157 Rule 6(e)(3)(E)(iv) of the Federal Rules of Criminal Procedure
Permitting Certain Disclosure of Grand Jury Material to State and Local Law
Enforcement Officials
As set forth in
USAM 9-11.260, prior to submitting any request to a court to
disclose grand jury material to a state or local law enforcement official
pursuant to F.R.Cr.P. 6(e)(3)(E)(iv), a United States
Attorney must request permission from the Assistant Attorney General of the
Division with supervisory jurisdiction over the matter that was presented to
the grand jury. For any matter falling under the supervisory jurisdiction of
the Criminal Division, a written request should be sent by e-mail or fax to
the Policy and Statutory Enforcement Unit, Office of Enforcement Operations.
Requests regarding matters under the jurisdiction of other Divisions should be
sent to the appropriate contact persons in those Divisions.
While it is the policy of the Department to share grand jury information
with state or local officials for the purpose of enforcing state law whenever
it is appropriate to do so, the requester should keep in mind that this policy
is subject to the Advisory Committee notes to the amended Rule 6(e) that
"Federal grand juries [should not] act as an arm of the State," and that a
substantial need should exist to support the disclosure. The need to
investigate or to prosecute ongoing or completed state or local felony
offenses will generally be deemed substantial.
Government attorneys requesting authorization to seek an order allowing
the disclosure of grand jury materials to a state or local law enforcement
official must provide the following information:
Title of grand jury investigation and involved target(s);
Origin, purpose, and general nature of grand jury
investigation;
Status of grand jury investigation and any resulting
prosecution;
State(s) for which authorization to disclose grand jury
information is sought and officials to whom information would be
disclosed;
A listing of the specific information or materials sought to be
disclosed;
General nature of potential state offenses and existence, if any, of
ongoing state investigations or other efforts regarding the grand jury
matters sought to be disclosed;
Extent, if any, of state knowledge or awareness of federal grand jury
investigation, and extent of prior state involvement, if any, in
federal grand jury proceedings under Rule 6(e)(3)(A)(ii);
Impact of disclosure to state on ongoing federal grand jury
investigative efforts or prosecutions, including an analysis of any
Petite Policy implications which may result, see 9- 2.031 (Dual
and Successive Prosecution Policy ["Petite Policy"]);
Whether the state has a substantial need for the grand jury information
or materials sought to be disclosed;
Whether reasonable alternative means exist through which the state might
obtain the information contained in the grand jury materials sought to
be disclosed;
Whether disclosure would violate a federal statute (e.g.,
26 U.S.C. § 6103) or regulation, or a specific Departmental
policy; and
Whether disclosure would reveal classified information to persons
without an appropriate security clearance, or compromise the
Government's ability to protect an informant, or improperly reveal
trade secrets.
To ensure that grand jury secrecy requirements are not violated in the
submission of disclosure requests, the following legend should appear at the
top and bottom of each page of the request:
GRAND JURY INFORMATION: Disclosure restricted by Rule 6(e),
Federal Rules of Criminal Procedure
In addition, the entire packet should be covered with a plain white sheet
with the word "SENSITIVE" stamped or typed at the top left and bottom right
corners.
If the request is authorized, the Government attorney seeking judicial
authorization to disclose the grand jury material should include in the
proposed order a provision that further disclosures by the involved state
officials shall be limited to those persons who require disclosure of the
material to assist in their enforcement of state criminal laws.
A copy of any court order denying a request for permission to disclose
should be sent to the Assistant Attorney General who authorized the filing of
the request. Any questions regarding Rule 6(e)(3)(E)(iv) should be directed
to the Policy and Statutory Enforcement Unit of the Office of Enforcement
Operations.