Opinion ID: 371812
Heading Depth: 2
Heading Rank: 1

Heading: The Possibility of Subsequent Prosecution

Text: 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.