Source: https://advocatetanmoy.com/2019/12/27/grand-jury-practise-usa/
Timestamp: 2020-05-29 17:13:02
Document Index: 398627512

Matched Legal Cases: ['§ 3331', '§ 1071', '§ 4', '§ 3', '§ 751', '§ 3146', '§ 1073', '§ 1073', '§ 2703', '§ 2703', '§ 2703', '§ 1651', '§ 547', '§ 542', '§ 3322', '§ 3331', '§ 3333']

GRAND JURY PRACTISE: USA | Advocatetanmoy Law Library
Posted on December 27, 2019 by Advocatetanmoy	in USA Laws and tagged Advanced, America, PRACTICE, USA.
At common law, a grand jury enjoyed a certain power to issue reports alleging non-criminal misconduct. A special grand jury impaneled under Title 18 U.S.C. § 3331 is authorized, on the basis of a criminal investigation (but not otherwise), to fashion a report, potentially for public release, concerning either organized crime conditions in the district or the non-criminal misconduct in office of appointed public officers or employees.grand juries are sometimes described as performing accusatory and investigatory functions, the grand jury’s principal function is to determine whether or not there is probable cause to believe that one or more persons committed a certain Federal offense within the venue of the district court.
9-11.010 – INTRODUCTION
This chapter contains the Justice Department’s policy on grand jury practice.
In dealing with the grand jury, the prosecutor must always conduct himself or herself as an officer of the court whose function is to ensure that justice is done and that guilt shall not escape nor innocence suffer. The prosecutor must recognize that the grand jury is an independent body, whose functions include not only the investigation of crime and the initiation of criminal prosecution but also the protection of the citizenry from unfounded criminal charges. The prosecutor’s responsibility is to advise the grand jury on the law and to present evidence for its consideration. In discharging these responsibilities, the prosecutor must be scrupulously fair to all witnesses and must do nothing to inflame or otherwise improperly influence the grand jurors.
9-11.101 – POWERS AND LIMITATIONS OF GRAND JURIES—THE FUNCTIONS OF A GRAND JURY
While grand juries are sometimes described as performing accusatory and investigatory functions, the grand jury’s principal function is to determine whether or not there is probable cause to believe that one or more persons committed a certain Federal offense within the venue of the district court. Thus, it has been said that a grand jury has but two functions—to indict or, in the alternative, to return a “no-bill.” See Wright, Federal Practice and Procedure, Criminal Section 110.
9-11.120 – POWER OF A GRAND JURY LIMITED BY ITS FUNCTION
The grand jury’s power, although expansive, is limited by its function toward possible return of an indictment. Costello v. United States, 350 U.S. 359, 362 (1956). Accordingly, the grand jury cannot be used solely to obtain additional evidence against a defendant who has already been indicted. United States v. Woods, 544 F.2d 242, 250 (6th Cir. 1976), cert. denied sub nom., Hurt v. United States, 429 U.S. 1062 (1977). Nor can the grand jury be used solely for pre-trial discovery or trial preparation. United States v. Star, 470 F.2d 1214 (9th Cir. 1972). After indictment, the grand jury may be used if its investigation is related to a superseding indictment of additional defendants or additional crimes by an indicted defendant. In re Grand Jury Subpoena Duces Tecum, Dated January 2, 1985, 767 F.2d 26, 29-30 (2d Cir. 1985); In re Grand Jury Proceedings, 586 F.2d 724 (9th Cir. 1978).
Use of Grand Jury to Locate Fugitives: It is improper to utilize the grand jury solely as an investigative aid in the search for a fugitive in whose testimony the grand jury has no interest. In re Pedro Archuleta, 432 F. Supp. 583 (S.D.N.Y. 1977); In re Wood, 430 F. Supp. 41 (S.D.N.Y. 1977),aff’d sub nom In re Cueto, 554 F.2d 14 (2d Cir. 1977). However, if the grand jury has a legitimate interest in the testimony of a fugitive, it may subpoena other witnesses and records in an effort to locate the fugitive. Wood, supra, citing Hoffman v. United States, 341 U.S. 479 (1951). If the present whereabouts of a fugitive is related to a legitimate grand jury investigation of offenses such as harboring, 18 U.S.C. §§ 1071, 1072, 1381, misprision of felony, 18 U.S.C. § 4, accessory after the fact, 18 U.S.C. § 3, escape from custody, 18 U.S.C. §§ 751, 752, or failure to appear, 18 U.S.C. § 3146, the gran d jury properly may inquire as to the fugitive’s whereabouts. See In re Grusse, 402 F. Supp. 1232 (D.Conn. 1975). Unless such collateral interests are present, the grand jury should not be employed in locating fugitives in bail-jumping and escape cases since, as a rule, those offenses relate to the circumstances of defendant’s disappearance rather than his or her current whereabouts.Generally, grand jury subpoenas should not be used to locate fugitives in investigations of unlawful flight to avoid prosecution. 18 U.S.C. § 1073. Normally an unlawful flight complaint will be dismissed when a fugitive is apprehended and turned over to State authorities to await extradition. Prosecutions for unlawful flight are rare and the statute requires prior written approval of the Attorney General, the Deputy Attorney General, the Associate Attorney General, or an Assistant Attorney General. See JM 9-69.460 (containing prior approval requirement for § 1073 indictments). Since indictments for unlawful flight are rarely sought, it would be improper to routinely use the grand jury in an effort to locate unlawful flight fugitives.
Obtaining Records to Aid in Location of Federal Fugitives: Alternatives to Grand Jury Subpoenas:Since the enactment of the Electronic Communications Privacy Act of 1986, law enforcement access to telephone records is covered by Federal statute. See 18 U.S.C. § 2703. Pursuant to 18 U.S.C. §§ 2703(c)(1)(B) and 2703(c)(2) the government may obtain a “record or other information pertaining to a subscriber” (telephone toll records) without notice to the subscriber by obtaining: (1) an administrative or grand jury subpoena; (2) a search warrant pursuant to State or Federal law; or (3) a court order pursuant to 18 U.S.C. § 2703(d) based on a finding that the information is relevant to a legitimate law enforcement inquiry. See JM 9-7.000 et seq. for information regarding the Electronic Communications Privacy Act of 1986.Occasionally, there may be records other than telephone toll records which might be useful in a fugitive investigation but which cannot be obtained by grand jury subpoena, administrative subpoena, or search warrant. In such instances, it is appropriate to seek a court order for production of the records under the All Writs Act, 28 U.S.C. § 1651. The All Writs Act provides:
The United States Supreme Court has recognized the power of a Federal court to issue orders under the All Writs Act “as may be necessary or appropriate to effectuate and prevent the frustration of orders it has previously issued in the exercise of its jurisdiction.”See United States v. New York Telephone Co., 434 U.S. 159, 172 (1977).
9-11.121 – VENUE LIMITATIONS
9-11.130 – LIMITATION ON NAMING PERSONS AS UNINDICTED CO-CONSPIRATORS
Ordinarily, there is no need to name a person as an unindicted co-conspirator in an indictment in order to fulfill any legitimate prosecutorial interest or duty. For purposes of indictment itself, it is sufficient, for example, to allege that the defendant conspired with “another person or persons known.” In any indictment where an allegation that the defendant conspired with “another person or persons known” is insufficient, some other generic reference should be used, such as “Employee 1” or “Company 2”. The use of non-generic descriptors, like a person’s actual initials, is usually an unnecessarily-specific description and should not be used.
If identification of the person is required, it can be supplied, upon request, in a bill of particulars. See JM 9-27.760. With respect to the trial, the person’s identity and status as a co-conspirator can be established, for evidentiary purposes, through the introduction of proof sufficient to invoke the co-conspirator hearsay exception without subjecting the person to the burden of a formal accusation by a grand jury.
9-11.140 – LIMITATION ON GRAND JURY SUBPOENAS
“Forthwith” subpoenas should be used only when an immediate response is justified and then only with the prior approval of the United States Attorney.
9-11.141 – FAIR CREDIT REPORTING ACT AND GRAND JURY SUBPOENAS
9-11.142 – GRAND JURY SUBPOENAS FOR FINANCIAL RECORDS
A bank depositor lacks the necessary Fourth Amendment interest to challenge a subpoena duces tecum issued to a bank for its records of the depositor’s transactions. United States v. Miller, 425 U.S. 435 (1976). Because of procedures imposed by the Right to Financial Privacy Act of 1978, it is important, nevertheless, that United States Attorneys exercise close control over the process of obtaining for law enforcement purposes business records of banks and other financial institutions.
9-11.150 – SUBPOENAING TARGETS OF THE INVESTIGATION
A grand jury may properly subpoena a subject or a target of the investigation and question the target about his or her involvement in the crime under investigation. See United States v. Wong, 431 U.S. 174, 179 n. 8 (1977); United States v. Washington, 431 U.S. 181, 190 n. 6 (1977); United States v. Mandujano, 425 U.S. 564, 573-75 and 584 n. 9 (1976); United States v. Dionisio, 410 U.S. 1, 10 n. 8 (1973). However, in the context of particular cases such a subpoena may carry the appearance of unfairness. Because the potential for misunderstanding is great, before a known “target” (as defined in JM 9-11.151) is subpoenaed to testify before the grand jury about his or her involvement in the crime under investigation, an effort should be made to secure the target’s voluntary appearance. If a voluntary appearance cannot be obtained, the target should be subpoenaed only after the United States Attorney or the responsible Assistant Attorney General have approved the subpoena. In determining whether to approve a subpoena for a “target,” careful attention will be paid to the following considerations:
9-11.151 – ADVICE OF “RIGHTS” OF GRAND JURY WITNESSES
9-11.152 – REQUESTS BY SUBJECTS AND TARGETS TO TESTIFY BEFORE THE GRAND JURY
9-11.153 – NOTIFICATION OF TARGETS
9-11.154 – ADVANCE ASSERTIONS OF AN INTENTION TO CLAIM THE FIFTH AMENDMENT PRIVILEGE AGAINST COMPULSORY SELF-INCRIMINATION
9-11.155 – NOTIFICATION TO TARGETS WHEN TARGET STATUS ENDS
9-11.160 – LIMITATION ON RESUBPOENAING CONTUMACIOUS WITNESSES BEFORE SUCCESSIVE GRAND JURIES
While the Supreme Court in Shillitani v. United States, 384 U.S. 364, 371 n. 8 (1963), appears to approve the reimposition of civil contempt sanctions in successive grand juries, it is the policy of the Department of Justice generally not to resubpoena a contumacious witness before successive grand juries for the purpose of instituting further contempt proceedings. Resubpoenaing a contumacious witness may be justified in certain circumstances, however, such as when the questions to be asked the witness relate to matters not covered in the previous proceedings or when there is an indication from the witness or the witness’s counsel that the witness will testify if called before the new grand jury. If the prosecutor believes that the witness possesses information essential to the investigation, resubpoenaing the witness may also be justified when the witness himself or herself is involved to a significant degree in the criminality about which the witness can testify. Prio r authorization must be obtained from the Assistant Attorney General, Criminal Division, to resubpoena a witness before the successive grand jury as well as to seek civil contempt sanctions should the witness persist in his or her refusal to testify. To obtain approval, the prosecutor must show either: (a) that the witness is prepared to testify; or (b) that the appearance of the witness is justified since the witness possesses information essential to the investigation.
If the grand jury’s term is about to expire, the Department recommends that a subpoena ordinarily should not be issued to a witness who has advised the prosecutor that he or she will refuse to testify before such grand jury. The coercive effect of a civil contempt adjudication is substantially diluted if a grand jury is approaching its expiration date. This is a matter within the discretion of the United States Attorney and there may well be situations when it is necessary to subpoena a witness and institute contempt proceedings for recalcitrance in such circumstances. In most situations, however, it would seem preferable to subpoena the witness before a new grand jury.
9-11.231 – MOTIONS TO DISMISS DUE TO ILLEGALLY OBTAINED EVIDENCE BEFORE A GRAND JURY
9-11.232 – USE OF HEARSAY IN A GRAND JURY PROCEEDING
9-11.233 – PRESENTATION OF EXCULPATORY EVIDENCE
9-11.241 – DEPARTMENT OF JUSTICE ATTORNEYS AUTHORIZED TO CONDUCT GRAND JURY PROCEEDINGS
FEDERAL RULES OF CRIMINAL PROCEDURE 6(d) authorizes attorneys for the government to appear before the grand jury. For purposes of that rule, an “attorney for the government” is defined in Fed. R. Crim. P. 1(b) as the Attorney General, an authorized assistant of the Attorney General, a United States Attorney, an authorized assistant of a United States Attorney, and certain other persons in cases arising under the laws of Guam.
The authority for a United States Attorney to conduct grand jury proceedings is set forth in the statute establishing United States Attorney duties, 28 U.S.C. § 547. United States Attorneys are directed in that statute to “prosecute for all offenses against the United States.” Assistant United States Attorneys similarly derive their authority to conduct grand jury proceedings in the district of their appointment from their appointment statute, 28 U.S.C. § 542.
When a United States Attorney or Assistant United States Attorney needs to appear before a grand jury in a district other than the district in which he or she has been appointed, the United States Attorney for either the district of appointment or the district of the grand jury should complete an appointment letter, appointing the attorney as a Special Assistant United States Attorney (SAUSA). The United States Attorney’s Office (USAO) completing the appointment letter should send a copy of the letter to the Executive Office for United States Attorneys, Personnel Office. USAOs should also send a copy of any letter extending the appointment of the SAUSA.
9-11.242 – NON-DEPARTMENT OF JUSTICE GOVERNMENT ATTORNEYS
FEDERAL RULES OF CRIMINAL PROCEDURE 6(d) provides that the only prosecution personnel who may be present while the grand jury is in session are “attorneys for the government.” Rule 1(b) defines attorney for the government for Federal Rules of Criminal Procedure purposes as the Attorney General, an authorized assistant of the Attorney General, a United States Attorney, an authorized assistant of a United States Attorney, and certain other persons in cases arising under the laws of Guam.
9-11.244 – PRESENCE OF AN INTERPRETER
9-11.250 – DISCLOSURE OF MATTERS OCCURRING BEFORE THE GRAND JURY TO DEPARTMENT OF JUSTICE ATTORNEYS AND ASSISTANT UNITED STATES ATTORNEYS
Disclosure of materials covered by Federal Rule of Criminal Procedure 6(e) may be made without a court order “to an attorney for the government for use in the performance of such attorney’s duty.” See Fed. R. Crim. P. 6(e)(3)(A)(i). “Attorney for the government” is defined in Fed. R. Crim. P. 1(b)(1). See discussion of United States v. Forman, 71 F.3d 1214 (6th Cir. 1996) in the Criminal Resource Manual at 156.
9-11.254 – GUIDELINES FOR HANDLING DOCUMENTS OBTAINED BY THE GRAND JURY
In 1996, the Deputy Attorney General approved the following Guidelines for “Handling Documents Obtained by the Grand Jury.” The Guidelines, written by a working group composed of representatives of each of the litigating Divisions, the Executive Office for United States Attorneys, and the Office of Information and Privacy, address the need to establish and follow proper recordkeeping procedures regarding evidence obtained by the grand jury.
The Department of Justice routinely receives requests for access to documents from Congress, from individuals or entities filing requests pursuant to the Freedom of Information Act (FOIA), and from private and government lawyers engaged in civil litigation. Records retention practices can make it difficult to identify what evidence may properly be provided in response to a request and may hamper the proper use of non-grand jury information by civil attorneys of the Department. For example, if a file marked “Grand Jury” includes documents obtained by grand jury subpoena and documents otherwise obtained, it is difficult in some instances to determine whether the Rule 6 limitations on disclosure apply to certain documents in the file. The task is more difficult in those situations where the prosecutor who handled the grand jury matter is no longer in government service. The Guidelines, which apply to the United States Attorneys and to the litigating Divisions of the Department, w ill make it easier to determine those documents that reveal matters occurring before the grand jury and those that do not.
Although local practice, local rules, and case law varies to some extent among the Circuits, every effort should be made to apply a consistent procedure that will maintain the integrity of evidence obtained by the grand jury and, at the same time, assist in identifying what are “matters occurring before a grand jury.” This will enable a clear and proper determination of what material can and should be released to a FOIA requestor and what documents may be shared with attorneys for the government engaged in civil litigation. Generally, government attorneys who are handling only civil cases do not have automatic access to grand jury materials but may obtain access to such materials only upon court order issued pursuant to Fed. R. Crim. P. 6(e)(3)(C)(i). See United States v. Sells Engineering, Inc., 463 U.S. 418, 427 (1983). A specific exception has been created for certain banking financial matters. See 18 U.S.C. § 3322.
Accordingly, whenever it is practicable to do so, prosecutors obtaining evidence in a criminal investigation should use the following procedures. These procedures supplement those described in the Department’s Federal Grand Jury Practice Manual, January 1993, pages 106 through 120. The procedures do not create any rights in third parties:
Identify a Custodian. As early as practicable, a prosecutor should determine who will have custody of original documents and real evidence, and where such documents and evidence will be maintained. If the case agent is to have custody, the grand jury should authorize him to maintain the evidence; but, unless required by local rule, the grand jury should not make him an “agent” of the grand jury. (As explained at footnote 234 on page 107 of the Federal Grand Jury Practice Manual, prosecutors are discouraged from swearing in an investigator as an agent of the grand jury). Prosecutors should not commingle original documents and real evidence obtained by grand jury subpoena with evidence obtained by other means.
a. Create an Identification System. Upon receipt, prosecutors should number, then copy, documents and real evidence — however they are obtained. The originals should then be secured. If the volume of documents is great, prosecutors should consider microfilming them. Numbering and securing the originals in the order in which they are obtained will facilitate access to the evidence and make it easier for prosecutors to create a record of how, and from whom, the evidence was obtained. For example, use of an identification system, such as a list of the documents by their identifying numbers under topic headings, permits the government to respond more efficiently to FOIA requests and better enables prosecutors to support a decision to withhold documents should a court demand an explanation of the basis for claiming that the documents are covered by Rule 6(e). See Church of Scientology International v. United States Dep’t of Justice, 30 F.3d 224 (1st Cir. 1994 ). As the Federal Grand Jury Practice Manual explains (at pp. 157-59), documents not covered by Rule 6(e) include materials obtained or created independently of the grand jury, so long as their disclosure does not otherwise reveal what transpired before or at the direction of the grand jury, see In re Grand Jury Matter (Catania), 682 F.2d 61, 64 (3d Cir. 1982). Similarly, Rule 6(e) does not cover documents, even subpoenaed documents, that are sought for the information they contain, rather than to reveal the direction or strategy of the grand jury. See, e.g., DiLeo v. Commissioner of Internal Revenue, 959 F.2d 16, 19 (2d Cir. 1992). Accord Washington Post Co. v. United States Dep’t of Justice, 863 F.2d 96, 100 (D.C. Cir. 1988); Senate of Puerto Rico v. United States Dep’t of Justice, 823 F.2d 574, 582-84 (D.C. Cir. 1987).b. Make the System Simple. The identification system should be simple but it should permit the prosecutor to determine the source of the evidence and how it was obtained (i.e., whether the evidence was in response to a grand jury subpoena and, if so, which subpoena). The identification system also should permit the prosecutor to determine what use the grand jury made of the evidence: what evidence generally was made available to the grand jury, what evidence was physically offered and made available to the grand jury, and what evidence was entered as an exhibit or otherwise formally presented to the grand jury.
At All Times, Maintain an Unmarked Set of Documents.Where appropriate, prosecutors should clearly mark the file cabinet, box or file in which subpoenaed evidence is maintained as containing grand jury subpoenaed records. But as the Department’s Guide on Rule 6(e) advises, no grand jury marking or stamp should be affixed to the original documents themselves. See United States Department of Justice Guide on Rule 6(e) After Sells and Baggot, Jan. 1984, at 53. If a document is to be marked as an exhibit and presented to the grand jury, prosecutors should use a copy of the original or, if for some reason the original of a document must be entered as an exhibit before the grand jury, prosecutors should endeavor to place the exhibit sticker on a folder or an envelope containing the document and not on the document itself. (If a document is placed in an envelope, it should be adequately identified for the record.)
9-11.255 – PRIOR DEPARTMENT OF JUSTICE APPROVAL REQUIREMENTS—GRAND JURY SUBPOENAS TO LAWYERS AND MEMBERS OF THE NEWS MEDIA
9-11.260 – RULE 6(E)(3)(E)(IV) DISCLOSURE OF GRAND JURY MATERIAL TO STATE AND LOCAL LAW ENFORCEMENT OFFICIALS
In 1985, the Supreme Court adopted an amendment to the Federal Rules of Criminal Procedure that added a new subdivision, 6(e)(3)(E)(iv). This change was for the stated purpose of eliminating “an unreasonable barrier to the effective enforcement of our two-tiered system of criminal laws (by allowing) a court to permit disclosure to a State or local official for the purpose of enforcing State law when an attorney for the government so requests and makes the requisite showing.” (See the notes of the Advisory Committee on Criminal Rules of the Judicial Conference of the United States.) The subdivision now reads as follows:
(E) The court may authorize disclosure—at a time, in a manner, and subject to any other conditions that it directs—of a grand jury matter…
It is both the intent of the amended rule, and the policy of the Department of Justice, to share grand jury information whenever it is appropriate to do so. Thus, the phrase “appropriate official of a State or subdivision of a State” shall be interpreted to mean any official whose official duties include enforcement of the State criminal law whose violation is indicated in the matters for which disclosure authorization is sought. This policy is, however, subject to the caution in the Advisory Committee notes that “(t)here is no intention to have Federal grand juries act as an arm of the State.”
9-11.300 – THE SPECIAL GRAND JURY—18 U.S.C. § 3331
9-11.330 – CONSULTATION WITH THE CRIMINAL DIVISION ABOUT REPORTS UNDER 18 U.S.C. § 3333
9-11.500 – USE OF ASSET FORFEITURE IN CONNECTION WITH STRUCTURING OFFENSES
Source: Justice Manual 9-11.000 – Grand Jury
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