In re Under Investigation Grand Jury No. 1
In re Under Investigation Grand Jury No. 1
Opinion of the Court
The state, through the office of the Attorney General, seeks review in this Court of an order directing it to pay the entire cost of transcribing testimony of witnesses before a grand jury convened in the 14th Judicial District, Parish of Calcasieu, in 2003, to investigate the quality of care rendered to four residents of the Greenhill Nursing Homes in DeQuincy, Louisiana, a state-licensed health care facility.
The trial court ordered the testimony transcribed in response to a motion filed by defense counsel representing several present and former employees of the facility, both witnesses and targets of the investigation, to enjoin proceedings before the grand jury and to empanel a new grand
By the time the court reviewed the transcripts and ruled on the motions, the grand jury term had expired without indictments returned against anyone concerned in the investigation.
For the following reasons, we agree with the state that the trial court erred in denying its motion to dismiss summarily defense counsel’s motion to enjoin the grand jury proceedings; therefore, the state should not have been cast with any costs for transcribing grand jury proceedings.
In Louisiana as elsewhere, grand juries traditionally have operated as an investigative body independent of both the prosecutor’s office and the courts. United States v. Williams, 504 U.S. 36, 47, 112 S.Ct. 1735, 1742, 118 L.Ed.2d 352 (1992)(“In fact, the whole theory of its function is that it belongs to no branch of the institutional Government, serving as a kind of buffer or referee between the Government and the people.”) (citations omitted). Thus, “[ajlthough the grand jury normally operates, of course, in the courthouse and under judicial auspices, its institutional relationship with the Judicial Branch has traditionally been, so to speak, at arm’s length. Judges’ direct involvement in the functioning of the grand jury has generally been confined to the constitutive one of calling the grand jurors together and administrating their oaths of office.” Id. A grand jury’s day-to-day functioning therefore “generally operates without the interference of a presiding judge.” Id.
The statutes pertaining to the grand jury, La.C.Cr.P. art. 431-438 and La.C.Cr.P. art. 533, do not address challenges made to grand jury proceedings based on prosecutorial misconduct which may compromise the role of the grand jury as an independent and autonomous investigative body.
In Board of Com’rs of Orleans Levee Dist. v. Connick, 94-3161 (La.3/9/95), 654 So.2d 1073, we addressed under what limited circumstances a state criminal | ¡^prosecution may be enjoined before the institution of criminal proceedings by bill of information or indictment. In that case, the Board of Commissioners for Orleans Levee District filed an action seeking declaratory and injunctive relief to prevent
Our jurisprudence admits of only a limited number of instances in which a state criminal prosecution may be enjoined prior to the institution of criminal proceedings in a court exercising criminal jurisdiction, i.e. prior to the filing of a misdemeanor affidavit or bill of information by the district attorney or the issuance of an indictment by a legally constituted grand jury. See La. Const. Art. I, § 15; LSA-C.Cr.P. Art. 382. These limitations upon the power of a court exercising civil jurisdiction arise from a respect for the constitutional prerogative of the district attorney, as well as an appreciation of the different purposes served by a trial court’s exercise of civil, as opposed to criminal, jurisdiction.
Article V, § 26 of the Louisiana Constitution of 1974 provides the district attorney with broad and sweeping powers as part and parcel of his role as the state’s prosecuting attorney. “A district attorney is a constitutional officer who serves in the judicial branch and exercises a portion of the sovereign power of the state within the district of his office.” Diaz, supra, 433 So.2d at 701. “The district attorney has entire charge and control of every criminal prosecution instituted or pending in his district and determines whom, when and how he shall prosecute.” State v. Perez, 464 So.2d 737, 744 (La. 1985). Furthermore, “there is no provision of law that defines or limits the type of cases a district attorney may prosecute.” Id. See also State v. Sykes, 364 So.2d 1293, 1297 (La. 1978). Finally, the jurisdiction of the district attorney to prosecute those who violate state criminal statutes is exclusive; it can only be constrained or curtailed when it operates to the prejudice of a contrary constitutional mandate, and even then only with due deference to the district attorney’s constitutional prerogative. City of Baton Rouge v. Short, 345 So.2d 37, 40 (La. 1977).
We have in the past recognized only two particular scenarios in which the egregiousness of the threat to constitutionally protected interests warrants the staying of a district attorney’s investigation prior to the initiation of prosecution in a court of criminal jurisdiction. The first of these is ^presented by a case where the district attorney is attempting to prosecute a prospective defendant under a statute which is “manifestly unconstitutional.” Knights of Columbus v. Louisiana DPS, 548 So.2d 936, 938 (La. 1989) (citing cases). A statute (or ordinance) is “manifestly unconstitutional” when it is invalid on its face, e.g. when the statute is unconstitutionally vague or over-broad. The drastic remedy of injunctive relief to restrain enforcement of such a statute is necessary because such a statute by its very existence threatens to “chill” the citizenry’s exercise of constitutionally protected speech and assembly. See Plaquemines Parish Comm’n Council v. Perez, 379 So.2d 1373, 1384-1385 (La. 1980), citing Dombrowski v. Pfister, 380 U.S. 479, 85 S.Ct. 1116, 14 L.Ed.2d 22 (1965). Outside of the narrow context of “manifestly unconstitutional” statutes, however, “[tjhe proper forum for testing the constitutionality of the statute is by a motion to quash in a*37 criminal prosecution if and when that occasion arises.” LaBauve v. Louisiana Wildlife and Fisheries Comm’n, 289 So.2d 150, 153 (La. 1974).
The second situation in which we have approved a civil court’s enjoining a district attorney’s investigation arises when the district attorney abuses the powers of his office by subjecting an individual to a harassing investigation without any good faith belief that the individual has committed any crime. Compare In re Grand Jury Subpoenas Issued to Certain Members of Orleans Levee District, 95-KK-0042, 648 So.2d 864 (La. 1996) (per curiam). The issuance of an injunction is warranted in such cases because “there [is] a federal right to be free of a bad faith prosecution.” Perez, supra, 379 So.2d at 1385 (footnote omitted), discussing Shaw v. Garrison, 467 F.2d 113 (5th Cir. 1972), cert. denied, 409 U.S. 1024, 93 S.Ct. 467, 34 L.Ed.2d 317 (1972). A plaintiff who seeks to enjoin such “bad faith” investigations must show, at a minimum, that he is threatened with an investigation which is “unnecessarily abusive, harassing or illegal, and without any possibility of ultimate indictment supported by probable cause for prosecution.” Perez, supra, 379 So.2d at 1385.
In the absence of one of these threshold showings, however, a court exercising civil jurisdiction cannot restrain the district attorney from the exercise of his constitutional powers.
Board of Com’rs of Orleans Levee Dist., 654 So.2d at 1077-79; (footnotes omitted).
In the present case, the trial court found the allegations made in the motion by defense counsel would not have justified enjoining the grand jury investigation. Thus, these allegations were not so egregious as to pose a threat to constitutionally protected interests.
|7The comments made by the prosecutor in the presence of the grand jurors, while found improper by the district court, were not so prejudicial in terms of the grand jury’s traditional function that they created a grave risk of an indictment returned on the basis of any bias fostered against counsel. Given the nature of defense counsel’s complaint, the trial court erred in not sustaining the state’s objection to defense counsel’s motion to enjoin the pre-indictment grand jury investigative proceeding. By entertaining defense counsel’s motion, the trial court pierced the veil of grand jury secrecy by having the testimony transcribed as a prelude to intervening in the operations of that body for purposes of admonishing jurors as to what they should or should not consider in the prosecutor’s presentation to them, and did not adequately take into account that “the grand jury is an institution separate from the courts, over whose functioning the courts do not preside.... ” Williams, 504 U.S. at 47, 112 S.Ct. at 1742.
For the foregoing reasons, the judgment of the lower courts are reversed and set aside. This matter is remanded to the district court for further proceedings, if any are pending, consistent with the views expressed herein.
REVERSED AND REMANDED.
. It is evident the complained of errors by the state in these pre-indictment grand jury proceedings are moot because that grand jury term has expired. We note the proper (or preferable) procedure to address those issues would have been by supervisory writs at the time the state’s objections to the defense motions were overruled. Because these serious issues were not brought timely before being rendered moot, we will not address the merits of these issues as this would constitute an impermissible advisory opinion. However, the issue of the propriety of the defense motions at the pre-indictment stage of the grand jury investigative proceedings will be considered in determining the appropriateness in casting the state with costs for transcribing the grand jury witnesses's testimony.
. We reversed the trial court on an issue not relevant to the issue presently before us.
Reference
- Full Case Name
- In re MATTER UNDER INVESTIGATION GRAND JURY NO. 1
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- 2 cases
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- Published