Ctr. for Pub. Integrity v. U.S. Dep't of Energy
Ctr. for Pub. Integrity v. U.S. Dep't of Energy
Opinion of the Court
I. INTRODUCTION
This case concerns a Freedom of Information Act ("FOIA") request for records relating to a Defendant Department of Energy ("DOE") investigation into lobbying activities of Sandia Corporation ("Sandia"), a contractor hired by DOE to operate Sandia National Laboratory, a government-owned nuclear facility. In 2009, certain officials of Sandia and its parent company, Lockheed Martin Corporation, devised a plan to lobby Congress and other federal officials to renew Sandia's *56contract with DOE without competitive bidding. An investigation by DOE's Office of Inspector General later revealed that the plan was developed and carried out with taxpayer funds, in violation of federal law. Sandia eventually reached a civil settlement with the U.S. Department of Justice.
Plaintiff Center for Public Integrity brought this FOIA action against DOE, seeking to compel the disclosure of records concerning the agency's investigation of Sandia. In response to Plaintiff's FOIA request, DOE produced some records in full, some in part, and withheld others in their entirety under certain statutory exemptions. Plaintiff challenges Defendant's reliance on these exemptions. This court resolved some of Plaintiff's challenges when it ruled upon the parties' initial cross-motions for summary judgment. See Ctr. for Pub. Integrity v. U.S. Dep't of Energy ,
Now before the court are the parties' renewed cross-motions for summary judgment. Upon consideration of the parties' submissions and the present record, the court finds Defendant may rely on Exemption 4 to withhold the e-mail communications between Sandia and its legal counsel, except those portions that the agency has officially disclosed through public releases. The court also concludes that Defendant has now provided sufficient justification for its redaction of names and other identifying information pursuant to Exemption 7(C), except as to those names that the agency has officially acknowledged through FOIA disclosures. The court therefore grants the parties' motions in part and denies them in part.
II. BACKGROUND
A. Factual Background
Sandia National Laboratory ("SNL") is one of three nuclear laboratories falling under the auspices of Defendant Department of Energy ("DOE") and its sub-component, the National Nuclear Security Administration ("NNSA"). See NNSA's Mot. for Partial Summ. J., ECF No. 26 [hereinafter Def.'s Second Mot. for Partial Summ. J.], at 7;
Beginning in 2009, Lockheed Martin and Sandia officials grew concerned about renewing the contract to operate SNL, which was set to expire in 2012. Pl.'s Renewed Cross-Mot. for Summ. J. & Opp'n to Def.'s Mot. for Summ. J., ECF No. 42 [hereinafter Pl.'s Cross-Mot. & Opp'n], at 2. Under the contract, DOE paid Sandia approximately $2 billion annually to run the nuclear lab.
In 2013, NNSA conducted a preliminary review of documentation regarding consultant activities between SNL and Heather Wilson, LLC. OIG Report at 8. Based on that review, NNSA alleged that "SNL impermissibly attempted to influence an extension to the Sandia Corporation contract and engaged Ms. Wilson," a former member of the U.S. House of Representatives, "in these activities."
OIG published the results of its investigation in November 2014. In its Report, OIG concluded that "SNL used Federal contract funds to engage in activities that were intended to influence the extension of Sandia Corporation's contract with [DOE]," in violation of federal law. Id. at 8-9; see also id. at 9 (citing
*58Sandia's lobbying activities also drew the attention of the U.S. Department of Justice ("DOJ"). Following an investigation, DOJ announced in August 2015 that Sandia had agreed to pay $4,790,042 to settle alleged violations of the Byrd Amendment and False Claims Act for its use of federal funds to lobby Congress and federal agencies. Pl.'s Cross-Mot. & Opp'n at 6; Sandia Corporation Agrees to Pay $4.7 Million to Resolve Allegations Related to Lobbying Activities , U.S. Dep't of Justice (Aug. 21, 2015), https://www.justice.gov/opa/pr/sandia-corporation-agreespay-47-million-resolve-allegations-related-lobbying-activities. Sandia did not make any admission of liability as part of the settlement.
B. Procedural History
In November 2014, Plaintiff Center for Public Integrity submitted a FOIA request to DOE to produce, in sum and substance, all records relating to OIG's investigation of Sandia. The history of Plaintiff's FOIA request is fully set forth in the court's earlier Opinion, so the court does not repeat it here. See generally Ctr. for Pub. Integrity ,
III. STANDARD OF REVIEW
Most FOIA cases are appropriately resolved on motions for summary judgment. Brayton v. Office of the U.S. Trade Representative ,
The agency bears the burden of proving that it withheld certain materials responsive to a plaintiff's FOIA request pursuant to a statutory exemption. Citizens for Pub. Responsibility & Ethics in Wash. v. U.S. Dep't of Justice ,
IV. DISCUSSION
The parties' renewed cross-motions for summary judgment present three issues for resolution: (1) whether Defendant properly withheld e-mails between Sandia officials and the company's legal counsel pursuant to Exemption 4; (2) whether Defendant properly redacted the names and other identifying information of certain individuals pursuant to Exemption 7(C); and (3) whether Defendant satisfied its obligation to produce all reasonably segregable material. The court will address each of these issues in turn, starting with the parties' dispute over the applicability of Exemption 4.
A. Exemption 4
In this case, large portions of two e-mail strings between Sandia managers and Sandia legal counsel remain at issue under Exemption 4. Def.'s Renewed Mot. for Summ. J., ECF No. 41 [hereinafter Def.'s Mot.], at 6-7; Def.'s Mot., Def.'s Statement of Material Facts Not in Dispute, ECF No. 41-4 [hereinafter Def.'s Stmt. of Facts], ¶ 8. See generally Notice of Filing of Exs. in Supp. of Def.'s Mot. for Partial Summ. J., ECF No. 27, Ex. H, ECF No. 27-7. Exemption 4 permits an agency to withhold "trade secrets and commercial or financial information [that is] obtained from a person and [is] privileged or confidential."
Exemption 4's threshold elements are not at issue. Plaintiff does not question whether the material withheld pursuant to Exemption 4 was "obtained from a person." See Pl.'s Cross-Mot. for Summ. J. & Opp'n to Def.'s Mots. for Summ. J., ECF No. 30 [hereinafter Pl.'s Initial Cross-Mot.], at 8; see also
1. Privilege
The court previously held that Defendant's declarations fell "well short of establishing attorney-client privilege" because they lacked the necessary factual detail to decide certain key issues, including (1) whether Sandia's counsel was providing legal, as opposed to business, advice to Sandia managers, and (2) whether Sandia waived the privilege through third-party disclosure. Ctr. for Pub. Integrity ,
For its part, Plaintiff does not challenge the applicability of the attorney-client privilege in the Exemption 4 context or the agency's insistence that the e-mails qualify as attorney-client communications. See Pl.'s Cross-Mot. & Opp'n at 4-5. Instead, Plaintiff focuses solely on the issue of waiver.
The D.C. Circuit adheres to a "strict rule on waiver" of the attorney-client privilege. SEC v. Lavin ,
The strict rule on waiver applies with equal force when the voluntary disclosure is made to a federal agency. In Permian , the D.C. Circuit held that the subject of a Securities and Exchange Commission ("SEC") investigation had "destroyed the confidential status" of privileged communications by voluntarily disclosing them to the SEC.
The client cannot be permitted to pick and choose among his opponents, waiving the privilege for some and resurrecting the claim of confidentiality to obstruct others, or to invoke the privilege as to communications whose confidentiality he has already compromised for his own benefit.... The *61attorney-client privilege is not designed for such tactical employment.
Here, Defendant admits that Sandia produced the e-mails to OIG "without any legal compulsion on behalf of the OIG." Def.'s Second Mot. for Partial Summ. J. at 17-18. At oral argument, Defendant further admitted that, at the time Sandia disclosed the e-mails to OIG, it did so without redacting any communication deemed confidential, and that Sandia did not attempt to claw back the e-mails at the time of disclosure or upon the completion of the OIG's investigation. See Hr'g Tr. (draft), Dec. 15, 2017 [hereinafter Tr.], at 8-11. To compound matters, OIG directly quoted from portions of both e-mails in the publicly disclosed "Memorandum for the Secretary," see OIG Report at 12; supra note 3, but Sandia never objected to OIG's public release of its attorney-client communications, cf. Tr. at 67. And there is more. In its official Report, OIG described and quoted from the e-mails to an even greater extent than done in the Memorandum for the Secretary. OIG Report at 27. Although not publicly disclosed at first, see Tr. at 68-69, Defendant produced the OIG Report to Plaintiff without redacting references to the e-mail communications, yet Sandia did not complain to Defendant about the release. Sandia's silence in the face of public revelation of its privileged communications is fatal to Defendant's invocation of Exemption 4.
Defendant's arguments to the contrary are all unconvincing. First, Defendant argues that Sandia's disclosure of the e-mails was in fact involuntary , rendering the D.C. Circuit's decision in Permian inapplicable. Def.'s Opp'n to Pl.'s Cross-Mot. for Summ. J. & Reply to Pl.'s Opp'n to Def.'s Renewed Mot. for Summ. J., ECF No. 44 [hereinafter Def.'s Opp'n & Reply], at 6-7. That position, however, flies in the face of Defendant's admission that "Sandia provided the[ ] documents to the OIG without the need of a subpoena, court order, or any warrant." Def.'s Second Mot. for Partial Summ. J. at 17.
*62Second, Defendant maintains that Sandia "made an effort to reasonably protect and preserve the email communication as privileged by labeling the email with an 'Attorney-Client Privilege and/or Attorney Work Product Immunity' notification." Def.'s Opp'n & Reply at 7. But Sandia's mere act of placing a confidentiality designation on a document cannot possibly inoculate it from waiver. Cf. Artesian Indus., Inc. v. Dep't of Health & Human Servs. ,
Finally, Defendant asserts a public policy exception to the waiver rule "when the third party to whom disclosure is made is a co-litigant with substantially identical interests." Def.'s Opp'n & Reply at 5 (quoting Miller, Anderson, Nash, Yerke & Wiener v. U.S. Dep't of Energy ,
In short, applying the strict rule on waiver here, Defendant cannot rely on the attorney-client privilege to withhold the e-mails under Exemption 4.
2. Confidential Business Information
Having found the e-mails are not privileged, the court must address Defendant's alternative argument that the e-mails contain "confidential" information and thus still fall within the ambit of Exemption 4. See Def.'s Opp'n & Reply at 7-8; Def.'s Second Mot. for Partial Summ. J. at 16-20; Tr. at 62; see also Ctr. for Pub. Integrity ,
The D.C. Circuit has developed two tests to determine whether information is "confidential" for purposes of Exemption 4. If the agency receives the information by way of mandatory disclosure, the court will apply the test set out in National Parks Conservation Association v. Morton ,
In its previous Opinion, this court found that the disclosures made by Sandia to Defendant were involuntary and therefore applied National Parks . Ctr. for Pub. Integrity ,
Under Critical Mass , voluntarily submitted information need only be "of a kind that would customarily not be released to the public by the person from whom it was obtained" in order to qualify as "confidential" for purposes of Exemption 4.
This holding, however, is subject to one exception: Defendant may not redact portions of the e-mails that it already disclosed in the OIG Report and the Memorandum to the Secretary. "[A]n agency waives its right to claim a FOIA exemption for information that it has officially released in the public domain." McKinley v. Bd. of Governors of Fed. Reserve Sys. ,
As noted above, Plaintiff challenges Defendant's redactions to two e-mail communications between Sandia managers and Sandia counsel: an e-mail from March 21, 2004, and an e-mail thread from May 20, 2010. As to the earlier e-mail chain, the Memorandum to the Secretary, which OIG published on its website, see Tr. 68, describes the exchange as follows:
[T]he documentation confirms that Sandia's own Legal Counsel recognized in 2004 that as a Federally Funded Research and Development Center SNL was required to operate with objectivity and full disclosure to the sponsoring agency. When considering the question of whether a cost would be allowable when SNL assisted [Lockheed Martin] in matters of competition, the Legal Counsel warned that, "Neither Sandia nor NNSA could tolerate even the suspi cion that Sandia was assisting in the competition at prime contract expense."
*64OIG Report at 12 (emphasis added). The OIG Report reveals even more about the March 21, 2004, e-mail thread:
As early as March 21, 2004, SNL had considered the question of whether a cost would be allowable when SNL assisted [Lockheed Martin ("LMC") ] in matters of competition. A March 21, 2004, email from SNL Legal Counsel stated, that there was a tenuous benefit to SNL in merely assisting LMC in the acquisition of other business. Legal Counsel believed that segregating LMC "Business Development" from the "M & O of Sandia" would be appropriate. Legal Counsel stated: "Finally, I am recalling that as an FFRDC we operate with objectivity and with full disclosure to the sponsoring agency. Neither Sandia nor NNSA could tolerate even the suspicion that Sandia was assisting in the competition at prime contract expense."
Id. at 27. Plaintiff received the foregoing excerpts when Defendant produced the OIG Report.
After conducting an in camera review of the records in dispute, the court finds that the following statements contained in the March 21, 2004, e-mail chain are specific enough, and sufficiently match, the above-referenced portions of the Memorandum to the Secretary and the OIG Report and must be disclosed to Plaintiff: (1) "I think we have a classic question regarding whether and when a cost is allocable and allowable"; (2) "I would think there is tenuous benefit to SNL in merely assisting LM to acquire other business"; (3) "I think that segregating LM Business Development and B & P, distinct from M & O of Sandia, would be appropriate"; and (4) "Finally, I am recalling that as an FFRDC we operate with objectivity and with full disclosure to the sponsoring agency. Neither Sandia nor NNSA could tolerate even the suspicion that Sandia was assisting in the competition at prime contract expense." Defendant officially acknowledged these excerpts by disclosing them to Plaintiff in response to Plaintiff's FOIA request. Cf. Chesapeake Bay Found., Inc. v. U.S. Army Corps of Eng'rs ,
OIG made similar official disclosures about the May 20, 2010, e-mail chain. The Memorandum to the Secretary states the following about those communications:
[OIG] located an email dated May 20, 2010, in which an SNL official wrote, "In terms of precedent, we used operating costs in the same way in securing the extensions in [1998] and 2003." This official also stated that, "In 2003 there was a Sandia team formed to secure the extension and we worked closely with [Lockheed Martin]."
OIG Report at 12. The OIG Report says even more:
In a May 20, 2010 e-mail from [REDACTED] to the SNL Legal Counsel, [REDACTED] stated that the LMC [REDACTED] of Washington Operations had called and asked if "Sandians" [Sandia employees] could work with LMC on the contract extension (meeting with NNSA, putting together strategies and contract terms). [REDACTED] told the SNL Legal Counsel that, "I told [REDACTED]
*65yes, because there is no RFP, no competition, so we can work on [the] extension using our operating dollars." [REDACTED] asked SNL Legal Counsel for information that [REDACTED] could provide to the LMC [REDACTED] citing the law and contract provisions supporting the position that "no competition means operating dollars can be spent."
The SNL Legal Counsel responded by providing the March 21, 2004 e-mail legal opinion. Legal Counsel noted that a normal part of contract management and administration was to engage with the Government customer regarding schedule as well as other revisions to the contract. Legal Counsel indicated that, "The cost of that activity is allowable."
Id. at 27. Thus, as with the March 2004 e-mail, Defendant has officially acknowledged through prior disclosure multiple parts of the May 2010 e-mail thread.
Again, after having conducted an in camera review of the May 2010 communication in question, the court finds that Defendant must release: (1) the entirety of the first e-mail, which is timestamped 12:01 p.m., with the exception of the last sentence of the first paragraph; (2) the first two sentences of the third paragraph in the second e-mail, which is timestamped 1:26 p.m., excluding the bulleted list; and (3) the second and third sentences of the first paragraph in the third e-mail, which is timestamped 4:27 p.m.
In sum, the court agrees with Defendant that the two e-mail chains are properly characterized as confidential commercial information within the meaning of Exemption 4. Defendant cannot, however, rely on Exemption 4 to redact the above-mentioned portions of the emails that OIG officially acknowledged through release into the public domain. Cf. Students Against Genocide v. Dep't of State ,
B. Exemption 7(C)
The court next addresses whether Defendant properly withheld, pursuant to Exemption 7(C), names and other identifying information from responsive law enforcement records, consisting of work papers, e-mails, memoranda of inspection activity, and publicly available information. Def.'s Mot. at 8-12; Def.'s Stmt. of Facts ¶ 8. Exemption 7(C) protects from disclosure "records or information compiled for law enforcement purposes, but only to the extent that the production of such law enforcement records or information ... could reasonably be expected to constitute an unwarranted invasion of personal privacy."
In its earlier Opinion, the court held that Defendant's invocation of Exemption 7(C) fell short because Defendant had not made an "individualized assessment" of the public-private balancing as to the three categories of employees whose identifying information the agency withheld. Ctr. for Pub. Integrity ,
1. Background Concerning Review and Production of Records
Before the court turns to the merits of Defendant's invocation of Exemption 7(C) and its balancing of interests, some context is necessary with respect to the disclosures the agency already has made to Plaintiff. Upon receiving Plaintiff's FOIA request in 2014, OIG identified and reviewed a total of 114 documents responsive to Plaintiff's request. Def.'s Stmt. of Facts ¶ 2. Of those documents, OIG ultimately released 71 documents either in part or in full and withheld two in their entirety. Id. ¶¶ 3, 7.
*67OIG and NNSA took different approaches with respect to weighing the privacy interests of individuals whose names appear in the responsive documents. See generally Tr. at 27-47. OIG conducted an independent review of the documents that it eventually disclosed and concluded that all Sandia officials, regardless of rank or participation in the lobbying scheme, "ha[d] the same privacy interest that any other private citizen would have" under Exemption 7(C). Id. at 36:16-18. As a result, for example, OIG redacted the names of all Sandia employees appearing in the OIG Report. See Def.'s First Mot. for Partial Summ. J. at 14-15; Def.'s Mot., Suppl. Decl. of Adrienne Martin, ECF No. 41-1 [hereinafter Suppl. Martin Decl.], ¶ 7.
At oral argument, it became clear that, unlike OIG, NNSA did not withhold the names of all Sandia employees. Instead, it disclosed the names of certain "key management official[s]" at Sandia, because, according to NNSA, those officials contractually waived their privacy interests as a part of the DOE contract. See Tr. at 30-32, 36-37, 44. NNSA did review the documents in question under Exemption 6, but in NNSA's estimation Exemption 6 did not allow withholding the names of high-level Sandia officials. See id. at 27:25-28:5 ("[W]hen the NNSA did [its] analysis on Exemption 6 ... [it] looked at ... who were high-level managerial folks, and those names were actually released, the people making the decisions, the people in that capacity."); see also Def.'s Second Mot. for Partial Summ. J. at 26-27; Ctr. for Pub. Integrity ,
These disparate approaches, standing alone, are unremarkable. But herein lies the problem: Some of the documents that NNSA disclosed in full without names redacted were originally part of OIG's investigative file, cf. Tr. at 33-35; id. at 44:8-19, yet OIG cited those very documents its Report with names redacted. That one component of DOE disclosed the names of certain high-level Sandia officials in some documents, while another component did not, raises several questions, the answers to which are critical to framing the merits of this issue. First, as to those names NNSA disclosed, does the official acknowledgment doctrine operate to bar Defendant from invoking Exemption 7(C) to block the release of those same names as found in OIG's records? Second, if the official acknowledgment doctrine does not bar all invocations of Exemption 7(C) for a person whose name NNSA has released, what effect does NNSA's public disclosure have on the person's privacy interest in the Exemption 7(C) balancing? Finally, if a person whose name NNSA has disclosed retains some privacy interest in OIG's records, does that person's interest vary depending on the document that NNSA has disclosed? Concrete examples will help flesh out the answers to these questions, but the court first turns to the law.
2. Official Acknowledgment Doctrine
In order for information to be considered "officially acknowledged," it must "match" the information previously disclosed," be "as specific as" such information, and it must have been "made public through an official and documented disclosure." Fitzgibbon ,
Circuit precedent addresses and answers the question. While "[d]isclosure by one federal agency does not waive another agency's right to assert a FOIA exemption," Mobley v. CIA ,
A question remains, however, as to the scope of NNSA's official acknowledgment of a person's name. Does that acknowledgment extend to all OIG records containing the disclosed person's name, or does it apply only to OIG material that mirrors or is derived from the NNSA-produced document? An example is useful here. Take the May 20, 2010, e-mail chain discussed above. NNSA disclosed that record to Plaintiff with the name "Becky Krauss" appearing in the "To" or "From" lines in the component emails. See Notice of Filing of Exs. in Supp. of Def.'s Mot. for Partial Summ. J., ECF No. 27, Ex. H, ECF No. 27-7, at 1-2. OIG's Report discusses the May 20, 2010, e-mail chain, but when OIG produced the Report to Plaintiff it redacted the names of all senders and recipients of the emails, including presumably Becky Krauss. See OIG Report at 27. But application of the official acknowledgment doctrine precludes OIG from redacting Krauss's name in connection with its discussion of the May 20, 2010, e-mail chain. The same is not true, however, for all other OIG records containing Krauss's name, including other references to Krauss that might be in the Report. For there to be an official acknowledgment, the information disclosed must precisely "match" the information requested. See *69Fitzgibbon ,
So, if an unredacted document released by NNSA is directly discussed or quoted in a released OIG record, such as the OIG Report, then Defendant can no longer rely on Exemption 7(C) to protect the identity of persons who appear in both records. Therefore, Defendant must produce to Plaintiffs any such OIG records without redacting such names.
3. Balancing of Interests Under Exemption 7(C)
Having established the circumstances in which the agency can no longer withhold names, the court turns to the Exemption 7(C) analysis. Under this analysis, the court must balance the privacy interests of the individuals named in the documents against the public interest in disclosure. As previously discussed, the parties' dispute over the application of Exemption 7(C) centers on whether Defendant may redact the names of three general categories of individuals: (1) high-level Sandia, SNL, and Lockheed Martin officials; (2) DOE employees who are at pay grades GS-15 or below; and (3) individuals who were interviewed during the OIG Inquiry. Furthermore, as indicated above, the dispute over the first category of names now contains an added wrinkle, given NNSA's and OIG's different approaches with respect to the names of high-level Sandia officials.
a. High-Level SNL, Sandia, and Lockheed Martin Employees
With respect to the first category of names redacted by Defendant, the Supplemental Declaration of OIG Information Specialist Adrienne Martin clarifies that these individuals are "relatively high-level employees of SNL, Sandia Corporation, or Lockheed Martin Corporation, several of whom had concurrent positions in more than one of those entities." Suppl. Martin Decl. ¶¶ 1, 7. The employees falling within this category include not only those who advocated for Sandia "to charge the cost of lobbying activities to the contract with DOE for the operation of SNL," but also those who opposed that decision. Id. ¶ 7. According to Defendant, the "common element" uniting the advocates and opponents of the decision is that "none of the[m] ... w[ere] determined [by OIG] to be [individually] culpable ... for any misconduct" or "indicted for or convicted of any criminal activity." Def.'s Mot. at 10 (citing Suppl. Martin Decl. ¶ 7).
Before turning to the balancing of interests with respect to this category of individuals, the court raises but ultimately sets aside a threshold issue: For purposes of Exemption 7(C), should Sandia employees be treated as private citizens because they work for a private company, or are they more akin to government employees because they carry out a unique government function, i.e., operating a government-owned nuclear lab? That distinction is important because it dictates the weight of the privacy interest at stake and the *70proper test to apply. To protect the substantial privacy interests recognized under Exemption 7(C), the D.C. Circuit has adopted a "categorical rule permitting an agency to withhold information identifying private citizens mentioned in law enforcement records, unless disclosure is 'necessary in order to confirm or refute compelling evidence that the agency is engaged in illegal activity.' " Schrecker v. U.S. Dep't of Justice ,
On the privacy side of the balance, the privacy interests are substantial for every Sandia official and employee in this category. That privacy interest takes two forms. First, "individuals have an obvious privacy interest cognizable under Exemption 7(C) in keeping secret the fact that they were subjects of a law enforcement investigation." Nation Magazine, Wash. Bureau v. U.S. Customs Serv. ,
Here, there can be little doubt that each Sandia employee-even if treated on par with a government employee-possesses a substantial privacy interest in not having his or her name associated with a law enforcement investigation and in the investigative files' contents. See Judicial Watch, Inc. v. Nat'l Archives & Records Admin. ,
To overcome this privacy interest in favor of disclosure, Plaintiff must make two showings related to the public interest. First, it must demonstrate that "the public interest sought to be advanced is a significant one, an interest more specific than having the information for its own sake." Nat'l Archives & Records Admin. v. Favish ,
Here, Plaintiff relies upon two distinct public interests. First, Plaintiff asserts a public interest in understanding how the agency conducted its investigation, i.e., in learning whether OIG properly performed its duties as the investigative arm of DOE. See Tr. at 48, 52. Specifically, Plaintiff asserts that "Defendant has admitted that Sandia Corporation committed serious misconduct," and "[i]f, as Defendant maintains, it determined that every individual it investigated 'was not involved in any misconduct *72or culpable of any wrongdoing,' then there can be no conclusion other than its investigation was inadequate." Pl.'s Reply at 3 (internal citation omitted). Plaintiff therefore argues that, like in CREW I , the public has an interest in matters of "substantive law enforcement policy."
The court disagrees. In CREW I , the Department of Justice explained that the requested records related to "a wide-ranging public corruption investigation as part of [the FBI's] ongoing efforts to root out systemic corruption within the highest levels of government," and the court found that disclosure of such records "would likely reveal much about ... whether the government had the evidence but nevertheless pulled its punches."
Arguably, the release of names might enable Plaintiff to determine if any specific individual escaped public scrutiny for an improper purpose. But the mere prospect of doing so is not enough to overcome the employees' substantial privacy interests. See Favish ,
The second public interest that Plaintiff advances-to ensure that those who engaged in wrongdoing are held accountable and are not in a position to do it again-is equally unavailing. Tr. at 48; see also Pl.'s Cross-Mot. & Opp'n at 10; Pl.'s Reply at 3. The D.C. Circuit has held that, under certain circumstances, the public has a distinct interest "in knowing who the public servants are that were involved in [a] governmental wrongdoing, in order to hold the governors accountable to the governed." Stern v. FBI ,
In the end, whatever public interest there is in learning the identities of the persons involved in Sandia's lobbying efforts, that interest is not outweighed by those persons' substantial privacy interests. Accordingly, Defendant properly invoked Exemption 7(C) to withhold the names of Sandia, SNL, and Lockheed Martin employees from disclosure, subject to the court's official acknowledgment holding above.
b. DOE Employees Who Serve at the GS-15 Level and Below
Defendant also redacted the names of "all DOE employees in pay grades GS-15 and below" from the responsive records. Suppl. Martin Decl. ¶ 9. According to Defendant, most of these employees are either OIG investigators or employees at DOE headquarters or field offices who shared background information with investigators.
The court "need not linger over the balance" as to these employees. Nat'l Ass'n of Retired Fed. Emps. v. Horner ,
c. Individuals Interviewed During the OIG Inquiry
Finally, Defendant redacted the names of "those who were interviewed during the course of the OIG inquiry." Suppl. Martin Decl. ¶ 11. These individuals fall into two camps. The first consists of DOE officials at various levels, none of whom are alleged to have been involved in any misconduct or wrongdoing of any kind. Id. ¶ 12. The second consists of high-level "SNL, Sandia Corporation, and Lockheed Martin Corporation" employees, both advocates and opponents of the Sandia decision, who were interviewed by OIG "regarding the decision to charge lobbying expenses to the SNL contract." Id. Given the substantial overlap between this third category of individuals and the first and second categories, the non-disclosure of the names of these individuals was proper for the reasons already discussed. Moreover, to the extent there are any individuals who fall within this third category but do not fall within the first or second categories, Plaintiff *74does not address why disclosure of these names is warranted under the balancing test. Cf. Pl.'s Cross-Mot. & Opp'n at 9. Accordingly, Defendant properly withheld these names, too, under Exemption 7(C).
C. Segregability
Finally, the court addresses Defendant's segregability determination. A district court must evaluate segregability even where, as here, the requester has not challenged it. See Sussman ,
In its previous Opinion, the court found Defendant had not sufficiently justified its segregability determination with respect to documents that were properly withheld pursuant to Exemptions 3, 4, 6, 7(E), and 7(F), and directed Defendant to "provide a sufficiently 'detailed justification' " regarding this determination. Ctr. for Pub. Integrity ,
V. CONCLUSION
For the reasons set forth above, Defendant's Renewed Motion for Summary Judgment is granted in part and denied in part, and Plaintiff's Renewed Cross-Motion for Summary Judgment is granted in part and denied in part.
A separate Order accompanies this Memorandum Opinion.
Citations to the parties' pleadings are to the page numbers electronically generated by CM/ECF.
The "Special Inquiry" report authored by DOE's Office of Inspector General ("OIG") is labeled "Exhibit 2" within ECF No. 22-2. While this document includes both a publicly available memorandum summarizing OIG's findings, id. at 7-13, and an official report that contains some of the redactions at issue in this case, id. at 14-35, the court will refer to the document collectively as the "OIG Report" unless otherwise noted. Accordingly, the citations herein refer to the page numbers electronically generated by CM/ECF.
As stated above, supra note 2, OIG made the memorandum accompanying the official Report publicly available. Compare OIG Report at 7-13, with Special Inquiry: Alleged Attempts by Sandia National Laboratories to Influence Congress and Federal Officials on a Contract Extension , U.S. Dep't of Energy, Office of Inspector General (Nov. 2014), https://energy.gov/sites/prod/files/2014/11/f19/IG-0927.pdf. The Report itself, however, was only recently produced with redactions as a result of Plaintiff's FOIA request. See OIG Report at 14-35; cf. Hr'g Tr. (draft), Dec. 15, 2017, at 68-69. The foregoing summary is based upon the memorandum, which is publicly available.
Defendant does not dispute that waiver of the attorney-client privilege applies in the context of Exemption 4. See Pl.'s Cross-Mot. & Opp'n at 4-5; see also Zander v. U.S. Dep't of Justice ,
Sandia's voluntary disclosure to OIG also renders inapposite Defendant's reliance on Lavin , for that case concerned the standard for waiver "with regard to involuntary disclosures."
To be clear, the court does not hold that Defendant must disclose the names and other identifying information of persons mentioned in the e-mails, which were withheld on the basis of Exemptions 6 and 7(C). The court's holding below with respect to Defendant's invocation of Exemption 7(C), and its earlier Opinion with respect to Exemption 6, control the disclosure of such names.
The two documents withheld in their entirety by OIG were drafts of the OIG Report, which OIG withheld pursuant to Exemption 5. See Def.'s First Mot. for Partial Summ. J., Decl. of Adrienne Martin, ECF No. 22-1, ¶¶ 24-25. Plaintiffs, however, conceded the arguments raised by Defendant in its initial motion for summary judgment supporting the invocation of Exemption 5. Ctr. for Public Integrity ,
The categorical rule does not apply to private individuals who have been publicly implicated in a law enforcement investigation because such persons have "a diminished privacy interest in [the] certain information that may be contained in the records at issue." CREW II ,
To be sure, the categorical rule would apply to Lockheed Martin employees not dually employed by Sandia or SNL, as those persons are only private individuals. See Tr. at 17. For ease of analysis, however, the court treats these "pure" Lockheed Martin employees as it does Sandia employees.
Reference
- Full Case Name
- CENTER FOR PUBLIC INTEGRITY v. U.S. DEPARTMENT OF ENERGY
- Cited By
- 7 cases
- Status
- Published