Opinion ID: 350073
Heading Depth: 1
Heading Rank: 3

Heading: executive privilege

Text: 53 Before analyzing the merits of the issue of executive privilege, we pause to note some reservations about the use of that term in the context of this case. The Supreme Court has recognized a privilege for documents possessed by the executive that contain military secrets, United States v. Reynolds, 345 U.S. 1, 73 S.Ct. 528, 97 L.Ed. 727 (1953), or the deliberations of high executive officials, United States v. Nixon, 418 U.S. 683, 94 S.Ct. 3090, 41 L.Ed.2d 1039 (1974). Lower court decisions have dealt with claims of executive privilege in similar contexts. E. g., Machin v. Zuckert, 114 U.S.App.D.C. 335, 316 F.2d 336, cert. denied, 375 U.S. 896, 84 S.Ct. 172, 11 L.Ed.2d 124 (1963) (Air Force deliberations); Carl Zeiss Stiftung v. V. E. B. Carl Zeiss, Jena, 40 F.R.D. 318 (D.D.C.1966), aff'd mem. sub nom. V. E. B. Carl Zeiss, Jena v. Clark, 128 U.S.App.D.C. 10, 384 F.2d 979, cert. denied, 389 U.S. 952, 88 S.Ct. 334, 19 L.Ed.2d 361 (1967) (deliberations within the Justice Department). In these situations, the claim of executive privilege may have constitutional underpinnings. E. g., United States v. Nixon, supra, 418 U.S. at 705-06, 94 S.Ct. 3090. 54 This case is not centrally concerned with diplomatic or military secrets, or with intra-governmental documents reflecting policy deliberations. Rather it concerns a claim of privilege based primarily on the harm to law enforcement efforts which might arise from public disclosure of FBI investigatory files. Cf. Roviaro v. United States, 353 U.S. 53, 59, 77 S.Ct. 623, 1 L.Ed.2d 639 (1957) (informer's privilege). Insofar as the term executive privilege is understood to refer to the situations described above or to be derived from constitutional principles, it might be more accurate to refer to the privilege claimed here as a law enforcement evidentiary privilege. 55 For two reasons, however, we do not eschew the terminology and legal precedents for executive privilege. First, the privilege asserted here shares with those typically labelled executive a justification rooted in the need to minimize disclosure of documents whose revelation might impair the necessary functioning of a department of the executive branch. The argument here that law enforcement operations cannot be effective if conducted in full public view is analogous to that made on behalf of intra-agency deliberations. Thus many of the principles and procedures involved in the more traditional executive privilege cases may be relevant here. Second, we are confronted here with a formal claim of privilege asserted by one of the highest officers of the government. This case like other cases involving executive privilege raises a question as to the deference which is to be given to such a claim of privilege and the manner in which it is to be handled. 56 While the executive privilege interests involved in this case do not have the constitutional dimension indicated in Nixon and Reynolds, they are rooted in common sense as well as common law. The various common law privileges are not undercut by the fact that they are subject to legislative reshaping and modification. 6 They share with each other, and with the constitutional privileges, the common matrix of pragmatic adjustment to needs of sound government. Hence we feel justified in drawing broadly on various executive privilege decisions and precedents, without exact refinement, for discerning a sound approach that will adjust the needs of both the judicial process and the executive branch. 57 In analyzing the issue of executive privilege in this case, it is also important to keep in mind the precise nature of the dispute between the parties. At the time the district court imposed sanctions, the plaintiff had in his possession the logs, the airtels sent out by the Washington Office, and portions of the FBI reports based directly on the logs. The Attorney General had authorized the production, depending upon court approval, of all material in the FBI file which was obtained indirectly as a result of leads from the eavesdropping. This would presumably include additional portions of the FBI reports and the airtels sent by FBI field offices in response to Washington. The plaintiff conceded that this was the material in which he was primarily interested, but argued that he could not be sure that the government was turning over all such material that the material gained from the eavesdropping and that from other sources had become so intertwined that the government could not possibly do a fair job of separating the relevant material from that in which he was not interested. Plaintiff therefore claimed that he was entitled to see all documents placed in the file after the commencement of the eavesdropping. The Attorney General refused to produce those materials for plaintiff's counsel, although he was willing to produce the entire file for in camera inspection by the district court and a determination by the district court as to the proper scope of the privilege. 58 Thus, as we understand the posture of the case, the parties were at odds not about what materials were needed for the prosecution of plaintiff's claim, but about who should make the determination as to which documents were relevant. The government asked that the district court make such a determination in camera ; the plaintiff insisted that he alone was capable of making this judgment. The district court ultimately overruled the claim of privilege and stood by its order of July 10, requiring the government to make available to the plaintiff the entire FBI reports and all airtels received by the Washington Office. 59
60 The plaintiff presented, and the district court accepted, two alternative rationales for overruling the government's claim of privilege and imposing sanctions. 371 F.Supp. at 101. The first was procedural that the claim of executive privilege had been improperly asserted. The second involved a substantive evaluation of the strength of the claim of privilege. 61 We turn first to plaintiff's procedural argument. Plaintiff contends that prior judicial decisions have established certain requirements which must be met before a claim of executive privilege will be recognized and sustained. Plaintiff relies heavily on language in United States v. Reynolds, 345 U.S. 1, 7-8, 73 S.Ct. 528, 532, 97 L.Ed. 727 (1953): 62 There must be a formal claim of privilege, lodged by the head of the department which has control over the matter, after actual personal consideration by that officer. 63 Plaintiff cites other cases for the requirements that the claim must specify with particularity the material which is felt to be privileged, Thill Securities Corp. v. New York Stock Exchange, 57 F.R.D. 133, 138 (D.Wis.1972), and must define the documents retained so as to bring them within the scope of the privilege, Carl Zeiss Stiftung v. V. E. B. Carl Zeiss, Jena, 40 F.R.D. 318, 326 (D.D.C.1966), aff'd sub nom. V. E. B. Carl Zeiss, Jena v. Clark, 128 U.S.App.D.C. 10, 384 F.2d 979, cert. denied, 389 U.S. 952, 88 S.Ct. 334, 19 L.Ed.2d 361 (1967). Plaintiff then points out that the Attorney General did not state that he had reviewed every document for which the privilege was claimed, nor did he purport to classify individual documents. Plaintiff concludes that because the Attorney General's affidavit did not meet the requirement developed in the cases cited above, the district court was correct in ordering the production of the sought documents for inspection and copying. 64 We agree that where the executive seeks to withhold from the court documents relevant to a civil or criminal lawsuit, the claim of privilege must meet strict requirements. In that situation the court is relying on the affidavit of the responsible department head for the information pertinent to its decision concerning the privilege. It is therefore essential that the affidavit be based on actual personal consideration by the affiant official, that it specify the documents for which protection is sought, and that it explain why the specified documents properly fall within the scope of the privilege. Because these requirements were satisfied in Reynolds, the Supreme Court held that the documents in question there did not have to be turned over to the district court for in camera inspection. 65 In this case, however, the executive does not seek to shield the documents in question from judicial scrutiny, but has stated its willingness to tender them to the court in camera. The only purpose of the affidavit submitted by the Attorney General was to reserve the right to make more specific claims of privilege with respect to particular documents at the time they were submitted to the court. 66 In our view, the affidavit supplied in this case sufficed for this purpose. Since the district court would be able to examine the actual documents, it did not need an affidavit of the same degree of specificity as in a case where it was relying on the affidavit to decide whether valid grounds existed for assertion of the privilege. Nor did the district court need the personal assurance of the department head as to the proper classification of each document. What the situation required was the sworn statement of the appropriate Cabinet officer, justifying in camera analysis of the file. 67 The affidavit of Attorney General Richardson contained sufficient detail for this purpose. The Attorney General swore that he had personally examined many of the documents in the file and was convinced that their disclosure could harm law enforcement by revealing investigative techniques and by disclosing collateral investigations. The statement divided the documents contained in the file into several categories, and explained more specifically the harm that would result from the disclosure of each. While the Attorney General's affidavit clearly did not provide enough information for a judicial determination as to the scope of the privilege, it did alert the district court to the possibility of harm from the disclosure of some of the documents contained in the file. 68 In that circumstance, we believe that sound doctrine obligated the district court to examine the file in camera. In Boeing Airplane Co. v. Coggeshall, 108 U.S.App.D.C. 106, 280 F.2d 654 (1960), this court held that investigatory or other factual reports in the files of the Renegotiation Board were subject to discovery, but that policy recommendations were privileged. Recognizing that Government documents (could not) easily be separated into fact finding and decision making categories, we remanded the case to the district court with the following observations: 69 The papers in question are not, of course, before us. In fact, we have not even been apprised of the number of papers involved. We are in no position to offer exact guidance to the District Judge and to the parties. Initially the party under subpoena must decide which papers or portions thereof he will claim to be privileged. In the present case, where no military or state secrets are involved, and where the generally meritorious basis of the subpoena including necessity has been established, we think it proper for the District Judge to examine in camera the individual papers which are alleged to be privileged, and direct exclusions or excisions in a manner deemed lawful and appropriate . . . . 70 108 U.S.App.D.C. at 114, 280 F.2d at 662. We directed that a similar procedure be followed in Machin v. Zuckert, 114 U.S.App.D.C. at 340, 316 F.2d at 341, and in Westinghouse Electric Corp. v. City of Burlington, 122 U.S.App.D.C. 65, 73, 351 F.2d 762, 770 (1965). Summarizing these cases in Freeman v. Seligson, 132 U.S.App.D.C. 56, 405 F.2d 1326, 1339 n. 65 (1968), we said, we have adopted the in camera inspection as the procedure for accommodating claims of privilege where no military or diplomatic secrets are involved. 7 71 We are aware that an in camera examination places a heavy burden of inspection and analysis on the trial judge. For this reason, in Vaughn v. Rosen, 157 U.S.App.D.C. 340, 484 F.2d 820 (1973), cert. denied, 415 U.S. 977, 94 S.Ct. 1564, 39 L.Ed.2d 873 (1974), we required that a government agency claiming an exemption from disclosure under the Freedom of Information Act provide along with the documents to be examined a relatively detailed analysis in manageable segments and an index correlating statements made in that analysis to portions of individual documents. 72 We applied the techniques of Vaughn v. Rosen to a claim of executive privilege in Nixon v. Sirica, 159 U.S.App.D.C. 58, 79, 487 F.2d 700, 721 (1973). In that opinion we overruled the President's generalized claim of executive privilege, but held that With the rejection of his all-embracing claim of prerogative, the President will have an opportunity to present more particular claims of privilege, if accompanied by an analysis in manageable segments. 159 U.S.App.D.C. at 79, 487 F.2d at 721. That analysis was to contain descriptions specific enough to identify the basis of the particular claim or claims, without compromising the confidentiality of the information. On the request of either counsel, the district court was to hold a hearing in chambers on the challenged claim and to inspect the disputed items. If the district court felt that more detailed argument was necessary for effective consideration, it was authorized to give the Special Prosecutor access to the raw material. 73 This approach to the mechanics of executive privilege was subsequently adopted by the Supreme Court in United States v. Nixon, 418 U.S. 683, 94 S.Ct. 3090, 41 L.Ed.2d 1039 (1973). There, after overruling the President's generalized assertion of privilege, 418 U.S. at 713, 94 S.Ct. 3090, the Court held that the executive branch would be entitled to in camera inspection by the district court. 418 U.S. at 714-16, 94 S.Ct. 3090. At that time (s)tatements that meet the test of admissibility and relevance must be isolated; all other material must be excised. 418 U.S. at 714, 94 S.Ct. at 3110. The Supreme Court recognized that questions might arise as to the excision of certain parts on grounds of relevance, admissibility, or a more specific claim of privilege, such as one based upon United States v. Reynolds, 341 U.S. 1, 73 S.Ct. 528, 97 L.Ed. 727 (1953). 418 U.S. at 715 n. 21, 94 S.Ct. 3090. In that event, the Court noted, it lies within the discretion of (the district court) to seek the aid of the Special Prosecutor and the President's counsel for in camera consideration of the validity of particular excisions. Id. 74 We think that the prior decisions of this court, particularly Vaughn v. Rosen and Nixon v. Sirica, supra, pointed to the proper method of resolving the disputed claim of privilege in this case. Even if the affidavit of the Attorney General was too imprecise to be used in a final determination of the scope of the privilege, it was adequate to reserve for the government an opportunity to interpose specific objections with respect to individual documents before their production was ordered. In our view, the proper course would have been for the district court to have accepted the proffered file for in camera inspection. At that time the government could have supplied an index correlating indexed items with particular claims of privilege. At that time the government could also have supplied an analysis containing descriptions specific enough to identify the basis of the particular claim or claims. The plaintiff would have been permitted to see this analysis and take issue with its conclusions, but the court would make the final determination after an in camera examination of the documents. If this procedure proved unworkable, plaintiff's counsel might have been permitted limited access to the raw file. But until an attempt was made to resolve the issue in a less intrusive way, we think that disclosure should not have been ordered. 8 75
76 We turn next to plaintiff's argument that the defendant's assertion of executive privilege was substantively invalid that no purpose would be served by an in camera inspection because disclosure of the documents would not be harmful to any legitimate public interest. 77 Judicial recognition of an executive privilege depends upon a weighing of the public interest protected by the privilege against the public interests that would be served by disclosure in a particular case. Nixon v. Sirica, 159 U.S.App.D.C. at 74, 487 F.2d at 716. A demonstrated, specific need for material may prevail over a generalized assertion of privilege, United States v. Nixon, 418 U.S. at 713, 94 S.Ct. 3090, but the claimant must make a showing of necessity sufficient to outweigh the adverse effects the production would engender. Carl Zeiss, supra, 40 F.R.D. at 328-29. 78 We begin with the proposition that there is indeed a public interest in minimizing disclosure of documents that would tend to reveal law enforcement investigative techniques or sources. This principle was recognized in Judge Sirica's earlier decision in this case, Black v. Sheraton Corp. of America, 50 F.R.D. 130, 132 (D.D.C.1970), and in many other decisions, e. g., Aspin v. Department of Defense, 160 U.S.App.D.C. 231, 491 F.2d 24 (1973); Jabara v. Kelly, 62 F.R.D. 424 (E.D.Mich.1974); Philadelphia Resistance v. Mitchell, 63 F.R.D. 125 (E.D.Pa.1972). See generally 2 Weinstein's Evidence P 509(07) (1975). Congress recognized the necessity for such a privilege in the Freedom of Information Act, which contains an exemption for certain types of investigatory records compiled for law enforcement purposes. 5 U.S.C. § 552(b) (7) (Supp. V 1975). 9 79 The plaintiff does not challenge the general principle that law enforcement investigatory files contain privileged information. Rather plaintiff contends that in the circumstances of this case, the need to minimize disclosure was significantly diminished. Plaintiff calls attention to the ten year lapse of time between this litigation and the original investigation. Plaintiff also argues that the privilege cannot apply to such illegal activity as was involved here, or to investigations with a political purpose. 80 We reject plaintiff's contention that the public interest in nondisclosure can be disregarded simply because the principal investigation involved here has apparently been concluded. After this issue was argued to the district court, 10 but before its decision, this court rendered its en banc decision in Weisberg v. Department of Justice, 160 U.S.App.D.C. 71, 489 F.2d 1195 (1973), cert. denied, 416 U.S. 993, 94 S.Ct. 2405, 40 L.Ed.2d 772 (1974). We there upheld the application of the investigatory files exemption of the FOIA to materials concerning the assassination of President Kennedy, even though the dissent argued that there is no indication that the Government contemplates the use of the information for law enforcement purposes. 489 F.2d 1204. In Aspin v. Department of Defense, 160 U.S.App.D.C. 231, 491 F.2d 24 (1973), we adhered to this holding, with the following explanation: 81 It is clear that if investigatory files were made public subsequent to the termination of enforcement proceedings, the ability of any investigatory body to conduct future investigations would be seriously impaired. Few persons would respond candidly to investigators if they feared that their remarks would become public record after the proceedings. Further, the investigative techniques of the investigating body would be disclosed to the general public. 82 Id. at 237, 491 F.2d at 30; Accord, Frankel v. SEC, 460 F.2d 813, 817 (2d Cir.), cert. denied, 409 U.S. 889, 93 S.Ct. 125, 34 L.Ed.2d 146 (1972); Rural Housing Alliance v. United States Dep't of Ag., 162 U.S.App.D.C. 122, 128, 498 F.2d 73, 79 (1974). 83 We recognize that because FOIA may be invoked by any person without a showing of need for the requested information, experience under that statute may not always be relevant to discovery in other types of civil litigation. However, in this case the plaintiff has not made a persuasive showing of need for the particular documents which the government seeks to withhold. Plaintiff already possesses the logs from the eavesdropping, and has been offered all leads and other information indirectly obtained as a result of the eavesdropping. The only information which the government seeks to withhold is that gained from independent sources. The plaintiff claims that he needs to see these documents in order to determine whether the government has in fact turned over to him all those leads to which he is entitled. But, assuming that the function of verification could be handled by the district court in camera, we see no reason to make public these essentially irrelevant documents. 84 For analogous reasons, we are not persuaded by plaintiff's argument that executive privilege cannot be used to shield official misconduct. That may be taken as a generally sound principle, see e. g., Rosee v. Board of Trade,36 F.R.D. 684 (N.D.Ill.1965); United States v. Procter and Gamble Co., 25 F.R.D. 485 (D.N.J.1960). However, the government has substantially complied with that requirement in the context of this case. The government has disclosed all material directly obtained for its misconduct, and has proffered all material indirectly derived. This disclosure should permit the plaintiff to achieve his objective of tracing the consequences of the illegal acts. We see no indication of a need for broader discovery. Indeed, in both of the cases cited by plaintiff in support of this argument, the district court undertook to examine the requested documents in camera, and to exclude or excise any material not bearing directly on the issue in litigation. United States v. Procter & Gamble, Co., supra, at 491; see Rosee v. Board of Trade, supra, at 688, 691. 85 Finally, we are not convinced by plaintiff's argument that no privilege could be claimed with respect to the documents at issue here because they were compiled for intelligence rather than evidentiary purposes. The use of the term intelligence is unfortunate, for it is clear in the factual context of this case that the information was being gathered in connection with an investigation of criminal activity (though not necessarily that of the plaintiff). The Solicitor General's memorandum stated that the intelligence operations authorized by the FBI were used to gather information on organized crime, kidnappings and other matters wherein human life might be at stake. See note 1, supra. The fact that the information gathered for one of these purposes was not intended to be used in a prosecution of Black does not mean that it was not part of a legitimate law enforcement investigation, or that the privilege was inapplicable. 86 From this analysis of plaintiff's need for the disputed documents and the public's interest in confidentiality, we conclude that there is a reasonable likelihood that the file will contain some privileged material and that an in camera examination is necessary to resolve the dispute. We do not here purport to make a final determination with respect to any of the documents ordered to be produced. That is a task for the district court, after it has received an index and analysis, and after it has weighed plaintiff's need for particular documents against the public interest in nondisclosure. In those proceedings we expect that the government, as the party asserting the privilege, would bear the burden of proving its contentions whether concerning the derivation of disputed material from an independent source or the applicability of some other privilege. While we recognize that this will also impose an arduous burden on our already overburdened district court bench, the task of reconciling the discovery needs of litigants with the needs of effective law enforcement requires this kind of judicial undertaking.