Source: https://supreme.justia.com/cases/federal/us/392/280/
Timestamp: 2019-04-22 16:53:30+00:00

Document:
In connection with an investigation of improper activities by New York City sanitation employees, the individual petitioners, fifteen sanitation employees, were summoned before the Commissioner of Investigation and advised that, if they refused to testify with respect to their official conduct on the ground of self-incrimination, their employment would terminate in accordance with § 1123 of the City Charter. Twelve asserted the privilege against self-incrimination and refused to testify, after being told that their answers could be used against them in subsequent proceedings. They were dismissed on the basis of that refusal. Three employees who answered the questions and denied the charges made against them were suspended, and then called before a grand jury and asked to sign waivers of immunity. Upon their refusal to do so, they were dismissed on the ground that they violated § 1123 by refusing to sign the waivers. The Federal District Court dismissed petitioners' action for a declaratory judgment and injunctive relief based on the alleged wrongful discharge in violation of their constitutional rights, and the Court of Appeals affirmed.
Held: Petitioners, as public employees, are entitled, like all other persons, to the benefit of the constitutional privilege against self-incrimination, and they may not be faced with proceedings which, as here, presented them with a choice between surrendering their constitutional rights or their jobs. Gardner v. Broderick, ante, p. 392 U. S. 273. Public employees are subject to dismissal if they refuse to account for the performance of their public trust after proper proceedings which do not involve an attempt to coerce them to relinquish their constitutional rights. Pp. 392 U. S. 283-285.
The individual petitioners are 15 employees of the Department of Sanitation of New York City. Claiming they were wrongfully dismissed from employment in violation of their rights under the United States Constitution, they commenced this action for declaratory judgment and injunctive relief in the United States District Court for the Southern District of New York. That court dismissed the action, and the Court of Appeals for the Second Circuit affirmed. 383 F.2d 364 (1967). We granted certiorari. 390 U.S. 919 (1968).
Twelve of the petitioners, asserting the constitutional privilege against self-incrimination, refused to testify. After a disciplinary hearing held pursuant to § 75 of the New York Civil Service Law, they were dismissed by the Commissioner of Sanitation on the explicit ground provided by § 1123 of the City Charter that they had refused to testify.
"information received from the Commissioner of Investigation concerning irregularities arising out of [their] employment in the Department of Sanitation."
violated § 1123 of the City Charter by refusing to sign waivers of immunity. We consider only the dismissal, rather than the suspension, of these petitioners.
Relying upon the decision of the New York Court of Appeals in Gardner v. Broderick, 20 N.Y.2d 227, 229 N.E.2d 184 (1967) (reversed this day, ante, p. 392 U. S. 273), the Court of Appeals for the Second Circuit held that the dismissal of petitioners did not offend the Federal Constitution. For the reasons which we elaborate in our opinion reversing the New York court's decision in Gardner v. Broderick, supra, we hold that the Court of Appeals erred.
including the privilege against self-incrimination. Gardner v. Broderick, supra; Garrity v. New Jersey, supra. Cf. Murphy v. Waterfront Commission, 378 U. S. 52, at 378 U. S. 79 (1964). At the same time, petitioners, being public employees, 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.
"[i]s authorized and empowered to make any study or investigation which in his opinion may be in the best interests of the city, including but not limited to investigations of the affairs, functions, accounts, methods, personnel or efficiency of any agency."
This order was pursuant to § 813-a of the Code of Criminal Procedure of New York. See Berger v. New York, 388 U. S. 41 (1967).
"If any councilman or other officer or employee of the city shall, after lawful notice or process, willfully refuse or fail to appear before any court or judge, any legislative committee, or any officer, board or body authorized to conduct any hearing or inquiry, or having appeared shall refuse to testify or to answer any question regarding the property, government or affairs of the city or of any county included within its territorial limits, or regarding the nomination, election, appointment or official conduct of any officer or employee of the city or of any such county, on the ground that his answer would tend to incriminate him, or shall refuse to waive immunity from prosecution on account of any such matter in relation to which he may be asked to testify upon any such hearing or inquiry, his term or tenure of office or employment shall terminate and such office or employment shall be vacant, and he shall not be eligible to election or appointment to any office or employment under the city or any agency."
"Mr. [name of witness], this is a private hearing being conducted by the Department of Investigation of the City of New York, pursuant to Chapter 34, of the New York City Charter. The investigation in which you are about to testify relates particularly to the affairs, functions, accounts, methods, personnel and efficiency of the Department of Sanitation of the City of New York. I wish to advise you that you have all the rights and privileges guaranteed by the laws of the State of New York and the Constitutions of this State and of the United States, including the right to remain silent and the right not to be compelled to be a witness against yourself. I wish further to advise you that anything you say can be used against you in a court of law. You have the right to have an attorney present at this hearing, if you wish, and I understand that you are represented by counsel in the person of [name of attorney], is that correct?"
As we noted in Gardner v. Broderick, supra, at 392 U. S. 278-279, the possible ineffectiveness of this waiver does not change the fact that the State attempted to force petitioners, upon penalty of loss of employment, to relinquish a right guaranteed them by the Constitution.
In view of our disposition of the case, we do not reach the issues raised by petitioners with respect to the wiretap.
Given in combination the decisions in Spevack v. Klein, 385 U. S. 511, and Garrity v. New Jersey, 385 U. S. 493, I can find no solidly acceptable course for me to take in these cases other than to concur in the judgments rendered by the Court. I do so with a good deal less reluctance than would otherwise have been the case because, despite the distinctions which are sought to be drawn between these two cases, on the one hand, and Spevack and Garrity, on the other, I find in these opinions a procedural formula whereby, for example, public officials may now be discharged and lawyers disciplined for refusing to divulge to appropriate authority information pertinent to the faithful performance of their offices. I add only that this is a welcome breakthrough in what Spevack and Garrity might otherwise have been thought to portend.
* This opinion applies also to No. 635, Gardner v. Broderick, ante, p. 392 U. S. 273.
Uniformed Sanitation Men Assn., Inc.

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