Case Name: STATE of Louisiana v. Rodger Dale PHILLIPS
Court: Louisiana Court of Appeal
Jurisdiction: Louisiana
Decision Date: 1985-11-19
Citations: 479 So. 2d 515
Docket Number: No. KA 85 0122
Parties: STATE of Louisiana v. Rodger Dale PHILLIPS.
Judges: Before EDWARDS, LANIER and JOHN S. COVINGTON, JJ.
Reporter: Southern Reporter, Second Series
Volume: 479
Pages: 515–526

Head Matter:
STATE of Louisiana v. Rodger Dale PHILLIPS.
No. KA 85 0122.
Court of Appeal of Louisiana, First Circuit.
Nov. 19, 1985.
Dissenting Opinion Nov. 25, 1985.
Rehearing Denied Dec. 26, 1985.
William R. Coenen, Jr., Dist. Atty., Oak Grove, for State of La., appellee.
C.J. D’Aquila, Port Allen, for defendant-appellant.
Before EDWARDS, LANIER and JOHN S. COVINGTON, JJ.

Opinion:
JOHN S. COVINGTON, Judge.
The district attorney for the fifth judicial, West Carroll Parish, billed Rodger Dale Phillips with sixty-four counts of felony theft, in violation of La.-R.S. 14:67. At arraignment, defendant entered a plea of not guilty. Subsequently, on motion of defendant, venue was transferred to West Baton Rouge Parish. Thereafter, pursuant to a plea bargain, defendant entered a plea of guilty to thirty counts of felony theft. In exchange for his plea, the state dismissed thirty-four counts of felony theft and sixty-four counts of conspiracy to commit felony theft. After a hearing, defendant was sentenced to serve twenty-four years at hard labor. He has appealed, setting forth five assignments of error, to wit:
1. The trial court erred in denying his motion to suppress inculpatory statements.
2. The trial court erred in denying his motion to quash the indictment.
3. The trial court erred in denying his motion to withdraw his guilty plea.
4. The trial court erred in imposing an illegal sentence.
5. The trial court erred when it informed defendant he faced a maximum of ten years imprisonment for each of the thirty theft offenses, which erroneous information rendered the subsequent plea involuntary.
Assignment of error number two was not briefed on appeal and is, thereby, considered abandoned. Uniform Rules— Courts of Appeal, Rule 2-12.4.
At the time of the offenses, defendant was the treasurer of the West Carroll Parish Police Jury. In that capacity, he conspired with Eldon Joles, the president of the police jury, and others to defraud that body of several hundred thousand dollars by issuing checks for goods and services which were not actually provided. The proceeds of these checks, totalling $442,049.90, were split among the conspirators.
Defendant asserts that the scheme enacted by Joles and himself continued for over three years. During this time, defendant alleges he gave the district attorney approximately $25,000.00 in cash in response to requests for financial assistance. Defendant also claims he was approached by a fifth judicial district judge who asked for the same sort of assistance and that he gave the judge approximately $20,000.00.
After learning of a state investigation into the police jury accounts, defendant claims he received assurances from the district attorney and judge that his involvement would be "taken care of." He asserts that the district attorney told him that no charges would arise from the investigation and that the judge told him that any charges that might arise would be directed to his court and disposed of accordingly. Defendant claims that he was relying on these promises when he confessed to state investigators. After charges were formally instituted, defendant moved to suppress his confession, claiming it was involuntary because he relied on the aforementioned promises, which had not been kept. Defendant's motion was denied. Thereafter, he pled guilty, reserving his right to appeal the denial of his motion to suppress.
At the time defendant entered his plea, he requested, as part of the bargain, that the results of an ongoing federal investigation be included in the presentence report. On the date of sentencing, defendant failed to provide this report to the trial judge. He asserts, however, that he agreed to forego introduction of the report in return for a favorable determination of credibility by the trial judge. As the trial court expressed its reasons for the imposition of sentence, defendant interjected that the court's remarks indicated an unfavorable credibility determination, and he wished to adhere to the original agreement to enter the results of the federal investigation into the record. The court noted to defendant that he had abrogated his responsibility in failing to obtain and submit the results and, further, that the submission would not benefit him. The court did agree to continue the sentencing hearing for thirty days in order to obtain these results. However, before the proceedings concluded, the assistant district attorney who prosecuted this case and the trial judge contacted an FBI agent who advised that there was no ongoing federal investigation. Defendant's federal complaint, in which he outlined the involvement of the West Carroll Parish district attorney and judge to federal investigators, constituted the entirety of those proceedings; and the federal investigator stated this complaint would not be acted upon until the state proceedings had been completed. The trial court then imposed the sentence.
MOTION TO SUPPRESS
(ASSIGNMENT OF ERROR NUMBER ONE)
Defendant claims his confession should have been suppressed because it was not voluntarily made but was induced by promises of immunity by corrupt officials.
The state has the burden of proving the admissibility of a confession. La.C. Cr.P. art. 703(D). The state must show that the confession was free and voluntary and not induced by threats, promises or coercion. La.R.S. 15:451; State v. Neslo, 433 So.2d 73 (La.1983). The state must prove the facts establishing admissibility of a confession beyond a reasonable doubt. State v. Burkhalter, 428 So.2d 449 (La. 1983). When a defendant alleges police misconduct in reference to the confession, the state must specifically rebut these allegations. State v. Welch, 448 So.2d 705 (La.App. 1st Cir.1984), writ denied, 450 So.2d 952 (La.1984). The factual conclusions of a district court on the admissibility of a confession will not be overturned on appeal unless they are not supported by the evidence. State v. Nathan, 444 So.2d 231 (La.App. 1st Cir.1983), writ denied, 445 So.2d 1232 (La.1984).
Defendant testified at the hearing on the motion to suppress, setting forth the improper promises he claims were presented. The district attorney accused by defendant also testified and categorically denied that improper offers had been made. In denying the motion, the trial court indicated defendant's testimony, in which he repeatedly contradicted himself, was not credible. The trial court stated as follows:
I can't believe his testimony. Even assuming what he says about the district attorney and the judge is true regarding the money, it's my feelings of listening to the testimony, even if it is true, and I don't say it is, just assuming other than his word. No one has made him any promises. Even the state trooper just said it a minute ago when you asked him.
It's my feelings that if he did give the money he felt safe just in the fact of the insurance as he stated on the stand. He felt safe that nothing was going to happen to him. So what does he do. He spills his guts through his own feelings of safety and not from anybody else. And now he wants to suppress his statements, which I find there's no basis. Nobody lured him into a false feeling of security. I think he puts himself in that position.
The trial court was presented with conflicting testimony. The court obviously found the testimony of the state witnesses more credible, and this determination was within its discretion. State v. Nathan, supra.
We find the record amply supports the trial court's determination that the confession was voluntarily made.
Defendant also alleges that the statements were taken in contravention of his Sixth Amendment right to have counsel present during questioning.
The statements of an accused, whether exculpatory or inculpatory, when made during a custodial interrogation, should be suppressed unless the accused is first advised of, and subsequently waives, his right to remain silent and his right to counsel. Miranda v. Arizona, 384 U.S. 436, 86 S.Ct. 1602, 16 L.Ed.2d 694 (1966); La. Const. Art. I § 13. When an accused asserts his right to counsel, the police must scrupulously honor the invocation of the right and interrogation must cease. State v. Harper, 430 So.2d 627 (La.1983).
In Edwards v. Arizona, 451 U.S. 477, 101 S.Ct. 1880, 68 L.Ed.2d 378 (1981), the Supreme Court held that, when an accused has invoked his right to have counsel present during custodial interrogation, a valid waiver of that right cannot be established by showing only that he responded to further police-initiated custodial interrogation even if he has been advised of his rights. The Court further held that an accused, having expressed his desire to deal with the police only through counsel, is not subject to further interrogation by the authorities until counsel has been made available to him unless the accused himself initiates further communication, exchanges or conversations with the police. State v. Arceneaux, 425 So.2d 740 (La.1983).
It is undisputed that defendant requested the opportunity to speak with an attorney before questioning was initiated. Defendant was permitted to summon counsel of his choice and conferred with him privately. After consultation, the attorney related that he would not be able to represent defendant because of his lack of expertise in criminal law. After this attorney left, defendant then waived his rights, including the right to have an attorney present during • questioning, and answered the questions presented to him. Defendant now claims the state failed to show that he intentionally abandoned the right to counsel by initiating contact after the attorney he contacted left.
We find, however, that Edwards v. Arizona, supra, is not applicable because defendant's statement was not the product of a custodial interrogation. In California v. Beheler, 463 U.S. 1121, 103 S.Ct. 3517, 77 L.Ed.2d 1275 (1983), the Supreme Court analyzed the facts that render an interview with police a custodial interrogation, and thus one during which the defendant is entitled to the safeguards in Miranda v. Arizona, supra. The Court held that, although the circumstances of each case must certainly influence a determination of whether a suspect is "in custody" for purposes of receiving Miranda protection, the ultimate inquiry is simply whether there is a "formal arrest or restraint on freedom of movement" of the degree associated with a formal arrest. California v. Beheler, supra, 103 S.Ct. at 3519-3520, (quoting Oregon v. Mathiason, 429 U.S. 492, 495, 97 S.Ct. 711, 714, 50 L.Ed.2d 714 (1977). In California v. Beheler, as was the case in Oregon v. Mathiason, the police initiated contact with the defendant, who voluntarily came to the police station for an interview, following which the defendant left on his own accord. Quoting again from its decision in Oregon v. Mathiason, supra, 97 S.Ct. at 714, the court, in California v. Beheler, stated:
Such a noncustodial situation is not converted to one in which Miranda applies simply because a reviewing court concludes that, even in the absence of any formal arrest or restraint on freedom of movement, the questioning took place in a "coercive environment." . The police are required to give Miranda warning only "where there has been such a restriction on a person's freedom as to render him 'in custody.' "... Our holding relied on the very practical recognition that "(a)ny interview of one suspected of a crime by a police officer will have coercive aspects to it, simply by virtue of the fact that the police officer is part of a law enforcement system which may ultimately cause the suspect to be charged with a crime."
103 S.Ct. at 3519.
We find no indication that defendant was "in custody" when the confession was made. Officer Lott and District Attorney Loftin both testified that defendant himself requested the meeting. At the hearing on the motion to suppress, defendant swore that the meeting which resulted in his confession was initiated by police contact. Assuming that defendant was requested and voluntarily came to the meeting, this does not render the meeting custodial, as demonstrated by California v. Beheler and Oregon v. Mathiason. Officer Lott expressly testified that defendant would have been allowed to leave if he had chosen to do so. We find, therefore, that defendant was not entitled to the strict guidelines of Edwards v. Arizona, supra, because the statement he gave was the result of a noncustodial interrogation. Defendant was not denied his Sixth Amendment right to counsel by the continuation of the questioning after defendant waived his right to counsel after having previously requested the opportunity to contact an attorney.
WITHDRAWAL OF GUILTY PLEA
(ASSIGNMENTS OF ERROR THREE AND FIVE)
In these assignments of error, defendant alleges the trial court erred in denying his motion to withdraw his guilty plea because the trial court breached a plea bargain, and because the court erred when it informed him he faced a maximum of ten years imprisonment for each of the thirty theft offenses, which rendered the subsequent plea involuntary by overstating the advantage to be gained by pleading guilty.
Defendant contends that, prior to the sentencing hearing, when it became obvious that the federal investigative report had not been delivered to the trial court, he agreed to forego the inclusion of this report in the presentence investigation in return for the trial court's agreement to make a favorable determination of his credibility. Although the actual agreement regarding the credibility determination was not made a part of the record, there was a considerable amount of discussion pertaining to the court's determination of defendant's credibility and whether or not that determination was favorable at the sen-fencing hearing of September 5,1984. Importantly, the trial court did not deny this agreement had been made; therefore, we will assume the court made the agreement alleged by defendant.
Defendant contends the judge breached his earlier commitment by making an unfavorable credibility determination following which he moved to withdraw his guilty plea. The court denied the motion. The issue on appeal is whether the trial court was required to permit defendant to withdraw his guilty plea because the agreement was not kept.
Following the elicitation of defendant's testimony at the sentencing hearing, counsel for defendant addressed the court and the court responded as follows:
Judge, I think that's all we have. I think we've talked to the Court in chambers about the reason that we wanted the federal investigatory report and that may be taken care of without .
THE COURT: Well, I understand your point on it, however, like I say, it would have no real effect. I think on the sentencing you were concerned about credibility and I think he pretty much told us what the truth was sitting right here. (R 162-163)
The state then called its witness, David Robert Lollar, who gave testimony at the sentencing hearing, following which the court undertook a hearing in another matter, after which the court returned to its consideration of the instant case. The court accordingly began a review of the testimony elicited at the sentencing hearing and undertook what appears to be a rather thorough review of the sentencing guidelines set forth in La.C.Cr.P. art. 894.1 in relation to defendant. Following that review, the court announced that it would sentence defendant to some time in prison. At this juncture of the proceeding, defense counsel objected and the following discussion transpired:
MR. KIDD: My objection is that, in effect, what I had understood to be a finding of credibility on the behalf of Mr. Phillips turns out not to be a finding of credibility on behalf of Mr. Phillips. Consequently, I want to make sure before sentence is pronounced that what was part of the plea bargain is, in fact, made a part of the pre-sentence, which it has not been, because, in effect, right now if the sentence is pronounced without benefit of the reviewing court to determine whether, in fact, it's Mr. Lof-tin who's telling the truth — Mr. Loftin testified or Mr. Phillips, then I have nothing to buttress or support my client's position. Consequently, I object on the grounds ennunciated (sic) about the credibility; only with the credibility.
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THE COURT: I'm not saying I don't believe what this man said about what he's told and about what he did and about who was with him and about how much it was and how they went about doing it. I believe that. Now, it doesn't mean I have to believe every word he says.
I'm telling you what, I'm looking at the man and he sat beside me and I believe him. Now, as far as everything on this earth; if this man has never told a lie in his life I'm wrong. I don't believe that ever occurred. This young man obviously has told some lies. But as far as what he got up here and told me today regarding what he did and the questions he answered, 1 think for the most part he told me the truth. That's right. (Emphasis ours.)
The trial judge, at this point, was referring to defendant's testimony at the sentencing hearing, at which he had referred only generally to the alleged activities with the district attorney and judge, as well as implicating other individuals. The trial judge, however, had apparently agreed to make the favorable credibility determination before this hearing, based on defendant's testimony at the hearing on the motion to suppress. Such a determination cannot be reconciled with the trial judge's remarks at the conclusion of the hearing on the motion to suppress, infra, in which he specifically stated that he could not believe defendant's testimony. It appears, therefore, that the trial judge, having denied defendant's motion to suppress based on the alleged inducements, could not have made a favorable determination of defendant's credibility.
A guilty plea is constitutionally infirm when a defendant is induced to enter that plea by a plea bargain or by what he justifiably believes was a plea bargain, and that bargain is not kept. In such a case a defendant has been denied due process of law because the plea was not given freely and knowingly. State v. Dixon, 449 So.2d 463 (La.1984). Defendant's allegation that the plea bargain was not performed may properly be raised on an appeal following a qualified guilty plea. See State v. Crosby, 338 So.2d 584, 586 (La.1976).
We find, therefore, that the trial court did not comply with its agreement to make a favorable determination of defendant's credibility, and defendant must be allowed to withdraw his guilty plea. Having found merit to this assignment of error, we pretermit discussion of defendant's other assignments, reverse and remand the matter for further proceedings consistent with the views herein expressed.
REVERSED AND REMANDED.
LANIER, J., dissents and assigns reasons.
. When defendant's counsel entered the guilty plea, he stated only that it was a "Crosby plea." In State v. Crosby, 338 So.2d 584 (La.1976), the Louisiana Supreme Court determined that the court may review assignments of error specifically reserved at the time of the plea of guilty, where the trial court accepted the plea of guilty so conditioned. Id. at 588. (Emphasis added.) In this case, defendant had filed numerous pretrial motions. From the record, it is impossible to determine on which of these pre-trial rulings defendant based his conditional plea. Although we review defendant's motions to suppress and to withdraw his guilty plea, we note that the trial court's action in accepting a non-specific "Crosby plea" is not strictly in compliance with State v. Crosby, supra.
. It is to be hoped that the trial court will make future arrangements of this type on the record, so that the terms of such agreement will be subject to review for compliance.
. We consider only the effect of the court's agreement to make a favorable determination of credibility. The original agreement, to admit the results of the "ongoing federal investigation" was satisfied; although the report was not admitted, it was not available.