State v. Romero

635 P.2d 998, 96 N.M. 795
CourtNew Mexico Court of Appeals
DecidedOctober 1, 1981
Docket5132
StatusPublished
Cited by7 cases

This text of 635 P.2d 998 (State v. Romero) is published on Counsel Stack Legal Research, covering New Mexico Court of Appeals primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
State v. Romero, 635 P.2d 998, 96 N.M. 795 (N.M. Ct. App. 1981).

Opinion

OPINION

WOOD, Judge.

After being granted use immunity, defendants refused to testify, as witnesses, in a children’s court proceeding. Defendants, at the time of their appearances before the children’s court, were represented by counsel. Each defendant was held in contempt of court and sentenced to ninety days in jail. Each defendant appeals. The claim in the docketing statement, that summary contempt proceedings were improper, has not been briefed and, thus, was abandoned. State v. Gallegos, 92 N.M. 336, 587 P.2d 1347 (Ct.App.1978). We discuss: (1) the trial court’s authority to grant use immunity; (2) use immunity and the privilege against self-incrimination; and (3) use immunity and the right to counsel.

Trial Court’s Authority to Grant Use Immunity

A petition to revoke a child’s probation alleged the child had committed several felonies in connection with the death of Joe Benta. The asserted felonies were aggravated burglary, armed robbery, murder and conspiracy. Defendants claim they have been indicted on the same charges; the State does not contest this claim.

Evidence Rule 412 provides for use immunity:

Evidence compelled under an order requiring testimony ... or any information directly or indirectly derived from such evidence, may not be used against the person compelled to testify . . . except a prosecution for perjury committed in the course of the testimony or in a contempt proceeding for failure to comply with the order.

Rule of Crim. Proc. 58 states the procedure for obtaining an order to compel testimony. No claim is made that this procedure was not followed. The prosecutor applied in writing for an order compelling these defendants to testify and the children’s court, by written order, granted the application and directed the defendants to testify, under penalty of contempt of court. The order contained the findings required by R.Crim.Proc. 58(b), and recited that' the State had stipulated to use immunity. See Evidence Rule 412. After entry of this order, each defendant was called to testify in the children’s court proceeding; each defendant, advised by counsel, refused to testify; and each defendant was held in contempt.

The prosecutor’s application for use immunity relied on Evidence Rule 412, R.Crim.Proc. 58 and § 31-3A-1, N.M.S.A. 1978 (1981 Cum.Supp.). In granting the application, the children’s court did not identify the authority on which it relied. Defendants assert that § 31-3A-1 did not authorize the grant of use immunity in this case.

Laws 1979, ch. 337 contains thirteen sections; twelve of those sections refer to proceedings before the grand jury. The one section that does not refer to grand jury proceedings is § 10, on use immunity, compiled as § 31-3A-1. Because the title to Laws 1979, ch. 337 is, “An Act Relating to Grand Juries; Providing Safeguards and Improving Procedures", defendants assert the use immunity provided by § 31-3A-1 is limited to proceedings before a grand jury.

There is no ambiguity in § 31-3A-1; thus, we do not look to the title to determine legislative intent. As worded, § 31-3A-1 is not limited to grand jury proceedings. See State v. Ellenberger, 96 N.M. 287, 629 P.2d 1216 (1981). The question, in light of Ellenberger, is whether § 31-3A-1 must be limited to grand jury proceedings in order to meet the title requirements of N.M.Const., art. IV, § 16. It is unnecessary to answer this question.

If § 31-3A-1 is limited to grand jury proceedings, then that statute authorized the use immunity granted by the children’s court.

If § 31-3A-1 is not limited to grand jury proceedings, then Evidence Rule 412 authorized the use immunity granted by the children’s court. Campos v. State, 91 N.M. 745, 580 P.2d 966 (1978); State v. Gabaldon, 92 N.M. 230, 585 P.2d 1352 (Ct.App.1978); see State v. McGee, 95 N.M. 317, 621 P.2d 1129 (Ct.App.1980); State v. Archunde, 91 N.M. 682, 579 P.2d 808 (Ct.App.1978).

Use Immunity and the Privilege Against Self-Incrimination

Kastigar v. United States, 406 U.S. 441, 92 S.Ct. 1653, 32 L.Ed.2d 212 (1972), held that “immunity from use and derivative use is coextensive with the scope of the privilege against self-incrimination, and therefore is sufficient to compel testimony over a claim of the privilege.” Kastigar explains that the concern of the privilege against self-incrimination is to afford protection against being forced to give testimony leading to the infliction of penalties for criminal acts. “Immunity from the use of compelled testimony, as well as evidence derived directly and indirectly therefrom, affords this protection. It prohibits the prosecutorial authorities from using the compelled testimony in any respect, and it therefore insures that the testimony cannot lead to the infliction of criminal penalties on the witness.” (Emphasis in original.)

It was argued in Kastigar that use and derivative-use immunity subjected a witness to various possible incriminatory uses of compelled testimony, such as “leads, names of witnesses, or other information not otherwise available that might result in a prosecution”; that it would be difficult to identify “the subtle ways in which the compelled testimony may disadvantage a witness”. The answer, in Kastigar, is that once a defendant demonstrates that he has testified under a grant of immunity, the prosecution has the burden of proof. This burden “imposes on the prosecution the affirmative duty to prove that the evidence it proposes to use is derived from a legitimate source wholly independent of the compelled testimony.”

Defendants contend that Kastigar is inapplicable because that case involved answering questions before a grand jury under a grant of immunity. Defendants assert that because they had been indicted, and were actual defendants rather than potential defendants, Kastigar somehow does not apply. This argument is specious. The privilege against self-incrimination does not turn upon the type of proceeding, but the exposure involved. State v. Archunde, supra. Inasmuch as their testimony in the children’s court could not be used against them directly or indirectly, and because the compelled testimony could not be used against them in any respect, there was no exposure to self-incrimination from compelled testimony, whether or not they had been indicted.

The grant of use immunity did not violate the privilege against self-incrimination. Compare State v. DeSantos, 91 N.M. 428, 575 P.2d 612 (Ct.App.1978); State v. Smith, 88 N.M. 541, 543 P.2d 834 (Ct.App.1975).

Use Immunity and the Right to Counsel

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Cite This Page — Counsel Stack

Bluebook (online)
635 P.2d 998, 96 N.M. 795, Counsel Stack Legal Research, https://law.counselstack.com/opinion/state-v-romero-nmctapp-1981.