Legal Document

481 U.S. 102 107 S.Ct. 1656 95 L.Ed.2d 94 UNITED STATES, Petitioner,v.JOHN DOE, INC. I, et al. No. 85-1613. Argued Jan. 12, 1987. Decided April 21, Syllabus Under United States v. Sells Engineering, Inc., 463 418, 103 3133, 77 743, attorneys for the Civil Division (CD) of Department Justice (DOJ) may not automatically obtain disclosure grand jury materials use in a civil suit, but must instead seek district court order under Rule 6(e)(3)(C)(i) Federal Rules Criminal Procedure, which is available upon showing "particularized need." After an extensive investigation, that had been convened by from DOJ's Antitrust (AD) was discharged their conclusion that, although respondents engaged price fixing violative Sherman Act, criminal prosecution unwarranted circumstances. Subsequently, preparation possible action against respondents, AD reviewed furnished to and concluded violated False Claims primary enforcement responsibility rests CD. Because they wished consult with CD lawyers also appropriate local Attorney before bringing obtained 6(e) allowing them disclose material six named Government attorneys. The District Court denied respondents' motions vacate enjoin using information anticipated suit. However, after file complaint seal, Appeals reversed both aspects Court's denial relief holding because were now involved only proceedings, forbidden making continued without first obtaining order, consultation purposes supported adequate Nonetheless, took no respect complaint, concluding it disclosed nothing about investigation. Held: 1. An attorney who conducted make phase dispute do so 6(e). forbids "disclose" material, word cannot be interpreted embrace solitary reexamination privacy attorney's office. Thus, its plain language, merely prohibits those already have legitimate access revealing others authorized receive it. Respondents' contention unauthorized outsiders will result inevitably when filed refuted record, indicates DOJ did quote or refer any transcripts, documents, witnesses, existence jury, indirectly material. Pp. 107-111. 2. Pursuant considerations described Sells, there need" Attorney. Disclosure requested enable full benefit experience expertise other lawyers, thus serves public purpose efficient, effective, evenhanded federal statutes. Since contemplated might decision proceed action, could effect saving Government, potential defendants, witnesses costly time-consuming discovery. disclosure's benefits clearly outweigh dangers, since poses comparatively little risk secrecy, integrity itself, normal limitations on Government's discovery investigative powers. exaggerated significance alternative sources means Process Act. Wide discretion afforded courts evaluating appropriateness disclosure, here abuse discretion. 111-117. 774 F.2d 34 (2d Cir.1985), reversed. STEVENS, J., delivered opinion Court, REHNQUIST, C.J., POWELL, O'CONNOR, SCALIA, JJ., joined. BRENNAN, dissenting opinion, MARSHALL BLACKMUN, joined, post, p. 117. WHITE, part consideration case. Louis R. Cohen, Washington, D.C., petitioner. Paul Grand, New York City, respondents. STEVENS Court. 1 In 743 (1983), we held We explicitly left open "issue concerning materials, dispute, himself prosecution." Id., at 431, n. 15, S.Ct., 3142, 15. Today, decide question. addition, time, review concrete application standard request 2 * March 1982, conduct investigation three American corporations suspected conspiring fix tallow being sold foreign government financed State's Agency International Development. subpoenaing thousands documents corporate taking testimony numerous including five individual conferred some § 15 U.S.C. 1, warranted early June 1984, returning indictments. 3 On 28, charge served Investigative Demands (CID's), pursuant 76 Stat. 548, as amended, §§ 1311-1314, approximately two dozen persons entities, calling production various documents. advised each respondent comply CID certifying jury. Two refused so, furnish additional copies 4 further came tentative 31 3729-3731, Foreign Assistance 22 2151-2429 (1982 ed. Supp. III), well has enforcing see 28 CFR 0.45(d) (1986), deemed initiating action. Additionally, venue felt necessary Southern York. Accordingly, motion requesting Procedure such associates designate. ex parte hearing, granted motion, based finding interest coordinating fair efficient Division's Attorney's expert consultation, constituted particularized need disclosure. 5 6, 1985, previously entered would within weeks. Respondents immediately moved and, additionally, "preparing, filing, litigating" forms relief. appealed, immediate interim Second Circuit. partial relief, ordering seal. 6 expedited consideration, order. re Grand Jury Investigation, Cir.1985). First, examined issue agreed worked F.2d, 40-43. filed, 42. With purposes, 37-40. certiorari, 476 1140, 106 2244, 90 691 reverse.1 II 7 "General Secrecy" set forth provides certain persons, "shall matters occurring except otherwise provided these rules."2 Unlike our previous decisions this area, primarily exceptions general rule,3 case involves more preliminary question: what constitutes disclosure? acknowledged "to characterize [attorneys'] meaning rule seems fictional glance." 40. But reasoned possibly remember all details therefore refresh recollection proceeding tantamount disclosure." Ibid. 8 Contrary Appeals' conclusion, us workings are Rule. does contain prohibition legitimately through reasoning unpersuasive stretches Rule's language much too far. It indeed fictional—and just "at glance"—to interpret office.4 For example, obvious mean prepared legal memorandum (which happens include related jury) his file, barred looking once terminates. As Eighth Circuit recently concluded, "[f]or someone." Archer-Daniels-Midland Co., 785 206, 212 cert. pending, 85-1840. 9 reading address parties' arguments extent threatens values identified cases5 cataloged U.S., 432-433, 3142. While relevant susceptible than one plausible interpretation, recognized cases "[w]e choice between 'liberal' approach toward [a Rule], hand, 'technical' interpretation Rule, hand. choice, instead, recognizing ignoring language. accept says." Schiavone Fortune, 477 30, 2379, 2384, 91 18 (1986). policy arguments, suffices say recognized, implications construction absurd contrary Congress' aims call into question term "disclosure" used 10 urge attorneys' filing itself discloses outsiders. argue inevitable complaint's factual allegations invariably during This hypothetical fear substantiated record stated "does transcripts subpoenaed mention even jury." 37. Nor identify anything information. basis questioning accuracy constitute prohibited A variety uses planning stage, though used, alluded to, proceeding.6 vein, important emphasize whether (and presumably familiar "matters jury") later manner involve others. Without addressing very different matter disclosing others, inadvertently purposefully, course proceeding, hold require refamiliarizing herself III 11 properly uninvolved office 6(e)(3)(C)(i).7 Upon Department's disclosure" Sells. accepted argument coordination Division, Attorney, ensure consistent Act "the administration justice." App. 14. point, however, unnecessary same eventually 12 noted prescribe substantive governing issuance law developed response requests private parties consistently required "a strong permitted. 443-445, 3148-3149; generally Douglas Oil Co. Northwest Petrol Stops Northwest, 441 211, 222-223, 99 1667, 1674-1675, 60 156 (1979).8 Although applies where asked attorney, id., 443-444, 3148; Illinois Abbott & Associates, 460 557, 1356, 75 281 made clear concerns underlie secrecy implicated lesser 13 "Nothing Oil, requires pretend differences governmental bodies parties. highly flexible one, adaptable circumstances sensitive fact requirements greater situations Hence, legislative history foreclose special dispensation agencies, accommodates considerations, peculiar movants, weigh given reasonably consider less leakage improper public. Similarly, informed usual until aspect closed. Cf. supra, 1674-75. And 'under particularized-need standard, interest, if any, body. . .' Abbott, 567-568, 1361, weighing take account tools statute regulation agency seeking 445, 3149. 14 case, disclosures regularly handle litigation consulted actions her district. disclosure—efficient, statutes—are certainly valid questioned Appeals. Particularly pains depositions interrogatories turned out wasted decided all. To sure, every instance "saving time expense" justifies dangers created limited requested. types proceedings. increases "number whom (thereby increasing inadvertent illegal release others), renders considerably threat willingness come forward testify fully candidly." 432, 3142 (footnote omitted). Neither fears founded narrow summary portion pose wide breach unlimited another division—the Moreover, terminated mitigates damage See Finally, directly witness' him future testimony. 16 second concern itself. explained "prosecutors knew colleagues free generated tempted manipulate jury's powerful root evidence useful start continue inquiry seemed likely." discussion dealt should unfettered materials. think far worrisome go demonstrate prior when, inquiry, abuse. submitted affidavit attesting good faith conducting 17-19, allegation contrary. lessens difficulty detecting minimal simply prudence 17 final discussed "use agencies administrative settings subvert applied outside context powers investigation." 433, believe concern, seriously wishes consultation. Of course, actual adversarial factor (as others) stronger necessity. "as justifying become relevant, party asserting [material] burden justification." 223, 1675. threaten nonetheless virtually Act.9 believed delay expense caused duplicative analysis. 39. 19 possibility factor, Even assume Government,10 precedents establish per se Rather, repeatedly stressed judges appropriate. 228, 1677; 236-237, 1681-82 (STEVENS, dissenting); Pittsburgh Plate Glass States, 360 395, 399, 79 1237, 1240, 1323 (1959). context, circumstances, considered "public interests served" 3149; 469-470, 3161 (BURGER, dissenting). others." correctly factors abused determining equities leaned favor disclosure.11 judgment 20 Reversed. 21 WHITE BLACKMUN join, dissenting. 23 greatly restricts availability preserve Consistent concerns, rejected attorney. Essential principle automatic permitting prosecutor assist lacks justification. 3141. Given holding, irrelevant desires earlier time. crucial put way aid today holds past connection body makes filed. reaches adopting severely restricted ignores flatly inconsistent I dissent. 24 exception reliance process justice system. stated: 25 "[The jury] inquest, inquisition, scope whose inquiries narrowly questions propriety forecasts probable doubts particular found subject accusation crime." Blair 250 273, 282, 39 468, 471, 63 L.Ed. 979 (1919). 26 By virtue character inquisitorial body, "there few forums relatively unregulated power compel divulge produce evidence." 3143.1 Persons summoned whatsoever Wilson 221 361, 538, 55 771 (1911), Wong, 431 174, 179, 8, 97 1823, 1826, 52 231 (1977). Except privilege provisions, Evidence apply proceedings juries. Fed.Rule Evid. 1101(d)(2). exclusionary inapplicable Calandra, 414 338, 613, 38 561 (1974), requirement reasonableness subpoena appear provide voice handwriting exemplars, Dionisio, 410 93 764, 35 67 (1973). Furthermore, witness permitted counsel present room while testifying. S. Beale W. Bryson, Law Practice 6:16, 6-88 27 These exceptional wielded behalf prosecutor, "arm court." Levine 362 610, 617, 80 1038, 1043, 989 (1960). They employed permit fulfill "invaluable function society standing accuser accused determine reason." Wood Georgia, 370 375, 390, 82 1364, 1373, 569 (1962). "not property attorneys, agents investigators, nor entitled possession Instead, records Procter Gamble 356 677, 684-685, 78 983, 988, 1077 (1958) (Whittaker, concurring). Investigation Cuisinarts, 665 24, (CA2 1981) ("[G]rand remain courts"), sub nom. Connecticut 1068, 1520, 945 (1983). Recognition unique provision 6(e)(3)(A)(i) "for performance duty" Subsection (A)(i), held, justified enabling prosecutors perform role assisting "An duties," stated, "lacks prosecutor's supporting own know occurs 3141 result, " '[f]ederal prosecutors' hand least 'duties relating enforcement'; 'grand jury-developed purposes' (C)(i) order." 441-442, 3147 (quoting S.Rep. 95-354, (1977)). 29 Such rule, applicable 442, 3147. subsection (A)(ii), support staff, indicated, said, 30 "Congress' expressions distinguish Department; rather, key distinction use, automatic, required." 440, 3146 omitted) (emphasis added). assisted presented reach 3141, above indicates, determined identity seeks put.2 does. 32 evades logic suit premise "those Rule," ante, 108 added).3 declares inquire derives "reading language." Ante, 109. 33 Before "plain language" argument, how odds underlying purposes. furthered imposed encouragement candidly. at, 3142; 219, 1673, (1979). conflicts "[i]f knows routinely he willing speak get trouble forum." utilizing received rather hardly witness. substance expose liability, employs purpose. creates exactly disincentive 6(e)'s restriction intended prevent.4 major protection temptation utilize expansive generate litigation. society, anomaly can body's service historical function. Governmental appropriation diminishes countenance far-reaching authority. circumvention restrictions methods "would grant virtual form discovery, opponents excluded unless 434, 3143. 36 reflected throughout amendment adding (3)(A)(ii) 6(e), permits nonattorneys prosecutor. recounted detail 436-442, 3144-47, repeat here. House Representatives originally drafted 37 "[i]t feared proposed change allow personnel unrelated circumvent statutes specifically circumscribe procedure them." H.R.Rep. 95-195, (1977) response, version sought allay prosecutorial lead misuse enforce non-criminal laws (1) providing prohibition, penalty contempt (2) requiring paragraph (C) authorize (1977), U.S.Code Cong. Admin.News 1977, pp. 527, 531-532. 40 undercuts objectives. expansion group possess If anything, motivation prospective beneficiary opposed incentive prepare complaints information, practice intention minimize opportunity context.5 employ unit operate impede purposes.6 consonant find "disclosed" There standard. 41 avoids confronting objectives maintaining compelled meaning" "disclosure." surely unlikely, produces results variance approach, dictionary definitions, guided construing art. instance, assumption occur belied settled copy demand, obviously receipt evidence, intimidation" over monitor Brief 26, added).7 See, e.g., Clavey, 565 111, 113-114 (CA7 1978) (treating testimony, noting "policy reasons strict preservation secrecy" proceedings); Bast 542 893, 895-896 (CA4 1976) encourages retaliation protects independence jury"). Executive Securities Corp. Doe, 702 406, 408-409 1983) order). encompass regarded instances furthers basic 42 relying 'make[s] known something close secret,' 108, Webster's Third Dictionary 645 (1976)), takes secret puts lawsuit. 5, supra. now, apparent fact, reference preceding analysis demonstrates, deficient 43 cramped particularly unjustified suggested absolutely context. preclude disinterested judicial permission forthcoming, significant duplication effort avoided first, then referring prosecution. followed Exchange Commission, conducts initial refers warranted. 78u(h)(9)(B). Baggot, 476, 3164, Internal Revenue Service (IRS) tax audit, IRS investigations, subsequent easy avoid purported effort. 44 Adoption urged impose cost most secrecy. 45 affirm insofar Office, reason offered below. receiving advice policy. Most, all, serve justification third point. effect, strength authorization complaint. "need" IV 46 forsakes judge leaves entirely stands gain enormous preparing fundamentally mandate outweighs challenge nature hearing. cross-petitioned certiorari provides, part, follows: "Recording Proceedings. "(2) General Secrecy. juror, interpreter, stenographer, operator recording device, typist transcribes recorded government, person subdivision shall rules. No obligation accordance rule. "(3) Exceptions. "(A) deliberations vote to— "(i) duty; "(ii) duty law. "(B) Any subparagraph (A)(ii) promptly court, impaneled names made. "(C) made— directed preliminarily proceeding; defendant, grounds exist dismiss indictment (1958); (1959); Dennis 384 855, 86 1840, 973 (1966); (1979); (1983); Baggott, defined common definitions "open up," "expose view," up knowledge," "make secret." (1976); Collegiate 325 Gamble, listed following secrecy: '(1) prevent escape contemplated; insure utmost freedom deliberations, friends importuning jurors; (3) subornation perjury tampering trial indicted it; (4) encourage untrammeled commission crimes; (5) protect innocent exonerated probability guilt.' 681, 986, quoting Rose, 215 628-629 (CA3 1954). BRENNAN argues doubt used" Post, 124, 5. Mere "use" relied wrongdoing (or suspicion) corroborated facts. bring "based testimony," ibid., believes, 128, actually introduces trial. provides: proceeding." "Parties show needed injustice structured cover needed. ." 222, 1674. concerned specificity appropriate, lack particularity overly dangerous setting preserving minimal, portions advisory task perform. accurate. Only 1986 Congress amend CID's investigations violations Pub.L. 99-562, 100 3153. deciding significantly hampered claims run shortly dismissed. Based necessarily concludes misses points. wanted able proceeding. Second, event consultations confirmed position planned 127 (Government may, case). therefore, intertwined believes prohibited. 343, (1974) ("The considers operation unrestrained technical procedural evidentiary rules trials"); 7:01, 7-4 (1986) ("[T]he law"). 428, 3140 ("[I]t immaterial happen assigned called duties cases. If, (for whatever reason) doing so; secure transfer Division"). rejects files notes product "anything information." 110. Determining somehow utilizes inherently uncertain exercise, indicated speculation scenarios 110, 6. base determination shifting sands spirit stringent categorical why preferable, infra, bright-line arguing prospect revealed Jencks authorizes statements trial, statement relates 3500. "outweighs secrecy," 1675, provisions compare wholesale assumption, produced 250,000 pages "dozens witnesses." 34, 1985). certify Demand (CID) CID's, attempt demands. At corporations, prominent underscored authorizing Office. request, "The currently considering alleging [the Sherman, Claims, Acts]." true challenged ground 683-684, 986-87, (1958). prophylactic recognition "if [grand misuse] occur, often difficult detect prove." differ respective bases 6(e)(3)(A)(i); explicit witness, she direct source

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