Devine v. Goodstein

680 F.2d 243, 220 U.S. App. D.C. 207
Court of Appeals for the D.C. Circuit·Decided June 4, 1982·No. No. 81-1230·Published·Cited by 14 cases

Opinion

Opinion for the court PER CURIAM.

PER CURIAM:

The Director of the Office of Personnel Management (OPM) petitions this court for review of an award by Arbitrator Barnett Goodstein. The issue presented is whether the Fifth Amendment excuses a federal employee from giving a report of his official conduct to his supervisors. Because the arbitrator erred in his application of constitutional law, we reverse his award as to the charge of employee insubordination.

I.Background

On December 28, 1979 a British citizen attempted to enter the United States from Mexico at a border checkpoint in El Paso, Texas. Norman Fisher, an immigration inspector, detained the visitor, writing in his detention report that the British citizen “was not employed” and “claims he free lances.” 1 Mr. Fisher “required the alien to post a MS/D bond as a requirement of permit.” 2 The British citizen withdrew his request for admission and left the checkpoint. He then wrote a letter of complaint about the manner in which he was treated.3

In an effort to respond to the letter, the Immigration and Naturalization Service (Service) sent a copy of the complaint to Mr. Fisher and asked him to write a complete report about the incident.4 Mr. Fisher responded that before making such a report he wanted to know “a 11 my rights.”5 By this he meant that “he wanted something in writing from the Service to the effect that it would not use his written report against him as the basis of disciplinary action.”6 The Service answered that he knew his rights7 and ordered him to write a complete report. After a subsequent exchange of memoranda and the employee’s continued refusal to write a report, the Service instituted an adverse personnel action against Mr. Fisher charging him with insubordination. The Service eventually suspended him for 15 days.8

Mr. Fisher chose to appeal the suspension to an arbitrator rather than to the Merit Systems Protection Board under an option created by the Civil Service Reform Act of 1978.9 The arbitrator reversed the suspension, holding that the Service could not order a report without first giving complete immunity because “under the Constitution of the United States, no citizen is required to testify against himself * * *.”10 OPM intervened and sought reconsideration of the decision.11 Upon reconsideration the arbitrator held that both the self-incrimina[210] tion and the double jeopardy clauses of the Fifth Amendment protected Mr. Fisher’s actions and also that equal protection principles extended the same protection to citizens not charged with criminal violations.12

OPM then brought this petition for review. In order to “assure conformity between the decisions of arbitrators with those of the Merit Systems Protection Board”13 involving adverse personnel actions, the Civil Service Reform Act provides for judicial review of an arbitrator’s award “in the same manner and under the same conditions as if the matter had been decided by the Board.”14 See Devine v. Goodstein, 669 F.2d 736, 737 & n. 1 (D.C.Cir.1981). Exercise of our jurisdiction, which is discretionary,15 is appropriate in this case.16

II.Application of Constitutional Principles.

A. The Self-Incrimination Clause17and Employee Questioning

“[P]ublic employees are entitled, like all other persons, to the benefit of the Constitution, including the privilege against self-incrimination.” Uniformed Sanitation Men Ass’n, Inc. v. Comm’r of Sanitation of City of New York, 392 U.S. 280, 284-285, 88 S.Ct. 1917, 1919-20, 20 L.Ed.2d 1089 (1968). Thus testimony elicited from an employee at an administrative hearing under a threat of discharge cannot be used against him in a criminal prosecution. Garrity v. New Jersey, 385 U.S. 493, 87 S.Ct. 616, 17 L.Ed.2d 562 (1967). Conversely, the state cannot discharge an employee who refuses to sign a waiver of immunity. Gardner v. Broderick, 392 U.S. 273, 88 S.Ct. 1913, 20 L.Ed.2d 1082 (1968). Nor can an employee be discharged for refusing to testify at an administrative hearing when the state threatens use of the testimony in criminal proceedings. Uniformed Sanitation Men, supra. At the same time, if an employee is informed that his responses and their fruits cannot be employed against him in a criminal case, the state may insist that the employee answer questions directed specifically and narrowly at the performance of his job or else suffer loss of employment. See Lefkowitz v. Turley, 414 U.S. 70, 84, 94 S.Ct. 316, 325, 38 L.Ed.2d 274 (1973); Gardner v. Broderick, supra, 392 U.S. at 284, 88 S.Ct. at 1919; Kalkines v. United States, 473 F.2d 1391, 1393 (Ct.Cl.1973); Uniformed Sanitation Men Ass’n, Inc. v. Comm’r of Sanitation of City of New York, 426 F.2d 619, 627 (2d Cir. 1970).

The privilege against self-incrimination as elaborated above can be asserted “in any proceeding, civil or criminal, administrative or judicial, investigatory or adjudicatory * * *.” Kastigar v. United States, 406 U.S. 441, 444, 92 S.Ct. 1653, 1656, 32 L.Ed.2d 212 (1972). However, it only protects against “any disclosures that the witness reasonably believes could be used in a criminal prosecution or could lead to other evidence that might be so used.” Id. at 445, 92 S.Ct. at 1656 (emphasis added). Otherwise, the privilege cannot be invoked.

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Devine v. Goodstein, 680 F.2d 243, 220 U.S. App. D.C. 207 (D.C. Cir. 1982).

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