United States v. Gatewood

5(&200(1'(' )25 )8//7(;7 38%/,&$7,21 3XUVXDQW WR 6L[WK &LUFXLW 5XOH  (/(&7521,& &,7$7,21  )(' $SS 3 WK &LU )LOH 1DPH DS 81,7('67$7(6&28572)$33($/6 )257+(6,;7+&,5&8,7 BBBBBBBBBBBBBBBBB 81,7(' 67$7(6 2) $0(5,&$ ; 3ODLQWLII$SSHOOHH    1R Y  !  -2+11< ( *$7(:22'  'HIHQGDQW$SSHOODQW  1 $SSHDOIURPWKH8QLWHG6WDWHV'LVWULFW&RXUW IRUWKH:HVWHUQ'LVWULFWRI7HQQHVVHHDW0HPSKLV 1R²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†DQGWZRFRXQWVRINLGQDSLQJLQYLRODWLRQRI 86&†*DWHZRRGZDVVXEVHTXHQWO\VHQWHQFHGWR VHUYHWKUHHFRQFXUUHQWOLIHWHUPVSXUVXDQWWRWKHIHGHUDOWKUHH VWULNHVVWDWXWH86&† F *DWHZRRGDSSHDOVWKH VHQWHQFHFODLPLQJWKDWWKHWKUHHVWULNHVVWDWXWHYLRODWHVKLV FRQVWLWXWLRQDOULJKWVEHFDXVHLQRUGHUWRWDNHDGYDQWDJHRIWKH VWDWXWH¶V DIILUPDWLYH GHIHQVH SURYLVLRQ LW UHTXLUHV WKDW KH SURYHE\WKHKHLJKWHQHGVWDQGDUGRI³FOHDUDQGFRQYLQFLQJ HYLGHQFH´ WKDW KLV SULRU FRQYLFWLRQV ZHUH ³QRQTXDOLI\LQJ IHORQLHV´+HIXUWKHUFKDOOHQJHVWKHFRQVWLWXWLRQDOLW\RIKLV VHQWHQFHE\DOOHJLQJWKDWKLVSULRUFRQYLFWLRQVDUHHTXLYDOHQW WRHOHPHQWVRIWKHRIIHQVHDQGWKXVPXVWEHFKDUJHGLQWKH LQGLFWPHQW VXEPLWWHG WR D MXU\ DQG SURYHG EH\RQG D UHDVRQDEOHGRXEW,QDGGLWLRQ*DWHZRRGDSSHDOVWKHGLVWULFW FRXUW¶VGHQLDORIKLVPRWLRQWRVXSSUHVVKLVFRQIHVVLRQVDQG KLVPRWLRQWRVXSSUHVVWKHSUHWULDOH\HZLWQHVVLGHQWLILFDWLRQV $ SDQHO RI WKLV &RXUW RULJLQDOO\ DIILUPHG *DWHZRRG¶V FRQYLFWLRQEXWYDFDWHGDQGUHPDQGHGKLVVHQWHQFHEDVHGRQ DILQGLQJWKDWWKHWKUHHVWULNHVVWDWXWH¶VFOHDUDQGFRQYLQFLQJ HYLGHQFH VWDQGDUG ZDV XQFRQVWLWXWLRQDO  8QLWHG 6WDWHV Y 1R 8QLWHG6WDWHVY*DWHZRRG  *DWHZRRG  )G  WK &LU    :H JUDQWHG D UHKHDULQJHQ EDQF DQG YDFDWHG WKH SDQHO GHFLVLRQ  8QLWHG 6WDWHVY*DWHZRRG)G WK&LU )LQGLQJ WKDWWKHFOHDUDQGFRQYLQFLQJHYLGHQFHVWDQGDUGDVXVHGLQWKH WKUHH VWULNHV VWDWXWH LV FRQVWLWXWLRQDO DQG WKDW SULRU FRQYLFWLRQV DUH QRW HOHPHQWV RI D FULPH ZH $)),50 WKH GLVWULFW FRXUW¶V FRQYLFWLRQ DQG VHQWHQFH  :H DOVR GHQ\ *DWHZRRG¶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¶VREMHFWLRQWR WKH WKUHH VWULNHV VWDWXWH DQG VHQWHQFHG KLP EDVHG RQ WKHVH SULRUFRQYLFWLRQV 8QGHU WKH WKUHH VWULNHV VWDWXWH  86& †  F  $ L  D GHIHQGDQW UHFHLYHV D PDQGDWRU\ OLIH LPSULVRQPHQWLIKHLVFRQYLFWHGRIDVHULRXVYLROHQWIHORQ\ DQG KDV SUHYLRXVO\ EHHQ FRQYLFWHG RI WZR RU PRUH VXFK IHORQLHV7KHVWDWXWHGHILQHVD³VHULRXVYLROHQWIHORQ\´LQSDUW DV ³D )HGHUDO RU 6WDWH RIIHQVH E\ ZKDWHYHU GHVLJQDWLRQ RU ZKHUHYHUFRPPLWWHGFRQVLVWLQJRIrobbery (as described  8QLWHG6WDWHVY*DWHZRRG 1R 1R 8QLWHG6WDWHVY*DWHZRRG  in section 2111, 2113, or 2118).´  86& VWDWXWRU\PD[LPXP7KHJRYHUQPHQWVKRXOGKDYHWRSURYH †  F  ) L   5REEHU\ LV GHILQHG DV WKH WDNLQJ RI WKRVHIDFWVDVHOHPHQWVRIWKHFULPHDQGLWPD\QRWSODFHWKH VRPHWKLQJRIYDOXHE\IRUFHDQGYLROHQFHRUE\LQWLPLGDWLRQ EXUGHQRQWKHGHIHQGDQWWRSURYHE\³FOHDUDQGFRQYLQFLQJ IURPWKHSHUVRQRUSUHVHQFHRIDQRWKHU6HH86&† HYLGHQFH´WKDWWKHGHIHQGDQWGLGQRWFRPPLWVXFKDFULPH UREEHU\ZLWKLQIHGHUDOWHUULWRULDOMXULVGLFWLRQ † EDQN 8QGHUWKLVWKHRU\WKHJRYHUQPHQWPXVWSURYHWKDW*DWHZRRG UREEHU\ RU† UREEHU\RIFRQWUROOHGVXEVWDQFHVIURP FRPPLWWHG D IHGHUDO FULPH ² WKH FULPH FKDUJHG LQ WKH '($UHJLVWUDQW  LQGLFWPHQW²DQGWKDWKHFRPPLWWHGWZRSULRUFULPHVHLWKHU ZLWKD³ILUHDUPRURWKHUGDQJHURXVZHDSRQ´RUFDXVHG³GHDWK 7KH WKUHH VWULNHV VWDWXWH FRQWDLQV D GLVTXDOLILFDWLRQ RUVHULRXVERGLO\LQMXU\´86&† F  $ 7KHUH SURYLVLRQRUDQDIILUPDWLYHGHIHQVHWKDWSURYLGHVDGHIHQGDQW LVQRSURRIDQ\ZKHUHLQWKLVUHFRUGWKDW*DWHZRRGFRPPLWWHG ZLWK WKH RSSRUWXQLW\ WR SURYH WKDW DQ RWKHUZLVH TXDOLI\LQJ WZRSULRUIHORQLHVXQGHUWKHVHFLUFXPVWDQFHV FRQYLFWLRQ GRHV QRW FRQVWLWXWH D ³VWULNH´ XQGHU WKH VWDWXWH 7KHGLVTXDOLILFDWLRQSURYLVLRQVWDWHV $FFRUGLQJO\,GLVVHQWIURPWKHPDMRULW\¶VGHFLVLRQLQWKLV FDVH  1RQTXDOLI\LQJIHORQLHV $ 5REEHU\LQFHUWDLQFDVHV5REEHU\DQDWWHPSW FRQVSLUDF\ RU VROLFLWDWLRQ WR FRPPLW UREEHU\ RU DQ RIIHQVHGHVFULEHGLQSDUDJUDSK  ) LL VKDOOQRWVHUYH DVDEDVLVIRUVHQWHQFLQJXQGHUWKLVVXEVHFWLRQLIWKH GHIHQGDQW HVWDEOLVKHV E\ FOHDU DQG FRQYLQFLQJ HYLGHQFHWKDW± L QRILUHDUPRURWKHUGDQJHURXVZHDSRQZDVXVHGLQ WKHRIIHQVHDQGQRWKUHDWRIXVHRIDILUHDUPRURWKHU GDQJHURXVZHDSRQZDVLQYROYHGLQWKHRIIHQVHDQG LL WKH RIIHQVH GLG QRW UHVXOW LQ GHDWK RU VHULRXV ERGLO\ LQMXU\ DVGHILQHGLQVHFWLRQ WRDQ\SHUVRQ 86&† F  $  HPSKDVLVDGGHG $SULRUIHORQ\ UREEHU\FRQYLFWLRQWKHUHIRUHGRHVQRWFRQVWLWXWHDVWULNHLI WKHGHIHQGDQWFDQSURYHE\FOHDUDQGFRQYLQFLQJHYLGHQFH WKDWLWLVDQRQTXDOLI\LQJIHORQ\ *DWHZRRG DUJXHG WKDW KLV SULRU FRQYLFWLRQV FRQVWLWXWHG QRQTXDOLI\LQJIHORQLHV$WWKHVHQWHQFLQJKHDULQJ*DWHZRRG WHVWLILHGWKDWKHZDVQRWDSDUWLFLSDQWLQWKHFULPHVWKDWOHGWR HLWKHUWKHRUFRQYLFWLRQV+HDOVRVWDWHGWKDWQR YLROHQFH ZDV XVHG LQ FRQQHFWLRQ ZLWK WKH  UREEHU\ *DWHZRRG¶V RZQ WHVWLPRQ\ ZDV WKH RQO\ HYLGHQFH KH SUHVHQWHGWRHVWDEOLVKWKDWWKHFRQYLFWLRQVZHUHQRQTXDOLI\LQJ  8QLWHG6WDWHVY*DWHZRRG 1R 1R 8QLWHG6WDWHVY*DWHZRRG  SUHYLRXV FRQYLFWLRQV DUH ³QRQTXDOLI\LQJ IHORQLHV´ZLOO VWLOO 7KHRIILFHUVZKRLQYHVWLJDWHGWKHRULJLQDORIIHQVHVKDGQR ZDUUDQWDOLIHVHQWHQFH UHFROOHFWLRQ RI WKH FDVHV DQG D SULYDWH GHWHFWLYH KLUHG E\ *DWHZRRGIDLOHGWRORFDWHDQ\ZLWQHVVHVZLWKDQ\PHPRU\RI 7KH6XSUHPH&RXUW¶VRSLQLRQLQ&RRSHULVDQLPDWHGE\LWV WKHFULPHV7KHGLVWULFWFRXUWIRXQGWKDW*DWHZRRGGLGQRW FRQFHUQIRUWKHSURSHUDOORFDWLRQRIWKHULVNRIHUURUZKHQ HVWDEOLVKE\FOHDUDQGFRQYLQFLQJHYLGHQFHWKDWKLVSUHYLRXV FRQVHTXHQFHVIRUWKHGHIHQGDQWDUHGLUH&RRSHU86DW FRQYLFWLRQVZHUHQRQTXDOLI\LQJIHORQLHV  $V , VWDWHG LQ P\ RSLQLRQ LQ WKH RULJLQDO SDQHO GHFLVLRQ LQ WKLV FDVH ³>W@KH ULVN RI HUURU LQFXUUHG E\ WKH *DWHZRRGIXUWKHUREMHFWHGWRKLVVHQWHQFHE\FODLPLQJWKDW GHIHQGDQW>XQGHU86&†@LVQROHVVWKDQWKHULVN WKHWKUHHVWULNHVVWDWXWHYLRODWHGGXHSURFHVV+HDUJXHGWKDW FRQFHUQHGLQ&RRSHUZKLOHWKHFRVWRIVXFKDQHUURUPD\EH EHFDXVH LW ZDV YLUWXDOO\ LPSRVVLEOH WR SURYLGH HYLGHQFH HYHQJUHDWHU´8QLWHG6WDWHVY*DWHZRRG)G VXIILFLHQW WR PHHW WKH KHLJKWHQHG FOHDU DQG FRQYLQFLQJ WK &LU   %HFDXVH WKH ULVN DQG FRVW RI HUURU IRU VWDQGDUG WKH VWDQGDUG RI SURRI ZDV XQFRQVWLWXWLRQDO  7KH GHIHQGDQWV DUH DW OHDVW DV KLJK LQ WKLV FRQWH[W DV LQ WKH GLVWULFW FRXUW GHQLHG *DWHZRRG¶V REMHFWLRQ DQG *DWHZRRG FRPSHWHQF\ GHWHUPLQDWLRQ WKH FRQFHUQV XQGHUO\LQJ WKH DSSHDOHG 6XSUHPH &RXUW¶V GHFLVLRQ LQ &RRSHU VKRXOG LQIRUP RXU GHFLVLRQKHUH(VVHQWLDOO\WKLVODZIRUFHVFHUWDLQGHIHQGDQWV ,, WR VKRZ E\ PHHWLQJ DQ H[WUHPHO\ H[DFWLQJ HYLGHQWLDU\ WKUHVKROG ZK\WKH\VKRXOGQRWEHLPSULVRQHGIRUWKHUHVWRI 7KHFRQVWLWXWLRQDOLW\RIWKHFOHDUDQGFRQYLQFLQJVWDQGDUG KLV OLIH 7KDW GRHV QRW FRPSRUW ZLWK WKH QRWLRQV RI LQWKHWKUHHVWULNHVVWDWXWH¶VGLVTXDOLILFDWLRQSURYLVLRQLVRQH IXQGDPHQWDOIDLUQHVVWKDWXQGHUOLHGXHSURFHVV RIILUVWLPSUHVVLRQLQWKLVFLUFXLW7KHLVVXHKDVEHHQUDLVHGLQ IRXURWKHUDSSHOODWHFRXUWV±WKH)LIWK6HYHQWK1LQWKDQG 7KHFOHDUDQGFRQYLQFLQJHYLGHQFHVWDQGDUGLVLQWHQGHGWR 7HQWK &LUFXLWV  6HH 8QLWHG 6WDWHV Y )HUJXVRQ  :/ LQVXUHWKDWLPSRUWDQWGHFLVLRQVDUHQRWHQWHUHGLQWROLJKWO\ 1R WK&LU0D\ 8QLWHG6WDWHV DQGWKDWWKHJRYHUQPHQWWUHDGVFDXWLRXVO\EHIRUHLQIULQJLQJRQ Y0DFNRYLFK)G WK&LU 8QLWHG6WDWHV WKHOLYHVRUOLEHUWLHVRILWVFLWL]HQV&I&UX]DQY'LUHFWRU Y .DOXQD  )G  WK &LU   HQ EDQF  FHUW 0R'HSWRI+HDOWK866&W/(G GHQLHG6&W  8QLWHG6WDWHVY:LFNV G   XSKROGLQJ0LVVRXUL¶VUHTXLUHPHQWRIFOHDUDQG )G  WK &LU    :KLOH RXU VLVWHU FLUFXLWV KDYH FRQYLQFLQJHYLGHQFHRIDQLQFRPSHWHQW¶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† F  $ WKXVFOHDUO\YLRODWHV&RRSHU¶VIXQGDPHQWDO 5HO\LQJRQ3DWWHUVRQY1HZQ@RQTXDOLI\LQJIHORQLHV´DVVHWIRUWKLQ GXHSURFHVVGRHVQRWSURKLELWWKHNLQGRIDIILUPDWLYHGHIHQVH  86& † F  $  1R RQH KDV VKRZQ WKDW WKH DWWKHVHQWHQFLQJVWDJHIRXQGLQ† F  $ ´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³HYHQ DQG SURYHG EH\RQG D UHDVRQDEOH GRXEW &RQVHTXHQWO\ WKH ZKHQ D FROODWHUDO DWWDFN RQ D ILQDO FRQYLFWLRQ UHVWV RQ EXUGHQ RI SURRI SRUWLRQ RI † F  $  YLRODWHV GXH FRQVWLWXWLRQDO JURXQGV WKH SUHVXPSWLRQ RI UHJXODULW\ WKDW SURFHVV DWWDFKHVWRILQDOMXGJPHQWVPDNHVLWDSSURSULDWHWRDVVLJQD SURRI EXUGHQ WR WKH GHIHQGDQW´ ,G DW   6XSUHPH &RXUW )RUFLQJ WKH GHIHQGDQW WR EHDU WKH FOHDU DQG FRQYLQFLQJ SUHFHGHQWWKHUHIRUHILUPO\HVWDEOLVKHVWKDWWKHWKUHHVWULNHV HYLGHQFHVWDQGDUGDOVRYLRODWHVWKHGXHSURFHVVDQDO\VLVVHW VWDWXWH¶VUHTXLUHPHQWWKDWWKHGHIHQGDQWVKRXOGHUWKHEXUGHQ IRUWKLQ&RRSHU7KLVFRXUW¶VPDMRULW\RSLQLRQFRQFHGHVWKDW RI SURYLQJ DQ DIILUPDWLYH GHIHQVH DW VHQWHQFLQJ LV ZKLOH D VHQWHQFLQJ KHDULQJ QHHG QRW FRQWDLQ WULDOOLNH FRQVWLWXWLRQDO FRQVWLWXWLRQDO SURWHFWLRQV GXH SURFHVV UHTXLUHV WKDW ³WKH VHQWHQFLQJ SURFHHGLQJV EH IXQGDPHQWDOO\ IDLU´ ,W LV LQ WKH :KLOH WKH &RXUW LQ 3DUNH DQG 3DWWHUVRQ IRXQG LW ³IXQGDPHQWDOIDLUQHVV´DQDO\VLVWKDW&RRSHULVDSSOLFDEOHWR SHUPLVVLEOHWRSODFHWKHEXUGHQRISURRIRQDGHIHQGDQWLWGLG WKLV FDVH -XVW DV LW LV IXQGDPHQWDOO\ XQIDLU WR UHTXLUH D QRWDGGUHVVZKDWVWDQGDUGDGHIHQGDQWPXVWPHHWWRSURYHWKH GHIHQGDQWWRVWDQGWULDOZKHQKHKDVVKRZQWKDWLWLVPRUH DIILUPDWLYHGHIHQVH7KH)LIWK&LUFXLW¶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¶V GXH SURFHVV VXFKDVHYHUHSHQDOW\J@HQHUDOO\ VHQWHQFLQJ SURFHHGLQJV GR QRW RIIHU FULPLQDO PXVWHU D SUHSRQGHUDQFH RI WKH HYLGHQFH WR VKRZ WKDW KLV  8QLWHG6WDWHVY*DWHZRRG 1R 1R 8QLWHG6WDWHVY*DWHZRRG  UHODWLRQVKLS ZLWK $OPHQGDUH]7RUUHV WR D FU\SWLF GHIHQGDQWVWKHVDPHSURFHGXUDOVDIHJXDUGVDVWULDOV´,G,Q ³$OPHQGDUH]7RUUHV UHPDLQV WKH ODZ´ :KLOH WKLV LV DGGLWLRQ WKH FRXUW VWDWHG WKDW LW ZDV XQSHUVXDGHG E\ WKH WHFKQLFDOO\WUXHWKHLVVXHLVQRWTXLWHVRHDVLO\GLVPLVVHG,Q GHIHQGDQW¶VUHOLDQFHRQWKHUHFHQW6XSUHPH&RXUWGHFLVLRQLQ $SSUHQGL WKH &RXUW KHOG WKDW ³DQ\ IDFW WKDW LQFUHDVHV WKH &RRSHUY2NODKRPD86  6HHLG SHQDOW\IRUDFULPHEH\RQGWKHSUHVFULEHGVWDWXWRU\PLQLPXP PXVWEHVXEPLWWHGWRDMXU\DQGSURYHGEH\RQGDUHDVRQDEOH *DWHZRRGDOVRUHOLHVRQ&RRSHUWRDUJXHWKDWWKHFOHDUDQG GRXEW´  6&W DW  ,Q DGGLWLRQ WKH &RXUW FRQYLQFLQJ VWDQGDUG LQ WKH WKUHH VWULNHV VWDWXWH LV VSHFLILFDOO\ DGRSWHG WKH ODQJXDJH RI WKH WZR FRQFXUULQJ XQFRQVWLWXWLRQDO,Q&RRSHUWKH&RXUWIRXQGXQFRQVWLWXWLRQDO RSLQLRQVLQ-RQHVY8QLWHG6WDWHV866&W DQ 2NODKRPD ODZ WKDW SUHVXPHG D FULPLQDO GHIHQGDQW ZDV /(GG  $SSUHQGL6&WDW FRPSHWHQWWRVWDQGWULDOXQOHVVKHSURYHGLQFRPSHWHQFHE\ ³ZH HQGRUVH WKH VWDWHPHQW RI WKH UXOH VHW IRUWK LQ WKH FOHDUDQGFRQYLQFLQJHYLGHQFH6HH86DW7KH FRQFXUULQJRSLQLRQVLQ>-RQHV@´ 7KRVHFRQFXUUHQFHVVWDWHG &RXUW UHDVRQHG WKDW WKH FOHDU DQG FRQYLQFLQJ HYLGHQFH WKDW³DVVHVVPHQWRIIDFWVWKDWLQFUHDVHWKHSUHVFULEHGUDQJHRI VWDQGDUG LPSRVHV D VLJQLILFDQW ULVN RI DQ HUURQHRXV SHQDOWLHVWRZKLFKDFULPLQDOGHIHQGDQWLVH[SRVHGPXVW GHWHUPLQDWLRQ  6HH LG  6LWXDWLRQV UHTXLULQJ D KHLJKWHQHG EHHVWDEOLVKHGE\SURRIEH\RQGDUHDVRQDEOHGRXEW>W@R VWDQGDUG RI SURRI UHDOORFDWH WKH ULVN RI HUURU EHWZHHQ WKH SHUPLW DQ\WKLQJ OHVV LV    LPSHUPLVVLEOH XQGHU WKH 'XH SDUWLHV  6HH LG DW   %HFDXVH WKH FRQVHTXHQFHV RI DQ 3URFHVV &ODXVH´ -RQHV  86 DW  6WHYHQV - HUURQHRXV GHWHUPLQDWLRQ ZHUH GLUH LQ FRPSHWHQF\ FRQFXUULQJ  LQWHUQDOFLWDWLRQVDQGTXRWDWLRQPDUNVRPLWWHG  SURFHHGLQJV WKH &RXUW IRXQG WKDW WKHUH ZDV QR EDVLV WR 6HHDOVR-RQHV86DW 6FDOLD-FRQFXUULQJ  ³LWLV DOORFDWHWRDFULPLQDOGHIHQGDQWWKH³ODUJHVKDUHRIULVNZKLFK XQFRQVWLWXWLRQDOWRUHPRYHIURPWKHMXU\WKHDVVHVVPHQWRI DFFRPSDQLHVDFOHDUDQGFRQYLQFLQJHYLGHQFHVWDQGDUG´,G IDFWV WKDW DOWHU WKH FRQJUHVVLRQDOO\ SUHVFULEHG UDQJH RI DW7KHUHIRUHWKHSRWHQWLDOYLRODWLRQRIWKHGHIHQGDQW¶V SHQDOWLHV WR ZKLFK WKH GHIHQGDQW LV H[SRVHG´   0RVW IXQGDPHQWDO ULJKWV RXWZHLJKHG WKH 6WDWH¶V LQWHUHVW LQ WKH VLJQLILFDQWO\LQGHFOLQLQJWRRYHUUXOH$OPHQGDUH]7RUUHVWKH HIILFLHQWRSHUDWLRQRILWVFULPLQDOMXVWLFHV\VWHP6HHLGDW $SSUHQGL &RXUW QRWHG $OPHQGDUH]7RUUHV¶V ³XQLTXH IDFWV´  DQGFOHDUO\VWDWHGWKDWLWZDVOLPLWHGWRVLWXDWLRQVZKHUHWKH JRYHUQPHQWQHHGRQO\VKRZ³WKHIDFWRIDSULRUFRQYLFWLRQ´ *DWHZRRGDUJXHVLQDFFRUGDQFHZLWKWKH&RXUW¶VUHDVRQLQJ DVLVWKHFDVHXQGHU86&† E  WKHVWDWXWHDWLVVXH LQ&RRSHUWKDWWKHWKUHHVWULNHVVWDWXWH¶VKHLJKWHQHGVWDQGDUG LQ$OPHQGDUH]7RUUHV ZKLFKUHTXLUHVRQO\WKDWWKHGHIHQGDQW RI SURRI VXEVWDQWLDOO\ LQFUHDVHV WKH SUREDELOLW\ RI DQ KDYH FRPPLWWHG DQ ³DJJUDYDWHG IHORQ\´ WR MXVWLI\ D KLJKHU HUURQHRXV GHFLVLRQ XQGHU †  F  $   *DWHZRRG¶V VHQWHQFH $SSUHQGL6&WDW SUHYLRXVFRQYLFWLRQVDUHWR\HDUVROG7KHRIILFHUVLQ WKH FDVHV GLG QRW UHPHPEHU WKH DUUHVW RU DQ\ RWKHU IDFWV 8QGHU  86& †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¶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´  VHQWHQFLQJ  $V WKLV &RXUW PDGH FOHDU LQ 8QLWHG 6WDWHV Y 7KH PDMRULW\ UHVWULFWV LWV DQDO\VLV RI WKH $SSUHQGL¶V 6LOYHUPDQ)G WK&LU  HQEDQF D  8QLWHG6WDWHVY*DWHZRRG 1R 1R 8QLWHG6WDWHVY*DWHZRRG  *DWHZRRG KDV DOVR IDLOHG WR HVWDEOLVK ZK\ WKH SUHWULDO FULPLQDO GHIHQGDQW LV QRW HQWLWOHG WR WULDOOLNH SURFHGXUDO LGHQWLILFDWLRQ E\ ZLWQHVVHV VKRXOG EH H[FOXGHG DW WULDO SURWHFWLRQVDWDVHQWHQFLQJKHDULQJ³7KHVWDQGDUGKDVDOZD\V 1HHGOHVV WR VD\ LI DQ LGHQWLILFDWLRQ SURFHGXUH LV EHHQWKDWDVHQWHQFHPD\QRWSURSHUO\EHLPSRVHGRQWKHEDVLV ³LPSHUPLVVLEO\ VXJJHVWLYH´ WKHQ WKH LGHQWLILFDWLRQ PD\ EH RIPDWHULDOPLVLQIRUPDWLRQEXWVSHFLILFSURFHGXUHVVXFK XQUHOLDEOH6HH8QLWHG6WDWHVY+LOO)G WK DV DUH UHTXLUHG DW WULDO DUH VLPSO\ QRW FRQVWLWXWLRQDOO\ &LU    7R GHWHUPLQH UHOLDELOLW\ RI DQ LGHQWLILFDWLRQ PDQGDWHG´  ,G  7KH FRQVWLWXWLRQDO SURWHFWLRQV DIIRUGHG FRXUWVORRNDWIDFWRUVVXFKDV³(1) the witness’s opportunity GHIHQGDQWVDWDFULPLQDOWULDODUHQRWDYDLODEOHDWVHQWHQFLQJ to view the criminal at the time of the crime; (2) the witness's SURFHHGLQJV6HHLGDW'XHSURFHVVUHTXLUHVRQO\WKDW degree of attention at the time of the crime; (3) the accuracy WKHSURFHHGLQJVEHIXQGDPHQWDOO\IDLUDQGWKDWDVHQWHQFHEH of the witness’s prior description of the defendant; (4) the EDVHGRQUHOLDEOHLQIRUPDWLRQ witness's level of certainty when identifying the suspect at the confrontation; and (5) the length of time that has elapsed $FULPLQDOGHIHQGDQW VDELOLW\WRUHIXWHWKHXVHRIDSULRU between the crime and the confrontation.´,G FLWLQJNeil v. FRQYLFWLRQDVDVWULNHXQGHUWKHVWDWXWHH[LVWVRQO\EHFDXVH Biggers, 409 U.S. 188 (1972)). 7KHZLWQHVVHVLQWKLVFDVH &RQJUHVVFKRVHWRLQFOXGHWKHGLVTXDOLILFDWLRQSURYLVLRQDV URGHLQWKHFDUZLWK*DWHZRRGGXULQJZKLFKWLPHWKH\KDG SDUW RI WKH WKUHH VWULNHV VWDWXWH  :KHQ HQDFWLQJ D VWDWXWH FOHDUYLHZVWKDWDOORZHGWKHPWRHDVLO\LGHQWLI\KLPRQO\IRXU &RQJUHVV QHHG QRW SURYLGH DQ DIILUPDWLYH GHIHQVH WR D GD\V ODWHU  7KHUHIRUH *DWHZRRG¶V FKDOOHQJH WR WKH FULPLQDOGHIHQGDQW5DWKHU&RQJUHVVFRXOGKDYHHQDFWHGWKH LGHQWLILFDWLRQLVGHQLHG WKUHH VWULNHV VWDWXWH LQGHSHQGHQW RI WKH GLVTXDOLILFDWLRQ SURYLVLRQ,I&RQJUHVVFDQFKRRVHZKHWKHURUQRWWRSURYLGH 9 DGHIHQVHLWIROORZVWKDWWKHEXUGHQRISURRI&RQJUHVVSODFHV RQVXFKDGHIHQVHFDQQRWEHXQFRQVWLWXWLRQDO6WDWXWHVWKDW :HILQGWKDW*DWHZRRG¶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³EH  8QLWHG6WDWHVY*DWHZRRG 1R 1R 8QLWHG6WDWHVY*DWHZRRG  FKDUJHGLQWKHLQGLFWPHQWVXEPLWWHGWRDMXU\DQGSURYHQE\ FULPH EH\RQG WKH SUHVFULEHG VWDWXWRU\ PD[LPXP PXVW EH WKH*RYHUQPHQWEH\RQGDUHDVRQDEOHGRXEW´-RQHVY8QLWHG VXEPLWWHGWRDMXU\DQGSURYHGEH\RQGDUHDVRQDEOHGRXEW´ 6WDWHV86  7KHTXHVWLRQLVZKHWKHUD ,G DW   7KH 6XSUHPH &RXUW H[SODLQHG GHIHQGDQW¶VSULRUFRQYLFWLRQVZKLFKDUHIDFWVWKDWXQGHUWKH $OPHQGDUH]7RUUHVDVDQ³H[FHSWLRQDOGHSDUWXUH´IURPWKLV IHGHUDO WKUHH VWULNHV VWDWXWH PD\ LQFUHDVH WKH PD[LPXP JHQHUDO UXOH DQG QRWHG WKDW FRQVWLWXWLRQDO FRQFHUQV ZHUH SHUPLVVLEOHSXQLVKPHQWWRZKLFKDGHIHQGDQWLVH[SRVHGDUH PLWLJDWHGLQWKDWFDVHE\³>E@RWKWKHFHUWDLQW\WKDWSURFHGXUDO HTXLYDOHQW WR HOHPHQWV RI WKH RIIHQVH RU ZKHWKHU WKH\ DUH VDIHJXDUGVDWWDFKHGWRDQ\µIDFW¶RISULRUFRQYLFWLRQDQGWKH PHUHO\VHQWHQFLQJIDFWRUV UHDOLW\WKDW$OPHQGDUH]7RUUHVGLGQRWFKDOOHQJHWKHDFFXUDF\ RIWKDWµIDFW¶LQKLVFDVH´,GDW$OWKRXJKWKH&RXUW¶V 7KLV TXHVWLRQ ZDV DQVZHUHG E\ WKH 6XSUHPH &RXUW LQ GHFLVLRQLQ$SSUHQGLDUJXDEO\FDVWVGRXEWRQWKHFRUUHFWQHVV $OPHQGDUH]7RUUHV Y 8QLWHG 6WDWHV  86    RIWKHKROGLQJLQ$OPHQGDUH]7RUUHVVHHLG QRWLQJWKDW³LW $OPHQGDUH]7RUUHVLQYROYHG86&†VXEVHFWLRQ D LVDUJXDEOHWKDW$OPHQGDUH]7RUUHVZDVLQFRUUHFWO\GHFLGHG RIWKDWVWDWXWHSURKLELWHGDQDOLHQIURPUHWXUQLQJWRWKH8QLWHG DQGWKDWDORJLFDODSSOLFDWLRQRIRXUUHDVRQLQJWRGD\VKRXOG 6WDWHVDIWHUKDYLQJEHHQGHSRUWHGDQGDXWKRUL]HGDPD[LPXP DSSO\ LI WKH UHFLGLYLVW LVVXH ZHUH FRQWHVWHG´ IRRWQRWH SULVRQWHUPRIWZR\HDUVVXEVHFWLRQ E DXWKRUL]HGDSULVRQ RPLWWHG  LG DW   7KRPDV - FRQFXUULQJ WHUPRIXSWR\HDUVIRUDQ\DOLHQGHVFULEHGLQVXEVHFWLRQ HQGRUVLQJDEURDGHUUXOHWKDW³DµFULPH¶LQFOXGHVHYHU\IDFW D LIWKHLQLWLDOGHSRUWDWLRQZDVVXEVHTXHQWWRDFRQYLFWLRQIRU WKDWLVE\ODZDEDVLVIRULPSRVLQJRULQFUHDVLQJSXQLVKPHQW´ FRPPLVVLRQRIDQDJJUDYDWHGIHORQ\6HHLGDW'HILQLQJ DQGH[SUHVVLQJDEHOLHIWKDW³WKHIDFWRIDSULRUFRQYLFWLRQLV WKH TXHVWLRQ DV ³ZKHWKHU WKLV ODWWHU SURYLVLRQ GHILQHV D DQHOHPHQWXQGHUDUHFLGLYLVPVWDWXWH´ VHHDOVR0RQJHY VHSDUDWHFULPHRUVLPSO\DXWKRUL]HVDQHQKDQFHGSHQDOW\´WKH &DOLIRUQLD86   6FDOLD-ZLWKZKRP &RXUW KHOG WKDW WKH VXEVHFWLRQ ZDV D ³SHQDOW\ SURYLVLRQ 6RXWHUDQG*LQVEXUJ--MRLQHGGLVVHQWLQJ  H[SODLQLQJWKDW ZKLFKVLPSO\DXWKRUL]HVDFRXUWWRLQFUHDVHWKHVHQWHQFHIRU WKHKROGLQJRI$OPHQGDUH]7RUUHVZDV³LQP\YLHZDJUDYH D UHFLGLYLVW´  ,G  7KH &RXUW UHMHFWHG WKH DUJXPHQW WKDW FRQVWLWXWLRQDO HUURU DIIHFWLQJ WKH PRVW IXQGDPHQWDO RI EHFDXVHWKHIDFWRIUHFLGLYLVPLQFUHDVHGWKHPD[LPXPSHQDOW\ ULJKWV´ $OPHQGDUH]7RUUHVUHPDLQVWKHODZ$FFRUGLQJO\ WR ZKLFK D GHIHQGDQW ZDV H[SRVHG &RQJUHVV ZDV ZHUHMHFW*DWHZRRG¶VDUJXPHQW FRQVWLWXWLRQDOO\UHTXLUHGWRWUHDWUHFLGLYLVPDVDQHOHPHQWRI WKHFULPHWKDWPXVWEHFKDUJHGLQWKHLQGLFWPHQWDQGSURYHQ ,9 EH\RQG D UHDVRQDEOH GRXEW 6HH LG DW  $OPHQGDUH]7RUUHV DV WKH 6XSUHPH &RXUW KDV H[SODLQHG *DWHZRRG DOVR FKDOOHQJHV WKH FRQVWLWXWLRQDOLW\ RI KLV ³VWDQGVIRUWKH SURSRVLWLRQWKDWQRWHYHU\IDFWH[SDQGLQJD FRQYLFWLRQE\FODLPLQJWKDWKLVFRQIHVVLRQZDVLQYROXQWDU\ SHQDOW\ UDQJH PXVW EH VWDWHG LQ D IHORQ\ LQGLFWPHQW WKH DQGWKHH\HZLWQHVVLGHQWLILFDWLRQZDVLPSURSHU7RSURYHDQ SUHFLVHKROGLQJEHLQJWKDWUHFLGLYLVPLQFUHDVLQJWKHPD[LPXP XQFRQVWLWXWLRQDO FRQIHVVLRQ ³FRHUFLYH SROLFH DFWLYLW\ LV D SHQDOW\QHHGQRWEHVRFKDUJHG´-RQHVY8QLWHG6WDWHV QHFHVVDU\ SUHGLFDWH WR ILQGLQJ WKDW D FRQIHVVLRQ LV QRW 86   µYROXQWDU\¶´ &RORUDGR Y &RQQROO\  86      *DWHZRRG KDV IDLOHG WR DGYDQFH DQ\ HYLGHQFH RI 7KH6XSUHPH&RXUWUHFHQWO\UHYLVLWHGWKLVLVVXHLQ$SSUHQGL FRHUFLYH SROLFH DFWLYLW\ RU HYLGHQFH WKDW KLV ZLOO ZDV Y 1HZ -HUVH\  86   6 &W     ,Q FRHUFLYHO\RYHUERUQH+HKDVQRWSURYHQKLVFRQIHVVLRQZDV $SSUHQGLDIWHUH[DPLQLQJWKHSUDFWLFHDWFRPPRQODZWKH LQYROXQWDU\DQGLWZDVSURSHUO\DGPLWWHG &RXUWKHOGWKHJHQHUDOUXOHWREHWKDW³>R@WKHUWKDQWKHIDFWRI DSULRUFRQYLFWLRQDQ\IDFWWKDWLQFUHDVHVWKHSHQDOW\IRUD