Why Does a Case Go to the Grand Jury in Criminal Law?
Explore how grand juries function in criminal law, focusing on legal thresholds, discretion, and the confidential review of evidence.
Criminal cases do not always follow the same path through the justice system. A key early step in serious matters can be a grand jury proceeding, a process unfamiliar to many, which determines how formal charges are brought against an individual.
Felony Considerations
The decision to involve a grand jury often depends on the severity of the alleged crime, particularly if it is a felony. Felonies are the most serious class of criminal offenses, carrying potential punishments of more than one year in prison or, in some cases, the death penalty. Examples include murder, arson, and kidnapping.
Because felony convictions can result in lengthy imprisonment, significant fines, and the loss of civil rights like voting or owning firearms, the legal system includes extra safeguards for these cases. The potential for severe consequences justifies using mechanisms like the grand jury to review the basis for bringing such charges.
The link between felonies and grand juries is enshrined in the federal system by the Fifth Amendment to the U.S. Constitution, which requires a grand jury indictment for federal capital or “otherwise infamous” crimes—interpreted by courts to mean offenses punishable by more than a year’s imprisonment.1United States Department of Justice. Justice Manual | 205. When an Indictment is Required Therefore, federal felony charges generally require a grand jury indictment unless the defendant waives this right.
While the Supreme Court has not mandated this requirement for state courts, many states use grand juries for felony charges, mirroring the federal approach due to the gravity of these offenses. This reflects a cautious approach before subjecting someone to a trial with potentially life-altering outcomes.
Procedural Requirements
Initiating a grand jury review typically falls to the prosecutor, who decides which cases and evidence to present.
Grand juries are composed of citizens, often selected randomly like trial jurors. Federal grand juries have 16 to 23 members serving terms up to 18 months, convening periodically. State practices on size and term length differ. Jurors must meet basic qualifications like citizenship and residency and cannot have a felony conviction. The goal is to assemble a jury representing a fair cross-section of the community.
Once formed, the grand jury operates under specific rules. A minimum number of jurors, a quorum (often 16 federally), must be present. Only authorized individuals—jurors, the prosecutor, a court reporter, and the testifying witness—are typically allowed. Judges and defense counsel are absent. The target of the investigation usually has no right to attend or present evidence, though exceptions exist.
Evidence Review
The grand jury’s primary role is to evaluate the evidence presented by the prosecutor, including witness testimony and documents, to determine if there is sufficient basis for formal charges.
Jurors apply the standard of probable cause: whether the evidence suggests a crime was likely committed and the person under investigation probably committed it. This standard is lower than the “beyond a reasonable doubt” needed for a trial conviction. The grand jury does not determine guilt but assesses if enough evidence exists to proceed to trial.
Notably, the strict rules of evidence used in trials generally do not apply in grand jury proceedings. As the Supreme Court affirmed in Costello v. United States, an indictment can be based on hearsay. Federal Rule of Evidence 1101(d) confirms that most evidence rules, except those regarding privileges, are inapplicable. This allows jurors to consider a wider range of information suitable for an investigative body determining probable cause. Evidence that might be inadmissible at trial can be considered here.
Prosecutorial Discretion
The prosecutor holds significant influence over whether a case goes to a grand jury, a power known as prosecutorial discretion. After reviewing investigators’ findings, the prosecutor decides if there is enough evidence—probable cause—to seek an indictment, particularly for felonies as required federally.
This discretion includes choosing which specific charges to pursue if the evidence suggests multiple potential offenses. The prosecutor evaluates the strength of the evidence for each charge, guided by factors like the offense’s seriousness and internal policies, such as those in the U.S. Department of Justice’s Justice Manual.2United States Department of Justice. Justice Manual | 9-27.000 – Principles of Federal Prosecution
The prosecutor largely directs the grand jury proceedings, deciding which witnesses and evidence to present and advising the jury on the law.3United States Department of Justice. Justice Manual | 9-11.000 – Grand Jury While the grand jury is meant to be an independent check, its reliance on the prosecutor for information gives the prosecutor considerable sway.
Even if a grand jury indicts, the prosecutor retains the discretion to proceed with the case or not, perhaps due to new evidence or strategic shifts. Conversely, if the grand jury declines to indict, the prosecutor might, under certain circumstances, seek charges through other means or present the case again, though policies often limit this.
Secrecy in Proceedings
Grand jury proceedings are characterized by strict secrecy, mandated by law, such as Rule 6(e) of the Federal Rules of Criminal Procedure.4Cornell Law School Legal Information Institute. Rule 6. The Grand Jury | Federal Rules of Criminal Procedure This rule prohibits certain participants from disclosing matters occurring before the grand jury.
The reasons for secrecy, often cited by courts like the Supreme Court in United States v. Procter & Gamble Co., include preventing suspects from fleeing or tampering with witnesses, encouraging truthful testimony without fear of reprisal, and protecting the reputations of those investigated but not charged.5Congressional Research Service. Grand Jury Secrecy: A Primer
Federal Rule 6(e)(2) specifies that grand jurors, court reporters, interpreters, and government attorneys are bound by secrecy. Violations can result in contempt of court charges under Rule 6(e)(7) or potentially criminal charges like obstruction of justice.
However, this secrecy rule generally does not apply to witnesses. As affirmed in Butterworth v. Smith, witnesses are usually free to discuss their own testimony after leaving the grand jury room. This balances the need for confidentiality in the proceedings with the rights of witnesses, who are not typically silenced about their personal knowledge but cannot reveal other details of the proceedings.
Indictment Decision
After reviewing the evidence, the grand jury deliberates and votes on whether the probable cause standard has been met for each proposed charge. Jurors discuss the testimony and documents to decide if there are reasonable grounds to proceed.
The vote culminates this process. In the federal system, Rule 6(f) requires at least 12 grand jurors to agree for an indictment, regardless of the total number present, as long as a quorum is maintained.6United States District Court Middle District of Florida. Handbook for Federal Grand Jurors State requirements vary.
If the necessary number of jurors find probable cause, the grand jury returns a “true bill,” resulting in a formal indictment. This written document, prepared by the prosecutor and signed by the foreperson, outlines the charges and cites the relevant statute, initiating the court case, as specified by Federal Rule of Criminal Procedure 7(c)(1).
If the jury finds insufficient evidence for probable cause, it returns a “no bill.” This signifies that formal charges are not warranted based on the presented evidence. The foreperson reports this finding to the court, typically halting prosecution on those grounds at that time, though prosecutors might pursue charges later if new evidence emerges or alternative methods are available. This decision reflects the grand jury’s function as a check on prosecutorial power.
