Professional Documents
Culture Documents
United States V Matlock
United States V Matlock
FOR THE SEVENTH CIRCUIT 2. It was error to exclude from evidence at the suppression hearings Mrs.
Graff's out-of-court statements respecting the joint occupancy of the
Syllabus bedroom, as well as the evidence that both respondent and Mrs. Graff had
represented themselves as husband and wife. Pp. 415 U. S. 172-177.
Respondent was arrested in the front yard of a house in which he lived
along with a Mrs. Graff (daughter of the lessees) and others. The arresting Page 415 U. S. 165
officers, who did not ask him which room he occupied or whether he would
consent to a search, were then admitted to the house by Mrs. Graff and, (a) There is no automatic rule against receiving hearsay evidence in
with her consent but without a warrant, searched the house, including a suppression hearings (where the trial court itself can accord such evidence
bedroom, which Mrs. Graff told them was jointly occupied by respondent such weight as it deems desirable), and under the circumstances here,
and herself, and in a closet of which the officers found and seized money. where the District Court as satisfied that Mrs. Graff's out-of-court
Respondent was indicted for bank robbery, and moved to suppress the statements had, in fact, been made and nothing in the record raised doubts
seized money as evidence. The District Court held that, where consent by a about their truthfulness, there was no apparent reason to exclude the
third person is relied upon as justification for a search, the Government declarations in the course of resolving the issues raised at the suppression
must show, inter alia, not only that it reasonably appeared to the officers hearings. Pp. 415 U. S. 172-176.
that the person had authority to consent, but also that the person had
actual authority to permit the search, and that the Government had not (b) Mrs. Graff's statements were against her penal interest, since
satisfactorily proved that Mrs. Graff had such authority. Although Mrs. extramarital cohabitation is a state crime. Thus, they carried their own
Graff's statements to the officers that she and respondent occupied the indicia of reliability and should have been admitted as evidence at the
same bedroom were deemed admissible to prove the officers' good faith suppression hearings, even if they would not have been admissible at
belief, they were held to be inadmissible extrajudicial statements to prove respondent's trial. Pp. 415 U. S. 176-177.
the truth of the facts therein averred, and the same was held to be true of
statements by both Mrs. Graff and respondent that they were married, 3. Although, given the admissibility of the excluded statements, the
which was not the case. The Court of Appeals affirmed. Government apparently sustained its burden of proof as to Mrs. Graff's
authority to consent to the search, the District Court should reconsider the
Held: sufficiency of the evidence in light of this Court's opinion. Pp. 415 U. S. 177-
178.
476 F.2d 1083, reversed and remanded. him which room he occupied or whether he would consent to a search.
Three of the arresting officers went to the door of the house and were
WHITE, J., delivered the opinion of the Court, in which BURGER, C.J., and admitted by Mrs. Graff, who was dressed in a robe and was holding her son
STEWART, BLACKMUN, POWELL, and REHNQUIST, JJ., joined. in her arms. The officers told her they were looking for money and a gun,
DOUGLAS, J., filed a dissenting opinion, post, p. 415 U. S. 178. BRENNAN, and asked if they could search the house. Although denied by Mrs. Graff at
J., filed a dissenting opinion, in which MARSHALL, J., joined, post, p. 415 U. the suppression hearings, it was found that she consented voluntarily to
S. 188. the search of the house, including the east bedroom on the second floor
which she said was jointly occupied by Matlock and herself. The east
MR. JUSTICE WHITE delivered the opinion of the Court. bedroom was searches, and the evidence at issue here, $4,995 in cash, was
found in a diaper
In Schneckloth v. Bustamonte, 412 U. S. 218 (1973), the Court reaffirmed
the principle that the search of property, without warrant and without Page 415 U. S. 167
probable cause,
bag in the only closet in the room. [Footnote 1] The issue came to be
Page 415 U. S. 166 whether Mrs. Graff's relationship to the east bedroom was sufficient to
make her consent to the search valid against respondent Matlock.
but with proper consent voluntarily given, is valid under the Fourth
Amendment. The question now before us is whether the evidence The District Court ruled that, before the seized evidence could be admitted
presented by the United States with respect to the voluntary consent of a at trial, the Government had to prove, first, that it reasonably appeared to
third party to search the living quarters of the respondent was legally the searching officers, "just prior to the search, that facts exist which will
sufficient to render the seized materials admissible in evidence at the render the consenter's consent binding on the putative defendant," and,
respondent's criminal trial. second, that, "just prior to the search, facts do exist which render the
consenter's consent binding on the putative defendant." There was no
I requirement that express permission from respondent to Mrs. Graff to
Respondent Matlock was indicted in February, 1971, for the robbery of a allow the officers to search be shown; it was sufficient to show her
federally insured bank in Wisconsin, in violation of 18 U.S.C. § 2113. A week authority to consent in her own right by reason of her relationship to the
later, he filed a motion to suppress evidence seized by law enforcement premises. The first requirement was held satisfied because of respondent's
officers from a home in the town of Pardeeville, Wisconsin, in which he had presence in the yard of the house at the time of his arrest, because of Gayle
been living. Suppression hearings followed. As found by the District Court, Graff's residence in the house for some time and her presence in the house
the fact were that respondent was arrested in the yard in front of the just prior to the search, and because of her statement to the officers that
Pardeeville home on November 12, 1970. The home was leased from the she and the respondent occupied the east bedroom. [Footnote 2]
owner by Mr. and Mrs. Marshall. Living in the home were Mrs. Marshall,
several of her children, including her daughter, Mrs. Gayle Graff, Gayle's The District Court concluded, however, that the Government had failed to
three-year-old son, and respondent. Although the officers were aware at satisfy the second requirement and
the time of the arrest that respondent lived in the house, they did not ask
Page 415 U. S. 168 a man and a woman. [Footnote 3] The District Court thought these items of
evidence created an "inference" or at least a "mild inference" that
had not satisfactorily proved Mrs. Graff's actual authority to consent to the respondent and Gayle Graff at times slept together in the east bedroom,
search. To arrive at this result, the District Court held that, although Gayle but it deemed them insufficient to satisfy the Government's burden of
Graff's statements to the officers that she and the respondent occupied the proof. The District Court also rejected the Government's claim that it was
east bedroom were admissible to prove the good faith belief of the officers, required to prove only that, at the time of the search, the officers could
they were nevertheless extrajudicial statements inadmissible to prove the reasonably have concluded that Gayle Graff's relationship to the east
truth of the facts therein averred. The same was true of Mrs. Graff's bedroom was sufficient to make her consent binding on respondent.
additional statements to the officers later on November 12 that she and the
respondent had been sleeping together in the east bedroom regularly, The Court of Appeals affirmed the judgment of the District Court in all
including the early morning of November 12, and that she and respondent respects. 476 F.2d 1083. We granted certiorari, 412 U.S. 917, and now
shared the use of a dresser in the room. There was also testimony that both reverse the Court of Appeals.
Gayle Graff and respondent, at various times and places and to various
persons, had made statements that they were wife and husband. These II
statements were deemed inadmissible to prove that respondent and Gayle It has been assumed by the parties and the courts below that the voluntary
Graff were married, which they were not, or that they were sleeping consent of any joint occupant of a residence to search the premises jointly
together as a husband and wife might be expected to do. Having excluded occupied is valid against the co-occupant, permitting evidence discovered
these declarations, the District Court then concluded that the remaining in the search to be used against him at a criminal trial. This basic
evidence was insufficient to prove proposition was accepted by the Seventh Circuit in this case, 476 F.2d at
1086, as it had been in prior cases, [Footnote 4] and has generally been
"to a reasonable certainty, by the greater weight of the credible evidence, applied
that, at the time of the search, and for some period of reasonable length
theretofore, Gayle Graff and the defendant were living together in the east Page 415 U. S. 170
bedroom."
in similar circumstances by other courts of appeals, [Footnote 5] and
The remaining evidence, briefly stated, was that Mrs. Graff and respondent various state courts. [Footnote 6] This Court left open, in Amos v. United
had lived together in a one-bedroom apartment in Florida from April to States, 25 U. S. 313, 25 U. S. 317 (1921), the question whether a wife's
August, 1970; that they lived at the Marshall home in Pardeeville from permission to search the residence in which she lived with her husband
August to November 12, 1970; that they were several times seen going up could "waive his constitutional rights," but more recent authority here
or down stairs in the house together; and that the east bedroom, which clearly indicates that the consent of one who possesses common authority
respondent was shown to have rented from Mr. and Mrs. Marshall, over premises or effects is valid as against the absent, nonconsenting
contained evidence that it was also lived in by person with whom that authority is shared. In Frazier v. Cupp, 394 U. S. 731,
394 U. S. 740 (1969), the Court "dismissed rather quickly" the contention
Page 415 U. S. 169 that the consent of the petitioner's cousin to the search of a duffel bag,
which was being used jointly by both men and had been left in the cousin's husband and wife. The Court of Appeals affirmed the ruling. Both courts
home, would not justify the seizure of petitioner's clothing were in error.
Page 415 U. S. 171 As an initial matter, we fail to understand why, on any approach to the
case, the out-of-court representations of respondent himself that he and
found inside; joint use of the bag rendered the cousin's authority to consent Gayle Graff were husband and wife were considered to be inadmissible
to its search clear. Indeed, the Court was unwilling to engage in the against him. Whether or not Mrs. Graff's statements were hearsay, the
"metaphysical subtleties" raised by Frazier's claim that his cousin only had respondent's own out-of-court admissions would surmount all objections
permission to use one compartment within the bag. By allowing the cousin based on the hearsay rule both at the suppression hearings and at the trial
the use of the bag, and by leaving it in his house, Frazier was held to have itself, and would be admissible for whatever inferences the trial judge could
assumed the risk that his cousin would allow someone else to look inside. reasonably draw concerning joint occupancy of the east bedroom. See 4 J.
Ibid. More generally, in Schneckloth v. Bustamonte, 412 U.S. at 412 U. S. Wigmore, Evidence § 1048 (J. Chadbourn rev.1972); C. McCormick,
245-246, we noted that our prior recognition of the constitutional validity Evidence § 262 (2d ed.1972). [Footnote 8]
of "third party consent" searches in cases like Frazier and Coolidge v. New
Hampshire, 403 U. S. 443, 403 U. S. 487-490 (1971), supported the view that As for Mrs. Graff's statements to the searching officers, it should be
a consent search is fundamentally different in nature from the waiver of a recalled that the rules of evidence normally applicable in criminal trials do
trial right. These cases at least make clear that, when the prosecution seeks not operate with full force at hearings before the judge to determine the
to justify a warrantless search by proof of voluntary consent, it is not admissibility
limited to proof that consent was given by the defendant, but may show
that permission to search was obtained from a third party who possessed Page 415 U. S. 173
common authority over or other sufficient relationship to the premises or
effects sought to be inspected. [Footnote 7] The of evidence. [Footnote 9] In Brinegar v. United States, 338 U. S. 160 (1949),
it was objected that hearsay had been used at the hearing on a challenge to
Page 415 U. S. 172 the admissibility of evidence seized when a car was searched and that
other evidence used at the hearing was held inadmissible at the trial itself.
issue now before us is whether the Government made the requisite The Court sustained the trial court's rulings. It distinguished between the
showing in this case. rules applicable to proceedings to determine probable cause for arrest and
search and those governing the criminal trial itself --
III
The District Court excluded from evidence at the suppression hearings, as "There is a large difference between the two things to be proved, as well as
inadmissible hearsay, the out-of-court statements of Mrs. Graff with between the tribunals which determine them, and therefore a like
respect to her and respondent's joint occupancy and use of the east difference in the quanta and modes of proof required to establish them."
bedroom, as well as the evidence that both respondent and Mrs. Graff, at
various times and to various persons, had represented themselves as Id. at 338 U. S. 173. That certain evidence was admitted in preliminary
proceedings but excluded at the trial -- and the Court thought both rulings
proper -- was thought merely to "illustrate the difference in standards and refusal to identify him. In the course of the opinion, we specifically rejected
latitude allowed in passing upon the distinct issues of probable cause and the claim that defendant's right to confrontation under the Sixth
guilt." Id. at 338 U. S. 174. Amendment and Due Process Clause of the Fourteenth Amendment had in
any way been violated. We also made clear that there was no contrary rule
That the same rules of evidence governing criminal jury trials are not governing proceedings in the federal courts.
generally thought to govern hearings before a judge to determine
evidentiary questions was confirmed on November 20, 1972, when the There is, therefore, much to be said for the proposition that, in proceedings
Court transmitted to Congress the proposed Federal Rules of Evidence. where the judge himself is considering the admissibility of evidence, the
Rule 104(a) provides that preliminary questions concerning admissibility exclusionary rules, aside from rules of privilege, should not be applicable;
are matters for and the judge should receive the evidence and give it such weight as his
judgment and experience counsel. [Footnote 12] However that may be,
Page 415 U. S. 174 certainly there should be no automatic rule against the reception of
hearsay evidence in such proceedings, and it seems equally clear to us that
the judge, and that, in performing this function, he is not bound by the the trial judge should not have excluded Mrs. Graff's statements in the
Rules of Evidence except those with respect to privileges. [Footnote 10] circumstances present here.
Essentially the same language on the scope of the proposed Rules is
repeated in Rule 1101(d)(1). [Footnote 11] The Rules in this respect reflect In the first place, the court was quite satisfied that the statements had, in
the general views of various authorities on evidence. 5 J. Wigmore, fact, been made. Second, there is nothing in the record to raise serious
Evidence § 1385 (3d ed.1940); C. McCormick, Evidence § 53, p. 122 n. 91 (2d doubts about the truthfulness of the statements themselves. Mrs. Graff
ed.1972). See also Maguire & Epstein, Rules of Evidence in Preliminary harbored no hostility or bias against respondent that might call her
Controversies as to Admissibility, 36 Yale L.J. 1101 (1927). statements into question. Indeed, she testified on his behalf at the
suppression hearings. Mrs. Graff responded to inquiry at the time of the
Search warrants are repeatedly issued on ex parte affidavits containing search that she and respondent occupied the east bedroom together. A
out-of-court statements of identified and unidentified persons. United few minutes later, having led the officers to the bedroom, she stated that
States v. Ventresca, 380 U. S. 102, 380 U. S. 108 (1965). An arrest and she and respondent shared the one dresser in the room and that the
search without a warrant were involved in McCray v. Illinois, 386 U. S. 300 woman's clothing in the
(1967). At the initial suppression hearing, the police proved probable cause
for the arrest by testifying to the out-of-court statements of an Page 415 U. S. 176
unidentified informer. The Government would have been obligated to
produce the informer and to put him on the stand had it wanted to use his room was hers. Later the same day, she stated to the officers that she and
testimony at defendant's trial, but we sustained the use of his out-of-court respondent had slept together regularly in the room, including the early
statements at the suppression hearing, as well as the Government's morning of that very day. These statements were consistent with one
another. They were also corroborated by other evidence received at the
Page 415 U. S. 175 suppression hearings: Mrs. Graff and respondent had lived together in
Florida for several months immediately prior to coming to Wisconsin,
where they lived in the house in question and where they were seen going IV
upstairs together in the evening; respondent was the tenant of the east It appears to us, given the admissibility of Mrs. Graff's and respondent's
bedroom, and that room bore every evidence that it was also occupied by a out-of-court statements, that the Government sustained its burden of
woman; respondent indicated in prior statements to various people that he proving by the preponderance of the evidence that Mrs. Graff's voluntary
and Mrs. Graff were husband and wife. Under these circumstances, there consent to search the east bedroom was legally sufficient to warrant
was no apparent reason for the judge to distrust the evidence and to admitting into evidence the $4,995 found in the diaper bag. [Footnote 14]
exclude Mrs. Graff's declarations from his own consideration for whatever But we prefer that the District Court
they might be worth in resolving, one way or another, the issues raised at
the suppression hearings. If there is remaining doubt about the matter, it Page 415 U. S. 178
should be dispelled by another consideration: cohabitation out of wedlock
would not seem to be a relationship that one would falsely confess. first reconsider the sufficiency of the evidence in the light of this decision
Respondent and Gayle Graff were not married, and cohabitation out of and opinion. The judgment of the Court of Appeals is reversed, and the
wedlock is a crime in the State of Wisconsin. [Footnote 13] Mrs. Graff's case is remanded to the Court of Appeals with directions to remand the
statements were against her penal interest, and they carried their own case to the District Court for further proceedings consistent with this
indicia of reliability. This was sufficient in itself, we think, to warrant opinion.
admitting them to evidence for consideration by the trial judge. This
So ordered.
Page 415 U. S. 177
[Footnote 1]
is the case even if they would be inadmissible hearsay at respondent's trial
either because statements against penal interest are to be excluded under There were other seizures in the house and the east bedroom on November
Donnelly v. United States, 228 U. S. 243, 228 U. S. 272-277 (1913), or 12, but none of them is at issue here.
because, if Rule 804(b)(4) of the proposed Federal Rules of Evidence
becomes the law, such declarations would be admissible only if the [Footnote 2]
declarant is unavailable at the time of the trial.
Mrs. Graff was not advised that she had a right to refuse to consent to the
Finally, we note that Mrs. Graff was a witness for the respondent at the search. The District Court expressed no view as to whether the absence of
suppression hearings. As such, she was available for cross-examination, such advice would render her consent invalid, since it found that her
and the risk of prejudice, if there was any, from the use of hearsay was consent, however voluntary, would not bind the respondent with regard to
reduced. Indeed, she entirely denied that she either gave consent or made the search of his room. Schneckloth v. Bustamonte, 412 U. S. 218 (1973),
the November 12 statements to the officers that the District Court has since made clear, of course, that it is not essential for the prosecution
excluded from evidence. When asked whether, in fact, she and respondent to show that the consenter knew of the right to refuse consent in order to
had lived together, she claimed her privilege against self-incrimination and establish that the consent was voluntary.
declined to answer.
[Footnote 3]
E.g., People v. Howard, 166 Cal.App.2d 638, 651, 334 P.2d 105, 114 (1958);
When the officers searched the east bedroom, two pillows were on the People v. Gorg, 45 Cal.2d 776, 783, 291 P.2d 469, 473 (1955); People v.
double bed, which had been slept in, men's and women's clothes were in Haskell, 41 Ill.2d 25, 28-29, 241 N.E.2d 430, 432 (1968); People v. Walker, 34
the closet, and men's and women's clothes were also in separate drawers of Ill.2d 23, 27-28, 213 N.E.2d 552, 555 (1966); Commonwealth ex rel. Cabey v.
the dresser. Rundle, 432 Pa. 466, 248 A.2d 197 (1968); State v. Cairo, 74 R.I. 377, 385-
386, 60 A.2d 841, 845 (1948); Burge v. State, 443 S.W.2d 720, 722-723
[Footnote 4] (Ct.Crim.App. Tex.), cert. denied, 396 U.S. 934 (1969).
E.g., United States v. Stone, 471 F.2d 170, 173 (1972), cert. denied, 411 U.S. [Footnote 7]
931 (1973); United States v. Wixom, 441 F.2d 623, 624-625 (1971); United
States v. Airdo, 380 F.2d 103, 106-107, cert. denied, 389 U.S. 913 (1967). Common authority is, of course, not to be implied from the mere property
Each of these cases cited with approval United States v. Sferas, 210 F.2d interest a third party has in the property. The authority which justifies the
69, 74 (CA7), cert. denied sub nom. Skally v. United States, 347 U.S. 935 third-party consent does not rest upon the law of property, with its
(1954), which expressed the rule attendant historical and legal refinements, see Chapman v. United States,
365 U. S. 610 (1961) (landlord could not validly consent to the search of a
"that, where two persons have equal rights to the use or occupation of house he had rented to another), Stoner v. California, 376 U. S. 483 (1964)
premises, either may give consent to a search, and the evidence thus (night hotel clerk could not validly consent to search of customer's room),
disclosed can be used against either." but rests rather on mutual use of the property by persons generally having
joint access or control for most purposes, so that it is reasonable to
[Footnote 5] recognize that any of the co-inhabitants has the right to permit the
inspection in his own right, and that the others have assumed the risk that
E.g., United States v. Ellis, 461 F.2d 962, 967-968 (CA2), cert. denied, 409 one of their number might permit the common area to be searched.
U.S. 866 (1972); United States v. Cataldo, 433 F.2d 38, 40 (CA2 1970), cert.
denied, 401 U.S. 977 (1971); United States ex rel. Cabey v. Mazurkiewicz, [Footnote 8]
431 F.2d 839, 842-843 (CA3 1970); United States v. Thompson, 421 F.2d 373,
375-376 (CA5), vacated on other grounds, 400 U. S. 17 (1970); Gurleski v. Rule 801(d)(2)(A) of the proposed Federal Rules of Evidence, approved by
United States, 405 F.2d 253, 260-262 (CA5 1968), cert. denied, 395 U.S. 981 the Court on November 20, 1972, and transmitted to Congress, expressly
(1969); Wright v. United States, 389 F.2d 996, 998-999 (CA8 1968); Roberts provides that a party's own statements offered against him at trial are not
v. United States, 332 F.2d 892, 894-898 (CA8 1964), cert. denied, 380 U.S. hearsay.
980 (1965); United States v. Wilson, 447 F.2d 1, 5-6 (CA9 1971); Nelson v.
California, 346 F.2d 73, 77 (CA9) , cert. denied, 382 U.S. 964 (1965); Burge v. [Footnote 9]
United States, 342 F.2d 408, 413 (CA9), cert. denied, 382 U.S. 829 (1965).
Bridges v. Wixon, 326 U. S. 135, 326 U. S. 153-154 (1945), upon which
[Footnote 6] respondent and the Court of Appeals relied, involved the use of hearsay as
substantive evidence bearing on the question of Bridges' membership in
the Communist Party, a charge upon which a deportation order had been C. McCormick, Evidence § 53, p. 122 n. 91 (2d ed.1972).
based. In addition to the fact that the use of unsworn, unsigned statements
violated the rules of the Board of Immigration Appeals, the evidence was [Footnote 13]
admitted to prove charges which directly jeopardized "the liberty of an
individual," id. at 326 U. S. 154, and not for the purpose of determining a Wis.Stat. § 944.20 (1971) provides:
preliminary question of admissibility, as in this case.
"Whoever does any of the following may be fined not more than $500 or
[Footnote 10] imprisoned not more than one year in county jail or both: . . . (3) Openly
cohabits and associates with a person he knows is not his spouse under
Rule 104(a) provides: circumstances that imply sexual intercourse."
Rule 1101(d)(1) provides: The Government also contends that the Court of Appeals imposed an
unduly strict standard of proof on the Government by ruling that its case
"Rules inapplicable. The rules (other than those with respect to privileges) must be proved "to a reasonable certainty, by the great weight of the
do not apply in the following situations:" credible evidence." But the District Court required only that the proof be by
the greater weight of the evidence, and the Court of Appeals merely
"(1) Preliminary questions of fact. The determination of questions of fact affirmed the District Court's judgment. There was an inadvertence in
preliminary to admissibility of evidence when the issue is to be determined articulating the applicable burden of proof, but it seems to have been
by the judge under Rule 104(a)." occasioned by a similar inadvertence by the Government in presenting its
case. In any event, the controlling burden of proof at suppression hearings
[Footnote 12] should impose no greater burden than proof by a preponderance of the
evidence. See Lego v. Twomey, 404 U. S. 477, 404 U. S. 488-489 (1972). We
"Should the exclusionary law of evidence, 'the child of the jury system' in do not understand the Government to contend that the standard employed
Thayer's phrase, be applied to this hearing before the judge? Sound sense by the District Court was in error, and we have no occasion to consider
backs the view that it should not, and that the judge should be empowered whether it was.
to hear any relevant evidence, such as affidavits or other reliable hearsay."