How Federal Courts Enforce Grand Jury Subpoena Requests

How Federal Courts Enforce Grand Jury Subpoena Requests

A grand jury subpoena is an official request for someone to provide testimony or documents related to a federal criminal investigation. Grand juries are groups of citizens who decide whether there is enough evidence to formally charge someone with a federal crime. The grand jury does not determine guilt or innocence – that is left up to the trial jury if charges are filed. But the grand jury does have an important investigative role.

Federal prosecutors use grand jury subpoenas to gather evidence and compel testimony from witnesses during an investigation. If a witness refuses to comply with a subpoena, the federal court can enforce it through various methods like contempt of court charges, fines, or even arrest.

What is a federal grand jury?

The grand jury is a group of 16 to 23 citizens who are tasked with deciding whether there is probable cause to charge someone with a federal crime. The grand jury meets in secret to hear testimony and review evidence presented by federal prosecutors. The grand jury does not determine guilt or innocence, but rather decides if there is enough evidence to formally accuse someone of a crime through an indictment.

If the grand jury decides to indict, the accused will then face a trial before a petit jury (also called a trial jury). The petit jury is responsible for ultimately determining guilt or innocence. The grand jury merely determines if there is enough evidence to proceed to trial.

What is a federal grand jury subpoena?

A federal grand jury subpoena is an official demand for someone to provide testimony or produce documents related to a federal criminal investigation. Grand jury subpoenas are issued at the request of federal prosecutors and are signed by a judge.

There are two main types of federal grand jury subpoenas:

• Subpoena to testify – requires someone to appear before the grand jury and provide testimony
• Subpoena duces tecum – requires someone to turn over documents or records

Federal grand jury subpoenas can be issued to both witnesses and targets of an investigation. Subpoenas must identify any documents requested with “reasonable particularity.”

How are grand jury subpoenas enforced?

If a subpoena recipient refuses to comply, the federal court has powers to enforce compliance. Methods courts can use include:

• Contempt of court – Failure to comply may result in civil or criminal contempt charges. This can lead to fines or even jail time to coerce compliance.
• Motion to compel – The prosecutor can file a motion asking the court to order compliance with the subpoena.
• Motion to quash – The subpoena recipient can file a motion to quash the subpoena, arguing it is improper or unreasonable.
• Arrest warrant – In rare cases, a judge may issue a warrant for the subpoena recipient’s arrest to compel appearance before the grand jury.

When can someone challenge or resist a grand jury subpoena?

There are limited grounds on which someone can legally challenge or resist complying with a federal grand jury subpoena:

• The subpoena seeks information protected by privilege – Such as attorney-client or doctor-patient communications.
• The subpoena imposes an undue burden – For example, by requesting an unreasonably large number of documents.
• The subpoena lacks specificity – It does not describe the information sought with reasonable particularity.
• The subpoena violates constitutional rights – Such as the right against self-incrimination protected by the Fifth Amendment.

However, courts tend to give federal prosecutors broad deference in enforcing grand jury subpoenas. It is difficult to quash a subpoena unless it is clearly abusive or excessive.

What happens if you refuse to comply with a grand jury subpoena?

Refusing to comply with a federal grand jury subpoena can lead to serious consequences, including:

• Civil contempt – Fines imposed until you comply. Jail time is rare in civil contempt.
• Criminal contempt – Fixed jail sentence as punishment for refusing to comply.
• Obstruction of justice charges – Refusal may be charged as a federal crime.

In some cases, prosecutors will grant limited immunity from prosecution to compel testimony from recalcitrant witnesses. But there is no guarantee of immunity.

Subpoenaing targets vs. witnesses

Federal prosecutors can issue grand jury subpoenas to both witnesses and targets of an investigation. However, targets have some additional protections:

• The prosecutor must get permission from the U.S. Attorney or other high-ranking official before subpoenaing a target to testify before the grand jury.
• Targets who testify can assert their Fifth Amendment right against compelled self-incrimination.
• Targets are entitled to advance notice if prosecutors will grant immunity to compel testimony.

Witnesses who are not targets generally do not have Fifth Amendment protections and must comply or face contempt charges.

How to respond to receiving a federal grand jury subpoena

If you receive a federal grand jury subpoena, here are some steps to consider:

1. Notify your employer if the subpoena seeks business records.
2. Consult an attorney to understand your rights and obligations.
3. Negotiate the scope of the subpoena if it is overly broad.
4. Move to quash the subpoena if there are valid grounds like privilege or rights violations.
5. Assert your Fifth Amendment rights if you are the target and wish to avoid self-incrimination.
6. Comply with valid parts of the subpoena to avoid contempt charges.

Noncompliance with a federal grand jury subpoena should only be considered with the advice of counsel. Courts tend to enforce subpoenas unless there is a clear basis to quash or resist.

Key laws and rules governing grand jury subpoenas

The main laws and rules that apply to federal grand jury subpoenas include:

• Federal Rules of Criminal Procedure – Rule 17 covers grand jury subpoenas.
• Fifth Amendment to the U.S. Constitution – Provides protection against self-incrimination.
• Right to Financial Privacy Act – Governs subpoenas for banking and financial records.
• Electronic Communications Privacy Act – Regulates subpoenas for electronic communications and records.
• Case law precedents – Numerous court decisions shape grand jury subpoena powers and rights.

Understanding the applicable laws and rules is critical when responding to a federal grand jury subpoena. Consulting an attorney is highly recommended.

Notable cases related to federal grand jury subpoenas

There have been many influential court decisions related to federal grand jury subpoenas and a recipient’s rights and obligations. Some key cases include:

• Branzburg v. Hayes (1972) – The Supreme Court ruled that reporters must comply with grand jury subpoenas even if it requires revealing confidential sources.
• United States v. R. Enterprises (1991) – The Court upheld enforcement of a grand jury subpoena seeking business documents even though the business was not under investigation.
• Doe v. United States (1988) – The Court ruled that a target witness must comply with a grand jury subpoena even if the testimony might incriminate him.
• In re Grand Jury Subpoena Duces Tecum (1984) – Lower courts can enforce grand jury subpoenas through contempt sanctions if challenged unsuccessfully.

These and other precedents generally give federal prosecutors broad authority to compel compliance with grand jury subpoenas.

Limits on federal grand jury subpoena power

While federal prosecutors have substantial power to issue and enforce grand jury subpoenas, there are some limits, such as:

• Subpoenas cannot violate certain constitutional protections – Like the right against self-incrimination.
• Subpoenas must adhere to the applicable criminal procedure rules.
• Subpoenas are subject to court challenges through motions to quash or limit.
• Prosecutors cannot abuse the grand jury process to harass witnesses or targets.
• Subpoenas must describe the requested information with reasonable specificity.

However, overcoming these limits typically requires a successful court challenge, which is difficult given the broad deference afforded to prosecutors.

Conclusion

Federal grand jury subpoenas provide prosecutors with expansive investigative powers. However, recipients do have some limited rights to challenge overbroad or abusive subpoenas. Given the serious penalties for noncompliance, those who receive a federal grand jury subpoena should promptly consult an attorney to understand how best to respond.

References

• • Department of Justice: Grand Jury Rules of Criminal Procedure