State v. David Burris
State v. David Burris
Opinion
The defendant, David Burris, has been indicted on three counts of felony reckless conduct. See RSA 631:3 (2016). The Superior *832 Court ( Delker , J.) denied the defendant's motion to dismiss the charges but approved this interlocutory appeal from ruling. Sup. Ct. R. 8. Because we conclude that the defendant is not entitled to transactional immunity under Part I, Article 15 of the New Hampshire Constitution, we affirm and remand.
The facts as presented in the interlocutory appeal statement are as follows. At the time of the events giving rise to the indictment, the defendant was employed as a probation and parole officer with the New Hampshire Department of Corrections (Department). The indictment alleges that on December 1, 2015, the defendant engaged in reckless conduct when, during a home visit to a probationer he was supervising, he discharged a firearm three times at a motor vehicle operated by the probationer.
The Department investigated the incident. According to the defendant, as part of that investigation he was ordered, on at least two occasions, "under threat of immediate termination to provide a written statement regarding the events [that later gave] rise to the indictment." Before providing a written statement, and again prior to submitting to an interrogation by the director of the Department, the defendant made the following assertion:
I have been ordered by the NH Department of Corrections to participate in this interview/meeting and/or to provide this statement. I do so at this order as a condition of my employment. Failure for me to abide by this order would lead to immediate severe discipline in the form of automatic dismissal and/or job forfeiture. As such, I have no alternative but to abide by this order. It is my belief and understanding that the Chief and the Department requires [ sic ] my participation solely and exclusively for internal purposes and will not release it [ sic ] to any other agency. It is my further belief that any statements will not and cannot be used against me in any subsequent criminal proceedings. I authorize release of any statements to my attorney or designated union representative. I retain the right to amend or change this statement upon reflection to correct any unintended mistake without subjecting myself to a charge of untruthfulness. For any and all other purposes, I hereby reserve my constitutional right to remain silent under the Fifth and Fourteenth Amendments to the United States Constitution and Part 1, Article 15 of the New Hampshire Constitution and any other rights prescribed by law. I specifically rely on the [principles] and protections afforded to me by State v. Norwell [ sic ],58 N.H. 314 (1878). Further, I rely upon the protection afforded me under the doctrines set forth in Garrity v. New Jersey,385 U.S. 493 ,87 S.Ct. 616 ,17 L.Ed.2d 562 (1967) ; Spevack v. Klein, 385 U.S. [511],87 S.Ct. 625 ,17 L.Ed.2d 574 [1967] ; State v. Litvin,147 NH 606 ,794 A.2d 806 (2002) and any other rights afforded under New Hampshire law and/or the New Hampshire Constitution, should this report/statement be used for any other purpose of whatsoever kind or description.
The defendant then provided a compelled statement regarding the events of December 1, 2015. The director subsequently issued an investigative report to the commissioner of the Department that quoted and directly relied upon both the defendant's written statement and his interview. 1
The State avers that the prosecuting entity in this case, the Strafford County *833 Attorney's Office, "was provided with a redacted version of the [investigative report] and other materials from [the] New Hampshire Department of Corrections, that did not reference or include [the defendant's] statement or the fruits therefrom." For purposes of this interlocutory appeal, the defendant accepts the State's representations regarding the materials to which the Strafford County Attorney's Office has had access. In October 2016, the defendant was indicted on three counts of felony reckless conduct.
The defendant moved to dismiss the indictment, arguing that he is entitled to transactional immunity under Part I, Article 15 of the New Hampshire Constitution. He asserted that the State Constitution provides broader protection against self-incrimination than the Fifth Amendment to the United States Constitution and that, pursuant to
State v. Nowell
,
The question transferred for our review is: "Whether Article 15 of the New Hampshire Constitution, as construed by [this court] in
State v. Nowell
,
Part I, Article 15 of the State Constitution provides in part that "[n]o subject shall be ... compelled to accuse or furnish evidence against himself." N.H. CONST. pt. I, art. 15. This privilege against self-incrimination permits an individual "to refuse to testify against himself at a criminal trial in which he is a defendant, [and] also privileges him not to answer official questions put to him in any other proceeding, civil or criminal, formal or informal, where the answers might incriminate him in future criminal proceedings."
Knowles v. Warden, N.H. State Prison
,
The defendant argues that Part I, Article 15"requires that a public employee be afforded transactional immunity to displace the right to be free from providing compelled statements against one's self," and that "[b]ecause full transactional immunity ... is the price the State must pay for compelling his testimony, the indictment[s] must be dismissed." The defendant further contends that the trial court erroneously determined that the holding in Nowell is dicta. In addition, he asserts that even if we determine that transactional immunity is not necessary to displace his right to remain silent, he was entitled to rely upon this court's longstanding precedent.
There are generally two types of immunity that prosecutorial authorities offer in exchange for compelled testimony. "Transactional immunity," the broadest form of immunity, affords "immunity from prosecution for offenses to which compelled testimony relates."
Kastigar v. United States
,
In New Hampshire, prosecutors are authorized, by statute, to grant use and derivative use immunity.
See
RSA 516:34 (2007);
see
also
State v. Kivlin
,
Distinguished from immunity authorized by statute or court rule, the type of immunity at issue in this case is so-called "
Garrity
immunity," which applies in the public employment context.
See
Garrity v. New Jersey
,
In
Garrity
, the Attorney General of New Jersey investigated the alleged fixing of traffic tickets.
Garrity
,
Agreeing with the police officers that their statements had been coerced, the Court stated that "[t]he choice given [to them] was either to forfeit their jobs or to incriminate themselves," and that "[t]he option to lose their means of livelihood or to pay the penalty of self-incrimination is the antithesis of free choice to speak out or to remain silent."
Following
Garrity
, the Court addressed the claims of a police officer who was dismissed because he refused to waive his privilege against self-incrimination.
Gardner v. Broderick
,
The Court acknowledged that the privilege against self-incrimination "may be waived in appropriate circumstances if the waiver is knowingly and voluntarily made" and that "[a]nswers may be compelled regardless of the privilege if there is immunity from federal and state use of the compelled testimony or its fruits in connection with a criminal prosecution against the person testifying."
In a decision issued the same day as
Gardner
, the Court observed that, although public employees are entitled "like all other persons" to the benefit of the privilege against self-incrimination, "being public employees," they "subject themselves to dismissal if they refuse to account for their performance of their public trust, after proper proceedings, which do not involve an attempt to coerce them to relinquish their constitutional rights."
Sanitation Men v. Sanitation Comm'r
,
The Court subsequently underscored that its decisions in
Garrity
,
Gardner
, and
Sanitation Men
"ultimately rest on a reconciliation of the well-recognized policies behind the privilege of self-incrimination, and the need of the State ... to obtain information to assure the effective functioning
*836
of government," noting that "[i]mmunity is required if there is to be rational accommodation between the imperatives of the privilege and the legitimate demands of government to compel citizens to testify."
Lefkowitz v. Turley
,
[a]lthough due regard for the Fifth Amendment forbids the State to compel incriminating answers from its employees and contractors that may be used against them in criminal proceedings, the Constitution permits that very testimony to be compelled if neither it nor its fruits are available for such use. Furthermore, the accommodation between the interest of the State and the Fifth Amendment requires that the State have means at its disposal to secure testimony if immunity is supplied and testimony is still refused. This is recognized by the power of the courts to compel testimony, after a grant of immunity, by use of civil contempt and coerced imprisonment. Also, given adequate immunity, the State may plainly insist that employees either answer questions under oath about the performance of their job or suffer the loss of employment.
In its most recent decision on this topic, after citing
Garrity
and
Gardner
, the Court observed that "[o]nce proper use immunity is granted, the State may use its contempt powers to compel testimony concerning the conduct of public office, without forfeiting the opportunity to prosecute the witness on the basis of evidence derived from other sources."
Lefkowitz v. Cunningham
,
Although acknowledging the above "general principles regarding compelled statements by public employees," the defendant asserts that, pursuant to this court's 1878 decision in
Nowell
, and our "reaffirm[ance]" in
Wyman v. De Gregory
,
In
Nowell
, we were asked to determine whether a statute that provided transactional immunity to any "clerk, servant, or agent of any person accused" of violating a law prohibiting the sale of intoxicating liquors who was called to testify "against his principal" was constitutional.
Nowell
,
We agree with the trial court's analysis and conclude that neither
Nowell
nor
De Gregory
control the determination of whether the use and derivative use immunity remedy provided by
Garrity
and its progeny to a government employee for statements compelled by his public employer under threat of an adverse employment action satisfies the privilege against self-incrimination under the State Constitution. "Historically the privilege against compelled self-incrimination originated as a reaction to the practice in the early English courts of compelling a witness to be sworn and give testimony concerning his guilt."
State v. Cormier
,
The immunity provided in a
Garrity
context prohibits the use of the government employee's "compelled answers and evidence derived therefrom in any subsequent criminal case in which he is a defendant."
Turley
,
Given that we have recognized that it is the impermissible
use
of compelled testimony that the privilege against self-incrimination embodied in Part I, Article 15 protects, if the compelled testimony cannot be put to any use whatsoever by the State in a criminal prosecution against the defendant, his privilege against self-incrimination is not infringed.
See
Murphy
,
*838
Kastigar
,
We have recognized that the privileges contained in Part I, Article 15 of the State Constitution and the Fifth Amendment to the Federal Constitution are "comparable in scope."
Knowles
,
In
Carney
, the Supreme Judicial Court held that Part I, Article 12 of the Massachusetts Declaration of Rights "requires transactional immunity to supplant the privilege against self-incrimination, even in the context of public employment."
Finally, the defendant argues that "there can be no adequate procedural protection against a prosecutor's non-evidentiary use of compelled statements." Given that there is no record in this case to support this contention, we decline to address it. Accordingly, we affirm the trial court's denial of the defendant's motion to dismiss the charges against him and remand for further proceedings consistent with this opinion.
Affirmed and remanded .
HICKS, BASSETT, and HANTZ MARCONI, JJ., concurred.
A copy of the defendant's written statement was included in the report.
The Court of Appeals for the First Circuit has explained that, "together,
Garrity
and
Gardner
stand for the proposition that a government employee who has been threatened with an adverse employment action by [the] employer for failure to answer questions put to [the employee] by [the] employer receives immunity from the use of [the employee's] statements or their fruits in subsequent criminal proceedings, and, consequently, may be subject to such an adverse employment action for remaining silent."
Sher v. U.S. Dept. of Veterans Affairs
,
Reference
- Full Case Name
- The STATE of New Hampshire v. David BURRIS
- Cited By
- 1 case
- Status
- Published