Source: https://supreme.justia.com/cases/federal/us/406/441/
Timestamp: 2019-04-23 02:10:40+00:00

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The United States can compel testimony from an unwilling witness who invokes the Fifth Amendment privilege against compulsory self-incrimination by conferring immunity, as provided by 18 U.S.C. § 6002, from use of the compelled testimony and evidence derived therefrom in subsequent criminal proceedings, as such immunity from use and derivative use is coextensive with the scope of the privilege and is sufficient to compel testimony over a claim of the privilege. Transactional immunity would afford broader protection than the Fifth Amendment privilege, and is not constitutionally required. In a subsequent criminal prosecution, the prosecution has the burden of proving affirmatively that evidence proposed to be used is derived from a legitimate source wholly independent of the compelled testimony. Pp. 406 U. S. 443-462.
POWELL, J., delivered the opinion of the Court, in which BURGER, C.J., and STEWART, WHITE, and BLACKMUN, JJ., joined. DOUGLAS, J., post, p. 406 U. S. 462, and MARSHALL, J., post, p. 406 U. S. 467, filed dissenting opinions. BRENNAN and REHNQUIST, JJ., took no part in the consideration or decision of the case.
This case presents the question whether the United States Government may compel testimony from an unwilling witness, who invokes the Fifth Amendment privilege against compulsory self-incrimination, by conferring on the witness immunity from use of the compelled testimony in subsequent criminal proceedings, as well as immunity from use of evidence derived from the testimony.
Petitioners were subpoenaed to appear before a United States grand jury in the Central District of California on February 4, 1971. The Government believed that petitioners were likely to assert their Fifth Amendment privilege. Prior to the scheduled appearances, the Government applied to the District Court for an order directing petitioners to answer questions and produce evidence before the grand jury under a grant of immunity conferred pursuant to 18 U.S.C. §§ 6002-6003. Petitioners opposed issuance of the order, contending primarily that the scope of the immunity provided by the statute was not coextensive with the scope of the privilege against self-incrimination, and therefore was not sufficient to supplant the privilege and compel their testimony. The District Court rejected this contention, and ordered petitioners to appear before the grand jury and answer its questions under the grant of immunity.
Appeals for the Ninth Circuit affirmed. Stewart v. United States, 440 F.2d 954 (CA9 1971). This Court granted certiorari to resolve the important question whether testimony may be compelled by granting immunity from the use of compelled testimony and evidence derived therefrom ("use and derivative use" immunity), or whether it is necessary to grant immunity from prosecution for offenses to which compelled testimony relates ( "transactional" immunity). 402 U.S. 971 (1971).
"Among the necessary and most important of the powers of the States as well as the Federal Government to assure the effective functioning of government in an ordered society is the broad power to compel residents to testify in court or before grand juries or agencies. See Blair v. United States, 250 U. S. 273. Such testimony constitutes one of the Government's primary sources of information."
and their primary use has been to investigate such offenses. [Footnote 15] Congress included immunity statutes in many of the regulatory measures adopted in the first half of this century. [Footnote 16] Indeed, prior to the enactment of the statute under consideration in this case, there were in force over 50 federal immunity statutes. [Footnote 17] In addition, every State in the Union, as well as the District of Columbia and Puerto Rico, has one or more such statutes. [Footnote 18] The commentators, [Footnote 19] and this Court on several occasions, [Footnote 20] have characterized immunity statutes as essential to the effective enforcement of various criminal statute. As Mr. Justice Frankfurter observed, speaking for the Court in Ullmann v. United States, 350 U. S. 422 (1856), such statutes have "become part of our constitutional fabric." [Footnote 21] Id. at 350 U. S. 438.
Petitioners contend, first, that the Fifth Amendment's privilege against compulsory self-incrimination, which is that "[n]o person . . . shall be compelled in any criminal case to be a witness against himself," deprives Congress of power to enact laws that compel self-incrimination, even if complete immunity from prosecution is granted prior to the compulsion of the incriminatory testimony. In other words, petitioners assert that no immunity statute, however drawn, can afford a lawful basis for compelling incriminatory testimony. They ask us to reconsider and overrule Brown v. Walker, 161 U. S. 591 (1896), and Ullmann v. United States, supra, decisions that uphold the constitutionality of immunity statutes. [Footnote 22] We find no merit to this contention, and reaffirm the decisions in Brown and Ullmann.
directly or indirectly derived from such testimony or other information) may be used against the witness in any criminal case, except a prosecution for perjury, giving a false statement, or otherwise failing to comply with the order. [Footnote 23]"
23 18 U.S.C. § 6002.
The constitutional inquiry, rooted in logic and history as well as in the decisions of this Court, is whether the immunity granted under this statute is coextensive with the scope of the privilege. [Footnote 24] If so, petitioners' refusals to answer based on the privilege were unjustified, and the judgments of contempt were proper, for the grant of immunity has removed the dangers against which the privilege protects. Brown v. Walker, supra. If, on the other hand, the immunity granted is not as comprehensive as the protection afforded by the privilege, petitioners were justified in refusing to answer, and the judgments of contempt must be vacated. McCarthy v. Arndstein, 266 U. S. 34, 266 U. S. 42 (1924).
proceeding . . . shall be given in evidence, or in any manner used against him . . . in any court of the United States. . . . [Footnote 27]"
after he answers the criminating question put to him, can have the effect of supplanting the privilege conferred by the Constitution of the United States. [The immunity statute under consideration] does not supply a complete protection from all the perils against which the constitutional prohibition was designed to guard, and is not a full substitute for that prohibition. In view of the constitutional provision, a statutory enactment, to be valid, must afford absolute immunity against future prosecution for the offence to which the question relates."
142 U.S. at 142 U. S. 585-586.
"no person shall be prosecuted or subjected to any penalty or forfeiture for or on account of any transaction, matter or thing, concerning which he may testify, or produce evidence, documentary or otherwise. . . ."
Act of Feb. 11, 1893, 27 Stat. 444.
"testimony or other information compelled under the order (or any information directly or indirectly derived from such testimony or other information)"
is consonant with Fifth Amendment standards. We hold that such immunity from use and derivative use is coextensive with the scope of the privilege against self-incrimination, and therefore is sufficient to compel testimony over a claim of the privilege. While a grant of immunity must afford protection commensurate with that afforded by the privilege, it need not be broader. Transactional immunity, which accords full immunity from prosecution for the offense to which the compelled testimony relates, affords the witness considerably broader protection than does the Fifth Amendment privilege. The privilege has never been construed to mean that one who invokes it cannot subsequently be prosecuted. Its sole concern is to afford protection against being "forced to give testimony leading to the infliction of penalties affixed to . . . criminal acts.'" [Footnote 38] Immunity from the use of compelled testimony, as well as evidence derived directly and indirectly therefrom, affords this protection. It prohibits the prosecutorial authorities from using the compelled testimony in any respect, and it therefore insures that the testimony cannot lead to the infliction of criminal penalties on the witness.
"could not, and would not, prevent the use of his testimony to search out other testimony to be used in evidence against him or his property, in a criminal proceeding . . ."
"could not prevent the obtaining and the use of witnesses and evidence which should be attributable directly to the testimony he might give under compulsion, and on which he might be convicted, when otherwise, and if he had refused to answer, he could not possibly have been convicted,"
"affords no protection against that use of compelled testimony which consists in gaining therefrom a knowledge of the details of a crime, and of sources of information which may supply other means of convicting the witness or party."
"because the immunity granted was incomplete, in that it merely forbade the use of the testimony given and failed to protect a witness from future prosecution based on knowledge and sources of information obtained from the compelled testimony."
"[A] state witness may not be compelled to give testimony which may be incriminating under federal law unless the compelled testimony and its fruits cannot be used in any manner by federal officials in connection with a criminal prosecution against him. We conclude, moreover, that, in order to implement this constitutional rule and accommodate the interests of the State and Federal Governments in investigating and prosecuting crime, the Federal Government must be prohibited from making any such use of compelled testimony and its fruits. [Footnote 43]"
378 U.S. at 378 U. S. 79. The Court emphasized that this rule left the state witness and the Federal Government, against which the witness had immunity only from the use of the compelled testimony and evidence derived therefrom, "in substantially the same position as if the witness had claimed his privilege in the absence of a state grant of immunity." Ibid.
Although an analysis of prior decisions and the purpose of the Fifth Amendment privilege indicates that use and derivative use immunity is coextensive with the privilege, we must consider additional arguments advanced by petitioners against the sufficiency of such immunity. We start from the premise, repeatedly affirmed by this Court, that an appropriately broad immunity grant is compatible with the Constitution.
Petitioners argue that use and derivative use immunity will not adequately protect a witness from various possible incriminating uses of the compelled testimony: for example, the prosecutor or other law enforcement officials may obtain leads, names of witnesses, or other information not otherwise available that might result in a prosecution. It will be difficult, and perhaps impossible, the argument goes, to identify, by testimony or cross-examination, the subtle ways in which the compelled testimony may disadvantage a witness, especially in the jurisdiction granting the immunity.
"[N]o testimony or other information compelled under the order (or any information directly or indirectly derived from such testimony or other information) may be used against the witness in any criminal case. . . ."
18 U.S.C. § 6002. This total prohibition on use provides a comprehensive safeguard, barring the use of compelled testimony as an "investigatory lead," [Footnote 50] and also barring the use of any evidence obtained by focusing investigation on a witness as a result of his compelled disclosures.
"Once a defendant demonstrates that he has testified, under a state grant of immunity, to matters related to the federal prosecution, the federal authorities have the burden of showing that their evidence is not tainted by establishing that they had an independent, legitimate source for the disputed evidence."
378 U.S. at 378 U. S. 79 n. 18. This burden of proof, which we reaffirm as appropriate, is not limited to a negation of taint; rather, it imposes on the prosecution the affirmative duty to prove that the evidence it proposes to use is derived from a legitimate source wholly independent of the compelled testimony.
This is very substantial protection, [Footnote 51] commensurate with that resulting from invoking the privilege itself. The privilege assures that a citizen is not compelled to incriminate himself by his own testimony. It usually operates to allow a citizen to remain silent when asked a question requiring an incriminatory answer. This statute, which operates after a witness has given incriminatory testimony, affords the same protection by assuring that the compelled testimony can in no way lead to the infliction of criminal penalties. The statute, like the Fifth Amendment, grants neither pardon nor amnesty. Both the statute and the Fifth Amendment allow the government to prosecute using evidence from legitimate independent sources.
There can be no justification in reason or policy for holding that the Constitution requires an amnesty grant where, acting pursuant to statute and accompanying safeguards, testimony is compelled in exchange for immunity from use and derivative use when no such amnesty is required where the government, acting without colorable right, coerces a defendant into incriminating himself.
MR. JUSTICE BRENNAN and MR. JUSTICE REHNQUIST took no part in the consideration or decision of this case.
The contempt order was issued pursuant to 28 U.S.C. § 1826.
For a concise history of testimonial compulsion prior to the adoption of our Constitution, see 8 J. Wigmore, Evidence § 2190 (J. McNaughton rev.1961). See Ullmann v. United States, 350 U. S. 422, 350 U. S. 439 n. 15 (1956); Blair v. United States, 250 U. S. 273 (1919).
Statute of Elizabeth, 5 Eliz. 1, c. 9, § 12 (1562).
Countess of Shrewsbury's Case, 2 How.St.Tr. 769, 778 (1612).
See the parliamentary debate on the Bill to Indemnify Evidence, particularly the remarks of the Duke of Argyle and Lord Chancellor Hardwicke, reported in 12 T. Hansard, Parliamentary History of England 675, 693 (1812). See also Piemonte v. United States, 367 U. S. 556, 367 U. S. 559 n. 2 (1961); Ullmann v. United States, supra, at 350 U. S. 439 n. 15; Brown v. Walker, 161 U. S. 591, 161 U. S. 600 (1896).
See Blair v. United States, supra, at 250 U. S. 281; 8 Wigmore, supra, n 2, §§ 2192, 2197.
See Murphy v. Waterfront Comm'n, 378 U. S. 52, 378 U. S. 55 (1964).
See Ullmann v. United States, 350 U.S. at 350 U. S. 426; E. Griswold, The Fifth Amendment Today 7 (1955).
Murphy v. Waterfront Comm'n, supra, at 378 U. S. 94 (WHITE, J., Concurring); McCarthy v. Arndstein, 266 U. S. 34, 266 U. S. 40 (1924); United States v. Saline Bank, 1 Pet. 100 (1828); cf. Gardner v. Broderick, 392 U. S. 273 (1968).
Hoffman v. United States, 341 U. S. 479, 341 U. S. 486 (1951); Blau v. United States, 340 U. S. 159 (1950); Mason v. United States, 244 U. S. 362, 244 U. S. 365 (1917).
See, e.g., Miranda v. Arizona, 384 U. S. 436, 384 U. S. 443-444 (1966); Boyd v. United States, 116 U. S. 616, 116 U. S. 635 (1886).
"acquitted, indemnified [immunized] and discharged from any further or other Punishment, Forfeiture or Penalty, which he . . . may have incurred by the playing for, and winning such Money. . . ."
9 Anne, c. 14, § 4 (1710); Law of Mar. 9, 1774, c. 1651, 5 Colonial Laws of New York, at 623.
Another notable instance of the early use of immunity legislation is the 1725 impeachment trial of Lord Chancellor Macclesfield. The Lord Chancellor was accused by the House of Commons of the sale of public offices and appointments. In order to compel the testimony of Masters in Chancery who had allegedly purchased their offices from the Lord Chancellor, and who could incriminate themselves by so testifying, Parliament enacted a statute granting immunity to persons then holding office as Masters in Chancery. Lord Chancellor Macclesfield's Trial, 16 How.St.Tr. 767, 1147 (1725). See 8 Wigmore, supra, n 2, § 2281, at 492. See also Bishop Atterbury's Trial, 16 How.St.Tr. 323, 604-605 (1723). The legislatures in colonial Pennsylvania and New York enacted immunity legislation in the 18th century. See, e.g., Resolution of Jan. 6, 1758, in Votes and Proceedings of the House of Representatives of the Province of Pennsylvania (1682-1776), 6 Pennsylvania Archives (8th series) 4679 (C. Hoban ed.1935); Law of Mar. 24, 1772, c. 1542, 5 Colonial Laws of New York 351, 353-354; Law of Mar. 9, 1774, c. 1651, id. at 621, 623; Law of Mar. 9, 1774, c. 1655, id. at 639, 641-642. See generally L. Levy, Origins of the Fifth Amendment 359, 384-386, 389, 402-403 (1968). Federal immunity statutes have existed since 1857. Act of Jan. 24, 1857, 11 Stat. 155. For a history of the various federal immunity statutes, see Comment, The Federal Witness Immunity Acts in Theory and Practice: Treading the Constitutional Tightrope, 72 Yale L.J. 1568 (1963); Wendel, Compulsory Immunity Legislation and the Fifth Amendment Privilege: New Developments and New Confusion, 10 St.Louis U.L.Rev. 327 (1966); and National Commission on Reform of Federal Criminal Laws, Working Papers, 1406-1411 (1970).
See, e.g., Resolution of Jan. 6, 1758, n. 13, supra, 6 Pennsylvania Archives (8th series) 4679 (C. Hoban ed.1935); Law of Mar. 24, 1772, c. 1542, 5 Colonial Laws of New York 351, 354; Law of Mar. 9, 1774, c. 1655, id. at 639, 642. Bishop Atterbury's Trial, supra, for which the House of Commons passed immunity legislation, was a prosecution for treasonable conspiracy. See id. at 604-605; 8 Wigmore, supra, n 2, § 2281, at 492 n. 2. Lord Chancellor Macclesfield's Trial, supra, for which Parliament passed immunity legislation, was a prosecution for political bribery involving the sale of public offices and appointments. See id. at 1147. The first federal immunity statute was enacted to facilitate an investigation of charges of corruption and vote buying in the House of Representatives. See Comment, n 13, supra, 72 Yale L.J. at 1571.
"have for more than a century been resorted to for the investigation of many offenses, chiefly those whose proof and punishment were otherwise impracticable, such as political bribery, extortion, gambling, consumer frauds, liquor violations, commercial larceny, and various forms of racketeering."
Id. at 378 U. S. 94-95. See n 14, supra.
See Comment, n 13, supra, 72 Yale L.J. at 1576.
For a listing of these statutes, see National Commission on Reform of Federal Criminal Laws, Working Papers, 1444-1445 (1970).
For a listing of these statutes, see 8 Wigmore, supra, n 2, § 2281, at 495 n. 11.
See, e.g., 8 J. Wigmore, Evidence § 2281, at 501 (3d ed.1940); 8 Wigmore, supra, n 2, § 2281, at 496.
See Hale v. Henkel, 201 U. S. 43, 201 U. S. 70 (1906); Brown v. Walker, 161 U.S. at 161 U. S. 610.
This statement was made with specific reference to the Compulsory Testimony Act of 1893, 27 Stat. 443, the model for almost all federal immunity statutes prior to the enactment of the statute under consideration in this case. See Murphy v. Waterfront Comm'n, 378 U.S. at 378 U. S. 95 (WHITE, J., concurring).
Accord, Gardner v. Broderick, 392 U.S. at 392 U. S. 276; Murphy v. Waterfront Comm'n, supra; McCarthy v. Arndstein, 266 U.S. at 266 U. S. 42 (Brandeis, J.); Heike v. United States, 227 U. S. 131, 227 U. S. 142 (1913) (Holmes, J.).
For other provisions of the 1970 Act relative to immunity of witnesses, see 18 U.S.C. §§ 6001-6005.
See, e.g., Murphy v. Waterfront Comm'n, supra, at 378 U. S. 54, 378 U. S. 78; Counselman v. Hitchcock, 142 U. S. 547, 142 U. S. 585 (1892).
See Piccirillo v. New York, 400 U. S. 548 (1971).
See Counselman v. Hitchcock, supra, at 142 U. S. 560.
In re Counselman, 44 F. 268 (CCND Ill. 1890).
Counselman v. Hitchcock, supra, at 142 U. S. 564.
"that legislation cannot abridge a constitutional privilege, and that it cannot replace or supply [sic] one, at least unless it is so broad as to have the same extent in scope and effect."
Id. at 142 U. S. 585. See Murphy v. Waterfront Comm'n, supra, at 378 U. S. 54, 378 U. S. 78.
Counselman was decided Jan. 11, 1892. Senator Cullom introduced the new bill on Jan. 27, 1892. 23 Cong.Rec. 573.
Act of Feb. 11, 1893, 27 Stat. 443, repealed by the Organized Crime Control Act of 1970, Pub.L. No. 91-452, § 245, 84 Stat. 931.
See the remarks of Senator Cullom, 23 Cong.Rec. 573, 6333, and Congressman Wise, who introduced the bill in the House. 24 Cong.Rec. 503. See Shapiro v. United States, 335 U. S. 1, 335 U. S. 28-29 and n. 36 (1948).
Ullmann v. United States, 350 U.S. at 350 U. S. 438; Shapiro v. United States, supra, at 335 U. S. 6. There was one minor exception. See Piccirillo v. New York, 400 U.S. at 400 U. S. 571 and n. 11 (BRENNAN, J., dissenting); Arndstein v. McCarthy, 254 U. S. 71, 254 U. S. 73 (1920).
"We are satisfied that our substitution of immunity from use for immunity from prosecution meets constitutional requirements for overcoming the claim of privilege. Immunity from use is the only consequence flowing from a violation of the individual's constitutional right to be protected from unreasonable searches and seizures, his constitutional right to counsel, and his constitutional right not to be coerced into confessing. The proposed immunity is thus of the same scope as that frequently, even though unintentionally, conferred as the result of constitutional violations by law enforcement officers."
Second Interim Report of the National Commission on Reform of Federal Criminal Laws, Mar. 17, 1969, Working Papers of the Commission, 1446 (1970). The Commission's recommendation was based in large part on a comprehensive study of immunity and the relevant decisions of this Court prepared for the Commission by Prof. Robert G. Dixon, Jr., of the George Washington University Law Center, and transmitted to the President with the recommendations of the Commission. See National Commission on Reform of Federal Criminal Laws, Working Papers, 1405-1444 (1970).
See S.Rep. No. 91-617, pp. 51-56, 145 (1969); H.R.Rep. No. 91-1549, p. 42 (1970).
Ullmann v. United States, 350 U.S. at 350 U. S. 438-439, quoting Boyd v. United States, 116 U.S. at 116 U. S. 634. See Knapp v. Schweitzer, 357 U. S. 371, 357 U. S. 380 (1958).
Cf. The Supreme Court, 1963 Term, 78 Harv.L.Rev. 179, 230 (1964). Language similar to the Counselman dictum can be found in Brown v. Walker, 161 U.S. at 161 U. S. 594-595, and Hale v. Henkel, 201 U.S. at 201 U. S. 67. Brown and Hale, however, involved statutes that were clearly sufficient to supplant the privilege against self-incrimination, as they provided full immunity from prosecution "for or on account of any transaction, matter or thing, concerning which he may testify, or produce evidence. . . ." 161 U.S. at 161 U. S. 594; 201 U.S. at 201 U. S. 66. The same is true of Smith v. United States, 337 U. S. 137, 337 U. S. 141, 337 U. S. 146 (1949), and United States v. Monia, 317 U. S. 424, 317 U. S. 425, 428 (1943). In Albertson v. Subversive Activities Control Board, 382 U. S. 70 (1965), some of the Counselman language urged upon us by petitioners was again quoted. But Albertson, like Counselman, involved an immunity statute that was held insufficient for failure to prohibit the use of evidence derived from compelled admissions and the use of compelled admissions as an "investigatory lead." Id. at 382 U. S. 80.
In Adams v. Maryland, 347 U. S. 179, 347 U. S. 182 (1954), and in United States v. Murdock, 284 U. S. 141, 284 U. S. 149 (1931), the Counselman dictum was referred to as the principle of Counselman. The references were in the context of ancillary points not essential to the decisions of the Court. The Adams Court did note, however, that the Fifth Amendment privilege prohibits the "use" of compelled self-incriminatory testimony. 347 U.S. at 347 U. S. 181. In any event, the Court in Ullmann v. United States, 350 U.S. at 350 U. S. 436-437, recognized that the rationale of Counselman was that the Counselman statute was insufficient for failure to prohibit the use of evidence derived from compelled testimony. See also Arndstein v. McCarthy, 254 U.S. at 254 U. S. 73.
The Waterfront Commission of New York Harbor is a bi-state body established under an interstate compact approved by Congress. 67 Stat. 541.
In re Waterfront Comm'n of N.Y. Harbor, 39 N.J. 436, 189 A.2d 36 (1963).
Reconsideration of the rule that the Fifth Amendment privilege does not protect a witness in one jurisdiction against being compelled to give testimony that could be used to convict him in another jurisdiction was made necessary by the decision in Malloy v. Hogan, 378 U. S. 1 (1964), in which the Court held the Fifth Amendment privilege applicable to the States through the Fourteenth Amendment. Murphy v. Waterfront Comm'n, 378 U.S. at 378 U. S. 57.
Id. at 378 U. S. 79 n. 18. If transactional immunity had been deemed to be the "constitutional rule," there could be no federal prosecution.
See, e.g., California v. Byers, 402 U. S. 424, 402 U. S. 442 n. 3 (1971) (Harlan, J., concurring in judgment); United States v. Freed, 401 U. S. 601, 401 U. S. 606 n. 11 (1971); Piccirillo v. New York, 400 U. S. 548 (1971); Stevens v. Marks, 383 U. S. 234, 383 U. S. 244-245 (1966).
E.g., Murphy v. Waterfront Comm'n, supra; Ullmann v. United States, supra; Smith v. United States, 337 U. S. 137 (1949); United States v. Monia, 317 U. S. 424 (1943); Hale v. Henkel, 201 U. S. 43 (1906); Jack v. Kansas, 199 U. S. 372 (1905); Brown v. Walker, 161 U. S. 591 (1896). See also n 35, supra.
E. Albertson v. Subversive Activities Control Board, 382 U.S. at 382 U. S. 80; Arndstein v. McCarthy, 254 U.S. at 254 U. S. 73.
In Malloy v. Hogan, 378 U.S. at 378 U. S. 10-11, the Court held that the same standards would determine the extent or scope of the privilege in state and in federal proceedings, because the same substantive guarantee of the Bill of Rights is involved. The Murphy Court emphasized that the scope of the privilege is the same in state and in federal proceedings. Murphy v. Waterfront Comm'n, 378 U.S. at 378 U. S. 79.
"[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."
See, e.g., Albertson v. Subversive Activities Control Board, 382 U.S. at 382 U. S. 80.
See Murphy v. Waterfront Comm'n, 378 U.S. at 378 U. S. 102-104 (WHITE, J., concurring).
Adams v. Maryland, 347 U.S. at 347 U. S. 181; Bram v. United States, 168 U. S. 532, 168 U. S. 542 (1897).
"A coerced confession is as revealing of leads as testimony given in exchange for immunity and indeed is excluded in part because it is compelled incrimination in violation of the privilege. Malloy v. Hogan, [378 U.S. 1, 378 U. S. 7-8]; Spano v. New York, 360 U. S. 315; Bram v. United States, 168 U. S. 532."
378 U.S. at 378 U. S. 103.
Jackson v. Denno, 378 U. S. 368 (1964).
See supra at 406 U. S. 460; Brief for the United States 37; Cf. Chapman v. California, 386 U. S. 18 (1967).
The Self-Incrimination Clause says: "No person . . . shall be compelled in any criminal case to be a witness against himself." I see no answer to the proposition that he is such a witness when only "use" immunity is granted.
against self-incrimination contained in the Fifth Amendment are so well known, see Ullmann v. United States, 350 U. S. 422, 350 U. S. 440 (dissenting), and Piccirillo v. New York, 400 U. S. 548, 400 U. S. 549 (dissenting), that I need not write at length.
"In view of the constitutional provision, a statutory enactment, to be valid, must afford absolute immunity against future prosecution for the offense to which the question relates."
Id. at 142 U. S. 586. In Brown v. Walker, 161 U. S. 591, a case involving another federal prosecution, the immunity statute provided that the witness would be protected "on account of any transaction . . . concerning which he may testify." Id. at 161 U. S. 594. The Court held that the immunity offered was coterminous with the privilege, and that the witness could therefore be compelled to testify, a ruling that made "transactional immunity" part of the fabric of our constitutional law. Ullmann v. United States, supra, at 350 U. S. 438.
This Court, however, apparently believes that Counselman and its progeny were overruled sub silentio in Murphy v. Waterfront Comm'n, 378 U. S. 52. Murphy involved state witnesses, granted transactional immunity under state law, who refused to testify for fear of subsequent federal prosecution. We held that the testimony in question could be compelled, but that the Federal Government would be barred from using any of the testimony, or its fruits, in a subsequent federal prosecution.
"that one jurisdiction within our federal structure may compel a witness to give testimony which could be used to convict him of a crime in another jurisdiction."
"deprive a state of the right to prosecute a violation of its criminal law on the basis of another state's grant of immunity [a result which] would be gravely in derogation of its sovereignty and obstructive of its administration of justice."
"substantial when a single jurisdiction both compels incriminating testimony and brings a later prosecution, may fade when the jurisdiction bringing the prosecution differs from the jurisdiction that compelled the testimony. Concern over informal and undetected exchange of information is also correspondingly less when two different jurisdictions are involved."
Piccirillo v. New York, 400 U.S. at 400 U. S. 568 (dissenting).
undercut Counselman. [Footnote 2/1] See Stevens v. Marks, 383 U. S. 234, 383 U. S. 244-245; id. at 383 U. S. 249-250 (Harlan, J., concurring and dissenting); Mansfield, The Albertson Case: Conflict Between the Privilege Against Self-Incrimination and the Government's Need for Information, 196 Sup.Ct.Rev. 103, 164.
25 F.Cas. 38 (No. 14692e) (CC Va.), where he ruled that the reach of the Fifth Amendment was so broad as to make the privilege applicable when there was a mere possibility of a criminal charge's being made.
The Court said in Hale v. Henkel, 201 U. S. 43, 201 U. S. 67, that, "if the criminality has already been taken away, the Amendment ceases to apply." In other words, the immunity granted is adequate if it operates as a complete pardon for the offense. Brown v. Walker, 161 U.S. at 161 U. S. 595. That is the true measure of the Self-Incrimination Clause. As MR. JUSTICE BRENNAN has stated: "[U]se immunity literally misses half the point of the privilege, for it permits the compulsion without removing the criminality." Piccirillo v. New York, supra, at 400 U. S. 567 (dissenting).
"Transactional immunity . . . provides the individual with an assurance that he is not testifying about matters for which he may later be prosecuted. No question arises of tracing the use or non-use of information gleaned from the witness' compelled testimony. The sole question presented to a court is whether the subsequent prosecution is related to the substance of the compelled testimony. Both witness and government know precisely where they stand. Respect for law is furthered when the individual knows his position and is not left suspicious that a later prosecution was actually the fruit of his compelled testimony."
400 U.S. at 400 U. S. 568-569 (dissenting).
be pursued and used to convict the witness. [Footnote 2/2] My view is that the framers put it beyond the power of Congress to compel anyone to confess his crimes. The Self-Incrimination Clause creates, as I have said before, "the federally protected right of silence," making it unconstitutional to use a law "to pry open one's lips and make him a witness against himself." Ullmann v. United States, 350 U.S. at 350 U. S. 446 (dissenting). That is indeed one of the chief procedural guarantees in our accusatorial system. Government acts in an ignoble way when it stoops to the end which we authorize today.
I would adhere to Counselman v. Hitchcock and hold that this attempt to dilute the Self-Incrimination Clause is unconstitutional.
"In Counselman v. Hitchcock, 142 U. S. 547, decided in 1892, the Court held"
"that no [immunity] statute which leaves the party or witness subject to prosecution after he answers the criminating question put to him, can have the effect of supplanting the privilege . . . ,"
"and that such a statute is valid only if it supplies 'a complete protection from all the perils against which the constitutional prohibition was designed to guard . . .' by affording 'absolute immunity against future prosecution for the offence to which the question relates.' Id. at 142 U. S. 585-586. Measured by these standards, the immunity granted by § 4(f) is not complete."
382 U.S. at 382 U. S. 80. (Emphasis added.) Thus, the Albertson Court, which could have struck the statute by employing the test approved today, went well beyond, and measured the statute solely against the more restrictive standards of Counselman.
As MR. JUSTICE MARSHALL points out, post at 406 U. S. 469, it is futile to expect that a ban on use or derivative use of compelled testimony can be enforced.
It is also possible that use immunity might actually have an adverse impact on the administration of justice, rather than promote law enforcement. A witness might believe, with good reason, that his "immunized" testimony will inevitably lead to a felony conviction. Under such circumstances, rather than testify and aid the investigation, the witness might decide he would be better off remaining silent even if he is jailed for contempt.
Today the Court holds that the United States may compel a witness to give incriminating testimony, and subsequently prosecute him for crimes to which that testimony relates. I cannot believe the Fifth Amendment permits that result. See Piccirillo v. New York, 400 U. S. 548, 400 U. S. 552 (1071) (BRENNAN, J., dissenting from dismissal of certiorari).
may strip the witness of the right to refuse to testify, but only if it is broad enough to eliminate all possibility that the testimony will in fact, operate to incriminate him. It must put him in precisely the same position vis-a-vis the government that has compelled his testimony, * as he would have been in had he remained silent in reliance on the privilege. Ullmann v. United States, 350 U. S. 422 (1956); McCarthy v. Arndstein, 266 U. S. 34 (1924); Hale v. Henkel, 201 U. S. 43 (1906); Brown v. Walker, 161 U. S. 591 (1896); Counselman v. Hitchcock, 142 U. S. 547 (1892).
is in exactly the same position as if he had not testified. That margin can be provided only by immunity from prosecution for the offenses to which the testimony relates, i.e., transactional immunity.
I do not see how it can suffice merely to put the burden of proof on the government. First, contrary to the Court's assertion, the Court's rule does leave the witness "dependent for the preservation of his rights upon the integrity and good faith of the prosecuting authorities." Ante at 406 U. S. 460. For the information relevant to the question of taint is uniquely within the knowledge of the prosecuting authorities. They alone are in a position to trace the chains of information and investigation that lead to the evidence to be used in a criminal prosecution. A witness who suspects that his compelled testimony was used to develop a lead will be hard-pressed indeed to ferret out the evidence necessary to prove it. And, of course, it is no answer to say he need not prove it, for, though the Court puts the burden of proof on the government, the government will have no difficulty in meeting its burden by mere assertion if the witness produces no contrary evidence. The good faith of the prosecuting authorities is thus the sole safeguard of the witness' rights. Second, even their good faith is not a sufficient safeguard. For the paths of information through the investigative bureaucracy may well be long and winding, and even a prosecutor acting in the best of faith cannot be certain that somewhere in the depths of his investigative apparatus, often including hundreds of employees, there was not some prohibited use of the compelled testimony. Cf. Giglio v. United States, 405 U. S. 150 (1972); Santobello v. New York, 404 U. S. 257 (1971). The Court today sets out a loose net to trap tainted evidence and prevent its use against the witness, but it accepts an intolerably great risk that tainted evidence will, in fact, slip through that net.
In my view, the Court turns reason on its head when it compares a statutory grant of immunity to the "immunity" that is inadvertently conferred by an unconstitutional interrogation. The exclusionary rule of evidence that applies in that situation has nothing whatever to do with this case. Evidence obtained through a coercive interrogation, like evidence obtained through an illegal search, is excluded at trial because the Constitution prohibits such methods of gathering evidence. The exclusionary rules provide a partial and inadequate remedy to some victims of illegal police conduct, and a similarly partial and inadequate deterrent to police officers. An immunity statute, on the other hand, is much more ambitious than any exclusionary rule. It does not merely attempt to provide a remedy for past police misconduct, which never should have occurred. An immunity statute operates in advance of the event, and it authorizes -- even encourages -- interrogation that would otherwise be prohibited by the Fifth Amendment. An immunity statute thus differs from an exclusionary rule of evidence in at least two critical respects.
officers (see 18 U.S.C. §§ 241-242). The Constitution does not authorize police officers to coerce confessions or to invade privacy without cause, so long as no use is made of the evidence they obtain. But this Court has held that the Constitution does authorize the government to compel a witness to give potentially incriminating testimony, so long as no incriminating use is made of the resulting evidence. Before the government puts its seal of approval on such an interrogation, it must provide an absolutely reliable guarantee that it will not use the testimony in any way at all in aid of prosecution of the witness. The only way to provide that guarantee is to give the witness immunity from prosecution for crimes to which his testimony relates.
Second, because an immunity statute operates in advance of the interrogation, there is room to require a broad grant of transactional immunity without imperiling large numbers of otherwise valid convictions. An exclusionary rule comes into play after the interrogation or search has occurred, and the decision to question or to search is often made in haste, under pressure, by an officer who is not a lawyer. If an unconstitutional interrogation or search were held to create transactional immunity, that might well be regarded as an excessively high price to pay for the "constable's blunder." An immunity statute, on the other hand, creates a framework in which the prosecuting attorney can make a calm and reasoned decision whether to compel testimony and suffer the resulting ban on prosecution, or to forgo the testimony.
For both these reasons, it is clear to me that an immunity statute must be tested by a standard far more demanding than that appropriate for an exclusionary rule fashioned to deal with past constitutional violations. Measured by that standard, the statute approved today by the Court fails miserably. I respectfully dissent.
* This case does not, of course, involve the special considerations that come into play when the prosecuting government is different from the government that has compelled the testimony. See Murphy v. Waterfront Comm'n, 378 U. S. 52 (1964).

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