Document: 487 U.S. 201 108 S.Ct. 2341 101 L.Ed.2d 184 John DOE, Petitionerv.UNITED STATES. No. 86-1753. Argued March 2, 1988. Decided June 22, Syllabus Pursuant to a subpoena, petitioner, the target of federal grand jury investigation, produced some records as accounts at foreign banks, but invoked his Fifth Amendment privilege against self-incrimination when questioned about existence or location additional bank records. After banks refused comply with subpoenas produce any account because their governments' laws prohibit such disclosure without customer's consent, Government filed motion Federal District Court for an order directing petitioner sign consent directive, identifying acknowledging account, authorizing disclose and all over which he had right withdrawal. The court denied motion, concluding that compelling form was prohibited by Amendment. Appeals disagreed reversed. On remand, ordered execute and, after refused, found him in civil contempt. affirmed. Held: Because directive here is not testimonial nature, it does violate self-incrimination. Pp. 206-218. (a) In be "testimonial," accused's oral written communication, act, must itself, explicitly implicitly, relate factual assertion information. Cf. Fisher v. United States, 425 391, 96 1569, 48 39; States Doe, 465 605, 104 1237, 79 552. It consistent history policies underlying Self-Incrimination Clause hold may asserted only resist compelled explicit implicit disclosures incriminating 207-218. (b) Petitioner's execution would have significance, neither nor its communicates assertions, explicit, conveys information Government. acknowledge controlled petitioner. Nor indicate whether documents other relating are present bank, assuming exist. Given directive's phraseology, petitioner's has no significance either. If obtains signs statement made anyone will bank's declaration, act production response believes petitioner's. 214-218. 812 F.2d 1404, (CA5 1987), BLACKMUN, J., delivered opinion Court, REHNQUIST, C.J., BRENNAN, WHITE, MARSHALL, O'CONNOR, SCALIA, KENNEDY, JJ., joined. STEVENS, dissenting opinion, post, p. 219. Richard E. Timbie, Washington, D.C., Charles A. Rothfeld, respondent. Justice BLACKMUN Court. 1 This case presents question investigation authorize accounts, those existence, violates target's 2 * Petitioner, named into possible offenses arising from suspected fraudulent manipulation oil cargoes receipt unreported income. Doe appeared before pursuant subpoena directed transactions three Cayman Islands Bermuda. testified responsive were possession control. When records, 3 branches also served commanding them signatory authority. Citing bank-secrecy laws, consent,1 comply. See App. Pet. Cert. 17a, n. 2. then Southern Texas 12 forms consenting respectively knew indicated numbers described wished produce. 4 reasoning signing forms, necessarily admitting accounts. believed, moreover, if constitute "an admission [Doe] exercised authority accounts." Id., 20a. speculated subsequent proceeding could argue guilty knowledge contents Thus, court's view, "to perform entail potentially documents," id., 20a, 6, compulsion noted been indicted, might provide link necessary obtain indictment, kind "fishing expedition" designed prevent. 21a. 5 sought reconsideration. Along submitted revised proposed substantially same approved Eleventh Circuit Ghidoni, 732 814, cert. denied, 469 932, 105 328, 83 264 (1984). purported apply withdrawal, account.2 this also, lead uncovering linking did know existence. concluded "admit speculative [and] implicitly authenticate provided consent." 13a, 7. 6 reversed unpublished per curiam judgt. reported 775 300 (1985). Relying on intervening decision re Grand Jury Proceedings (Cid), 767 1131 (1985), held assert basis refusing "did significance" therefore Doe's rights. 7a.3 7 directive. He refused. accordingly contempt confined until complied order. 2a. stayed imposition sanction pending appeal application writ certiorari. 2a-3a. 8 affirmed order, again curiam, prior ruling constituted "law case" dispositive appeal. 3a; 1404 (1987). We granted certiorari, 484 813, 64, 98 28 (1987), resolve conflict among Courts inconsistent Amendment.4 conclude issue implicate II 9 undisputed privileged under Braswell 99, 108-110, 2284, 2290, (1988); 552 (1984); 39 (1976). There cannot invoke declining documents; extend artificial entities. U.S., 102-103, 2287; Bellis 417 85, 89-90, 94 2179, 2183-2184, 40 678 (1974). Similarly, asserts prevent disclosing Constitution "necessarily proscribe statements elicited another." Couch 409 322, 93 611, 616, 34 548 (1973). sole claim release believe withdrawal independent incriminate him, prohibits governmental act. 10 reads: "No person . shall criminal witness himself." explained "the protects being incriminated own communications." 409, S.Ct., 1580, citing Schmerber California, 384 757, 86 1826, 16 908 (1966); Wade, 388 218, 87 1926, 18 1149 (1967); Gilbert 263, 1951, 1178 (1967). obviously compelled, we assume effect.5 turns executing "testimonial communication." parties disagree both meaning "testimonial" fits definitions. 11 Petitioner contends use content speech writing, opposed physical characteristics, further witness. second half test incriminating, is, course, already separate requirement invoking privilege. contends, essence, every significant purposes Amendment.6 Under declarative persuade otherwise unavailable jury. ; 13 Government, hand, suggests privilege, unless relates argues that, itself discloses facts disagrees. 14 Government's view apparently accepted considered forms,7 derived largely Court's decisions Doe. presented cases producing subpoenaed documents, making statement, nonetheless protected aspects. communication fact: compliance admit papers existed, control, authentic. 613, 11, 1242, 11; Fisher, 409-410, 1580; 428, 432, 1589, 1591 (concurring opinions). 104, 2288; ante, 122, 2297 (dissenting opinion). clear applies acts imply assertions fact. 15 reject argument control determination statements. While purport announce universal determining scope establish more narrow boundary applicable alone. To contrary, applied basic principles.8 An examination these principles indicates recognition testimonial, information.9 Only "witness" himself. understanding perhaps most clearly revealed certain acts, though within suspect furnish blood sample, 765, 1832; handwriting exemplar, 266-267, 1953 voice Dionisio, 410 1, 7, 764, 768, 35 67 (1973); stand lineup, 221-222, 1929; wear particular clothing, Holt 218 245, 252-253, 31 54 L.Ed. 1021 (1910). These grounded proposition accused testify himself, State evidence communicative nature." Schmerber, 761, 1830. implicated each cases, required have," speak guilt," 222-223, 1929-1930. 768; Gilbert, 1953. "extortion accused," 616; attempt force mind," Curcio 354 118, 128, 77 1145, 1151, 1225 (1957), implicates Clause. Kastigar 406 441, 445, 92 1653, 1656, 32 212 (1972) (the "protects reasonably used prosecution so used") (emphasis added). "Unless secure communication—written, otherwise—upon reliance placed involving [the accused's] consciousness operations mind expressing it, demand upon one." Wigmore § 2265, 386.10 17 Historically, intended legal extract sworn him. Such process ecclesiastical courts Star Chamber—the inquisitorial method putting oath answer questions uncover uncharged offenses, another source. Andresen Maryland, 427 463, 470-471, 2737, 2743-2744, 49 627 (1976); 2250; Griswold, Today 2-3 (1955). major thrust undergirding compulsion. reflects " 'a judgment should [not] free build up case, whole part, assistance enforced accused' Ullmann 350 422, 427, 76 497, 501, 100 511 (1956), quoting Maffie 209 225, 227 (CA1 1954). Murphy Waterfront Comm'n New York Harbor, 378 52, 84 1594, (1964), founded "our unwillingness subject crime cruel trilemma self-accusation, perjury contempt; our preference accusatorial rather than system justice; fear self-incriminating inhumane treatment abuses; sense fair play dictates state-individual balance requiring government leave individual alone good cause shown disturbing contest shoulder entire load,' .; respect inviolability human personality 'to private enclave where life,' y(3)27; distrust self-deprecatory statements; realization while sometimes shelter guilty,' often protection innocent.' 55, 1596-1597 (citations omitted). 19 spare having reveal, directly indirectly, offense share thoughts beliefs Government.11 20 persuaded arguments articulation fundamentally alters power compel assist prosecution. very few instances verbal either written, convey facts. vast majority thus extent least, fall privilege.12 Furthermore, remembered there many restrictions government's prosecutorial practices addition Indeed, protections efforts unwilling cooperate including him.13 confident provisions, together Clause, continue abusive investigative techniques. B 21 difficult applying depends circumstances case. 410, 1581. exception. turn, then, consider significance. agree not, form, execution, 22 "testimonial." carefully drafted make reference specific hypothetical. financial institution F.2d, 818; (Ranauro), 814 791, 793 1987); Subpoena, 826 1166, 1170 (CA2 pending, 87-517; 1132. even identify relevant bank. Although executed allows access potential source evidence, point toward hidden evidence. locate 'by labor officers,' Estelle Smith, 451 454, 462, 1866, 1872, 68 359 (1981), Culombe Connecticut, 367 568, 582, 81 1860, 1867, 1037 (1961) (opinion announcing judgment). As relying 'truthtelling' show of, over, 411, 1581, 2264, 380. 23 By makes implicit, regarding account. authenticity 818-819; 1170. Not express issue, prepare document, effect authentic genuine. 413, 1582. Authentication officials. 24 Finally, contention admits consent. state "consents" Instead, states "shall construed consent" Bermuda laws. signed sheds light actual intent mind.14 "direct" "may" exist principal. But recipient do something fact or, least context, analogous sample exemplar: nontestimonial suspect's action "any have." 222, 1930.15 25 read equivalent although expresses which, can exercise 818, (similarly interpreting nearly identical directive). forwarded along effective local law,16 simply request result, 412-413, 1581-1582. customer "would say nothing correctness representations." Brief 21-22. Second Circuits directives virtually one inadmissible signator 1171; 9. III 26 Accordingly, 27 ordered. dissenting. 29 A defendant material incriminating. Fingerprints, samples, exemplars, specimens, items extracted will. convicting crime? I think not. forced surrender key strongbox containing reveal combination wall safe—by word deed. 30 document seeks purports third take discovery betray investigated jury, nevertheless reasoned others. differs just beings differ animals.1 developing fundamental purpose mark line between inquisition conducted Chamber what proudly describe justice. personality," 1597, (1964). "[I]t natural person, protecting realm thought expression." 119, 2286 (KENNEDY, dissenting) [slip op. 1]. my gives refuse control.2 respectfully dissent. like here, accounts: 33 "Suppose trial introduce accompanied apparent face how [defendant] linked them. Suppose introduced received form. Would consent?" example reveals causes creation through artifice become part prosecution's demonstrates appreciated completed perspective who knows face. compulsion, relies asserting "sheds [petitioner's] ----, consideration document's critical compulsory proof pertain defendant. trust company Perhaps testimony prove certainly probative longer contradiction never authorized create testifies divulge confidential consented disclosure. 1976 Confidential Relationships (Preservation) Law 16, amended, 1979 CAY. IS. LAWS, ch. 26, §§ 3, (Cayman law). Apparently, common law interpreted imposing implied contract confidentiality customers, "no concerning customers' affairs (1) competent jurisdiction Bermuda, (2) receives direction requesting information." Letter dated August 1984, Bradspies, Vice President-Operations, Bank International Ltd., David Geneson, Esq., Fraud Section, Criminal Division, Dept. Justice, Respondent's Exhibit 4; Notice Disclosure 6(e) Materials, Record 307. yet sanctions banks. "I, ______, America, hereby direct corporation am draw, officers, employees agents, deliver copies nature your said 84-2, empaneled May 1984 sitting Texas, attorney Department assisting Jury, give thereto, 84-2 irrevocable doing. issued connection aforesaid ______. Islands, customers imposed law, thereto principal." 12a, 5. Appeals, Telephone Co., 434 159, 174, 364, 373, 376 (1977), All Writs Act, U.S.C. 1651(a), since facilitate enforcement 6a-7a. challenged Appeals' conclusion entering address here. Circuits, Fifth, (CA11), Davis, 1025, 1039-1040 1985); accord, 1166 87-517 sub nom. Coe States. divided panel First Circuit, however, 791 above, chain leading indictment. ultimately find need incrimination element blanket confuses "incriminating." "not reason evidence." 1172, heavy (1972), contrary misguided. constitutionality 6002 6003, permit long immunized "testimony information" provided. holding immunity statute coextensive testimony, well indirectly therefrom." 453, 1661. prohibition derivative implementation "link evidence" theory invocation "compelled testimony" Hoffman 341 479, 486, 71 95 1118 (1951). 79, 1609, (1964); J. Wigmore, Evidence 2260 (McNaughton rev. 1961) (Wigmore). prohibition, assumes initial testimonial. 1131, 1132 793; 798 opinion); 1040. 816. (1976), (1984), rested 'the ground proper acquisition involve sort.' 8, 1241 399, 1575. squarely comes "only incriminating." 408, 1579 original); see 1241, 1242. articulated general terms, acts. cogent why context dissent "[t]he expression individual's mind" Post, 220, 1. dissent's mind. "be[ing] documents" safe." (1966), misplaced. stated extends communications, whatever they take," 763-764, 1832, clarifying once thought, communications. 223, 1930, Contrary urging, draw distinction unprotected characteristics content. Rather, distinguished himself serve communicate See, e.g., 1832. (1910); 386. privileged, enough 1579; 267, 1953, 1929. undermined sources statements, maintains policy striking appropriate sovereignty precludes utter write words Even support interpretation "it coincide complex values helps protect. Despite impact personality, belief adversary justice labors, allowed generally speaking 'testimonial,' 761 [86 1830]." Grosso 390 62, 72-73, 88 709, 715-716, 906 (1968) (BRENNAN, concurring). 762-763, 1831. societal interests privacy, fairness, restraint unconstitutionally offended body leads development highly progeny clear, understand nonfactual facilitates someone else offends particular, cuts back explanation Miranda Arizona, 436, 1602, 694 fulfilled guaranteed remain silent chooses unfettered will.' 460, 1620, Malloy Hogan, 1489, 1493, 653 Miranda, addressed custodial interrogation Our officials context. exempt giving answers altogether, (at assumption) harbors. attempts construe establishing absolute speak, refuted (1973), providing exemplar. For example, Fourth prevents search home, cf. Schneckloth Bustamonte, 412 248-249, 2041, 2058-2059, 36 854 attorney-client Upjohn Co. 449 383, 389, 677, 682, 66 584 (1981); 2292; Due Process imposes limitations ability coerce individuals participating prosecutions, Rochin 342 165, 72 205, 210, 183 (1952). Ranauro suggested witness, fact, consented: [witness], [District Jury] related by, banking engaged with, [bank X], name behalf of: exist." 796. Further, unlike 795. true turn distinctions, ibid., sanguine differences irrelevant. implicated, argued "consent" raises due concerns. 1171 (finding violation order); (same). Neither position principles. performance carries performed rejected argument. suspect, "acknowledged" writing his. holdings simple acknowledgment—that act—is "sufficiently privilege." acknowledgment thinks Doe's—an placing signature directive—is sufficiently disagrees us point, disagreement unclear. Surely, creates "a new piece petitioner" exemplars nature. Similarly irrelevant Circuit's hypothetical That hypothetical, indicated, Ranauro, 793, goes showing 5, supra. bearing sufficient law. Amicus Curiae 9-11. expressly risk sanctions, ABC C.I.L.R. 130 (1984) (reviewing Ghidoni ). observes cited appealed definitely settled. effectiveness constitutional Nevertheless, unaware international comity overcome afforded nation. called condoned, (1967) (handwriting exemplar); (voice (1966) (blood test); (1910) (lineup), involves intrusion accused. 1832 (forced permissible "even shadow accused" signer's authority, invade dignity mind; deliberate command. diminished reflect false, greater dignity. purporting entry Brady 397 742, 748, 90 1463, 747 (1970), himself"; indeed, bear false falls Boyd 116 633-635, 524, 533-535, 746 (1886); 420, 1585, Holmes' observation man moral extort communications him," manifests speaker. Thus (quoting (1964)). deviation principle mischievous abuse commands afford citizens. instant illustrative. allowing permits "Do you documents?" Beyond affront, permitted "yes." provides "gives cause." T. Cunningham, Complete Dictionary (2d ed. 1771). scrutinizes determine "form" "execution" "communicates Government." Ante, 215. errs focusing historical facts, ignoring determines identity much true. exactly "directs," conform description contained statement. mind, present-tense desire. "pursuant to" save admission. sophisticated officer expected phrase order," mean "executed involuntarily pain contempt." involuntary character, still produced. foreclose possibility able danger fully employed analysis

Category: 0