In Re Motions of Dow Jones & Co.
On Jаnuary 16, 1998, at the request of the Attorney General, a special division of this court issued an order expanding the prosecu-torial jurisdiction of Independent Counsel Kenneth W. Starr.
1
The order — which the special division released to the public — authorized Starr to investigate “whether Monica Lewinsky or others suborned perjury, ob
Thereafter, a grand jury here bеgan receiving evidence about Monica Lewinsky and President Clinton, and others, or so appellants in this case tell us. Since mid-January the press has staked out the courthouse, photographing and attempting to intercept anyone who, because of his or her suspected status as witness or lawyer in the investigation, might shed light on the grand jury’s progress. Some individuals have paused to give their versions of what transpired during their grand jury appearances; others have refused to be interviewed or to give a public statement.
The press, naturally desiring more information, moved for access to district court hearings and pleadings related to the grand jury’s investigation.
2
Under Rule 407(3) of the United States District Court for thе District of Columbia, the Chief Judge shall “hear and determine all matters relating to proceedings before the grand jury.” D.D.C.R. 407(3). Such “ancillary” matters may arise for a number of reasons. Grand juries summon witnesses and documents with subpoenas. Witnesses, including custodians of documents, report on the scheduled date not to a courtroom, but to a hallway outside the room where the grand jury is sitting. The witness must enter the grand jury room alone, without his or her lawyer. No judge presides and none is present.
See
Sara S. Beale et al. Grand Jury Law and Practice § 4.10, at 4 — 44 (2d ed.1997). Inside the grand jury room are sixteen to twenty-three grand jurors, one or more prosecuting attorneys, and a court reporter. 18 U.S.C. § 3321; Fed. R.Crim.P. 6(a)(1), (d) & (e). The witness is sworn, and questioning commenсes, all to the end of determining whether “there is adequate basis for bringing a criminal charge.”
United States v. Williams,
“Although 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.”
Williams,
These appeals are from the Chief Judge’s denial of motions concerning two such ancillary proceedings and from her denial of a broader motion to govеrn access to all future ancillary proceedings stemming from the grand jury’s investigation.
3
In
We will take up first the motion requesting the Chief Judge to establish procedures governing public access to the hearings and to papers in all of the proceedings relating to the grand jury. Although the press framed its motion in terms of access to proceedings “to resolve privilege claims or other legal issues,” it seems mainly interested in proceedings involving the assertions of testimonial privileges in respоnse to grand jury subpoenas, and in President Clinton’s motion for an order to show cause why the Office of the Independent Counsel should not be found in contempt. Among other things, the press requested the Chief Judge to provide advance public notice of hearings; to grant its counsel opportunity to be heard regarding closure; and to require “all motions, orders, and other judicial records filed in connection with the grand jury proceeding be docketed on the public record.” The Chief Judge ruled that the press had neither a common law nor a First Amendment right of access and declined to adopt “movants’ extraordinary procedures.” The Chief Judge also found it “inappropriate and contrary to Rule 6(e) to require any materials filed in connection with grand jury proceedings to be docketed on the public record or unsealed without an express order from this Court. Even releasing the matters to be heard by the Court runs the risk of disclosing ‘matters occurring before the grand jury.’ Fed. R. Crim P. 6(e).” The press maintains that the “blanket closure of judicial proceedings” and the failure to provide “procedural safeguards prior to closure” violate the First Amendment. See Brief for Appellants at 9.
A settled proposition, one the press does not contest, is this; there is no First Amendment right of access to grand jury proceedings. The Fifth Amendment makes the “Grand Jury” an essential element of the federal criminal justice system. A grand jury is a body that conducts its business in private. The Framers knew this as well as we do. “Since the 17th century, grand jury proceedings have been closed to the public, and records of such proceedings have been kept from the public eye.”
Douglas Oil Co. v. Petrol Stops Northwest,
The secrecy of grand jury proceedings is today preserved through Fed. R.Crim. P. 6(e). Grand jurors, prosecutors, stenographers and others are forbidden from disclosing “mátters occurring before the grand jury.”
4
This phrase — “matters occurring be
With respect to ancillary judicial proceedings, “the court shall order a hearing on matters affecting a grand jury proceeding to be closed to the extent necessary to prevent disclosure of matters occurring before a grand jury.” Fed. R.Crim. P. 6(e)(5). 5 Furthermore, “records, orders and subpoenas relating to grand jury proceedings shall remain under seal to the extent and for such time as necessary to prevent disclosure of matters occurring before a grand jury.” Fed. R.Crim. P. 6(e)(6). The Advisory Committee believed that the rules did “not violate any constitutional right of the public or media to attend” such ancillary proceedings because no such constitutiоnal right exists. Fed. R.Crim. P. 6(e)(5) advisory committee’s note. The Supreme Court and Congress must have thought the same. See Supreme Court Order of April 28, 1983, authorizing the Chief Justice to transmit then proposed Rules 6(e)(5) and 6(e)(6) to Congress.
In light of Rule 6(e), the constitutionality of which is not questioned, the press must take a narrow view of the purported First Amendment right of access. It cannot, and does not, claim a right to attend every minute of every hearing ancillary to the grand jury’s investigation and it does not seek full disclosure of all pleadings and other papers filed in connection with such hearings. The press is not entitled, by the Constitution or by rule, to information about “matters occurring before the grand jury.” But the press thinks the First Amendment entitles it to whatever else remains.
As to pleadings and papers, the press has no basis for complaint. A rule of the district court, not mentioned in the press’s opening or reply brief, gives it the most it could expect from its constitutional claim. Local Rule 302 deals with motions, applications, and orders “filed in connection with a grand jury subpoena or other matter occurring before a grand jury.”
6
“Papers, orders, transcripts of hearings subject to this Rule, or portions thereof, may be made public by the Court on its own motion or on motion of any person upon a finding that continued secrecy is not necessary to prevent disclosure of matters occurring before the grand jury.” D.D.C.R. 302.
7
A portion of a transcript
As to attendance at ancillary hearings, local Rule 302 states, “All hearings on matters affecting a grand jury proceeding shall be closed, except for contempt proceedings in which the alleged contemnor requests a public hearing.” Rule 302 could be read as requiring the courtroom to be closed regardless of whether the hearing will reveal matters occurring before the grand jury. We seriously doubt that this reading is correct. Given Rule 6(e)(5) — ancillary proceedings shall “be closed to the extent necessary to prevent disclosure of matters occurring before a grand jury” — local Rule 302 appears to mean only that, as an initial matter, all proceedings relating to the grand jury shall be closed, subject to an order opening the proceedings. On the limited record we have before us, we cannot be certain how the Chief Judge has interpreted the local rule. At any rate, the press has mounted no direct argument against the constitutionality of Rule 302; as we said before, its briefs do not even mention it. Whether, on the stricter reading, the rule would exceed the district court’s authority to implement Rule 6(e)(5) is therefore an issue that has not been properly raised and one we do not decide. See Fed. R.Crim. P. 57(a)(1) (providing that district court rules “shall be consistent with” Acts of Congress and rules adopted pursuant to 28 U.S.C. § 2072).
As a matter of judicial administration, initially closing all ancillary proceedings makes good sense. If a hearing is about something “affecting” a grand jury investigation, there will nearly always be a danger of revealing grand jury matters.
8
Consider a challenge to a witness’s claim of a testimonial privilege. The prosecutor appears before the Chief Judge seeking an order to compel testimony. The witness’s identity, the fact that he was subpoenaed to testify, the fact that he invoked the privilege in response to questions, the nature of the questions asked — all these would be, according to our precedent,
SEC v. Dresser Industries, Inc.,
Of course, some ancillary proceedings might be conducted in such a way that there is no danger of grand jury matters being revealed. Rule 6(e)(5) binds the courts of appeals (and the Supreme Court) as well as the district courts.
See
Fed. R.Crim. P. 1 & 54(a). In cases on appeal from orders issued in ancillary proceedings, which we usually caption
“In re Sealed Case,”
we have sometimes taken portions of briefs and other papers under seal, and then held the oral argument in open court аfter assuring ourselves that no grand jury matter would be discussed. On other occasions, we have closed the courtroom for oral argument. In administering Rule 6(e)(5), appellate courts have a comparative advantage 'over district courts. We do not hear from witnesses. Oral arguments on appeal are always preceded by written arguments, usually filed well in advance. The briefs refine the legal points of contention and enable us to determine whether discussion of grand jury matters at oral argument will be needed. In the district court, ancillary proceedings generally proceed at a more rapid pace, the proceedings are typically not as structured, issues arе not always as highly refined, witnesses may be present, and written presentations may be abbreviated. A proceeding in the district court to quash a subpoena, or to compel testimony, or to immunize a witness would, it seems to us, almost invariably reveal matters occurring before the grand jury, and thus may properly be closed to the public. In ancillary proceedings dealing with other subjects, however, it may be difficult to determine at the outset whether grand jury matters might wind up being discussed. In all events, if the Chief Judge can allow some public access without risking disclosure of grand jury matters — either because the subject of the proceeding removes the danger or because the proceedings may be structurеd to prevent the risk without disruption or delay
(see United States v. R. Enterprises,
Recognizing a First Amendment right to force ancillary proceedings to be conducted without referring to grand jury matters would create enormous practical problems in judicial administration, and there is no strong history or tradition in favor of doing so. The Supreme Court ruled in
Gannett Co. v. DePasquale,
The press also tells us that, at least with respect to disputes about executive privilege, there is a tradition of open prоceedings.
See
Brief for Appellants at 11-14. Many of the instances identified, however, arose in response to congressional inquiries, or trial subpoenas, the most famous of which is
United States v. Nixon,
There can be no doubt that assertions of executive privilege are rightly matters of intense public interest. But there have been too few examples of open ancillary hearings dealing with the privilege in the grand jury context to suggest any kind of trend, let alone an “unbroken, uncontradicted history.”
Richmond Newspapers v. Virginia,
A problem remains. If the press is given no access to the fact that some sort of ancillary proceeding has taken place, or will take place, it may be unable to invoke Rule 302. In
Washington Post v. Robinson,
The press has also advanced what it calls a common law right of access to ancillary proceedings, a right resting on the Supreme Court’s recognition of a common law right of access to “inspect and copy judicial records.”
Nixon v. Warner Communications,
Much of what we have already written relates to the press’s motions regarding
Still, the Chief Judge may have refused to provide redacted versions of the material requested by the press (as local Rule 302 contemplates) for reasons other than protecting the secrecy of Carter’s identity. The particular items, documents, or testimony the grand jury seeks from Carter are not matters of public record, nor are Carter’s specific grounds for resisting. Such “matters occurring before the grand jury” may have been woven tightly into the ancillary proceeding involving Carter, so tightly that the Chief Judge believed that none of the material could be released. In a similar situation, the special division of this court recognized that sometimes “redaction is simply not possible.”
In re North,
* * ■ *
We remand for reconsideration the Chief Judge’s order insofar as it denies the motion for entry of items on the public docket and vacate and remand the Chief Judge’s order denying the motion for redacted papers, orders, and transcripts in the Carter proceeding. In all other respects, the orders are affirmed.
So ordered.
Notes
. Judges Sentelle, Butzner, and Fay sit on the Division for the Purpose of Appointing Independent Counsels.
. Appellants are Dow Jones & Company, Inc.; the Los Angeles Times; ABC, Inc.; the Associated Press; Cable News Network, Inc.; CBS Broadcasting, Inc.; Fox News Network; National Broadcasting Company, Inc.; The New York Times Company; Time Inc.; USA Today; аnd The Washington Post.
. While no one has questioned our jurisdiction to hear these appeals, we have assured ourselves that appellate jurisdiction exists.
See
28 U.S.C. § 1291;
Cohen v. Beneficial Indus. Loan Corp.,
. Rule 6(e)(2) General Rule of Secrecy.
A grand juror, an interpreter, a stenographer, an operator of a recording device, a typist who transcribes recorded testimony, an attorney for the government, or any person to whom disclosure is made under paragrаph 3(A)(ii) of this subdivision shall not disclose matters occurring before the grand jury, except as otherwise provided for in these rules. No obligation of secrecy may be imposed onany person except in accordance with this rule. A knowing violation of Rule 6 may be punished as a contempt of court.
. "Counsel or others allowed to be present at the closed hearing may be put under a protective 'order by the court.” Fed. R.Crim. P. 6(e)(5) advisory committee’s note.
. Local Rule 302 provides:
A motion or application filed in connection with a grand jury subpoena or other matter occurring before a grand jury, all other papers filed in support of or in opposition to such a motion or application, and all orders entered by the Court in connection therewith, shall be filed under seal. Such a motion or application shall be assigned a Miscellaneous case number. All hearings on matters affecting a grand jury proceeding shall be closed, except for contempt proceedings in which the alleged con-temnor requests a public hearing. Papers, orders and transcripts of hearings subject to this Rule, or portions thereof, may be made public by the Court on its own motion or on motion of any person upon a finding that continued secrecy is not necessary to prevent disclosure of matters occurring before the grand jury.
.Other district courts similarly implement Fed. R.Crim. P. 6(e)(5) and (6).
See, e.g.,
C.D. Cal. R. 8.3 (рroceedings involving applications for immunity, motions to quash subpoenas, and “other contested matters affecting grand jury proceedings prior to the indictment stage” shall be “closed to the public”); N.D. III. R. 1.04 (“all records ... which relate to grand juries including grand jury subpoenas ... docket of grand jury proceedings, motions and orders relating to grand jury subpoenas ... shall be suppressed and released only on order of the Chief Judge”); S.D. Ind. R. 10.1(c) ("All motions, orders, and other filings pertaining to matters before [the] grand jury shall ... be maintained by the Clerk under seal, without necessity for a motion to seal or order”); D. Mass. R. 106.1(b) (all subpoenas, motions, pleadings, and other documents filed with the clerk concerning or contesting grand
. District court hearings on the motions filed by the press in this matter are of course an exception. These motions related to the grand jury but obviously revealed nothing about its workings. For thаt reason, we ordered the Chief Judge’s orders denying the motions to be unsealed. We think it safe to say that ancillary hearings of this sort are not the focus of the press’s First Amendment claim.
. In this Circuit, proceedings concerning compliance with grand jury subpoenas and objections to subpoenas on the ground of privilege are sealed in the district court.
See Sealed
v.
Sealed,
No. 95-446 (D.D.C. filed Dec. 12, 1995),
rev'd and remanded, In re Sealed Case,
. The Chief Judge’s order denying the motion mentioned Mr. Carter by name. We do not view this as confirming his status as someone called by the grand juiy. The Chief Judge merely paraphrased the press’s own submission.