Document: 487 U.S. 99 108 S.Ct. 2284 101 L.Ed.2d 98 Randy BRASWELL, Petitionerv.UNITED STATES. No. 87-3. Argued March 1, 1988. Decided June 22, Syllabus A federal grand jury issued a subpoena to petitioner as the president of two corporations, requiring him produce corporations' records. The provided that could deliver records agent serving subpoena, and did not require testify. corporations involved were incorporated by petitioner, who is sole shareholder one them. Petitioner, his wife, mother are directors both wife secretary-treasurer vice respectively, but neither has any authority over business affairs. District Court denied petitioner's motion quash holding "collective entity doctrine" prevented from asserting act producing was protected Fifth Amendment privilege against self-incrimination. Appeals affirmed. Held: custodian corporate may resist for such on ground production will incriminate in violation Amendment. This Court's precedents development collective doctrine do support argument that, even though contents subpoenaed privileged, Amendment, nevertheless documents independent testimonial significance, which would individually, prohibits Government compulsion act. If had conducted proprietorship, United States v. Doe, 465 605, 104 1237, 79 552, he be opportunity show entail self-incrimination admissions existed, possession, authentic. However, representatives agents, official organization held them representative rather than personal capacity cannot subject their self-incrimination, papers might tend personally. plain mandate applies regardless corporation's size, whether addressed corporation or, here, individual records' custodian. Any claim asserted tantamount corporation, possesses no privilege. Recognizing behalf custodians entities have detrimental impact Government's efforts prosecute "white-collar crime." Such satisfactorily minimized either granting statutory immunity or addressing allowing it choose an can so without incriminating himself. since acts representative, deemed individual, make evidentiary use "individual act" individual. Pp. 102-119. 814 F.2d 190 (CA5 1987), REHNQUIST, C.J., delivered opinion Court, WHITE, BLACKMUN, STEVENS, O'CONNOR, JJ., joined. KENNEDY, J., filed dissenting opinion, BRENNAN, MARSHALL, SCALIA, joined, post, p. 119. Michael S. Fawer, Herbert V. Larson, Jr., New Orleans, La., petitioner. Roy T. Englert, Washington, D.C., respondent. Chief Justice REHNQUIST Court. 1 case presents question We conclude not. 2 From 1965 1980, Braswell operated business—which comprises sale purchase equipment, land, timber, oil gas interests—as proprietorship. In Worldwide Machinery Sales, Inc., Mississippi began conducting through entity. 1981, formed second Purchasing, funded with 100 percent interest Machinery. Petitioner Inc. 3 Both companies active maintaining current status State Mississippi, filing tax returns, keeping books compliance law, three directors, mother. Although vice-president affairs corporation. 4 August 1986, "Randy Braswell, President Sales [and] Inc.," App. 6, corporations.1 moved arguing quash, ruling court rejected does apply when small constitutes nothing more individual's alter ego. 5 Circuit affirmed, citing Bellis States, 417 85, 88, 94 2179, 2182, 40 678 (1974), proposition matter how be. declared retained vitality following 552 (1984), therefore, "Braswell, documents, under fifth amendment regarding documents." re Grand Jury Proceedings, 190, 193 (1987). granted certiorari resolve conflict among Courts Appeals.2 484 814, 64, 28 now affirm. 6 There privileged. See supra; Fisher 425 391, 96 1569, 48 39 (1976). Similarly, asserts corporations; well established artificial Bellis, supra. instead relies solely upon bases this extrapolated decisions Fisher, supra, 7 presented attorney demanding been entrusted client. prepared client's accountants. analyzing forwarded attorney, considered client-taxpayer valid him. After explaining "compelling person give 'testimony' incriminates him," U.S., at 409, S.Ct., 1580, protected. however, went observe: 8 "The evidence response communicative aspects its own, wholly aside produced. Compliance tacitly concedes existence demanded possession control taxpayer. It also indicate taxpayer's belief those described subpoena. Curcio 354 118, 125 [77 1145, 1150, 1225] (1957). elements clearly present, difficult issues tacit averments taxpayer 'testimonial' 'incriminating' purposes applying These questions perhaps lend themselves categorical answers; resolution depend facts circumstances particular cases classes thereof." Id., 410, 1581. 9 concluded "facts circumstances" there presented, accountants' "involve self-incrimination." 411, 1581.3 10 Eight years later, revisited question, time context proprietor compelled run afoul rejecting contention protected, proceeded address respondent's constitute incrimination. respondent claim. deferred lower courts, found enforcing subpoenas issue provide valuable information: By records, admit 613, n. 11, 1242, 11. 11 Had Doe But form, we long recognized other treated differently individuals. doctrine—known rule—has lengthy distinguished pedigree. 12 rule first articulated Hale Henkel, 201 43, 26 370, 50 L.Ed. 652 (1906). Hale, officer, served ordering testify concerning certain transactions. immunity, sought demand interposing argument: "[W]e clear distinction . between latter right refuse submit examination suit State." 74, 379. explained "is creature State," ibid., powers limited State. As such, may, exercise oversee 75, 13 represented limitation prior Boyd 116 616, 524, 29 746 (1886), order directing partners invoice received partnership. produced invoice, steadfastly maintained ran agreed. concluding transgressed Fourth declared: "[A] compulsory private owner goods forfeited compelling witness himself, within meaning Constitution. ." 634-635, 534 (emphasis added). carved exception out establishing "private papers" 14 settled privilege, officer invoking privilege—Hale immunity. Wilson 221 361, 31 538, 55 771 (1911), answered negative. There, investigating letterpress copybooks, Wilson, president, possessed. refused books, prohibited personally controlled. argument, observing personal, belonged continued: 15 "[Wilson] duty. guilty misconduct, withhold save it; if implicated violations protect himself effect disclosures. [State's] reserved power visitation seriously embarrassed, defeated effective exercise, officers inspection No they entitled requires conclusion. [T]he visitatorial exists respect necessity reaches regard conduct custodian." 384-385, 546. 16 ". When [Wilson] became used transaction committed charge, all times direction, continuously remained control. another took place custody yield. He assert retain government bound recognize." 385, 17 companion case, Dreier 394, 550, 784 applied attack irrelevant: "Dreier virtue fact custody, papers, obligation called proper process." 400, 550. 18 next significant step occurred White, 322 694, 64 1248, 88 1542 (1944), labor union unprotected assistant supervisor union, appeared before declined " 'upon [the union], myself thereof, individually.' 696, 1250. 19 upheld contempt reasoning only natural individuals protects papers. Representatives group" agents "[a]nd personally." 699, 1251. With principle mind, turned group: 20 test fairly say type character impersonal scope membership activities said embody represent purely interests constituents, common group only. so, invoked capacity. Labor unions—national local, unincorporated—clearly meet test." 701, 1252. 21 unincorporated associations unions, jettisoned reliance owing State—one earlier decisions. id., 700-701, 22 frontiers expanded further ruled partner partnership properly members three-person law firm previously dissolved, partnership's financial order. rehearsing precedent involving associations, examined form observed many incidents relevant suggested determining applicability organizations "not particularly helpful broad range cases." 100, 2189. notion "formulation White reduced simple based size organization. claimed be." Ibid. "a capacity," 101, 2189, "his inapplicable." 23 these custodian, see Dreier, grounds. argues, falls wake (1976), (1984). essence, follows: privacy rationale shielding developed rule, declares simply therefore concerned subpoenaed, production. away privacy-based replacing compelled-testimony standard never privileged Under new regime, available whose being sought. Matter (Brown), 768 525, 528 (CA3 1985) (en banc) ("[Fisher ] factor, nature owns nor noncommunicative arguably disclosures compelled"). 24 To sure, —later reaffirmed embarked course analysis. 1580. agree, rendered obsolete. agency undergirding decisions, personally, survives. forward, consistently holds Artificial 90, 2184, custodian's assumption leads obligations, including duty Government. circumstances, act, corporation—which 25 "[B]y rules applicable them, authority, although criminate assuming accepted incident permit inspection." 382, 545. "Nothing appellant should perform obligations pertaining accordance requirements subpoena." 386, theme echoed White: "But individuals, acting group, exercising rights duties privileges. Rather assume rights, privileges association obligations. capacity, And 1251.4 27 549 cases, "tacitly admi[t] location hands possessor," 411-412, Nevertheless, claims advanced custodians. focus aspect production, think affected results reached. "It Indeed, —upon places primary reliance5—indicates interpose objection prove incriminating. cited approval offered conclusion accountant's workpapers involve observed: "This again allowed belonging unions partnerships bankrupt businesses despite admits possessor." later noted "in Harris, [221 274, 557, 73 (1911) ], corporate, ordered respond business' doing 'representation subpoena,' 115]." 413, 1582 (citations omitted). footnote, explained: "In required kept itself sufficient authentication introduction him." 14, 1582, 14. thus comply That point reiterated BRENNAN concurrence Fisher. 429, 1589 (concurring judgment). disagreed majority testimonial, nonetheless acknowledged language entity] expressly impliedly, indicates insufficiently At most, issues, considered, disposed ground, undertakes foreclosing privilege." 429-430, 1590; 430, 9, 1590 9. Thus, concludes—as Court—that waives lesson clear: 30 attempts extract 77 1225 bolstering substantiates position. local investigation. One jury, stated answer whereabouts. refusing propounded. reversed citation, "that giving oral testimony 123, 1149. our decision stands entity's unprivileged, about follows, according because recognizes potentially find reading flawed. 32 made line drawn forms "A office, rightful State's visitorial powers. lawfully compelled, absence grant adequate prosecution, condemn own testimony." 123-24, 1149 added).6 33 distinguishing merely identify testimony, showed understood production: duces tecum representation Requiring authenticate admission makes explicit what implicit itself." 125, 1150. face recognition, noted: failure tecum."7 127, 7, 1151, 7. Fisher: Curcio, apparently note problem [with significance production] undertaking 1590, 9.8 34 recognizing crime," most serious problems confronting enforcement authorities.9 greater portion wrongdoing usually Were cloak thrown around state laws impossible." 700, authorities stymied prosecutions organizations. view inescapable recognition substantially undermine unchallenged largely frustrate legitimate governmental regulation organizations." 2184. 35 suggests, concerns expedient U.S.C. §§ 6002, 6003, proposal addresses concerns. Taking last first, doubt true "must some means defense it." Sealed Case, 266 U.S.App.D.C. 30, 44, 832 1268, 1282, commonly appointment alternate See, e.g., Two Subpoenae Duces Tecum, 769 52, 57 (CA2 1985); Lang, 792 1235, 1240-1241 (CA4), cert. denied, 479 985, 107 574, 93 578 (1986); 86-3 (Will Roberts Corp.), 816 569, 573 (CA11 1987). insists aid appointed search statement surrogate correct, then "solution" chimera. situations this—where likely knowledge documents—the ensure ever reach room; essentially sent unguided search. 36 eliminated grants entails drawback. All obtained freely thought prosecuting consequences. Testimony pursuant directly derivatively. § 6002; Kastigar 406 441, 92 1653, 212 (1972). "[o]ne raising immunity] statute need testified shift heavy burden proving proposes derived sources." 461-462, 1665. Even where employ immunized purpose—direct derivative—against witness, inability "heavy burden" bears result preclusion crucial legitimately.10 37 incriminating, consequences flow Because Therefore, concedes, must, For example, criminal prosecution introduce into right, offer testimony—for process server records—establishing subpoenaed. draw authentic possessed, defendant prominent position just someone else reasonably infer contents. told nexus case.11 38 Consistent precedent, judgment Affirmed. whom SCALIA join, dissenting. 41 Our us well. illuminated critical foundations constitutional guarantee self-incrimination: person, protecting realm human expression; second, confined compulsion. 42 regrettable very matured teach principles curtail forfeits investigation directed elicit assertions faces threat proceedings. paradigmatic expression obscure 43 today denies vindicate employs itself. ironic conclusion, must blur analytic clarity taken almost century emerge. employment strips restore measure protection judicial creation zone vaguely defined circumstances. place, namely, implicates 44 majority's apparent employees none either. named target investigation, conceded assertions. I disagree conclusion; maintain likelihood narrow permitted frustrating entities; basic avoided manipulated, necessary decision. 45 * case. accept longstanding partnerships, privilege; behalf; implicating Further, appear concede least incrimination directed. 46 assertion forced premise so. assumption, historical logical relation so-called brief review foundational Self-Incrimination Clause respecting starting point. A. 47 disclosure (which invoice), 622, 528, generated nearly doctrinal ambiguity explored define effort always successful. recently recognized, Boyd's respects inconsistent present understanding Amendments, "[s]everal express declarations stood time." 407, 1579, Its essential four ago, absent showing 610-611, 8, 1240-41, (1984) (Doe ). followed straightforward unless somehow preparation document, writing prosecution. 610-612, 1240-42. 49 not, seek compel document; compels communicate information separate documents' communication, testimony. An produces satisfy general description Those convey mind effectively spoken statements, having acts. well-settled assumed. I, reviewed announced principal holdings. First, unequivocally notion, Boyd, attached 612, 1242. Second, findings self-incriminating, 613-614, 1242-43. owned created, said; instead, rested "the ought us. 51 challenge here Braswell; indeed, submitting argument. Tr. Oral Arg. 26, 36. entirely constitutional. B 52 provides holding. chooses call it, actually distinct propositions, (1906), grounds incriminated release. subsequent opinions (1974). Finally, extended beyond 363, 538. majority, found, contrast documents. 53 central. premised squarely potential contents, reasoned included inspect books. compared public "where, reflected, believe, understandable unease drawing too close connection On practical level, unwilling temporary employer, often others, events voluntarily. factor analysis depends put rest voluntarily prepared. 54 altogether different footing. While control, inescapably own. Production precise obedience, basis I. possessing was, points out, partnership, union. inheres consequence irrelevant precedents, suggest, remains valid. continues derives rational principle, created 56 contains overrides establish like asked responsive Once escape indisputably Braswell's suggest otherwise confuse metaphor reality." Pacific Gas & Electric Co. Public Utilities Comm'n California, 475 33, 106 903, 921, 89 (1986) (REHNQUIST, dissenting). C analyzed same (1957), failing produce. already much argued performing "representative duty" belonged. Brief O.T. 1956, 260, 17. below. stated: 58 "[F]orcing orally whereabouts nonproduced disclose mind. convict mouth. contrary spirit letter Amendment." 128, 1151-52. 59 confront here. able distinguish weight words "out mouth," stand Constitution treats assertion. text history distinction. speaks "testimony," forms. 201, 209-210, 2341, 2347 184 (1988) II Physical probe memory, perception, cognition witness. retreat implications hold spoken. 60 course, testimony; "disclose mind," actions, 1151. physically transmitted memory perception cognition. communicates locating selecting document elemental, sense. D 61 Recognition avoid adoption metaphysical progression, which, respectfully submit, Beginning ordinary agency, proceeds employee, employee complies necessarily premise, odds 62 Since union's argued, argues attempted constitutionally permissible held, sort divorced it. wished ask knowledge, responses alienated attributed similar fashion, dismissed labeling mere agent. 63 heart matter, everyone knows, all; theory square actual practice. President[,] Inc.[,] Inc." informed "[y]ou hereby commanded" specified 6. designate recipient, generally, serves "[we] want 43. agency. issuing "directed personally," (filed Aug. making turn, physical What seeks actions. gives fiction bear. peculiar attempt mitigate force holding, impinges while proceeding divulge performed employee; once admitted, collapsed. 65 Perhaps concession vague sense fairness, source unexplained. balancing convenience determined inapplicable. actions reveals proceeding, am aware declaring inadmissible, 66 today. Noting attendant carried constructive appropriate formal request 6003 access exchange agreement 614-617, 1243-1244. beginning practice judicially rules, conferring partial finds intolerable, mechanism yet sanctioned privileged: statute. 67 abiding concern impede investigate uncover white-collar crimes, enforce answers this. fundamental, authorize exceptions rationales. invent exceptions, dangers prophesied overstated. 68 mean exist cases. instances, implicate all. specific "would self-incrimination" because, [were] foregone adds little sum total conceding papers." Whether self-incriminating factual decided each II, 184. us, submission future automatic result. 69 extent impeding Where applicable, needed seeks, free everyone, selects. authenticity, suspect. 70 sympathetic one. stockholder why suggests waived using form. always, choice her less enterprise employer conducts business. Though hints waiver, jurisprudence acceptance waiver part heritage 71 captive fictions. Yet, cognizable law. factually unsound, unnecessary regulation, reasons, dissent. requested following: receipts disbursement journals; ledger subsidiaries; accounts receivable/accounts payable ledgers, cards, customer data; bank savings checking accounts, checks, deposit tickets; contracts, invoices sales purchase—conveyances, correspondence; minutes stock ledgers; loan statements agreements; liability copies Forms 1120, W-2, W-4, 1099, 940 941. Compare Proceedings (Morganstern), 143 (CA6) banc), 474 1033, 594, 574 (1985); Subpoena (85-W-71-5), 857 (CA8 1986), dism'd sub nom. 1048, 918, 865 (1987); Malis, 737 1511 (CA9 1984); (Vargas), 727 941 (CA10), 469 819, 105 83 recognize Antonio J. Sancetta, M.D., P.C., 788 67, 74 1986); 525 banc); 1240 1987); 1268 (1987), accountants, Nor serve vouch accuracy work. 1582. 2183, (1974) ("[A]n rely personally"); Essgee China 262 151, 158, 514, 517, 917 (1923) ("[T]he 652, 771, Wheeler 226 478, 309, given object guilt. writ them"). offers position, plainly inapposite. begins "whether, extent, proprietorship." 606, 1239 discussion way suggestion holder irrelevant. 124-125, 1150 ("There hint office. accepting custodianship 'has assumed privilege' themselves. 380, 544, 771") original). dissent's extracted nowhere 126, ignores Curcio. dissent pays lipservice supporting unbroken chain squared previous Doubtless, implications; White-collar crime all-pervasive America today." Conyers, Corporate White-Collar Crime: View Chairman House Subcommittee Crime, Am.Crim.L.Rev. 287, 288 (1980). reason diminished meantime. immunized. 130. could, view, deleterious efforts. reject equivalent barred 616-617, 1244. Rather, concomitant leave open supports establish, example inevitably

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