FIFTH AMENDMENT RIGHT AGAINST
SELF-INCRIMINATION
F. CLINTON BRODEN
Broden & Mickelsen
2707 Hibernia
Dallas, Texas 75204
ÒNo person...shall be compelled in any
criminal case to be a witness against himself....Ó U.S.
Const. Amend. V
I. TESTIMONIAL PRIVILEGE
To invoke this privilege, a person must
show that the government is seeking (i) to compel him (ii) to give testimony
(iii) that would incriminate him.
A.
Scope
1.
ÒDespite its cherished position, the Fifth Amendment addresses only a
relatively narrow scope of inquiries.Ó
It only applies to testimony Òthat will subject its giver to criminal liability.Ó Garner v. United States, 96 S.Ct. 1178, 1183 (1976).
a.
The United States Supreme Court has limited the scope of the Fifth
Amendment privilege to answers that would support a criminal conviction or
which would furnish a link in the chain of evidence needed to prosecute the
witness. See Hoffman v. United
States, 71 S.Ct. 814, 818
(1951).
b. The possibility of criminal prosecution based on the
testimony must be Òsubstantial and real, and not merely trifling or
imaginary....Ó United States v. Apfelbaum, 445 U.S. 115, 128 (1980).
c.
The privilege of a witness against self-incrimination does not extend to facts within his knowledge the
divulgence of which have no rational tendency to connect him with the
commission of a crime.
d.
The Court presiding over the proceeding in which a Fifth Amendment
privilege is claimed has a duty to scrutinize a witnessÕ invocation of the privilege. Ò[T]he witness is not exonerated from
answering merely because he declares that in doing so he would incriminate
himself-- his say-so does not of itself establish the hazard of incrimination. It is for the court to say whether his
silence is justified.Ó Hoffman,
71 S.Ct. at 818.
2.
Nevertheless, a witness is not required to incriminate himself in order
to assert the privilege. ÒTo
sustain the privilege, it need only be evident from the implications of the
question, in the setting in which it is asked, that a responsive answer...or an
explanation of why it cannot be answered might be dangerous because injurious
disclosure could result.Ó Hoffman, 71 S.Ct. at 818.
a.
ÒThe privilege must be sustained if it is not Ôperfectly clearÕ that the
witness's answers Ôcannot possiblyÕ have a tendency to incriminate.Ó United
States v. DÕApice, 664
F.2d 75, 77 (5th Cir. 1981).
b.
Moreover, simply because a witness asserts her innocence regarding a
crime does not mean that she has no Fifth Amendment privilege with regard to
answering questions about the crime.
In Ohio v. Reiner,
532 U.S. 17 (2001), a babysitter testified at ReinerÕs trial, under a grant of
transactional immunity, that she had nothing to do with a babyÕs death. Reiner contended that the babysitter
did not have a privilege against self-incrimination because she denied
committing the crime, therefore, the grant of immunity was improper. The Supreme Court held that the
babysitter's expression of innocence did not, by itself, eliminate the babysitter's
Fifth Amendment privileges.
3.
A witness in federal court can invoke the privilege if his testimony
could incriminate him in a state court proceeding and vice versa. Murphy v. Waterfront Commission, 378 U.S. 52 (1964).
a.
Nevertheless, a witness cannot claim the privilege simply because it
might expose him to prosecution in a foreign country. United States v. Balsys, 524 U.S. 666 (1998).
4.
Fear that the government will prosecute a witness for perjury or not
offer the witness a favorable plea agreement if she testifies for another
defendant at trial is not sufficient to invoke Fifth Amendment protections.
a.
In United States v. Vavages, 151 F.3d 1185 (9th Cir. 1998), the defendant, Garbriel Vavages,
wanted to call Rose Manuel as an alibi witness. However, Manuel, was awaiting sentencing in an unrelated
case and had entered into a plea agreement with the government. Manuel was concerned that the
government would prosecute her for perjury and/or withdraw from the plea
agreement if she testified for Vavages.
The District Court allowed Manuel to invoke the Fifth Amendment and
refuse to testify based upon these concerns. The United States Court of Appeals for the Ninth Circuit
reversed VavagesÕ conviction:
ManuelsÕ only stated basis for her blanket
invocation of the Fifth Amendment privilege was her belief that her alibi
testimony, even if truthful, would subject her to a perjury prosecution. The district court accepted this bases
for invoking the Fifth Amendment and ruled that Manuel Ôha[d] every right to
not testify. The district court
was mistaken. The government cites
no cases for the proposition that fear of a perjury prosecution as a result of
truthful testimony is a sufficient basis for invoking the Fifth Amendment
privilege. And even if ManuelÕs
alibi testimony was false, the fear of a legitimate perjury prosecution still
would not support her invocation of the privilege:
ÒA witness may not claim the privilege of
the [F]ifth [A]mendment out of fear that he will be prosecuted for perjury for
what he is about to say. The
shield against self-incrimination in such a situation is to testify truthfully,
not to refuse to testify on the basis that the witness may be prosecuted for a
lie not yet told.Ó
Id., quoting, United States v. Whittington, 783 F.2d 1210, 1218 (5th Cir. 1986).
5.
A claim of privilege asserted in connection with a civil proceeding can,
as an evidentiary matter, be used against the witness in both federal and
state courts. Baxter v.
Palmigiano, 425 U.S. 308,
318 (1976); Tex. Dep't of Pub. Safety Officers Ass'n v. Denton, 897 S.W.2d 757, 760 (Tex. 1995).
1.
Nevertheless, a claim of privilege cannot be used against a person in a
regulatory proceeding. Spevack
v. Klein, 385 U.S. 511
(1967) (Privilege canÕt be used against lawyer in a disbarment proceeding
because it would have the effect of making the exercise of the privilege Òtoo
costly.Ó)
B.
Non-Testimonial Evidence
1.
The Fifth Amendment does not apply to requiring a person to:
a.
Provide physical samples such as hair or blood. Pennsylvania v. Muniz, 496 U.S. 582 (1990);
b.
Submit to fingerprinting, photographing, or measurements, to write or
speak for identification, to appear in court, to stand, to assume a stance, to
walk or to make a particular gesture.
Schmerber v. California, 384 U.S. 757 (1966); or
c.
Provide voice exemplars. United States v. Dionisio, 410 U.S. 1 (1973).
2.
The privilege only prohibits extorting information from someone by
forcing him Òto disclose the contents of his own mind.Ó Curci v. United States, 354 U.S. 118, 128 (1967).
3.
A defendant can claim a Fifth Amendment right not to answer questions in
a psychiatric evaluation. Estelll
v. Smith, 451 U.S. 454
(1981). Nevertheless, the Texas
Court of Criminal Appeals has employed a self-described Òlegal fictionÓ to find
a Òlimited waiverÓ in cases in which a defendant intends to introduce his own
psychiatric testimony. Lagrone
v. State, 942 S.W.2d 602,
611-12 (Tex. Crim. App. 1997). See
also, Brewer v.
Quaterman, 475, F.3d 253,
256-57 (5th Cir. 2006) (Agreeing with the reasoning in Lagrone).
4.
Dictating information for a witness to write down in order to learn how
the witness spells certain words constitutes ÒtestimonyÓ and, therefore, is
protected by the Fifth Amendment. United
States v. Campbell, 732
F.2d 1017 (1st Cir. 1984); United States v. Matos, 990 F.Supp. 141 (E.D.N.Y. 1998).
C.
Procedure at Trial
1.
If a witness intends to assert a Fifth Amendment privilege in order not
to testify at trial, the trial judge must make an inquiry (this can be done in
camera) into the
legitimacy and scope of the witness' assertion of his privilege. A blanket
assertion of the privilege without inquiry by the court, is not acceptable.
Therefore, in cases in which a trial judge excuses a witness without inquiry
about the validity or scope of the witness' privilege claim, the case will be
reversed for further findings. United
States v. Goodwin, 625
F.2d 693, 701 (5th Cir. 1980).
2.
The right to compulsory process does not afford a defendant, in either
federal or state court, the right to require a witness who is going to
assert his Fifth Amendment privileges do so in the presence of the jury. United
States v. Griffin, 66
F.3d 68 (5th Cir. 1995); Ellis v. State, 683 S.W.2d 379 (1984).
a.
It appears too that a defendant may object to a prosecution witnesses
being allowed to take the Fifth before the jury. United States v. Lacouture, 495 F.2d 1237, 1240 (5th Cir. 1974) (Ò[N]either side has the right to
benefit from any inferences the jury may draw simply from the witness'
assertion of the privilege either alone or in conjunction with questions that
have been put to him." ). See
also Washburn v. State,
299 S.W.2d 706 (Tex.Crim.App. 1957)
1.
Nevertheless, the prosecution may be allowed to call a witness before
the jury knowing the witness will take the Fifth when "the prosecutor's
case would be seriously prejudiced by a failure to offer him as a
witness." United States v. Kilpatrick, 477 F.2d 357 (6th Cir. 1973).
2.
Likewise, the prosecution may be allowed to call a witness before the
jury knowing the witness will take the Fifth when the witnesses has been given
immunity but still refuses to testify.
See Coffey v. State, 796 S.W.2d 175 (Tex. Crim. App. 1990).
D.
Waiver
1.
Generally, Ò[a] witness who fails to invoke the Fifth Amendment against
questions as to which he could have claimed it is deemed to have waived his
privilege respecting all questions on the same subject matter.Ó United States
v. OÕHenryÕs Film Works, Inc., 598 F.2d. 313 (2d Cir. 1979), citing, Rogers v. United States, 340 U.S. 367 (1951).
2.
ÒAn individual under compulsion to make disclosures as a witness who
revealed information instead of claiming the privilege [loses] the benefit of
the privilege.Ó Garner, 96
S.Ct. at 1182. In other words, the
witness must Òmake a timely assertion of the privilegeÓ or he loses the
privilege. Id. at
1183. Moreover, the Supreme Court
has Òmade clear that an individual may lose the benefit of the privilege without a knowing and intelligent waiver.Ó Id. at 1182, n.9.
3.
In sum, if a witness answers a question on a particular topic there is
an implicit waiver on other questions related to that topic unless that answers
to the additional question on the issue would Òfurther incriminateÓ the
witness. Rogers v. United
States, 340 U.S. 367
(1951).
a.
Therefore, a witness must claim the privilege as to each question
asked. For example, if a witness
claims the privilege in the grand jury in response to one question, the grand
jury can continue to question him about the same or related topics and if he
does not assert the privilege in response to the additional questions, the
privilege is waived. Quinn v.
United States, 349 U.S.
155 (1955). But see, Hicks v. State, 860 S.W.2d 419, 430 (Tex. Crim. App.
1993) (Suggesting that continued questioning Òon the meritsÓ of a grand jury
witness once he exercised his privilege against self incrimination, itself
constitutes a violation of the privilege.).
b.
Nevertheless, Rogers has been limited.
For example, courts have held that when a witnessÕ initial admission
relates to only one element of an offense, he does not waive the privilege
against answering questions related to other elements of the offense. See., e.g. Hashagen v. United States, 283 F.2d 345 (9th Cir. 1960); United
States v. Courtnery, 236
F.2d 921 (2d Cir. 1956).
4.
In any event, a waiver of the privilege is not Òto be lightly inferred,Ó
and courts should indulge every reasonable presumption against finding a
waiver. Emspak v. United States, 349 U.S. 190, 196 (1955).
5. Waiver of the privilege is limited to proceeding in which
the waiver was explicitly or implicitly made. See, e.g., In re Morganroth, 718 F.2d 161 (6th Cir. 1983); Matter
of Berry, 680 F.2d
705 (10th Cir. 1982); Tucker v. Francis, 723 F.2d 1504 (11th Cir. 1994).
a. For example, if a witness waives the privilege before a
grand jury, he can still invoke the privilege at a trial on the merits. See., e.g., United States v.
Licavoli, 604 F.2d
613 (9th Cir. 1979); United States v. Housand, 550 F.2d 818 (2d Cir. 1997).
b. Likewise, if a witness waives the privilege in a civil
trial, he can still invoke the privilege in a criminal trial.
6. A
defendant may remain silent at his sentencing hearing and his silence cannot be
used against him even though he pleaded guilty and engaged in a plea colloquy
admitting to the offense because the sentencing hearing is considered a
separate proceeding. Mitchall
v. United States, 526 U.S.
314 (1999).
7. As set forth by the Supreme Court in Garrity v. New
Jersey, 385 U.S.
493 (1967), if a government employee (such as a police officer) is required to
give a statement in order to preserve his job, that statement cannot then be
used against the employee to support a criminal conviction. This is known as the Garrity Doctrine.
E. Other Issues
1.
Ò[I]t is clear that a witness who is unavailable because he has invoked
the Fifth Amendment privilege against self-incrimination is unavailable under
the terms of [ Fed. R. Evid.] 804(a)(1).Ó United States v. Thomas, 571 F.2d 285, 288 (5th Cir. 1978). See also, United States v. Young Bros., Inc. 728 F2d. 682, 690 (5th Cir. 1984); United
States v. Williams, 927
F.2d 95, 98-99 (2d. Cir. 1991).
a.
Thus, to the extent a witness has a sustainable Fifth Amendment
Privilege, if he has previously given a statement on the subject that is
against his Òpecuniary or proprietary interestÓ or subjects him Òto civil or
criminal liabilityÓ the statement is admissible at trial under Fed. R. Evid.
804(b)(3). Likewise, if it was
given under oath, it is admissible under Fed. R. Evid. 804(b)(1). Of course, if the statement was made by
the defendant, it is likely admissible under Fed. R. Evid. 801(d)(2)(A) in any
event.
2. As a practical matter, a grand jury may
properly subpoena a subject or a target of the investigation and question the
target about his or her involvement in the crime under investigation. See United States v. Wong, 431 U.S. 174, 179 n.8 (1977); United
States v. Washington, 431
U.S. 181, 190 n.6 (1977); United States v. Mandujano, 425 U.S. 564, 573-75 and 584 n.9 (1976);
United States v. Dionisio, 410 U.S. 1, 10 n.8 (1973).
a. Nevertheless,
with regard to federal grand juries, the United States AttorneysÕ Manual
provides that, if a target and his attorney state in writing, signed by both,
that the target will assert his Fifth Amendment rights before the grand jury,
Òthe witness ordinarily should be excusedÓ although the grand jury and/or the United
States Attorney may, nevertheless, insist upon the appearance. See USAO Manual at ¤ 9-11.154
3.
A prosecutor may not intimidate a witness into asserting his Fifth
Amendment rights in order to interfere with a criminal defendantÕs right to
compulsory process. Brown v.
Cain, 104 F.3d 744, 749
(5th Cir. 1997); United States v. Vavages, 151 F.3d 1185 (9th Cir. 1998).
4.
A criminal defendant should seek a stay of any related civil lawsuit if
he may be called upon to assert his Fifth Amendment rights in that civil
lawsuit. See, e.g., SEC v.
First Financial Group, Inc. 659 F.2d 660, 667-69 (5th Cir. 1981)
II. PRODUCTION OF DOCUMENTS
Recently the United States Supreme Court,
in United States v. Hubbell, 530 U.S. 27 (2000), discussed at length the Òact of productionÓ
privilege under the Fifth Amendment which applies when, by producing documents
in compliance with a subpoena, a witness would admit that the documents
existed, were in his possession or control, or were authentic. It is not the contents of voluntarily
created documents that are privileged but the ÒtestimonyÓ inherent in the fact
that a witness is compelled to produce the documents. United States v. Doe, 465 U.S. 605 (1984). YOU MUST READ AND REREAD Doe and Hubbell IF YOU REPRESENT A WITNESS WHO IS
COMPELLED TO PRODUCE DOCUMENTS TO A GRAND JURY OR AT TRIAL.
Also, as explained in Part III(c)(4) of
this paper, any immunity given in connection with the act of production of
documents covers Òderivative useÓ of the documents which may then include making use of the contents
of the documents even though the contents of the documents are not otherwise
privileged.
Finally, even in cases in which an act of
production privilege does not exist, it should be noted that in Hubbell, Justice Thomas, joined by Justice
Scalia, suggested that the Fifth Amendment should cover not only situations
where the compelled production of documents has a testimonial component but
should also protect a person from producing incriminating documents regardless
of whether the compelled production has a testimonial component. Hubbell, 530 U.S. at 49 (Thomas, J., concurring)
(ÒI would be willing to reconsider the scope and meaning of the
Self-Incrimination Clause.Ó). Therefore,
even if the act of production privilege does not apply, you may seek to use
ThomasÕ concurrence to resist production of documents.
A.
Who Can Claim the Act of Production Privilege?
1.
The act of production privilege applies to sole proprietorships. United States v. Doe, 465 U.S. 605 (1984). See also Braswell v. United States, 487 U.S. 99 (1988) (ÒIf petitioner had
conducted his business as a sole proprietorship,United States v. Doe, 465 U.S. 605, 104 S.Ct. 1237, 79 L.Ed.2d
552, would require that he be provided the opportunity to show that his act of
production would entail testimonial self-incrimination as to admissions that
the records existed, were in his possession, and were authentic.Ó).
2.
The act of production privilege does not apply to Òcollective entities.Ó Braswell v. United States, 487 U.S. 99 (1988).
a.
However, it does apply if the government seeks to prosecute an
individual records custodian who produces the records. Braswell, 487 U.S. 99, 118 (1988) (ÒFor example,
in a criminal prosecution against the custodian, the Government may not
introduce into evidence before the jury the fact that the subpoena was served
upon and the corporation's documents were delivered by one particular
individual, the custodian. The Government has the right, however, to use the
corporation's act of production against the custodian. The Government may offer
testimony -- for example, from the process server who delivered the subpoena
and from the individual who received the records -- establishing that the
corporation produced the records subpoenaed.Ó)
3.
There is as to question whether the act of production privilege applies
to closed partnerships. For
example, in Bellis v. United States, 417 U.S. 85 (1974), the United States Supreme Court held that
the privilege did not apply to the production of documents of a law
partnership. Nevertheless, the
Supreme Court noted in Bellis that it was not addressing the question of Òa small family
partnershipÓ or a case where Òthere was some other pre-existing relationship of
confidentiality among the partners.Ó
On that basis, at least one court has held that the husband in a
husband/wife partnership could assert a Fifth Amendment privilege with regard to a subpoena
served on the partnership. In
re Grand Jury Subpoena Duces Tecum, 605 F. Supp. 174 (N.D.N.Y. 1985).
B.
What Does the Act of Production Privilege Cover?
1.
The act of producing evidence is protected under the Fifth Amendment if
the production of documents (i) admits the existence of the thing sought by
subpoena; (ii) admits that the witness has possession or control of the thing
sought by the subpoena; or (iii) authenticates the thing produced by admitting that the
witness believes that the thing is covered by the subpoena.
a.
There is a Òforegone conclusionÓ exception to the act of production
privilege when it is already known that the documents requested exist and these
documents are requested with particularity. In that case, the witness is not ÒtellingÓ anything that is
not already known.
1.
The government must demonstrate that it knows of the existence and
location of subpoenaed documents for this exception to the act of production
privilege to exist. For example,
in In
re Grand Jury Subpoena Duces Tecum Dated Oct. 29, 1992, 1 F.3d 87 (2d Cir. 1993) the Òforegone
conclusionÓ exception applied to documents that the witness had previously
produced to the SEC.
2.
It is not enough to show that it is a Òforegone conclusionÓ that
businesses in general keep particular types of records or that a specific type
of business keep particular types
of records. The government must
establish what it knows about the particular entityÕs record-keeping
practices.Ó Hubbell, 530 U.S. at 44-45; United States v.
Fox, 721 F.2d 31 (2d Cir.
1983).
2.
The act of production privilege also covers the absence of
documents. For example, if the
absence of records will establish
fraud on the part of the witness, the act of production privilege applies. See Steinbrecher v. Commissioner, 712 F.2d 195, 199 (5th Cir. 1983); Sinclair
v. Savings & Loan CommÕr, 696 S.W.2d 142, 154 (Tex. Ct. App.--Dallas 1985)
3.
The act of production privilege does not apply to regulatory type
records that are required to be kept by law or items analogous to a Òrequired
record.Ó Baltimore City Dept.
of Social Services v. Bouknight, 493 U.S. 549 (1990).
a.
This exception, however has limits and will not extend to regulations
that have no statutory purpose independent of a desire to Òferret out illegal
activities.Ó See,e.g., Bionic
Auto Parts and Sales, Inc. v. Fahner, 721 F.2d 1072 (7th Cir. 1983) (Required records or trial
exception did not apply to auto dealers required to keep a report of altered
serial numbers); Marchetti v. United States, 390 U.S. 39 (1968) (Required records
exception did not apply to persons required to keep records of gambling
activities when gambling was illegal).
III. CONTEMPT/ IMMUNITY
A.
Contempt
1.
If a prosecutor believes that a witness impermissibly invoked the Fifth
Amendment before a grand jury, he can request the judge overseeing the grand
jury or trial to require the witness answer the question. If the witness refuses, he can be held
in contempt.
2.
Likewise, if a witness has been given statutory immunity as described below and he
refuses to testify, he can be held in contempt.
a.
A witness cannot be held in contempt simply because he has been offered informal
immunity by the
prosecution. Taylor v.
Singletary, 148 F.3d
1276, 1283 n.7 (11th Cir. 1998).
3.
While the contempt can be civil or criminal contempt, the witness,
especially in the case of a grand jury witness, will generally be held in civil
contempt in order to compel the testimony. In civil contempt, the person in contempt Ôholds the keys to
his own cell.Õ Civil contempt
should be considered by the courts before resorting to criminal contempt. United States v. DiMauro, 441 F.2d 428 (8th Cir. 1971).
4.
A contempt judgment is appealable. In re Ryan, 538 F.2d 435 (D.C. Cir. 1976).
5.
A witness receiving a subpoena can also file a motion to quash the
subpoena. If the subpoena is
quashed, the government can file an appeal from the decision quashing the
subpoena. Nevertheless, if the
motion is denied, the witness must be held in contempt before he can appeal. United States v. Ryan, 402 U.S. 530, 532-33 (1971).
a.
A person filing a motion to quash a subpoena on a third-party can take
an immediate appeal of a denial of a motion to quash since a third party cannot
be expected to risk a contempt citation to protect another personÕs interests.
B. Perjury
1.
If a witness is given immunity and then testifies falsely, he can be
prosecuted for perjury and the immunized testimony used against him in the
perjury prosecution. United
States v. Apfelbaum, 445
U.S. 115 (1980).
C. Federal Court Immunity
1.
There are three types of immunity
a.
Transaction Immunity is the most broad- under which the person cannot be
prosecuted for the transaction being investigated.
b.
Use and Derivative Use Immunity- under which nothing the person says can
be used against him and no evidence derived as a result of his statements can
be used against him.
c.
Use immunity which is the most narrow- under which a person is only
protected against having his own statements used against him.
2.
Immunity can be granted informally by a prosecutor either in writing or
orally. Such immunity is often
referred to as Òinformal immunity,Ó Òpocket immunity,Ó or Òletter
immunity.Ó It is binding on the
government and is as broad or narrow as provided for by the terms of the
agreement. United States v.
Turner, 936 F.2d 221 (6th
Cir. 1991); United States v. Quam, 367 F.3d 1006, 1008 n.2 (8th Cir. 2004).
a.
Because informal immunity does not have Fifth Amendment limitations, it
can cover transactional immunity, use and derivative use immunity or only use
immunity depending on the agreement.
1.
Such agreements are contracts and all ambiguities will be resolved
against the government. United
State v. Dudden, 65 F.3d
1461 (9th Cir. 1995).
b.
Keep in mind, however, that informal immunity offered by a prosecutor in
one district may not cover other districts. United States v. Turner, 936 F.2d 221 (6th Cir. 1991).
3.
Statutory immunity for federal court and federal grand jury proceedings
is provided for under 18 U.S.C. ¤¤ 6002 and 6003.
a.
18 U.S.C. ¤ 6003 provides that the United States Attorney may, Òwith the
approval of the Attorney General, the Deputy Attorney General, the Associate
Attorney General, or any designated Assistant Attorney General or Deputy
Attorney GeneralÓ request a witness be provided immunity.
1.
The request must be signed by the United States Attorney for the
district or by an Assistant United States Attorney designated to act on
immunity issues for the
United States Attorney during her absence or unavailability. In re Grand Jury Proceedings, 882 F.Supp. 1165 (D.Mass. 1995).
b.
18 U.S.C. ¤ 6003 also requires the United States Attorney or his
designee to believe (1) that Òthe testimony or other information from such
individual [is] necessary to the public interest and (2) that the individual
has refused or is likely to refuse to testify or provide information by
invoking the Fifth Amendment.
1.
In evaluating whether immunity is in the publicÕs interest, the United
States AttorneysÕ Manual suggests that the following factors be considered: (i)
the importance of the investigation or prosecution to effective enforcement of
the criminal laws; (ii) the value of the person's testimony or information to
the investigation or prosecution; (iii) the likelihood of prompt and full
compliance with a compulsion order, and the effectiveness of available
sanctions if there is no such compliance; (iv) the person's relative
culpability in connection with the offense or offenses being investigated or
prosecuted, and his or her criminal history; (v) the possibility of
successfully prosecuting the person prior to compelling his or her testimony;
and (vi) the likelihood of adverse collateral consequences to the person if he
or she testifies under a compulsion order. See U.S.A.O.
Manual at ¤ 9.-23.210.
2.
The United States AttorneysÕ Manual also provides that Òabsent specific justification, the
Department will ordinarily avoid seeking to compel the testimony of a witness
who is a close family relative of the defendant on trial or of the person upon
whose conduct grand jury scrutiny is focusing.Ó See U.S.A.O.
Manual at ¤ 9.-23.211.
3.
Finally, United States AttorneysÕ Manual provides that immunity will not be used to compel the
production of testimony or other information on behalf of a defendant except in
extraordinary circumstances.Ó See
U.S.A.O. Manual at ¤
9.-23.214.
4.
The Fifth Circuit had held that a defendant may not complain of a
failure of the Department of Justice to follow it own guidelines in seeking
immunity orders. In re Tierney, 465 F.2d 806, 813 (5th Cir. 1992)
c.
If an immunity request is made by the government, as provided for under
statute, it is then submitted to the overseeing Court (usually ex parte) and the Court ÒshallÓ grant the witness
immunity. See. e.g., In re
Kilgo, 484 F.2d 115, 1219
(4th Cir. 1973) (Court has no discretion to question whether testimony is
needed in the Òpublic interest.Ó).