Briggs v. Goodwin
Opinion of the Court
Opinion for the Court filed by Senior Circuit Judge BAZELON.
Opinion concurring in the judgment filed by Senior Circuit Judge MacKINNON.
The allegations in this case raise troubling issues of law: Appellant Briggs alleges that appellee Goodwin, a United States Attorney, knowingly gave false sworn testimony before a district court, which resulted in a violation of appellant’s constitutional rights. Appellee asserts entitlement to absolute immunity from civil liability arising from his testimony. This court rejected that claim. Thereafter the Supreme Court decided Briscoe v. LaHue
I
The factual background and procedural history in this case have been fully detailed in our earlier opinions, Briggs v. Goodwin, 698 F.2d 486 (D.C.Cir. 1983) (“Briggs II”); Briggs v. Goodwin, 569 F.2d 10 (D.C.Cir. 1977), cert. denied, 437 U.S. 904, 98 S.Ct. 3089, 57 L.Ed.2d 1133 (1978) (“Briggs I”); only a brief review is required here.
The case arises out of a grand jury proceeding in which several grand jury witnesses, including appellant Briggs, were represented by the same counsel.
In a 2-1 decision, this court rejected Goodwin’s prosecutorial immunity claim. Briggs I, 569 F.2d 10 (D.C.Cir. 1977), cert. denied, 437 U.S. 904, 98 S.Ct. 3089, 57 L.Ed.2d 1133 (1978). Applying the “functional” test outlined in Imbler v. Pachtman,
For a variety of reasons,
On remand, the district court granted summary judgment for Goodwin.
Briscoe v. LaHue.
Briscoe involved a civil suit for damages under 42 U.S.C. § 1983 against a police officer who allegedly gave perjured testimony that led to the plaintiff’s criminal conviction. All parties to the suit agreed that the common law affords lay witnesses absolute immunity from civil suits based on their testimony.
Briscoe explicitly considered these concerns and found that they did not justify excluding official witnesses from the protection of absolute witness immunity.
In Briggs I, this court denied Goodwin witness immunity because his testimonial act differed from that of a witness in the usual sense. The court found that Goodwin’s brief statement on the stand “was prompted by, and directly incidental to” his involvement in managing and administering an investigation.
We find it difficult to distinguish Goodwin’s testimonial act from those of police officers in situations falling within the rationale of Briscoe. Testimony by a police officer will very often involve challenges to his conduct while performing investigatory tasks. A police officer who has been integrally involved in an investigation that culminates in a criminal prosecution has a clear interest in the outcome of the trial. In such a situation, the police officer has professional and personal interests in his testimony that are closely analogous to Goodwin’s interest in the testimony out of which this suit arises. Briggs I explicitly found Goodwin to be operating not as a prosecutor but as an investigator.
The fact that Briscoe involved statements at a trial whereas this case involves statements at a hearing on a motion during the grand jury phase of an investigation is not a distinction that allows a different result. Briscoe emphasized the concern that the absence of immunity would interfere with the ability of “judicial proceedings”
In addition to causing reconsideration of Goodwin’s witness status, Briscoe rejected the reasons offered in Briggs I for why absolute witness immunity might not apply to government officers in suits alleging constitutional violations.
Ill
In granting absolute immunity to public officials acting as witnesses, the Supreme Court recognized that “the alternative of limiting the official’s immunity would dis-serve the broader public interest.”
So ordered.
. -U.S.-, 103 S.Ct. 1108, 75 L.Ed.2d 96 (1983).
. For a more detailed account, see Briggs I, 569 F.2d 10, 13-14 (D.C.Cir. 1977).
. 424 U.S. 409, 96 S.Ct. 984, 47 L.Ed.2d 128 (1976).
. Briggs I, 569 F.2d at 16-25.
. See Gray v. Bell, 712 F.2d 490 (D.C.Cir. 1983). Gray reiterated the distinction between the advocatory and investigatory roles of the prosecutor. It found that the prosecutor in that case, in preparing for and presenting evidence to the grand jury, was functioning in his advocatory role and was therefore entitled to absolute immunity. Our action in this case, upholding absolute immunity for the prosecutor’s conduct as a witness, does not affect the standards set out in Gray.
. Two members of the Briggs I panel (Judges Robinson and Wilkey) concluded that the witness immunity issue was properly before them under the “collateral order” exception to the final judgment rule of 28 U.S.C. § 1291 (1976). 569 F.2d at 58. The third member of the panel, Judge McGowan, dissented on this point. Id. at 26 n. 14.
. See 569 F.2d at 15, 58.
. Id. at 26.
. Id. at 26-27.
. Id. at 27-29.
. Briggs v. Goodwin, No. 74-803, slip op. at 4 (D.D.C. Sept. 19, 1980).
. -U.S. at-, 103 S.Ct. at 1115.
. Because Briscoe was a suit brought under 42 U.S.C. § 1983, much of the Supreme Court’s opinion and of Justice Marshall’s dissent concerns whether section 1983 created an exception to the general witness immunity provided by common law. Id. - U.S. at -, 103 S.Ct. at 1112-1119; id.-U.S. at-, 103 S.Ct. at 1120-1131 (Marshall, J., dissenting). That analysis is not directly applicable here, as this case involves a suit brought directly under the Constitution as recognized in Bivens v. Six
. Briscoe,-U.S. at - — , 103 S.Ct. at 1115.
. Id.; see Veeder, Absolute Immunity in Defamation: Judicial Proceedings, 9 Colum.L.Rev. 463, 470 (1909).
. Imbler v. Pachtman, 424 U.S. 409, 439, 96 S.Ct. 984, 999, 47 L.Ed.2d 128 (quoting 1 F. Harper & F. James, The Law of Torts, § 5.22 at 424 (1956)).
. ’-U.S. at-, -, 103 S.Ct. at 1120, 1130 (Marshall, J., dissenting); id.-U.S. at -, 103 S.Ct. 1120 (Brennan, J., dissenting); id.-U.S. at-, 103 S.Ct. at 1132 (Black-mun, J., dissenting).
. Briscoe,-U.S. at-, 103 S.Ct. at 1131 (opinion of the Court).
. See Newman, Suing the Law Breakers, 87 Yale L.J. 447, 449-50 (1978).
. -U.S. at-, 103 S.Ct. at 1118.
. Id.
. Id.
. Id.-U.S. at-, 103 S.Ct. at 1115 (quoting Imbler v. Pachtman, 424 U.S. 409, 439, 96 S.Ct. 984, 999, 47 L.Ed.2d 128 (1976) (White, J., concurring in the judgment)).
. Id. at 27.
. Id. at 16-25 (“[W]e rely on a series of federal decisions distinguishing between a prosecutor’s role as advocate, on the one hand, and his function as an administrative or investigative officer, on the other.” Id. at 16.).
. In Briggs I, the court did not consider of great significance the fact that Goodwin made his statement under oath from the witness stand:
Had [Goodwin] volunteered to represent as an officer of the court that no informers were involved, and had the parties been content with that, there would be no issue as to witness immunity worthy of the name. The difference between the falsity of such a non-testimonial representation, on the one hand, and the technical consequence of perjury attached . to a statement under oath, on the other, is not at the heart of the immunity issue in this appeal.
569 F.2d at 26. Fuller briefing on this issue indicates that- the fact of Goodwin’s oath was indeed significant to the credibility given his statement by those who relied on it. The full transcript makes clear that Goodwin offered to make an unsworn representation in response to the court’s inquiry, but witnesses’ counsel insisted that such a representation was “not competent proof in any court of law and that under these circumstances Mr. Goodwin ought to submit an affidavit under oath .... ” (July 13, Tr. pp. 64-65, Joint Appendix (J.A.) 629-30). It was in response to this objection that the court ordered Goodwin to take the stand, be sworn and testify. Moreover, testimony at appellant’s criminal trial, and deposition's and interrogatories suggest the importance of the fact that Goodwin’s statement was under oath. See, e.g., Answer of Jack Jennings to Goodwin’s Interrogatory No. 11, J.A. 530; Answer of Scott Camil to Goodwin’s Interrogatory No. 11, J.A. 519; Answer of John Briggs to Goodwin’s Interrogatory No. 11, J.A. 517; Deposition of Peter P. Mahoney, September 4, 1979, p. 128, J.A. 497; Answer of William Patterson to Goodwin’s Interrogatory No. 10, J.A. 511b.
. -U.S. at-, 103 S.Ct. at 1115 (quoting Imbler v. Pachtman, 424 U.S. 409, 439, 96 S.Ct. 984, 999, 47 L.Ed.2d 128 (1976) (White, J., concurring in the judgment)).
. -U.S. at-, 103 S.Ct. at 1115 (quoting Imbler v. Pachtman, 424 U.S. 409, 440, 96 S.Ct. 984, 999, 47 L.Ed.2d 128 (1976) (White, J., concurring in the judgment)).
. See supra pp. 1446-1447.
. The Court cited Briggs I as evidence of a split in the circuits on the immunity question, which supplied a reason for granting certiorari. - U.S. at -, n. 4, 103 S.Ct. 1112 n. 4.
. Briscoe involved a suit under 42 U.S.C. § 1983, whereas the instant case arises directly under the Constitution. See Bivens v. Six Unknown Named Agents of the Federal Bureau of Narcotics, 403 U.S. 388, 91 S.Ct. 1999, 29 L.Ed.2d 619 (1971). The Supreme Court has noted, however, that “it would be untenable to draw a distinction for purposes of immunity law between suits brought against state officials under § 1983 and suits brought directly under the Constitution against federal officials.” Butz v. Economou, 438 U.S. 478, 504, 98 S.Ct. 2894, 2909, 57 L.Ed.2d 895 (1978); see also Harlow v. Fitzgerald, 457 U.S. 800, 818, 102 S.Ct. 2727, 2738 n. 30, 73 L.Ed.2d 396 (1982).
. Briscoe,-U.S. at-, 103 S.Ct. at 1120.
. Id.-U.S. at-, 103 S.Ct. at 1120 (quoting Gregoire v. Biddle, 177 F.2d 579, 581 (2d Cir. 1949), cert. denied, 339 U.S. 949, 70 S.Ct. 803, 94 L.Ed. 1363 (1950)).
. While upholding appellee’s absolute immunity claim, we note our deep concern. The allegations in this case painfully illustrate the significant costs of this holding — not only to the appellant, but to the integrity of our criminal justice system as well. As the state’s lawyer and an officer of the court, a prosecutor has a special obligation to discharge his duties lawfully and fairly. In this case, appellant claims that a prosecutor perjured himself from the witness stand during a criminal investigation. Our response to appellant’s claim is that a civil damages action, whatever its merits, may not be pursued against the prosecutor. Instead, appellant must rely on the possibility of a prosecution of the prosecutor by his fellow prosecutors. We find it troubling that our system of justice, which rests so fundamentally on the consent of the governed, offers such inadequate remedies for official violations of individuals’ constitutional rights.
Concurring Opinion
(concurring in the judgment):
I am not in disagreement with much of the analysis and statements in Judge Bazelon’s present opinion, but I believe some of the facts are more favorable to Goodwin than the opinion recognizes, and I prefer to make several comments and rest my concurrence in the result on the following grounds. First, I continue to adhere to the views expressed in my dissent from the panel’s original decision in Briggs v. Good
I must also voice my disagreement with the view expressed in footnote 36 of the majority opinion. That view fails to acknowledge a basic principle of law that has been recognized as fundamental to American jurisprudence for over a hundred years: that those who participate in public litigation and who perform certain governmental functions are not to be subjected thereby to harassing civil litigation. This principle has been consistently applied to judges, prosecutors, legislators and presidents, as well as to witnesses. The law of immunity and its compelling justifications have been expounded by some of the greatest jurists in our nation’s history. See, e.g., Bradley v. Fisher, 13 Wall. (80 U.S.) 337, 351, 20 L.Ed. 646 (1872) (Field, J.) (“[Jjudges ... are not liable to civil actions for their judicial acts, even when such acts are in excess of their jurisdiction, and are alleged to have been done maliciously or corruptly.”); Pierson v. Bay, 386 U.S. 547, 554, 87 S.Ct. 1213, 1217, 18 L.Ed.2d 288 (1967) (Warren, C.J.) (“This immunity ‘is not for the protection or benefit of a malicious or corrupt judge, but for the benefit of the public, whose interest it is that judges should be at liberty to exercise their functions with independence and without fear of consequences.’ ”) (quoting Scott v. Stansfield, L.R. 3 Ex. 220, 223 (1868)); Barr v. Matteo, 360 U.S. 564, 572-73, 79 S.Ct. 1335, 1340, 3 L.Ed.2d 1434 (1959) (Harlan, J.) (“The privilege is not a badge or emolument of exalted office, but an expression of a policy designed to aid in the effective functioning of government.”); Gregoire v. Biddle, 177 F.2d 579, 581 (2d Cir. 1949), cert. denied, 339 U.S. 949, 70 S.Ct. 803, 94 L.Ed. 1363 (1950) (L. Hand, J.) (“The justification for ... [denying recovery] is that it is impossible to know whether the claim is well founded until the case has been tried, and to submit all officials, the innocent as well as the guilty, to the burden of trial and the danger of its outcome would dampen the ardor of all but the most resolute ....”) (quoted in Nixon v. Fitzgerald, 457 U.S. 731, 752, 102 S.Ct. 2690, 2703 n. 32, 73 L.Ed.2d 349 (1982)). My final objection to the personal comments in footnote 36 is that they are extrajudicial and serve no worthwhile purpose, as the Supreme Court has spoken.
Reference
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- John BRIGGS v. Guy GOODWIN
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