Opinion ID: 1271600
Heading Depth: 2
Heading Rank: 3

Heading: Structuring the Inherent Authority.

Text: It remains to determine the scope of the immunity grant which must be made to the witness and the procedures by which this inherent prosecutorial authority must be exercised in order to be valid. Generally, we are of the view that Rule 732 of the Uniform Rules of Criminal Procedure provides appropriate guidance concerning the exercise of this authority. This rule provides: (a) Compelling production of information despite assertion of privilege. In any proceeding under these Rules, if a witness refuses to answer or produce information on the basis of his privilege against self-incrimination, the [district] court, unless it finds that to do so would not further the administration of justice, shall compel him to answer or produce information if: (1) The prosecuting attorney makes a written request to the [district] court to order the witness to answer or produce information, notwithstanding his claim of privilege; and (2) The [district] court informs the witness that by so doing he will receive immunity under subdivision (b). (b) Nature and scope of immunity. If, but for this Rule, the witness would have been privileged to withhold the answer or information given, and he complies with an order under subdivision (a) compelling him to answer or produce information, he may not be prosecuted or subjected to criminal penalty in the courts of this State for or on account of any transaction or matter concerning which, in compliance with the order, he gave answer or produced information. (c) Exception for perjury and contempt. A witness granted immunity under this Rule may nevertheless be subjected to criminal penalty for any perjury, false swearing, or contempt committed in answering, failing to answer, or failing to produce information in compliance with the order. [21] Surina does not contest the superior court's conclusion that the scope of immunity granted was sufficient to justify the superior court's order compelling her testimony. Appellant had a written guarantee of transactional immunity from the state, and a written guarantee of use and derivative use immunity from the federal prosecutor. Additionally, under the United States Supreme Court's ruling in Murphy v. Waterfront Commission of New York, 378 U.S. 52, 77-78, 84 S.Ct. 1594, 1608-09, 12 L.Ed.2d 678, 694 (1964), the state grant would automatically bind the federal government to use and derivative use immunity. Thus, Surina was doubly guaranteed use and derivative use immunity on the federal level. This grant exceeded the constitutional minimum mandated by Kastigar v. United States, 406 U.S. 441, 92 S.Ct. 1163, 32 L.Ed.2d 212 (1972), which only requires use and derivative use immunity. Further, Surina has made no claim that complete transactional immunity, both state and federal, would be required in order to compel her testimony, and neither has the real party in interest in the Compton case. Also the state has made no claim that mere use and derivative use immunity on its part would suffice. Thus, we need not address the issue of the scope of the immunity in this case. Until we have received the recommendation of the Advisory Committee, or until we are faced directly with the issue and it is adequately addressed by the parties, we do not regard it as appropriate to decide it. We do note that any immunity grant less than that approved in Kastigar (use and derivative use immunity) is unconstitutional; and that a grant of transactional immunity on both state and federal levels would clearly suffice to justify compelling the testimony, under any standard. We leave for another day the question of what the Alaska Constitution requires in this respect. And we leave, either to the legislature or to our own determination after the recommendation of the Advisory Committee on Criminal Rules is submitted, the policy question of which option within the constitutional limits is preferable. It is important to define the ambit of the prosecutor's discretion. As was noted in In Re Daley, 549 F.2d 469, 480 (7th Cir.1977), Viewing the immunity grant in its proper perspective as a powerful executive implement, it must be recognized that prosecutorial agreement may effectively function, extra-statute, to confer immunity other than through a legislatively-authorized method. Through the exercise of his inherent discretion, the federal prosecutor retains control over the nature and scope of immunity granted. However, in promising to refrain from prosecution in order to secure a witness' cooperation, the federal prosecutor must act within the ambit of his authority, cf. People v. Ford, 99 U.S. 594, 25 L.Ed. 399 (1878), and may not permissibly bind officials in jurisdictions within which he possesses no right of action. [citations omitted] Our conclusion is that a state prosecutor's grant will serve to bind the state to whatever promise is made  i.e., to use and derivative use and/or transactional immunity, even in other judicial districts. A state prosecutor's promise of use and derivative use immunity will also bind the federal government, under the ruling in Murphy v. Waterfront Commission of New York, 378 U.S. at 77-78, 84 S.Ct. at 1608-09, 12 L.Ed.2d at 694 (1964). However, a state grant of transactional immunity will require independent endorsement from federal authorities before it will absolutely preclude a federal prosecution. Although selecting which personnel in the prosecutors' offices will be authorized to make such grants of immunity is an important aspect of the entire scheme, we believe that this aspect of the problem is better left to administrative determination. The Attorney General should, we think, establish guidelines concerning the authority of District Attorneys and Assistant District Attorneys to make such promises. Until then, we will presume that all duly admitted District Attorneys and Assistant District Attorneys act as the agents of the state for this purpose, and will give effect to immunity promises made by any of them. As we have concluded that the prosecutor and court had the inherent authority, despite the absence of any enabling statute, to make the grant of immunity in this case, which would be binding; and as neither appellant Surina nor the real party in interest in Compton argues that the scope of the immunity grant was too narrow to justify compelling the testimony; and as the procedures followed were in substantial compliance with Rule 732 of the Uniform Rules of Criminal Procedure, it follows that the state must prevail. The contempt order of the superior court in the Surina case is affirmed. As to the Compton case, an order in the nature of mandamus will issue to the superior court, to reconsider its denial of the application to compel testimony in light of this opinion.