Handbook
for
Federal
Grand
Jurors
Prepared for the use of grand jurors serving
in the United States district courts under the
supervision of the Judicial Conference of the
United States. Published by the Administrative
Office of the United States Courts, Washington,
D.C. 20544. www.uscourts.gov
CONTENTS
PURPOSE OF THIS HANDBOOK......................... 1
ORIGIN AND HISTORY OF THE GRAND JURY... 1
NATURE OF THE GRAND JURY........................... 3
(1) The Grand Jury’s Tasks.............................. 4
(2) Investigation............................................. 5
SELECTION OF GRAND JURORS......................... 6
ORGANIZATION, OATH, AND OFFICERS
OF THE FEDERAL GRAND JURY.......................... 6
PROCEDURE......................................................... 7
(1) Quorum................................................... 7
(2) Evidence Before the Grand Jury.............. 8
(3) Questioning the Witness.......................... 8
(4) Calling the Person Being Investigated
by the Government as a Witness .......... 10.
(5) The Evidence Needed Before a
“True Bill” May Be Voted....................... 11
(6) Deliberations ........................................ 11
SECRECY.............................................................. 13
PROTECTION OF GRAND JURORS................... 14
PRACTICAL SUGGESTIONS FOR GRAND
JURORS . ............................................................. 14
GLOSSARY OF TERMS........................................ 16
PURPOSE OF THIS HANDBOOK
This handbook will acquaint persons who
have been selected to serve on a federal grand
jury with the general nature and importance of
their role as grand jurors. It explains some of the
terms that grand jurors will encounter during
their service and offers some suggestions helpful
to them in performing this important public
service. It is intended that this handbook will, to
a degree, repeat and provide a permanent record
of much of the information presented in the grand
jury orientation film, The People’s Panel, which
in most districts is shown to grand jurors at the
commencement of their service. Grand jurors are
encouraged to refer to this handbook periodically
throughout their service to reacquaint themselves
with their duties and responsibilities.
This Handbook is designed as an aid only to
persons serving on a federal—not a state—grand
jury. The federal grand jury is concerned only with
federal crimes; it derives its authority from the
Constitution of the United States, national laws,
and the rules of the federal courts. There are also
grand juries impaneled in many of the states, but
those grand juries investigate only state crimes;
they derive their authority from the constitutions,
laws, and rules of court of the states where they
are impaneled.
ORIGIN AND HISTORY OF THE GRAND JURY
The grand jury has a long and honorable
tradition. It was recognized in the Magna Carta,
the first English constitutional document, which
King John granted in 1215 at the demand of his
subjects. The first English grand jury consisted
of 12 men selected from the knights or other
freemen, who were summoned to inquire into
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crimes alleged to have been committed in their
local community. Thus, grand jurors originally
functioned as accusers or witnesses, rather than as
judges.
Over the years, the hallmarks of our modern
grand jury developed in England. For example,
grand jury proceedings became secret, and
the grand jury became independent of the
Crown. As a result, a grand jury is able to vote
an indictment or refuse to do so, as it deems
proper, without regard to the recommendations
of judge, prosecutor, or any other person. This
independence from the will of the government
was achieved only after a long hard fight. It can
best be illustrated by the celebrated English case
involving the Earl of Shaftasbury, who, in 1681,
fell under the suspicion of the Crown. Displeased
with him, the Crown presented to the grand jury
a proposed bill of indictment for high treason and
recommended that it be voted and returned. After
hearing the witnesses, the grand jury voted against
the bill of indictment and returned it to the King,
holding that it was not true.
When the English colonists came to America,
they brought with them many of the institutions
of the English legal system, including the grand
jury. Thus, the English tradition of the grand jury
was well established in the American colonies
long before the American Revolution. Indeed, the
colonists used it as a platform from which to assert
their independence from the pressures of colonial
governors. In 1735, for example, the Colonial
Governor of New York demanded that a grand jury
indict for libel John Zenger, editor of a newspaper
called The Weekly Journal, because he had held
up to scorn certain acts of the Royal Governor. The
grand jury flatly refused.
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The grand jury as an institution was so firmly
established in the traditions of our forebears that
they included it in the Bill of Rights. The Fifth
Amendment to the Constitution of the United
States provides in part that “(n)o person shall be
held to answer for a capital, or otherwise infamous
crime, unless on a presentment or indictment of a
Grand Jury . . . .” Moreover, the grand jury system
is also recognized in the constitutions of many of
the states of the Union.
NATURE OF THE GRAND JURY
The powers and functions of the federal grand
jury differ from those of the federal trial jury,
which is called the petit jury. The petit jury listens
to the evidence offered by the prosecution and
the defense (if it chooses to offer any) during a
criminal trial and returns a verdict of guilty or not
guilty. The grand jury, on the other hand, does not
determine guilt or innocence, but only whether
there is probable cause to believe that a crime was
committed and that a specific person or persons
committed it. If the grand jury finds that probable
cause exists against a person suspected of having
committed the crime, then it will return a written
statement of the charges called an “indictment.”
After that, the person will go to trial.
The grand jury normally hears only that
evidence presented by a government attorney,
which tends to show the commission of a crime.
The government attorney usually is the United
States Attorney or an Assistant United States
Attorney in the federal district. The grand jury
must determine from this evidence, and usually
without hearing evidence for the defense, whether
the person being investigated by the government
should be tried for a serious federal crime, referred
to in the Bill of Rights as an “infamous crime.” An
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infamous crime is one which may be punished by
imprisonment for more than one year. As a general
rule, no one can be prosecuted for a serious crime
unless the grand jury decides that the evidence
it has heard so requires. In this way, the grand
jury operates both as a “sword,” authorizing the
government’s prosecution of suspected criminals,
and also as a “shield,” protecting citizens from
unwarranted or inappropriate prosecutions. The
person being investigated by the government may,
however, waive grand jury proceedings and agree
to be prosecuted by a written charge of crime
called an information.
The grand jury is not completely free to
compel a trial of anyone it chooses. The
government attorney must sign the indictment
before a party may be prosecuted. Thus, the
government and the grand jury act as checks on
each other. This assures that neither may arbitrarily
wield the awesome power to indict a person of a
crime.
(1) The Grand Jury’s Tasks
As stated above, the federal grand
jury’s function is to determine whether
the person being investigated by the
government shall be tried for a serious
federal crime alleged to have been
committed within the district where
it sits. Matters may be brought to its
attention in three ways: (1) by the
government attorney; (2) by the court that
impaneled it; and (3) from the personal
knowledge of a member of the grand jury
or from matters properly brought to a
member’s personal attention. In all these
cases, the grand jury must hear evidence
before taking action.
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After it has received evidence against
the person being investigated, the grand
jury must decide whether the evidence
presented justifies an indictment, or
“true bill,” which is the formal criminal
charge returned by the grand jury. Upon
the indictment’s being filed in court, that
person must either plead guilty or nolo
contendere, or stand trial.
If the evidence does not persuade the
grand jury that there is probable cause
to believe the person being investigated
committed a crime, the grand jury will
vote a “no bill,” or “not a true bill.”
When this occurs, that person is not
required to plead to a criminal charge,
and no trial is required.
(2) Investigation
The major portion of the grand jury’s work
is concerned with evidence brought to
its attention by the government attorney.
The grand jury may consider additional
matters otherwise brought to its attention,
but should consult with the government
attorney or the court before undertaking a
formal investigation of such matters. This
is necessary because the grand jury has no
investigative staff, and legal assistance will
be necessary in the event an indictment is
voted.
A federal grand jury can take action
only on federal crimes that have been
committed within the district in which
it has been impaneled. Furthermore, a
federal grand jury (except a special grand
jury impaneled under 18 U.S.C. §§ 3331-
3334) is not authorized to investigate
5
situations involving the conduct of
individuals, public officials, agencies, or
institutions that the grand jury believes
is subject to mere criticism rather than
a violation of federal criminal statutes.
Its concern must be solely to ascertain
whether there is probable cause to believe
that a federal crime has been committed
and to report accordingly to the court.
SELECTION OF GRAND JURORS
Federal law requires that a grand jury be
selected at random from a fair cross section of
the community in the district or division in which
the federal grand jury convenes. Thus, all citizens
have an equal opportunity and obligation to serve.
Pursuant to law, the names of prospective
grand jurors are drawn at random from lists
of registered voters or lists of actual voters, or
other sources when necessary, under procedures
designed to ensure that all groups in the
community will have a fair chance to serve. Those
persons whose names have been drawn, and
who are not exempt or excused from service, are
summoned to appear for duty as grand jurors.
When these persons appear before the court, the
presiding judge may consider any further requests
to be excused. The judge will then direct the
selection of 23 qualified persons to become the
members of the grand jury.
ORGANIZATION, OATH, AND OFFICERS OF
THE FEDERAL GRAND JURY
After the proper number of persons have been
qualified as grand jurors, the court will appoint
one of them to be the foreperson, or presiding
officer, of the grand jury. A deputy foreperson will
also be appointed, so that he or she can act as
6
presiding officer in the foreperson’s absence.
The foreperson, the deputy foreperson, and
the remaining members of the grand jury are
sworn in by the Clerk of the Court. Those persons
who do not wish to swear may affirm.
The oath taken by the grand jurors binds them
to inquire diligently and objectively into all federal
crimes committed within the district about which
they have or may obtain evidence, and to conduct
such inquiry without malice, fear, ill will, or other
emotion.
After the grand jurors have been sworn,
the presiding judge advises the grand jury of its
obligations and how best to perform its duties.
This is called the charge to the grand jury. Careful
attention must be paid to the charge, for it and any
additional instructions that may be given by the
court contain the rules and directions the grand
jury must follow during its term of service.
After the grand jury has been charged, it is
taken to the grand jury room, where it will hear
testimony and consider documentary evidence
in the cases brought to its attention by the
government attorney.
PROCEDURE
(1) Quorum
Sixteen of the 23 members of the
grand jury constitute a quorum for the
transaction of business. If fewer than this
number are present, even for a moment,
the proceedings of the grand jury must
stop. This shows how important it is that
each grand juror conscientiously attend
the meetings. If an emergency prevents a
grand juror’s attendance at the meeting,
7
he or she must promptly advise the grand
jury foreperson. If the juror’s absence will
prevent the grand jury from acting, the
grand juror should, if at all possible, attend
the meeting.
(2) Evidence Before the Grand Jury
Much of the grand jury’s time is spent
hearing testimony by witnesses and
examining documentary or other evidence
in order to determine whether such
evidence justifies an indictment.
Each federal court district has a United
States Attorney whose duty it is to
represent the United States in federal
matters within the district and to prosecute
those accused of federal crimes. In the
usual case, the United States Attorney
or one of the Assistant United States
Attorneys will present the evidence of
alleged violations of law to the grand jury.
These government attorneys also advise
grand jurors as to what witnesses should
be called and what documentary evidence
should be produced for examination by
the grand jury. The grand jury may ask that
additional witnesses be called if it believes
this is necessary. The government attorney
will also prepare the formal written
indictments that the grand jury wishes
to present. But a government attorney
may not remain in the room while the
grand jury deliberates and votes on an
indictment.
(3) Questioning the Witness
Witnesses are called to testify one
after another. Upon appearing to give
8
testimony, each witness will be sworn
by the grand jury foreperson or, in
the foreperson’s absence, the deputy
foreperson. The witness will then be
questioned. Ordinarily, the witness is first
questioned by the government attorney,
and then by the foreperson of the grand
jury. Then, the other members of the grand
jury may question the witness.
All questions asked of each witness must
be relevant and proper, relating only to
the case under investigation. If doubt
should arise as to whether a question is
appropriate, the advice of the government
attorney may be sought. If necessary, a
ruling may be obtained from the court.
Because of the need for secrecy, described
in more detail in the following section, the
law forbids anyone other than authorized
persons from being present in the grand
jury room while evidence is presented.
This means that only the grand jury, the
government attorney, the witness under
examination, the court reporter, and an
interpreter, if required, may be present. If
an indictment should ultimately be voted,
the presence of unauthorized persons in
the grand jury room could invalidate it.
Occasionally, prior to answering a
question, a witness may ask to leave
the grand jury room to consult with his
or her attorney. The grand jury cannot
hold such conduct against a witness, for
every witness has the right to confer with
counsel, even though counsel may not
be present in the grand jury room. In fact,
a witness may confer with counsel after
9
each question, as long as he or she does
not make a mockery of the proceedings
or does not, by such, make an attempt to
impede the orderly progress of the grand
jury investigation.
Additionally, a witness who is appearing
before the grand jury may invoke the
Fifth Amendment privilege against self-
incrimination and refuse to answer a
question. In such a situation, the grand
jurors may bring the matter before the
court in order to obtain a ruling as
to whether or not the answer may be
compelled and under what circumstances.
(4) Calling the Person Being Investigated by
the Government as a Witness
Normally, neither the person being
investigated by the government nor any
witness on behalf of that person will testify
before the grand jury.
Upon request, preferably in writing,
the person being investigated by the
government may be given the opportunity
by the grand jury to appear before
it. Such person who does so appear
cannot be forced to testify because of
the constitutional privilege against self-
incrimination. If the grand jury attempts
to force the person being investigated to
testify, an indictment returned against that
person may be nullified.
Because the appearance of the person
being investigated by the government
before the grand jury may raise
complicated legal problems, a grand jury
that desires to request or to permit that
10
person to appear before it should consult
with the government attorney and, if
necessary, the court before proceeding.
Even if the person being investigated
by the government is willing to testify
voluntarily, that person must be advised
of the right not to testify. Also, he or she
is required to sign a formal waiver of this
right. The grand jury should be completely
satisfied that the person being investigated
fully understands what he or she is doing.
(5) The Evidence Needed Before a “‘True
Bill” May Be Voted
It is the responsibility of the grand jury to
weigh the evidence presented to it. This
is usually done without any explanation
offered by the person being investigated
by the government, in order to determine
whether this evidence persuades that
there is probable cause to believe that
a crime has been committed and that
the person being investigated was the
person who committed it. Remember
that the grand jury is not responsible for
determining whether the person being
investigated is guilty beyond a reasonable
doubt, but only whether there is sufficient
evidence of probable cause to justify
bringing the that person to trial. Only the
evidence presented to the grand jury in
the grand jury room may be considered in
determining whether to vote an indictment.
(6) Deliberations
When the grand jury has received all the
evidence on a given charge, all persons
other than the members of the grand jury
11
or an interpreter necessary to assist a juror
who is hearing or speech impaired, must
leave the room so that the grand jury may
begin its deliberations. The presence of
any other person in the grand jury room
while the grand jury deliberates or votes
may nullify an indictment returned on the
accusation.
After all persons other than the grand
jury members and any interpreter for a
hearing or speech impaired juror have
left the room, the foreperson will ask
the grand jury members to discuss and
vote upon the question of whether the
evidence persuades the grand jury that a
crime has probably been committed by
the person person being investigated by
the government and that an indictment
should be returned. Every grand juror has
the right to express his or her view of the
matter under consideration, and grand
jurors should listen to the comments of all
their fellow grand jurors before making
up their minds. Only after each grand
juror has been given the opportunity to be
heard will the vote be taken. It should be
remembered that at least 16 jurors must
be present and 12 members must vote in
favor of the indictment before it may be
returned.
The foreperson of the grand jury must
keep a record of the number of jurors
concurring in the finding of every
indictment and file the record with the
Clerk of the Court. If an indictment is
found, the grand jury, or its foreperson
or deputy foreperson, will report it to the
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judge or a magistrate judge in open court.
It will likewise report any “not true bills,”
or decisions not to indict. A decision not
to indict should immediately be reported
to the court in writing by the foreperson
so that the person being investigated by
the government may promptly be released
from jail or freed from bail.
SECRECY
The law imposes upon each grand juror
a strict obligation of secrecy. This obligation is
emphasized in the oath each grand juror takes and
in the charge given to the grand jury by the judge.
The tradition of secrecy continues as a vital
part of the grand jury system for many reasons.
It protects the grand jurors from pressure by
persons who may be subjects of investigations
by the grand jury or associates of such persons.
It prevents the escape of those against whom an
indictment is being considered. It encourages
witnesses before the grand jury to give full and
truthful information about the commission
of a crime. It also prevents tampering with or
intimidation of such witnesses before they testify
at trial. Finally, it prevents the disclosure of
investigations that result in no action by the grand
jury and avoids any stigma the public might attach
to one who is the subject of a mere investigation
by the grand jury.
Essentially, the grand jury may disclose
matters occurring before it only to the government
attorneys for use in the performance of their
duties, but even the government attorneys may not
be informed of what took place during the grand
jury’s deliberations and voting. The only other time
matters occurring before the grand jury may be
13
disclosed to anyone is when disclosure is ordered
by the court in the interests of justice. Disclosure
of such matters may never be made to a grand
juror’s friends or family, including a grand juror’s
spouse.
PROTECTION OF GRAND JURORS
The secrecy imposed on grand jurors is a
major source of protection for them. In addition,
no inquiry may be made to learn what grand
jurors said or how they voted, except by order of
the court.
The law gives the members of a grand jury
broad immunity for actions they take within the
scope of their authority as grand jurors.
Because of this immunity, all grand jurors
must perform their duties with the highest sense of
responsibility.
PRACTICAL SUGGESTIONS FOR GRAND
JURORS
Each grand juror should attend the grand
jury sessions regularly, in order to ensure that a
quorum of 16 members will be present to conduct
the grand jury’s business.
Each grand juror should be on time for each
meeting so that others are not kept waiting.
The time of meetings should be scheduled
so as to be convenient for the grand jury, the
government attorney, and the witnesses.
Witnesses should be treated courteously
when they appear before the grand jury. Questions
should be put to them in an orderly fashion. The
government attorney should complete his or her
questioning of each witness before the foreperson
asks questions. The remaining grand jurors will
14
then have a chance to ask relevant and proper
questions.
Each grand juror has an equal voice in
determining whether or not an indictment should
be returned. Therefore, it is important that all
grand jurors pay close attention to the testimony
and other evidence presented.
Each grand juror must be absolutely fair in his
or her judgment of the facts. Otherwise, the grand
juror will defeat the democratic purpose the grand
jury is designed to serve.
During deliberations on a case, each grand
juror should feel free to express his or her opinion
based upon the evidence.
Each juror has equal duties and
responsibilities, and each is entitled to be satisfied
with the evidence before being called upon to
vote. No juror has the right to dismiss a witness or
to shut off proper discussion if other jurors wish to
pursue the matter further.
No grand jury should undertake to investigate
matters outside its proper scope merely because
someone suggested an investigation, or because
the investigation would be interesting.
No grand juror should discuss the cases
under investigation with anyone, except fellow
grand jurors and the government attorney, and
then only in the grand jury room. Of course, the
grand jurors may always seek the advice of the
judge.
Finally, every citizen who is selected to serve
on a federal grand jury should bring to this task
the determination to participate in a responsible
manner and to make every effort to ensure that
the grand jury will be a credit not only to the
community it represents but to the United States.
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GLOSSARY OF TERMS
Charge to the Grand Jury:
Given by the judge presiding over the selection
and organization of the grand jury, the charge is
the court’s instructions to the grand jury as to its
duties, functions, and obligations, and how to best
perform them.
Deliberations:
The discussion by the grand jury members as
to whether or not to return an indictment on a
given charge against a person being investigated
by the government. During deliberations no one
except the grand jury members or an interpreter
for a hearing or speech impaired juror may be
present.
District:
The geographical area over which the federal
district court where the grand jury sits and the
grand jury itself have jurisdiction. The territorial
limitations of the district will be explained to the
grand jury by the district judge.
Evidence:
Testimony of witnesses, documents, and
exhibits as presented to the grand jury by a
government attorney or otherwise properly
brought before it. In some instances, the person
being investigated by the government may also
testify.
Federal:
The national government as distinguished from
the state governments.
Government Attorney:
Usually the United States Attorney or an
16
Assistant United States Attorney in the federal
district.
Grand Jurors’ Immunity:
Immunity is granted to all grand jurors for
their authorized actions while serving on a federal
grand jury and means that no grand juror may be
penalized for actions taken within the scope of
service as a grand juror.
Indictment:
The written formal charge of a crime by the
grand jury, returned when 12 or more grand jurors
vote in favor of it.
Information:
The written formal charge of crime by the
government attorney, filed against the person
being investigated who, if charged with a
serious crime, must have knowingly waived the
requirements that the evidence first be presented
to a grand jury.
“No Bill”:
Also referred to as “not a true bill,” the “no
bill” is the decision by the grand jury not to indict
a person being investigated by the government.
Petit Jury:
The trial jury, composed of 12 members, hears
a case after indictment and renders a verdict or
decision after hearing the prosecution’s entire case
and whatever evidence the defendant chooses to
offer.
Person Being Investigated by the Government:
The person suspected of having committed a
federal crime. Use of this term does not imply the
person being investigated is guilty of any crime.
After a person is indicted by the grand jury, that
17
person is referred to as the “defendant.”
Probable Cause:
The finding necessary in order to return an
indictment against the person being investigated
by the government of a federal crime. A finding
of probable cause is proper only when the
evidence presented to the grand jury, without any
explanation being offered by the person being
investigated, persuades 12 or more grand jurors
that a federal crime has probably been committed
by that person.
Quorum for Grand Jury to Conduct Business:
Sixteen of the 23 members of a federal grand
jury must at all times be present at a grand jury
session in order for the grand jury to be able to
conduct business.
United States Attorney:
The chief legal officer for the United States
government in each federal district.
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Administrative Office of the U.S. Courts
Thurgood Marshall Federal Judiciary Building
One Columbus Circle, N.E.
Washington, D.C. 20544
www.uscourts.gov
HB101 (Rev. 4/12)
