Document: 428 U.S. 433 96 S.Ct. 3021 49 L.Ed.2d 1046 UNITED STATES et al., Petitioners,v.Max JANIS. No. 74-958. Argued Dec. 8, 1975. Decided July 6, 1976. Rehearing Denied Oct. 4, See 429 874, 97 196. Syllabus Based upon the affidavit of a police officer, Los Angeles judge issued search warrant, pursuant to which seized from respondent $4,940 in cash and certain wagering records. The officer advised Internal Revenue Service (IRS) that had been arrested for bookmaking activity. Using calculation based evidence, IRS assessed excise taxes levied partial satisfaction. In subsequent state criminal proceeding against trial court found officer's defective, granted motion quash order items returned respondent, except $4,940. Respondent filed refund claim and, later, this action. Government answered counterclaimed unpaid balance assessment. moved suppress evidence all copies thereof, District Court, after hearing, concluded was entitled refund, because assessment "was substantial part, if not completely, on illegally procured violation (respondent's) Fourth Amendment rights," under circumstances required prove extent claimed refund. quashed counterclaim accordingly dismissed. Court Appeals affirmed. Held: judicially created exclusionary rule should be extended forbid use civil one sovereign (here Federal Government) by law enforcement agent another government), since likelihood deterring conduct through such is sufficient outweigh societal costs imposed exclusion. Pp. 443-460. (a) prime, sole, purpose "is deter future unlawful conduct." 443-447. (b) Whether deterrent has yet demonstrated. Assuming, however, it deterrent, then its situations where now applied must deemed suffice accomplish purpose, local enfcement official already "punished" exclusion both federal trials. additional marginal deterrence provided extension cases like does excluding concededly relevant evidence. 447-460. Reversed remanded. Sol. Gen. Robert H. Bork, Washington, D. C., petitioners. Herbert Sturman, Angeles, Cal., respondent. Mr. Justice BLACKMUN delivered opinion Court. 1 This case presents an issue appropriateness rule: Is good faith, but nonetheless unconstitutionally, inadmissible or United States? 2 * November 1968 obtained warrant directing paraphernalia at two specified apartment locations city as well, respective persons Morris Aaron Levine Max Janis. Municipal Judicial District. It Officer Leonard Weissman.1 After search, made were property consisting records.2 3 Soon thereafter, Weissman telephoned States informed Janis activity.3 With assistance Weissman, who familiar with bookmakers' codes, revenue analyzed records determined them gross volume respondent's gambling activity five days immediately preceding seizure. he conducted surveillance activities indicated engaged during 77-day period September 14 30, 1968, day arrest. 4 any tax return pertaining period. exclusively examination so police, jointly taxes, § 4401 Code 1954, 26 U.S.C. 4401, amount $89,026.09, plus interest. computed first determining average daily proceeds five-day covered material agent, multiplying resulting figure 77, activities.4 having made, exercised statutory authority, 6331, levy satisfaction 5 Charges due course laws. They warrant. A suppression hearing held same defendants pressed Spinelli v. States, 393 410, 89 584, 21 637 (1969), decided just three weeks earlier issued. urged did set forth, detail, underlying enable issuing magistrate determine independently reliability information supplied informants. He ordered expt Service. App. 78-80. 6 June 1969 honored, 18 months December 1970, suit Central California. assessment.5 pretrial proceedings, agreed "sole basis computation . furnished (the agent) respect duration alleged activities."6 Id., 18. seized, thereof possession Service, 23-24. 7 At outset motion, observed "reluctantly holding supporting insufficient Aguilar (v. Texas, 108, 84 1509, 12 723 (1964)) doctrines." 47. "(a)ll utilized basis" directly indirectly result defective warrant," that, consequently, rights free unreasonable searches seizures." 73-1 USTC P 16,083, p. 81,392 (1973). $4,940, together interest thereon, "for reason substantially all, herein making their obtained, such, invalid." Ibid. Further, where, here, "illegally constitutes assessment," "not claims entitled." 81,393. Instead, "that evidence." Accordingly, "against assets quashed," entered judgment Government's dismissed prejudice. Ninth Circuit, unpublished memorandum without opinion, affirmed Court's findings fact conclusions law. Pet. Cert. 12A. 8 Because obvious importance question, we certiorari. 421 1010, 95 2414, 44 678 (1975). II 9 Some initial observations about procedural posture are indicated. If there no limit burden proof "taxpayer," carry, then, even though obtain favorable decision inadmissibility-of-evidence issue, record could possibly defeat counterclaim. notes, properly think, litigation composed separate elements: instituted collection taxpayer bears proving recover. Lewis Reynolds, 284 281, 52 145, 76 L.Ed. 293 (1932). enough him demonstrate sought erroneous some respects. 10 spoken suit. argues here presumption correctness attaches also apply authority §§ 7401 7403 Code, 7403. Thus, said, defendant paid correct his liability. 11 policy behind proof, see Bull 295 247, 259-260, 55 695, 699-700, 79 1421 (1935), would appear applicable each situation. accords, furthermore, burden-of-proof prevails usual preassessment Tax Lucas Structural Steel Co., 281 264, 271, 50 263, 265, 74 848 (1930); Welch Helvering, 290 111, 115, 54 9, 78 212 (1933); Rule 142(a) Rules Practice Procedure Court1973). event, purposes case, assume may said technically rest Respondent, submitted tending either incorrect show liability, any, part. situation might well argue, does, grant aspect But present What have "naked" Any foundation whatsoever what cannot used formulation assessment.7 determination "without rational excessive," subject cases. Helvering Taylor, 507, 514-515, 287, 290-291, 623 (1935).8 J. Mertens, Law Income Taxation 50.65 (1971). 13 There appears, indeed, debate among Courts Appeals, different factual contexts, effect when positive incorrect. courts indicate showing deficiency shifts Commissioner.9 Others hold remains taxpayer.10 However be, extend shown naked foundation. Taylor case. Rexach, 482 F.2d 10, 16-17, n. (CA1), cert. denied, 414 1039, 94 540, 38 330 (1973); Pizzarello 408 579 (CA2), 396 986, 90 481, 24 450 (1969); Suarez Commissioner Revenue, 58 T.C. 792, 814-815 (1972). cf. Compton 334 212, 216 (CA4 1964). Certainly, utterly arbitrary erroneous. For need go far accept argument require shift Government. We willing ruling formulating (on based), granting aspects assumption takes us, primary issue.11 III 15 early pronounced Fifth Amendment's command person "shall compelled witness himself" renders falling within prohibition inadmissible. Boyd 116 616, 524, 29 746 (1886). until 1914, alone solely Amendment. Weeks 232 383, 34 341, 652. comparatively late judicial creation particularly surprising. contrast direct admission testimony, admissibility after, apart from, violation.12 held, officers, therefore, unconstitutionally admitted proceeding. "silver platter" doctrine.13 16 Wolf Colorado, 338 25, 69 1359, 93 1782 (1949), Due Process Clause Fourteenth reflected providing those protections intrusions " 'implicit concept liberty.' 27, S.Ct., 1361. Nonetheless, applying doctrine product held: 17 "Granting practice effective way searches, condemn below minimal standards assured State's reliance other methods which, consistently enforced, equally effective." U.S., 31, 1362. Not long ruled means State procure sufficiently offensive liberty make Clause, Rochin California, 342 165, 72 205, 183 (1952), exist only most extreme Irvine 347 128, 381, 98 561 (1954). 19 Thus matters stood, allow engage sanction addition, authorities, they happened inclined, profit action receiving silver platter obtained. profiting thereby, discourage unconstitutional State, mandated controls, searches.14 20 Elkins 364 206, 80 1437, 1669 1960. Invoking "supervisory power over administration justice courts," 216, 1443, "evidence officers violated defendant's immunity seizures timely objection trial." 223, 1447. 22 thus announced apparently served purposes. First, admit own proceedings chose, nevertheless suffer counterparts unable proceedings. Second, dcouraged authorities using circumvent restrictions Weeks. 23 Only year Mapp Ohio, 367 643, 81 1684, 1081 (1961). ruled: "Since right privacy declared enforceable Fourteenth, Government." 655, 1691. 25 always warm one.15 unaided, unhappily, convincing empirical effects rule. established "prime purpose" rule, sole one, Calandra, 338, 347, 613, 619, (1974). Peltier, 422 531, 536-539, 2313, 2317-2318, 45 374 "(i)n sum, remedy designed safeguard generally effect, rather than personal constitutional party aggrieved." 348, 620. And 27 "(a)s remedial device, application restricted areas objectives thought efficaciously served." Ibid.16 28 complex turbulent history never exclude proceeding, state.17 IV asked create good-faith later proved shall Clearly, admittedly valid laws hampered extending nearly reliable rendered unavailable.18 30 evaluating sanction, identify deterred. object sanction. controlled. Two factors suggest addition presently unnecessary. trial.19 That, necessarily, concern him. excludable trial, supra, entire process, duty these frustrated.20 31 Jurists scholars uniformly recognized imposes cost proscription See, e. g., Bivens Six Unknown Fed. Narcotics Agents, 403 388, 411, 91 1999, 2012, 619 (1971) (Burger, C. J., dissenting); Amsterdam, Perspectives Amendment, Minn.L.Rev. 349, alternatives less costly interests extensive discussion exploration.21 32 Equally important, although attempted whether study subject, way, appears flawed.22 appropriate fault studies lack data number variables substantial,23 many measured subjected controls. Record-keeping before spotty best, severely hampers before-and-after studies. Since Mapp, course, possibility broad-scale controlled semi-controlled comparison eliminated.24 'Response" presence respondents' interests.25 extrapolation highly inconclusive changes legal doctrines police-citizen relationships taken place years decided.26 33 find ourselves, better position 1960 said: "Empirical statistics available inhabitants states follow lawless do unlawfully practical matter easy negative, hardly likely conclusive ever assembled. much reason, positively demonstrated more rule." 218, 1444. 35 "strong medicine" proponents (resulting, example, frustration officers' duties enforcers laws) assumed efficient deterrent. Assuming efficacy, forbidding surely society situation.27 If, hand, appreciable deterrence, clearly, instant unwarranted. Under assumption, unjustified.28 36 short, conclude outweighs justified rule.29 37 argues, courts. cites cases.30 critically distinguish between committing seizure cases, responsibility to, agreement with, seeking evidence.31 seminal involve "intrasovereign" violations,32 consider here. refused intersovereign intrasovereign violations strictly prosecutions. ex rel. Sperling Fitzpatrick, 426 1161 (CA2 1970) (intrasovereign/parole revocation); Schipani, 435 1970), 401 983, 1198, (intersovereign/sentencing).33 215-216 (1964), remarkably Circuit given affected officers. cited squarely holds barring sovereign.34 Commissioner, 792 (1972) (reviewed court, judges dissenting), similar confronts us 39 "any competing consideration liabilities (compare .) give higher goal protection individual necessity preserving confidence in, encouraging contempt for, processes 805. 40 No appeal taken. 41 disagree broad implications statement reasons. To focus clarified. (1974); Moreover, uses material. Working, must, absence data, common sense dictates attenuated "punishment" offending removal sovereign. indated counterbalanced attenuation justify Here, further augmented enforce 42 attenuation, coupled existing effected denial trials searching concerned, creates imposition unlikely provide significant, substantial, deterrence. falls outside zone our view, unjustifiably drastic pursuit undesired undesirable supervisory role officers.35 Rizzo Goode, 423 362, 598, 46 (1976). 43 past opted anticipation deterred violating rights. Then, now, acted relied, instead, assumptions human nature interrelationship various components system. justification measure comes point courts, consistent administer law, continue barriers Executive Legislative Branches. ourselves therefore reversed, remanded opinion. ordered. STEVENS took part 47 BRENNAN, whom MARSHALL concurs, dissenting. 48 I adhere my view necessary inherent ingredient 355-367, 623-629, (1974) (Brennan, 550-562, 2323-2330, (1975) dissenting). Repetition elaboration reasons serve useful purpose. My would, affirmance Appeals. Today's decisions Stone Powell, 465, 3037, 1067, Post, "business slow strangulation rule," 561, 2330. accepting proposition misconduct Brother STEWART dissent persuasively demonstrates error today's result. dissent. STEWART, today officials introduced adjudicate liability provisions 1954. result, squared 36U.S. 1669. discarded doctrine" lawfully trial. 51 Unless abandoned, excluded provisions. These provisions, constituting "interrelated system taxing wagers," Marchetti 390 39, 42, 88 697, 699, 889, operate area "permeated statutes" impose group "inherently suspect activities." Albertson SACB, 382 70, 79, 86 194, 199, quoted Supra, 47, 702. While results revenue, "we ignore characteristics activities" rise "or composition group" payment sought. Grosso 62, 68, 709, 906. intended merely raise "assist efforts (criminal) penalties" activities. responsible regularly cooperate enforcing restricting wagering. 47-48, 702-703. Similarly, personnel information, investigations, indicating tax.* pattern mutual cooperation coordination, buttressing sanctions. 53 Give pattern, observation opposite: "Free open commended encouraged. Yet kind promoted least tacitly (invites officers) encourage disregard constitutionally protected freedom." 221-222, 1446. sure, nature. prior clear difference irrelevant serves adjunct One 1958 Plymouth Sedan Pennsylvania, 380 693, 85 1246, 170. 56 failure heed precedents rips hole fabric leads arguments eliminate entirely. ruling, pay high (by forgoing convictions can evidence) forfeit benefit dearly. 57 effectively crack down violators simple expedient turning agents proverbial platter," wholly frustrated. "If, understood fruit will inducement subterfuge evasion federal-state cooration investigation." 222, Weissman's affidavit, 69-74, stated: Sergeant Briggs Police Department received informant concerning telephone numbers men bookmaking. investigation disclosed telephones numbers, including informant, third published address name Nancy L. being maintained address, Briggs' Levine's base operations. Both informants stated working concert. Each regarded reliable; led arrests well. Preliminary hearings pending aid informant. believed informant's safety, usefulness identity kept secret. "From context affiant, Sgt. Briggs, told times mentioned unless otherwise specified, speaking knowledge." 73. entirety, similarity considered 420-422, 591-592, (1969). 5-3 handed White joined Spinelli, id., 423-429, 592-596, but, doing so, referred, 427, 594, "tension Draper (V. 358 307, 329, 327 (1959))," Nathanson 41, 11, 159 (1933), 378 other, "(p)ending full-scale reconsideration" Nathanson-Aguilar Cases," "the reversal, especially vote affirm produce divided Court." 429, 595. Service's Certificate Assessments Payments, 81, shows credit $5,097, actually levy. acknowledges, $157 money belonging Levine. joint $157. Brief 1. concerns testified departmental call kind. "as procedure." it, "would small-size book, major-size book. So, I, it." 42. fellow similarly, think done conclusion involvement encouragement of, search. assume, involvement. Infra. time 10% Of wagers. 4401(a) 4401(a). rate reduced 2%, 1, 1974, Pub.L. 93-499, 3(a), Stat. 1550. advises avoid multiple litigation, suit, outstanding facts. 4. Payments stipulated "to admissible objection." 20. seek introduce police. asserted absent materials, grounds described resemblance developed exception Anti-Injunction Act, 7421(a) 7421(a). Enochs Williams Packing 370 82 1125, 292 (1962); Bob Jones University Simon, 416 725, 2038, 496 Alexander, "Americans United" Inc., 752, 2053, 518 Laing 161, 473, (1976); Shapiro, 424 614, 1062, 278 ago, issue. Claims, Courts, frequently referred E. Foster 391 727, 735 1968); 377 65, (CA9 1967). Bar L Ranch, Inc. Phinney, 995, 999 (CA5 1970). 15-17 Psaty 442 1154, 1158-1161 (CA3 1971); Ehlers Vinal, 58, 65-66 (CA8 F.2d, 998. Although assessment, question itself. perceive principled distinction chief. "(T)he ruptured victims' homes restored. Reparation too late." Linkletter Walker, 381 618, 637, 1731, 1742, 601 (1965). "The calculated prevent, repair. Its compel guaranty removing incentive 217, 1444, (1960). 347-348, 619-620, 656, 1692, (1961); Tehan Shott, 406, 413, 459, 463, 453 (1966); Terry 392 29, 1868, 1884, 889 (1968). 207 1439, noted appellation stems Frankfurter's plurality Lustig 74, 1372, 1819 (1949): crux hand it; secured turned platter." 78-79, 1374. controls mean, running unchecked tort remedies internal disciplinary sanctions available, : "Not half totally freely how Most others adopted entirety; part." 219, 1445 (footnote omitted). 224-225, 1448 (Appendix opinion). Except unanimous written Day 652 (1914), evolution marked sharp divisions Indeed, Wolf, Lustig, Rochin, Irvine, Elkins, Calandra produced combined total signed opinions statements. invoked whose infringed itself, aggrieved introduction Alderman 394 174-175, 961, 966-967, 176 forfeiture article 170 expressly relied "forfeiture clearly penalty offense" "(i)t anomalous circumstances, excludable, while requiring violated, admissible." 701, 1251. 634, 534, (1886), characterized "quasi-criminal." commentary tends lessen accuracy presented encourages lie Garbus, Perjury: An Interview, Crim.L.Bull. 363 (1972); Kuh, Case Year After; Appraisal Impact New York, 148 N.Y.L.J. Nos. Comment, Perjury "Dropsy" Cases: Credibility Gap, 60 Geo.L.J. 507 (1971); Effect Ohio Search-and-Seizure Practices Cases, Colum.J.L. & Soc.Probs. 87 People McMurty, 64 Misc.2d 63, 314 N.Y.S.2d 194 (N.Y.C.Crim.Ct.1970). note California Supreme Mapp. Cahan, Cal.2d 434, 282 P.2d 905 (1955). aware suggestion, commentators incorporated studies, often conviction lesser enforcement. Skolnick, Without Trial 219-235 (2d ed., 1975); Milner, Effectiveness Organization, Contemp.Probs. 467, 475, 479 Oaks, Studying Exclusionary Search Seizure, U.Chi.L.Rev. 665, 720-736 (1970). ALI Model Pre-Arraignment Procedure, 290.2 (Proposed Official Draft Davidow, Criminal Ombudsman Substitute Rule: Proposal, Tex.Tech.L.Rev. 317 Davis, Approach Legal Control Police, Texas L.Rev. 703 Foote, Tort Remedies Violations Individual Rights, 493 (1955); Geller, Enforcing Amendment: Alternatives, 1975 Wash.U.L.Q. 621; Kaplan, Limits Rule, Stat.L.Rev. 1027 LaFave, Improving Performance Through Part II: Defining Norms Training Mo.L.Rev. 566 (1965); McGowan, Rule-Making 70 Mich.L.Rev. 659 Quinn, Rulemaking Scope J.Urb.L. Roche, Viable Civil Rights Board, Wash. Lee 223 Spiotto, Seizure Problem Approaches: Canadian Remedy J.Police Sci. Ad. Seizure: Empirical Study J.Leg.Stud. 243 Injunctive Relief Illegal Search, 1967 104; Injunction Unconstitutional Conduct, Yale L.J. 143 (1968); Use 1983 Conduct: Guarding Guards, Harv.Civ.Rights-Civ.Lib.L.Rev. 104 salient comprehensive above Professor (now President) Oaks reviews length previous problems involved drawing data. include, Inter alia, W. Lehman, System Indigent: Chicago Cook County (1st ed. 1966); Goldstein, Discretion Invoke Process: Low-Visibility Decisions Administration Justice, 543 (1960); Kamisar, On Tactics Police-Prosecution Oriented Critics Cornell L.Q. 436 (1964); Public Safety Liberties: "Facts" "Theories," J.Crim.L.C. P.S. 171 Ten Years Later: Evidence 1083 (1959); Katz, States: Inquiry into North Carolina. Model, Implications, N.C.L.Rev. 119 18; Nagel, Testing Effects Excluding Illegally Seized Evidence, 1965 Wis.L.Rev. 283; Paulsen, Misconduct 255 Illinois: Enforcement Constitutional Right Privacy, Nw.U.L.Rev. (1952); Weinstein, Local Responsibility Improvement Practices, Rocky Mt.L.Rev. 150 Younger, Protection Dead?, (Aug.-Sept. 1967); discusses types research possible, difficulties each. His final straightforward: "Writing Francis A. Allen up time, 'no quantitative rule's efficacy devised applied.' (Allen Federalism Requiem 1961 Sup.Ct.Rev. 34.) That outdated. foregoing represent largest fund assembled obviously fall short substantiation refutation 20, 709. More recently, Canon, Failing Health? Data Plea Precipitous Conclusion, 62 Ky.L.J. 681 (1974), collected reviewed explores paper appeared article: 21, 243; papers Michael Ban, Behavior (delivered annual meeting Midwest Political Science Assn., Chicago, May 1973) Court: American Orleans, Sept. 1973). Canon describes research, faults explicitly recognized. Consequently, favor retaining Canon's firmer Oaks': "Consequently, negative positive; maintaining cities certainly support impact search-and-seizure type crimes following imposition." 707. confidently attribute increased warrants entirely primarily reaction 713. 724-725 725-726. concedes inconclusiveness real enough," 726, take effect. "Only passed trends changing behavior (if any) become apparent." 727. wonder why, extremely relevant, fails account significantly greater books. Critique, Limitations Evalu- ations Critique Spiotto Research 740 therein. comment design studying general. proponent author concludes: "A review Spiotto's ineffectiveness Rather, illustrate obstacles stand sound, evaluation When considered, virtually going receive 'relevant statistics' objectively 'practical efficacy' 763-764. clear. researcher, opponent able establish assurance applied. is, impossible added difficulty controlling possible involved, 22; 21; 20; Wright, Must Go Free Constable Blunders?, 736 Supra. Studies compare experience countries country. 701-706; Regarding Evidence: International Symposium, 245 cross-cultural comparisons self-evident. 22, 692 53. 713-717, 723-725; Murphy, Review Methods Enforcement, 939, 941-943 (1966). mean imply accurate developed, statisticians refer "triangulation" eventually conclusions. medicine," applied, diluted again utility outweighed society. "(W)e simply decline court-made n Desist 244, 254 24, 1030, 1036, 248 "As "Where pursued complete rationale loses force." Michigan Tucker, 417 433, 447, 2357, 2365, 182 537-538, 2317-2318. "(I)t forget arrived nicest considerations finding preserve Constitution's guarantees. unsupportable reparation compensatory dispensation injured criminal; indispensability 'exert(ing) general pressures secure obedience law-enforcing officers.' As function, needed, grud(g)ingly taken, medicament; no, swallowed needed combat disease. Granted criminals constables blundering, pursuance liberation beyond confines inflicts gratuitous harm public Congress." Section 2255: 112 U.Pa.L.Rev. 378, 388-389 (1964) (footnotes Knoll Associates, FTC, 397 530 (CA7 Powell Zuckert, 125 U.S.App.D.C. 55, 366 634 Rogers 691 (CA1 1938); Anderson Richardson, 354 F.Supp. (S.D.Fla.1973); Iowa Union Asphalt Roadoils, (S.D.Iowa 1968), aff'd Sub nom. Standard Oil Co. Iowa, 1171 1969); Stonehill, 274 420 (S.D.Cal.1967), aff'd, 405 738 395 960, 2102, 747 Blank, 261 180 (N.D.Ohio Lassoff Gray, 843 (W.D.Ky.1962). participation, "federal participation" existed. (1949); Byars 273 28, 248, 71 520 (1927). 3, decide arrangement remand attempt participation fact. succeeds raises involving violation. established, private foreign government commits act. Burdeau McDowell, 256 574, 65 1048 (1921); supra. supra ; Hand 441 529 1971). express sentencing parole revocation constitute "civil proceedings" principles (S.D.Fla.1973), category, Pizzarello, enjoining conceded, jeopardy ultimately succeed. F.Supp., 366. dicta failed concerned Chase, 67-1 15733 (DC 1966), integrity agents. 84,477. previously, clarified primary, function 35, recent prime "judicial integrity" albeit subordinate factor, requirement standing much. meaning evidentiary rules commit Constitution. area, unquestionably accurate, court. 354, 623, 561. inquiry essentially 538, 2318; 2367. analysis significant shows, reasoning, important violate (and proceedings). acting factor reduces potential 2365; 539, 2318. parties follows: "On Nimovitz, plaintiff prepared Judge Lang thereof. Nimovitz proceeded help betting markers aforementioned analysis, arrest commenced 14, continued intermittent date taking 77 days, wit, (September 1968)." follows deposition: "Q Now, department you sum related arrest? don't there's way. wouldn't say policy. procedure. "In words, here's crime money, Revenue. Do regular basis? it. Would every book run across cash? probably would."

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