Grynberg v. U.S. Dep't of Justice
Grynberg v. U.S. Dep't of Justice
Opinion of the Court
The United States Department of Justice moves for summary judgment dismissing this Freedom of Information Act ("FOIA") action by Jack J. Grynberg and Grynberg Petroleum Company (together, "Grynberg"). Grynberg seeks documents collected by the United States Attorney's Office for the Southern District of New York ("USAO") in connection with its investigation and prosecution of James Giffen. The Government claims that these documents are exempt from production. For the reasons that follow, the Government's motion for summary judgment is granted and this action is dismissed.
BACKGROUND
Grynberg's litigation exploits verge on the legendary. Over the past fifteen years, Grynberg and entities he controls have filed hundreds of lawsuits seeking to recover a 20% stake in a major oil field located in the Caspian Sea near Kazakhstan. See, e.g., In re Grynberg,
In 2003, the Government charged Giffen with violations of the Foreign Corrupt Practices Act alleging that he made payments to senior Kazakh officials and steered oil exploration and development rights in Kazakhstan to a consortium of oil companies. See United States v. Giffen,
In May 2013, Grynberg submitted a FOIA request to the Department of Justice seeking all of the USAO's files related *535to the Giffen prosecution in this District. (See Declaration of Tricia Francis, ECF No. 48 ("Francis Decl.") Ex. A.) That request was denied. (Francis Decl. Ex. C) In August 2013, Grynberg made a second request, narrowing the scope to: (1) public records; (2) corporate records; and (3) bank records. (Francis Decl. Ex. G.) In October 2013, the USAO conducted a preliminary search and concluded that it had no responsive documents. (Francis Decl. Ex. K.) Grynberg appealed, and the Office of Information Policy remanded his FOIA request back to the USAO for an additional search. (Francis Decl. Exs. N, O.)
While that review on remand was underway, in September 2015, Grynberg further cabined his request to: (1) bank records; (2) records from British Petroleum ("BP"), and (3) court transcripts. (Francis Decl. Ex. R.) Between December 2015 and November 2016, the USAO searched intermittently for responsive documents. (Francis Decl. ¶ 33.)
In October 2016, Grynberg filed this lawsuit in the United States District Court for the District of Colorado, alleging that the Government was wrongfully withholding the requested documents. (Compl. ¶ 20). The Colorado District Judge ordered an initial review and production of certain documents, and thereafter granted the parties' request to transfer the case to this Court. (Order, ECF No. 26.)
Subsequently, the Government conducted a broad review of approximately 230 bankers' boxes containing documents collected during the Giffen prosecution. (Francis Decl. ¶ 44.) Documents not identified as exempt under FOIA on an initial review were scanned and logged into a 300-page index. (Francis Decl. ¶ 45.) Later, on closer examination, the Government determined that the majority of the logged documents were exempt. (Francis Decl. ¶ 46-47.) It therefore withheld all documents except publicly available records. (Francis Decl. Exs. U, V.)
LEGAL STANDARD
"Summary judgment is the procedural vehicle by which most FOIA actions are resolved." N.Y. Times v. U.S. Dep't of Justice,
FOIA enumerates nine exemptions to disclosure. See
*536DISCUSSION
A. The Scope of Grynberg's FOIA Request
As an initial matter, the parties dispute the scope of Grynberg's request-namely, whether Grynberg improperly narrowed the scope of requested documents during the pendency of this litigation. Grynberg's motion papers make clear that he seeks only bank records and records from BP. The Government asserts that this limited request was not clearly established and that it assumed Grynberg continued to press his request for the entire Giffen file.
"[N]o statute requires a court to allow FOIA modifications during the course of litigation." Serv. Women's Action Network v. Dep't of Def.,
The Government argues that the Complaint vaguely asks this Court to "order DOJ to produce all responsive agency records" which would entail all documents collected during the Giffen investigation. (Compl. at 4.) But Grynberg modified his request during the administrative stage of the FOIA process prior to filing this lawsuit. (Francis Decl. Ex. R.). That Grynberg pared the scope of his request during the administrative proceedings distinguishes this case from National Day Laborer Organizing Network,
B. Grand Jury Materials
Initially, the Government invoked five exemptions to what it considered to be Grynberg's request for all Giffen-related documents. When it became clear that Grynberg sought only bank records and BP records, the Government focused its argument on
FOIA Exemption 3 blocks the production of records "exempted from disclosure by statute if that statute ... requires that the matters be withheld from the public in such a manner as to leave no discretion on the issue; or establishes particular criteria for withholding or refers to particular types of matters to be withheld."
The Government asserts that all documents within the two categories that Grynberg seeks "were obtained either from Switzerland via the [Mutual Legal Assistance Treaty with Switzerland (the "U.S.-Swiss MLAT" or "MLAT") ] or via a grand jury subpoena." (Supplemental Declaration of Darian Hodge, ECF No. 57 ¶ 4; see also Hearing Transcript, ECF No. 64 ("Hr'g Tr."), 5:14-18.) This representation is entitled to the presumption of good faith. Carney,
Beginning with the grand jury materials, "requests for documents related to grand jury investigations implicate FOIA's third exemption because Rule 6(e) of the Federal Rules of Criminal Procedure prohibits government attorneys and others from disclosing a matter occurring before the grand jury." Lopez v. Dep't of Justice,
This exemption clearly protects documents that are "actually presented to the grand jury." N.Y. Times Co. v. U.S. Dep't of Justice,
Courts recognize that Rule 6(e) protects anything revealing "the identities of [grand jury] witnesses or jurors, the substance of testimony, the strategy or direction of the investigation, the deliberations or questions of jurors, and the like." N.Y. Times Co.,
In Germosen v. Cox,
The same conclusion was reached one year earlier in Local 32B-32J,
This Court reaches the same conclusion. The Government avers that producing records subpoenaed by the grand jury would "publicly reveal the scope and secret aspects of the grand jury investigation by showing where the Government sought its evidence, the sources of information it had relied on to develop the facts of its investigation, and the steps that the Government anticipated taking and actually took in furtherance of the investigation." (Francis Decl. ¶ 54.) Grynberg fails to rebut this proposition. In the context of this criminal investigation, the Government's possession of these records establishes a strong likelihood that they were produced pursuant to a grand jury subpoena. (See Hr'g Tr. at 17:13-20.)
According to the Government, the documents are readily identifiable as responsive to grand jury subpoenas based on their Bates numbers. (Francis Decl. ¶ 54.) Other circuits have held that it is "reasonable for an agency to withhold any document containing a grand jury exhibit sticker or that is otherwise explicitly identified on its face as a grand jury exhibit, as release of such documents reasonably could be viewed as revealing the focus of the grand jury investigation." Church of Scientology Int'l v. U.S. Dep't of Justice,
Grynberg's reliance on John Doe Corporation v. John Doe Agency is misplaced. John Doe Corp. v. John Doe Agency,
This Court's determination is also not precluded by United States v. Interstate Dress Carriers, Inc.
*539This approach is also a sensible policy, in light of a grand jury's extraordinarily broad coercive powers and the Government's fundamental interest in keeping grand jury proceedings secret. See In re Grand Jury Proceedings,
C. MLAT Materials
The Government asserts that all bank records and BP records not obtained via grand jury subpoenas were obtained from Switzerland via the MLAT. (See Mutual Assistance in Criminal Matters, U.S.-Switz., Jan. 23, 1977, 27 U.S.T. 2019,
In Dongkuk, the court analyzed the "novel question" of whether a document "sent by the Korean Ministry of Justice to [the] United States Department of Justice (DOJ) pursuant to an MLAT between the United States and the Republic of Korea" was subject to public disclosure under FOIA. Dongkuk,
Because the U.S.-Korea MLAT was a self-executing bilateral treaty ratified by the Senate, the court first found that it qualified as a "statute" for purposes of Exemption 3. Dongkuk,
The reasoning in Dongkuk is persuasive. Like the U.S.-Korea MLAT, the U.S.-Swiss MLAT is a Senate-ratified self-executing treaty. (See MLAT, art. 41 ("The Treaty shall enter into force 180 days after the date of the exchange of the instruments of ratification.").) It therefore has the force of law and qualifies as a statute. See Whitney v. Robertson,
Also like the MLAT analyzed in Dongkuk, the U.S.-Swiss MLAT establishes a particular type of matter to be withheld. Article 10 requires Switzerland to produce "evidence or information which would disclose facts which a bank is required to keep secret or are manufacturing or business secrets" if the United States's request concerns a prosecution of a serious offense, the disclosure would provide significant facts in that proceeding, and the United States already made reasonable but unsuccessful efforts to obtain the same evidence. (MLAT, art. 10, ¶ 2.) Article 15 provides that evidence disclosed pursuant to Article 10 "shall, if in the opinion of that state its importance so requires and an application *540to that effect is made, be kept from public disclosure to the fullest extent compatible with constitutional requirements in the requesting state." (MLAT, art. 15 (emphasis added).) Article 5, which provides that any documents obtained pursuant to the MLAT "shall not be used for investigative purposes nor be introduced into evidence ... in any proceeding relating to an offense other than the offense for which assistance has been granted" is also relevant. (MLAT, art. 5.)
Like the MLAT in Dongkuk, this MLAT's description of what is to be withheld is limited to a particular type of matter narrow enough for Exemption 3: documents provided under Article 10, when accompanied with "an application" requesting the documents be kept private.
The only remaining question is whether the Giffen materials were produced pursuant to this language. A Department of Justice attorney responsible for processing Swiss MLAT requests asserts that "it is understood that all of the articles contained in the U.S.-Swiss MLAT, even if not specifically invoked, apply to all evidence and information provided by either country." (Ford Decl. ¶ 8.) This understanding is entitled to deference. See Sumitomo Shoji Am. v. Avagliano,
Finally, and most importantly, the Government determined that all MLAT materials obtained in the Giffen prosecution contained cover letters "includ[ing] the standard language used when the Swiss Federal Office of Justice transmits evidence to the United States pursuant to the [MLAT]." (Hodge Decl. ¶ 21.) This language states that the materials are "provided for by art. 5 of the [MLAT]" and that "any public disclosure ... including disclosure pursuant to Freedom of Information Act requests ... would violate the laws applicable to [the Swiss authorities]." (Ford Decl. ¶ 7.) While Grynberg challenges the Government's failure to produce these cover letters to substantiate this representation, his "purely speculative claims" are not enough to supersede the "presumption of good faith." See Grand Cent. P'ship, Inc. v. Cuomo,
Switzerland produced these documents pursuant to the MLAT's confidentiality provisions, with an understanding that they would not be used in other proceedings or produced in response to FOIA requests. It also included an application requesting they be kept private, as shown through the cover letters. And "the emphasis on maintaining confidentiality of assistance requests" seen throughout the U.S.-Swiss MLAT makes this Court "doubt that Congress intended for [these documents] to be available under FOIA." Dongkuk,
CONCLUSION
For the foregoing reasons, the Government's motion for summary judgment dismissing this FOIA action is granted. The Clerk of Court is directed to terminate all pending motions and mark this case as closed.
SO ORDERED.
The Government has produced all publicly available records contained in the Giffen file, and Grynberg appears to agree that his request for court transcripts has been satisfied. (See Francis Decl. ¶ 49; Letter, ECF No. 39.)
Reference
- Full Case Name
- Jack J. GRYNBERG, et ano. v. U.S. DEPARTMENT OF JUSTICE
- Cited By
- 1 case
- Status
- Published