Samuel Rosencranz v. United States of America, Anthony Dipietro v. United States, 356 F.2d 310, 1st Cir. (1966)
Samuel Rosencranz v. United States of America, Anthony Dipietro v. United States, 356 F.2d 310, 1st Cir. (1966)
Samuel Rosencranz v. United States of America, Anthony Dipietro v. United States, 356 F.2d 310, 1st Cir. (1966)
2d 310
These appeals arise from the joint trial and conviction of two alleged
conspirators indicted for the operation of an illegal still in violation of federal
internal revenue laws. The critical issue is whether there was probable cause to
issue a search warrant.
* On March 24, 1962, prior to 3 a. m., Richard K. Weller, Investigator-inCharge of a branch office of the Alcohol Tax Division of the U. S. Treasury
Department, presented and executed before a U. S. Commissioner an affidavit
for a search warrant, alleging that he had reason to believe that on certain farm
premises on Ash Swamp Road in Scarborough, Maine, were being concealed
That such an absentee holder of legal title as appellant DiPietro should have
standing to invoke the Fourth Amendment does not offend us as creating
constitutional rights by "subtle distinctions developed in the law of real
property", as government counsel argues. As this case demonstrates, the
purchase and ownership of real property with very little more can be significant
links involving the owner in the chain of an alleged conspiracy. It does not
seem unfair to allow the fact of ownership, which is used by the government
against a defendant, to be used by that defendant to invoke constitutional rights.
The government also contends that the premises searched the barn do not
come within the protection of the Fourth Amendment. This amendment speaks
of the "houses" of persons, which word has been enlarged by the courts to
include the "curtilage" or ground and buildings immediately surrounding a
dwelling, formerly usually enclosed. The reach of the curtilage depends on the
facts of a case. In this case the government points out that appellants have not
supplied us with more than the most meager facts (see footnote 1, supra). The
only additional factual description is as follows. The Treasury agent who led
the search said, "it was a small farm with dwelling house and barn to the left as
you faced the premises". He also testified that tracks of vehicles and footprints
were visible on the snow, leading to both house and barn; he decided to enter
the barn first because the signs of traffic were somewhat heavier. Other
witnesses said there was a driveway between the barn and the dwelling house.
This suggests propinquity and absence of separating barriers. While the
evidence before us is sparse, it is at least as persuasive as that in Walker v.
United States, 5 Cir., 1955, 225 F.2d 447, where a barn was held within the
curtilage, although it was seventy to eighty yards from a house, and was
surrounded by a fence. See also Taylor v. United States, 1931, 286 U.S. 1, 52
S.Ct. 466, 76 L.Ed. 951; United States v. Mullin, 4 Cir., 1964, 329 F.2d 295.
We hold that the premises searched were within the coverage of the Fourth
Amendment.
7
The search warrant is attacked for the following alleged defects in the
underlying affidavit: that anonymous information is not an adequate basis; that
the affiant was not found qualified to know the odor of mash; that the affiant
did not identify the odor of mash as emanating from the premises; and that the
times of receipt by the affiant of information from his informant and of his
detection of the odor were not stated in the affidavit.
The device of this intervening step between clues and search is calculated to
substitute the inferences of a neutral and detached magistrate for the inferences
of a committed officer in the heat of ferreting out crime. Johnson v. United
States, 1948, 333 U.S. 10, 14, 68 S.Ct. 367, 92 L.Ed. 436.
10
This policy, in the interests of the civil liberties of all the people protected by
the Fourth Amendment, is bulwarked by rather precise supporting guidelines,
which may bear heavily on individual defendants. These guidelines include the
following: evidence need be only so much as to persuade a man of reasonable
caution to believe a crime is being committed, Brinegar v. United States, 1949,
338 U.S. 160, 175-176, 69 S.Ct. 1302, 93 L.Ed. 1879; Carroll v. United States,
1925, 267 U.S. 132, 162, 45 S.Ct. 280, 69 L.Ed. 543; the finding of "probable
cause", while demanding more than mere suspicion, Draper v. United States,
1959, 358 U.S. 307, 311-312, 79 S.Ct. 329, 3 L.Ed.2d 327, requires less
evidence than would justify conviction, Locke v. United States, 1813, 7 Cranch
339, 348, 3 L.Ed. 364, and less than would justify an officer in making a search
without a warrant, Johnson v. United States, supra, 333 U.S. at 13, 68 S.Ct.
367; the evidence itself need not be legally competent in a criminal trial, Draper
v. United States, supra, 358 U.S. at 311, 79 S.Ct. 329, and may in fact be
hearsay, Jones v. United States, supra, 362 U.S. at 272, 80 S.Ct. 725, so long as
the magistrate is informed of some underlying circumstances supporting the
affiant's conclusion and his belief that any informant involved was credible or
his information reliable, Aguilar v. State of Texas, 378 U.S. 108, 114, 84 S.Ct.
1509, 12 L.Ed.2d 723; the commissioner is entitled to draw reasonable
inferences from the facts contained in the affidavit based on his experience in
such matters, Irby v. United States, 1963, 114 U.S.App.D.C. 246, 314 F.2d 251,
253, cert. denied, 374 U.S. 842, 83 S. Ct. 1900, 10 L.Ed.2d 1064, while only
the information in the affidavit is relevant in reviewing the magistrate's judicial
action issuing a warrant, United States v. Casino, 2 Cir., 1923, 286 F. 976, such
an affidavit must be tested with a commonsense, nontechnical, ungrudging, and
positive attitude, United States v. Ventresca, 1965, 380 U.S. 102, 108-109, 85
S.Ct. 741, 13 L.Ed.2d, 684; and, finally, the commissioner's finding "is itself a
substantial factor", United States v. Ramirez, 1960, 2 Cir., 279 F.2d 712, 716,
cert. denied, 364 U.S. 850, 81 S.Ct. 95, 5 L.Ed.2d 74, and in marginal cases,
where there is doubt whether an affidavit demonstrates the existence of
probable cause, the resolution should be "largely determined by the preference
to be accorded to warrants", United States v. Ventresca, supra, 380 U.S. at 109,
85 S.Ct. at 746.
11
12
13
Nor are we concerned by the state of the evidence before the magistrate as to
the odor of mash outside the premises. The affiant in this case, while described
in the affidavit as a "Criminal Investigator", was actually the Investigator-inCharge of a local office of the Alcoholic Tax Division of the Treasury
Department. In either event, such credentials and the distinctive odor of mash
have passed the surveillance of many courts. See, e. g., Monnette v. United
States, 5 Cir., 1962, 299 F.2d 847. Cf. Chapman v. United States, 1961, 365
U.S. 610, 81 S. Ct. 776, 5 L.Ed.2d 828; Johnson v. United States, supra, 333
U.S. at 13, 68 S.Ct. 367; Steeber v. United States, 10 Cir., 1952, 198 F.2d 615,
33 A.L.R.2d 1425. Indeed, we have seen no case standing for the proposition
that a magistrate was unreasonable in considering a person in affiant's position
qualified to detect the odor of mash.
14
But appellants go beyond the qualifications of the affiant and the distinctive
nature of the odor, and say that a mere allegation that the odor was detected
"outside the premises" was defective in failing to say that the odor "emanated
from the premises". In the case before us, the magistrate could have reasonably
given weight to two factors. The first is that the premises described in the
warrant were a house and barn on Ash Swamp Road, three-tenths of a mile
from an intersection. He could conclude that the area was rural and sparsely
populated. The second is that the odor was described as a "strong" one. The
magistrate could therefore properly conclude that the odor came from the
premises described rather than from adjoining property. This was not a
congested metropolitan area, where odors could conceivably originate in any
one of a number of dwellings. In Monnette v. United States, supra, 299 F.2d at
849 n. 3, an affidavit was upheld which said, "* * * I distinctly smelled the
odor of fermenting mash emanating from these premises." To make much of
the words "fermenting" and "emanating from" would be to engage in the
"elaborate specificity" enjoined by Ventresca, supra, 380 U.S. at 108, 85 S.Ct.
741.
15
This brings us to the most serious defect in the affidavit the absence of any
averment as to the time when the affiant received information from his
anonymous informant or as to the time when affiant detected the odor of mash.
Nor is there anything in the affidavit which hints of time except the use of the
present tense in connection with the informant's report to affiant.
16
There is little question but that, before Ventresca, supra, this defect would have
been fatal. We summarize the authorities in the margin.3 The very fact that
there are not more cases involving affidavits without an averment of time of
observation may be taken as evidence of the wide acceptance by public officers
and magistrates of this requirement.
17
It reasoned that the first fact in the affidavit the information received from
the informant "must reasonably be construed as speaking as of the date of
the affidavit, for the present tense is used". It reasoned also that the second fact
the detection of a strong odor of mash if read in a commonsense way, is
elliptically tied both to the present tense in the preceding statement and to the
affiant's allegation in the body of the affidavit that he has reason to believe that
the described property "is now being concealed" on the premises.
19
Additionally, three other arguments can be made. First, we observe that the
officer, having called at a police barracks between 3 and 3:30 a. m., on March
24, 1962, with the warrant, must have presented his affidavit to the
Commissioner between midnight and 2 or 3 a. m. We could reason that no
responsible law officer would disturb a magistrate at such an hour on the basis
of stale information and observation. Secondly, we could make the distinction
between the operation of distilling apparatus plus the strong odor of mash as
implying much more of a continuing situation than, for example, would exist in
connection with an allegation as to the harboring of stolen property, which
might reasonably be in transit and in the process of dispersion. See United
States v. Williams, 6 Cir., 1965, 351 F.2d 475. Finally, we could make a
distinction between affidavits where the affiant himself has made observations
and is available to the magistrate to fill in gaps and where the sole observations
are made by another than the affiant. See United States v. Sawyer, E.D.Pa.,
1963, 213 F.Supp. 38.
20
But having made as strong a case for the affidavit as we think can be made, we
conclude that it is not enough. The present tense is suspended in the air; it has
no point of reference. It speaks, after all, of the time when an anonymous
informant conveyed information to the officer, which could have been a day, a
week, or months before the date of the affidavit. To make a double inference,
that the undated information speaks as of a date close to that of the affidavit
and that therefore the undated observation made on the strength of such
information must speak as of an even more recent date would be to open the
door to the unsupervised issuance of search warrants on the basis of aging
information. Officers with information of questionable recency could escape
embarrassment by simply omitting averments as to time, so long as they
reported that whatever information they received was stated to be current at that
time. Magistrates would have less opportunity to perform their "natural and
The other arguments are equally unpersuasive. In the instant case we may well
say that the early morning application for the warrant reflected a sense of
immediacy. But to state the proposition that an after-hours application to a
magistrate can cure the lack of averment as to time of observation is to deflate it
as a reasonable ground for believing probable cause exists. For example, were
we to rely on this reasoning, a magistrate could, in the future, base his belief
that a crime was being committed on the fact that the officer-affiant came to
him in a state of breathless excitement, even though at high noon.
22
23
24
26
27
28
While we might give lip service to principle and yet uphold the warrant as a
"doubtful or marginal" case, we do not think this would be a service either to
the conduct of law enforcement or the protection of citizens' rights. Such a
disposition of this case would, we feel, needlessly enlarge the area of
uncertainty and litigation.
29
We are aware of the vast amount of painstaking care invested by the district
court in two trials to date. Nevertheless, having carefully considered both
precedent and policy, we are constrained to hold the affidavit and therefore the
warrant, search, resulting evidence, and judgment invalid.
31
There is one other point raised by appellants which, in the event of another
trial, ought to be resolved. Their contention is that the district court erred in
admitting a transcript of testimony in a prior trial. This was testimony by one
Broderick, a claims adjuster for the New England Telephone and Telegraph
Company, that three long distance calls had been made on December 20, 1961
from a gas station in Massachusetts to Ash Swamp Road farm. These calls were
relevant to the proof of appellant Rosencranz's participation in the alleged
conspiracy. Subsequent to the prior trial, witness Broderick, admittedly not a
permanent custodian of records of calls, had destroyed the records from which
he had testified. At the trial below, the transcript of his prior testimony was
read.
32
The appellants claim that they have been deprived of the right of crossexamination. But the witness had given the testimony in question at a former
trial where parties and issues were the same and where full opportunity for
cross-examination was afforded. While we do not condone the action of the
witness in destroying records for which he was not responsible, no improper
motive has been suggested and the prior testimony was of an objective
reportorial nature not ordinarily suspect. We have no hesitation in saying the
testimony was admissible. 5 Wigmore, Evidence, 1370, 1371 (3d ed. 1940).
33
Judgment will be entered in each case vacating the judgment of the District
Court, setting aside the verdict, and remanding the case for further proceedings
not inconsistent with this opinion.
Notes:
1
The detection of a strong odor of mash outside the premises by the Affiant
(s) RICHARD K. WELLER
Criminal Investigator,
U. S. Treasury Department
The evidence shows that while DiPietro had purchased the property seven
months previously, he had never recorded his title, forgot what he did with his
deed, never made monthly mortgage payments, and never took out insurance,
arranged for utility services, or paid taxes. While he had driven by the property,
he had never set foot on it, moved personal property to it, rented it, made any
effort to rent it, leased it, given permission to anyone to use it, or knew that
anyone was occupying it. He declared himself not interested in the house or
buildings, which were "in poor shape" and were of "no value" to him. His
avowed purpose in purchasing the property (under the assumed name of John
Fino) was to raise horses and Christmas trees, neither of which objective was
ever pursued. For almost six months prior to the search, since September, he
was attempting to find a purchaser, although he did not talk with a broker, or
erect a "for sale" sign or advertise the property. He testified that what had
changed his mind about the use to him of the property was that "I had
attempted to get into the horse business and maybe cultivate some Christmas
trees on the property, and I had the few dollars and within a few weeks I had
lost it all * * *."
3
The basic principle that there be enough basis for the magistrate to conclude
that probable cause exists at the time he issues his warrant has been stated in
Sgro v. United States, 1932, 287 U.S. 206, 53 S.Ct. 138, 77 L.Ed. 260. In Poldo
v. United States, 9 Cir., 1932, 55 F.2d 866, the court, after commenting that the
affidavit lacked a date of observation, said, 55 F.2d at 868, "Time of the
affidavit's observations, which are set forth as constituting probable cause that a
crime has been committed, is of the essence of the affidavit." In Kohler v.
United States, 9 Cir., 1925, 9 F.2d 23, the court referred to the failure to fill in
the spaces for the day and month of alleged possession and sale of liquor as one
of the "glaring" defects in the affidavit. In Staker v. United States, 6 Cir., 1925,
5 F.2d 312, an affidavit was silent as to time. The court said, 5 F.2d at 314, "So
far as the affidavit shows, the officer might have smelled the fumes months
before the affidavit was made." In Conti v. Morgenthau, S.D.N.Y., 1964, 232
F.Supp. 1004, the court held invalid an affidavit alleging the placing of wagers
on certain dates at an apartment and two undated visits of defendant to the
apartment. It pointed out the lack of connection of the visits and the wagers, the
failure to allege dates "or indeed that the visits were recent". In United States v.
Bosch, E.D.Mich., 1962, 209 F.Supp. 15, an affidavit silent as to when
surveillance was made, was held invalid. While not the only reason for its
decision, the court indicated that the absence of time allegation would have
been a sufficient basis. In Williams v. Commonwealth, Ky., 1962, 355 S.W.2d
302, where the affidavit alleged that defendant "has in his possession at this
time beer and whiskey * * * for the purpose of sale", the court held that it was
defective for not disclosing when the underlying observation was made. In
Odom v. State, 1932, 121 Tex.Cr.R. 209, 50 S.W.2d 1103, where the affidavit
alleged that certain "equipment is being used", the court held it defective for
not revealing that the conduct occurred within a reasonable time. In People v.
Musk, 1925, 231 Mich. 187, 203 N.W. 865, an affidavit that affiant "has seen"
certain things was held invalid for lack of a time averment
Waggener v. McCandless, 1946, 183 Tenn. 258, 191 S.W.2d 551, 162 A.L.R.
1402, is not in conflict with this line of cases. While a precise date of receiving
information was not alleged, the affidavit stated that affiant had "just received"
the information, and the court accordingly upheld the affidavit.
Opposing this array of authority, we have found only two cases upholding an
affidavit where no indication of time of receiving information or observation
appeared on its face. In Hanson v. State, 1933, 55 Ok.Crim. 138, 26 P.2d 436,
the court held it sufficient that the undated observations were made by the
affiant and that the allegation of commission of the offense was stated in the
present tense. In People v. Warner, 1923, 221 Mich. 657, 192 N.W. 566, an
affidavit saying that the affiant "has seen" and "has smelt liquor", with no
allegation as to time, was held sufficient. There seems to have been no issue
raised as to the lack of averment of time.
Corroborating the traditional interest of the courts in being able to fix the time
of observation of the underlying facts asserted in affidavits are the many cases
where the validity of the warrant was determined by the proximity or
remoteness of the events observed. See Schoeneman v. United States, 1963,
115 U.S. App.D.C. 110, 317 F.2d 173 (107 days invalid); Irby v. United
States, supra, (8 days valid); Dandrea v. United States, 8 Cir., 1925, 7 F.2d
861 (42 days invalid); United States v. Sawyer, D.C. 1963, 213 F.Supp. 38
(107 days invalid); United States v. Long, D.D.C., 1959, 169 F.Supp. 730
(11 days valid); United States v. Allen, E.D.Ky., 1957, 147 F. Supp. 955 (16
days valid); United States v. Nichols, W.D.Ark., 1950, 89 F.Supp. 953 (21
days invalid).
4
We are also mindful of the uncertain status of such hearings as a forum for
exposing any falsity in the underlying circumstances. See Rugendorf v. United
States, 1964, 376 U.S. 528, 531-532, 84 S.Ct. 825, 828, 11 L.Ed.2d 887, when
the Court in dealing with a claim of falsity in an affidavit said:
"Petitioner attacks the validity of the search warrant. This Court has never
passed directly on the extent to which a court may permit such examination
when the search warrant is valid on its face and when the allegations of the
underlying affidavit establish `probable cause' * * *."
Cf. United States v. Bowling, 6 Cir., 1965, 351 F.2d 236, petition for cert. filed
Dec. 20, 1965.