Legal Document

493 U.S. 549 110 S.Ct. 900 107 L.Ed.2d 992 BALTIMORE CITY DEPARTMENT OF SOCIAL SERVICES, Petitioner,v.Jacqueline BOUKNIGHT. MAURICE M., Petitioner, v. Jacqueline Nos. 88-1182, 88-6651. Argued Nov. 7, 1989. Decided Feb. 20, 1990. Syllabus Based on evidence that respondent Bouknight had abused petitioner Maurice her infant son, Baltimore City Department of Social Services (BCDSS) secured a juvenile court order removing from Bouknight's control. That was subsequently modified to return custody pursuant extensive conditions and subject further order. After violated the order's conditions, granted BCDSS' petition remove control held in civil contempt when she failed produce child as ordered. Rejecting subsequent claim Fifth Amendment's guarantee against self-incrimination, stated would be purged by production issued not because refused testify but obey In vacating court's judgment upholding order, State Court Appeals found unconstitutionally compelled admit through act measure continuing over circumstances which reasonable apprehension prosecuted. Held: A mother who is custodian may invoke Amendment privilege self-incrimination resist child. Pp. 554-562. (a) Although applies only an accused make incriminating testimonial communication, fact could comply with unadorned producing does necessarily deprive privilege, complying existence, possession, or authenticity thing produced. See, e.g., United States Doe, 465 605, 104 1237, 79 552. 554-555. (b) Even assuming amount communication regarding over, possession of, sufficiently character, present circumstances. The ability greatly diminished invocation interfere effective operation generally applicable regulatory regime constructed effect State's public purposes unrelated enforcement its criminal laws, see, California Byers, 402 424, 430, 91 1535, 1539, 29 9, person assumes items are legitimate object government's noncriminal powers, cf. Shapiro States, 335 1, 68 1375, 92 L.Ed. 1787. Here, Maurice's care safety became particular interest once adjudicated him need assistance. Moreover, taking responsibility for such custodial submitted system's routine operation, agreed hold manner consonant interests, accepted incident obligation permit inspection. Furthermore, imposes part broadly directed, governing children cared orders. Persons selective group inherently suspect activities. Similarly, efforts BCDSS judiciary gain access focus primarily children's well-being rather than conduct, enforced measures law enforcement. Finally, vast majority cases will embody no testimony. 561-562. (c) role limits give rise corresponding limitations upon use aspects directly indirectly any proceedings. Braswell 487 99, 118, n. 11, 108 2284, 2295, 101 98. 314 Md. 391, 550 A.2d 1135 (1988), reversed remanded. O'CONNOR, J., delivered opinion Court, REHNQUIST, C.J., WHITE, BLACKMUN, STEVENS, SCALIA, KENNEDY, JJ., joined. MARSHALL, filed dissenting opinion, BRENNAN, joined, post, p. 563. Ralph S. Tyler, III, Baltimore, Md., petitioner, Dept. Services. Mitchell Y. Mirviss, M. George E. Burns, Jr., respondent, Bouknight. Justice O'CONNOR Court. 1 this action, we must decide whether mother, We not. 2 * Petitioner When he three months old, hospitalized fractured left femur, examination revealed several partially healed bone fractures other indications severe physical abuse. hospital, Bouknight, observed shaking Maurice, dropping his crib despite spica cast, otherwise handling inconsistent recovery continued health. Hospital personnel notified (BCDSS), No. suspected February 1987, placing shelter care. Several later, inexplicably temporarily. Following hearing shortly thereafter, declared "child assistance," thus asserting jurisdiction under oversight. continue child, set forth court-approved protective supervision required "cooperate BCDSS," "continue therapy," participate parental aid training programs, "refrain physically punishing [Maurice]." App. Pet. Cert. 86a. terms were "all Order Court." Id., at 87a. attorney signed separate form agreement each term. 3 Eight fearing safety, returned court. caseworkers related cooperate them nearly every respect father recently died shooting light results psychological history drug use, provide adequate 33-34. On April 1988, placement foster officials also petitioned judicial relief failure reveal where found. 36-39. recounted two recent visits home, location indicated aunt whom identify. asserted inquiries known relatives none seen prompted police issue missing persons report referred case investigation homicide division. Also court, petition, cited violating failing appear hearing. expressed fear if appeared " 'snatch child.' 42, 54. show cause why should Expressing concern endangered perhaps dead, bench warrant appearance. 51-57. 4 produced hearings. At one week claimed relative Dallas. Investigation Maurice. next day, following another again declined There has been indication unable directed imprisoned until "purge[d] herself either [Maurice] before revealing exact whereabouts." 82a. 5 rejected self-incrimination. purge "[t]he refuse[d] proceeding . [but] abide mainly [for] M." 150. While decision being appealed, convicted theft sentenced 18 months' imprisonment Maryland vacated re (1988). "a dominion person" "Bouknight prosecuted." 403-404, A.2d, 1141. Chief REHNQUIST application stay mandate Appeals, pending disposition writ certiorari. 488 1301, 109 571, 102 682 (1988) (in chambers). certiorari, 490 1003, 1636, 152 (1989), now reverse. II 6 provides "No shall witness himself." protection "applies incriminating." Fisher 425 408, 96 1569, 1579, 48 39 (1976); see Doe 201, 207, 209-210, 8, 2341, 2345-2346, 2347, 184 (Doe II); Schmerber California, 384 757, 761, 86 1826, 1830, 16 908 (1966) ("[T]he protects himself, communicative nature"). concluded address aspect government demands item produced, "the pro ducing [item]." Fisher, supra, U.S., 410, S.Ct., 1580, 11; 612, 1242, 552 (1984) I). nonetheless implicated demand testifies things See II, 209, 2346; I, 612-614, 13, 1242-1243, 13; 410-413, 1580-1582. But protections based incrimination result contents nature demanded. 10, 10; id., 618, 1245 (O'CONNOR, concurring); 408-410, 1579-1581. therefore cannot anything might reveal, nor can assert theory compliance (a readily establish, rendering testimony existence insufficiently incriminating, 411, 1581). Rather, claims benefit introduce child—e.g., relatives, own statements invoking privilege—her implicit moment prosecuting 7 possibility compel assertions prove not, all contexts, justify production. infra, 556-558. limited assertion "sufficiently privilege," 1581, assumed duties regime. 8 occasions recognized invoked laws. 1787 (1948), considered Emergency Price Control Act 1942 regulation thereunder licensed businesses maintain records available inspection administrators. attached "required records," 'defendant keep, private uses, public, inspection.' 17-18, 1384-1385 (quoting Wilson 221 361, 381, 31 538, 544, 55 771 (1911)). Court's discussion constitutional implications scheme focused relation between Government's objectives gaining Shapiro's possession: 9 "It outset there Government constitutionally exceed requiring keeping inspected administrative agency used statutory violations committed recordkeeper himself. serious misgiving those bounds have overstepped evoked sufficient activity sought regulated so regulate forbid basic concerned, require records, Administrator." 32, 1391. 10 Harris, 274, 279, 557, 558, 732 (1911) (Holmes, J.) (regarding bankrupt account books, question surrender—not compelling himself case, past future, yield property longer entitled keep"). since refined authority information vested character. noted requirements imposed 'an essentially non-criminal area inquiry,' § reach "are 'selective activities.' Marchetti 390 39, 57, 88 697, 707, 19 889 (1968) Albertson Subversive Activities Board, 382 70, 79, 194, 199, 15 165 (1965)); Grosso 62, 68, 709, 713, 906 (Shapiro inapplicable "[h]ere, Marchetti, obligations almost exclusively individuals activities"); Haynes 85, 98-99, 722, 730-731, 923 (1968). 11 (1971), confirms applicable, requirement. upheld California's requirement drivers cars involved accidents stop their names addresses. plurality risk too insubstantial implicate Amendment, 427-428, 1537-1538, statute "was intended facilitate convictions promote satisfaction liabilities," 'directed large,' ibid. 199), disclosure illegal activity. Sullivan, 274 259, 47 607, 71 1037 (1927) (rejecting objection file income tax return). Harlan, author Grosso, Haynes, concurred judgment. He distinguished considering schemes "focused conduct criminal," 454, 1551. acknowledging testimony, purpose general applicability reporting demanded even cases. 458, 1553. 12 reduced. surveyed range involving documents kept they appropriate subjects governmental restrictions validly established." 380, 544. principle drew these is: 13 "[W]here, virtue character rules them, books papers demanding authority, refuse although tend criminate him. inspection." 382, 545. 14 109-113, 2290-2293, 98 (1988); Curcio 354 123-124, 77 1145, 1149-1150, 1225 (1957) ("A custodian, office, undertakes response rightful exercise visitorial powers"). Shapiro, interpreted extending well beyond corporate context, 16-20, 1383-1386, emphasized retained direct interest. 7-8, 14-15, 1379-1380, 1382-1383. Indeed, it having allowed 69, 714, 731, distinguish Shapiro. These principles apply case. Once assistance, interests. 404, 1141; Md.Cts. & Jud.Proc.Code Ann. §§ 3-801(e), 3-804(a) (Supp.1989); 105 ("This times know whereabouts minor spring 1987 ."). first placed care, authorized then entrusted By accepting (including BCDSS, follow prescribed regime, orders), system interests BCDSS. Cf. supra. attending custody, "has Wilson, enforces 3-802(a) (setting subtitle, including "provid[ing] protection, wholesome mental development coming within provisions subtitle"); 3-820(b), Jessica 312 93, 538 305 request hardly 707 199). place social service "under home guardianship fit person, deems appropriate." 3-820(c)(1)(i) (Supp.1989). Children placed, example, homes state officials. supra; Arlene G., 301 355, 483 (1984); Health Mental Hygiene Prince George's County Services, Md.App. 436, 423 589 (1980). allows parent retain jurisdiction, singled out deemed be, without simply "unable unwilling proper attention problems." 3-801(e) Jertrude O., 56 83, 466 885 (1983), cert. denied, 298 309, 469 863 (1984). provision reflects broad applicability. 3-814(c) ("If parent, guardian, fails bring requested, attachment directing taken into brought proceed contempt"). This "fairly said parents, guardians, custodians accept juveniles custody." 418, 1148 (McAuliffe, dissenting). 17 children, same effect, do "focu[s] criminal." 1551 (Harlan, concurring judgment). Many orders arise entirely devoid conduct. exist, properly enforce power, reasons child's investigation. Cts. illustration: underlay 33-39, 53-55, 150, 155-158; 419, 1149 incriminate identity, 430-431, 1539; 1553 characterized some component very charge makes applied circumstances, called define precise exist note imposition foreclosed. indirect Braswell, 11. usual neither prosecution, thereby unavailable complies after faces prosecution. 58-59, 707-708 (the "attractive apparently practical" course restriction significant element enforcement); Leary 395 6, 26-27, 89 1532, 1542-1543, 23 57 (1969); 100, 732; 714; 617, 17, 1244, (scope restriction). prosecutors' compelled. Simmons 377, 391-394, 967, 974-976, 1247 (no admission provided suppression hearing); Murphy Waterfront Comm'n New York Harbor, 378 52, 75-76, 84 1594, 1607-1608, 1609, 678 (1964) (Fifth bars processes, jurisdictions grant immunity jurisdiction); Maness Meyers, 419 449, 474-475, 95 584, 599, 42 574 (1975) (WHITE, result); Adams Maryland, 347 179, 181, 74 442, 445, 608 (1954) ("[A] protect self-incriminating objection. takes statute"); Jersey Portash, 440 450, 99 1292, 59 501 (1979); Garrity Jersey, 385 493, 500, 87 616, 620, 562 (1967). 616-617, 1244-1245 (construing federal statute, U.S.C. 6001-6005); Pillsbury Co. Conboy, 459 248, 261-262, 103 608, 430 (1983) (declining supplement previous immunity). III reversed, remanded proceedings opinion. 20 So BRENNAN joins, dissenting. 21 respondent's ante, 555, concludes son's current location. Neither articulates support refusal justifies decision. I dissent. 22 correctly assumes, son son. (1976) (acts contain statement fact). Accord, 612-613, self-incriminating. hesitate explicitly presents 'real appreciable' threat 48, 702, conclusively establish actual him, "prove 'link chain' tending [her] guilt." Ibid. (footnote omitted). stakes much greater suggests. Not face abuse neglect charges alleged mistreatment charged causing death. acknowledges suspects investigating possible homicide. potentially undoubtedly significant. 24 Notwithstanding real holds regime." Ante, 555-556. characterizing "custodian," describing relevant statutes relies distinct lines precedent, litigation. A. 25 line reasoning turns view behalf certain analogizes collective entity. 558-559. characterization baffling, both contrary facts never relied override except context agent entity.1 26 mother; "custodian" whose rights determined solely law. 3-801(j) (Supp.1989) (defining "person legal given guardian"). surrendered during pendency determine assistance" (CINA) meaning Code, temporary did extinguish right 3-801(r). CINA settled, regained entered (BCDSS). agreement, approved promised, among things, 28, 27 finding assistance itself divest transform something conferred State. 97-98, 885, 893 (proving differs significantly proving parent's terminated). Thus, continues delegated her. "[t]o children" 3-802(a)(1) (1984), eliminate similarly 28 structure relationship CINA, acting traditional sense word reality, duties, constrained includes stipulation State, intercede It however, confer way creates status agent. rationale denying acts done representative capacity rule rests well-established entity, unlike natural Hale Henkel, 201 43, 69-70, 370, 376-377, 50 652 (1906) (corporation privilege); White, 322 694, 701, 64 1248, 1252, 1542 (1944) (labor union privilege). Because artificial entity agents, entity's personal custodian. 384-385, 545-546, (1911). As explained White: 30 "[I]ndividuals, representatives group, exercising purely privileges. Rather assume rights, privileges association agents officers bound obligations. And official organization though personally." 699, 1251 (citations omitted; emphasis added). possesses privilege. Her different merely instrumentality corporation acts. am extend doctrine denies individuals, capacities, B 32 holding requirement." 557. cites common features: systems investigations, target public. (1971) (determining "hit run" driver accident civil). contrast, regimes activities,' (1965)), similar diminution 33 Applying feature describes Maryland's orders." 559. necessary functioning system. dubious highlights flaws inherent formulation inquiry. Virtually looking narrowly or, avowed regulations. If focuses instead practical effects, facilitating investigations. noncriminal, notwithstanding overlapping underlying statutes, proves test find goals enough Amendment. 34 regulations embodied welfare intimately prohibiting abuse, Md.Ann.Code, Art. 27, 35A (1987). decisions suggest supporting often obtained oversight Lee 62 341, 489 (1985). Code Md.Regs. 07.02.07.08(A)(1) 07.02.07.08(C)(1)(b) (requiring Administration Child Abuse Central Registry allowing Registry). respect, resembles revenue engaged business wagers about activities Federal Government. Focusing effects scheme, sort neutral trump "principal [was] evidently collection revenue," increase "likelihood gambling offenses [would] discovered successfully prosecuted," 705. 35 contrast here disregards 'focu[s] criminal.' 560 1539 (plurality opinion) "essentially regulatory, criminal"). agree approach. goal protecting abusive environments separated serve goal. aims—here, neglect—is frequently sanction, strikes me deeply problematic dismiss concerns "unrelated investigation," 561. inevitably intersects sanctions coerce, pain contempt, potential defendant furnish crucial success 36 analysis, more faithful approach sought, likelihood caused compliance. "To sustain evident question, setting asked, responsive answer explanation answered dangerous injurious result." Hoffman 341 479, 486-487, 814, 818-819, 1118 (1951). 703; Malloy Hogan, 11-12, 1489, 1495-1496, 653 (1964). analysis unambiguously indicates respected 563-564. 37 An individualized inquiry preferable turn concrete abstract characterizations concerning scheme. particularized undermine intersect prohibitions. Instead, prosecution permits gather regulation, while preserving integrity throws wide net seeking mean few prosecutions. citizens, explicit immunity. 38 second element; unless targeted Such advocate. test, clearly applicable. "[h]e mentally handicapped receiving ordinary attention, [h]is parents Jud.Proc. 3-804(a). power CINA's. words, "broadly directed," 559, actually deny minimal level attention. rises seriously neglected allegations activities." 567. end, precedents riding roughshod accurately characterize past. Nor "agent," behalf. closely intertwined intervention. 40 disturbed willingness inapposite precedent especially accompany proceeding, take comfort recognition prohibited using 561 (leaving open "State's production" proceedings).2 content hope later basis espoused "extend[ed] context" (1948). 558. rest records. denied generalized businesses, unincorporated incorporated, transactions. 22-23, 33, 1386-1387, 1389, 1392. turned "that exists maintained 'records suitable transactions established.' 1392 Davis 328 582, 589-590, 66 1256, 1259-1260, 90 1453 (1946)). (describing ); 558 (emphasizing "documents (emphasis added)). analyzed entities' note, exasperation skepticism bona fide intentions, able enacted far so. 1989 Md.Laws, ch. 288 (amending 9-123). "in grand jury State," 9-123(b)(1) (Supp.1989), represented "[a]s matter law, [granting order] possible," Tr. Oral Arg. 10. July litigate difficulty believing sincere protestations well-being.

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