U.S. Supreme Court, (June 22, 1959)
Docket number: 489
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U.S. Supreme Court - United States v. Procter & Gamble Co., 356 U.S. 677 (1958)
U.S. Supreme Court - Costello v. United States, 350 U.S. 359 (1956)
U.S. Supreme Court - Jencks v. United States, 353 U.S. 657 (1957)
U.S. Supreme Court - United States v. Johnson, 319 U.S. 503 (1943)
U.S. Supreme Court - Smith v. United States, 423 U.S. 1303 (1975)
U.S. Supreme Court - Illinois v. Abbott & Associates, Inc., 460 U.S. 557 (1983)
U.S. Supreme Court PITTSBURGH PLATE GLASS CO. v. U.S., 360 U.S. 395 (1959) 360 U.S. 395
PITTSBURGH PLATE GLASS CO. v. UNITED STATES. CERTIORARI TO THE UNITED STATES COURT OF APPEALS FOR THE FOURTH CIRCUIT. No. 489. Argued April 28, 1959. Decided June 22, 1959.* [Footnote *] Together with No. 491, Galax Mirror Co., Inc., et al. v. United States, also on certiorari to the same Court, argued April 29, 1959. Petitioners were convicted in a Federal District Court of conspiring to fix prices of plain plate glass mirrors in violation of 1 of the Sherman Act. After a key government witness had testified at their trial and had admitted that he had testified on the same general subject matter before the grand jury which indicted petitioners, their counsel moved for production of the grand jury minutes, not attempting to show any particularized need for them but claiming an absolute right to their production under Jencks v. United States, 353 U.S. 657. This motion was denied by the trial judge. Held: Under Rule 6 (e) of the Federal Rules of Criminal Procedure the question whether the grand jury minutes should be produced was committed to the sound discretion of the trial judge; no abuse of his discretion has been shown; and petitioners' conviction is sustained. Pp. 396-401. (a) Neither Jencks v. United States, supra, nor 18 U.S.C. 3500, which superseded its doctrine, has any bearing on this case, since neither of them relates to grand jury minutes. P. 398. (b) Under Rule 6 (e) of the Federal Rules of Criminal Procedure, the question whether grand jury minutes should be disclosed is committed to the sound discretion of the trial judge. Pp. 398-399. (c) No particularized need for production of the grand jury's minutes having been shown, the trial judge did not err in denying their production. United States v. Procter & Gamble, 356 U.S. 677. Pp. 399-401. 260 F.2d 397, affirmed. Leland Hazard argued the cause for petitioner in No. 489. With him on the brief were Cyrus v. Anderson and James B. Henry, Jr. [Page 360 U.S. 395, 396] H. Graham Morison argued the cause for petitioners in No. 491. With him on the brief were Samuel K. Abrams and Robert M. Lichtman. Philip Elman argued the causes for the United States. On the brief were Solicitor General Rankin, Assistant Attorney General Hansen, Daniel M. Friedman, Richard A. Solomon, Samuel Karp and Ernest L. Folk III. MR. JUSTICE CLARK delivered the opinion of the Court. Petitioners stand convicted on a single-count indictment charging a conspiracy under 1 of the Sherman Act. They contend that the trial judge erred in refusing to permit them to inspect the grand jury minutes covering the testimony before that body of a key government witness at the trial. The Court of Appeals affirmed the convictions, 260 F.2d 397. With reference to the present claim, it held that Rule 6 (e) of the Federal Rules of Criminal Procedure[Footnote 1] committed the inspection or not of grand jury minutes to the sound discretion of the trial judge, [Page 360 U.S. 395, 397] and that in this instance, no abuse of that discretion had been shown. We granted certiorari limited to the question posed by this ruling. 358 U.S. 917, 918. We conclude that in the circumstances of this case the trial court did not err in refusing to make Jonas' grand jury testimony available to petitioners for use in cross-examination. The indictment returned in the case named as defendants seven corporations, all manufacturers of mirrors, and three of their officers. However, only three of the corporations are petitioners here, along with one individual, J. A. Messer, Sr. The indictment charged a conspiracy to fix the price of plain plate glass mirrors sold in interstate commerce. It is not necessary for our purposes to detail the facts of this long trial, the record of which covers 860 pages. It is sufficient to say that the Government proved its case through 10 witnesses, the last of whom was Jonas. He was President of a large North Carolina mirror manufacturing company and had a reputation for independence in the industry. Although neither he nor his corporation was indicted, the latter was made a co-conspirator. The evidence indicates that the conspiracy was consummated at two meetings held on successive days during the week of the annual meeting of the Mirror Manufacturers Association in 1954 at Asheville, North Carolina. Jonas, not being a member of the Association, did not attend the convention. Talk at the convention regarding prices culminated in telephone calls by several representatives of mirror manufacturers to Jonas concerning his attitude on raising prices. On the day following these calls Jonas and three of the participants in the conspiracy met at an inn away from the convention headquarters and discussed "prices." Within three days thereafter each of the manufacturers announced an identical price increase, which was approximately 10 percent. Jonas' testimony, of course, was confined to the telephone calls and the meeting at the inn [Page 360 U.S. 395, 398] where the understanding was finalized. The Government admits that he was an "important" witness. However, proof of the conspiracy was overwhelming aside from Jonas' testimony. While he was the only witness who characterized the outcome of the meetings as an "agreement" on prices, no witness negatived this conclusion and the identical price lists that followed the meeting at the inn were little less than proof positive. After the conclusion of Jonas' testimony, defense counsel interrogated him as to the number of times he appeared and the subject of his testimony before the grand jury. Upon ascertaining that Jonas had testified three times on "the same general subject matter," counsel moved for the delivery of the grand jury minutes. He stated that the petitioners had "a right . . . to inspect the Grand Jury record of the testimony of this witness after he has completed his direct examination" relating to "the same general subject matter" as his trial testimony.[Footnote 2] As authority for "the automatic delivery of Grand Jury transcripts" under such circumstances counsel cited Jencks v. United States, 353 U.S. 657 (1957). As previously indicated, the motion was denied. It appears to us clear that Jencks v. United States, supra, is in nowise controlling here. It had nothing to do with grand jury proceedings and its language was not intended to encompass grand jury minutes. Likewise, it is equally clear that Congress intended to exclude those minutes from the operation of the so-called Jencks Act, 71 Stat. 595, 18 U.S.C. (Supp. V, 1958) 3500.[Footnote 3] Petitioners concede, as they must, that any disclosure of grand jury minutes is covered by Fed. Rules Crim. Proc. 6 (e) promulgated by this Court in 1946 after the [Page 360 U.S. 395, 399] approval of Congress. In fact, the federal trial courts as well as the Courts of Appeals have been nearly unanimous in regarding disclosure as committed to the discretion of the trial judge.[Footnote 4] Our cases announce the same principle,[Footnote 5] and Rule 6 (e) is but declaratory of it.[Footnote 6] As recently as last Term we characterized cases where grand jury minutes are used "to impeach a witness, to refresh his recollection, to test his credibility and the like" as instances of "particularized need where the secrecy of the proceedings is lifted discretely and limitedly." United States v. Procter & Gamble, 356 U.S. 677, 683 (1958). Petitioners argue, however, that the trial judge's discretion under Rule 6 (e) must be exercised in accordance with the rationale of Jencks; namely, upon a showing on cross-examination that a trial witness testified before the grand jury - and nothing more - the defense has a "right" to the delivery to it of the witness' grand jury testimony. This conclusion, however, runs counter to "a long-established policy" of secrecy, United States v. Procter & Gamble, supra, at 681, older than our Nation itself. The reasons therefor are manifold, id., at 682, and are compelling when viewed in the light of the history and modus operandi of the grand jury. Its establishment in the Constitution "as the sole method for preferring charges in serious criminal cases" indeed "shows the high place it [holds] as an instrument of justice." Costello v. United States, 350 U.S. 359, 362 (1956). Ever since this action [Page 360 U.S. 395, 400] by the Fathers, the American grand jury, like that of England, "has convened as a body of laymen, free from technical rules, acting in secret, pledged to indict no one because of prejudice and to free no one because of special favor." Ibid. Indeed, indictments may be returned on hearsay, or for that matter, even on the knowledge of the grand jurors themselves. Id., at 362, 363. To make public any part of its proceedings would inevitably detract from its efficacy. Grand jurors would not act with that independence required of an accusatory and inquisitorial body. Moreover, not only would the participation of the jurors be curtailed, but testimony would be parsimonious if each witness knew that his testimony would soon be in the hands of the accused. Especially is this true in antitrust proceedings where fear of business reprisal might haunt both the grand juror and the witness. And this "go slow" sign would continue as realistically at the time of trial as theretofore. It does not follow, however, that grand jury minutes should never be made available to the defense. This Court has long held that there are occasions, see United States v. Procter & Gamble, supra, at 683, when the trial judge may in the exercise of his discretion order the minutes of a grand jury witness produced for use on his cross-examination at trial. Certainly "disclosure is wholly proper where the ends of justice require it." United States v. Socony-Vacuum Oil Co., supra, at 234. The burden, however, is on the defense to show that "a particularized need" exists for the minutes which outweighs the policy of secrecy. We have no such showing here. As we read the record the petitioners failed to show any need whatever for the testimony of the witness Jonas. They contended only that they had a "right" to the transcript because it dealt with subject matter generally covered at the trial. Petitioners indicate that the trial judge required a showing of contradiction [Page 360 U.S. 395, 401] between Jonas' trial and grand jury testimony. Such a preliminary showing would not, of course, be necessary. While in a colloquy with counsel the judge did refer to such a requirement, we read his denial as being based on the breadth of petitioners' claim. Petitioners also claim error because the trial judge failed to examine the transcript himself for any inconsistencies. But we need not consider that problem because petitioners made no such request of the trial judge. The Court of Appeals apparently was of the view that even if the trial judge had been requested to examine the transcript he would not have been absolutely required to do so. It is contended here that the Court of Appeals for the Second Circuit has reached a contrary conclusion. United States v. Spangelet, 258 F.2d 338. Be that as it may, resolution of that question must await a case where the issue is presented by the record. The short of it is that in the present case the petitioners did not invoke the discretion of the trial judge, but asserted a supposed absolute right, a right which we hold they did not have. The judgment is therefore. Affirmed. FootnotesFootnote 1 "Rule 6. The Grand Jury.. . . . ."(e) Secrecy of Proceedings and Disclosure. Disclosure of matters occurring before the grand jury other than its deliberations and the vote of any juror may be made to the attorneys for the government for use in the performance of their duties. Otherwise a juror, attorney, interpreter or stenographer may disclose matters occurring before the grand jury only when so directed by the court preliminarily to or in connection with a judicial proceeding or when permitted by the court at the request of the defendant upon a showing that grounds may exist for a motion to dismiss the indictment because of matters occurring before the grand jury. No obligation of secrecy may be imposed upon any person except in accordance with this rule. The court may direct that an indictment shall be kept secret until the defendant is in custody or has given bail, and in that event the clerk shall seal the indictment and no person shall disclose the finding of the indictment except when necessary for the issuance and execution of a warrant or summons." Footnote 2 The fact that the trial testimony and that before the grand jury included the same "subjects" or related to "the same general subject matter" is not contested. Footnote 3 See S. Rep. No. 981, 85th Cong., 1st Sess.; 103 Cong. Rec. 15933. Footnote 4 E. g., United States v. Spangelet, 258 F.2d 338; United States v. Angelet, 255 F.2d 383; United States v. Rose, 215 F.2d 617, 629; Schmidt v. United States, 115 F.2d 394; United States v. American Medical Assn., 26 F. Supp. 429. Footnote 5 United States v. Socony-Vacuum Oil Co., (1940). And see United States v. Procter & Gamble Co., 356 U.S. 677 (1958); United States v. Johnson, 319 U.S. 503, 513 (1943). Footnote 6 See Notes of the Advisory Committee on Rules, following Rule 6, Fed. Rules Crim. Proc. MR. JUSTICE BRENNAN, with whom THE CHIEF JUSTICE, MR. JUSTICE BLACK and MR. JUSTICE DOUGLAS join, dissenting. In the words of the Court of Appeals, Jonas was the Government's "principal prosecuting witness."1 He was President of Lenoir Mirror Company, which company was [Page 360 U.S. 395, 402] a participant in the alleged price-fixing conspiracy, but was not indicted. After Jonas testified on direct examination defense counsel asked for the production of his relevant grand jury testimony. The trial judge immediately made clear his intention not to grant the motion: "Unless you can show some sound basis that contradicts between what happened in the Grand Jury room and his testimony before the Grand Jury and his testimony in this trial, I am not going to require the production of the Grand Jury records. It would be easy for any attorney to get access to the records of the Grand Jury by just such a motion as you are making here." Defense counsel protested, "we are not attempting that. We want just a transcript of his testimony before the Grand Jury regarding the subjects to which he has testified on direct examination." (Emphasis supplied.) This request thus encompassed all of Jonas' grand jury testimony only if all of that testimony covered the subject matter of Jonas' trial testimony. The court replied, "You have stated what you want to ask him and I am denying your right to do it." Plainly defense counsel were not asking to see the minutes of the entire grand jury proceedings, nor even of all of Jonas' testimony before the grand jury unless all of it was on the same subject matter as his trial testimony. Their motion was carefully limited to a request for so much of Jonas' grand jury testimony as "covered the substance of his testimony on direct examination." This request that secrecy be "lifted discretely and limitedly," United States v. Procter & Gamble, 356 U.S. 677, 683, necessarily implied a request that the trial judge inspect the grand jury minutes and turn over to the defense only those parts dealing with Jonas' testimony on the same subject matter as his trial testimony. In this posture, then, the question for our decision is the narrow one whether the trial judge erred in denying the defense request for inspection of the grand jury testimony of a [Page 360 U.S. 395, 403] key government witness which covered the subject matter of that witness' trial testimony.2 I dissent from the Court's affirmance of the trial judge's ruling denying this carefully circumscribed request. Grand jury secrecy is, of course, not an end in itself. Grand jury secrecy is maintained to serve particular ends. But when secrecy will not serve those ends or when the advantages gained by secrecy are outweighed by a countervailing interest in disclosure, secrecy may and should be lifted, for to do so in such a circumstance would further the fair administration of criminal justice. See McNabb v. United States, . It is true that secrecy is not to be lifted without a showing of good reason, but it is too late in the day to say, as the Court as a practical matter does here, that the Government may insist upon grand jury secrecy even when the possible prejudice to the accused in a criminal case is crystal clear and none of the reasons justifying secrecy is present. "[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., 310 U.S. 150, 234. Thus grand jury minutes have been made available to a defendant accused of committing perjury before the grand jury so that he could adequately prepare his defense, United States v. Remington, 191 F.2d 246; United States v. Rose, 215 F.2d 617, and to a defendant who can show an inconsistency between the trial testimony and grand jury testimony of a government witness, United States v. Alper,Try vLex for FREE for 3 days
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