Anthony S. Pitch v. United States
Dissenting Opinion
The court creates an exception to the rule of grand jury secrecy, doing so on the assertion that the rationale for secrecy erodes over time. The exception appears to be limited to matters fitting two main criteria: enough time has elapsed for the *716parties to the event to have died and enough present-day authority considers the event to be of exceptional historical significance. The court states that the test for historical significance is objective but leaves the test open-ended. The court provides little guidance for the analysis except to say that historical significance requires more than an interested journalist, curious public or concerned friend or family member.
I disagree with the majority on several fronts. I believe that judges should not be so bold as to grant themselves the authority to decide that the historical significance exception should exist and what the criteria should be. I agree with the dissent of Judge Sykes in Carlson v. United States ,
The court relies on Hastings to sanction a broader exercise of judicial power than the decision's narrow holding supports. Hastings permitted an exception to grand jury secrecy for a judicial investigating committee. It found the situation to be "closely akin" to the Rule 6(e)(3)(E)(i) exception for judicial proceedings. In re Petition to Inspect & Copy Grand Jury Materials (Hastings) ,
But even if a district court has inherent authority to order disclosure outside of Rule 6(e), I do not believe it should be exercised in this case. The rule of grand jury secrecy serves many interests, including "assur[ing] that persons who are accused but exonerated by the grand jury will not be held up to public ridicule." Douglas Oil Co. of Cal. v. Petrol Stops Nw. ,
Because "secrecy of the grand jury is sacrosanct," United States v. Phillips ,
Disclosure of grand jury records should not be permitted without an exacting review which gives due weight to the privacy and reputational interests at stake. It is troubling that the court has authorized disclosure of the records without examining their contents.
That an event has exceptional historical significance cuts both ways. With the principal parties having passed away and the investigation gone cold, one might conclude the matter is stale and the need for *717secrecy over. Yet, exceptional significance suggests a continued interest in, and impact from, the event. The Moore's Ford Lynching played a part in the civil rights movement and interest remains very much alive, particularly among members of the community affected by the event. The depth of their interest is illustrated by the Moore's Ford Memorial Committee, which has advocated for racial justice and held events memorializing the victims over the past two decades. The Committee has placed grave markers for the victims and a historical marker near the site of the lynching. A member of the Committee and a granddaughter of one the victims attended oral argument in this appeal. Community members organize an annual reenactment in honor of the victims. They still search for justice.
The vitality of the community's continued interest raises possible repercussions for the living descendants and relatives of those individuals whom the grand jury records will identify as being suspects, witnesses and grand jurors. The modern public rightly views the lynching and failure to indict as a horrific injustice, and many perceive it to have been the work of the Ku Klux Klan. Would knowing that grand jury records could someday be disclosed and affect the standing of a child or grandchild in the community deter a grand jury witness from fully telling the truth? Could the conduct of a witness or grand juror involved in an event that is viewed at the time as momentous or sensational be influenced by a concern for their own legacy among future generations?
I would hold that the reputational interests protected by Rule 6(e) include those of subsequent generations. I am unable to dismiss the reputational harm that could occur to a living person if the grand jury transcripts reveal that their parent or grandparent was a suspect, a witness who equivocated or was uncooperative, a member of the grand jury which refused to indict, or a person whose name was identified as a Klan member.
Accordingly, I dissent and would reverse the district court's order. At a minimum this court should provide protections to limit the harm its newly-created exception to grand jury secrecy could cause. The court should, for example, instruct the district court on remand to examine the grand jury records, with the assistance of the government, and to protect discernible reputational interests by taking measures such as redacting names and other identifying information.
The grand jury records were not made a part of the record before the court.
Opinion of the Court
*707In 1946, a crowd of people in Walton County, Georgia gathered as two African American couples were dragged from a car and shot multiple times.
Over seven decades later, Anthony Pitch, an author and historian, petitioned the Middle District of Georgia for an order unsealing the grand jury transcripts. The district court granted his request. The government now appeals, arguing the district court abused its discretion in unsealing the transcripts. After careful review and with the benefit of oral argument, we affirm.
I. Factual and Procedural Background
Anthony Pitch wrote a book about the Moore's Ford Lynching. In 2014, while researching the event for the book, Pitch petitioned the Middle District of Georgia to unseal the federal grand jury records related to the incident. Initially, the district court denied the petition without prejudice because Pitch did not present evidence that the records even existed. Three years later, Pitch renewed his petition, arguing that his investigation revealed that the records were at the National Archives in Washington, D.C. The district court ordered the government to produce the records for in camera inspection. The government filed the transcripts under seal. And against the objections of the government, the district court ordered the transcripts be unsealed. To do so, the district court relied on its inherent authority under In re Petition to Inspect & Copy Grand Jury Materials (Hastings) ,
On appeal, the government argues first, that the district court lacked inherent authority to disclose the transcripts, and second, even assuming the district court had inherent authority, the court exceeded that authority by permitting disclosure based solely on the historical significance of the Moore's Ford Lynching. Because we are bound by our decision in Hastings , we affirm. See Kondrat'yev v. City of Pensacola, Fla. ,
II. Power of District Courts to Disclose Grand Jury Records
The government argues that the district court erred in invoking its inherent *708authority to disclose the grand jury records. We review a district court's disclosure of grand jury transcripts for abuse of discretion. United States v. Aisenberg ,
A. Statutory Authority to Disclose Grand Jury Records
Grand jury secrecy is "an integral part of our criminal justice system." Blalock v. United States ,
Rule 6(e) also codifies a list of exceptions to its general rule of secrecy. The only enumerated exception available to a party other than the government or a party in the grand jury proceeding is Rule 6(e)(3)(E)(i), which allows a court to authorize disclosure of grand jury records "preliminarily to or in connection with a judicial proceeding." A party invoking this exception must prove that "the material they seek is needed to avoid a possible injustice in another court proceeding, that the need for disclosure is greater than the need for continued secrecy, and that their request is structured to cover only material so needed." Douglas Oil Co. of Ca. v. Petrol Stops NW ,
B. Inherent Authority to Disclose Grand Jury Records
We have recognized that district courts retain "inherent power beyond the literal wording of Rule 6(e)" to disclose grand jury material not otherwise covered by the exceptions. Hastings ,
"This is not to say [ Rule 6(e) ] is not normally controlling. It is." Hastings ,
III. The District Court's Exercise of Discretion in the Present Case
We must now decide whether the facts presented here constitute "exceptional circumstances" that allow a district court to employ its inherent authority to disclose grand jury records outside the confines of Rule 6(e). The petitioner has the burden of proving that "exceptional circumstances" exist. See Hastings ,
A. The "Exceptional Circumstances" Test
"[W]hile district courts have inherent authority to act outside Rule 6(e)(3), any inherent disclosure authority is exceedingly narrow ...." Aisenberg ,
*710
On one side of the scale is the well-established public interest in secrecy of grand jury records. Nondisclosure of grand jury records "prevent[s] the escape of those whose indictment may be contemplated," ensures "the utmost freedom to the grand jury in its deliberations," prevents "tampering with the witnesses who may testify before the grand jury," encourages "free and untrammeled disclosures by persons who have information" about the commission of crimes, and protects the "innocent accused who is exonerated" from public disclosure that he had been under investigation. United States v. Procter & Gamble Co. ,
The weight on the other side of the scale-the need for disclosure-requires a fact intensive analysis that depends on the competing interests in a particular case. In Hastings , for example, we held that "the petition of a judicial investigating committee is the kind of request which, in proper circumstances, can trigger a district court's inherent power to release grand jury minutes." Hastings ,
B. The Exception for Matters of Exceptional Historical Significance
Under the proper circumstances, grand jury records on a matter of exceptional historical significance may trigger a district court's inherent authority to disclose them. Our sister circuits have developed a multi-factor inquiry for applying the balancing test set forth in Hastings to the disclosure of historically significant grand jury records.
(i) the identity of the party seeking disclosure; (ii) whether the defendant to the grand jury proceeding or the government opposes the disclosure; (iii) why disclosure is being sought in the particular case; (iv) what specific information is being sought for disclosure; (v) how long ago the grand jury proceedings took place; (vi) the current status of the principals of the grand jury proceedings and that of their families; (vii) the extent to which the desired material-either permissibly or impermissibly-has been previously made public; (viii) whether witnesses to the grand jury proceedings who might be affected by disclosure are still alive; and (ix) the additional need for maintaining secrecy in the particular case in question.
The first two Craig factors ask us to consider the interests of the parties: the petitioner, the government, and the defendant in the grand jury proceeding. First, the petitioner, Pitch, is an accomplished author and historian. He has published many historical works, including a book about the Moore's Ford Lynching. As we discussed, while not dispositive, the government has a significant and well-established interest in grand jury secrecy that will always weigh against disclosure. See Procter & Gamble ,
The third, fourth, and seventh Craig factors concern the historical importance of the information being sought. Pitch seeks disclosure for a legitimate, scholarly purpose: to research, write, and educate the public about a significant event in the civil rights movement. Cf. Globe Newspaper Co. v. Sup. Ct. for Norfolk Cty. ,
Historical importance is objective. It must be distinguished from "journalistic intrigue, public curiosity, or even a subjective importance to family and friends." Craig ,
Despite considerable public interest, the details are sparse. Even with a crowd of witnesses, no one was prosecuted and no public proceedings were held.
The interest in continued secrecy is also undercut if details in the records have been publicized. See Craig ,
Finally, the passage of time will often be the touchstone of our inquiry. Even if other factors weigh strongly in favor of disclosure, an insufficient passage of time since the grand jury proceedings took place is fatal to the petitioner's request for disclosure. "[T]he passage of time erodes many of the justifications for continued secrecy." Craig ,
Pitch requested the Moore's Ford grand jury transcripts seventy-one years after the grand jury proceeding took place.
Balancing these competing interests, the district court did not err in holding that the interest in disclosure outweighed the interest in continued secrecy.
IV. Conclusion
"We consistently have recognized that the proper functioning of our grand jury system depends upon the secrecy of grand jury proceedings," but "a court called upon to determine whether grand jury transcripts should be released necessarily is infused with substantial discretion." Douglas Oil ,
AFFIRMED.
There are differing accounts on the number of shots and the number of people present. Estimates suggest that between thirty and one hundred people were present.
The Fifth Circuit had recently held that the Georgia Democratic Party's all-white primary system was unconstitutional. Chapman v. King ,
The government argues that we are no longer bound by Hastings because the Supreme Court has rejected its reasoning. In Carlisle v. United States , the Supreme Court held that "[w]hatever the scope of [a court's] 'inherent power,' ... it does not include the power to develop rules that circumvent or conflict with the Federal Rules of Civil Procedure."
This is merely derivative of the "cautionary principle" that courts will not "lightly assume that Congress has intended to depart from established principles such as the scope of a court's inherent power." Carlisle ,
At the time of this opinion, two circuits have addressed the issue. Both held that district courts have inherent authority to disclose historically significant grand jury records. See In re Petition of Craig ,
According to Pitch, the FBI interviewed over 2,700 people and subpoenaed over 100 witnesses to testify in front of the grand jury.
See generally United States v. Procter & Gamble Co. ,
Pitch first requested the records three years earlier, in 2014, which the district court denied. The government appeals from the district court's grant of Pitch's second petition, which he filed in 2017.
Concurring Opinion
Three decades ago, we held that a federal court has inherent authority to order the disclosure of grand jury materials in situations not covered by the exceptions to secrecy set forth in Federal Rule of Criminal Procedure 6(e). See In re Petition to Inspect & Copy Grand Jury Materials (Hastings) ,
Nevertheless, I join the court's opinion. Given our decision in Hastings , I do not see how we can say that the district court abused its discretion in relying on its inherent authority. In addition, I do not believe there is a persuasive basis to distinguish between the disclosure of grand jury materials for use by a judicial investigating committee (what was at issue in Hastings ) and the disclosure of grand jury materials to discover the facts surrounding an event of exceptional historical significance (what is at issue here).
* * * * *
If we are going to deny disclosure here, we need to overrule Hastings , rather than attempt to distinguish it. My initial view, following oral argument, was that we should consider convening en banc to revisit Hastings . Upon further reflection, however, I have come to a different conclusion, and I'd like to explain why.
First, Hastings does not stand alone. Other federal courts have likewise invoked inherent authority to permit disclosure of grand jury materials in circumstances not covered by Rule 6(e). See Carlson v. United States ,
No federal court, as far as I can tell, has come to a contrary conclusion in a published opinion. The Eighth Circuit has said that "courts will not order disclosure [of grand jury materials] absent a recognized exception to Rule 6(e) or a valid challenge to the original sealing order or its implementation," United States v. McDougal ,
Second, whatever the initial reasons for keeping grand jury matters secret, compare George Edwards, Jr., The Grand Jury 116 (1906) [Legal Classics Library ed. 2003] (suggesting that the "original purpose [of grand jury secrecy] was that no offender should escape"), with Mark Kadish, Behind the Locked Doors of an American Grand Jury: Its History, its Secrecy, and its Process , 24 Fl. St. U. L. Rev. 1, 14 (1996) (explaining that the reasons for grand jury secrecy were varied, and included preventing the flight of suspected criminals, finding out whether witnesses were biased, and ensuring freedom from judicial oversight), in the United States grand jury secrecy was not always seen as an absolute. In cases decided before the enactment of the Federal Rules of Criminal Procedure, some federal courts-including the Supreme Court-held (or at least said) that secrecy is not required after an indictment is returned and the accused is in custody. "[A]fter the grand jury's functions are ended, disclosure is wholly proper where the ends of justice require it." United States v. Socony-Vacuum Oil Co. ,
If Rule 6(e) was meant to "continue[ ] the traditional practice of secrecy on the part of members of the grand jury except when the court permits a disclosure," Rule 6(e), 1944 Advisory Committee Notes to Subdivision (e), there is a reasonable argument that Hastings and its progeny are at least consistent with historical practice. As we have said: "Although Rule 6(e)(3) enumerates the exceptions to the traditional rule of grand jury secrecy, the Supreme Court and this Court have recognized that the district courts have inherent power beyond the literal wording of Rule 6(e)(3) to disclose grand jury material and that Rule 6(e)(3) is but declaratory of that authority." United States v. Aisenberg ,
Third, a survey of the relevant cases indicates that federal courts have been able to apply the test set forth in In re Craig ,
Fourth, and perhaps most importantly, a recent attempt to amend Rule 6(e) to permit the disclosure of grand jury records in cases of exceptional historical significance proved unsuccessful. The reason why this proposed amendment failed is insightful, and in my view counsels against revisiting Hastings at this time.
In 2011, Attorney General Eric Holder recommended that Rule 6(e) be amended to establish procedures for disclosing historically significant grand jury materials. See Letter from Attorney General Eric Holder to Judge Reena Raggi, Chair of the Judicial Conference's Advisory Committee on Criminal Rules, Oct. 18, 2011 (attached). The Department of Justice questioned whether federal courts had inherent authority to allow such disclosures given what it believed was Rule 6(e) 's clear prohibition of disclosure of grand jury materials absent an express exception. See id. at 2-5. Attorney General Holder proposed that disclosure of historically significant grand jury materials be permitted, but only under new procedures set forth in Rule 6(e) itself. The procedures suggested by the DOJ would have required anyone seeking disclosure to show, among other things, that the grand jury records in question have "exceptional" historical significance, that at least 30 years have passed since the relevant case files associated with the grand jury records were closed, that no living person would be materially prejudiced by disclosure, and that disclosure would not impede any pending government investigation or prosecution. See id. at 8-9.
The Judicial Conference's Advisory Committee on Criminal Rules, then chaired by Second Circuit Judge Reena Raggi, reported in 2012 to the Committee on Rules of Practice and Procedure that it believed that the DOJ's proposed amendment to Rule 6(e) was unnecessary. See Minutes of Meeting of June 11-12, 2012, Judicial Conference Committee on Rules of Practice and Procedure, at 44 (relevant pages attached). According to Judge Raggi, all members of a subcommittee of the Advisory Committee on Criminal Rules-with the exception of the DOJ representative-recommended that the DOJ's proposed amendment "not be pursued" because "in the rare cases where disclosure of historic materials had been sought, the district [courts] acted reasonably in referring to their inherent authority," and as a result "there [wa]s no need for a rule on the subject." Id.
What happened (or, more accurately, did not happen) in 2012 is not, of course, dispositive. But it is instructive. If those charged with considering amendments to the Federal Rules of Criminal Procedure believed in 2012 that federal courts had properly relied on inherent authority to order the disclosure of historically significant grand jury materials, the case for overruling Hastings is lessened.
* * * * *
With these thoughts, I join the court's opinion.
Reference
- Full Case Name
- Anthony S. PITCH, Plaintiff - Appellee, v. UNITED STATES of America, Defendant - Appellant.
- Cited By
- 8 cases
- Status
- Published