A federal grand jury subpoena commands attendance to testify, the production of documents, or both, and receiving one does not tell you whether the company is a witness, a subject or a target. Fed. R. Crim. P. 17 sets out what the subpoena must contain. Rule 6(e) governs grand jury secrecy, and it binds the government rather than the recipient, which is why companies usually learn less than they expect.
Waxman Litigation acts for companies and their boards. Seth B. Waxman spent 13 years as an Assistant United States Attorney in the District of Columbia, roughly eight of them on fraud and public corruption.
What the rule requires
A subpoena must state the court’s name and the title of the proceeding, include the seal of the court, and command the witness to attend and testify at the time and place the subpoena specifies. The clerk must issue a blank subpoena—signed and sealed—to the party requesting it, and that party must fill in the blanks before the subpoena is served. (b) Defendant Unable to Pay. Upon a defendant’s ex parte application, the court must order that a subpoena be issued for a named witness if the defendant shows an inability to pay the witness’s fees and the necessity of the witness’s presence for an adequate defense. If the court orders a subpoena to be issued, the process costs and witness fees will be paid in the same manner as those paid for witnesses the government subpoenas. (c) Producing Documents and Objects. (1) In General. A subpoena may order the witness to produce any books, papers, d
Fed. R. Crim. P. 17What secrecy actually covers
Recording and Disclosing the Proceedings. (1) Recording the Proceedings. Except while the grand jury is deliberating or voting, all proceedings must be recorded by a court reporter or by a suitable recording device. But the validity of a prosecution is not affected by the unintentional failure to make a recording. Unless the court orders otherwise, an attorney for the government will retain control of the recording, the reporter’s notes, and any transcript prepared from those notes. (2) Secrecy. (A) No obligation of secrecy may be imposed on any person except in accordance with Rule 6(e)(2)(B) . (B) Unless these rules provide otherwise, the following persons must not disclose a matter occurring before the grand jury: (i) a grand juror; (ii) an interpreter; (iii) a court reporter; (iv) an operator of a recording device; (v) a person who transcribes recorded testimony; (vi) an attorney for
Fed. R. Crim. P. 6(e)The asymmetry matters: the recipient of a subpoena is not gagged by Rule 6(e), but neither is the government obliged to explain the investigation.
Responding
Preservation first, scope second, production third. 18 U.S.C. § 1519 makes destruction of records to impede a federal matter a separate offense carrying up to 20 years, and it applies in contemplation of a matter. Scope is frequently negotiable; that conversation is had by counsel, not by the records department.
What is the exposure created by the response to a grand jury subpoena?
Companies get into far more trouble for what they do after a grand jury subpoena arrives than for whatever prompted it. The obligation to stop routine deletion attaches immediately, and each provision below is charged independently of the underlying matter.
| Provision | Official heading | Maximum term |
|---|---|---|
| 18 U.S.C. § 1519 | Destruction, alteration, or falsification of records in Federal investigations | 20 years |
| 18 U.S.C. § 1512 | Tampering with a witness, victim, or an informant | Up to 20 years, depending on the conduct charged |
| 18 U.S.C. § 1001 | Statements or entries generally | 5 years (8 if terrorism-related) |
Frequently asked questions
Does a subpoena mean we are a target?
No. Witnesses, subjects and targets all receive subpoenas.
Can we tell people we received it?
Secrecy binds the government, not the recipient of the subpoena. But what is said internally has its own consequences, so take advice first. See Rule 6(e).
Can the scope be narrowed?
The scope can frequently be narrowed. That is a conversation for counsel to have with the prosecutor.
What must happen immediately?
Routine deletion has to be suspended straight away. The obstruction provision carries up to 20 years and reaches conduct in contemplation of a federal matter. See § 1519.
Who can be compelled by a grand jury subpoena?
Any witness the subpoena names. Under Fed. R. Crim. P. 17 the clerk issues a blank subpoena, signed and sealed, to the party requesting it; that party fills in the blanks before service, and the subpoena commands the witness to attend and testify at the time and place it specifies.
Why is the response often riskier than the conduct being investigated?
Because the response creates offenses that stand on their own. 18 U.S.C. § 1519 carries up to 20 years for altering or concealing a record to impede a federal investigation, and 18 U.S.C. § 1001 carries up to five years for a materially false statement. Neither depends on the original conduct being unlawful.
When must a company act after a subpoena arrives?
Preservation has to happen immediately, on the day the subpoena is received. Routine deletion must be suspended because the obstruction provision reaches conduct in contemplation of a federal matter. The return date printed on the subpoena is a separate deadline, and it is frequently negotiable. See 18 U.S.C. § 1519.
Where is a federal grand jury in Washington, D.C. convened?
It sits before the United States District Court for the District of Columbia, a single judicial district with court held at Washington. The grand jury operates under that court’s supervision, and any motion to quash or modify a subpoena is made there. See 28 U.S.C. § 88 and Fed. R. Crim. P. 17(c)(2).
How does a company respond to a grand jury subpoena in practice?
By suspending routine deletion, naming a single point of contact, mapping the custodians and systems the demand actually reaches, and having counsel engage the prosecutor on scope and timing before anything is produced.
What if compliance would be disproportionately expensive?
The court can cut a subpoena down if complying with it would be unreasonable or oppressive, on a motion made promptly. In practice the scope and the production format are more often settled with the prosecutor than decided on a motion. See Fed. R. Crim. P. 17(c)(2).
Sources and legal authorities
General information about federal law, not legal advice, and not a prediction of any outcome. Federal criminal exposure turns on facts this page cannot assess. If your company has been contacted by investigators or has received a subpoena, take advice before gathering documents or interviewing staff.
Related: Government Subpoenas & Investigative Demands · Search Warrants · White-Collar Defense · Internal Investigations. Call (301) 901-3109 or use the contact page.