*1 4:5 Amendment, Fitzpatrick. say I did or references to the when “Mr. I if if Fifth did, not, they I I it is are considered in full regardless did of what text and context. pry way, they not Considered in show the affair of committee to that realistic this Fitzpatrick invoking had into this kind action. no intention of privilege against Amendment’s self-incrimi- “Mr. for that reason do Wood. And judgment nation. I would affirmthe you question? decline to . Court. District Fitzpatrick. I on the “Mr. stand protection 'Constitution, say I am Judge authorized to PROCTOR First and Fifth Amendments. opinion; dissenting concurs Judge that, except CLARK also concurs “Mr. Wood. And for those reasons being opinion privi- claim of decline to answer the fur- lege personal a highly one and must be ther? by person made claiming it and not Fitzpatrick. “Mr. I have answered reference, judge he thinks trial question. right holding adopt could not you “Mr. Wood. I say, do decline to Fitzpatrick. statements of answer it further? Fitzpatrick.
“Mr. I no fur-
ther comment on it.” also,
In this Fitzpatrick instance made it
abundantly clear he was invoking not
two Amendments to giving avoid an in
criminating answer, but thought that he Amendments barred the from committee asking pry which would into BART v. UNITED STATES. his mind and would violate his constitution No. 11045. right al to be if silent an answer were compelled. I impossible find it regard Appeals United States Court of Fitzpatrick’s statements amounting to a District of Columbia Circuit. n claimto the immunity constitutional from Argued 6,Oct. self-incrimination. Measured the strict standards announced in the cases I have Decided Dec. n cited,by which language of a witness Rehearing Petition for Denied must be measured in determining whether April 15, 1953. actually intended to and did claim the privilege, Fitzpatrick’s fall statements far
short constituting such a claim. As the said, judge
trial they certainly leave much
to be desired. Emspak Cf.
(1952) conclude, I therefore, the district
judge only did in fact find that Fitz-
patrick did claim the privilege, but also amply that he was justified in finding, so
n despite that, Quinn’s fact after convic- tion, Fitzpatrick himself was found not
guilty by a different district judge, F.Supp. 491, who seems not to have con- Fitzpatrick’s
sidered statements “in full context,” acquitted
text but him solely
because he used the words “Fifth Amend- I ment.” impossible think it spell out
a claim the privilege Fitzpatrick’s from *2 Many years
“Mr. ago. Bart: “Mr. Walter: Where?
“Mr. Bart: In the city of New York. *3 you your “Mr. Walter: Did changed name in court? Yes; years
“Mr. Bart: about IS ago.” The next four counts of the indictment questions involved described as follows: Count Three. “What was the name of the defend- ant when he came to the United States.” C., Wright, Washington, T. D. James Count Four. appellant. for “What was the defendant’s father’s Lane, Atty., D. Asst. S. U. John name.” Irelan, Atty., whom Charles U. Mr. M. S. Count Five. Howard, Joseph Atty., M. Asst. U. S. C., Murray, Washington, D. and Charles B. “Under what name did the defend- brief, Gen., Atty. Asst. were for on ant’s father a become citizen of the appellee. George Fay, Atty., Morris U. S. United States.” C., Washington, D. when the record was Count Six. filed, ap appearance entered also “What name did the defendant pellee. change his name from.” PRETTYMAN, PROCTOR and Before questions When Bart was asked by these BAZELON, Judges. Circuit but, Subcommittee did he not answer instead, each time made reference to a PRETTYMAN, Judge. Circuit already example, statement made. For Philip thirty-two was indicted in Bart when he was asked what his father’s name for refusal to answer that number counts was, said, he already “I have dealt with questions by asked him a Subcommittee question.” apparently this This was a ref- Activ- of the Committee Un-American erence to an earlier “I statement that will Representatives. the House of Be- ities pertinent answer it is because it to during fore or the trial Government hearing.” questions After these four twenty-four of the counts. Bart abandoned 'him, said, had been “My asked answer eight first convicted counts of is that I have my answered what name is From conviction he the indictment. that here, which is the only pertaining counts, questions appeals. The and the in- inquiry, to it seems to me.” appears, It them, require somewhat different
volved
therefore,
position
that Bart took the
that
disposition.
consideration
questions
these four
pertinent
were not
inquiry.
upon questions
One
rest
Counts
and Two
“Whether the defendant
described thus:
Upon
argument
the oral
court,
in this
Philip
was born under
name of
Bart” counsel for Bart
point
abandoned the
defendant
and “When the
took
name
pertinent.
were not
these
So-the
Philip Bart.” It seems clear that Bart
controversy
posed
now
concerns naked re
questions.
those
Without at-
answered
answer;
is,
fusals
refusals without
tempting
recite all the incidents in
legal justification.
asserted
Counsel takes
quote
that we
record,
is sufficient
it
one:
position
prosecution
for contempt
the Sub-
lie
“Mr. Walter
will not
for refusal to answer
[Chairman
these
you legally
questions,
: When did
because Bart was not
by
committee]
directed
your
change
name?
answer
Committee to
after he had once
(Amendment
those cases
concerned
ever
Chief
were
sáys that
since
refused. He
Jus
compelled to
person
is that
shall be
V)
case1
Burr
procedure
Marshall’s
tice
testify against
case.
himself in
universally followed
criminal
courts have
pointed
May
As
v.
we
out in
United
directing witness'
practice of
supra,
problem
says
presented by
guar
He
refusal
answer.
the initial
after
anty
interests, the
principle
accepted
involves two
universally
conflicting
is
that this
ap
sense,
of the witness to refuse to answer
right
law,
in common
founded
in
importance
public
com
to the
congressional
plies
inquiries
Eisele,2
sought.
formation
When the
v.
United States
He cites
mittees.
duty
May
inquirer’s
it
States,3
claimed
witness
v.
Graham
*4
ex
“to
whether he
to
dealt
determine
the Eisele case
*But
States.4
wishefs]
United
immunity
testimony.”5 If an
change
testi
for
prosecution for
immunity from
with
inquirer
despite
un
wants information
its
had claimed
the witness
mony
after
given
availability
witness,
must
against
self-
the
against
privilege
constitutional
the
immunity
complete
authority
grant
with
to
dealt
case
incrimination; the Graham
authority
and,
the
principally, the
witness. He
that
to
exercises
privilege
a claim of
in
But
pass upon the
the witness
compelling
to
to answer.
court
duty
a trial
May
happens
empow
Congress
that
case it
has not
involved; and the
crimination
necessary
grant
ered its committees to
testimony. Those
voluntary,
cases
involved
immunity,6
they
power
and so
have not the
pertinent here.
are
compel incriminating
There
to
evidence.
Emspak
in
v. Unit
held
haveWe
fore, a
in con
witness before them is not
U.S.App.D.C. 378, 203
ed
91
tempt if he
in reliance
refuses to answer
require
54,
today, that
decided
there is no
upon
privilege,
specific di
even after a
specific direction to answer be
ment that a
answer; provided
to
his claim
rection
that
Emspak’s
refusal to
giyen after a
answer.
valid,
privilege
to the
is
a matter which
necessity for
was directed to the
contention
moment,
we shall discuss in a
and further
specific
an as
direction to answer after
provided
priv
that he has not waived the
qf
self-
privilege against
claim the
serted
ilege
present
asserting
after
it. Under
stat
upon
rec
was clear
It
incrimination.
committees,
relating
congressional
utes
ord,
question's,
certainly as to some of the
n .
answer, conveying
direction
im
no
indisputably
Emspak
made
aware
that
munity,
way
has no effect one
or the other
the Subcommittee
the attitude of
toward
upon
contempt,
liability
the witness’s
for
grounds
re
his
for the
his refusals
except in so far
itas
serves to make certain
contrary
;
his counsel made no
fusals indeed
witness intends to refuse.
respect.
present
In the
contention
empowered
Congress
The
has
in-
problem
in a
recurs
different
the basic
case
example,
for
quirers,
Ex-
Securities and
that reason we add to the
For
framework.
Commission,
change
give immunity.7
In
Emspak
in the
case.
discussion
contempt
such cases a
witness is
if he
upon the
in reliance
argument
Bart’s
refuses to answer an incriminating
May)
Graham and
(Eisele,
he cites
cases
being specifically
after
directed
answer.
In the
the issue here.
as to
is confused
to answer
The direction
after an assertion
problem
present
place it confuses
first
conveys
immunity.
pros-
immunity from
problems of
with
upon
testimony.
argument
admissibility
Bart’s
above-cited
ecution
problem
which
guaranty
specific
with
also confuses
oases
constitutional
The
C.C.Va.1807,
quoted
Burr,
25
from
Phrase
States v.
5.
United States
v.
1. United
supra
2,
Eisele,
F.Supp.
14,692e.
page
38,
note
at
No.
Fed.Cas.
108.
F.Supp.
D.C.D.C.1943,
2.
Bryan, 1950,
6. United States v.
339 U.S.
1938,
F.2d 746.
Cir.
323, 335-336,
S.Ct.
without page 374, Id., Supra, at 19. 340 U.S. 71 S.Ct. S.Ct. 438. at 340 U.S. page 442. page Id., 71 S.Ct. at U.S. at page U.S. 71 S.Ct. L. Ed. admittedly organizer and times, years. was the in Illinois Party in different at different * * * Pennsylvania, Pennsylvania danger could not increase the arid Illinois In already by of incrimination incurred him in wheth- then asked many.” was among He. for, prior testimony. the his organizer he er had section been a replied, He Party in Ohio. Communist Appellant also asserts as error repeated, question was likely.” “Most The in refusal of the trial to dismiss the court the exact know did that he - said upon motion dismiss was dictment. The ago.” He years period time—“It is of twenty of the members of ground that quoted in question was then- asked indicting jury ten were Govern grand question asserted Eight Count employees ment and two more were wives against self-incrimination. the' employees. same of This is Government point, grand jury, indeed the same involved decision in opinion and We think point Emspak v. United States. The case, supports the Govern supra, Rogers against there was decided contentions Eig respect to Count position in ment’s appellant. of the ht. equivocal answer, “Most like appellant’s If mentioning directly ly”, Whether, foregoing, in view of the clearly the affirmative, Ohio be deemed respect we should affirm in of Three Counts section in the Ohio persons identity of Six, inclusive, for a or should remand not, the doctrine under Party would problem new trial on dif those counts is a danger al case, increase Rogers presented ferent v. from that If the admission. ready by the incurred -, United all, as answer at likely” be treated “Most today. There the decided also effected the incrimination nevertheless explicitly court ruled that as matter trial membership Party and ac the admission of the sole defense offered law was Pennsylvania was not tivity Illinois and resulting judgment available. Thus the members in by acquaintance with increased upon conviction was not based evidence Act21 was Smith Violation Ohio. pro con; upon offered it was based crime, ad and it potential consisted prosecutor evidence offered alone. the Govern vocacy the overthrow of So, ques- we the legal when reversed violence, conspiracy to by force and ment tion, a claimed factual defense was made membership organization of so, in or do or accused, available to and it was neces- objective. society group having trial, sary that new which that defense Party was Membership in the Communist pres- be considered, would be had. In the proof of but one link in not the crime was case, ent Three through to Counts Six admittedly So, ac if Bart the crime. judgment general guilty. there Pennsyl Party in Illinois tive in *8 jury, Had there been a there would have Party vania, officers fact that knew instructions embodying been statements of possibility in would not increase Ohio applied. to the law be But no there was for violation of statute. incrimination jury and no instructions and statement admission, advocacy which, by The applied. only law In such a case the in Illinois might deemed have occurred be to question for. us is whether there was suffi- and as a Pennsylvania, was not increased support judgment. evidence cient potential be'gan it or incrimination because find that there was. That We ends our con- most, At the informa continued in Ohio. suggested, effect, sideration. It is in that only pos tion as to could add a third Ohio make, assumptions, (1) we three that already sible to the two established venue upon point legal court erred trial in re- prosecution offense for .the Seven, spect to Count that <(2) .therefore Pennsylvania,22 as to Illinois and admission respect it the same error in made of Counts Rogers think that under case the We inclusive, Six, (3) Three and that it did identity of other officials-of the Ohio any not resolve conflicts in in evidence. It, Party the Communist its on reaching section of when Bart those finding counts. is (1948), (1948), Stat. § 21. 62 U.S.C. 18 U.S.C. § Stat. any cededly, view that make of those our we cannot those pertinent. statements are assumptions. viewing In the conviction But so is the statement of the Committee “ * * * find, have in- under Count Seven we as we chairman that we don’t rule on dicated, upon objections.”4 conclusive response the evidence And in ato Com- record; of the there was no contra- face mittee member’s suggestion that the witness dictory support finding evidence of “be possibilities advised of the of con- guilt count; tempt,” on that hence we In reverse. the Committee chairman “No, said: respect through we Counts Three Six he has counsel. Counsel knows that is the support find my substantial evidence to the law.”5 In the record presents view judgment. speculate We cannot the seriously that conflicting statements which raise trial question court in its own made error a mind of fact for the trial court. An of law stated or shown on record. examination of the record demonstrates court, that the sitting jury, without a did judgment The of conviction on not so understand the For matter. while it One, and is and Counts Two Seven reversed 'appellant “comprehended found that that Three, Four, on Counts Five, Six and he refusing was ques- to answer those Eight (three is affirmed. Since the sentence tions,”6 this conclusion upon based imprisonment months’ and a $500) fine of express findings, implied, (1) ap- that supported by any the conviction on of the pellant clearly apprised grounds that his counts, judgment that answering for not rejected were by the Committee and (2) he was afforded Affirmed. another opportunity This, to answer. I think, is appellant’s manifest from convic- BAZELON, Judge (dissenting). Circuit tion on Count 7. charged There he was refusing question to answer a after All of the circumstances pleadings Committee merely counsel repeated the qualifications to the issue relating grounds appellant’s objection, for and then employees grand Government to serve as proceeded immediately propound another jurors in this case are identical with those question. This court reverses that convic- For rea- States.1 tion because “the my opinion case, Committee abandoned sons set I forth question as asked ques- asked another would and remand reverse for a trial new * * * tion. The Committee here. indicated clearly agreed it with [appellant’s] I ground think there is another for or question.”7 Thus, view of the initial trial, upon a new dering my based view in only suggests thing that the Committee Quinn of the words “refuses to answer” in meant an answer to the only I impact 192.2 shall discuss § subsequent 7 was its Count certification upon the instant record. view contempt, initiating the indictment here. Here the court relies certain applied state- If the trial court the same view in colloquy ments in appellant between and considering all of the counts, counsel, hand, contrary indication, the one there is no Committee then clearly it committed similar counsel, error other, members and their as to on the those *9 counts. appellant showing that was made aware grounds his objecting for to answer Appellant asserted lack of pertinency as
were overruled
the Committee.3
ground
Con- the
for not answering
344,
p.
U.S.App.D.C.
J.A.,
1.
14.
4.
91
2. 5. Id. at 12. 2 U.S.C.A. 192. (1938), § 942 p. J.A., 6. 105. Majority Majority opinion, U.S.App.D.C. opinion, 370, U.S.App.D.C. 7. 3. 91 91 203 F.2d 51. 51. 3, 4, 5 and 6. At Counts involved in STATES. v. UNITED EMSPAK con here, appellant’s counsel argument oral No. 10943. pertinent. questions were ceded that those controversy now court, “So,” “the says the Appeal United States Court of s refusals answer.” posed- naked concerns Columbia Circuit. District of refusal, Quinn, a naked dear As made I Argued 5, 1951. Oct. statement, e., at “a without i. refusal re Reargued May 27, therefor” does not time, the reason 1952. inquiring action quire affirmative 19, 1952. Decided Dec. effect, court, treats authority.9 Thus the Rehearing waiver a retroactive for Petition Denied counsel’sconcession April 13, 1953. aware,” as “be made right to appellant’s “by present opinion, court’s in the stated time, despite his at some some method he shall inquirer means that position the I cannot reconcile question.”10 today the decision in result appear that said, “It must the court
where intention aware [a witness] required de were inquirer
his that answers
spite objections.”11 on affirms conviction court This Roge that under the ground 8 on Count priv appellant’s claim the
rs12 doctrine una
ilege self-incrimination against reach consideration I do vailing.13 not. also, F.Supp. 1012. See because, agrees, as this court issue treating a claim' there is no basis differ self-incrimination
privilege against objection
ently to answer:14 any from under Count follows even
It therefore weigh, must still on
8, the fact finder advis hand, statement
one the Committee’s privilege was not daim of the
ing that the and, hand,
available, the other the Com on that it rule would not statements
mittee’s before Thus, this court can objections. validity appellant’s claim of
consider the must determine that the privilege, it first that the’ had been found witness
court below apprised of Committee’sadverse
clearly opportunity another afforded
ruling
answer.15
U.S.App.D.C.
majority opinion, 91
U.S.App.D.C.
13. See
Id.,
47.
F.2d
U.S.App.D.C.
