BILL ANALYSIS Ó AB 766 Page 1 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 AB 766 Page 2 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 AB 766 Page 3 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 AB 766 Page 4 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 AB 766 Page 5 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. AB 766 Page 6 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. AB 766 Page 7 REGISTERED SUPPORT / OPPOSITION : Support None Opposition None Analysis Prepared by : Gabriel Caswell / PUB. S. / (916) 319-3744