People v. Wyngaard
People v. Wyngaard
Opinion of the Court
Defendant was convicted after a jury trial of being a prisoner in possession of a controlled substance, MCL 800.281(4); MSA 28.1621(4), and a third-offense habitual offender, MCL 769.11; MSA 28.1083. This case arose after defendant was found in possession of marijuana while an inmate at the Kin-ross Correctional Facility in Kincheloe, Michigan. Defendant appeals as of right. We affirm and remand for the trial court to conduct an in camera hearing in order to determine whether the confidential informant who told the prison guards that defendant was in possession of marijuana could provide testimony helpful to defendant.
Defendant first argues that his criminal conviction must be reversed because it violated his right to be free from double jeopardy, given that he had been already punished for this incident when $874.84 was taken from his prisoner account pursuant to a civil forfeiture action. We disagree. This Court recently addressed this issue in People v Acoff, 220 Mich App 396; 559 NW2d 103 (1996). Defendant has not provided the transcript of the civil forfeiture proceeding or any proof that the forfeiture was so punitive in purpose or effect that it was equivalent to a criminal proceeding. Therefore, defendant’s double jeopardy claim is without merit. Id.
When a defendant requests the production of a confidential informant, the court should conduct an in camera hearing and interview the informant outside the defendant’s presence, thereby protecting the informant’s anonymity, in order to determine if the informant could offer testimony that would be helpful to the defendant. People v Underwood, 447 Mich 695, 706; 526 NW2d 903 (1994); People v Stander, 73 Mich App 617, 622-623; 251 NW2d 258 (1977). The trial court erroneously determined that defendant was required to demonstrate an actual, rather than possible, need for the informant’s testimony before the in camera hearing would be deemed appropriate. Consequently, we remand for the court to conduct this in camera hearing. If the trial court finds that the informant could offer no testimony favorable to the defense, then defendant’s conviction shall be affirmed. A contrary finding shall require reversal and a new trial. Stander, at 623.
Defendant next argues that he was denied the effective assistance of counsel where his trial counsel elicited character evidence suggesting that defendant was a known drug dealer. We disagree. Defendant has not overcome the presumption that his trial counsel’s actions were consistent with a trial strategy. Also, where there was overwhelming evidence of defendant’s guilt, it cannot be said that there is a reasonable probability that the jury would have concluded differently. Thus, there was no ineffective assistance. People v Stanaway, 446 Mich 643, 687-688; 521 NW2d 557 (1994).
Finally, defendant argues that the crime of being a prisoner in possession of a controlled substance requires a showing of specific intent and that the prosecution failed to provide sufficient evidence to support a jury finding on this element. We disagree. Specific intent is not an element of this offense. People v Norman, 176 Mich App 271, 274-275; 438 NW2d
Affirmed and remanded for further proceedings consistent with this opinion. We do not retain jurisdiction.
Miranda v Arizona, 384 US 436; 86 S Ct 1602; 16 L Ed 2d 694 (1966).
Concurring in Part
(concurring in part and dissenting in part). I concur with the conclusions of the lead opinion — affirming defendant’s convictions but remanding to determine whether the testimony of the confidential informant should have been admitted — but disagree with the view that defendant’s Miranda
On appeal, defendant argues that the trial court erroneously admitted into evidence admissions made at a disciplinary hearing because he was not given Miranda warnings before making the admissions. In People v Carr, 149 Mich App 653, 656; 386 NW2d 631 (1986), this Court held that ‘Miranda warnings do not apply at an administrative disciplinary hearing.” I agree with this conclusion for the reasons set forth in Carr. However, the Carr Court also held that, “[qjuite aside from Miranda, defendant is entitled to other Fifth Amendment protections.” Id. at 657. The Fifth Amendment provides, in pertinent part, that “No person .. . shall be compelled in any Criminal Case to be a witness against himself . . . .” US Const, Am V. The Carr Court found that inmates were compelled to speak at prison disciplinary proceedings:
*687 Under current practice, inmates must make a “Catch 22” choice. They can either testify at the prison disciplinary hearing and incriminate themselves or forego the right to offer exculpatory or mitigating statements and face the potential penalties for prison misconduct based on evidence which they cannot refute or explain. . . . But if an inmate’s statements at the disciplinary hearing can be used against him in a subsequent criminal trial, it is likely that such statements will be withheld from the administrative hearing examiner for fear of being used against the inmate at a later time. The inmate ... is forced to forego a valuable defense. This constitutes an impermissible penalty for the exercise of the privilege against self-incrimination. Even the Department of Corrections Hearing Handbook states that, while Miranda warnings are not required, no statement made by a prisoner at the prehearing interrogative stage or at formal hearings is admissible at a subsequent criminal proceeding. [Carr, supra at 658-659. Citation omitted.]
The Carr Court concluded at 659:
In the present case, defendant’s admission at the disciplinary hearing actually served to reduce the severity of defendant’s discipline. The penalty defendant thereafter suffered for speaking out was conviction at a subsequent criminal proceeding on the underlying offense. In our opinion the proper remedy is adoption of the procedure announced in [People v] Rocha [86 Mich App 497, 512; 272 NW2d 699 (1978)], viz.: any evidence derived from testimony at a disciplinary hearing is inadmissible at subsequent criminal proceedings on the underlying charge, save for impeachment or rebuttal, and the accused must be advised before testifying at the disciplinary hearing that his testimony will not be admissible against him at a subsequent criminal trial on the underlying offense.
As a practical matter, I note that testimony that an inmate would consider providing at a disciplinary hearing as exculpatory of a misconduct charge is likely also to be exculpatory regarding any related
Whether the use, in a subsequent criminal proceeding, of testimony given in a disciplinary hearing violates the Fifth Amendment privilege against compelled self-incrimination turns on whether inmates are “compelled” to testify in disciplinary proceedings.
The United States Supreme Court, however, has also addressed the issue of compelled self-incrimination in situations in which a party is merely faced with a difficult tactical choice in deciding whether to assert this privilege as opposed to direct compulsion to waive it or a direct penalty on assert
The defendant in a criminal trial is frequently forced to testify himself and to call other witnesses in an effort to reduce the risk of conviction. When he presents his witnesses, he must reveal their identity and submit them to cross-examination which in itself may prove incriminating or which may furnish the State with leads to incriminating rebuttal evidence. That the defendant faces such a dilemma demanding a choice between complete silence and presenting a defense has never been thought an invasion of the privilege against compelled self-incrimination. The pressures generated by the State’s evidence may be severe but they do not vitiate the defendant’s choice to present an alibi defense and witnesses to prove it, even though the attempted defense ends in catastrophe for the defendant. However “testimonial” or “incriminating” the alibi defense proves to be, it cannot be considered “compelled” within the meaning of the Fifth and Fourteenth Amendments.
United States v Rylander, 460 US 752; 103 S Ct 1548; 75 L Ed 2d 521 (1983), involved contempt proceedings for failure to produce records for the Internal Revenue Service. The Court of Appeals had held that Rylander’s assertion of his Fifth Amendment privilege required the government to bear the burden of producing evidence demonstrating that Rylander was able to produce the documents in question. The Supreme Court held at 758:
[W]hile the assertion of the Fifth Amendment privilege against compulsory self-incrimination may be a valid ground upon which a witness such as Rylander declines to*691 answer questions, it has never been thought to be in itself a substitute for evidence that would assist in meeting a burden of production. We think the view of the Court of Appeals would convert the privilege from the shield against compulsory seF-incrimination which it was intended to be into a sword whereby a claimant asserting the privilege would be freed from adducing proof in support of a burden which would otherwise have been his. None of our cases support this view.
We have squarely rejected the notion, apparently subscribed to by the Court of Appeals, that a possible failure of proof on an issue where the defendant had the burden of proof is a form of “compulsion” which requires that the burden be shifted from the defendant’s shoulders to that of the government.
In United States v One 1985 Plymouth Colt Vista, 644 F Supp 1546 (ND Ill, 1986), the court followed Rylander in the context of a forfeiture proceeding. There, the claimant contended that he could meet his burden of proof regarding evidence of non-drug-related sources of funds for the car at issue only by incriminating himself. The Plymouth Colt Vista court concluded that the claimant’s “dilemma”
is really no different from that faced by every criminal defendant forced to choose between complete silence and presenting a defense. By choosing silence the defendant incurs the risk the government, if it satisfies its burden of proof, will prevail. Yet that has never been thought to violate the privilege against self-incrimination. [Id. at 1552.]
The court further stated that Rylander stood for the proposition that the fact that a party must decide whether to remain silent in a hearing in which the burden of proof is less than proof beyond a reasonable doubt as required in a criminal trial does not constitute compulsion under the Fifth Amendment. Id.
In Carr, as here, there is no indication that inmates were compelled to furnish testimony at prison disciplinary hearings. In disciplinary hearings, there is no direct penalty placed on an inmate’s assertion of the privilege against compelled self-incrimination. The hearing officer’s decision must be based on a preponderance of the evidence. MCL 791.252(k); MSA 28.2320(52)(k). Therefore, an inmate’s choice to remain silent will not automatically result in a determination that he has engaged in the misconduct with which he is charged; prison authorities must affirmatively satisfy the statutory burden of proof. See Baxter, supra at 317.
That an inmate is faced with this tactical decision is distinguishable from placing a direct penalty on assertion of the privilege against compelled self-incrimination, as in Garrity and Lefkowitz. See Lefkowitz, supra at 808, n 5. In Carr, as here, the state did not threaten “to inflict potent sanctions unless the constitutional privilege [was] surrendered.” Lefkowitz at 805. Nor was assertion of the privilege “penalized so as to ‘foreclose a free choice to remain silent, and . . . [compel] . . . incriminating testimony.’ ” Murphy, supra at 434. (Citation omitted.) I am aware of the federal and state cases from other jurisdictions cited in the dissent that conclude that prison disciplinary proceedings compel waiver of the privilege against compelled self-incrimination or that require Miranda warnings at prison disciplinary proceedings.
Miranda v Arizona, 384 US 436; 86 S Ct 1602; 16 L Ed 2d 694 (1966).
I note that, here, defendant claims that he entered a guilty plea at the disciplinary hearing “to avoid possible harm and inmate retribution.” However much these considerations might have contributed to making defendant’s decision a difficult one, the Fifth Amendment does not address “compulsion” derived from sources other than the government.
“[T]he Fifth Amendment . . . prohibits coerced or involuntary confessions. .. . [T]o ‘compel’ a suspect to become a witness against himself can only mean to ‘coerce’ a suspect to become a witness against himself.” Grano, Confessions, Truth, and the Law (Ann Arbor: The University of Michigan Press, 1993), p 135.
In Baxter, the inmate was advised that he was not required to testify at a prison disciplinary hearing but that his silence could be used against him; the Court concluded that allowing an adverse inference to be drawn from an inmate’s silence at a disciplinary proceeding was valid. Baxter, 425 US 320. The Baxter Court was not faced with the issue whether an inmate is “compelled” to speak at a prison disciplinary proceeding.
It is this type of direct penalty on assertion of the privilege against compelled seh-incrimination that the Garrity Court referred to as “a choice between the rock and the whirlpool.” Garrity, supra at 496.
See also Murphy, supra at 438:
If Murphy did harbor a belief that his probation might be revoked for exercising the Fifth Amendment privilege, that belief would not have been reasonable. Our decisions have made clear that the State could not constitutionally carry out a threat to revoke probation for the legitimate exercise of the Fifth Amendment privilege.
I believe that this Court should carefully and respectfully approach issues regarding which our conclusions differ from those in a majority of other jurisdictions that have considered the same issues. However, our ultimate task here is not to “count noses” but to interpret the language of the constitution. As clearly stated above, I agree with Carr’s conclusion that Miranda warnings are not required in the noncriminal context of prison disciplinary hearings.
By respecting the distinction between direct compulsion to waive the privilege against compelled self-incrimination and mere indirect pressure to testify that creates a difficult tactical choice, I am seeking to accord reasonable meaning to the language of the Fifth Amendment. By effectively equating “compulsion” with a decision undertaken from among unattractive choices, the cases cited in the dissent create a slippery slope
Carr states that the Department of Corrections Hearing Handbook indicates that no statement made at a hearing is admissible at a subsequent criminal proceeding. The Department of Corrections is free to articulate whatever policy it chooses in its handbook, but I do not believe that such policy is required by the state or federal constitutions.
I also note that Rocha, on which Carr is based, specifically stated that it was based “upon public policy rather than constitutional grounds.” Rocha, supra at 512.
I also find instructive Justice Boyle’s dissent from the summary order denying leave to appeal in People v Pacholka, 451 Mich 896 (1996), in which, in the context of Rocha, supra (probation revocation proceeding), she questions whether courts have the inherent authority to grant use
The fact that defendant does not argue that he was specifically promised that any testimony he provided at the disciplinary hearing would not be used in a subsequent criminal proceeding suggests that he may not have been so advised.
Dissenting Opinion
(dissenting). I disagree with the lead opinion’s conclusion that this case does not present “an important constitutional issue that is decisive of the outcome” of this case. Ante at 685. In People v Carr, 149 Mich App 653, 659; 386 NW2d 631 (1986), this Court held that “any evidence derived from testimony at a disciplinary hearing is inadmissible at subsequent criminal proceedings on the underlying charge, save for impeachment or rebuttal . . . .” This rule in Carr is outcome determinative of the present case and defendant’s convictions should be reversed.
Evidence concerning the circumstances surrounding the search of defendant could have supported the conclusion that defendant had been caught red-handed as a result of deft work by corrections officers. However, other evidence suggested that defendant had been framed — corrections officers consistently refused to disclose the identity of the informant, defendant was apprehended before he had had the opportunity to discover what the box he had been handed contained, and another inmate testified that he had handed defendant the box and that defendant would have had no way to know what was in it. Further, this other inmate was apparently never disciplined or prosecuted in any way.
An administrative disciplinary hearing was held before a hearing officer of the Michigan Department of Corrections. At the hearing, defendant admitted that he had knowingly possessed the marijuana and he was punished in accordance with Department of Corrections guidelines. He later stated that he pleaded guilty to avoid being considered a “snitch” by other inmates. Significantly, all parties concede that defendant was at no point told that his testimony
Soon after, criminal proceedings were initiated against defendant. Defendant testified at trial that he had not known that the box that he was handed contained marijuana. After considering the evidence set forth above, the jury was unable to reach a unanimous verdict.
Defendant argues that the evidence of his earlier confession at the disciplinary hearing was not admissible in the subsequent trial because he was not read his Miranda
In the present case, defendant’s first trial resulted in a mistrial because the jury was unable to reach a verdict. The only significant difference between the first trial and the second trial, at least in terms of the evidence presented, was the introduction of the hearing officer’s testimony at the second trial. Thus, there could hardly be a clearer indication that the introduction into evidence of the testimony “is decisive of the outcome . . . .’’Id. Therefore, I believe we are required to review this issue despite the fact that it was not properly preserved below.
To reiterate defendant’s position, he contends that the admission into evidence of his prior confession of guilt violated his Fifth Amendment rights.
[A]ny evidence derived from testimony at a disciplinary hearing is inadmissible at subsequent criminal proceedings . on the underlying charge, save for impeachment or rebuttal, and the accused must be advised before testifying at the disciplinary hearing that his testimony will not be admissible against him at a subsequent criminal trial on the underlying offense.
It is not contended in the present case that the hearing officer’s testimony was offered for impeachment* ***
I would reverse.
Separation of powers concerns and a closer analysis of the constitutional question presented in Carr compel me to the conclusion that the Carr resolution is a public policy decision and is not warranted by the
The record contains a transcript of the testimony presented at the first trial, but the transcript does not reflect the jury’s verdict or, rather, an indication that the jury was unable to reach a verdict. I infer that the first trial resulted in a mistrial from defense counsel’s representation at the sentencing hearing (after the second trial) that the first trial resulted in a hung jury. This representation is corroborated, obviously, by the fact that a second trial was conducted.
Miranda v Arizona, 384 US 436; 86 S Ct 1602; 16 L Ed 2d 694 (1966).
To my knowledge, every court that has addressed the issue, i.e., whether Miranda rights must be read at a prison disciplinary hearing, has concluded that the statements at a prison disciplinary hearing of an inmate who has not been advised of his Miranda rights may not be used against him at a subsequent criminal trial. Avant v Clifford, 67 NJ 496, 538-540; 341 A2d 629 (1975); Carter v McGinnis, 351 F Supp 787, 794 (WD NY, 1972); People v Stamus, 902 P2d 936, 938 (Colo App, 1995); Grant v State, 154 Ga App 758; 270 SE2d 42 (1980); Pruitt v State, 176 Ga App 317, 319; 335 SE2d 724 (1985); United States v Redfield, 402 F2d 454, 455 (CA 4, 1968); State v Harris, 176 Mont 70, 72-73; 576 P2d 257 (1978).
Though the hearing officer’s account of defendant’s prior confession could have been used to impeach defendant’s credibility, it was not so used in the present case. The hearing officer testified as part of the prosecution’s case in chief, that is, before defendant testified, and the officer’s testimony was utilized as substantive evidence of defendant’s guilt.
For the reasons stated in Carr, I agree that Miranda warnings are not required at prison disciplinary hearings. However, if the state intends to use the accused’s testimony at a subsequent criminal proceeding, a different issue is presented. If I were writing on a clean slate, the focal point of this issue would be whether prison disciplinary hearings involve custodial interrogation. If there is no custodial interrogation at prison disciplinary hearings, then the Miranda warnings are not required. However, if custodial interrogation does/did occur, then the state, if it intends to use the accused’s statements in a subsequent criminal proceeding, must give the accused his Miranda rights. People v Hill, 429 Mich 382; 415 NW2d 193 (1987).
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