BILL ANALYSIS                                                                                                                                                                                                    Ó



                                                                  AB 766
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          Date of Hearing:   April 16, 2013
          Counsel:        Gabriel Caswell


                         ASSEMBLY COMMITTEE ON PUBLIC SAFETY
                                 Tom Ammiano, Chair

                     AB 766 (Gaines) - As Amended:  April 2, 2013

           
          SUMMARY  :  Prohibits the Attorney General (AG) from offering a  
          promise of use or transactional immunity during the course of an  
          investigation into the misuse of public funds, unless specified  
          findings are made. Specifically,  this bill  :  

          1)Provides that the AG may not offer a promise of use or  
            transactional immunity during the course of an investigation  
            into the misuse of public funds, unless the Attorney General  
            makes all of the following written findings:

             a)   The testimony of the person to whom the offer is made is  
               needed to obtain a criminal conviction in the case.

             b)   The testimony of the person to whom the offer is made is  
               important to securing that conviction.  

             c)   The person to whom the offer is made will invoke his or  
               her right against self-incrimination unless immunity is  
               granted.

          2)States that if the criteria are met, the AG shall submit a  
            written copy of the findings to the presiding judge of the  
            criminal court that has jurisdiction over the case, if a  
            criminal complaint has been filed; or where the grand jury  
            relating to the investigation has been impaneled or criminal  
            or grand jury proceedings have not yet commenced, to the  
            presiding judge that would have jurisdiction over the case  
            subject to investigation.


           EXISTING LAW  :  

          1)Guarantees that no person shall be held to answer for a  
            capital, or otherwise infamous crime, unless on a presentment  
            or indictment of a Grand Jury, except in cases arising in the  








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            land or naval forces, or in the Militia, when in actual  
            service in time of War or public danger; nor shall any person  
            be subject for the same offense to be twice put in jeopardy of  
            life or limb; nor shall be compelled in any criminal case to  
            be a witness against himself, nor be deprived of life,  
            liberty, or property, without due process of law; nor shall  
            private property be taken for public use, without just  
            compensation. (United States Constitution, 5th Amendment;  
            emphasis added.)   

          2)Provides that in any felony proceeding or in any investigation  
            or proceeding before a grand jury for any felony offense if a  
            person refuses to answer a question or produce evidence of any  
            other kind on the ground that he or she may be incriminated  
            thereby, and if the district attorney of the county or any  
            other prosecuting agency in writing requests the court, in and  
            for that county, to order that person to answer the question  
            or produce the evidence, a judge shall set a time for hearing  
            and order the person to appear before the court and show  
            cause, if any, why the question should not be answered or the  
            evidence produced, and the court shall order the question  
            answered or the evidence produced unless it finds that to do  
            so would be clearly contrary to the public interest, or could  
            subject the witness to a criminal prosecution in another  
            jurisdiction, and that person shall comply with the order.  
            After complying, and if, but for this section, he or she would  
            have been privileged to withhold the answer given or the  
            evidence produced by him or her, no testimony or other  
            information compelled under the order or any information  
            directly or indirectly derived from the testimony or other  
            information may be used against the witness in any criminal  
            case. But he or she may nevertheless be prosecuted or  
            subjected to penalty or forfeiture for any perjury, false  
            swearing or contempt committed in answering, or failing to  
            answer, or in producing, or failing to produce, evidence in  
            accordance with the order. Nothing in this section shall  
            prohibit the district attorney or any other prosecuting agency  
            from requesting an order granting use immunity or  
            transactional immunity to a witness compelled to give  
            testimony or produce evidence. (Penal Code Section 1324.) 

          3)Provides in any misdemeanor proceeding in any court, if a  
            person refuses to answer a question or produce evidence of any  
            other kind on the ground that he may be incriminated thereby,  
            the person may agree in writing with the district attorney of  








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            the county, or the prosecuting attorney of a city, as the case  
            may be, to testify voluntarily pursuant to this section. Upon  
            written request of such district attorney, or prosecuting  
            attorney, the court having jurisdiction of the proceeding  
            shall approve such written agreement, unless the court finds  
            that to do so would be clearly contrary to the public  
            interest. If, after court approval of such agreement, and if,  
            but for this section, the person would have been privileged to  
            withhold the answer given or the evidence produced by him,  
            that person shall not be prosecuted or subjected to penalty or  
            forfeiture for or on account of any fact or act concerning  
            which, in accordance with such agreement, he answered or  
            produced evidence, but he may, nevertheless, be prosecuted or  
            subjected to penalty or forfeiture for any perjury, false  
            swearing or contempt committed in answering or in producing  
            evidence in accordance with such agreement. If such person  
            fails to give any answer or to produce any evidence in  
            accordance with such agreement, that person shall be  
            prosecuted or subjected to penalty or forfeiture in the same  
            manner and to the same extent as he would be prosecuted or  
            subjected to penalty or forfeiture but for this section.(Penal  
            Code Section 1324.1.)

          4)States that when two or more defendants are included in the  
            same accusatory pleading, the court may, at any time before  
            the defendants have gone into their defense, on the  
            application of the prosecuting attorney, direct any defendant  
            to be discharged, that he may be a witness for the people.   
            (Penal Code Section 1099.)  

          5)States that when two or more defendants are included in the  
            same accusatory pleading, and the court is of opinion that in  
            regard to a particular defendant there is not sufficient  
            evidence to put him on his defense, it must order him to be  
            discharged before the evidence is closed, that he may be a  
            witness for his codefendant.  (Penal Code Section 1100.)  


           FISCAL EFFECT  :   Unknown

           COMMENTS :   

           1)Author's Statement  :  According to the author, "The  
            investigation of the Department of Parks and Recreation found  
            that more than $20 million had been hidden away for as many as  








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            20 years. Additionally, an illegal buyout of vacation time  
            cost the state more than $285,000.

            "Penal Code 424 clearly states: an officer of the state keeps  
            a false account or conceals an account is punishable by  
            imprisonment in the state prison for two, three, or four  
            years, and is disqualified from holding any office in this  
            state. 

            "There was substantial information to lead the Department of  
            Justice to investigate criminal actions of the Parks  
            Department employees. Yet, the Attorney General chose to  
            conduct an administrative investigation; therefore, any  
            information obtained could not be used in court. Even if a  
            criminal investigation was conducted, the AG is not required  
            to file charges if they decide it is not warranted. 

            "Most public servants serve California admirably; however,  
            when people involved in the Parks scandal are not held  
            accountable, or even investigated the distrust of government  
            swells. Letting people responsible for the misuse of millions  
            of state dollars off without consequence, does a disservice to  
            their honest coworkers and every Californian." 

           2)Immunity  :  The privilege against self-incrimination entitles a  
            witness or defendant to refuse to give testimony or evidence  
            that may tend to incriminate themselves.  Various forms of  
            statutory and non-statutory immunity have been used by the  
            prosecution to compel testimony despite the privilege.  By  
            granting a witness immunity from prosecution, the witness can  
            no longer assert their privilege against self-incrimination  
            and may be compelled to testify. There are two major forms of  
            immunity utilized by prosecutors: transactional and use  
            immunity.  Despite a grant of immunity from prosecution for a  
            witnesses' testimony, the witness may be prosecuted for  
            perjury if it can be shown that the witness was not truthful  
            while testifying.  (Penal Code Sections 1324-1324.1.)  

              a)   Transactional Immunity  :  Transactional immunity provides  
               immunity from a later prosecution related to any matter  
               about which the witness testifies.  People v. DeFreitas  
               (1983) 140 CA3d 835, 837.  This form of immunity grants the  
               broadest protections of witnesses.  California provides  
               transactional immunity in misdemeanor cases, however in  
               felony cases the prosecutor has the discretion to choose  








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               between transactional or use immunity.  

                i)     Limitations on Transactional Immunity  :  There are  
                 three very important limitations on transactional  
                 immunity granted by a prosecutor.  

                  (1)       Does not prevent prosecution for perjury based  
                    on the immunized testimony.  

                  (2)       Does not extend to an event described in an  
                    answer totally unresponsive to the question asked.   
                    For example, when asked in a drug sales case where a  
                    witness saw something pertinent if the witness  
                    suddenly confessed to an unrelated murder that  
                    testimony would not be covered by transactional  
                    immunity.  

                  (3)       Does not cover crimes not covered by the grant  
                    of immunity if specified crimes are articulated in the  
                    agreement.  

              b)   Use Immunity  :  Use immunity only prevents authorities  
               from using the actual testimony or evidence that was  
               obtained under the immunity grant.  Use immunity is more  
               limited than transactional immunity.  It prevents law  
               enforcement authorities from using only the actual  
               testimony that was obtained under a grant of immunity, or  
               its fruit, in a subsequent prosecution of the witness.    

           3)Existing Procedures and Safeguards for Granting Immunity  :   
            Under existing law there are a number of proverbial hoops to  
            jump through prior to the grant of immunity.  

              a)   Witness Refuses to Answer  : The procedure for a grant of  
               immunity requires first that a witness refuse to answer a  
               question or produce evidence based on a claim of privilege  
               against self-incrimination.  

              b)   Request to Compel by Prosecutor  :  The prosecutor must  
               then request that the court order the witness to answer.   
               The court responds by issuing an order to show cause and  
               sets a time for a witness immunity hearing.  These requests  
               and hearings should be made outside the presence of a jury.  
                









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              c)   Immunity Hearing  :  At an immunity hearing the witness  
               claiming the privilege against self-incrimination has the  
               burden of showing that the information may be  
               incriminating.  (Evidence Code Section 404.)  If the  
               claimant presents such evidence, the judge must sustain the  
               claim of privilege unless it clearly appears that the  
               proffered evidence cannot possibly have a tendency to  
               incriminate the claimant.  

              d)   Request for Immunity by Prosecutor  :  Once a judge has  
               determined that the privilege against self-incrimination  
               applies to the witness in the case at hand, the prosecutor  
               may request either transactional or use immunity with  
               specified terms in felony cases.  In misdemeanor cases,  
               transactional immunity applies in all cases.  

             e)   Court Order  :  Once a prosecutor requests immunity for a  
               witness, the court must grant immunity and "order the  
               question answered or the evidence produced unless it finds  
               that to do so would clearly be contrary to the public  
               interest, or could subject the witness to a criminal  
               prosecution in another jurisdiction."  (Penal Code Section  
               1324.)  

           4)Limitation on the Prosecutorial Discretion of the California  
            Attorney General  :  In California prosecutors have the  
            discretion to determine whether testimony required from a  
            particular witness (which is protected by the privilege  
            against self-incrimination) is more important to their case  
            than the prosecution of that witness at a later time.   
            Additionally, in felony cases the prosecutor has the  
            discretion to determine whether or not to apply a narrow use  
            immunity or a more broad transactional immunity.  This  
            determination may be essential to the production of evidence  
            in a case, and achieving justice and a remedy suitable to the  
            public good.  
             
             This bill would limit the prosecutorial discretion of attorney  
            generals by requiring that they make specified findings prior  
            to granting immunity in specified cases.  This same limitation  
            is not applied to other prosecutorial agencies.  It is not  
            clear why the limit of prosecutorial discretion would only  
            apply to the California Attorney General and no other  
            prosecutors in the State of California.  
           








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           REGISTERED SUPPORT / OPPOSITION  :   

           Support 
           
          None

           Opposition 
           
          None
           

          Analysis Prepared by  :    Gabriel Caswell / PUB. S. / (916)  
          319-3744