in
history, in precedent, and in empirical fact. It has not done so. That
is why, with respect, I dissent.
APPENDIX TO OPINION OF BREYER, J.
Fourth Amendment decisions from 1914 to present requiring
suppression of evidence seized (or remanding for lower court to make
suppression determination) in a private home following an illegal
arrest or search:
1. Weeks v. United States,
232 U. S. 383 (1914) (warrantless search)
2. Amos v. United States,
255 U. S. 313 (1921) (warrantless arrest and search)
3. Agnello v. United States,
269 U. S. 20 (1925) (warrantless search)
4. Byars v. United States,
273 U. S. 28 (1927) (invalid warrant)
5. United States v. Berkeness,
275 U. S. 149 (1927) (invalid warrant; insufficient affidavit)
6. Taylor v. United States,
286 U. S. 1 (1932) (warrantless search)
7. Grau v. United States,
287 U. S. 124 (1932) (invalid warrant; insufficient affidavit)
8. Nathanson v. United States,
290 U. S. 41 (1933) (invalid warrant; insufficient affidavit)
9. McDonald v. United States,
335 U. S. 451 (1948) (warrantless arrest and search)
10. Kremen v. United States,
353 U. S. 346 (1957) (per curiam) (warrantless search)
11. Elkins v. United States,
364 U. S. 206 (1960) (search beyond scope of warrant)
12. Silverman v. United States,
365 U. S. 505 (1961) (warrantless use of electronic device)
13. Chapman v. United States,
365 U. S. 610 (1961) (warrantless search)
14. Mapp v. Ohio,
367 U. S. 643 (1961) (warrantless search)
15. Wong Sun v. United States,
371 U. S. 471 (1963) (warrantless search and arrest)
16. Fahy v. Connecticut,
375 U. S. 85 (1963) (warrantless search)
17. Aguilar v. Texas,
378 U. S. 108 (1964) (invalid warrant; insufficient affidavit)
18. Stanford v. Texas,
379 U. S. 476 (1965) (invalid warrant; particularity defect)
19. James v. Louisiana,
382 U. S. 36 (1965) (per curiam) (warrantless search)
20. Riggan v. Virginia,
384 U. S. 152 (1966) (per curiam) (invalid warrant;
insufficient affidavit)
21. Bumper v. North Carolina,
391 U. S. 543 (1968) (lack of valid consent to search)
22. Recznik v. City of Lorain,
393 U. S. 166 (1968) (per curiam) (warrantless search)
23. Chimel v. California,
395 U. S. 752 (1969) (invalid search incident to arrest)
24. Von Cleef v. New Jersey,
395 U. S. 814 (1969) (per curiam) (invalid search incident
to arrest)
25. Shipley v. California,
395 U. S. 818 (1969) (per curiam) (invalid search incident
to arrest)
26. Vale v. Louisiana,
399 U. S. 30 (1970) (invalid search incident to arrest)
27. Connally v. Georgia,
429 U. S. 245 (1977) (per curiam) (invalid warrant;
magistrate judge not neutral)
28. Michigan v. Tyler,
436 U. S. 499 (1978) (warrantless search)
29. Mincey v. Arizona,
437 U. S. 385 (1978) (warrantless search)
30. Franks v. Delaware,
438 U. S. 154 (1978) (invalid warrant; obtained through perjury)
31. Payton v. New York,
445 U. S. 573 (1980) (warrantless arrest)
32. Steagald v. United States,
451 U. S. 204 (1981) (warrantless search)
33. Michigan v. Clifford,
464 U. S. 287 (1984) (warrantless search)
34. Welsh v. Wisconsin,
466 U. S. 740 (1984) (warrantless entry into home without exigent
circumstances)
35. Thompson v. Louisiana,
469 U. S. 17 (1984) (per curiam) (warrantless search)
36. Arizona v. Hicks,
480 U. S. 321 (1987) (unreasonable search)
37. Minnesota v. Olson,
495 U. S. 91 (1990) (warrantless entry into home)
38. Flippo v. West Virginia,
528 U. S. 11 (1999) (per curiam) (warrantless search)
39. Kyllo v. United States,
533 U. S. 27 (2001) (warrantless use of heat-imaging technology)
40. Kirk v. Louisiana,
536 U. S. 635 (2002) (per curiam) (warrantless arrest and
search)
41. Kaupp v. Texas,
538 U. S. 626 (2003) (per curiam) (warrantless search)
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