Opinion ID: 371812
Heading Depth: 1
Heading Rank: 3

Heading: Fifth Amendment Protection

Text: 7 The only issue raised on this appeal is whether the district court abused its discretion in holding Brown in civil contempt for failing to comply with its order rejecting Brown's invocation of his fifth amendment privilege and requiring him to testify. 5 In our view of the record the district court relied principally on the reasons articulated in Pretrial Order No. 41 when it concluded that Brown can properly be compelled to testify. Thus, our principal focus on review is the propriety of the district court's view that lack of a substantial likelihood of prosecution can be equated with a lack of self-incrimination. 8
9 In compelling Brown's testimony the district court charted its course among the precedents established in four other circuits because it perceived a need for courts to forestall the ability of a previously convicted civil deponent to limit the conduct of discovery. However real that need, and however much we appreciate the legitimate practical concerns of the trial court, we cannot agree that a witness' constitutional privilege against self-incrimination depends upon a judge's prediction of the likelihood of prosecution. Rather, we conclude that it is only when there is but a fanciful possibility of prosecution that a claim of fifth amendment privilege is not well taken. See, e. g., In re Brogna, 589 F.2d 24 (1st Cir. 1978); United States v. Goodman, 289 F.2d 256, 259 (4th Cir. 1961), Vacated on other grounds, 368 U.S. 14, 82 S.Ct. 127, 7 L.Ed.2d 75 (1962). When a witness can demonstrate any possibility of prosecution which is more than fanciful he has demonstrated a reasonable fear of prosecution sufficient to meet constitutional muster. 10 Appellees argue that their stated oral assurance to restrict their deposition questions to the pre-December 1974 activities of Brown in reference to folding cartons affords Brown a complete protection against subsequent prosecution pursuant to the law of double jeopardy. Further, appellee asserts that since the possibility of Brown's indictment for state offenses committed before 1974 is trifling, it was proper for the district court to discount that possibility of prosecution and compel the testimony. While appellees correctly claim that the conviction of Brown on the one count Sherman Act violation nullifies any claim of privilege for liability for that offense, 6 we cannot agree that Brown does not remain open to further state 7 or federal prosecutions. A valid state indictment filed within the statute of limitations 8 could cover any alleged illegal activities engaged in by Brown regardless of the time of occurrence or product-line. Appellant argues that it is not fanciful to say that a federal prosecution could use pre-1974 evidence to substantiate claims of a felony conspiracy (after December 1974) in the folding carton product-line, or a conspiracy involving other product-lines. In addition, Brown could face federal and state charges arising from the same facts as his earlier indictment if an additional element is needed to prove those charges. See Gore v. United States, 357 U.S. 386, 78 S.Ct. 1280, 2 L.Ed.2d 1405 (1958). 9 Appellant suggests mail fraud as an example. It is argued that the pre-1974 evidence could be used in a subsequent prosecution not to substantiate guilt on the subsequent charges but to show a common plan or scheme, or motive. Finally, we are not alone in taking the view that a possibility of subsequent prosecution is not fanciful since the Department of Justice in a brief filed in the trial court before its case was settled stated that a possibility of prosecution exists for testifying witnesses. 11 In sum, we agree with the Ninth Circuit Court of Appeals that the right to assert one's privilege against prosecution does not depend upon the Likelihood, but upon the Possibility of prosecution. In re Master Key Litigation, 507 F.2d 292, 293 (9th Cir. 1974) (emphasis in original). To the extent that an assessment of the probability of prosecution is significant in the trial court's evaluation of an asserted privilege, it is more properly accomplished through examination of the more traditional tests, Viz, statute of limitations, immunity, double jeopardy. Short of the existence of one of these indicia of an absolute bar to subsequent prosecution, a judge's prediction as to the likelihood of a prosecutor filing an indictment 10 is not dispositive in ascertaining the permissible scope of a claim of fifth amendment privilege. 11 In so holding we align ourselves with the law of the First and Second Circuit Courts of Appeals and that of a district court in California. United States v. Johnson, 488 F.2d 1206 (1st Cir. 1972); United States v. Miranti, 253 F.2d 135 (2d Cir. 1957); Priebe v. World Ventures, Inc., 407 F.Supp. 1244 (C.D.Cal.1976). In addition, we do not view Ryan v. Commissioner of Internal Revenue, 568 F.2d 531 (7th Cir. 1977), as an implicit acceptance of the view that a district court when ruling on an interposed fifth amendment claim permissibly may evaluate the likelihood of the filing of an indictment. In Ryan this court held that when a witness has been convicted of related tax offenses on three occasions, when the statute of limitations has run, and when there has been a valid grant of prosecutorial immunity the possibilities of prosecution . . . appear to be remote and rejection of a claim of privilege is proper. 568 F.2d at 539. While the district court's view of Ryan is perhaps arguable, we do not interpret the case in that way.
12 Since we have concluded first, that the trial court has the discretion to evaluate the adequacy of a claim of privilege and second, that the trial court looks to the possibility of incrimination but not the probability of the filing of an indictment in ascertaining the validity of a fifth amendment privilege, it is necessary for the trial court in the first instance to apply those general rules to the facts of this case in order to decide which refusals to answer may or may not be a basis for holding Brown in contempt. Relevant to our analysis of this process are the concepts of waiver and the concomitant focus upon the sorts of testimony which could provide a link in the chain of evidence needed in a subsequent prosecution. 13 On the record presented there is some lack of clarity regarding which refusals to testify can be appropriate bases for contempt. Reasonable possibility of incrimination is much more apparent as to the questions asked of Brown in his December 1978 deposition than in the deposition held on June 12, 1979. Brown has suggested a theory which supports his claims of privilege with respect to questions about his present capacity as president of CCA but which is less persuasive with respect to questions about his initial employment with the company which commenced in 1947. While the deponent has a genuine concern that in testifying further he may go far enough into a particular area so as to waive his privilege not to disclose incriminating details, 12 the trial court need not take on faith that the answer to the propounded questions may incriminate. Rather, as to each question to which a claim of privilege is directed, the court must determine whether the answer to that particular question would subject the witness to a 'real danger' of further incrimination. 13 14 It is our understanding of the record that the district court based its decision on its factual estimate that state or federal prosecutors were unlikely to prosecute and did not really determine on the basis of the subject matter of the questions which, if any, refusals of appellant were properly grounded. We therefore deem it appropriate to vacate the contempt order since it rests upon what we conclude is an erroneous standard and remand so that the district court can determine under the more traditional tests which, if any, refusals were properly grounded. While the method of proceeding is solidly within the realm of the district court's discretion, one possible way of proceeding under the circumstances would be to direct the parties to carry the deposition further. It is suggested that plaintiffs might ask more specific and limited questions so that the district court might more readily determine whether particular refusals to answer were or were not sustainable. 15 For these reasons, the order of the district court holding Brown in contempt is vacated and the case is remanded to the district court for further proceedings consistent with this opinion.