Document: 480 U.S. 386 107 S.Ct. 1187 94 L.Ed.2d 405 TOWN OF NEWTON, etc., et al., Petitionersv.Bernard E. RUMERY, Jr. No. 85-1449. Argued Dec. 8, 1986. Decided March 9, 1987. Syllabus After learning that a friend, David Champy, had been indicted by New Hampshire county grand jury for aggravated felonious sexual assault, respondent sought more information from mutual acquaintance, who coincidently was the victim of assault and expected to be principal witness against Champy. The called town Newton's Chief Police told him trying force her drop charges Ultimately, arrested accused state-law felony tampering with witness. Respondent's attorney prosecutor negotiated an agreement whereby would dismiss if he agree release any claims might have town, its officials, or harm caused his arrest. Three days later, signed "release-dismissal agreement," criminal were dropped. Ten months filed this action under 42 U.S.C. § 1983 in Federal District Court, alleging officers violated constitutional rights arresting him, defaming imprisoning falsely. suit dismissed on basis assertion defendants (petitioners here) release-dismissal as affirmative defense. court rejected respondent's argument unenforceable because it public policy, concluded valid if, here, resulted decision voluntary, deliberate, informed. Court Appeals reversed, adopting per se rule invalidating agreements. Held: judgment is case remanded. 778 F.2d 66 (CA1 1985), reversed Justice POWELL delivered opinion respect Parts I, II, III-A, IV, V, concluding that: 1 1. question whether policies underlying may some circumstances render waiver right sue thereunder one federal law, resolved reference traditional common-law principles. relevant principle promise interest enforcement outweighed policy harmed agreement. P. 392. 2 2. Although cases agreements infringe important interests defendant society whole, mere possibility such does not call all risk, publicity, expense trial intimidate defendant, even believes defense meritorious. But justify In many defendant's choice enter into will reflect highly rational certain benefits escaping prosecution exceed speculative prevailing civil action. voluntary here exemplifies judgment. Respondent, sophisticated businessman, jail represented experienced lawyer, drafted Respondent considered three before signing it. Because voluntarily waived 1983, opposing involuntary no reason hold invalid. Pp. 392-394. 3 3. Court's enforce correct. Not only did agreement, but also legitimate make directly related prosecutorial responsibilities independent discretion bringing charges. A significant consideration prosecutor's fact spared alleged offense scrutiny embarrassment she endured required testify either concerning respondent. Pp.397-398. 4 POWELL, joined THE CHIEF JUSTICE, WHITE, SCALIA, Part III-B there substantial Appeals' concern offend they tempt prosecutors trump up reaction claim, suppress evidence police misconduct, leave deprivations unremedied. However, duty institute merely further public's revealing misconduct. Congress confined bring actions injured individual, at large. Release-dismissal frivolous meritorious order protect other officials. invalidity fails credit improperly assumes Many suits are marginal frivolous, burden defending substantial, requiring officials' time attention, detriment their duties. seize opportunity wrongdoing. Against background general judicial deference charges, act compel assumption all—or number stem prosecutors' abandoning independence trust. Rather, tradition experience belief great majority faithful duty. Pp.394-397. 5 O'CONNOR, agreeing void cases, case-by-case approach appropriately balances both sides enforceability agreements, facts covenant enforceable, emphasized those relying upon covenants establish neither nor product abuse process. dangers agreements—particularly potential threats integrity process vindication rights—do preclude cases. particular executed exchange dismissal made, overreaching, interest. must prove so; courts should presume 399-403. 6 J., announced which REHNQUIST, C.J., JJ., joined, III-B, WHITE joined. concurring part judgment, post, p. ----. STEVENS, dissenting opinion, BRENNAN, MARSHALL, BLACKMUN, 7 Donald Gardner, Manchester, N.H., petitioners. 8 Charles Bauer, York City, 9 SCALIA join. 10 properly releases file return pending 11 * Rockingham County, Hampshire, Champy assault. Bernard Rumery, friend Champy's, read about local newspaper. Seeking telephoned Mary Deary, acquainted Rumery Coincidentally, Deary record reveal date substance conversation between apparently disturbed call. On 12, according records, Barrett, Newton. She talked again May 11. disputed. raised subject Champy's difficulties. According however, Barrett threatened that, went forward case, "end like" two women recently murdered Lowell, Massachusetts. App. 49. violation N.H.Rev.Stat.Ann. 641:5(I)(b) (1986), Class B felony. 12 promptly retained Stephen Woods, attorney.1 Woods contacted Brian Graf, Deputy County Attorney County. He warned Graf "had better [dismiss] these we're going win them after sue." discussions, reached All parties agreed factor Graf's prosecute desire trauma suffer forced testify. As explained Court: 13 "I advised want Mr. Rumery. charge . 14 think particularly sensitive type where you dealing assault." Id., 52 (deposition Graf). 15 See Pet. Cert. B-2 (District findings fact); 20 counsel Woods). 16 (the agreement). approved form presented Rumery's recollection events quite different, found discussed office hour forgo June 6, returned Woods' 17 April 13, 1984, Hampshire. motion dismiss, argued policy. "release section results deliberate informed." B-6. 18 "is knowledgeable, industrious individual vast business world. [H]e intelligently carefully, weighing factors, best welfare sign covenant. very competent than ordinary expertise sometimes complex area law." B-4. 19 then suit. appeal, First Circuit reversed. It adopted stated: 21 "It difficult envision how prosecute, serve Enforcement unremedied rights." 66, 69 (1985). 22 raises administration justice, we granted town's petition writ certiorari. 475 1118, 106 1633, 90 179 (1986). We reverse. II 23 begin noting source law governs case. purported waive conferred statute. statute law. resolve principles, questions principles governing actions. E.g., Pulliam v. Allen, 466 522, 539-540, 104 1970, 1979-1980, 80 565 (1984). well established: agreement.2 III 24 justified invalidity. overstated perceived problems failed can further. Most importantly, consider wide variety factual situations result Thus, although do believe calls rule. 25 first objection inherently coercive. argues unfair present facing waiving 1983. informed decision. contexts choices effectively rights. For example, settled plea bargaining violate Constitution though guilty waives Brady United States, 397 742, 752-753, 1463, 1471, 747 (1970); Santobello York, 404 257, 264, 92 495, 499, 30 427 (1971) (Douglas, concurring).3 see pose coercive accepted. Corbitt Jersey, 439 212, 99 492, 58 (1978) (upholding imposed higher sentences entered pleas). Harlan explained: 26 "The process, like rest legal system, replete 'the making judgments' course follow. 27 McMann Richardson, [759], 769 [90 1441, 1448, 763 (1970) ]. right, dimensions, follow whichever chooses, token always forbid choose." Crampton Ohio, decided McGautha California, 402 183, 213, 91 1454, 1470, 28 711 (1971). businessman. obvious: gained immunity lost. 29 Moreover, find coercion similar insufficient itself bargains. If reason, lie external necessarily noted above, held believed "tempt F.2d, 69. concern. true, course, vindicate interests. remember has individuals, hesitate elevate diffused above benefit personally 31 misapprehended range arguably affected availability threaten They officials.4 misconduct.5 32 exposure official misconduct concerns implicated suits. No suggests frivolous. Yet when risk ultimate liability negligible, lawsuits substantial. Counsel official, governmental entity. Preparation trial, itself, require attention litigation extend over period years. This diversion officials normal duties inevitable unjust distinctly To extent burdens claims, 33 recent years acted improperly. Wayte 470 598, 105 1524, 84 547 (1985); States Goodwin, 457 368, 102 2485, 73 74 (1982); Bordenkircher Hayes, 434 357, 98 663, 54 604 (1978). Our decisions uniformly recognized normally defer whom prosecute. reasons known. Prosecutorial charging rarely simple. addition assessing strength importance tangible intangible government priorities. U.S., 607, S.Ct., 1530. Finally, decide allocate scarce resources justice system simply cannot accommodate every serious charge.6 "are readily susceptible kind analysis undertake," "properly hesitant examine prosecute." 607-608, 1531. supra, 373, 2488. 34 discretion, of—release-dismissal "the [their] trust," Imbler Pachtman, 424 409, 423, 96 984, 991, 47 128 (1976).7 our Indeed, merit view illustrated itself. 35 interests, reject holding invalid se.8 IV 36 Turning conclude noted, 394, clear independent, responsibilities. foreclosed trials key therefore cases.9 Both testified Supra, 390. 37 sum, adversely affect interests.10 V 38 reverse remand complaint. 39 so ordered. 40 I join opinion. More particularly, disapproving broad governments violations arising out arrest prosecution, given circumstances. enforceable. write separately, set factors lead me enforced emphasize 41 shows, ante, ----, permitting bargains struck appropriate Certainly meritless, inconvenience distraction inconsiderable. bona fide goals. Here, protection complaining important, objective served Similarly, legitimately defused volatile situation minor misdemeanant, cost litigation. Sparing community associated crimes little Hoines Barney's Club, Inc., Cal.3d 603, 610-611, n. 7, 170 Cal.Rptr. 42, 46, 620 P.2d 628, 633, (1980). hand, acknowledges, potentially Permitting deter complaints. easily innocent person whose violated. Ante, power twisted end suppressing complaints abuse, whole. 43 addition, option ignore dropping prosecutions avoid expense, publicity seeing laws faithfully executed. But, give weight private claim convicted. By introducing extraneous considerations legitimacy compromised. undermining faith fairness administer execution having determine ethical obligations lawyer. 395, 4. 44 indicates, analogous bargain. 393, depends large measure eliminating 260-261, 497-498, (1971); 753, ALI, Model Code Pre-Arraignment Procedure 350.5(2) (1975). knowingly permit accept lesser cash payment him. permitted striking bargain rehabilitation, allocation resources, cooperation authorities. central problem explicitly traded financial individuals involved prosecution. takes place supervision, check abuse. often oversight. 45 Nevertheless, fear portions plurality imply. 46 bear come mind. knowledge release, including, counseled, clearly relevant. nature greater charge, effect. existence obtaining support validity. And, mitigated supervision. Close examination leads concur There ample Testimony prosecutor, counsel, himself doubt voluntarily. While subjecting seven prison, (1986)—it felonies long prison term probably unlikely absence prior weaknesses correctly notes, function. 48 primary still considerable pending. 49 And taking now, State position perhaps causing upset forcing go through things what felt comfortable doing. So play time, gone enough." 52. 50 Deary's emotional distress, unwillingness presumably later proceedings, necessity testimony dropped injury could thereby avoided. 51 convincing interest, blanket preferable, made easier barred valid, release. MARSHALL BLACKMUN join, dissenting. 53 much indicates. complete observation knowing settlement Even intelligent informed, completely innocent, crime choose indictment attendant omnipresent wrongful conviction, surrendering remedy representation competing possibly conflicting compounds dangerous releasedismissal explain my disagreement majority, shall discuss dilemma confronted lawyer comment different represented, finally plurality's evaluation man. matter presumed innocent. fact, uncontradicted sworn respondent,1 lawyer,2 buttressed circumstantial evidence,3 overwhelmingly attest innocence.4 written statement victim, unsworn, implicating activity. reported victim's daughter, summarized Barrett's report based conversations another officer own state extreme distress.5 never indicted, warrant issued sketchy Barrett.6 assistant surprised learn report.7 Newton home obtained Prior arrest, chief's press conference it, respected member small arrested, traffic offense. 55 few scheduled probable-cause hearing tampering, Newton, officers, advice predicated lawyer's value harmful consequences almost together conviction outcome depend jury's assessment relative credibility victim. guarantee acquittal.8 placed client's terminating proceeding uncertain pursuing department.9 delaying days, reluctantly followed advice. 56 From point view, unquestionably true was, emphasizes, "voluntary, 391. reflected "a action." 394. iterates reiterates, "considered agreement." 395. submit, character sufficient Otherwise, pay trooper $20 issuing ticket violation, contribute department's retirement fund suppose virtually contracts refuse nevertheless perfectly them. nothing irrational bribe officer, wagering arrangement, usurious rates indict man induce surrender something value. 57 informed" generally provides acceptable upholding validity inappropriate assume same standard determines abandonment charge. net admission wrongdoing imposition sanction stigma. pleads reasonable rare represent exception rather Fed.Rule Crim.Proc. 11(f) (court unless satisfied basis). Like bargain, suspect restitution termination proceedings involves defendant.10 said exonerates defendant. presumptively law; strongest realizes wrongfully accused. most willing—indeed, ethically obligated—to probable cause established available, admissible lacking. 59 represents practical compromise account outcome, society's imposing punishment admitted wrongdoer. admits conduct avoids prosecution; need trial; wrongdoer punished, close 11(e). simultaneously establishing limiting liability, delicately balance social advantage. mutuality advantage exist entering color assurance willingness indicates proceeded event.11 wrongdoers satisfied; vindicated resolving once liability. 60 Achieving connection give-and-take essence plea-bargaining thus bargaining. distinct. entitled receive damages physical conversely, ultimately acquitted entirely consistent rights.12 61 frivolous," Whether correct incorrect, each ought tested adversary process.13 Experience teaches us meritorious.14 Whatever be, being price unrelated possible abandon $1,000, pays functional equivalent $1,000 fund. 62 address distinct objections offer accedes coercive; moreover, exacts conduct. 63 When respondent, His duty, sovereign's evenhanded effective laws. Berger 295 78, 88, 629, 79 L.Ed. 1314 (1935). demonstrates, Department inclusion covenantee allegedly separate instances 64 standpoint client, unnecessary unjustified. enjoy absolute initiate proceedings. 427, 993, (1976). gave already provide. 65 "[t]o department."15 is, obvious conflict protecting members unlawful independently Department. equally separation functions achieved use threat weapon obtain favorable police. negotiating inevitably avoiding severely hampers ability conform strictures professional responsibility deciding particular, execute encourage continue "refrain prosecuting knows supported cause." ABA Rules Professional Conduct, Rule 3.8(a) (1984).16 67 obligation fundamental "[a] exercise behalf client." Responsibility, Canon Every representing id., Ethical Consideration 5-2. "does powerless punish occurs," stands unique, among acts deprive persons rights, amenability discipline association peers." 429, 994 (footnote omitted).17 68 increases magnitude direct proportion seriousness focusing quality detect distinguish ones. merits evaluated enforced, goal saving costs efficiency enforcing requires inattention conflicts precisely likely exacted serving constituency. At bottom, seems witness, Deary.18 recalcitrant fashion permits diverge interests; plain critical despite remain anonymous courtroom confrontation offender. false exaggerated malicious reasons. plainly unwise enforceable affords 70 Arguably special fashioned witnesses victims assaults. leaves scars especially publicly event. remains uncorroborated, unsworn statements crime, including inaccurate, exaggerated, incomplete—and malicious. hearsay descriptions unreliable. Rather upholds whenever insist "close examination" purportedly 71 O'CONNOR suggested conclusion interested "further injury": (1) "emotional distress"; (2) Rumery; (3) 403. Each brief comment. 72 distress telephone afternoon 11, talking daughter "could hear intense sobbing background"; able talk herself, characterized "hysterical, distra[u]ght, terrified." 5, supra. influenced appears mention 48. obvious.19 That supports exonerating took known unwilling precipitate without contrary expectations—and advice—of created open court.20 denying Fourth Amendment Presumably, actual Champy,21 75 full development provide justification developing rested litigation, met conjecture speculation reluctant 76 reviewed, am adopt agreements.22 am, persuaded enactment mandate strong presumption overcome plurality.23 identifies providing openly impartial adjudicator sub silentio definitely ensure prevail. outweighs unmeritorious claims. Paradoxically, relief short, unstated premise imposes society. statute, repealed. Unless done, congressional attach access cases.24 77 proper discretion. confess understand suggestion.25 adequately protected shield immunity. misconduct—not prosecutor—that challenged "prosecutors wrongdoing." 396. contrary, wholly undergirds itself—that citizens.26 identifying redressing paramount using means appraisal claim. 78 Accordingly, prepared endorse reasoning Appeals, affirm litigated become 51. Cf. Restatement (Second) Contracts 178(1) (1981). ("The threshold compelling [a rights] impairs appreciable behind involved"). recognize analogy complete. former enters receives immediate benefits, expenditure 752, 1471. Also, plead tends satisfaction confirms fact. realize tangible, insignificant. Actions taken unethical. Disciplinary 7-105 Prosecutors themselves liable (1976) (discussing immunity). municipalities—perhaps most—prosecutors elected authorities situations, motivated constituency public, primarily 1985, district disposed 47,360 Of these, 6,053, 12.8%, ended trial. Annual Report Director Administrative Office Courts 374 recognized, full-scale Government multiply times judges facilities," 260, 497, " 'presume[d]' improper vindictive motive," 2488, (1982). Blackledge Perry, 417 21, 2098, 628 (1974) (holding violates Due Process Clause increase response appeal). complexity pretrial deferential. accepted decisions. supra; STEVENS' relies heavily Post, 404-407. rests acknowledge credence testimony. STEVENS gives "must innocent." 404. bears proof. Standards Criminal 14-1.8(a)(iii) (2d ed. 1980) (following plea, sentencing judge "by unnecessary, demonstrated genuine prevent[ing] unseemly embarrassment"). note applied voluntariness released considerations. Bushnell Rossetti, 750 298 (CA4 1984); Jones Taber, 648 1201 (CA9 1981). occasion inquiry alone helpful supervision essential otherwise-proper help "Q. say. "A. That's your office. Right. brought up? Yes. asked knew Dave Champay's [Champy's] wife left says no, didn't. What else say? says, said, 'Well, didn't want'—she 'David he's victim.' know—she 'I don't know do. hurt him.' do.' "So feel way towards him,' 'then can—it's to, case.' say 'It's stop case,' whatever. couldn't.' "And it.' "But kept saying was—she saying—well, 'I'm bad person. I'm vindictive.' that's you.' 'That's say.' says,—she rambling 'Look, Mary, leave. appointment. I'll o'clock tomorrow morning.' conversation." 26-27. wronged wished redress system. him." 13. Now, indicated thought court. Would answer? certainly cast aspersions court's really designed fact-finding amounts "If there's named committed cause. "[T]he tendency justices 23. yours convicted system; wasn't it? Yes." Tr. 65. expressed friend. improbable, initiated communicated approximately months, suddenly life ultimatum expire following morning. innocence credibility, uncontradicted. B-1 reads, part, follows: "On 1600 hours received Karen, agitated. background. hysterical, distraight [sic] terrified. rambled sobbed spoke me. acquired several subsequent personal visit Officer K. Marino Deary." Brief Appellant 85-1508 (CA1), 178. report, speculated hysteria (which occurred five earlier); midst heated complaint dated stated tampered informants, "[p]urposely, while phone A. Highland Street, [sic ] proceeding, wit Felonious Sexual Assault, attempt intimidation, coercion, violence [to] withhold proceedings." 129. Peace statement, day. 130. Okay. Did advise why? Again recall came office, bit hoped put effect get rely exclusively telling gotten control on, act. why made." 50. "As indicated, arrested. jury." Apparently witness-tampering episode Deary. "[S]omeone work begins appreciate verdict corresponds actual, facts. Therefore, develop sort philosophy becomes clash wills attorneys it's crap shoot things. "Now whereas deal confidence less confidence, know, regardless guilt client. less, willing subject, panoply aspects himself." 56. 56-57. covenantee, kinds involve issue makes all. assailant, See, e.g., Palhava de Varella-Cid Boston Five Cents Savings Bank, 787 676 1986). overlook yet which, incidentally, Dixon Columbia, 129 U.S.App.D.C. 341, 394 966 (1968) (prosecutor reneged sue); MacDonald Musick, 425 373 (CA9) condition officers), cert. denied, 400 852, 54, Boyd Adams, 513 83 (CA7 1975) (postarrest conditional bail, policy). 7-103 (1980) ("A instituted cause"), 7-14 discretionary refrain instituting continuing obviously unfair"); 3-3.9(a) ("It unprofessional institute, instituted, continued pendency cause"). Ninth observed: forestall policemen, arises mean stipulation latter's case." 375. Despite good unfortunate language final rejects holds 397; O'CONNOR's 399 (concurring judgment). present, author adhere views 372-373, 672-673, (POWELL, dissenting). Since incriminating version officers' summary daughter—rather coherent herself—it exactly apparent relationship assailant. pleaded included likely, outweigh careful plaintiff 397-398; 399, 401-402 (O'CONNOR, occupy amount parties' decisionmaking review. line extra immunity, 1195, afforded qualified Harlow Fitzgerald, 800, 2727, 396 "marginal frivolous" existing standards entailed oddly protection; signs, faith, proves otherwise. 1195 expended all, seem spent detour demonstrate, sensitivity today. Seventh held: "[W]e 966, 968-969 (1968), arrestee 'tacit' retaliated filing abeyance pursuant tacit agreement: 'The purpose deterring people exercising protest grievances. major evil prosecuted. Much thoroughly aired free suppression danger concocted usually arise arrests extremely vague offenses disorderly resisting arrest.' 88-89. misdemeanors felonies. "Sparing 399-400 Implicit reasoning, think, determined proper. claim—the lack misdemeanor dismissed. These routinely upheld employed. expect attempting cover illegal (such arrest) Particularly, relevance statistics footnote 396, proposition lacks litigate refers indicate 12.8 percent tell abandoned, invocation reinforces unnecessary. pressure unable immense, "give deprived privileges immunities official's position." Monroe Pape, 365 167, 172, 81 473, 476, 492 (1961).

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