United States v. Bernhard Fein

504 F.2d 1170, 1974 U.S. App. LEXIS 6497
CourtCourt of Appeals for the Second Circuit
DecidedOctober 15, 1974
Docket1121, Docket 74-1446
StatusPublished
Cited by34 cases

This text of 504 F.2d 1170 (United States v. Bernhard Fein) is published on Counsel Stack Legal Research, covering Court of Appeals for the Second Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Bernhard Fein, 504 F.2d 1170, 1974 U.S. App. LEXIS 6497 (2d Cir. 1974).

Opinion

MULLIGAN, Circuit Judge:

On March 17, 1971, by order of District Judge George Rosling, a grand jury was convened in the United States Dis *1171 trict Court for the Eastern District of New York. Judge Rosling’s order directed that “pursuant to Rule 6(a) and (g), Federal Rules of Criminal Procedure, a Special Grand Jury be convened . to serve for a period not to exceed eighteen (18) months from the date it is convened . . . .” On or about August 30, 1972, in the 18th month of the grand jury’s life, the Assistant United States Attorney for the Eastern District who was supervising the grand jury’s investigation orally applied to Chief Judge Jacob Mishler for an extension of the term of the grand jury. On August 30, Judge Mishler signed an order submitted to him by the Assistant extending the term of the grand jury for an additional six months upon the authority of 18 U.S.C. § 3331.

On September 26, 1972, nine days after the expiration of the original 18-month life of the grand jury, the jury returned a two-count indictment against the appellee, Bernhard Fein, charging him with the corrupt receipt of a bribe in violation of 18 U.S.C. § 201(c)(1), and with making a false declaration before a federal grand jury in violation of 18 U.S.C. § 1623. The second count charged that Fein made a false declaration before the grand jury on September 19, two days after the life of the grand jury would have expired pursuant to Judge Rosling’s initial order. Other indictments involving other individuals were subsequently returned. Following a second oral application by the Government, Chief Judge Mishler, on February 2, 1973, ordered the term of the March 17, 1971 grand jury extended to September 17, 1973 for the purpose of completing the investigation. This order was also made by authority of 18 U.S.C. § 3331. The grand jury was finally dissolved on September 17, 1973.

On December 20, 1973, appellee Fein moved for an order pursuant to Fed.R. Crim.P. 12 dismissing the indictment on the ground that the indictment had been returned after the lawful life of the grand jury had expired and was therefore invalid. Fein contended that the grand jury was convened pursuant to Rule 6(g), which provides that a “grand jury shall serve until discharged by the court but no grand jury may serve more than 18 months.” Since the indictment against him had been returned after the 18-month period had expired, Fein argued that the grand jury did not have the authority to indict him. Fein further urged that the extensions made by Chief Judge Mishler under 18 U.S.C. § 3331 were ineffective since that section applies only to organized crime grand juries and not grand juries convened pursuant to Rule 6, which does not provide for any extensions. In a memorandum and order dated January 29, 1974, Judge John F. Dooling, Jr., dismissed the indictment upon the grounds urged by Fein. 370 F.Supp. 466 (E.D.N.Y.). A motion for reargument was denied on February 13, 1974. 1 The Government appealed pursuant to 18 U.S.C. § 3731.

We affirm.

*1172 1. THE GRAND JURY — CREATURE OF STATUTE OR OF THE COURT?

Since there is no statutory authority for the extension of a Rule 6 grand jury beyond the 18-month period provided therein, the Government has necessarily taken the position that the grand jury is essentially a “creature of the court,” that it is, in effect, an arm or adjunct of the district court and that the district court has implied power to extend its term even absent legislative provision. Judge Dooling decided that the grand jury is a “creature of statute” (370 F.Supp. at 467-469), relying on In re Mills, 135 U.S. 263, 10 S.Ct. 762, 34 L.Ed. 107 (1890). In Mills, Mr. Justice Harlan, writing for an unanimous Court, stated:

A grand jury, by which presentments or indictments may be made for offences against the United States is a creature of statute. It cannot be impanelled by a court of the United States by virtue simply of its organization as a judicial tribunal.

135 U.S. at 267, 10 S.Ct. at 763.

The Government, on the other hand, argues that the powers and provenance of a grand jury were correctly described by Chief Justice Marshall in United States v. Hill, 26 Fed.Cas. p. 315 (No. 15,364) (C.C.Ya.1809). Sitting as a Circuit Justice, Chief Justice Marshall stated:

It has been justly observed, that no act of congress directs grand juries, or defines their powers. By what authority, then, are they summoned, and whence do they derive their powers? The answer is, that the laws of the United States have erected courts which are invested with criminal jurisdiction. This jurisdiction they are bound to exercise, and it can only be exercised through the instrumentality of grand juries. They are, therefore, given by a necessary and indispensable implication. But, how far is this implication necessary and indispensable? The answer is obvious. Its necessity is co-extensive with that jurisdiction to which it is essential. Grand juries are accessaries to the criminal jurisdiction of a court, and they have power to act, and are bound to act, so far as they can aid that jurisdiction. Thus far, the power is implied, and is as legitimate as if expressly given.

26 Fed.Cas. at 317.

The language in Mills is not necessarily inconsistent with the principle espoused by Mr. Justice Marshall in Hill. The Hill opinion was written in 1809, long before Congress had enacted any legislation regulating the powers or the tenure of grand juries. Congress had simply given federal courts jurisdiction over crimes committed against the United States, and the fifth amendment precluded any proceeding against an individual for any capital or infamous crime except upon the presentment or indictment of a grand jury. It was in this context that Mr. Justice Marshall, in the absence of any regulatory statute, found that grand juries were, by implication, necessary auxiliaries and accessories in aid of the jurisdiction of the federal courts. But where Congress has since enacted statutes and courts have adopted rules regulating the power of federal courts over grand juries, the exercise of judicial discretion arising by necessary implication is effectively precluded.

Free access — add to your briefcase to read the full text and ask questions with AI

Related

State v. Bent
2011 NMCA 093 (New Mexico Court of Appeals, 2011)
United States v. Enigwe
17 F. Supp. 2d 390 (E.D. Pennsylvania, 1998)
Simpson v. Reno
902 F. Supp. 254 (District of Columbia, 1995)
United States v. Marcus Lacey
53 F.3d 332 (Sixth Circuit, 1995)
United States v. Lamantia
856 F. Supp. 424 (N.D. Illinois, 1994)
In Re Grand Juries
764 F. Supp. 692 (D. Massachusetts, 1991)
United States v. Taylor
841 F.2d 1300 (Seventh Circuit, 1988)
United States v. Gillespie
666 F. Supp. 1137 (N.D. Illinois, 1987)
United States v. Smith
669 F. Supp. 177 (N.D. Illinois, 1987)
United States v. Lytle
658 F. Supp. 1321 (N.D. Illinois, 1987)
United States v. Joseph R. Pisani
773 F.2d 397 (Second Circuit, 1985)
State v. Roark
705 P.2d 1274 (Court of Appeals of Alaska, 1985)
United States v. Marrapese
610 F. Supp. 991 (D. Rhode Island, 1985)
United States v. Thomas J. Koliboski
732 F.2d 1328 (Seventh Circuit, 1984)
United States v. Pisani
590 F. Supp. 1326 (S.D. New York, 1984)
United States v. Hon. Judge Almeric L. Christian
660 F.2d 892 (Third Circuit, 1981)

Cite This Page — Counsel Stack

Bluebook (online)
504 F.2d 1170, 1974 U.S. App. LEXIS 6497, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-bernhard-fein-ca2-1974.