HUGHES, J.
This case involves an alleged "agreement not to prosecute," under which the defense claimed that in exchange for the defense providing the names of witnesses who would testify before the grand jury, the sharing of defense attorney work product, and the waiving of the spousal privilege as to the grand jury testimony of the defendant's wife, the prosecution agreed to abide by the grand jury indictment, whether manslaughter or second degree murder. When the grand jury returned a manslaughter indictment, the State nevertheless presented the case to the grand jury again, approximately seven-and-one-half months after the first indictment, and procured an indictment for second degree murder. The defendant filed a motion to quash, alleging the prosecution failed to abide by the agreement. The district court granted the motion, quashing the second degree murder indictment. On appeal, the appellate court reversed. For the reasons that follow, we reverse the appellate court and reinstate the district court ruling.
On September 27, 2013 Ronald Harris, Sr., pastor of Tabernacle of Praise Church in Lake Charles, Louisiana, was shot and killed during a church service by the defendant, Woodrow Karey, Jr. Mr. Karey thereafter surrendered to police, stating, "He raped my wife."
Several conferences were held between defense counsel and the prosecution, which resulted in defense counsel providing the prosecution with a list of four witnesses, along with a written summary of the substance of the testimony that would be provided by these witnesses, and it was agreed these witnesses would testify before the grand jury. The defendant also agreed to waive the spousal privilege as to
Sometime after the first grand jury indictment, a different lead prosecutor was placed in charge of the case. Thereafter, the State returned to the grand jury to present "more evidence" on the instant offense, and on June 26, 2014 the grand jury indicted the defendant with second degree murder, a violation of La. R.S. 14:30.1. The State then dismissed the manslaughter prosecution and went forward with the second degree murder prosecution.
On August 8, 2014 the defendant filed a motion to quash the second degree murder indictment, contending: (1) the State breached the agreement to present the case to the first grand jury and to abide by the grand jury decision, in exchange for defense counsel's assistance and cooperation; and (2) although La. C.Cr.P. art. 386
Following a January 6, 2015 hearing on the defendant's motion to quash, the district court found that the result desired by both the defense and prosecution from the initial grand jury proceeding was a manslaughter indictment, that there was an "implicit understanding" between the defense and the prosecution "that both sides would live with the result of the initial grand jury — either Manslaughter or Second Degree Murder," and for these reasons the defense revealed information "not otherwise available to the [S]tate." The district court concluded that the State was bound to "what was at the time its desired result" and granted the motion to quash the second degree murder indictment.
On appeal by the State, the appellate court reversed the grant of the motion to quash and remanded the matter to the district court for further proceedings.
The concept of fundamental fairness is inherent in the Due Process Clause of the U.S. Fourteenth Amendment and in La. Const. Art. I, § 2, which do not dictate
As a general matter, in determining the validity of agreements not to prosecute or of plea agreements, the courts generally refer to analogous rules of contract law, although a defendant's constitutional right to fairness may be broader than his or her rights under the law of contract.
When a district attorney or assistant district attorney makes a good faith bargain with a person accused of a crime and the defendant, in reliance on that bargain, relinquishes a fundamental right, the State cannot repudiate the bargain.
In the instant case, the district court's January 6, 2015 ruling stated as follows, in pertinent part:
The district court found as a matter of fact that the defense and the prosecution had a common goal to obtain a manslaughter indictment from the initial grand jury and that there was an "understanding" or agreement between the parties that they would "live with" or be bound by the conclusion of that grand jury. The district court further found that the disclosure of the defense attorney's work product to the prosecution not only aided the prosecution in achieving the common goal of a manslaughter indictment, but gave the prosecution an advantage by revealing defense strategy.
Because the complementary role of trial courts and appellate courts demands that deference be given to a trial court's discretionary decision, an appellate court is allowed to reverse a trial court on a motion to quash only if that finding represents an abuse of the trial court's discretion.
In this case, the evidence submitted during the January 6, 2015 hearing on the defendant's motion to quash provides a reasonable basis for the district court's factual findings, as revealed through the testimony of the four witnesses: then-District Attorney John DeRosier, Assistant District Attorney Hugo Holland, former Assistant District Attorney Brett Sandifer, and Defense Attorney Todd Clemons.
Then-District Attorney John DeRosier testified that because of the nature of this case, the prosecution was required to take it to a grand jury. Mr. DeRosier stated that, in a conversation with defense counsel Todd Clemons, Mr. Clemons (who is a former prosecutor) expressed concern that a prosecutor can "sway a Grand Jury one way or the other," and Mr. Clemons requested that he be allowed to present defense witnesses to the grand jury. Mr. DeRosier said that he told Mr. Clemons he could "present [his] witnesses and the Grand Jury's going to do what it's going to do." When asked by Mr. Clemons, on direct examination,
Assistant District Attorney Hugo Holland testified that there was no "agreement" between the parties. He stated, "What I offered to you [Mr. Clemons] was that if there was information you wanted the Grand Jury to have, if you told me who the witnesses were, I'd be happy to put them in front of the Grand Jury." Mr. Holland further testified that he told Mr. Clemons, "I think that the Grand Jury could go either way, and it was probably a good idea for the Defense to provide me a list of witnesses that perhaps could push them towards a ... manslaughter charge." Mr. Holland clarified, "I don't have to, as a prosecutor, allow you [Mr. Clemons] or any other defense lawyer to present any evidence. I gave you the courtesy of doing that, and you gave me a list
With respect to testimony given by the defendant's wife, Janet Karey, before the grand jury, Mr. Holland testified, "I sent her a subpoena, and so it wasn't up to you [Mr. Clemons] to determine whether she testified or not.... That was not part of any agreement. I just told you she got a subpoena and she was testifying." When asked about a spousal privilege, Mr. Holland stated, "If she wanted to claim it [the spousal privilege] when she came in, that would be up to her. It's my legal opinion, that probably doesn't apply at Grand Jury, but had she chose to do so, then things might be different." Mr. Holland stated that Ms. Karey did not claim a spousal privilege when called to testify before the grand jury.
Mr. Holland further denied that he, or anyone in his presence, told the defense that the prosecution would refrain from ever presenting the grand jury with any additional evidence if a manslaughter indictment were to be returned. Mr. Holland further testified that he "received no concessions" from the defense and, to his knowledge, the defense did nothing that would ultimately be detrimental to the defendant's case. When asked if the defense detrimentally relied on anything that had occurred in the case, Mr. Holland responded, "I can't imagine how it would possibly be." Mr. Holland denied reaching any type of agreement with the defense, and he stated, "I don't have to reach an agreement with the Defense for anything related to Grand Jury actions." With respect to statements that the case would be "fairly presented" to the grand jury, Mr. Holland stated, "[T]hat's what every Grand Jury does, the case is fairly presented and they reach a decision." However, Mr. Holland further stated, "The agreement was, if there was one, that we were going to fairly present the evidence, which was done."
Former Assistant District Attorney Brett Sandifer testified that, although he previously worked for the Calcasieu Parish District Attorney's office, at the time of the hearing he was working as an Assistant Attorney General. Mr. Sandifer recalled that, after the defendant was arrested, but before he was charged, there was a telephone conference between the prosecution (Mr. DeRosier, himself, and possibly Mr. Holland) and the defense (Mr. Clemons and Mr. Johnson), during which Mr. DeRosier stated that the case was going to be presented to the grand jury for determination of the charge because "that's what we have to do on a case such as that.... [A]nytime you go to Grand Jury, that's what ... happens." Mr. Sandifer also indicated that Mr. DeRosier told Mr. Clemons that he would subpoena witnesses for the defense, if the defense provided a list of the witnesses.
When asked whether he recalled Mr. Clemons stating that the defense would discuss it and let the prosecution know "whether we would be participating in the Grand Jury," Mr. Sandifer stated that he remembered something like that. Mr. Sandifer acknowledged that a few days later he and Mr. Holland met with Mr. Clemons and Mr. Johnson in a conference room at the District Attorney's office to discuss the witnesses that the defense wanted to testify before the grand jury, the relationship of those witnesses to the defendant, and the nature of their testimony. Mr. Sandifer indicated that it was agreed that the witnesses would present testimony before the grand jury, and the grand jury would determine the appropriate charge.
In conjunction with Mr. Sandifer's testimony, Exhibit "D," in globo, was introduced, which included an email from Mr. Clemons to Mr. Sandifer regarding the defense witnesses, including a list of witness
Mr. Sandifer also testified that two bills were submitted to the grand jury, one for manslaughter and one for second degree murder; the grand jury returned a "true bill" as to manslaughter and a "no true bill" as to second degree murder. Mr. Sandifer further testified that the investigation was ongoing at the time the matter was before the first grand jury, noting that there was a "phone issue we still had to resolve" and there were witnesses that law enforcement had not interviewed. Mr. Sandifer indicated that even though there was no statute of limitations on the prosecution of murder, since the defendant was arrested in September 2013 for murder, there was a limited time period during which charges could be timely filed against the defendant, otherwise the defendant would have to be released from custody.
Defense Attorney Todd Clemons, on examination by co-counsel, Adam Johnson, testified that he contacted Mr. DeRosier in October of 2013 to arrange a meeting to discuss the case, and a phone conference was set up for October 30, 2013. Mr. Clemons testified that, during the phone conference, Mr. DeRosier told him that the prosecution would "present the case to the Grand Jury and ... let the Grand Jury determine the appropriate charge." Mr. Clemons also testified that Mr. DeRosier told him that he could "present whatever witnesses you deem appropriate." Mr. Clemons stated that, in connection with their agreement, the defense was giving up "certain rights," including attorney work product.
With respect to Mr. Holland, Mr. Clemons testified:
Mr. Clemons implied that such assurances from the prosecutor would not have been necessary unless the parties were negotiating an agreement, which would require the trust of the defense attorneys (who could not legally be present during the grand jury proceedings) that the prosecution would elicit from the defense witnesses the testimony desired by the defense before the grand jury.
Mr. Clemons further testified, "[T]here were no conditions placed on the agreement... other than [the defense] presenting them with the witnesses, and the Grand Jury determining the appropriate charge. Nothing [sic] discussed what would happen after the Grand Jury determined the appropriate charge." When asked whether the prosecution ever specifically said they would never go back to the grand jury, Mr. Clemons said, "Absolutely not, because that was not contemplated." Mr. Clemons maintained that there was an agreement to let the first grand jury decide the appropriate charge, and they would all abide by that decision.
Mr. Clemons further testified, "Under no circumstances would I give it [his attorney work product] to a prosecutor, but for hav[ing] an agreement with the prosecutor that could benefit my client. In this case we had an agreement with the prosecutor that if we gave them a summary of the witnesses who would testify, they would be honorable men and let this Grand Jury decide the appropriate [charge]." Mr. Clemons stated that his work product was the result of interviews with several defense witnesses, and the email he sent to the prosecutors contained a summary of "detailed extensive [d]efense work product." Mr. Clemons testified that he was required to give his work product to the prosecution as part of their agreement, stating that Mr. Holland told him he was not going to call the defense witnesses and let them just say what they wanted to say, so the defense would have to give him "some guidance as to what pertinent information they have." Mr. Clemons said, "[I]t was required in order to consummate this deal."
Mr. Clemons further related that he did not think reducing the agreement to writing was necessary because he thought he was dealing with honorable men. He stated, "Mr. Hugo Holland turned out to be an
Mr. Clemons also testified that Mr. Holland's behavior immediately after presenting the case to the first grand jury was a confirmation of the existence of an agreement between them. During the grand jury presentation, Mr. Clemons and Mr. Johnson waited in the reception area of District Attorney's office, where Mr. Holland met them after the grand jury presentation concluded. Mr. Clemons indicated that, even though Mr. Holland could not yet divulge the decision reached by the grand jury, because it had not been filed with the court, Mr. Holland shook his (Mr. Clemons') hand and said, "You made the right decision, everything went well.... [I]t was successful." Mr. Clemons further stated:
Mr. Clemons related that he considered Mr. Holland's actions and statements at that time a "consummation" of their agreement and indicated Mr. Holland's intention to abide by the grand jury's manslaughter indictment.
In this case, the district court was presented with conflicting testimony. Defense Attorney Todd Clemons testified that, in exchange for sharing defense attorney work product (which identified witnesses to support the defense position that manslaughter was a more appropriate charge than second degree murder), along with engaging in cooperative discussions with the prosecution concerning presentation of the identified witness testimony to the grand jury, and in waiving the spousal privilege as to the defendant's wife's testimony before the grand jury, the prosecution agreed to submit the defense witnesses to the first grand jury and abide by that grand jury's decision as to the appropriate charge and proceed only on the charge that grand jury handed down. Contrarily, the State prosecutors testified that they had no agreement with the defense, but if they did, it was only to fairly present the evidence to the grand jury and allow the grand jury to decide the appropriate charge, as that is what the law requires. In ruling in the defendant's favor, granting the motion to quash and dismissing the second degree murder prosecution, the district court made the decision to credit the testimony of the defense over that of the prosecution and, in essence, granted specific performance of the agreement by ensuring that the prosecution of the defendant could proceed only on a manslaughter charge.
As stated hereinabove, when a trial court in a criminal case makes findings of fact based on the weight of the testimony and the credibility of the witnesses, a reviewing court may not overturn those findings unless there is no evidence to support those findings.
Given that we cannot say the district court erred in finding as a matter of fact that there was an agreement between the parties, the only remaining question is whether, in light of this agreement, the State was entitled to thereafter return to the grand jury to seek a second degree murder indictment against the defendant. Since such conduct would contravene the substance of the agreement as found by the district court, it would constitute either a withdrawal from, or breach of, the agreement.
As stated herein, the government may only withdraw from a plea agreement or an agreement not to prosecute if there has been no detrimental reliance, prejudicial to the substantial rights of the accused, and/or no evidence of devious practice by the government such as bad-faith negotiation designed to psychologically probe the defense or gain some other improper advantage.
When a defendant enters into such a plea agreement (or agreement not to prosecute) with the government, the government takes on certain obligations.
In this case, the defendant substantially complied with the terms of the agreement and detrimentally relied upon its provisions, as the appellate court dissent aptly summarized:
Furthermore, the prosecution in this case did not establish any justification for withdrawing from the agreement, such as a breach of the agreement by the defendant or failure of cause.
In prior cases allowing the prosecution to withdraw from an agreement not to prosecute or from a plea agreement, the withdrawal was shown to be justified as the agreements were unenforceable for failure of cause unattributable to the prosecution, although certain statements made by the defendants in reliance on the existence of the agreements were deemed inadmissible in any subsequent trial of these defendants.
However, in cases in which the prosecution failed to establish justification for withdrawal from an agreement with a defendant, specific performance (in the form of enforcement of the agreement) has been ordered.
In the instant case, the prosecution failed to establish valid justification for withdrawing from the agreement with the defense, during the hearing on the motion to quash the indictment. Although former Assistant District Attorney Brett Sandifer made conclusory statements, during the hearing, that the investigation was ongoing at the time the matter was before the first grand jury, indicating there was a "phone issue we still had to resolve" and there were witnesses that law enforcement had not interviewed, those statements alone do not provide a substantive reason for withdrawing from the agreement not to prosecute. The State further intimated, in argument to this court, that additional investigation after the initial grand jury indictment for manslaughter produced new evidence, which tended to establish that the defendant may have planned his attack on the victim from a date and under
Because the defendant performed under the agreement with the prosecution and the prosecution failed to show justification for withdrawing from the agreement, we conclude that the district court did not abuse its discretion in granting specific performance to the defendant in this case and quashing the second degree murder indictment.
The State and the appellate court criticize the reasoning of the district court in this case in, inter alia, relying on the concurring opinion in
However, the comments in the
We find no error in the appellate court's refusal to consider the argument made by the State, re-urged in brief to this court, that the defendant's motion to quash was untimely filed (as filed under the dismissed manslaughter case number 26060-13) and not the subsequent second degree murder case number 17151-14). The appellate court ruled that, pursuant to Rule 1-3 of the Uniform Rules of Louisiana Courts of Appeal ("The Courts of Appeal will review only issues which were submitted to the trial court...."), since the State did not raise the issue in the district court, it could not be considered on appeal. See
We conclude that the appellate court erred in overturning the district court's factual determination that there was an agreement not to prosecute between the defendant and the prosecution in this case, since there were was evidence in the record supporting the district court's factual findings that the defense and the prosecution had a common goal to obtain a manslaughter indictment from the initial grand jury and that there was an "understanding" or agreement between the parties that they would "live with" or be bound by the conclusion of that grand jury. See
For the reasons stated, the judgment of the appellate court is reversed, and the district court judgment, granting the defendant's motion to quash and dismissing the second degree murder indictment, is reinstated. Further, the stay order issued
GUIDRY, Justice, dissents for the reasons assigned by Justice Clark.
CLARK, Justice, dissents and assigns reasons.
CRICHTON, Justice, dissents and assigns reasons.
GENOVESE, Justice, concurs in the result.
Clark, Justice, dissents and assigns reasons.
I respectfully dissent from the majority opinion for the reasons that follow. I do not see any rational basis in the record to support a finding that an agreement existed between the prosecutor and the defense that both would be bound by the charge returned by the first grand jury. The factual finding by the trial court to the contrary was based in part on two errors: 1) that the State believed manslaughter to be the appropriate charge and was only pursuing the second degree murder charge to eradicate "family problems" in a "high profile" case. (Transcript pp. 126-127) and 2) that the concurrence in State v. Tanner, 425 So.2d 760 (La. 1983) expanded the law regarding the enforcement of pre-trial agreements to those agreements that do not affect fundamental constitutional rights.
First, as the State points out, because there was a potential charge of second degree murder, which is punishable by "life imprisonment without benefit[s]", the matter was required to be presented to a grand jury. See La. R.S. 14:30.1(B) and La. Code Crim.P. art. 437. The repeated assertions by the prosecutors that they agreed to fairly present the case to the grand jury, then, was nothing more than a commitment by the State to do what the law requires it to do. The defendant's tendering of his witness list and a summary of the witnesses' testimony in exchange for the State's agreement to fairly present the case to the grand jury does not amount to any sort of bargain. Rather, the agreement, which included a fair presentation of the defendant's case, was a professional courtesy, at most, and a simple adherence to the law, at a minimum. That the defendant inferred the State would not only fairly present the case to the grand jury, but would also be bound by the grand jury's charge, does not prove the existence of any such agreement. It only proves, perhaps, a hope or an unjustified expectation. A review of the record does not evidence any meeting of the minds to relinquish the opportunity to seek a more serious charge at a separate grand jury, which the law allows and no purported agreement prevented. This finding is bolstered by the lack of a plea deal or a written agreement not to prosecute.
While implicit in my finding that there was no agreement in the first place, I write additionally to expressly state I find no detrimental reliance, bad-faith negotiation, or prosecutorial misconduct. Instead, I find this case fits within the vast prosecutorial authority to charge offenses and fairly present the case to a grand jury, even convening multiple grand juries if the circumstances so warrant.
Second, the trial court committed legal error in relying on a concurring opinion in Tanner, supra. The Tanner majority found a defendant must give up a fundamental right as part of the bargain in order for the agreement to be binding. The concurrence expanded beyond the fundamental right requirement to include scenarios of "unfair disadvantage" and the disclosure of favorable information. This "principle of judicial integrity[,]" while
CRICHTON, J., dissents and assigns reasons:
I dissent. The plurality opinion finds an enforceable agreement based on "evidence in the record upon which the district court could have ruled either that there existed an agreement between the parties or that there was no agreement between the parties." State v. Karey, 2016-0377, op., at 1198. But because the purported agreement at issue in this case was not reduced to writing,
Under these circumstances, I do not believe the feeble testimony of defense counsel alone adequately supports the trial court's finding of an enforceable agreement, which requires a "meeting of the minds." See Read v. Willwoods Cmty., 2014-1475, p. 5 (La. 3/17/15), 165 So.3d 883, 887; see also State v. Smith, 452 So.2d 160 (La. 1984) (remanding for a hearing to determine whether there was "a meeting of the minds between the defendant, the defense counsel, the prosecutor and the trial judge" as to a plea bargain). For instance, the State did not need to go before the grand jury to secure an indictment for manslaughter,
The plurality opinion also fails to identify any fundamental right purportedly relinquished by this defendant, such as the privilege against self-incrimination. Under State v. Tanner, 425 So.2d 760 (La. 1983), even if there was an agreement here, the State can withdraw from that agreement if the defendant has not relinquished a fundamental right in reliance upon it. Id. at 763. ("When a district attorney or assistant district attorney makes a good faith bargain with a person accused of a crime and defendant, in reliance on that bargain, relinquishes such a fundamental right as the privilege against self-incrimination, the state cannot repudiate the bargain."). In other words, under Tanner, if the defendant does not relinquish a fundamental right, then this is not an enforceable agreement.
In sum, I would find the trial court abused its discretion in granting the motion to quash, reinstate the second degree murder indictment, and remand for further proceedings.
Attached to the stipulation were documents, confirming that the membership of the first grand jury differed from the membership of the second grand jury, along with the June 25, 2014 Killingsworth email, which stated:
In finding this to be an enforceable agreement, the plurality opinion, in my view, ignores what could be a chilling effect on pre-trial discussions between district attorneys and defense attorneys, which would be to the detriment of all parties in the criminal justice system. Fortunately, as a plurality decision, its holding is on the more narrow grounds of the concurring justice. See Marks v. United States, 430 U.S. 188, 193, 97 S.Ct. 990, 51 L.Ed.2d 260 (1977) ("When a fragmented Court decides a case and no single rationale explaining the result enjoys the assent of five Justices, the holding of the Court may be viewed as that position taken by those Members who concurred in the judgments on the narrowest grounds.") (internal quotations and citations omitted).