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Case Summary: UNITED STATES v. POWELL et al.

Factual and Procedural Background

Defendants were indicted under Section 51, Title 18, U.S.C.A., for violations of election laws arising from the 1946 Primary in Scott County, Missouri. They moved to dismiss the indictment on the ground that an unauthorized person was present in the grand jury room. The person in question was Lafayette E. Broome, a Special Assistant to the Attorney General, who participated in examination of witnesses. Broome had been appointed by the Attorney General by letter dated January 6, 1948, under the authority of 5 U.S.C.A. § 310; that letter and his oath were filed with the Clerk. The appointment letter referred to alleged irregularities in the General Election of November 5, 1946, and indicated authority to conduct proceedings "in connection with alleged irregularities in the General Election" in certain Missouri congressional districts. Defendants contended the appointment letter's failure to mention the Primary Election of 1946 and the specific statutory basis for the indictment rendered the indictment invalid.

Legal Issues Presented

  1. Whether Lafayette E. Broome, a Special Assistant to the Attorney General, exceeded the authority conferred by his commission pursuant to 5 U.S.C.A. § 310 by participating in grand jury examination concerning alleged frauds in the 1946 Primary rather than solely those in the General Election specified in his commission.
  2. Whether the omission in the appointment letter of reference to the Primary Election (as opposed to the General Election) and the fact that the indictment charged violations under statutes not explicitly named in the commission invalidates the indictment returned by the grand jury.

Arguments of the Parties

Defendants' Arguments

  • Broome's commission referred to the General Election and to statutes related to General Election irregularities; it did not mention the 1946 Primary or the specific law under which defendants were indicted, so Broome lacked authority to participate in grand jury proceedings about the Primary.
  • Because Broome exceeded his authority (or was unauthorized for the Primary-related investigation), his presence rendered the grand jury proceedings and the resulting indictment invalid.
  • Reliance on precedents (e.g., United States v. Cohen; United States v. Huston; others) that, in defendants' view, support dismissal when a person without proper authorization participates in grand jury proceedings or when commissions are not sufficiently specific.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
United States v. Cohen, D.C., 273 F. 620 An information was held bad because a Special Assistant authorized to appear before a grand jury was without authority to file a criminal information. The Court noted the case but stated it did not help much for the narrower question presented here.
United States v. Huston, D.C., 28 F.2d 451 Commission language limiting jurisdiction to certain districts may prevent authority to appear before a grand jury in other districts. The Court acknowledged Huston as perhaps defendants' best authority but declined to adopt its stricter rule requiring designation of a particular alleged offender and district with that level of specificity.
United States v. Philadelphia R.R. Co., D.C., 221 F. 683 Held that a stenographer (in a pre-existing statutory context) did not come within the description of a Special Assistant to the Attorney General. Cited as an example of pre-statutory cases addressing unauthorized persons; the Court found such precedents of limited help under the present statute.
Latham v. United States, 5 Cir., 226 F. 420, L.R.A. 1916 D, 1118 Involved questions about unauthorized persons (a clerk) participating in proceedings. Referenced among earlier cases dealing with unauthorized personnel; the Court viewed these as less significant after the enactment authorizing Special Assistants.
United States v. Heinze, C.C.N.Y., 177 F. 770 Involved an unauthorized person (an accountant) participating in proceedings. Listed with other earlier authority on unauthorized persons; Court treated these as decided prior to the statute authorizing Special Assistants and therefore of limited weight here.
United States v. Huston, supra [28 F.2d 456] Articulated a rule that a commission should "designate at least one supposed offender" and specify the district for grand jury participation. The Court declined to follow such strict conformity, stating higher courts have not approved that requirement.
United States v. Martins, D.C., 288 F. 991 Addressed the scope of designation required when appointing Special Assistants, suggesting narrow, case-by-case designation is unnecessary. The Court cited Martins as supporting a practical and helpful construction of the statute rather than an unnecessarily narrow one.
United States v. Amazon Industrial Chemical Corp., D.C., 55 F.2d 254 Commented that insisting upon a full and specific designation of the offense and statute in the commission is unnecessary; an appointment may be merely a variance of practice of which defendant cannot complain. The Court relied on this authority to support the proposition that naming the precise statute in the commission is not required and such variance does not invalidate proceedings.
United States v. Amazon Industrial Chemical Corp., supra [55 F.2d 256] Reiterated position that commission need not name the statute to be investigated. Used to support the Court's view that the commission's naming of a different statute than that in the indictment is not fatal.
United States v. Martins, 1923, supra [288 F. 992] Holds that requiring designation of the assistant by the Attorney General "to act in each particular case" is unnecessarily narrow and technical; statute should be given a practical meaning. The Court quoted this language to justify a reasonable, practical reading of §310 and to support denial of dismissal for technical variance in the commission.
Shushan v. United States, 5 Cir., 117 F.2d 110, 133 A.L.R. 1040 Interpreted commissions under §310 as directing special assistants to conduct proceedings "including grand jury proceedings"; emphasized the words of §310 protect the United States and allow broad authority. The Court considered Shushan the most authoritative case and relied on it to hold that commissions under §310 grant practical authority to conduct grand jury proceedings without hyper-technical restrictions.
313 U.S. 574 Supreme Court consideration of Shushan. Cited to show Shushan was reviewed by the Supreme Court; used to support the proposition that §310's language is mainly for the protection of the United States.
314 U.S. 706 Further Supreme Court consideration of Shushan on rehearing. Cited along with 313 U.S. 574 indicating Supreme Court treatment of the Shushan matter; Court used Shushan as principal authority.
Williams v. United States, 168 U.S. 382, 18 S.Ct. 92, 42 L.Ed. 509 Holds that naming the wrong statute in an indictment does not render the charge defective. The Court relied on Williams to support the conclusion that an indictment returned under a statute different from that named in the commission is not grounds for dismissal.

Court's Reasoning and Analysis

The Court began by identifying the narrow issue: whether Broome exceeded his authority under his appointment and thereby rendered the grand jury proceedings invalid. It noted Broome had been appointed under 5 U.S.C.A. § 310 and that his appointment letter, filed with the Clerk, authorized him to conduct proceedings in connection with alleged irregularities in the General Election of November 5, 1946, including grand jury proceedings.

The Court reviewed precedents cited by the parties, distinguishing older cases decided prior to the statute authorizing Special Assistants and observing that the weight of later authorities favors a reasonable, practical interpretation of §310 rather than a narrow, technical one. The Court emphasized Shushan v. United States as the most authoritative case, which supports the proposition that the words in §310 are mainly for the protection of the United States and that commissions need not be hyper-specific as to the statutes to be investigated.

The Court also noted the new Rule 6(d) of the Rules of Criminal Procedure governing who may be present before the grand jury, and it recognized the general principle that presence of unauthorized persons in the grand jury room gives rise to a presumption of prejudice. However, the Court observed that Broome was lawfully in the grand jury room under his appointment and that defendants produced no claim of specific harm resulting from his presence beyond reliance on the presumption.

Applying these principles, the Court concluded that investigating frauds in the Primary that selected candidates for the General Election named in Broome's commission was not so remote as to be an abuse or complete deviation from the authority conferred. The Court also concluded that returning an indictment under a statute other than the one named in the commission was not grounds for dismissal, relying on authority that naming the wrong statute does not render an indictment defective.

Holding and Implications

Holding: Motion to dismiss the indictment is overruled.

Implications: The direct effect is that the indictment stands and the grand jury proceedings are upheld despite the commission referring to the General Election rather than explicitly naming the Primary or the specific statutory citation under which the indictment was returned. The Court based this on a reasonable interpretation of 5 U.S.C.A. § 310 and on precedent indicating commissions need not specify the exact statute or be narrowly confined to each particular alleged offense. The opinion does not announce that it is setting a new, broad precedent beyond its application to the facts here; it rests on application of existing authorities and the practical construction of the statute.

UNITED STATES v. POWELL et al.

HULEN, District Judge.

Defendants stand indicted under Section 51, Title 18, United States Code Annotated, for violation of election laws in connection with the Primary held in Scott County, Missouri, in 1946. Motion to dismiss, on the ground of "presence of unauthorized person" in the grand jury room, is now before the Court.

1948 Criminal Code, 18 U.S.C.A. § 241.

On hearing on the motion defendants offered evidence that Lafayette E. Broome, a Special Assistant to the Attorney General, participated in examination of witnesses in connection with the charge contained in the indictment. The issue narrows to a question whether Lafayette E. Broome exceeded his authority. In accordance with Title 5, U.S.C.A. § 310, the Attorney General of the United States appointed Lafayette E. Broome Special Assistant to appear before the grand jury in the Eastern District of Missouri by letter dated January 6, 1948. This letter was filed with the Clerk of this Court together with his oath of office. Pertinent parts of the Attorney General's letter, including the portion upon which the motion to dismiss is based, appear in footnote. Defendants urge failure of the letter to mention the Primary Election of 1946 and the law under which defendants were indicted renders the indictment invalid.

"As an attorney and counselor at law, you are hereby specially retained and appointed as a Special Assistant to the Attorney General of the United States, under the authority of the Department of Justice, to assist in the trial of the case or cases growing out of the transactions hereinafter mentioned in which the Government is interested; and in that connection you are specifically directed to file criminal informations and to conduct in the Eastern District of Missouri, and in any other judicial district or districts where the jurisdiction thereof lies, any kind of legal proceeding, civil or criminal, including grand jury proceedings and proceedings before committing magistrates, which District Attorneys are authorized by law to conduct, in connection with alleged irregularities in the General Election in the First, Tenth, Eleventh, Twelfth, and Thirteenth Congressional Districts of Missouri on November 5, 1946.
"The Department is informed that various persons to the Department unknown may have violated in the Eastern District of Missouri, and in other judicial districts of the United States, Section 250 of Title 2 of the United States Code Annotated [1948 Criminal Code, 18 U.S.C.A. § 597] by unlawfully making or offering to make or causing expenditures to be made or offered to influence voting and unlawfully soliciting, accepting and receiving expenditures in consideration of a vote or the withholding of a vote; and Sections 51 and 52 of Title 18 of the United States Code Annotated [1948 Criminal Code, 18 U.S.C.A. §§ 241, 242] by conspiring to injure persons in the exercise of civil rights and depriving citizens of civil rights under color of state laws, and have violated other criminal laws of the United States and have conspired to commit such offenses in violation of Section 88 of Title 18 of the United States Code Annotated [1948 Criminal Code, 18 U.S.C.A. § 371]."

To support their position defendants cite the case of United States v. Cohen, D.C., 273 F. 620, where an information was held bad because a Special Assistant to the Attorney General was authorized to appear before a grand jury but was without authority to file a criminal information; the case of United States v. Huston, D.C., 28 F.2d 451, where a Special Assistant to the Attorney General was authorized to conduct investigations before a grand jury "in the Western District of Missouri" or any other judicial district wherein the jurisdiction lies, and a second commission included "the districts of Minnesota," it was held that the commission did not authorize the Special Assistant to the Attorney General to appear before a grand jury in Ohio; the case of United States v. Philadelphia R.R. Co., D.C., 221 F. 683, which held that a stenographer (decided prior to present law) did not come within the description of a Special Assistant to the Attorney General; and the cases of Latham v. United States, 5 Cir., 226 F. 420, L.R.A. 1916 D, 1118, and United States v. Heinze, C.C.N.Y., 177 F. 770, involving like questions, the unauthorized person in the latter case being an accountant and in the Latham case a clerk. As we view the question these cases do not help much. The point here is confined to a more narrow inquiry.

The case of United States v. Huston, supra [28 F.2d 456], a district court opinion, is perhaps the defendants' best authority. The Court undertook to lay down a rule to be followed by the Attorney General in commissioning Special Assistants, namely, that the commission should "designate at least one supposed offender, with unnamed associates, if any, and a reference to the criminal statutes supposed to have been violated," and the commission should be directed to the district wherein the Assistant was to take part in the grand jury proceedings. We do not think such strict conformity to the statute has the approval of the higher courts. We pass authorities cited by defendants which were decided prior to the statute which authorized the appointment of Special Assistants to the Attorney General and their presence in grand jury rooms. The cases of United States v. Martins, D.C., 288 F. 991, and United States v. Amazon Industrial Chemical Corp., D.C., 55 F.2d 254, cited by defendants, we will presently refer to.

On the record before us Mr. Broome was authorized to appear before the grand jury which returned the indictment against the defendants. His commission referred to a General Election, not to a Primary Election, and to a law covering General Elections. Indictments by the grand jury growing out of the Primary Election of 1946 and for violation of the law referred to in the commission were returned by the grand jury. Is the indictment in this case bad because Mr. Broome remained or was in the grand jury room when witnesses were being examined regarding an offense other than that specifically set out in his commission? Was the Primary preceding and to choose candidates for the General Election, and the election fraud charged in the indictment of altering ballots, so foreign to the authority contained in the commission as to render Mr. Broome's presence in the grand jury room without authority and void its proceedings?

At the outset we observe that the statute, 5 U.S.C.A. § 310, is no part of the Criminal Code but appears in the Code under "Executive Departments," even after the Criminal Code was revised effective September 1, 1948. Its title at time of enactment reads:

"CHAP. 3935. — An Act To authorize the commencement and conduct of legal proceedings under the direction of the Attorney-General." 34 Stat. 816.

In the case of United States v. Amazon Industrial Chemical Corp., supra [55 F.2d 256], in commenting on the holding of some courts that "have been inclined to insist upon a rather full and specific designation of the offense, and of the statute alleged to have been violated" in the commission, the Court made this comment:

"* * at most, the appointment now in controversy is merely a variance from an established practice of which a defendant himself has no right to complain."

The new Rules of Criminal Procedure, Rule 6, sub-paragraph (d), 18 U.S.C.A., provides:

"Who May be Present [before the grand jury]. Attorneys for the government, the witness under examination, interpreters when needed and, for the purpose of taking the evidence, a stenographer may be present while the grand jury is in session, but no person other than the jurors may be present while the grand jury is deliberating or voting."

We believe the most authoritative case is Shushan v. United States, 5 Cir., 117 F.2d 110, 133 A.L.R. 1040. This case went to the Supreme Court on application for certiorari and again for rehearing. 313 U.S. 574, 61 S.Ct. 1085, 85 L.Ed. 1531 and 314 U.S. 706, 62 S.Ct. 53, 86 L.Ed. 564. In the Shushan case the Court said [117 F.2d 113]:

"Each commission appoints the person named a special assistant to the Attorney General and specifically directs him to conduct in the Eastern District of Louisiana proceedings in which the United States are interested, `including grand jury proceedings.' In some of them there is express mention of violations in the said district of 18 U.S.C.A. § 338 [1948 Criminal Code, 18 U.S.C.A. § 1341] * * *".

This case is authority for the proposition that the words in Section 310, "When thereunto specifically directed by the Attorney General (to) conduct any kind of legal proceeding," are mainly for the protection of the United States. The case of United States v. Amazon Industrial Chemical Corp., supra, cited by defendants, holds it is not necessary that the commission name the statute, violations of which are to be the subject of investigation. It would be an anomalous ruling to hold Section 310 renders an indictment bad because returned by a grand jury in which the Special Assistant to the Attorney General's commission specified a statute other than one under which the indictment was returned, when it has been held the naming of the wrong statute in an indictment does not render the charge defective. Williams v. United States, 168 U.S. 382, 18 S.Ct. 92, 42 L.Ed. 509. The case of United States v. Martins, 1923, supra [288 F. 992], cited by defendants, seems to be in line with later authorities. It holds that to require the assistant be designated by the Attorney General to act in each particular case is "unnecessarily narrow and technical." The Court said:

"* * * the statute should be given the meaning which is the more helpful and practical in the dispatch of the government's business, especially as this meaning has been placed upon it by the Department concerned."

We recognize the law that the presence of unauthorized persons in the grand jury room results in a presumption of prejudice to the defendant, but the case now before the Court is admittedly one where the party in question was lawfully in the grand jury room. The sole question is whether or not he exceeded his authority and became an unauthorized person by remaining in the grand jury room or going in and taking part in an investigation of a Primary Election instead of restricting his activities solely to the General Election following the Primary Election. There is no claim by defendants that either of them suffered harm by the presence of the Special Assistant to the Attorney General — other than reliance on the presumption.

It is our opinion the weight of authority calls for a reasonable interpretation of Section 310, that the Special Assistant to the Attorney General did not exceed his authority in taking part in investigating frauds connected with the Primary Election which selected candidates for the General Election named in his commission, that his authority extended to investigation of election frauds in connection with the 1946 General Election and that fraud in a Primary to select candidates for such General Election is not so far removed as to be an abuse of authority or complete deviation from authority, nor is the fact the indictment was returned under a statute other than the statute named in the commission grounds for dismissing the indictment.

Motion of defendants to dismiss the indictment is overruled.

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UNITED STATES v. POWELL, (E.D.Mo. 1948)
(Nov 10, 1948)