Federal Trade Commission v. Grolier Inc.
Federal Trade Commission v. Grolier Inc.
Opinion of the Court
delivered the opinion of the Court.
The Freedom of Information Act (FOIA), 5 U. S. C. § 552, mandates that the Government make its records available to the public. Section 552(b)(5) exempts from disclosure “inter-agency or intra-agency memorandums or letters which would not be available by law to a party ... in litigation with the agency.” It is well established that this exemption was intended to encompass the attorney work-product rule. The question presented in this case is the extent, if any, to which the work-product component of Exemption 5 applies when the litigation for which the requested documents were generated has been terminated.
Pursuant to the Commission’s Rules, respondent appealed to the agency’s General Counsel. Following review of respondent’s request, and after a considerable process of give and take, the dispute finally centered on seven documents.
The Court of Appeals reasoned that the work-product rule encompassed by § 552(b)(5) was coextensive with the work-product privilege under the Federal Rules of Civil Proce
Section 552(b) lists nine exemptions from the mandatory disclosure requirements that “represen[t] the congressional determination of the types of information that the Executive Branch must have the option to keep confidential, if it so chooses.” EPA v. Mink, 410 U. S. 73, 80 (1973). The primary purpose of one of these, Exemption 5, was to enable the Government to benefit from “frank discussion of legal or policy matters.” S. Rep. No. 813, 89th Cong., 1st Sess., 9 (1965). See H. R. Rep. No. 1497, 89th Cong., 2d Sess., 10 (1966). In keeping with the Act’s policy of “the fullest responsible disclosure,” S. Rep. No. 813, at 3, Congress intended Exemption 5 to be “as narro[w] as [is] consistent with efficient Government operation.” Id., at 9. See H. R. Rep. No. 1497, at 10.
Both the District Court and the Court of Appeals found that the documents at issue were properly classified as “work product” materials, and there is no serious argument about the correctness of this classification.
“Were such materials open to opposing counsel on mere demand, much of what is now put down in writing would remain unwritten. An attorney’s thoughts, heretofore inviolate, would not be his own. Inefficiency, unfairness'and sharp practices would inevitably develop in the giving of legal advice and in the preparation of cases for trial. The effect on the legal profession would be demoralizing. And the interests of the clients and the cause of justice would be poorly served.” Id., at 511.
The attorney’s work-product immunity is a basic rule in the litigation context, but like many other rules, it is not self-defining and has been the subject of extensive litigation.
Prior to 1970, few District Courts had addressed the question whether the work-product immunity extended beyond the litigation for which the documents at issue were prepared. Those courts considering the issue reached varying results.
In 1970, the Federal Rules of Civil Procedure were amended to clarify the extent to which trial preparation materials are discoverable in federal courts. Rule 26(b)(3) provides, in pertinent part:
“[A] party may obtain discovery of documents and tangible things . . . prepared in anticipation of litigation or for trial by or for another party or by or for that other party’s representative . . . only upon a showing that the party seeking discovery has substantial need of the materials in the preparation of his case and that he is unable without undue hardship to obtain the substantial equivalent of the materials by other means. In ordering discovery of such materials when the required showing has been made, the court shall protect against disclosure of the mental impressions, conclusions, opinions, or legal theories of an attorney or other representative of a party concerning the litigation.”
Rule 26(b)(3) does not in so many words address the temporal scope of the work-product immunity, and a review of the Advisory Committee’s comments reveals no express concern for that issue. Notes of Advisory Committee on 1970 Amendments, 28 U. S. C. App., pp. 441-442. But the literal language of the Rule protects materials prepared for any litigation or trial as long as they were prepared by or for a party to the subsequent litigation. See 8 C. Wright & A. Miller, Federal Practice and Procedure § 2024, p. 201 (1970). Whatever problems such a construction of Rule 26(b)(3) may engender in the civil discovery area, see id., at 201-202, it provides a satisfactory resolution to the question whether
We need not rely exclusively on any particular construction of Rule 26(b)(3), however, because we find independently that the Court of Appeals erred in construing Exemption 5 to protect work-product materials only if related litigation exists or potentially exists. The test under Exemption 5 is whether the documents would be “routinely” or “normally” disclosed upon a showing of relevance. NLRB v. Sears, Roebuck & Co. 421 U. S., at 148-149. At the time this case came to the Court of Appeals, all of the Courts of Appeals that had decided the issue under Rule 26(b)(3) had determined that work-product materials retained their immunity from discovery after termination of the litigation for which the documents were prepared, without regard to whether other related litigation is pending or is contemplated.
The Court of Appeals’ determination that a related-litigation test best comported with the qualified nature of the work-product rule in civil discovery — a proposition with which we do not necessarily agree — is irrelevant in the FOIA context. It makes little difference whether a privilege is absolute or qualified in determining how it translates into a discrete category of documents that Congress intended to exempt from disclosure under Exemption 5. Whether its immunity from discovery is absolute or qualified, a protected document cannot be said to be subject to “routine” disclosure.
Under the current state of the law relating to the privilege, work-product materials are immune from discovery unless the one seeking discovery can show substantial need in connection with subsequent litigation. Such materials are thus not “routinely” or “normally” available to parties in litigation and hence are exempt under Exemption 5. . This result, by establishing a discrete category of exempt information, implements the congressional intent to provide “workable” rules. See S. Rep. No. 813, at 5; H. R. Rep. No. 1497, at 2.
Respondent urges that the meaning of the statutory language is “plain” and that, at least in this case, the requested
Accordingly, we hold that under Exemption 5, attorney work product is exempt from mandatory disclosure without regard to the status of the litigation for which it was prepared. Only by construing the Exemption to provide a categorical rule can the Act’s purpose of expediting disclosure by means of workable rules be furthered. The judgment of the Court of Appeals is reversed.
It is so ordered.
United States v. Americana Corp., Civ. No. 388-72 (NJ). Americana was charged with violation of a 1948 cease-and-desist order in making misrepresentations regarding its encyclopedia advertisements and door-to-door sales.
By letter to the Commission, respondent requested the following:
“1) All records and documents which refer or relate to a covert investigation of Americana Corporation and/or Grolier Incorporated, which was made in or about April 1978, by a Federal Trade Commission consumer protection specialist named Wendell A. Reid; and
“2) All records and documents which refer or relate to any covert investigation, made by any employee of the Federal Trade Commission, of any of the following companies: [listing 14 companies, including respondent and Americana Corporation].
“3) All records and documents which refer or relate to any covert investigation, made by any employee of the Federal Trade Commission, of any person, company or other entity.” App. 15-16.
“Covert investigation” was defined by respondent to be “any investigation of which the subject entity was not notified in advance and prior to acts taken pursuant to such investigation.” Id., at 16. Respondent later abandoned its requests for any documents other than those related to the Americana investigation, defined in the first category of its request.
The requested documents are subject to mandatory disclosure as “identifiable records” under § 552(a)(3), unless covered by a specific exemption. In this case, the Commission claims exemption only under §552 (b)(5), which provides:
“This section does not apply to matters that are—
“(5) inter-agency or intra-agency memorandums or letters which would not be available by law to a party other than an agency in litigation with the agency . . . .”
The Commission released a number of documents after respondent filed this suit. Respondent abandoned its claim for many others. See n. 2, supra.
Respondent withdrew its claim for disclosure of one of the seven documents. The Court of Appeals affirmed the District Court’s judgment that another was exempt as an attorney-client communication, 217 U. S. App. D. C., at 48, n. 3, 671 F. 2d, at 554, n. 3, and held that still another was clearly a predecisional document not subject to disclosure under Exemption 5, id., at 51, 671 F. 2d, at 557. These rulings are not at issue here.
Respondent makes some assertions concerning the ethical conduct of the Commission in continuing its investigations after the Americana suit had been instituted and claims that the work-product rule would not apply to documents containing evidence of unethical conduct. Respondent did not raise this issue before the District Court or the Court of Appeals and we decline to address it.
See Honeywell, Inc. v. Piper Aircraft Corp., 50 F. R. D. 117 (MD Pa. 1970); Bourget v. Government Employees Ins. Co., 48 F. R. D. 29 (Conn. 1969); Stix Products, Inc. v. United Merchants & Mfrs., Inc., 47 F. R. D. 334 (SDNY 1969); LaRocca v. State Farm Mutual Automobile Ins. Co., 47 F. R. D. 278 (WD Pa. 1969); Kirkland v. Morton Salt Co., 46 F. R. D. 28 (ND Ga. 1968); Chitty v. State Farm Mutual Automobile Ins. Co., 36 F. R. D. 37 (EDSC 1964); Insurance Co. of North America v. Union Carbide Corp., 35 F. R. D. 520 (Colo. 1964); Hanover Shoe, Inc. v. United Shoe Machinery Corp., 207 F. Supp. 407 (MD Pa. 1962); Thompson v. Hoitsma, 19 F. R. D. 112 (NJ 1956); Tobacco and Allied Stocks, Inc. v. Transamerica Corp., 16 F. R. D. 534 (Del. 1954).
See In re Murphy, 560 F. 2d 326, 334 (CA8 1977); United States v. Leggett & Platt, Inc., 542 F. 2d 655 (CA6 1976), cert. denied, 430 U. S. 945 (1977); Duplan Corp. v. Moulinage et Retorderie de Chavanoz, 487 F. 2d 480, 483-384 (CA4 1973). See also In re Grand Jury Proceedings, 604 F. 2d 798, 803 (CA3 1979) (work-product privilege continues at least when subsequent litigation is related). Cf. Kent Corp. v. NLRB, 530 F. 2d 612 (CA5) (work-product privilege does not turn on whether litigation actually ensued), cert. denied, 429 U. S. 920 (1976).
See In re Federal Copper of Tennessee, Inc., 19 B. R. 177 (Bkrtcy. MD Tenn. 1982); In re International Systems & Controls Corp. Securities Litigation, 91 F. R. D. 552 (SD Tex. 1981); United States v. Capitol Service, Inc., 89 F. R. D. 578 (ED Wis. 1981); In re LTV Securities Litigation, 89 F. R. D. 595 (ND Tex. 1981); First Wisconsin Mortgage Trust v. First
Concurring Opinion
concurring in part and concurring in the judgment.
The Court rests its judgment on two alternative holdings: one a construction of Federal Rule of Civil Procedure 26(b)(3), ante, at 26; the other a more limited holding under Exemption 5 of the Freedom of Information Act (FOIA), 5 U. S. C. § 552(b)(5), ante, at 26. I find the latter holding unpersuasive and accordingly would rest exclusively on the former.
I agree wholeheartedly with the Court that Rule 26(b)(3) itself does not incorporate any requirement that there be actual or potential related litigation before the protection of the work-product doctrine applies. As the Court notes, “the literal language of the Rule protects materials prepared for any litigation or trial as long as they were prepared by or for a party to the subsequent litigation.” Ante, at 25. A contrary interpretation such as that adopted by the Court of Appeals would work substantial harm to the policies that the doctrine is designed to serve and protect. We described the reasons for protecting work product from discovery in Hickman v. Taylor, 329 U. S. 495 (1947):
“In performing his various duties, ... it is essential that a lawyer work with a certain degree of privacy, free from unnecessary intrusion by opposing parties and their counsel. Proper preparation of a client’s case demands that he assemble information, sift what he considers to be the relevant from the irrelevant facts, prepare his legal theories and plan his strategy without undue and needless interference .... This work is reflected, of course, in interviews, statements, memoranda, correspondence, briefs, mental impressions, personal beliefs, and countless other tangible and intangible ways— aptly though roughly termed . . . the ‘work product of the lawyer.’ Were such materials open to opposing counsel on mere demand, much of what is now put down in writing would remain unwritten. An attorney’s thoughts, heretofore inviolate, would not be his own. Inefficiency, unfairness and sharp practices would inevitably develop in the giving of legal advice and in the preparation of cases for trial. The effect on the legal profession would be demoralizing. And the interests of the clients and the cause of justice would be poorly served.” Id., at 510-511.
I confess that the source from which the Court draws its reasoning is a mystery to me. I know of no other statutory context in which the test of discoverability (or anything else) is not what the correct view of the law is, but what the cur
It is possible, I suppose, that such suits might be considered “related” in a very broad reading of the Court of Appeals’ “related litigation” test; the courts adopting the test have not had occasion to explore its outer boundaries. But this possibility merely reveals a dilemma: If the test is read so broadly as to classify similar but factually unrelated suits as “related,” it is virtually no limitation on the work-product doctrine at all, since almost any work-product document otherwise discoverable under Rule 26(b)(1) will have originated in “related” litigation. But to the extent that the “related” test is read any more narrowly than that, it threatens to cause the harm discussed in text. Hence, the test is either harmful or toothless.
See generally, e. g., In re Murphy, 560 F. 2d 326, 333-335 (CA8 1977); United States v. Leggett & Platt, Inc., 542 F. 2d 655, 659-660 (CA6 1976); Duplan Corp. v. Moulinage et Retorderie de Chavanoz, 509 F. 2d 730 (CA4 1974); Duplan Corp. v. Moulinage et Retorderie de Chavanoz, 487 F. 2d 480 (CA4 1973).
The Court of Appeals reasoned that “[extending the work-product protection only to subsequent related eases best comports with the fact that the privilege is qualified, not absolute.” 217 U. S. App. D. C. 47, 50, 671 F. 2d 553, 556 (1982) (footnote omitted). In my view, this mistakes by 180 degrees the significance of the qualified nature of the privilege. As another Court of Appeals has explained:
“Were the work product doctrine an unpenetrable protection against discovery, we would be less willing to apply it to work produced in anticipation of other litigation. But the work product doctrine provides only a qualified protection against discovery....” Leggett & Platt, supra, at 660.
Indeed, to the extent that the need for protection of work product does decrease after the end of a suit, that fact might in some cases lower the
But see Federal Open Market Committee v. Merrill, 443 U. S., at 354: “[I]t is not clear that Exemption 5 was intended to incorporate every privilege known to civil discovery.” Of course, it is settled that the Exemption does incorporate the work-product doctrine. NLRB v. Sears, Roebuck & Co., 421 U. S., at 154-155.
We held in Sears that Exemption 5 does not apply to “final opinions” explaining agency actions already taken or agency decisions already made. Id., at 150-154. The gist of our holding was that such documents are not within any privilege incorporated into Exemption 5 — specifically, that they
Presumably, this principle would work in reverse as well. That is, if the settled law of a particular district under Rule 26(b)(3) were that a particular type of document (some sort of investigative report, say) is within the work-product doctrine, but a majority of other courts disagreed, the district court entertaining a FOIA suit would be obliged to follow the majority view and grant disclosure, even though the same document would not be “routinely” disclosed in an ordinary lawsuit in that district.
One might posit a different sort of incorporation of case law — one in which the relevant law was that in existence in 1966, when FOIA was enacted. The Court wisely declines to adopt this reading. There is nothing in FOIA that indicates that it intended to “freeze” the law that existed in 1966; the phrase “available by law” certainly seems to refer to the law at any given time. Indeed, this reading would preclude recognition of subsequent changes in statutory law, such as the adoption of Rule 26(b)(3) in 1970.
Reference
- Full Case Name
- FEDERAL TRADE COMMISSION Et Al. v. GROLIER INC.
- Cited By
- 384 cases
- Status
- Published