The central issue on appeal is whether any remedy is available to defendant, who detrimentally relied on a police promise not to prosecute him, which promise was broken. In this case, the police promised defendant that he would not be prosecuted as an habitual felon if defendant gave information relevant to his involvement in five break-ins. Based on this offer, defendant provided police with self-incriminating statements pertinent to the break-ins. Subsequently, the State refused to honor the bargain. Defendant was indicted and con victed on five counts of breaking or entering and larceny as an habitual felon. At trial, defendant’s statements to police were received in evidence as part of the State’s case.
We hold that a remedy exists to cure a broken police nonprose-cution promise, when that promise induces detrimental reliance by a defendant in derogation of his constitutional rights, and fundamental fairness requires the fashioning of a curative remedy. Since defendant reasonably relied on police promises not to prosecute, and those promises were disregarded by the State, we hold that traditional notions of substantial justice and fair play, as well as defendant’s substantive due process rights, mandate a new trial, and suppression of defendant’s confession. We also conclude, independent of constitutional issues, that suppression is warranted by N.C. Gen. Stat. §§ 15A-1021, -974 (1988) (statutes concerning the conduct of governmental officers in criminal matters).
The State’s evidence at trial tended to show the following facts. On 13 January 1994, Lieutenant Barry Carter and Detective Greg Moore of the City of Eden Police Department arrested defendant on an outstanding warrant for felonious breaking or entering and larceny. The detectives transported defendant to the police department and advised defendant of his
Miranda
rights. Next, Detective Moore began a custodial interrogation. Detective Moore told defendant that several break-ins had occurred in the old Leaksville area of Eden, that the police had overwhelming evidence against him, and that he was going to be charged with those break-ins
According to defendant, Detective Moore told him that if defendant did not provide requested information, the police would “jack[] the bond up” so that defendant would have to stay in jail, and would not be able to have surgery performed on a previously injured hand. Defendant then indicated the only statement he wanted to make was that he did not commit any of the crimes. Defendant made this statement orally and in writing. At this point, Detective Moore terminated questioning and got up to leave the room.
As Detective Moore started to leave the room, the State’s evidence indicates that defendant asked “what would be in it for him” if he provided information regarding the break-ins. Defendant testified “[t]hey said they would not charge me with the habitual felon [sic]” if he signed such a statement. Detective Moore then described the location of the break-ins and asked defendant to tell him about each one. Lieutenant Carter transcribed defendant’s descriptions of how he broke into each location and what he took. Defendant signed the second statement, confessing to participation in the break-ins.
Defendant raises six assignments of error on appeal. However, since we find the issues raised in defendant’s first assignment of error dispositive, we do not reach any other issues posed by defendant. Defendant’s first assignment of error addresses the trial court’s refusal to quash the indictment against him for being an habitual felon. Defendant argues the State should be bound by the promises made to him by police, as defendant relied on those promises by relinquishing his constitutional rights. Accordingly, defendant argues the trial court should have quashed the habitual felon indictment. We agree defendant is entitled to a remedial cure for the abrogation of the nonprosecution agreement. However, we do not agree that the proper remedy is specific performance. Instead, we hold that defendant is entitled to a remedy which returns him to the status quo ante, because of defendant’s detrimental reliance on the promises of the police, which resulted in violation of defendant’s due process rights. Since the State admitted defendant’s confession in evidence at trial, no remedy short of suppression suffices to accomplish this goal.
By detrimental reliance, we mean that defendant has shown such actual reliance on police nonprosecution promises that a fair trial was not possible,
State v. Bogart,
Defendant’s due process argument has, as its genesis, the following colloquy between the prosecution and the police:
[Police witness]: Obviously I told him that we were not able to promise him anything, nor was anybody in a higher position able to promise him anything. I told him that I knew his record. I had run a criminal history on him. I told him that he would probably qualify as an habitual felon. And all that I could tell him, if he told the truth and helped us get back as much of the stolen property as we could that we would not seek to indict him as a habitual felon.
.[Prosecutor]: You mentioned about if he told you the truth and helped to get the property back, you mentioned something about him not being charged as an habitual felon?
[Police Witness]: I told him that I would not seek an indictment as an habitual felon if he told the truth and helped to get as much of the stolen property as we could.
[Prosecutor]: Did you promise that he would not be indicted as an habitual felon?
[Police Witness]: No, sir, I just told him that I would not do it.
(Emphasis added.) Defendant maintains the State, “as a matter of sound judicial policy,” should be bound by Detective Moore’s bargain with defendant. Defendant’s argument has particular force, because defendant’s confession was offered in evidence by the State at trial. This is a case of first impression because defendant does not argue in this
Our Supreme Court addressed a somewhat similar issue in
State v. Collins,
Later the same day, at a probable cause hearing on the felony charges, a different assistant district attorney refused to honor the existing plea agreement, based on his opinion that the plea bargain was inappropriate, and he had not been consulted. The defendant was subsequently indicted on the felony charges, pled not guilty, and the case went to trial. The defendant’s motion to dismiss, for failure of the State to abide by the plea negotiation, was denied. The defendant was found guilty and imprisoned.
Recognizing the
Collins
case as one of first impression, our Court relied on the decision in
Santobello v. New York,
“must be attended by safeguards to insure the defendant what is reasonably due in the circumstances. Those circumstances will vary, but a constant factor is that when a plea rests in any significant degree on a promise or agreement of the prosecutor, so that it can be said to be part of the inducement or consideration, such promise must be fulfilled.”
Collins,
The Court further elaborated that, “[w]hen viewed in light of the analogous law of contracts, it is clear that plea agreements normally arise in the form of unilateral contracts. The consideration given for the prosecutor’s promise is not [the] defendant’s corresponding promise to plead guilty, but rather is [the] defendant’s actual performance by so pleading.”
Id.
at 149,
Our Courts have relied on
Collins
in subsequent cases which have raised the issue of plea bargain enforceability, when the State has withdrawn its promise, or reneged on its end of the bargain.
See, e.g., State v. Isom,
The principles set forth in Collins and its progeny are equally applicable to the instant case. However, we note two distinguishing factors: (1) the promise made to defendant was not in the context of plea negotiations, but rather was made during police interrogation; and (2) a police detective, rather than the prosecutor, made the so-called “nonprosecution agreement” with defendant. We address each of these factors separately.
Promises Made Outside The Pt.ea Bargaining Context
Certain interrogation techniques are so offensive to a civilized system of justice that they must be condemned under the Fourteenth Amendment’s Due Process Clause.
See, e.g., Miller v. Fenton,
The
Collins
decision is an affirmation that, when a defendant “takes . . . action constituting detrimental reliance upon [an] agreement,”
Collins,
Numerous decisions by the United States Circuit Courts and state courts have extended due process and attendant contract principles to plea promises outside of the traditional context. For instance, in
United States v. Carter,
The solution [to this problem] does not lie in formalisms about the express, implied or apparent authority of one United States Attorney, or his representative, to bind another United States Attorney and thus visit a sixteen year sentence on a defendant in violation of a bargain he fully performed. There is more at stake than just the liberty of this defendant. At stake is the honor of the government [and] public confidence in the fair administration of justice . . . .”
Id. at 428.
Federal courts have repeatedly enforced non-plea agreement promises of nonprosecution, or other concessions, made by agents of the Drug Enforcement Administration or the Federal Bureau of Investigation, without evidence that a United States Attorney or the Attorney General had delegated them authority to make such a promise.
See United States v. Carrillo,
Other state courts have arrived at conclusions identical to those at the federal level. In
People v. Gallego,
We hold that promises not to prosecute a defendant made during a police interrogation, in return for a defendant’s confession, deserve the same scrutiny under contract and due process principles as promises made in the context of plea bargains. In so holding, we follow the great weight of authority, and the more reasoned approach, in this nation’s state and federal jurisdictions.
Promises Made By The City Of Eden Police Detectives
As we previously observed, principles of ordinary contract law (by analogy) and due process govern the enforcement of promises made in the plea bargain context.
Collins,
In North Carolina, law enforcement officers have no independent authority to make prosecutorial decisions. “Our Constitution expressly provides that: ‘The District Attorney shall... be responsible for the
prosecution
on behalf of the State of
all
criminal actions
in the Superior Courts of his district
State v. Camacho,
This determination necessarily raises the issue of whether any authority existed to bind the State to Detective Moore’s promise to defendant. This question is troublesome under the facts of this case, in light of Detective Moore’s deliberately ambiguous statements to defendant, that if defendant would tell the truth and help retrieve stolen property, “I would not seek to indict him as a habitual felon,” and “we would not seek to indict him as a habitual felon.” At the suppression
[Prosecutor]: Did you promise [defendant] anything if he made those statements?
[Detective Moore]: No, sir.
It does not appear from the record that Detective Moore had actual authority from the prosecutor to make these promises to defendant. Therefore, in order to hold the State to these promises under an agency theory, Detective Moore had to have acted under the apparent authority of the State.
See Plaster v. United States,
Based on the record, we do not find the District Attorney’s office in Rockingham County held police detectives out, as possessing any authority to enter nonprosecution agreements with suspects, in return for making a confession.
See People v. Dandridge,
However, lack of an agency relationship between the Eden Police, and the District Attorney’s office, does not mean defendant in the instant case is without remedy. As the
Collins
Court made clear, the paramount consideration in a plea bargain context is whether defendant has changed position in a fashion “constituting detrimental reliance upon the arrangement.”
Collins,
It is inescapable that broken promises made to a defendant by the police, if relied on to the constitutional detriment of that defendant, mandate relief by our courts. The appropriate consideration, as we see it, is not the power of the police to bind the office of a North Carolina district attorney, but rather
the scope of a defendant’s due process right to enforce a governmental promise not to use evidence against him, upon which he detrimentally relied in furnishing incriminating evidence to police.
Fisher,
The State maintains this case “is disposed of by
State v. Richardson,”
Richardson was wanted for various offenses in Tennessee and North Carolina and was arrested and charged initially in Tennessee.
Id.
at 596-97,
The North Carolina trial court found that no such inducement or “offer of hope and reward” had ever been given Richardson. The trial court found that “in fact, the Defendant was told prior to his [confession to Tennessee authorities] that the District [Attorney in North Carolina would prosecute him.”
Id.
at 511,
In short, the State’s argument here is an attempt to square the instant facts with those in Richardson. This attempt is not persuasive for two reasons. First, the dispositive facts in this case are dramatically different. Second, defendant does not argue the confession was involuntary in this assignment of error. Instead, defendant argues the State should be “bound by the representations of the investigating officer,” which induced defendant’s detrimental reliance, and so, the State should not have been able to utilize the ill-gotten “fruits of the [police] representation” to prosecute the defendant.
The promises made to Richardson were completely different from the ones at issue here. Richardson was told by police
the specifics of the charges against him, the range of punishment, and the effect of his cooperation. He was informed that the officers had no authority to make any arrangements concerning the charges against him and that Tennessee authorities had no control over what other states might do concerning crimes within their jurisdiction.
Richardson,
Richardson’s facts stand in stark contrast to the facts at hand. Detective Moore’s promise that “I would not seek an indictment as an habitual felon if [defendant] told the truth and helped get back as much of the stolen property as we could” was deceptive and designed to extract incriminating information. The true purpose of the police, in making these promises, is transparent. That purpose was to extract a confession without the hindrance of constitutional guarantees due defendant. However, constitutional due process is not some abstract concept, easily evaded by tactics of “plausible deniability” or the semantic use of double entendre. Within our concept of a civilized, ordered liberty,
[g]ovemmental officials, especially where constitutional rights are involved, may not make broad promissory representations to an accused and then seek to attribute anarrow scope or significance to these promises in an effort to escape resulting obligations.
Fisher,
Moreover, we do not find the
Richardson
confession analysis applicable to the instant facts. In
Richardson,
the defendant argued “his confession was involuntary because it was the product of fear
induced by threats and of promises of leniency if he cooperated.”
Richardson,
Lack of voluntariness is not the defendant’s argument in the assignment of error under review. Instead, defendant argues the police officer’s promise implicates the due process clauses of the United States and North Carolina Constitutions, because defendant took detrimental actions in reasonable reliance upon the promises of the police. U.S. Const. Amend. XIV; N.C. Const, art. I, § 19 (the Law of the Land Clause). A police officer’s promise is just as capable of implicating defendant’s constitutional rights as a promise made by a prosecutor, once the right to counsel has attached or custodial interrogation has begun.
See, e.g., Brewer v. Williams,
The detrimental actions taken by defendant in the instant case include relinquishment of his Fifth Amendment right against self-incrimination and his Sixth Amendment right to counsel.
People v. Manning,
Similarly, defendant’s right to counsel was implicated by Detective Moore’s promises. In
Massiah,
In this case, the police officer involved had no authority to make the promise in question. However, distinctions between the authority of the police and that of the prosecutor mean little to a defendant negotiating with a government officer. The preeminent consideration is not whether the police had the authority to make the promise, but whether the promise was in fact made.
Palermo v. Warden,
In Brady v. United States,
Defendant’s confession fails the knowing and intelligent requirements discussed in Brady, which, in turn, leads us to conclude that this defendant’s reliance was reasonable. The confession in this case was made in response to a fraudulent police promise. The record demonstrates that stolen articles were recovered as a result of defendant’s confession and that defendant performed his side of the agreement. (We note the record belies the State’s assertion in its brief that “defendant did not uphold his end of the agreement.”) However, the police could not perform on the promise made defendant. As such, defendant’s confession was not a “knowing intelligent [act] done with sufficient awareness of the relevant circumstances.” Id. Brady makes it clear that confessions must be both voluntary, and intelligent, to pass constitutional muster. Id. These two requirements are independent and of equal importance to a due process analysis. Id.
North Carolina’s case law is in accord with
Brady’s
requirements. Our courts have adopted a “totality of the circumstances” test to assess the constitutionality of confessions challenged on voluntariness or knowledgeable/intelligent waiver grounds.
State v. Reese,
“[W]e have never read the Constitution to require that the police supply a suspect with a flow of information to help him calibrate his self interest.... [However, the defendant must be] aware of the state’s intention to use his statements to secure a conviction . . . .”
Reese,
In
Jackson,
the North Carolina Supreme Court addressed police misrepresentation and trickery as it relates to the voluntariness of a confession.
Jackson,
In making its final determination that the
Jackson
confession was voluntary, the Court noted that police deception, accompanied by other circumstances, might render a similar confession involuntary. Those contrary factors included: “trick[ery] about . . . possible punishment,” and “promises ... made to him in return for his confession.”
Id.
at 582,
The
Jackson
dissent’s applicability to the case at hand is patent, as it emphasizes: “[E]ven if . . . defendant’s confession is reliable under all the circumstances, the methods of interrogation utilized are so fundamentally unfair as to deny defendant due process of law under the rationales, if not the holdings, of a number of United States Supreme Court decisions . . . .”
Id.
at 602,
Jackson’s force in the instant due process analysis is seminal. Defendant here was in custody. Under our facts, we must assume Justice Mitchell would have joined the Jackson dissenters, making that side of the opinion a 4-3 majority. If the “fundamentally unfair” interrogation in Jackson resulted in the denial of due process to the defendant, it is obvious the police promises here also involved intolerable conduct. For here, the only conceivable purpose of the police conduct was to avoid constitutional protections due defendant.
Had defendant known the police promises were a product of bad faith or fraud, it is unlikely the defendant would have relinquished his constitutional rights. When a promise is made by police to an individ
ual, in exchange for a confession, the standards of substantive due process prohibit the State from “welshing” on the bargain.
See
Westen & Westin,
A Constitutional Law of Remedies for Broken Plea Bargains,
66 Cal. L. Rev. 471, 524 (1978). In the final analysis, we are left with the conclusion that the trial court erred as a matter of law in its decision to deny defendant’s request for suppression of the confession. The pith of the trial court’s denial exists in its findings that “[n]o promises and no offer of reward” were made to defendant. The record is manifestly to the contrary. The statements of Detective Moore, both in the record and the State’s brief, indicate promises were made to defendant. The trial court’s due process analysis is thus legally insufficient, as it failed to apply the principles of
Collins
and
Santobello,
as interpreted herein, to the evidence. The police promises had no purpose, other than to cause a “change of position by [defendant] constituting detrimental reliance on the arrangement.”
Collins,
In addition to any remedy mandated by due process, the police conduct here affords defendant a statutory remedy as well. N.C. Gen. Stat. § 15A-1021(b) (1988) mandates:
No person representing the State or any of its political subdivisions may bring improper pressure upon a defendant to induce a plea of guilty or no contest.
Though § 15A-1021(b) provides no express remedy, its statutory partner, N.C. Gen. Stat. § 15A-974 (1988) does. Section 15A-974 creates a decisive remedy for violations of § 15A-1021(b), and in pertinent part, provides as follows:
§ 15A-974. Exclusion or suppression of unlawfully obtained evidence.
Upon timely motion evidence must be suppressed if:
(2) It is obtained as a result of a substantial violation of the provisions of this Chapter [the Criminal Procedure Act]. In determining whether a violation is substantial, the court must consider all the circumstances, including:
a. The importance of the particular interest violated;
b. The extent of the deviation from lawful conduct;
c. The extent to which the violation was willful;
d. The extent to which exclusion will tend to deter future violations of this Chapter. (Emphasis added.)
As we have previously spoken at length to the constitutional issues involved in this case, a prolonged application of § 15A-974 to the instant facts would be a redundancy.
Accord State v. Reed,
The last inquiry necessary to our resolution of this matter involves the determination of an appropriate remedy. Defendant maintains the State “should be bound by the representations of the investigating officer.” We disagree. In cases such as this, involving defendant’s reasonable and detrimental reliance upon a governmental promise, the question of remedy ultimately turns on what type of relief will accord defendant substantial justice.
See, e.g., Manning,
Because defendant furnished information to the police after a promise was made, the remedy which accords substantial justice to defendant is that which returns him to his position prior to the confession. Thus, since suppression or exclusion of the confession cures defendant’s detrimental reliance, specific performance is unwarranted. Moreover, we are not required, as a result of the “constable’s blunder,” to place defendant in a better position than he enjoyed prior to making the agreement with the police. We are not alone in our decision to deny specific performance of an unauthorized, nonprosecution agreement to facts like those at hand.
Gallego
II,
Anything less than suppression under these circumstances would “not approximate the substantial justice which the Due Process Clause guarantees to an accused.”
Fisher,
“Our numerous precedents ordering the exclusion of such illegally obtained evidence assume implicitly that the remedy does not extend to barring the prosecution altogether. So drastic a step might advance marginally some of the ends served by the exclusionary rules, but it would also increase to an intolerable degree interference in having the guilty brought to book.”
Gallego
II,
We do not mean to imply that specific performance will never be available when police promises result in detrimental reliance by a defendant inducing relinquishment of constitutional rights. Instead, we adopt the most neutral remedy available, suppression, which returns all parties to the
status quo ante.
As it is our intent to return all parties to their pre-confession position, any evidence arising from the wrongful confession is also
Accordingly, we order that defendant be granted a new trial on all charges. The confession and evidence arising therefrom are suppressed.
New trial.
