Lead Opinion
OPINION OF THE COURT
I.
On August 14,1981, pursuant to a writ of habeas corpus ad testificandum, appellee/cross-appellant Cecil Mills appeared before a federal grand jury for the District of Delaware. The grand jury was investigating the December 17, 1980 armed robbery of a Wilmington, Delaware, bank by at least two men,
On September 11, 1981 the district court,
The government appeals pursuant to 18 U.S.C. § 3731 and 28 U.S.C. § 1291 from the district court’s refusal to enforce the grand jury’s demand for hair samples. See In re Grand Jury Empanelled February 14, 1978,
II.
The threshold issue is whether a demand by a grand jury that a witness submit to hair sampling is a search or seizure protected by the Fourth Amendment. We begin with the ruling established in Dionisio that a grand jury’s subpoena to appear is not a “seizure” of the individual within the context of the Fourth Amendment, stating “It is clear that a subpoena to appear before a grand jury is not a ‘seizure’ in the Fourth Amendment sense, even though that summons may be inconvenient or burdensome.”
The conclusion that a grand jury summons is not a seizure for purposes of the Fourth Amendment is not dispositive of whether a subsequent demand, in this case for hair samples and height and weight measurements, may be a search or seizure falling within Fourth Amendment protection. As the Court stated in Dionisio,
In Davis, the Court commented upon the limited intrusion which was caused by fingerprinting. The Court stated that “[d]et
In United States v. Dionisio, supra, and United States v. Mara, supra, the Court was presented with seizures in a different context: the evidence requested was as a result of a grand jury directive. In Dionisio, the witness was compelled to provide a voice exemplar; in Mara, the witness was compelled to provide a handwriting exemplar. In each case the Court of Appeals had held that the government must first make a showing of need for the exemplars which was “reasonable” albeit not necessarily synonymous with probable cause, the same type of showing to which Judge Gibbons in his concurring opinion would subject the directive for hair sampling in this case. In each case, the Supreme Court reversed the Court of Appeals and held that there was “no justification for requiring the grand jury to satisfy even the minimal requirement of ‘reasonableness’ imposed by the Court of Appeals” before enforcing its directives ordering production of the physical evidence. Dionisio,
Shortly thereafter in the same term, the Court again applied this distinction based on the extent and nature- of the intrusion. In Cupp v. Murphy,
Thus, the issue before us is whether the compulsion to produce facial and scalp hair samples to a grand jury is more akin to fingerprinting and voice and handwriting exemplars which have been held outside the ambit of Fourth Amendment protection or whether it is more closely aligned with the extraction of blood samples or fingernail scrapings which have been subjected to Fourth Amendment analysis as to reasonableness. Although the issue is admittedly close, we conclude that there is no greater expectation of privacy with respect to hair which is on public display than with respect to voice, handwriting or fingerprints. In the case of blood samples and fingernail scrapings, the bodily seizure requires production of evidence below the body surface which is not subject to public view. In the case of facial and head hair, as well as fingerprints, voice and handwriting exemplars, the evidence is on public view. In his concurring opinion, Judge Gibbons makes the distinction that it is only the “appearance of one’s hair that we offer to the public’s view.” Concurring Typescript op. at 2. When we offer our voice for public consumption, we do not do so with the expectation that the tone, inflections and modulations will be subjected to minute technical analysis any more than we expect that the fingerprints we inadvertently leave will be microscopically analyzed. The latter cannot be distinguished from the possibility of analyzing hair strands which we also normally shed. Judge Gibbons is undoubtedly correct that “while one can expect that his fingerprint might be lifted from a door knob, he does not expect that the offending fingertip will be lopped off,” Concurring Typescript op. at 2, but the cutting of a few strands of hair is hardly akin to the amputation of a finger. Nor is it the sort of “annoying, frightening, and perhaps humiliating experience” involved in the police pat-down in Terry v. Ohio,
This ease arises in the context of a grand jury request, as did Dionisio and Mara. In those cases, the Supreme Court did not consider whether the same rationale would apply when a suspect is detained by the police, although the reliance on Davis in those cases suggests that it would. Police searches, however, present the threshold question of the legality of the initial seizure of the person which, as previously discussed, is not a problem in the grand jury context. As the Court noted in Dionisio,
Our conclusion does not necessarily end the Fourth Amendment inquiry. There is a two-pronged inquiry which must be made when considering a claim of Fourth Amendment violation. As the Court stated in Schmerber, “the Fourth Amendment’s proper function is to constrain, not against all intrusions as such, but against intrusions which are not justified in the circumstances, or which are made in an improper manner.”
III.
Mills cross-appeals from that portion of the district court’s order denying his motion to vacate the grand jury’s demand that he submit to the measurement of his height and weight. While the preceding discussion bears heavily upon the soundness of that denial, nonetheless we are without jurisdiction to rule squarely on this issue.
Denials of motions to quash grand jury subpoenas are not final orders appealable under 28 U.S.C. § 1291. Cobbledick v. United States,
is solidly grounded in the policy that the workings of the investigatory process should remain unfettered. If an ongoing grand jury proceeding could be interrupted each time that a potential witness or holder of relevant records wished to contest an appearance or disclosure, the ability of grand juries promptly to perform their task would be seriously compromised ....
In re Grand Jury Empanelled August 14, 1979,
IY.
In No. 81-2703 the order appealed from will be reversed. In No. 81-2808 the appeal will be dismissed.
Notes
. The government believes that a third participant, who did not enter the bank during the robbery, may have driven the get away car. The undisguised robber who entered the bank was subsequently apprehended and convicted of violating 18 U.S.C. § 2113(a) and (b) for his role in the armed robbery. App. at 4a.
. Although the government states that Mills is suspected, no basis for the grand jury’s suspicion has been offered, other than the district court’s speculation that Mills’ height and weight approximate that of the masked robber described by eyewitnesses. App. at 32a.
. In addition to limiting the uses to which the samples and measurements were to be put, the initial district court order provided that:
Both the taking of hair samples and the measurement of Mr. Mills’ height and weight shall be accomplished under the supervision of a duly authorized agent of the Grand Jury and shall actually be effected by a doctor or other trained medical personnel.
App. at 7a.
. By the terms of the district court’s original order sampling is to be accomplished under the supervision of a duly authorized agent of the Grand Jury and is to be effected by a doctor or other trained medical personnel, see note 3 supra.
. We need not reach the further issue of the timeliness of Mills’ cross-appeal, and the predicate question of whether a grand jury investigation is a “criminal case” within the meaning of Fed.R.App.P. 4(b).
Dissenting Opinion
concurring.
I join in the court’s judgment, and in Part III of the opinion dismissing the appeal in No. 81-2808. I agree with the majority’s conclusion that the order appealed from in No. 81-2703 must be reversed, but for reasons substantially different from those relied upon by Judge Sloviter. In my view a grand jury directive to submit to the sampling of head and facial hair is a seizure within the meaning of the fourth amendment. However, because it is ordered by the court pursuant to a valid grand jury subpoena, such a seizure is reasonable and, therefore, not contrary to the fourth amendment.
A.
The Supreme Court’s holdings in United States v. Dionisio,
“Davis is plainly inapposite to [ Dionisio] where the initial restraint does not itself infringe the Fourth Amendment.”
there is nothing in the government’s papers to dispel the disquieting possibility that the U.S. may be operating a simple dragnet aimed at every black male of appropriate physical stature in the Wilmington area to obtain hair samples....
16a. I agree with the majority that any assertion that such a “grand jury dragnet” is prohibited by the fourth amendment is now untenable in light of the Supreme Court’s conclusion in Dionisio.
The Supreme Court in Dionisio considered second whether the grand jury’s directive to a witness to make a voice recording was a seizure within the meaning of the fourth amendment. The Court held that voice recording (like photographing, production of handwriting exemplars, fingerprinting, and lineup appearances) does not constitute such a seizure. In reaching this conclusion, the Court enlisted two related explanations of constitutional privacy. First, the Court cited Katz v. United States,
In this case these indicia merge. The fourth amendment expectation of privacy here is that the government will not detain us unwillingly to comb through, pull or clip our head and beard hairs. Doing so is as least as great an intrusion as a pat down or a fingernail scraping. Therefore, such an action is a search and seizure within the meaning of the fourth amendment. As was noted in United States v. D’Amico,
Unquestionably the clipping of the few strands of appellant’s hair by a federal agent constituted a “seizure” that might conceivably be subject to the “constraints of the Fourth Amendment,” Schmerber v. Calif, [citation omitted].
Where the government’s action involves the uninvited laying on of hands to perform a search, as in Terry v. Ohio (patdown), or to obtain a material thing, as in Cupp v. Murphy,
The distinction which I draw between government actions which are searches and seizures and those which are not is perhaps a fine one, but, nonetheless principled. The sampling of a few strands of hair may be among the least compelling examples of a seizure; the distinction, however, is easy to understand and apply, and is amply sup
The Opinion of the Court here, unsuccessfully distinguishing the Terry v. Ohio holding regarding protective patdowns, views the sampling of head and facial hair as being more akin to fingerprinting and the taking of voice and handwriting exemplars than to fingernail scraping and blood sampling. In Judge Sloviter’s opinion the issue turns on a distinction between evidence found below the body surface and that which is subject to public view or offered for public consumption. Although this distinction draws a clear and easily applied line, it fails to take adequate account of individuals’ expectations of privacy or of the objectionable means by which such personal physical evidence is likely to be seized, the prime indicia of fourth amendment interest. Moreover, forensic hair analysis often will require scientific testing of hair roots and the sheaths of epithelial tissue surrounding the roots in vivo
B.
Although the compelled sampling of head and facial hair is a seizure within the mean
The reasonableness of the proposed seizure of Mills’ hair must therefore be examined. My thesis is that the seizure is reasonable precisely because it is effected under the authority of a court order enforcing a grand jury subpoena, rather than by the police, FBI, or other government agency unsupervised by the court. This is the alternative holding suggested by the Court in United States v. Doe — i.e., that even if the grand jury compulsion of voice and handwriting exemplars were considered a “seizure,” the demand is reasonable because the directive emanates from the grand jury and its process is not self-enforcing.
The composition of the grand jury and the procedures followed by it provide considerable protection against unreasonable searches and seizures for individuals subpoenaed and from whom physical evidence is sought. As stated in Doe:
The safeguards built into the grand jury system, such as enforced secrecy and the use of court process rather than the constable’s intruding hand as a means of gathering evidence, severely limit the intrusions into personal security which are likely to occur outside the grand jury process.
First, this court has previously recognized that grand juries are
‘basically a law enforcement agency’ .... They are for all practical purposes an investigative and prosecutorial arm of the executive branch of government [citations omitted].
In re Grand Jury Proceedings (Schofield I),
an important aspect of the grand jury’s function [is] that of acting as a protective buffer between the accused and the prosecution. The grand jury was regarded by the founders, not as an instrument of oppression but a safeguard of liberty.. . .
Secondly, an appearance before the grand jury is vastly different from an encounter with the police. It is unlike a sudden and frightening roadside stop, an embarrassing and perhaps humiliating intrusion into the home or work place, or an intimidating and stigmatizing police station confrontation, the usual contexts in which police and FBI searches and seizures occur. On the contrary, an individual from whom physical or testimonial evidence is sought by a grand jury travels to the courthouse in response to a subpoena. He has notice, and therefore may easily choose to consult counsel ahead of time. To a certain extent, the individual called may even adjust the time of appearance to his own convenience. Also grand jury proceedings are secret, Fed.R. Crim.P. 6(e), and therefore tend to insulate exposed private affairs from public scrutiny. See United States v. Doe (Schwartz),
Thirdly, demands of the grand jury are not self-enforcing. A witness may defy the grand jury’s directive and move to quash or modify the subpoena, thereby gaining review of the grand jury’s action by a judicial officer. Fed.R.Crim.P. 17(g); 8 Moore’s Federal Practice, 117.10-11. In addition, since the proceedings on such motions are not generally ex parte,
Lastly, the supervisory power of the courts over the grand jury and over the enforcement of subpoenas empowers the courts to investigate the relevancy and proper purpose of a grand jury investigation. In this circuit the government is required to make a minimum showing by affidavit in every case that each item sought by the grand jury is relevant to an investigation properly within the grand jury’s jurisdiction, and is not sought primarily for some other purpose. In re Grand Jury Proceedings (Schofield II),
Thus, the procedures whereby a grand jury may obtain physical evidence are significantly solicitous with respect to an individual’s fourth amendment rights, rendering demands more reasonable when made by the grand jury than they might otherwise be.
Any minimal residuum of fourth amendment exposure left unprotected by grand jury procedure must yield to the legitimate interest of the grand jury in the effective administration of criminal justice. Due to the critical importance of the grand jury’s role in meeting “the twofold aim [of criminal justice] . . . that guilt shall not escape or innocence suffer,” Berger v. United States,
The public duty to cooperate with the grand jury arises from the importance of that body’s constitutional task. The institution of the grand jury “in our Constitution as the sole method for proffering charges in serious criminal cases shows the high place it held as an instrument of justice.” Costello v. United States,
Because its task is to inquire into the existence of possible criminal conduct and to return only well-founded indictments, its investigative powers are necessarily broad.
Branzburg v. Hayes,
It is a grand inquest, or body with powers of investigation and inquisition, the scope of whose inquiries is not to be limited narrowly by questions of propriety, or forecasts of the probable result of the investigation. . ..
Blair v. United States,
the longstanding principle that “the public ... has a right to every man’s evidence,” except for those persons protected by a constitutional, common law, or statutory privilege, United States v. Bryan, 339 U.S. [323] at 331 [70 S.Ct. 724 at 730,94 L.Ed. 884 ]; Blackmer v. United States,284 U.S. 421 , 438 [52 S.Ct. 252 , 255,76 L.Ed. 375 ] (1932), ... is particularly applicable to grand jury proceedings.
While the seizure of head and facial hair should under other circumstances require a warrant based on probable cause, in the context of a grand jury investigation Mills’ minimal fourth amendment privacy interests must yield to the interests served by the grand jury as an institution. To require any greater showing by the government than that already offered would unnecessarily
saddle a grand jury with mini-trials and preliminary showings [which] would impede its investigation and frustrate the public’s interest in the fair and expeditious administration of the criminal laws.
Dionisio,
Since the district court wrongly imposed the requirement that the government procure a search warrant, I agree that its judgment in this respect must be reversed.
. The conclusion that individuals generally hold such an expectation is bolstered by the fact that great expense and effort are often devoted to grooming and maintaining our hair, as well as by the social, political and even religious symbolic significance often attached to one’s cut of hair and beard.
. The result in the instant case would be less certain had the government merely demanded that Mills turn over hair samples rather than submit to their being removed by others. This variation of the facts is not offered here, nor is it likely to be in the future given the difficulty in authentication which such a procedure would yield.
. The fourth amendment’s prohibition of unreasonable searches and seizures has often been applied against demands of the grand jury. Hale v. Henkle,
. With respect to hair samples it was recently noted in Time Magazine that
A single strand can reveal a person’s sex, race and certain other characteristics, and experts now have the ability to read far more from a sample. Says New York City Forensic Serologist Dr. Robert Shaler: “The hair is the garbage can of the human body. Everything you eat shows up there.” Knowing that it grows about 1 mm a day, Shaler insists, “we can tell if you took aspirin yesterday and drank beer from an aluminum can a week ago.” Until now, only Sherlock Holmes could deduce so much from so little.
Time, Law: Mr. Wizard Comes to Court, March 1, 1982, at 90.
. See Imwinkelried, Forensic Hair Analysis: The Case Against the Underemployment of Scientific Evidence, 39 Wash. & Lee L.Rev. 41, 48, 51 (1982).
. The analysis here is also similar to that employed by the Second Circuit in D’Amico. In that case, the taking of scalp hair samples was found to be a seizure within the fourth amendment. In contrast to the instant case, at the time of the seizure from D’Amico he was under arrest for the crime being investigated, and so presumably probable cause to search existed. Such a situation is most similar to that of a search incident to arrest. See, e.g., Blackford v. United States,
. Also, affidavits submitted to the court to meet the requirements of Schofield I should be disclosed to the witness during the enforcement proceeding, absent extraordinary circumstances. Schoñeld I,
