Lead Opinion
I. Introduction
We review the court of appeals’ decision in Backstreet v. Hopp & Flesch L.L.C.,
We undertake two analyses, embodying wholly different legal principles, to determine if the trial court’s grant of summary judgment was appropriate: (1) whether the sheriffs department’s non-statutory offer of use immunity to Backstreet was effective under the apparent authority doctrine as the court of appeals held; and, if not, (2) whether Flesch’s advice to Backstreet constituted professional malpractice because the written advisement was sufficiently coercive so that any statements she made to the sheriffs department would violate her Fifth Amendment privilege against self-incrimination and thus be barred from use in later criminal proceedings.
Under these facts, we hold that Backstreet did not rely upon the sheriffs advisement that her statements could not be used in later criminal proceedings. Therefore, the apparent authority test as set forth in People v. Fisher,
We further hold that Flesch did not commit malpractice by advising Backstreet not to participate in the internal investigation because her statements could be used in subsequent criminal proceedings. The sheriffs advisement here, which instructed Backstreet that she could be disciplined or terminated if she did not cooperate with the internal investigation, was ambiguous. As a matter of law, the advisement could reasonably be construed to either satisfy or not satisfy the test of whether testimony is unconstitutionally compelled, as articulated in People v. Sapp,
We therefore conclude, as a matter of law, that Flesch’s conduct did not fall below the requisite standard of care that he owed to Backstreet and reverse the decision of the court of appeals. We return this case to that court with directions to remand it to the trial court to dismiss the claim of professional negligence based on the attorney’s advice regarding the sheriffs department employment civil investigation and to comply with the court of appeals’ original remand order regarding petitioner’s other claims.
II. Facts and Proceedings Below
Backstreet, plaintiff below, was employed by the Arapahoe Country Sheriffs Department as a nurse in the county’s detention center. During the course of her employment, Backstreet made an error in administering medication to an inmate. The inmate sued Arapahoe County, Backstreet, and others for medical malpractice. In the ensuing investigation, the inmate’s medical record was discovered to have been altered. During an interview by a criminal investigator from the sheriffs office, Backstreet, who was not then represented by counsel, stated that she might have altered the record. Backstreet was suspended with pay pending the outcome of the investigation.
Approximately six months later, the state filed felony criminal charges against Backstreet for forgery, tampering with evidence, and official misconduct. The sheriffs office changed her status to suspension without pay. Backstreet then hired the law firm of Hopp & Flesch, L.L.C. and attorney Kevin Flesch, defendants below, to defend her in the criminal case.
The sheriffs office attempted several more times to schedule an internal affairs interview with Backstreet. In the course of doing so, the sheriffs office provided Backstreet and Flesch with a written advisement informing Backstreet that none of her statements could be used against her in a subsequent criminal proceeding. The advisement further stated that if she did not participate in the internal investigation, Backstreet could be disciplined or terminated. The advisement provided, in pertinent part:
You are entitled to all rights and privileges guaranteed by the laws and the Constitution of this State and the Constitution of*1180 the United States, including the right not to be compelled to incriminate yourself in a criminal matter, however, this is not a criminal investigation. I further wish to advise you that if you refuse to testify or to answer questions relating to the performance of your official duties or fitness for duty, you will be subject to administrative charges which could result in your dismissal from the Sheriffs Office. If you do answer, neither your statements nor any information or evidence which is gained by reason of such statements can be used against you in any subsequent criminal proceeding.
(Emphasis added.) The advisement was accompanied by a letter informing Backstreet that any “information obtained during the internal affairs interview cannot be used in the criminal investigation,” citing Garrity v. New Jersey,
Despite the assertions contained in the sheriffs advisement, Flesch advised Backstreet not to participate in any internal affairs interviews. Flesch reasoned that, under applicable ease law, Backstreet’s statements would not be deemed to be compelled by the state and would therefore not be protected under her Fifth Amendment privilege against self-incrimination. Hence, the statements could then be used against her in criminal proceedings. Relying on Flesch’s advice, Backstreet again declined to take part in any internal affairs interviews.
The state eventually dismissed the pending felony charges against Backstreet. Still on administrative leave without pay, Backstreet retained another attorney to represent her for the remainder of the sheriffs office internal investigation. Backstreet was then recommended for termination due to her refusal to cooperate in the internal investigation. She was eventually reinstated with back pay after an administrative hearing, but was required to forfeit thirty days of back pay for refusing to cooperate with the internal affairs investigation.
Backstreet then sued Flesch for damages based on professional negligence and other theories. Backstreet claimed that Flesch’s advice that she not participate in the internal investigation was negligent because she had received use immunity through the sheriffs advisement. Flesch moved for dismissal and summary judgment, arguing that his advice did not fall below the requisite standard of care as a matter of law.
Treating Flesch’s motion as a request for determination of a question of law under C.R.C.P. 56(h), the trial court concluded that, as a matter of law, Flesch’s advice to Backstreet that she should not participate in the interview did not fall below a minimum standard of care. In reaching that decision, the trial court found that, under Colorado case law, the sheriffs advisement regarding the internal affairs interview did not rise to the level of coercion to cooperate sufficient to violate Backstreet’s Fifth Amendment privilege against compelled self-incrimination. In a subsequent order, the trial court granted the motion for summary judgment as to all of Backstreet’s claims.
On appeal, Backstreet contended that the trial court erred in its ruling as a matter of law that statements made to her employer, the sheriffs office, during the internal investigation could be used later in the pending criminal proceeding. The court of appeals held that, because the sheriffs office had apparent authority to make a binding promise of immunity, the sheriffs advisement constituted an enforceable offer of use immunity to Backstreet. Backstreet,
III. Analysis
We review an entry of summary judgment based on a determination of a question
This is a ease about legal malpractice. The central question we must address is whether any legal theory sustains the claim that Fleseh committed malpractice by advising Backstreet that any statements she made during the internal investigation would not be protected under the Fifth Amendment and could therefore be used against her in a criminal proceeding. However, the court of appeals did not reach a malpractice analysis because it construed the sheriffs advisement used in this ease as a binding grant of use immunity under the apparent authority doctrine. Thus, before considering the malpractice claim, we first examine the principles underlying immunity and self-incrimination and then address apparent authority.
A. The Fifth Amendment Privilege Against Self-Incrimination
The Fifth Amendment of the U.S. Constitution, which applies to the states through the Due Process Clause of the Fourteenth Amendment, guarantees that no person “shall be compelled in any criminal case to be a witness against himself.” U.S. Const. amends. V, XIV, § 1; Malloy v. Hogan,
However, the Supreme Court has recognized exceptions to the general rule that the Fifth Amendment privilege against self-incrimination is not automatically invoked. One exception to this general rule applies when a suspect gives a confession while in police custody. Id. at 429,
In Garrity v. New Jersey, the Supreme Court addressed how this second exception arises in cases where public employees are questioned by their employers regarding alleged wrongdoing.
The Fifth Amendment privilege against self-incrimination as articulated in Garrity, often called “Garrity immunity,” differs from an affirmative grant of use immunity by the state. Garrity immunity is a self-executing invocation of the Fifth Amendment privilege against self-incrimination that is triggered by a public employer’s actions. When a public employee is unconstitutionally coerced into making a statement under threat of job loss, a court must intervene and grant what amounts to use immunity in order to prevent the person’s statements from being used against him in a criminal proceeding in violation of the Fifth Amendment. Hence, while Garrity immunity and state-granted use immunity may produce the same ultimate result in this case — protecting a public employee, here Backstreet, from her statements being used against her in a criminal proceeding — the two are nonetheless grounded in different principles.
The next step in our analysis requires us fo examine the circumstances under which a court can find an offer of use immunity binding on the state, when the offer was made by
B. Non-statutory Immunity
The court of appeals embraced the legal theory that the sheriffs advisement constituted an affirmative offer of use immunity from the sheriffs office to Backstreet, which could be made binding on the state under the apparent authority doctrine — that is, made binding even though the sheriffs office did not have authority to make such an offer under Colorado statute. A Colorado statute sets forth the parameters for offering immunity to witnesses who refuse to testify on the basis of the privilege against self-incrimination. Under the statute, a district attorney, attorney general, or state special prosecutor may request immunity for a witness. § 13-90-118(2), (3), C.R.S. (2005). Officials of the sheriffs department are not listed among those that may request immunity-
However, as the court of appeals correctly noted, an official not listed in section 13-90-118 may make an offer of immunity that can be made binding on the government if that official has apparent authority to make such an offer. Backstreet,
In People v. Fisher, this court set forth the criteria for determining whether a person accused of criminal conduct may enforce an offer of immunity by an official not listed in section 13-90-118.
In assessing whether the circumstances of this case meet the Fisher test, the court of appeals relied on previous decisions of this court — Romero,
The circumstances in each of those cases met all the Fisher requirements, specifically the second requirement of detrimental reliance. Fisher was represented by counsel, but his lawyer was not present at the time government officials promised that his statements would not be used in subsequent criminal prosecutions. Neither Romero nor Manning was represented by counsel at the time government officials offered them immunity. Consequently, Fisher, Romero, and Manning made statements detrimentally relying upon those promises. Had the defendants in those cases been assisted by counsel and been advised that those officials did not have statutory authority to offer binding immunity, they could not have relied on the offers.
Because Backstreet was advised by Flesch regarding the sheriffs office’s promise that any statements she made during the internal investigation would not be used in a criminal proceeding, apparent authority cannot apply here. In effect, Flesch counseled Backstreet not to participate in the internal investigation because the sheriffs advisement was insufficient to prevent her statements from being used in criminal proceedings. Based upon that advice, Backstreet chose not to rely at all on the promise of the sheriffs office; consequently she could not meet the requirement of the second Fisher factor. Thus we conclude that, based on a Fisher analysis, the court of appeals erred in determining that the sheriffs advisement could be transformed into use immunity under the apparent authority doctrine.
C. Professional Negligence
Having eliminated the theory of apparent authority to support the result reached by the court of appeals that the grant of summary judgment against the plaintiff was improper, we now return to the issue of malpractice. If the wording contained in the sheriffs advisement is sufficiently' coercive under federal constitutional law, as interpreted by this court in People v. Sapp, to trigger Backstreet’s Fifth Amendment privilege against self-incrimination, then Flesch could have committed malpractice by advising Backstreet that it was not.
To establish a legal malpractice claim, the plaintiff must show her attorney was negligent by proving three elements: (1) the attorney owed a duty of care to the client; (2) the attorney breached that duty; and (3) by breaching his duty, the attorney proximately caused damage to the client. Stone v. Satriana,
An attorney owes his client a duty “to employ that degree of knowledge, skill, and judgment ordinarily possessed by members of the legal profession in carrying out the services for his client.” Bebo Constr. Co.,
Under Garrity, if the sheriffs office compelled Backstreet’s participation in the internal investigation through threat of discharge, any statements she made would have been inadmissible in a later criminal proceeding as a violation of her Fifth Amendment privilege against self-incrimination. Therefore, the analysis of the malpractice issue turns upon the question examined by the trial court — whether the sheriffs advisement was adequate to trigger Backstreet’s Fifth Amendment privilege against self-incrimination under Garrity. Stated another way, the question we must address is whether the advisement was sufficiently coercive to create an objectively reasonable fear that she would be fired if she did not cooperate with the sheriffs office investigation.
This court applied Garrity in Sapp,
Applying Sapp, we reason that whether the sheriffs advisement in this case was sufficiently coercive to trigger Backstreet’s privilege against self-incrimination is subject to differing legal conclusions. It is not clear that the sheriffs advisement in this case, which informed Backstreet that she could be fired, reaches the level of “significant coercive action of the state” required by Sapp.
However, the Sapp test is not formulated for cases in which there is a clear threat of mandatory termination. The analysis is devised for the type of circumstances this case presents — those that are ambiguous as to whether they present a threat of job loss significant enough to be considered improper compulsion in violation of the Fifth Amendment privilege against self-incrimination. We stated in Sapp that the government must play a “significant role in creating the impression that [an employee] might be discharged for asserting the privilege.”
The sheriffs advisement in this case is sufficiently ambiguous so that reasonable minds could differ on what result a court would reach under a Sapp analysis. The advisement states that Backstreet could be terminated for not cooperating with the internal investigation, not that she would definitely be terminated. Thus, this ambiguous sheriffs advisement, as a matter of law, can be interpreted under Sapp to lead to either conclusion: that the advisement was either inadequate or adequate to clothe Backstreet with the protective cloak of the Fifth Amendment privilege. Because our analysis occurs in the context of summary judgment granted in an attorney malpractice case, we do not decide at this time which interpretation is appropriate. We leave that for another day and now turn to an analysis of the duty of care owed by Flesch, the attorney, to his client, Backstreet.
IV. Application
We now apply the principles just discussed to the issue of whether Flesch committed malpractice by advising Backstreet that her statements would not be protected under the Fifth Amendment and could therefore be used against her in a criminal proceeding.
We note that where, as here, an employee is facing felony charges in addition to workplace sanctions, her attorney may be faced with a choice between protecting his client from one or the other. In this case, defense
Therefore, because this particular sheriffs advisement could be construed to both meet and not meet the Sapp test, and because Fleseh was clearly acting within the requisite standard of care owed to his client Backstreet, malpractice cannot occur.
Y. Conclusion
For the reasons stated, we reverse the judgment of the court of appeals and return this case to that court with directions to remand it to the trial court to dismiss the claim of professional negligence based on the attorney’s advice regarding the sheriffs department employment civil investigation and to comply with the court of appeals’ original remand order regarding petitioner’s other claims.
Notes
. The term "use immunity” refers to a witness's protection from the government's use of the witness’s testimony, or any information derived from it, in any later criminal prosecution against the witness. 1 National Lawyers Guild, Representation of Witnesses Before Federal Grand Juries § 8.39, at 8-96 (4th ed.1999). Use immunity is different from transactional immunity, which is total immunity from prosecution for any transaction about which the witness testifies. Id. This case concerns use immunity only.
. We granted certiorari on the following issue: Whether it was error for the court of appeals to reverse the trial court’s determination of law that it was not malpractice for an attorney to advise his client that any statements made by the client in the context of a sheriff's department employment civil investigation regarding the client's alleged misconduct would not be protected by the Fifth Amendment and could be used against the client in the pending criminal investigation.
. Both Mr. Flesch and his law firm are petitioners in this case. However, because the issue we consider involves the legal advice given by Mr. Flesch, we will refer only to Mr. Flesch in our discussion.
. For simplicity, we refer to the combination of the sheriff's advisement and its accompanying letter as the sheriff's advisement.
. Because this is an attorney malpractice case, we do not address the possible scenario in which an employee relies on the assurances of his employer that any statements the employee makes in an internal investigation will not be used against him in a later criminal proceeding, in spite of being advised by his lawyer that the employer is not authorized to make such an offer.
. We also note that the letter from the sheriffs office that accompanied the advisement supports this conclusion. In Romero, we explained that a court should consider the form and content of written promises of immunity, along with oral statements to the defendant and other extrinsic evidence relating to the government's dealings with the defendant.
. Flesch's expert, past president of the National Association of Criminal Defense Lawyers, Larry S. Pozner, emphasized the high stakes involved when a client has been charged with felony crimes:
A defense lawyer would and should have been concerned about statements made by Ms. Backstreet in her initial interview as a part of the internal investigation.... From a criminal defense standpoint, the defense attorney must protect the client from the greater harm of a possible felony conviction rather than the lesser harm of civil consequences.... The life altering consequences of the conviction of a felony are much greater than the possible consequences of an employer’s civil sanction, especially when comparing the loss of one month's salary versus a felony record. In the event that the client's statement in the administrative interview led to the client’s conviction of a felony, she would not only lose a month's salary, she would lose her job with the Arapahoe County Sheriff’s Office because of the felony conviction, as well as lose some or all of her freedom because of a possible jail sentence and/or probation which would restrict her freedom.
Dissenting Opinion
dissenting.
Although I too believe the court of appeals’ reliance on our due process/promissory es-toppel line of authority is misplaced, I nevertheless agree with its decision to remand for further proceedings. Where it is at least clear (even according to the majority) that Backstreet’s attorney failed to appreciate, and therefore failed to properly advise his client of, the effect of the sheriffs “Garrity advisement,” I believe the allegation that he failed to employ the knowledge, skill, and judgment ordinarily possessed by members of the legal profession presents a question that cannot be resolved on the record before us. Because I am particularly concerned that the majority, in finding the threat of job loss in this case to be ambiguous, misconstrues a matter of United States constitutional law already resolved by the United States Supreme Court, I write separately to express my dissenting view.
For almost 40 years it has been settled that the due process protection of the Fifth and Fourteenth Amendments against coerced statements prohibits the use in subsequent criminal proceedings of statements obtained under threat of removal from office, whether the threatened office-holders are policemen or “other members of our body politic.” Garrity v. New Jersey,
My primary disagreement with the majority, however, arises from its characterization of the threat in this case as ambiguous and fairly construed as either sufficiently coercive, or not sufficiently coercive, to render a waiver of the privilege against self-incrimination involuntary. Maj. op. at 1184. The majority makes clear that it considers a threat of discharge clearly coercive only if the threat puts the employee on notice that he will definitely be discharged for failing to answer his employer’s questions, and not when it merely threatens that he “will be subject to administrative charges which could result in [his] dismissal.” I not only find this distinction unconvincing, but also completely devoid of support in the prior holdings of this or other jurisdictions, and in direct conflict with both the rationale of and specific advisement in Garrity itself.
In Garrity, the Supreme Court made clear that the appellant’s statements were deprived of their voluntary character by a warning that if he exercised his privilege to refuse to answer, “he would be subject to removal from office.” Garrity,
We, along with a number of other jurisdictions, have previously held that an employee’s subjective fear of being fired for failing to cooperate is not sufficient to support an objectively reasonable expectation of discharge. People v. Sapp,
I therefore consider it clear that the sheriffs “Garrity advisement” in this case was not only designed for the express purpose of, but would actually have had the effect of, rendering any statements made by Backstreet to the sheriffs investigator (and any evidence derived from them) involuntary and inadmissible in a subsequent criminal proceeding.
Even the majority is unwilling to say that Backstreet’s counsel properly advised her about the effect of the advisement. It apparently holds merely that in light of the uncertainties, and the corresponding seriousness of a felony conviction, counsel’s advice to his client that her statements could still be used against her in a criminal proceeding could not amount to malpractice. While I do not
I therefore respectfully dissent.
. It is less clear to me that the advisement’s prediction about its legal effect amounted to a promise of immunity, sufficient to permit discharge upon Backstreet's refusal. See Lefkowitz, 414 U.S. at 80-81,
