Opinion ID: 466454
Heading Depth: 2
Heading Rank: 1

Heading: The Ex Parte Hearing Issue

Text: 13 Skulsky and Pozner first argue that their convictions must be reversed because the district court refused to conduct an evidentiary hearing concerning the ex parte communication. The government, on the other hand, argues that the ex parte communication did not, and in fact could not, infringe defendants' rights; alternatively, the government argues that even if the ex parte communication was improper, it did not prejudice the defendants in any way. Defendants argue that our standard of review of the district court's decision not to hold an evidentiary hearing in such circumstances is plenary; the government argues that it is for abuse of discretion. We will assume, without deciding, that our review is plenary. 14 Initially we observe that the ex parte communication did not directly implicate the defendants. They were not parties to the Tax Court action, nor did they issue the subpoenas involved. The ex parte proceeding and resulting restraining order directly affected only Abrams, the litigant in the Tax Court. Under these circumstances, we question whether defendants even had standing to be heard on the question of which forum, the district court or the Tax Court, was the preferable one in which to resolve the underlying substantive question of whether the secrecy of the grand jury had been breached. 15 Defendants suggest, however, that the government may have imparted factual information to the district court during the ex parte proceeding with respect to the alleged violations of Rule 6(e), and that this entitled them to be present at the proceeding, or at least to an evidentiary hearing to determine whether the government did impart such information. After reviewing the record of the subsequent hearing in the district court on whether it should hold an evidentiary hearing on the alleged abuses, we believe that this suggestion is unfounded. At that hearing, the district court, in response to defendants' request to cross-examine the Assistant United States Attorney involved, stated that: 16 Gentlemen, there was no transcript of last week's proceeding. There was a submission to the Court ex parte of the papers which you have, nothing more or less. 17 A review by my chambers of the papers, some consideration within chambers without counsel of the posture, the manner, what appeared to be involved. 18 Counsel was invited in to explain the papers again. I heard what was in the papers, an explanation of what was in the papers, and determined to sign the papers. That's all there was. 19 This statement, as well as others made by the district court during the course of the same hearing, affirmatively negates any suggestion that the merits of the underlying question were discussed. Instead, the ex parte application was appropriately limited to the procedural question of which forum should determine whether Rule 6(e) had been violated. Under these circumstances, the ex parte proceeding could not prejudice the defendants. 20 We hold, therefore, that the district court properly denied defendants' request for an evidentiary hearing on this issue. We note, however, that in the future the district court would be well advised to have such proceedings transcribed to prevent misunderstandings like that at issue here.