Grand Jury Investigation of Cuisinarts, Inc., In re

Decision Date19 November 1981
Docket NumberNo. 180,180
Citation665 F.2d 24
Parties1981-2 Trade Cases 64,377 In re: GRAND JURY INVESTIGATION OF CUISINARTS, INC., State of Connecticut, Commonwealth of Massachusetts, State of Rhode Island and Providence Plantations, State of Vermont, State of New York, State of Colorado, State of New Jersey, State of North Carolina, State of Maine, State of New Hampshire, State of Maryland, Commonwealth of Virginia, State of Texas, State of Wisconsin, Appellants, UNITED STATES of America, Intervenor, v. CUISINARTS, INC., Appellee. ; Docket 81-7338.
CourtU.S. Court of Appeals — Second Circuit

Robert M. Langer, Asst. Atty. Gen., of Conn., Hartford, Conn. (Carl R. Ajello, Atty. Gen., Steven M. Rutstein, Asst. Atty. Gen., of Conn., Hartford, Conn., of counsel), for appellantState of Conn.

Francis X. Bellotti, Atty. Gen., Alan L. Kovacs, Paul C. Bishop, Asst. Attys.Gen., Commonwealth of Massachusetts, Boston, Mass., of counsel, for appellantCommonwealth of Massachusetts.

Dennis J. Roberts II, Atty. Gen., Patrick J. Quinlan, Sp. Asst. Atty. Gen. of Rhode Island and Providence Plantations, Providence, R.I., of counsel, for appellantState of Rhode Island and Providence Plantations.

John J. Easton, Atty. Gen., Jay I. Ashman, Glenn A. Jarrett, Asst. Attys.Gen., State of Vermont, Montpelier, Vt., of counsel, for appellantState of Vermont.

Robert Abrams, Atty. Gen., Lloyd Constantine, Asst. Atty. Gen., State of New York, New York City, of counsel, for appellantState of New York.

J. D. Mac Farlane, Atty. Gen., B. Lawrence Theis, Karen Hoffman Seymour, Asst. Attys.Gen., State of Colorado, Denver, Colo., of counsel, for appellantState of Colorado.

James R. Zazzali, Atty. Gen., Laurel A. Price, Deputy Atty. Gen., State of New Jersey, Princeton, N.J., of counsel, for appellantState of New Jersey.

Rufus L. Edmisten, Atty. Gen., H. A. Cole, Jr., Sp. Deputy Atty. Gen., Fred R. Gamin, Associate Atty. Gen., State of North Carolina, Raleigh, N.C., of counsel, for appellantState of North Carolina.

James P. Tierney, Atty. Gen., Cheryl Harrington, Senior Asst. Atty. Gen., State of Maine, Augusta, Me., of counsel, for appellantState of Maine.

Gregory H. Smith, Atty. Gen., Edward E. Lawson, Antitrust Counsel, State of New Hampshire, Concord, N.H., of counsel, for appellantState of New Hampshire.

Stephen H. Sachs, Atty. Gen., Charles O. Monk II, Robert W. Hesselbacher, Jr., Asst. Attys.Gen., State of Maryland, Baltimore, Md., of counsel, for appellantState of Maryland.

Marshall Coleman, Atty. Gen., Bertram M. Long, Craig T. Merritt, Asst. Attys.Gen., Commonwealth of Virginia, Richmond, Va., of counsel, for appellantCommonwealth of Virginia.

Mark White, Atty. Gen., Linda Aaker, Asst. Atty. Gen., State of Texas, Austin, Tex., of counsel, for appellantState of Texas.

Bronson C. La Follette, Atty. Gen., Michael L. Zaleski, Asst. Atty. Gen., State of Wisconsin, Madison, Wis., of counsel, for appellantState of Wisconsin.

Frederic Freilicher, Dept. of Justice, Washington, D. C. (William F. Baxter, Asst. Atty. Gen., Robert B. Nicholson, Mark C. Del Bianco, Dept. of Justice, Washington, D. C., of counsel), for intervenor.

Arthur M. Handler, New York City(Michael M. Meadvin, I. Joseph Gontownik, Golenbock & Barell, New York City, of counsel), for appellee.

Tyrone C. Fahner, Atty. Gen., Thomas M. Genovese, Stephen P. Juech, Asst. Attys.Gen., State of Illinois, Chicago, Ill., of counsel, for amicus curiaeState of Illinois.

Charles A. Graddick, Atty. Gen., Susan Beth Farmer, Asst. Atty. Gen., State of Alabama, Montgomery, Ala., of counsel, for amicus curiaeState of Alabama.

Wilson L. Condon, Atty. Gen., Louise E. Ma, Asst. Atty. Gen., State of Alaska, Anchorage, Alaska, of counsel, for amicus curiaeState of Alaska.

Robert K. Corbin, Atty. Gen., Alison B. Swan, Chief Counsel, Antitrust Division, State of Arizona, Phoenix, Ariz., of counsel, for amicus curiaeState of Arizona.

Steve Clark, Atty. Gen., David L. Williams, Deputy Atty. Gen., State of Arkansas, Little Rock, Ark., of counsel, for amicus curiaeState of Arkansas.

Richard S. Gebelein, Atty. Gen., Robert P. Lobue, Deputy Atty. Gen., State of Delaware, Wilmington, Del., of counsel, for amicus curiaeState of Delaware.

Jim Smith, Atty. Gen., Bill L. Bryant, Jr., Asst. Atty. Gen., State of Florida, Tallahassee, Fla., of counsel, for amicus curiaeState of Florida.

Tany S. Hong, Atty. Gen., Robert F. Miller, Deputy Atty. Gen., State of Hawaii, Honolulu, Hawaii, of counsel, for amicus curiaeState of Hawaii.

Linley E. Pearson, Atty. Gen., Frank A. Baldwin, Deputy Atty. Gen., State of Indiana, Indianapolis, Ind., of counsel, for amicus curiaeState of Indiana.

Thomas J. Miller, Atty. Gen., John R. Perkins, Asst. Atty. Gen., State of Iowa, Des Moines, Iowa, of counsel, for amicus curiaeState of Iowa.

Robert T. Stephan, Atty. Gen., Wayne E. Hundley, Deputy Atty. Gen., State of Kansas, Topeka, Kan., of counsel, for amicus curiaeState of Kansas.

Steven L. Beshear, Atty. Gen., James M. Ringo, Asst. Atty. Gen., Commonwealth of Kentucky, Frankfort, Ky., of counsel, for amicus curiaeCommonwealth of Kentucky.

Williams J. Guste, Jr., Atty. Gen., John R. Flowers, Jr., Asst. Atty. Gen., State of Louisiana, New Orleans, La., of counsel, for amicus curiaeState of Louisiana.

Frank J. Kelley, Atty. Gen., Edwin M. Bladen, Asst. Atty. Gen., State of Michigan, Detroit, Mich., of counsel, for amicus curiaeState of Michigan.

Warren R. Spannaus, Atty. Gen., Stephen P. Kilgriff, Sp. Asst. Atty. Gen., State of Minnesota, St. Paul, Minn., of counsel, for amicus curiaeState of Minnesota.

Bill Allain, Atty. Gen., Robert E. Sanders, Sp. Asst. Atty. Gen., State of Mississippi, Jackson, Miss., of counsel, for amicus curiaeState of Mississippi.

John Ashcroft, Atty. Gen., William L. Newcomb, Jr., Asst. Atty. Gen., State of Missouri, Jefferson City, Mo., of counsel, for amicus curiaeState of Missouri.

Mike Greely, Atty. Gen., Jerome J. Cate, Asst. Atty. Gen., State of Montana, Helena, Mont., of counsel, for amicus curiaeState of Montana.

Paul L. Douglas, Atty. Gen., Dale A. Comer, Asst. Atty. Gen., State of Nebraska, Lincoln, Neb., of counsel, for amicus curiaeState of Nebraska.

Jeff Bingaman, Atty. Gen., Jim Wechsler, Richard H. Levin, Asst. Attys.Gen., State of New Mexico, Santa Fe, N. M., of counsel, for amicus curiaeState of New Mexico.

William J. Brown, Atty. Gen., Eugene F. McShane, Asst. Atty. Gen., State of Ohio, Columbus, Ohio, of counsel, for amicus curiaeState of Ohio.

Jan Eric Cartwright, Atty. Gen., State of Oklahoma, Oklahoma City, Okl., of counsel, for amicus curiaeState of Oklahoma.

Dave Frohnmayer, Atty. Gen., William F. Gary, Sol.Gen., Richard L. Caswell, Chief Counsel, Antitrust Division, State of Oregon, Salem, Or., of counsel, for amicus curiaeState of Oregon.

Leroy S. Zimmerman, Atty. Gen., Eugene F. Waye, Deputy Atty. Gen., John L. Shearburn, Asst. Atty. Gen., Commonwealth of Pennsylvania, Harrisburg, Pa., of counsel, for amicus curiaeCommonwealth of Pennsylvania.

Daniel R. McLeod, Atty. Gen., John M. Cox, Asst. Atty. Gen., State of South Carolina, Columbia, S. C., of counsel, for amicus curiaeState of South Carolina.

Mark V. Meierhenry, Atty. Gen., James E. McMahon, Deputy Atty. Gen., State of South Dakota, Pierre, S. D., of counsel, for amicus curiaeState of South Dakota.

William M. Leech, Jr., Atty. Gen., William J. Haynes, Deputy Atty. Gen., State of Tennessee, Nashville, Tenn., of counsel, for amicus curiaeState of Tennessee.

David L. Wilkinson, Atty. Gen., Peter C. Collins, Asst. Atty. Gen., State of Utah, Salt Lake City, Utah, of counsel, for amicus curiaeState of Utah.

Kenneth O. Eikenberry, Atty. Gen., John R. Ellis, Asst. Atty. Gen., State of Washington, Seattle, Wash., of counsel, for amicus curiaeState of Washington.

Chauncey H. Browning, Jr., Atty. Gen., Charles G. Brown, Deputy Atty. Gen., State of West Virginia, Charleston, W. Va., of counsel, for amicus curiaeState of West Virginia.

Steven F. Freudenthal, Atty. Gen., Gay Vanderpoel, Asst. Atty. Gen., State of Wyoming, Cheyenne, Wyo., of counsel, for amicus curiaeState of Wyoming.

Judith W. Rogers, Corp.Counsel, Charles L. Reischel, Deputy Corp.Counsel, Timothy J. Shearer, Asst. Corp.Counsel, District of Columbia, Washington, D. C., of counsel, for amicus curiaeDistrict of Columbia.

Before KAUFMAN and MESKILL, Circuit Judges, and BONSAL, District Judge.*

IRVING R. KAUFMAN, Circuit Judge:

The long shadows of history enshroud the precise moment when the first grand jury was established in an English-speaking community.It appears, however, that a rudimentary ancestor of our modern grand jury was an integral element of the system of justice in medieval England over eight hundred years ago.Our forefathers carried this tradition to America and embedded its inherent powers in the Fifth Amendment of our Constitution.As this institution evolved over the centuries, its proceedings were cloaked with secrecy to guard against injury to reputations of the innocent to protect witnesses from retaliation or intimidation, and to promote the grand jury's effectiveness as an investigative device.This time-honored policy of secrecy has been the most essential, indeed indispensable, characteristic of grand jury proceedings.

Today, we are asked to lift this veil of secrecy.The States of Connecticut, Rhode Island, Vermont, New York, Colorado, New Jersey, North Carolina, Maine, New Hampshire, Maryland, Texas, and Wisconsin, and the Commonwealths of Massachusetts and Virginia ("States") would have us determine whether section 4F(b) of Title III of the Hart-Scott-Rodino Antitrust Improvements Act of 1976, 15 U.S.C. § 15f(b), 1 permits the disclosure of grand jury materials to a state attorney general without the traditional showing of compelling and particularized need.2The Fourth 3 and the Ninth Circuits 4 have earlier ruled...

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