Federal Circuits, 2nd Cir. (June 22, 2001)
Docket number: 00-2005
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U.S. Court of Appeals for the 5th Cir. - Howard Monteville Neal, Petitioner-Appellant, v. Steve W. Puckett, Commissioner, Mississippi Department of Corrections; James Anderson, Superintendent, Mississippi State Penitentiary, Respondents-Appellees., 239 F.3d 683 (5th Cir. 2001) Petitioner-Appellant, v. Steve W. Puckett, Commissioner, Mississippi Department of Corrections; James Anderson, Superintendent, Mississippi State Penitentiary, Respondents-Appellees.
U.S. Supreme Court - Thompson v. Keohane, 516 U.S. 99 (1995)
U.S. Supreme Court - Stansbury v. California, 511 U.S. 318 <I>(per curiam)</I> (1994)
U.S. Court of Appeals for the 2nd Cir. - Petitioner-Appellant, SUMMARY ORDER v. CHARLES GREINER, Superintendent, Green Haven Correctional Gren v. Greiner Page Appearing for Respondents-Appellees: Donna Aldea, Assistant District (2nd Cir. 2004) SUMMARY ORDER v. CHARLES GREINER, Superintendent, Green Haven Correctional Gren v. Greiner Page Appearing for Respondents-Appellees: Donna Aldea, Assistant District
Appeal from the December 12, 1999, judgment, of the United States District Court for the Southern District of New York (Barbara S. Jones, District Judge), denying a petition for habeas corpus. Appellant contends the state courts unreasonably applied Supreme Court law in concluding that the circumstances of his sidewalk interrogation did not place him in custody, requiring Miranda warnings.
Affirmed.Andrea G. Hirsch, New York, N.Y., for petitioner-appellant.Kimberly Morgan, Asst. Dist. Atty., Bronx, N.Y. (Robert T. Johnson, Dist. Atty., Joseph N. Ferdenzi, Asst. Dist. Atty., Bronx, N.Y., on the brief), for respondent-appellee.Before: NEWMAN, and CABRANES, Circuit Judges, and UNDERHILL,* District Judge.JON O. NEWMAN, Circuit Judge.The issue on this appeal from a denial of a writ of habeas corpus is whether the state courts made an "unreasonable application" of clearly established Supreme Court law, see 28 U.S.C.A. §2254(d)(1) (West Supp. 2000), in determining that the circumstances under which a suspect was stopped and questioned on a public street did not result in "custody" requiring Miranda warnings. Santos Cruz appeals from the December 12, 1999, judgment of the United States District Court for the Southern District of New York (Barbara S. Jones, District Judge) denying his habeas petition to challenge his state court conviction for murder. After surveying the somewhat uncertain state of the law concerning when a suspect is in "custody" for purposes of requiring Miranda warnings, we conclude that the rejection of Cruz's claim by the state courts was not an unreasonable application of clearly established Supreme Court law. We therefore affirm.BackgroundThe shooting and questioning. At about 10:30 a.m. on March 26, 1992, two uniformed police officers received a report that an individual had been shot at 1105 Boynton Avenue, an area of the Bronx known for its drug activity. They proceeded to the scene of the crime, where they talked to two witnesses, Jose Alvarez and Luz Arroyo. Alvarez described the shooter as a six-foot tall Hispanic male, wearing a gray hat and black army jacket, who had fled in the direction of the Elder Avenue train station. The officers drove to the station, where they saw an elevated train heading eastbound. They followed the train by car, and at the third stop (Parkchester Station), they saw Cruz exiting the station. Cruz fit Alvarez's description of the shooter.Officer Thomas Marsich approached Cruz with his gun drawn, and told Cruz, "Police! Don't move! Put your hands up!" The other officer, Paul Daly, also drew his gun. Marsich frisked Cruz, found no weapon, and reholstered his gun. Marsich called on his hand-held radio to the police at the scene of the shooting, asking them to bring the eye-witness to the train station.Marsich then started to question Cruz without first informing him of his Miranda rights. At the state court pretrial hearing, Marsich recounted the questioning as follows:Officer Marsich: Where are you coming from?Petitioner: The Soundview train station.Officer Marsich: What were you doing down there?Petitioner: Just copping some dope.Officer Marsich: Where's the dope?Petitioner: I did it.Officer Marsich: Relax. Why are you crying?Petitioner: I'm crying because you pointed your gun at me. I'm scared. I didn't do anything. I didn't do anything.Officer Marsich: Okay, no problem. Where did you cop the dope?Petitioner: I copped it on Stratford Avenue.Officer Marsich: They don't sell dope on Stratford Avenue that I know of.Petitioner: Okay. I bought it on Watson then.Officer Marsich: Where on Watson?Petitioner: You know, near the restaurant. Near the restaurant.Officer Marsich: Where? Near Boynton?Petitioner: No, not Boynton. Down near Wheeler.Marsich explained that he was trying to use this line of questioning to calm Cruz, who was shaking and very upset throughout the conversation. There were apparently four or five other officers gathered near Cruz when he was being questioned, but it is unclear where they were located relative to Cruz. Cruz was not physically restrained in any way during the questioning. Marsich and Daly acknowledged that had Cruz tried to walk away, they would not have allowed him to leave, but they did not tell this to Cruz during the questioning.The conversation ended when the police car containing Alvarez arrived. After one of the officers nodded to Marsich that Alvarez had identified Cruz, Marsich spoke to Alvarez, arrested Cruz, and then informed Cruz of his Miranda rights.Huntley Hearing and Trial. Cruz was charged with second-degree murder and related crimes. At a pretrial Huntley hearing, see People v. Huntley, 15 N.Y.2d 72, 255 N.Y.S.2d 838 (1965), in the New York State Supreme Court, Cruz argued that the questioning at the train station was custodial interrogation conducted without Miranda warnings and that his responses should therefore be excluded at trial. The Supreme Court rejected the claim. The Court reasoned that the questioning was not an "interrogation" but rather "investigatory in nature," since the "police officers did not know whether they actually had the right person," and the inquiry was "prior to the time that the show up was conducted for the purpose of the identification." The Court did not explicitly determine whether the circumstances of the questioning resulted in "custody" for purposes of Miranda.At trial Arroyo and Alvarez testified that Cruz was the shooter. Officer Marsich testified as to his questioning of Cruz at the train station. Before he testified, defense counsel, having lost his Miranda challenge, moved to exclude Cruz's statements on the ground that they concerned an uncharged crime. The Court denied the motion, holding that the statements were relevant to show that Cruz had a "guilty mind in trying to obfuscate his whereabouts in the previous half hour... and to put himself in a location other than where the crime was committed."The jury acquitted Cruz of second-degree murder but convicted him of first-degree manslaughter. Cruz was sentenced to an indeterminate sentence of 12 1/2 to 25 years.State Court Appeals. Cruz appealed to the Appellate Division, arguing again that his statements at the train station should have been suppressed. The Appellate Division affirmed the trial court's decision to admit the statements, ruling that "[t]he record supports the hearing court's finding that defendant's statements were not the product of custodial interrogation." People v. Cruz, 233 A.D.2d 102, 102, 649 N.Y.S.2d 429, 430 (1st Dept. 1996). The Court of Appeals affirmed on the ground that the Appellate Division's "ruling constitute[d] a determination on a mixed question of law and fact" and was thus "beyond" its "further review". People v. Cruz, 90 N.Y.2d 961, 962, 665 N.Y.S.2d 46, 47 (1997).Habeas petition. Cruz then filed a habeas petition in the Southern District of New York, again arguing that he had been unconstitutionally convicted on evidence that should have been suppressed under Miranda. Magistrate Judge Andrew J. Peck did not determine whether Cruz had been subjected to custodial interrogation, but recommended that even if that had occurred, any error in admitting the statements should be considered harmless because it lacked a "substantial and injurious effect or influence in determining the jury's verdict," as required by Brecht v. Abrahamson, 507 U.S. 619, 638 (1993) (internal quotation marks omitted), for issuance of habeas relief. Judge Jones adopted the Magistrate Judge's recommendations, agreeing that any error in failing to suppress the interrogation was harmless in light of the testimony of the two eye-witnesses. Cruz v. Miller, No. 98 Civ. 4311 BSJ, 1999 WL 1144280 (S.D.N.Y. Dec. 2, 1999).DiscussionAlthough the District Court denied relief on the ground that, if there was error, it was harmless, we need not reach the harmlessness issue, which would require a careful assessment of the significance of Cruz's responses during the sidewalk interrogation against the totality of the evidence, including the probative force of the eye-witnesses' testimony and the extent to which that force was diminished by substantial attacks on their credibility.1 Instead, we resolve the appeal by considering the issue on which the state courts rested their decision: whether Cruz was subjected to custodial interrogation requiring Miranda warnings. In considering that issue, we bear in mind that, although "custody" for purposes of Miranda warnings is a mixed question of law and fact as to which state courts were owed no deference prior to AEDPA, see Thompson v. Keohane, 516 U.S. 99, 112-16 (1995), after AEDPA habeas corpus may not be grantedwith respect to any claim that was adjudicated on the merits in State court proceedings unless the adjudication of the claim -- (1) resulted in a decision that was contrary to, or involved an unreasonable application of, clearly established Federal law, as determined by the Supreme Court of the United States;....28 U.S.C.A. §2254(d)(1) (emphasis added). Thus, our task is to determine whether the state courts, in ruling that the sidewalk questioning of Cruz did not have to be preceded by Miranda warnings, "unreasonably appli[ed]" Supreme Court law.2In rejecting Cruz's claim because his responses were "not the product of custodial interrogation," the state courts were ambiguous as to whether they meant that Miranda warnings were not required because the circumstances of the sidewalk questioning did not constitute "custody," compare Miranda v. Arizona, 384 U.S. 436, 465 (1966) (circumstances of police station questioning constituted "custody" requiring Miranda warnings), with Berkemer v. McCarty, 468 U.S. 420, 440-42 (1984) (circumstances of traffic stop questioning did not constitute "custody" requiring Miranda warnings), or because the questioning--even if the suspect was in "custody"--was so preliminary as not to be "interrogation," compare Rhode Island v. Innis, 446 U.S. 291, 302-03 (1980) (conversation among police officers in suspect's presence concerning importance of locating gun was not "interrogation"), with Pennsylvania v. Muniz, 496 U.S. 582, 600 (1990) (asking drunk driving suspect whether he knew the date of his sixth birthday was "interrogation"); see also New York v. Quarles, 467 U.S. 649, 664 (1984) (O'Connor, J., concurring in part and dissenting in part) (noting that Miranda warnings are required only when there is both "custody" and "interrogation"). Because the questioning of Cruz unquestionably was "interrogation" for purposes of Miranda, the state appellate courts' rejection of his Miranda claim on the ground that there was no "custodial interrogation" is properly understood to mean that the interrogation was conducted in the absence of "custody."Miranda stated that its requirements apply to "custodial interrogation," which the Court explained was "questioning initiated by law enforcement officers after a person has been taken into custody or otherwise deprived of his freedom of action in any significant way." 384 U.S. at 444. The Court also noted that the decision was not intended to apply to "[g]eneral on-the-scene questioning as to facts surrounding a crime or other general questioning of citizens in the fact-finding process." Id. at 477. Because most people stopped by police on a street and asked questions would not feel free to leave, these two thoughts created a potential conflict that subsequent decisions have not entirely eliminated. On the one hand, the Court exempted "[g]eneral on-the-scene questioning" from Miranda warnings, yet required them whenever a person is "deprived on his freedom of action in any significant way."The uncertainty about the need for Miranda warnings for those stopped and questioned in a public setting was bound to become more troublesome once the Supreme Court ruled in Terry v. Ohio, 392 U.S. 1, 22-23, 30 (1968), that police investigating suspicious behavior could stop, briefly detain, and frisk a person on a street, without having to meet the Fourth Amendment's probable cause requirement. Terry acknowledged that the stop and frisk was a "seiz[ure]," id. at 19, but explicitly declined to decide the "propriety of an investigative'seizure'... for purposes of... interrogation," id. at 19 n.16.3 In United States v. Brignoni-Ponce, 422 U.S. 873 (1975), however, the Court, in upholding a Terry stop of individuals in a car at a border, authorized the immigration officer to "question the driver and passengers about their citizenship and immigration status, and he may ask them to explain suspicious circumstances." Id. at 881-82. Brignoni-Ponce did not state that Miranda warnings were not required, although that was the opinion's implication.In Oregon v. Mathiason, 429 U.S. 492 (1977), the Court made it clear that Miranda warnings are not required simply because "the questioning took place in a 'coercive environment.'" Id. at 495. The suspect in Mathiason came to a police station voluntarily at the request of the police and was questioned in a closed room. Although the questioning in Mathiason did not occur in a public setting, the Court, in ruling Miranda warnings unnecessary, echoed the statement in Miranda that depriving a person of "freedom of action" is relevant to triggering Miranda warnings: "[A] noncustodial situation is not converted to one in which Miranda applies simply because a reviewing court concludes that, even in the absence of any formal arrest or restraint on freedom of movement, the questioning took place in a 'coercive environment.'" Id. at 495 (emphasis added).4 That thought was repeated in California v. Beheler, 463 U.S. 1121 (1983), another case involving police station questioning: in determining "whether a suspect is 'in custody' for purposes of receiving Miranda protection, the ultimate inquiry is simply whether there is a 'formal arrest or restraint on freedom of movement' of the degree associated with a formal arrest." Id. at 1125 (quoting Mathiason, 429 U.S. at 495).While the Court was articulating a "freedom of movement" standard for Miranda warnings, it was developing what appeared to be a similar "free to leave" standard for determining when a seizure occurred for purposes of the Fourth Amendment. In United States v. Mendenhall, 446 U.S. 544 (1980), Justice Stewart, writing for himself and then Justice Rehnquist, said that a Fourth Amendment "seizure" occurs "only if, in view of all of the circumstances surrounding the incident, a reasonable person would have believed that he was not free to leave." Id. at 554. Justice Stewart identified circumstances that "might indicate a seizure": "the threatening presence of several police officers, the display of a weapon by an officer, some physical touching of the person of the citizen, or the use of language or tone of voice indicating that compliance with the officer's request might be compelled." Id. The "free to leave" formulation for "seizure" cases was later embraced by a majority opinion of the Court in INS v. Delgado, 466 U.S. 210, 215 (1984).In Berkemer v. McCarty, 468 U.S. 420 (1984), the Court finally grappled with the issue of whether Miranda warnings are required for a person stopped and questioned in a public setting. Berkemer concerned questioning during a traffic stop, a context in which, as the Court acknowledged, the person stopped feels some restraint on "freedom of movement" and does not feel "free to leave": "Certainly few motorists would feel free... to leave the scene of a traffic stop without being told that they might do so." 468 U.S. at 436. In ruling that in a typical traffic stop, Miranda warning are not required, the Court reasoned that the circumstances of a traffic stop of brief duration were "analogous to a so-called 'Terry stop,'" id. at 439, and then stated, "The comparatively nonthreatening character of detentions of this sort [i.e., Terry stops] explains the absence of any suggestion in our opinions that Terry stops are subject to the dictates of Miranda," id. at 440. The exemption of typical Terry stops from Miranda requirements provided the explicit rationale for Berkemer: "The similarly [to Terry] noncoercive aspects of ordinary traffic stops prompts us to hold that persons temporarily detained pursuant to such stops are not 'in custody' for the purposes of Miranda." Id. The Court appeared to acknowledge, however, that a traffic stop of more than brief duration could present circumstances amounting to "custody." Id. at 441 n.34 (citing, with apparent approval, Commonwealth v. Meyer, 488 Pa. 297, 301, 307, 412 A.2d 517, 518-19, 522 (1980), which held that a driver detained for more than half an hour was in custody for purposes of Miranda).In the course of using the Terry stop analogy to permit questioning at routine traffic stops without Miranda warnings, Berkemer explicitly acknowledged that a person subjected to a Terry stop has been detained. "Under the Fourth Amendment, we have held, a policeman who lacks probable cause but whose 'observations lead him reasonably to suspect' that a particular person has committed, is committing, or is about to commit a crime, may detain that person briefly in order to 'investigate the circumstances that provoke suspicion.'" Id. at 439 (quoting Brignoni-Ponce, 422 U.S. at 881) (footnote omitted) (emphasis added). Nevertheless, the Court stated, in language pertinent to the pending appeal, once the stop has been made, "the officer may ask the detainee a moderate number of questions to determine his identity and to try to obtain information confirming or dispelling the officer's suspicions." Id. (emphases added).Berkemer emphasizes that "the only relevant inquiry [in determining when a person is in "custody" for purposes of Miranda] is how a reasonable man in the suspect's position would have understood his situation." Id. at 442 (footnote omitted). However, this cryptic reference to the suspect's "situation" left it unclear whether the Court was applying the "freedom of movement" standard from custodial interrogation cases such as Mathiason and Beheler or the "free to leave" standard from Fourth Amendment seizure cases such as Mendenhall and Delgado, or whether the two formulations are not meaningfully distinct.The opinion in Berkemer somewhat clarified what was meant by "the situation" by referring to "those types of situations in which the concerns that powered [Miranda] are implicated." Id. at 437. "Thus we must decide whether a traffic stop exerts upon a detained person pressures that sufficiently impair his free exercise of his privilege against self-incrimination to require that he be warned of his constitutional rights." Id. (emphasis added). One key circumstance, identified by the Court, is whether the detention is reasonably perceived as brief. "A motorist's expectations, when he sees a policeman's light flashing behind him, are that he will be obliged to spend a short period of time answering questions and waiting while the officer checks his license and registration, that he may then be given a citation, but that in the end he most likely will be allowed to continue on his way." Id. (footnote omitted). The Court distinguished the typical traffic stop from "stationhouse interrogation, which frequently is prolonged." Id. at 438.Another pertinent circumstance, the Court noted, is the public nature of the scene. "This exposure to public view both reduces the ability of an unscrupulous policeman to use illegitimate means to elicit self-incriminating statements and diminishes the motorist's fear that, if he does not cooperate, he will be subjected to abuse." Berkemer, 468 U.S. at 438. A third circumstance is the number of officers, typically one or two at a traffic stop. See id. Significantly, the Court explicitly analogized these circumstances--likely short duration, public scene, and few officers--to a typical Terry stop, at which, in the absence of added circumstances amounting to "custody," Miranda warnings are not required. Id. at 439-40.Since Berkemer, the Court has not explicitly considered what circumstances of a Terry stop would constitute "custody" requiring Miranda warnings, but it has continued to face the similar, and perhaps identical, inquiry as to whether the circumstances of a stop resulted in a Fourth Amendment "seizure" that permits a search incident to an arrest.5 In Michigan v. Chesternut, 486 U.S. 567 (1988), the Court applied the "free to leave" standard in ruling that a seizure had not occurred where police officers in a patrol car noticed a man start to run after observing their vehicle, and drove their vehicle alongside him for a short distance. "While the very presence of a police car driving parallel to a running pedestrian could be somewhat intimidating, this kind of police presence does not, standing alone, constitute a seizure." Id. at 575 (footnote omitted). California v. Hodari D., 499 U.S. 621 (1991), also involving police pursuit that was held not to constitute a seizure, added an important qualification to the "free to leave" formulation. That standard, the Court noted, "states a necessary, but not a sufficient, condition for seizure--or, more precisely, for seizure effected through a'show of authority.'" Id. at 628 (emphases in original).The status of the "free to leave" standard was rendered somewhat unclear by the Court's opinion in Florida v. Bostwick,Try vLex for FREE for 3 days
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