Newark Morning Ledger Co., Publisher of the Star-Ledger
OPINION OF THE COURT
The issue on appeal is whether the District Court erred in temporarily sealing the initial filings and hearings concerning a contempt motion filed under
I.
On February 13, 2001, the Newark Star Ledger discovered that a motion had been filed under seal in District Court. The Star Ledger believed the motion sought contempt proceedings against United States Justice Department attorneys or agents for leaking secret grand jury information to the media, in violation of
After the initial hearing, the court opened the proceedings stating it had made a “preliminary determination to deny access to all the filings and proceedings” holding that “at least for now [it] should not and must not open [the] proceedings to the public because of its grand jury context.” The Star Ledger contended the motion for contemрt proceedings did not implicate grand jury information. For this reason, it argued the motion and proceedings were entitled to a presumption of openness under
II.
The District Court had jurisdiction under
III.
The Supreme Court has recognized a First Amendment right of access to most criminal proceedings.
See, e.g., Richmond Newspapers, Inc. v. Virginia,
[S]everal distinct interests [are] served by safeguarding the confidentiality of grand jury proceedings. First, if prein-dictment proceedings were made public, many prospective witnesses would be hesitant to come forward voluntarily, knowing that those against whom they testify would be aware of that testimony. Moreover, witnesses who appear before the grand jury would be less likely to testify fully and frankly, as they would be open to retribution as well as inducements. There also would be the risk that those about to be indicted would flee, or would try to influence individual jurors to vote against indictment. Finally, by preserving the secrecy of the proceedings, we assure that persons who are accused but exonerated by the grand jury will not be held up to public ridicule.
Douglas Oil Co.,
In United States v. Smith,
A.
In
Srtyith,
the Newark Star Ledger sought access to records and proceedings in the sentencing phase of a criminal proceeding. The underlying criminal case in
The uncharged individuals maintained the government’s disclosure of the memorandum which included the identity of grand jury witnesses violated
The Newark Star Ledger moved to intervene to obtain the parties’ motions and filings and to have access to further proceedings. Denying the newspaper’s request for access, the court reasoned “the very reason[the briefs are] sealed is thеre may be material in them which affects
Recognizing the First Amendment right of access to pre-trial criminal proceedings, we held there was no right of access when grand jury materials are involved, stating that
Douglas Oil [ ] implicitly makes clear that grand jury proceedings are not subject to a First Amendment right of access under the test of ‘experience and logic.’ Historically, such proceedings have been closed to the public. Mоreover, public access to grand jury proceedings would hinder, rather than further, the efficient functioning of the proceedings.
Id.
at 148. Observing that the secrecy of grand jury proceedings also extends to collateral proceedings containing grand jury material, we stated, “Rather than according secrecy only to grand jury proceedings themselves, the rules provide a presumption of secrecy to all proceedings that ‘affect’ grand jury proceedings. Concomitantly, not only are grand jury materials themselves to be kept secret, but so are all materials that ‘relate to’ grand jury proceedings.”
Id.
at 149;
see also In re Grand Jury Subpoena (Doe No. 4 v. Doe No. 1),
Although the pending motions in Smith were post-trial motions, the heart of the alleged misconduct was an allegation that the government disclosed secret grand jury information. Id. at 149. We stated,
[T]he ultimate issue to be decided by the district court is whеther attorneys for the government committed any wrongdoing [but] ..., this question cannot be resolved without the district court’s determining whether that sentencing memorandum includesRule 6(e) material. Thus the focus of the proceedings before the district court is on the question whether the disputed material contained in the sentencing memorandum is in fact grand jury material. In this proceeding, grand jury matters may potentially be disclosed.
Id. at 150.
We stated, “A court should close a hearing to decide whether disclosure is warranted if that hearing would necessarily disclose grand jury matters.” Id. (emphasis in original). Therefore, the District Court. in Smith did not err in initially sealing the motiоns and proceedings because,
Faced with a bona fide claim that 6(e) material was disclosed in the sentencing memorandum, the [district] court prevented further disclosures of that material, thereby preserving the “status quo,” while the parties briefed the question and the court brought them in for a hearing.... If the district court made [the 6(e) ] determination in a public proceeding, it would further disseminate the potential secrets in doing so.
Id.
at 152. There was another reason for sealing the proceedings. The government intended to present actual grand jury material to prove that it did not unlawfully disclose grand jury secrets in thе sentence memorandum in violation of
Addressing the Star Ledger’s argument that the District Court should have redacted the briefs and filings and provided public access to all non-grand jury information, we found no error in the determination to seal all the proceedings because,
[T]he district coúrt simply cannot deter mine what material is secret and whatcan be disclosed to the public without determining whеther the sentencing memorandum contains Rule 6(e) material. Yet that decision, in turn, cannot be made without the benefit of the briefs and in particular, without the benefit of oral argument.
Under these circumstances requiring access to some aspects of the hearing will be cumbersome, impractical, and inefficient.
Id. at 153.
In Smith, we concluded the District Court properly sealed all the materials until such time as it decided what, if any, grand jury secrets were implicated. Permitting public access to certain portions of the filings and proceedings while excluding them from other portions of the proceeding would create a “revolving door” hearing. Id. “Courts cannot conduct their business that way, and we will not tie the hands of the district court in this fashion.” Id.
B.
We believe
Smith
controls here. The District Court had to first determine whether the information alleged to have been leaked implicated secret grand jury information before determining whether to initiate contempt proceedings. As we held in
Smith,
“[A] court should close a hearing to decide whether disclosure is warranted if that hearing would necessarily disclose grand jury matters.”
Furthermore, the government represented that in future hearings concerning the motion it intеnded to present undisclosed grand jury material in order to prove that no
But the Star Ledger contends the District Court could have simply redacted grand jury information and permitted access to the rest оf the materials.
9
See In
inform[ ] the parties that [the court] will disclose all nonsecret aspects of ... the briefs, and the hearing as soon as it determines which aspects of those papers and proceedings are secret... .[T]hat access is enough to satisfy any right of access that the newspapers may have to the nonsecret aspects of the proceedings.
C.
1.
On appeal, the Star Ledger attempts to distinguish
Smith
on the facts. It contends the complaining parties in
Smith
(i.е., the uncharged individuals mentioned in the sentence memorandum) actually appeared before the grand jury, but here, it claims the complaining party was neither a target of an investigation nor a witness before the grand jury. For this reason, it argues, permitting access to the motions and filings would have revealed only what a non-witness, without knowledge of grand jury testimony, believed was secret- grand jury information. Because the complaining party lacked “actual knowledge” of what occurred before the grand jury, the Star Ledger contends the filings and proceedings would not have revealed any grand jury secrеts. Disclosure, therefore, would not have violated
2.
The Star Ledger also contends that under
3.
The Star Ledger’s contention that only “core” grand jury material is subject to disclosure is not supported by case law.
Smith,
4.
The Star Ledger also contends
But these cases only address the adjudicative process.
In re Oliver,
As the Court of Appeals for the D.C. Circuit recently recognized there are several stages to a criminal contempt proceeding, explaining,
First, the district court must determine whether the plaintiff has established a prima facie case [i.e., that aFed. R.Crim.P. 6(e)(2) violation has oсcurred] .... Second, if the court determines that a prima facie case has been established, the burden shifts to the government to “attempt to explain its actions” in a show cause hearing. If the government fails to rebut the prima fa-cie case, a violation ofRule 6(e)(2) is deemed to have occurred.... The court then determines what remedy will be sufficient.
In re Sealed Case No. 98-3077,
5.
In sum, the District Court properly sealed the initial filings and motions so that it could determine whether secret grand jury information was implicated. The court held that after it determined what, if any, information was sеcret grand jury material, it would open the proceedings and disclose all non-grand jury materials. We see no error. 18
IV.
For the foregoing reasons, we will affirm the judgment of the District Court.
Notes
.
.
.
.In open session, the court stated,
[A]s everyone knows, we have in these papers allegations that well recognized principles of grand jury secrecy have been violated, and there are some specifics in the papers.... [I]n my judgment, it would be inappropriate to disclose them at this time, and inappropriate in the sense that allegations, if disclosed, would necessarily disclose at least one party's view as to what went on before a grand jury.
I agree that absent the grand jury aspect of this case, the situation of a citizen who happens to be a United States Senator complaining about improper activities by the executive branch would be a matter of intense public interest. That goes without saying.
But the motion before me is in the context of grand jury proceedings and that puts it in an entirely different light, and requires me to evaluate the presumption of public access in the context of the countervailing presumption of grand jury secrecy. I am satisfied that these allegations and these proceedings must remain under seal.
. The New Jersey Press Association filed an amicus curiae brief arguing the District Court erred in sealing the proceedings.
. In
Richmond Newspapers, Inc.,
the Supreme Court held the presumption of openness in criminal proceedings extends beyond the trial to many other stages of a criminal case including preliminary hearings and post trial proceedings.
[Whether access] (1) Promotes] ... informed discussion of government affairs by providing the public with [a] more complete understanding of the judicial system; (2) promotes] ... the public perception of fairness which can be achieved only by permitting full public view of the procеedings; (3) provid[es] a significant therapeutic value as an outlet for community concern, hostility, and emotion; (4) serv[es] as a check on corrupt practices by exposing the judicial process to public scrutiny; (5) enhanc[es] ... the performances of all involved; and (6) discourag[es] ... perjury.
United States v. Smith,
. Even if experience and logic favor a presumption of access, a court may still seal a proceeding if closure is justified by overriding principles.
Press-Enterprise Co.,
. As we stated in
Smith,
"[Supreme Court precedent] implicitly makes clear that grand jury proceedings are not subject to a First Amendment right of access under the test of 'experience and logic.’ "
. On appeal the Star Ledger and amicus contend that even if we do not find a presumption of access under "experience and logic,” the District Court’s closure of all the proceedings was not narrowly tailored.
See Press-Enterprise, Co.,
But we see no error. As we held in
Smith,
once the court finds that neither experience nor logic require a presumptive First Amendment right of access, there is no need to address whether the court's actions were narrowly tailored.
. Amicus argue the complaining party’s allegation was based on information already reported in the press and therefore was not secret information.
See In re Dow Jones,
[I]t is clear to us that a court is simply not powerless, in the face of an unlawful disclosure of grand jury secrets, to prevent all further disclosures by the government of those same jury secrets. In other words, even if grand jury secrets are publicly disclosed, they may still be entitled to at least some protection from disclosure.
. In connection with this argument the Star ledger notes that in contrast to
Smith
where there was no independent right of public access to the leaked document, (i.e., the sentencing memorandum) here there is a presumptive right of access to filings in a contempt motion. It argues that in
Smith
the sentence memorandum was presumptively confidential under
But this distinction is not dispositive. The presumption of open access is lost once grand jury materials are present.
Smith,
. DiLoreto was being held in custody until the termination of the grand jury investigation.
. The Star Ledger’s reliance on
In re Iowa Freedom of Information Council,
. In In re Oliver, the Court stated,
In the case before us, the pеtitioner was called as a witness to testify in secret before a one-man grand jury conducting a grand jury investigation. In the midst of petitioner's testimony the proceedings abruptly changed. The investigation became a ‘trial,’ the grand jury became a judge, and the witness became an accused charged with contempt of court' — all in secret. Following a charge, conviction and sentence, the petitioner was lead away to prison — still without any break in the secrecy.
In view of this nation's historic distrust of secret proceedings, their inherent dangers to freedom, and the universal requirement of our federal and state governments that criminal trials be public, the Fourteenth Amendment's guarantee that no one shall be deprived of his liberty without due process of-law means at least that an accused cannot be thus sentenced to prison.
. The Star Ledger argues that we should adopt a rule that both pre-contempt and actual contempt proceedings are presumptively open to the public because all stages of a contempt proceeding involve considerations of due process to which the public has a right
We decline to adopt such a rule. As we held in
Smith,
when information relating to a grand jury investigation is present in the initial stages of a contempt proceeding, there is no presumption of public access and the court must prevent the disclosure of this secret grand jury material by sealing the proceedings.
.Of course, during this final contempt adjudication, the court may redact any materials that reveal secret grand jury information.
. We need not address the Star Ledger’s argument that the Smith court erred in stating that access to final contempt proceedings is limited to the alleged contemnor and does not permit access to the general public.
. On June 20, 2001 the District Court issued a finad order denying the complaining party’s motion for contempt proceedings. But the District Court did not unseal all the records pertaining to the motion nor did it lift the seal on future proceedings. Under Smith, we believe the District Court should complete its review of the proceedings and after determining what, if any, materials contain secret grand jury information, unseal all non-secret material.