Gahagan v. United States Citizenship & Immigration Services
Gahagan v. United States Citizenship & Immigration Services
Opinion of the Court
ORDER AND REASONS
This Freedom of Information Act (“FOIA”) case involves a dispute between plaintiff Michael Gahagan, an immigration attorney, and the United States Citizenship and Immigration Service' (“USCIS”) regarding plaintiff’s request for agency records concerning his client. Pláintiff alleges that USCIS has failed to respond adequately to his lawful FOIA requests and seeks declaratory relief and attorney’s fees. USCIS claims that it has fully complied with its statutory obligations under FOIA. Both parties have filed cross motions for summary judgment. For the following reasons, the Court DENIES plaintiffs motion and GRANTS IN PART AND DENIES IN PART USCIS’s motion for summary judgment. •
I. FACTS
In his complaint, plaintiff alleges that he filed a lawful FOIA request with USCIS seeking three sets of documents: (1) a copy of his client’s “entire immigration file (’A-File’)”; (2) “any electronic and/or handwritten notes written by any USCIS employee” in relation to applications and-petitions filed by his client; and (3) “a copy of any email sent to, or sent from, any government employee working at the USCIS New Orleans Field Office which mention [his client’s] name or Alien number,” including emails from personal email addresses.
On August 11, 2015, plaintiff moved for summary judgment, arguing that USCIS failed to comply with FOIA and that plaintiff is entitled to judgment as a matter of law.
On October 14, 2015, USCIS filed its own motion for summary judgment,
Plaintiff contends that USCIS has not met its burden of proving full FOIA compliance and raises a number of challenges to USCIS’S declarations and Vaughn index entries.
II. STANDARD
Summary judgment is available to the defendant in a FOIA case when the agency proves that it has fully discharged its obligations under FOIA, and there is no genuine issue of material fact, after the underlying facts and the inferences to be drawn from them are construed in the light most favorable to the FOIA requester. See Weisberg v. U.S. Dep’t of Justice, 705 F.2d 1344, 1350 (D.C.Cir. 1983). The agency may satisfy its burden of proof through the submission of affidavits that identify the documents at issue and explain why they fall under the claimed exemption.
III. DISCUSSION
A. Eggleston’s Personal Knowledge
USCIS has submitted two declarations by Jill Eggleston in connection with this case — a declaration dated August 20, 2015, and a supplemental declaration dated October 5, 2015. In his reply brief in support of his motion for summary judgment, plaintiff argues that Eggleston’s original declaration should" be stricken from the record because the declarant lacks personal knowledge of, the declaration’s - contents.
Federal Rule of Civil Procedure 56(c)(4) requires declarations offered in support of, or in- opposition to, summary judgment to be based on personal knowledge. Fed. R. Civ. P. 56(c)(4); Cutting Underwater Techs. USA, Inc. v. Eni U.S. Operating Co., 671 F.3d 512, 515 (5th Cir. 2012). While a declaration need not specifically state that it is based on personal knowledge, it must include enough factual support for a court to determine that its averments were based upon the personal knowledge of the declarant. Fed. R. Civ. P. 56(c)(4); see also Thomas v. Atmos Energy Corp., 223 Fed.Appx. 369, 374 (5th Cir. 2007). When considering a motion for summary judgment, a court disregards any portion of a declaration that fails to comply with Rule 56(c)(4). Akin v. Q-L Investments, Inc., 959 F.2d 521, 531 (5th Cir. 1992).
Although the Fifth Circuit 'has not addressed the issue, a number of courts have held that an agency’s declarant need not have participated personally in the FOIA search to meet the "personal knowledge requirement. See Dugan v. Dep’t of Justice, 82 F.Supp.3d 485, 496 (D.D.C. 2015) (concluding that declarant was competent to testify despite having not participated directly in processing the FOIA request); Serv. Women’s Action Network v. Dep’t of Def., 888 F.Supp.2d 231, 251 (D.Conn. 2012) (concluding that an “attenuated supervisor” ■ of the person who conducted actual FOIA search had personal knowledge to give declaration). Rather, a declarant in a FOIA case satisfies Rule 56(c)(4) if she attests to her personal knowledge of the procedures used in handling plaintiffs FOIA request and. her familiarity .with the documents in question. See, e.g., Spannaus v. U.S. Dep’t of Justice, 813. F.2d 1285, 1289 (4th Cir. 1987); Gahagan v. U.S. Citizenship & Immigration Servs., No. CIV.A. 14-1268, 2015 WL 5321749, at *5 (E.D.La. Sept. 11, 2015); Barnard v. Dep’t of Homeland Sec., 531 F.Supp.2d 131, 138 (D.D.C. 2008); Berman v. C.I.A., 378 F.Supp.2d 1209, 1216 n. 7 (E.D.Cal. 2005), aff'd, 501 F.3d 1136 (9th Cir. 2007). The Court finds this precedent persuasive.
Here, the Eggleston declaration satisfies Rule 56(c)(4). Eggleston states
B. Adequacy of USCIS’s Search
■ Next, the Court considers the adequacy of USCIS’s search for records responsive to plaintiffs FOIA request. Plaintiff argues that USCIS has not demonstrated that it conducted an adequate search, as mandated by FOIA, because it has 'not: (1) described its search methods in a noncon-clusory manner; (2) averred that it searched all files likely to contain responsive documents; (3) identified which databases and email accounts were searched; or (4) explained why it searched for documents in some places, but not in others.
Under Fifth' Circuit law, an agency may demonstrate the adequacy of its search by showing that it used “methods which can be reasonably'expected to produce the information requested.” Batton v. Evers, 598 F.3d 169, 176 (5th Cir. 2010) (quoting Oglesby v. U.S. Dep’t of Army, 920 F.2d 57, 68 (D.C.Cir. 1990)). The issue “is not whether there might exist any other documents possibly responsive to the request, but rather whether the search for those documents was adequate.” Weisberg v. U.S. Dep’t of Justice, 745 F.2d 1476, 1485 (D.C.Cir. 1984) (emphasis in original). To demonstrate the adequacy of its search, the agency may submit affidavits of declarations explaining the scope and method of the search in reasonable detail and in a nonconclusory fashion. Brown v. F.B.I., 873 F.Supp.2d 388, 399 (D.D.C. 2012) (citing Steinberg v. DOJ, 23 F.3d 548, 551 (D.C.Cir. 1994)). These documents “are afforded a presumption of good faith, which cannot be rebutted by purely speculative claims about the.existence and discovera-bility of other documents,” Id. (citing SafeCard Servs., Inc. v. SEC, 926 F.2d 1197, 1200 (D.C.Cir. 1991)).
Although plaintiff contends that Eggleston’s declarations were made in bad faith, neither of his two arguments for this proposition is persuasive. First, plaintiff cites Eggleston’s, statement in. her original declaration that “[a]ll documents responsive to the Plaintiff’s FOIA request would be contained within the subject A-file.” Plaintiff argues that this statement was “untruthful” because plaintiffs FOIA
Second, plaintiff argues that Eggleston’s statement in her supplemental declaration that “six (6) pages are withheld in 'part, and twenty-three (23) are released in full” was made in bad faith because that statement was made on October 5/2015, and plaintiff did not receive the documents in question until October 21, 2015. Plaintiff apparently equates USCIS’s statement that documents “are released” with a claim that USCIS had already sent plaintiff those documents as of the date the statement was made — a claim that plaintiff contends must have been false, given the chronology» But plaintiff gives no explanation for his strained interpretation of the declaration’s language, and it is not clear why. the words “are released” should be taken to mean “have already been released.” Eggleston’s statement is more naturally read- to mean that USCIS had reached a final decision' with respect to plaintiffs FOIA request, whereby certain documents “are released in full.” That a decision had been reached does not mean that it has been put into operation. Thus, Eggleston did- not falsely state that USCIS had already produced- documents in her supplemental declaration. Because plaintiff fails to overcome the presumption of good faith, the Court accords the Eggleston declarations substantial weight in evaluating USCIS’s compliance with its FOIA obligations.
After reviewing the declarations, the Court concludes that USCIS has shown that it conducted a legally adequate search for documents responsive to plaintiffs FOIA request. The -first set of documents that plaintiff requested is USCIS’s “entire immigration file (‘A-file’)” on plaintiffs client-.
• The Eggleston declaration establishes that USCIS conducted ' an 'adequate search for plaintiffs client’s immigration file. USCIS identifies which records system it searched by name; It also avers
In addition to the A-file, plaintiff requested electronic and handwritten notes concerning various applications and petitions relating -to his client. He also requested “any emails, sent to, or sent from, any government employee working at the USCIS New. Orleans Field Office” that mention his client’s name or identification number.
These statements establish the lawfulness of USCIS’s search for notes and emails. USCIS describes each step that the New Orleans Field Office took to locate responsive documents. It also names every individual involved in the search and specific,ally (describes each person’s search methods, including the locations searched and the search terms used. Contrary to plaintiffs assertion, this description is neither vague nor conclusory. It contains specific details about who searched , for records and how they approached the task, thereby permitting the Court to evaluate the adequacy of USCIS’s efforts. See Oglesby, 920 F.2d at 68 (concluding that an
Plaintiff faults USCIS fob failing to explain why it limited its search to the personnel, databases, and files identified iii Eggleston’s amended declaration. Citing cases from the District of Columbia, plaintiff argues that USCIS is required to explain why ’it searched- for responsive records in some locations but not -in others.
Second, Eggelston’s amended" declaration closely resembles declarations that the Fifth Circuit deemed sufficient in Batton v. Evers. There, the responding agency submitted two declarations. Id. One stated that the office searched “internal databases and systems of record”; the other listed “the particular databases that were searched” and explained that “these databases contain the type of information requested by [plaintiff].” Id. The Fifth Circuit held that these declarations sufficed to prove that the agency performed a lawful search. Id. Like the Batton declarations, Eggleston’s amended declaration identifies specific locations in which information of the type that plaintiff requested could be located. It also provides the name of each person whose files were searched and provides the exact terms that were used to search each person’s email accounts, computer files, and other record systems. The amended declaration is therefore sufficient under Fifth Circuit precedent.
For these reasons, the Court finds that USCIS has conducted a lawful search, using “methods which can be reasonably expected. to produce the information requested” in plaintiffs FOIA request." Id. Insofar as plaintiffs motion for summary judgment seeks to compel USCIS to complete a more extensive search, the - motion is denied. The Court grants USCIS’s motion. for summary judgment with respect to the adequacy of its search efforts.
C. USCIS’s Referral of Responsive Documents to the Department of State
The Court now considers whether US-CIS improperly referred four pages of responsive records to the U.S. Department of State. Plaintiff submits to the Court four completely redacted pages of documents that he received from USCIS, each of which bears the notation, “Referred to U.S. Department of State!”
It axiomatic that “[i]f an agency receives a FOIA request for documents within its possession, the agency is responsible for processing the request and cannot simply refuse to act on the ground that the documents originated elsewhere.” Unrow Human Rights Impact Litig. Clinic v. U.S. Dep’t of State, 134 F.Supp.3d 263, 279, No. 13-CV-1573 (KBJ), 2015 WL 5730606, at *11 (D.D.C. Sept. 29, 2015) (quoting Keys v. Dep’t of Homeland Sec., 570 F.Supp.2d 59, 66 (D.D.C. 2008). Although the Fifth Circuit has not addressed the issue, the D.C. Circuit has held that “an agency may adopt procedures by which documents in the agency’s possession, but which did not originate with the agency, may be referred to the originating agency for processing.” Keys, 570 F.Supp.2d at 66-67 (citing McGehee v. CIA, 697 F.2d 1095, 1110 (D.C.Cir. 1983)). The lawfulness of an agency’s referral procedure is “best determined on the basis of [its] consequences.” McGehee, 697 at 1110,. A referral system constitutes a “withholding” under FOIA “if its net effect is significantly to impair the requester’s ability to obtain the records or significantly to increase the amount of time he must wait to obtain them.” Id. A withholding of this sort “will be deemed improper unless the agency can offer a reasonable explanation for its procedure.” Id. The Court finds the D.C. Circuit’s analysis persuasive and adopts it here. Because plaintiffs only argument in favor of summary judgment is that referral of documents responsive to a FOIA request is per se unlawful,
Under the standards articulated by the D.C. Circuit, USCIS’s motion for summary judgment fails as well. To demonstrate its entitlement to judgment as a matter of law, USCIS must show that it has complied fully with its FOIA obligations. USCIS first argues that because it referred only four out of 592 responsive pages of documents in its possession, its referral does not constitute an improper withholding.
USCIS next contends that inter-agency referrals are “quite common” and that in past cases in which USCIS has acquitted itself of a FOIA request by referral, the referred-to agency has processed and released the records in a timely manner.
D. The Vaughn Index
Next, the Court considers the adequacy of USCIS’s Vaughn indexes. A Vaughn index, named for Vaughn v. Rosen, 484 F.2d 820 (D.C.Cir. 1973), is a “routine device through which the” defendant agency describes the responsive documents withheld or redacted and indicates why the exemptions claimed apply to the withheld material.” Batton, 598 F.3d at 174 (quoting Jones v. FBI, 41 F.3d 238, 241 (6th Cir. 1994)). An adequate Vaughn index must provide a “detailed justification” for each of the agency’s claimed exemptions to disclosure. Stephenson v. I.R.S., 629 F.2d 1140, 1145 (5th Cir. 1980). While resort to a Vaughn index is discretionary, a district court “abuses its discretion by refusing to order a Vaughn index or similar procedure when it relies ’upon agency affidavit in an investigative context when alternative procedures ... would more fully provide an accurate basis for decision.’” Batton, 598 F.3d at 178 (quoting Stephenson, 629 F.2d at 1145-46).
USCIS has produced two Vaughn indexes in connection with this case — an initial index, dated August 20, 2015, and an October 5, 2015 supplemental index. Together, these documents describe 51 pages of documents that USCIS wholly or partially withheld and explains why each document was not produced. USCIS contends that its indexes conclusively demonstrate the lawfulness of each withholding.
For reasons that follow, the Court concludes that four of plaintiffs arguments have merit. Therefore, USCIS’s motion for summary judgment is denied with respect to the withholdings identified below. Within fourteen (14) days of the entry of this Order, USCIS must file- a new Vaughn index that remedies the deficiencies identified in this section of the Court’s Order.
1. FOIA Processing Notes
First, plaintiff contends that USCIS fails to adequately explain its reason for withholding portions of several emails responsive to his request.
2. Responsive Agency Record #572
Next, plaintiff contends that USCIS’s Vaughn indexes fail to explain USCIS’s withholding of portions of “reL sponsive agency record #572,” a partially redacted document which he files as Exhibit Four to his opposition to US-CIS’s motion for summary judgment.
3. Responsive Agency Record #331
Plaintiff also challenges the adequacy of USCIS’s explanation for its decision to withhold portions of “responsive agency record #334.”
A FOIA Exemption Five
In addition, plaintiff challenges the applicability of FOIA exemption five to two pages of documents,
USCIS’s supplemental Vaughn index states that the email chain is protected from disclosure under both the attorney-client privilege and the deliberative process privilege.
USCIS’s deliberative process privilege explanation fails as well. The purpose of the deliberative process privilege is to enhance the quality of agency decisions by assuring individuals “who offer information and opinions to the Government that their communications will be kept in confidence.” Shermco, 613 F.2d at 1318. For the privilege to apply, a document must be both “predecisional” and “deliberative.” Vaughn v. Rosen, 523 F.2d 1136, 1144-44 (D.C.Cir. 1975). A document is “predeci-sional” if it was generated before the adoption of an agency policy. Coastal States Gas Corp. v. Dep’t of Energy, 617 F.2d 854, 866 (D.C.Cir. 1980); see also Shermco, 613 F.2d at 1319. It is “deliberative” if it “it reflects the give-and-take of the consultative process.” Judicial Watch, Inc. v. Food & Drug Admin., 449 F.3d 141, 151 (D.C.Cir. 2006) (quoting Coastal States, 617 F.2d at 866). In other words, the document must be such that public disclosure “would expose an agency’s decisionmaking process
Through its amended Vaughn index, USCIS claims that the email chain contains “internal Agency discussion points concerning a litigation matter.”
Upon reviewing USCIS’s Vaughn indexes, the Court finds that two of the agency’s other exemption explanations are inadequate for a similar reason. Entries three and' nine of the supplemental Vaughn index give vague and conclusory explanations for USCIS’s decision to withhold information responsive to plaintiffs FOIA request. With respect to each of these documents, USCIS shall produce a new Vaughn index that provides a more detailed justification for the agency’s claimed FOIA exemption.
5. Segregability Analysis
Finally, plaintiff challenges the adequacy of USCIS’s segregability analysis, as explained in the agency’s Vaughn indexes and its declarations. FOIA requires that “[a]ny reasonably segregable portion of a record shall be provided to any person requesting such record after deletion of the portions which are exempt.” 5 U.S.C. ’ 552(b). Accordingly, once an agency identifies a document that it believes qualifies for a FOIA exemption, “it must undertake a segregability analysis, in which it separates the exempt from the non-exempt portions of the document, and produces the relevant non-exempt information.” Edmonds Inst. v. U.S. Dep’t of Interior, 383 F.Supp.2d 105, 108 (D.D.C. 2005) (citing Vaughn, 484 F.2d at 825). To prevail ih a motion for summary judgment, the agency must demonstrate that it has satisfied its segregability analysis obligation, which it may do by using its
Here, USCIS has withheld two documents
As noted, USCIS has produced two'declarations in connection with this litigation. Both contain an identical, one-sentence' explanation of the agency’s segregability analysis: “It has been determined .thafe-no further segregation of meaningful information in the withheld documents is possible without disclosing information that warrants protection under the law.”
With respect to the first document, US-CIS explains its withholding decision in entry 19 of its original Vaughn index, which states: “the portion of this document withheld as deliberative is comprised of predecisional casé’ specific information reelecting the thought process of Agency Officers.”
By contrast, entry 1 of the supplemental Vaughn index contains enough detail to
IV. CONCLUSION
For the foregoing reasons, the .Court DENIES plaintiffs motion for summary judgment and GRANTS IN PART AND DENIES IN PART USCIS’s motion for summary judgment. USCIS, is entitled to judgment as a matter of law with respect to the adequacy of its search. But USCIS has failed to carry its burden of demonstrating full FOIA compliance with respect to (1) its referral to, the Department of State of four pages of agency records that are responsive to plaintiffs FOIA request and (2) its withholding of certain documents in, in whole or in part, as discussed more fully in Section III.D of the Court’s Order. .
IT IS ORDERED that within fourteen (14) days of the entry .of this Order, US-CIS shall produce a new Vaughn index that remedies the deficiencies identified in Section III.D of.the Court’s Order.
. R. Doc. 1 at 7.
. Id.
. Id. at 10.
. R. Doc. 6-2.
. R. Doc. 9.
. R. Doc. 9-1.
. Id. at 5.
. Id. at 5-6.
. Id. at 6.
. Id.
. Id. at 8-29.
. R. Doc. 18-1.
. R. Doc. 18-3.
. Id. at 3.
. Id.
. Id. at 4-9.
. R. Doc. 18-1 at 2.
. R. Doc. 19-2.
. R. Doc. 12 at 3.
. R. Doc. 9-1 at 1.
. Id. at 1-2.
. Id. at 2.
. R. Doc. 19-2 at 7-20.
. R. Doc. 18-1 at 7.
. R. Doc. 19-2 at 6-7.
. R. Doc. 9-1 at 5.
. R. Doc. 1 at 7.
. R. Doc. 9-1 at 1-2.
. [Missing Text]
. Id. at 4-5..(“NRC conducted a general search for records in the USCIS system of records referred to as the Department of Homeland Security U.S. Citizenship and Immigration Services, Immigrations and Customs Enforcement, Customs and Border Protection — 001 Alien File, Index, and National File Tracking System of Records. ,.. ”).
. Id. at 5.
. Id.
. Plaintiff argues that Eggléston’s declaration fails to aver that USCIS searched all files likely to contain relevant documents. See 19-2 at 14. But paragraph eleven plainly states: "USCIS/NRC personnel determined that the search was reasonably designed to locate any responsive documents subject to the FOIA that are in the USCIS’s control.” R, Doc. 9-1 at 5. Plaintiffs argument is therefore without merit.
. R. Doc. 1 at 7.
. R. Doc. 18-3 at 2.
. Id. at 2-3.
. Id. at 2. Eggleston provides similar information with respect to the other four individuals identified as possibly having documents responsive to plaintiff’s request.
. Id. at 3.
. R. Doc. 19-2 at 10-14.
. R. Doc. 12-1 at 4-7 (Exhibit One to Reply Brief in Support of Plaintiff's Motion for Summary Judgment). ;
. R. Doc. 12 at 10.
. R. Doc. 18-1 at 9-10.
. R. Doc. 12 at 10 ("FOIA simply does not allow an agency to withhold agency records for more than 20 working days, via a so-called 'referral' or for any other reason.”).
. R. Doc. 18-1 at 9-10.
. Id.
. Id. at 7-8.
. R. Doc. 19-2 at 20-21.
. USCIS filed its two Vaughn indexes after plaintiff moved for summary judgment. Thus, to the extent that plaintiff’s motion sought an order compelling the agency to produce an index explaining its withholdings, the motion is denied as moot.
. R. Doc. 19-2 at 21 (“In addition, USCIS is unlawfully withholding information on the tops of responsive agency records numbered 11, 15, 17, 21-23, 25, 28, and 31 without citing a lawful FOIA exemption.’’).
. R. Doc. 18-3 at 2-9 (supplemental Vaughn index entries 2-9).
. Id.
. R. Doc. 19-2, 20; see R. Doc. 19-3 (Exhibit Four to Plaintiff's Opposition to USCIS’s Motion for Summary Judgment).
.R. Doc. 19-2 at 21.
. R. Doc. 19-3.
. R. Doc. 9-1 at 18.
. R. Doc. 19-2 at 24-25.
. R. Doc. 18-3 at 6 (Supplemental Vaughn Index entry 5).
. Id. at 6-7.
. Id. at 7.
. Id.
. Id.
.Despite plaintiff's argument to the contrary, the four pages of documents -that US-CIS referred to the Department of State were not “withheld.” Rather, they were referred to the Department of State for further processing. While USCIS is required to provide additional information concerning its referral noted'in Section III.C above, it need not necessarily incorporate that information into its Vaughn index.
. R. Doc. 9-1 at 6; R. Doc. 18-3 at 3.
. R. Doc. 9-1 at 14.
. R. Doc. 18-3 at 4-5.
. Id.
. id.
Reference
- Full Case Name
- Michael GAHAGAN v. UNITED STATES CITIZENSHIP AND IMMIGRATION SERVICES
- Cited By
- 8 cases
- Status
- Published