Perlman v. United States
247 U.S. 7, 1918 U.S. LEXIS 1986, 38 S. Ct. 417 (1918)
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Rule of Law:
An individual who voluntarily submits documents or other materials into evidence in a judicial proceeding relinquishes their Fourth and Fifth Amendment protections against the use of those materials in a subsequent criminal investigation, as there is no government compulsion or coercion involved.
Facts:
- Louis H. Perlman was involved in a civil equity suit, Perlman Rim Co. v. Firestone Tire & Rubber Co.
- During this suit, Perlman voluntarily introduced certain exhibits, including documents and physical models, into evidence to support his claims.
- These exhibits were used to obtain a favorable judgment for Perlman and subsequently became part of the official court records under an impounding order.
- The United States government later sought access to these same exhibits, which were in the custody of the court, to use as a basis for a grand jury investigation into potential perjury committed by Perlman.
Procedural Posture:
- In a civil equity suit in the U.S. District Court, the court issued an impounding order for exhibits submitted into evidence by Perlman.
- The United States Attorney later petitioned the same District Court for an order to obtain these impounded exhibits for use before a grand jury.
- Perlman intervened in the proceeding, filing his own petition to prevent the U.S. Attorney from taking possession of the exhibits, claiming constitutional privilege.
- The District Court denied Perlman's petition and granted the government's request, ordering the court clerk to produce the exhibits before the grand jury.
- Perlman, the intervenor, appealed the District Court's order directly to the Supreme Court of the United States.
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Issue:
Does a court order allowing the government to use exhibits, which an individual voluntarily submitted as evidence in a prior civil suit, in a subsequent grand jury investigation against that individual violate their Fourth Amendment right against unreasonable seizures and Fifth Amendment right against self-incrimination?
Opinions:
Majority - Mr. Justice McKenna
No. A court order permitting the government to use exhibits that an individual voluntarily submitted in a prior civil case for a subsequent grand jury investigation does not violate that individual's Fourth or Fifth Amendment rights. The constitutional protections against unreasonable seizure and self-incrimination are triggered by 'physical or moral compulsion' from the government. In this case, Perlman voluntarily exposed the exhibits in a public judicial proceeding for his own benefit and to secure a judgment. By doing so, he 'let go' of the exhibits, and they became part of the public judicial records. Unlike cases involving forced production of documents or trespass, Perlman's production was entirely voluntary, with no constraint or extortion. The test for constitutional immunity is not ownership of the property, but the absence of government compulsion.
Analysis:
This case establishes the 'voluntary submission' doctrine, clarifying that constitutional protections under the Fourth and Fifth Amendments are not absolute and can be waived by an individual's actions. By voluntarily placing private materials into the public record of a court proceeding, an individual loses the ability to later claim those materials are a private 'sanctuary' shielded from government scrutiny. This decision distinguishes between government-compelled disclosure, which is unconstitutional, and voluntary disclosure, which is not. It significantly impacts litigation strategy, as parties must consider that evidence they introduce in one case could be used against them in a future criminal investigation.
