Lead Opinion
Reversed and remanded by published opinion. Judge WILLIAMS wrote the majority opinion, in which Chief Judge WILKINSON and Judges RUSSELL, WIDENER, WILKINS, NIEMEYER, HAMILTON, and LUTTIG joined. Judge MICHAEL wrote a concurring opinion. Judge MOTZ concurred in part III of the opinion and in the judgment. Judge HALL wrote a dissenting opinion. Judge MURNAGHAN wrote a dissenting opinion.
OPINION
James Braxton purchased twenty-nine guns within the span of eight weeks in late 1993. In July 1994, after learning of Braxton’s series of gun purchases, the Bureau of Alcohol, Tobacco & Firearms (ATF) initiated an investigation. In August 1994, ATF Special Agent Kay Poynter and West Virginia State Trooper Tom Ballard interviewed Braxton about the gun purchases. The interview, which took place around the kitchen table in Braxton’s mother’s home, lasted about an hour. During the interview, Braxton made what amounted to a confession. Braxton subsequently was indicted by a grand jury sitting in Charleston, West Virginia, on seven counts of knowingly making false statements in connection with the purchase of firearms in violation of 18 U.S.C.A § 924(a)(1)(A) (West Supp.1997). Prior to trial, he moved to suppress the statement he made during the interview with Agent Poynter and Trooper Ballard. The district court granted Braxton’s motion, determining that the statement was involuntary and ordering that it be suppressed. We granted en banc review оf this case to consider the Government’s appeal of the district court’s order. For the reasons that follow, we hold that Braxton’s statement was voluntary and that the district court erred in suppressing it. Accordingly, we reverse.
I.
Through the receipt of several firearms forms, ATF agents discovered that Braxton had purchased multiple firearms. ATF Special Agent Kay Poynter attempted to locate Braxton so that she could question him about the purchases. After failing to locate him, she asked West Virginia State Trooper Tom Ballard to assist her. Ballard contacted Braxton on August 4,1994, told Braxton that he and an ATF agent wanted to talk with him about his firearms purchases, and asked Braxton if he would meet them at the local police station. Braxton declined to meet them at the police station, but suggested that
Arriving at Braxton’s mother’s home for the interview, the law enforcement officers displayed their badges to Braxton and explained that they “needed” to talk to him about his firearm purchases. Braxton permitted them to enter the home and invited them to sit at the kitchen table. Braxton’s mother’s boyfriend was initially present in the home and shortly after he left, Braxton’s sister arrived. The officers did not inform Braxton of his right to remain silent, nor did they tell him that he was required to answer their questions. During the interview, Braxton admitted that he had purchased firearms for a third party. He also complied with the officers’ request that he provide them with a picture of himself.
The district court enunciated three independent rationales for finding that Braxton’s statement should be suppressed as involuntary. First, the district court held that the confession was involuntary because Agent Poynter and Trooper Ballard told Braxton that they “needed” to talk to him, rather than that they “would like” to talk to him. As support for this holding, the district court determined that Braxton’s “comment that he felt intimidated in the presence of the two law enforcement officers was a credible statement.” (J.A. at 160.) Second, the district court found that Trooper Ballard told Braxton “that he was not ‘coming clean’ and that he could face five years jail time as a result.” (J.A. at 161.) The district court construed this statement to be both a threat and an implied promise, and concluded that the Trooper’s statement rendered Braxton’s confession involuntary. Finally, the distriсt court held that the confession was involuntary because Agent Poynter and Trooper Ballard failed “to advise [Braxton] as to why they ‘needed’ to question him or tell him of the possible consequences he faced as a result of answering their questions.” (J.A. at 161.) Although the district court acknowledged that Braxton was not in custody, the court nevertheless concluded that his statement was involuntary.
II.
The admissibility of Braxton’s statement turns on whether the statement was voluntary under the Fifth Amendment which guarantees that “[n]o person ... shall be compelled in any criminal case to be a witness against himself ... without due process of law.” U.S. Const, amend. V; accord Malloy v. Hogan,
The mere existence of threats, violence, implied promises, improper influence, or other coercive police activity, however, does not automatically render a confession involuntary. The proper inquiry “is whether the defendant’s will has been ‘overborne’ or his ‘caрacity for self-determination critically impaired.’” United States v. Pelton, 835
To determine whether a defendant’s will has been overborne or his capacity for self-determination critically impaired, courts must consider “the ‘totality of the circumstances,’ including the characteristics of the defendant, the setting of the interview, and the details of the interrogation.” Pelton,
A.
First, the distriсt court erred in determining that the officers unlawfully interrogated Braxton because they told him when they arrived at his mother’s home “that they ‘needed’ to ask him some questions, rather than saying they “would like’ to ask him some questions, because of the insinuation that if they ‘needed to ask,’ [Braxton] ‘needed to answer.’ ” (J.A. at 160.) The officers’ use of the colloquial phrase “we need to talk to you” simply does not constitute coercive police conduct. The district court’s determination that the statement obligated Braxton to answer their questions is unwarranted. There is absolutely no evidencе that the officers told Braxton that he was obligated to speak with them. Indeed, the district court itself expressly determined that the officers did not tell Braxton that he was required to answer their questions.
The district court also stated that it “observed [Braxton’s] demeanor while he was testifying and concluded that his comment that he felt intimidated in the presence of the two law enforcement officers was a credible statement.” (J.A. at 160.) Although we usually decline to overturn a district court’s factual determination founded on a witness’s demeanor and credibility, see United States v. Locklear,
B.
Second, the district court erred in determining that Trooper Ballard’s “you’re not coming clean” statement constituted coercive police conduct that rendered the confession involuntary. In coming to this con
Officer Ballard said if — he stated, “If you’re not coming clean, you can, you can get five, you know, you can do five years because you’re not coming clean.” He kept on saying, “You’re not coming clean, you’re not coming clean.”
(J.A. at 120.) Based on this testimony, the district court held that Trooper Ballard’s statement to Braxton that he could face five years in jail was both a threat and an implied promise.
The Government argues
that informing a suspect that he faces jail time or a reference to the maximum penalty for the offense does not render a confession involuntary. See, e.g., United States v. Sablotny,21 F.3d 747 , 752-53 (7th Cir. 1994) (suspect thrеatened with specter of jail); United States v. Mendoza-Cecelia,963 F.2d 1467 , 1475 (11th Cir.1992) (suspect was advised that he faced ten years in jail). A suggestion to [a] defendant that he “come clean” is more truthful than coercive.
(Appellant’s Br. at 8.) We have previously stated that “ ‘a law enforcement officer may properly tell the truth to the accused.’ ” Pelton,
Braxton contends that Trooper Ballard’s statement “that you can do five years because you’re not coming clean” was not a truthful statement because he presently faces five years because he did “come clean,” i.e., because he confessed to making false statements on firearms records, and, as a result, was indicted. Even if Trooper Ballard’s statement was not an accurate appraisal of the potential consequences of making a falsе statement on a firearms record, it was a truthful statement about the potential consequences of making a false statement to law enforcement officers during an investigatory interview. See 18 U.S.C.A. § 1001 (West Supp.1997) (stating that maximum statutory penalty for making false statements is five years). Admonishing a suspect to tell the truth during an investigatory interview by informing him of the statutory penalty under 18 U.S.C.A. § 1001 for making false statements does not constitute coercive police conduct rendering a statement involuntary. See Rivers v. United States,
Braxton argues that whether construed as a reference to the five-year penalty for making false statements on a firearms record, or as a reference to the five-year penalty for making false statements to law enforcement officers during an investigatory interview, Trooper Ballard’s “coming clean” statement was misleading because his was not “the whole truth.” Ballard’s statement was not the “whole truth,” Braxton contends, because, after admonishing Braxton to “come clean,” Ballard failed to inform Braxton that he had the right, under the Fifth Amendment, to refuse to speak. Whenever a law enforcement officer suggests to a suspect that he tell the truth or face consequences, Braxton argues, he must also inform the suspect that he has the right to remain silent. Because Trooper Ballard failed to give suсh a warning, Braxton contends, the statement was coercive and rendered Braxton’s confession involuntary.
Braxton’s argument is far-reaching. It would, in effect, require Miranda warnings
The district court also found that Trooper Ballard’s statement constituted an implied promise that “if you ‘come clean,’ you will not be prosecuted.” Specifically, the district court stated that Braxton “could easily have inferred from the statement that if he did ‘come clean’ he would not face jail time and that answering the questions could be to his benefit.” (J.A. at 161.) Again, we disagree. A law enforcement officer’s admonishment to a suspect during an investigatory interview to tell the truth or face consequences is simply not an implied promise of non-prosecution. The district court clearly erred in drawing that implication from Trooper Ballard’s statement.
Even if the district court did not err in determining that Trooper Ballard’s statement was both a threat and an implied promise, the court erred in concluding that the mere existence of the threat and implied promise rendered Braxton’s confession involuntary. The existence of a threat or an implied promise does not automatically render a confеssion involuntary. The proper inquiry is whether the confession was “extracted” by the threats or implied promises, “however slight.” See Hutto,
Here, considering the totality of the circumstances, Trooper Ballard’s statement to Braxton that he could face five years in jail was neither a threat that overpowered Braxton’s will to resist, nor an implied promise that he could not refuse. Cf. United States v. Sablotny,
C.
Third, the district court erred in determining thаt Braxton’s confession was involuntary because the officers failed to tell
After thoroughly reviewing the circumstances surrounding the interview at Braxton’s mother’s house, we can find no evidence that Agent Poynter or Trooper Ballard used any technique or method that would offend due process. The officers did not harm or threaten to harm Braxton if he did not answer their questions. See, e.g., Beecher v. Alabama,
III.
In addition to erring under all three of these specific rationales, the district court also erred by failing to consider the “totality of the circumstances.” Cf. United States v. Dodier,
At oral argument, instead of considering the totality of the circumstances, counsel for Braxton focussed on Trooper Ballard’s single statement to Braxton that he was not “coming clean.” He argued that Trooper Ballard’s “coming clean” statement, standing alone, amounted to government coercion sufficient to render Braxton’s confession involuntary. In applying the totality of the circumstances test, however, courts should not focus on a single factor in determining voluntariness. In Seni,
IV.
Because the police activity used to elicit an incriminating statement must be coercive before a statement will be held to be involuntary, it is not surprising that “very few incriminating statements, custodial or otherwise, are held to be involuntary.” United States v. Rutledge,
REVERSED AND REMANDED.
Notes
Moreover, although courts may consider whether the defendant was advised of his Miranda rights in determining voluntariness, see 18 U.S.C.A. § 3501(b)(3) (West 1985), Agent Poynter and Trooper Ballard had no duty to advise Braxton of his right against self-incrimination. The interview with Braxton was noncustodial. See Miranda v. Arizona,
Dissenting Opinion
dissenting:
I respectfully dissent from the majority’s opinion. Trooper Ballard’s threat that Braxton would face five years in jail if he did not “come clean” and confess and his implied promise that Braxton would not face jail time if he did confess were clearly sufficient “to cause [Braxton’s] will to be overborne and his capacity for selfdetermination to be critically impaired.” Ferguson v. Boyd,
I.
The Supreme Court has held that when “a question arises whether a confession is incompetent because not voluntary, the issue is controlled by that portion of the [F]ifth [A]mendment to the [C]onstitution of the United States commanding that no person ‘shall be compelled in any criminal case to be a witness against himself.’ ” Bram v. United States,
I disagree with the majority opinion’s application of those principles in the instant case. Part II.B. of the majority opinion
It is far from clear, however, that Trooper Ballard’s statement that Braxton could “do five years because [he was] not coming clean” referred to either § 924(a)(1)(A) or § 1001. Indeed, the officers did not tell Braxton, nor was Braxton aware, that he was under investigation for making false statements on a firearms record, in violation of § 924(a)(1)(A). The district court reached a plausible conclusion that Trooper Ballard’s statement constituted a threat that Braxton would face fivе years in jail if he did not confess.
Moreover, the district court also reached a plausible conclusion that the statement contained an implied promise that Braxton would not face the same penalty if he did confess. Braxton easily could have inferred from Trooper Ballard’s statement that he would not face jail time if he did “come clean” and confess and that answering the questions therefore would be to his benefit. As stated above, the Supreme Court has clearly held that “implied promises, however slight,’’ render a confession involuntary. Ross,
I recognize that we must consider the totality of the circumstanсes surrounding Trooper Ballard’s statement. Nonetheless, even under the totality of the circumstances, I would still hold that Braxton’s confession was involuntary. An officer’s threat that the defendant will serve five years in jail if he does not confess and an officer’s implied promise that the defendant will not serve any time if he does confess clearly are “sufficient to cause the [defendant’s] will to be overborne and his capacity for self-determination to be critically impaired.” Ferguson,
II.
Accordingly, I would affirm the district court’s judgment. I dissent.
Concurrence Opinion
concurring in the judgment:
I concur in the judgment because I do not believe that the totality of the circumstances reveals that Braxton’s will was overborne or that his capacity for self-determination was critically impaired. See United States v. Pelton,
Dissenting Opinion
dissenting:
I join Judge Mumaghan’s dissent. I write separately only to emphasize that, in my view, the trooper’s “come clean or you’ll get five years” threat/promise was plainly false. Braxton had no obligation to say a single word to the authorities, let alone to “come clean,” and he could not have been punished for it had he silently shown his inquisitors to the door.
