Document: 421 U.S. 132 95 S.Ct. 1504 44 L.Ed.2d 29 NATIONAL LABOR RELATIONS BOARD et al., Petitioners,v.SEARS, ROEBUCK & CO. No. 73-1233. Argued Jan. 14, 1975. Decided April 28, Syllabus Under the procedure for adjudicating unfair labor practice cases under National Labor Relations Act, if a Board (NLRB) Regional Director, with whom charges are filed in first instance and to NLRB's General Counsel has delegated initial power decide whether or not issue complaint, believes that charge no merit, charging party right appeal Counsel. If this is exercised, file sent Office of Appeals Counsel's Office, Committee then decides either sustain overrule sets forth decision supporting reasons an Memorandum, which cleared through who must follow its instructions. In addition appeals process, requires before reaching connection raising certain issues, submit matter Advice Branch, other kinds Directors permitted seek Branch's advice. The after studying matter, makes recommendation Counsel, 'final determination' communicated Director by way Memorandum. Depending upon conclusion reached such memorandum, will complaint notify complaining proceed his appeal. Respondent, had declined disclose all Memoranda pertaining matters issued within number years, suit require disclosure memoranda, alleging violations Freedom Information 5 U.S.C. § 552. District Court granted respondent's motion summary judgment, holding were 'instructions staff affect member public' required be disclosed 552(a)(2) (C), opinions' 552(a)(2)(A), both memoranda exempt from as 'intra-agency memorandums' 552(b)(5) (Exemption 5). affirmed without opinion. Held: 1. Exemption can never apply opinions,' only invariably explain agency action already taken made, but also constitute dispositions' agency. Pp. 150-154. 2. covers attorney work-product rule clearly applies prepared contemplation litigation setting attorney's theory case strategy. 154-155. 3. Those decisions made 'adjudication cases' meaning hence fall outside scope disclosed. 155-159. (a) each effects 'final' 'disposition' administrative can, these would intrude on predecisional processes nor protecting them improve quality purposes 'executive privilege' embodied 5, since when make bound dismiss charge. P. 155. (b) Moreover, complaints together explaining them, precisely kind law public so vitally interested Congress sought prevent keeping secret. 155-157. 4. commence NLRB 552(a)(2)(A) do 5. 159-160. filing does finally dispose even responsibility respect case, litigated decided NLRB, responsible advocating party's position NLRB. 159. Since have been upcoming litigation, they squarely 5's protection work product, at same time public's interest substantially reduced fact basis develop course 'law' ultimately courts. Pp.159-160. documents incorporated reference nonexempt lose any exemption might previously held 'intra-agency' chooses expressly adopt incorporate intra-agency memorandum covered what otherwise final opinion, may withheld ground it some than 161. 6. Petitioners produce create explanatory material those instances Memorandum refers 'circumstances case,' identify, fact, pre-existing contain case' opinion referred, identified seeking disclosure. 161-162. 7. This adjudicate petitioners' claim 552(b)(7) 7) 'investigatory files compiled enforcement purposes.' That was and, although Appeals, court prior another involving 7, therefore clear passed claim. limiting amendment 7 petitioners their brief, thus amended, could done courts below. 162-165. 8. Nor reach 552(b)(2) 2) 'related solely internal personnel rules practices agency,' having raised 165 9. Petitioners' Memoranda, protected should status reason incorporation, document become disclosable because referred opinion,' accordingly remanded determination amended. 165-167. 156 U.S.App.D.C. 303, 480 F.2d 1195, part, reversed remanded. Daniel M. Friedman, Washington, D. C., petitioners. Gerard C. Smetana, Chicago, Ill., respondent. Mr. Justice WHITE delivered Court. 1 (the Board) set aside order United States directing respondent, Sears, Roebuck Co. (Sears), pursuant 552 (Act), known 'Advice Memoranda' 'Appeals Memoranda,' related generated deciding permit complaints. 2 Act's background principal objectives described EPA v. Mind, 410 73, 79-80, 93 827, 832-833, 35 119 (1973), repeated here. It sufficient note present Act seeks 'to establish general philosophy full unless information exempted delineated statutory language.' S. Rep. 813, 89th Cong., 1st Sess., 3 (1965) (hereinafter 813); Mink, supra, 80, S.Ct., 832. As structured, virtually every available one form another, falls nine exemptions. Certain 522(a)(1) 'rules procedure' published Federal Register; others, including opinions . adjudication cases,' 'statements policy interpretations adopted public,' 552(a)(2),1 indexed demand, H.R. 1497, 2d 8 (1966) 1497), U.S.Code Cong. Admin.News, 1966, p. 2418. Finally, more comprehensively, 'identifiable records' demand. 552(a)(3).2 states, however, obligation 'does apply' enumerated categories listed 552(b).3 Sears claims, below ruled, expressions legal being creation 'secret law.' event, 552(a)(3). hand, claims here 552(a)(3), 552(b), principally communications 5), formulating matters. 4 * Crucial understanding function context process them. We deal first. seq. amended Management 1947, 61 Stat. 136, 151 seq., begins private 'charge,' §§ 3(d) 10(b), 153(d) 160(b); CFR 101.2 (1974); International Union, Auto, etc. Workers Scofield, 382 205, 219, 86 373, 382, 15 272 (1965); Indiana Michigan Electric Co., 318 9, 17-18, 63 394, 399-400, 87 L.Ed. 579 (1943). Although designated body adjudicates based charge, 160, 'complaint'; 'behalf Board' unreviewable authority determine shall filed. 153(d); Vaca Sipes, 386 171, 182, 903, 912, 17 842 (1967). he issue, becomes advocate support complaint. proceeding occurs all. practical effect scheme believing himself victim obtain neither remedy statute persuading sufficiently meritorious warrant consideration. structure considerable gives him, procedures processing charges. Charges Board's 31 Directors,4 101.8, 102.10. A conducts investigation include interviewing witnesses reviewing documents. 101.4. If, investigation, settlement attempted, issued. merit Director's informed letter brief explanation reasons. 101.6, 102.15, 102.19. 10 days D.C., 6 exercises right, entire possession D.C. assigned prepares containing analysis factual issues case. called 'agenda minute'5 serves discussion meeting Committee,' includes Associate Appeals. At point period, written presentation oral discretion allowed, subject notified allowed similar separate opportunity presentation. Committee; 'General Minute' Memorandum.' himself. unusually complex important, brought into earlier stage hand expression follows rejected sustained, party, briefly denial appeal6 sustaining overruling Directors, class affords Washington formulate coherent policy, achieve measure uniformity, enforcing laws. alone, wholly adequate purpose: initially available; neglect Accordingly, further 'fair uniform administration Act,'7 specified Branch,' located yet cases, counsel Branch. When 'advice' facts statement advice sought, recommendation. Branch researches presented reading 'prior determinations Statement, 3076,8 reports, orally writing, 'agenda' up various high-ranking members Office. arrived dissenting views Committee. special schedule agendas invite recommendations. submitted, summarize facts, against decided, answer submitted 'detailed rationale,' case.' Ibid. send advising him informing II 9 arose following context. By dated July 1971, requested previous five years subjects 'the propriety withdrawals employers unions multi- employer bargaining, disputes commencement date negotiations, conflicting Retail Associates (120 388) rule.'9 subject-matter index digest Memoranda.10 urged source issues. 23, Sears' request full. stated simply 'guides Director' final; memoranda' reflect thought staff; part 'investigative process.' said therefore, 'unable' comply request. decision, Counel wrote August 4, ordered opinions.'11 opinions, i.e., denied' directed filed, numbered several thousand, view precedential significance. all, 552(a)(3) relating records.' failed adequately identify justify expenditure necessary On declaration refusal indices thereof violated injunction enjoining continued Act. 24, current took office. give own postponed until February 3, 1972. denied closed—either completed final. He stated, open cases; would, delete names 'security sensitive' did disclose; consider pursue new 'in instances' future. 11 Not satisfied voluntary disclosures offered moved judgement likewise. cases. objected deletions closed asserted many unintelligible themselves circumstances case" out about ignorant. contended coverage 552(b)(5); files' 552(b) (7). parties agree claimed binding Directors. not, noting 12 judgment found that, complaints, constituted pro tanto withdrawal delegation power. 552(a)(2)(C). opinions.' Both 552(b)(5), 'of view' 'disposition charge.' Documents lost whatever previously. See American Mail Line, Ltd. Gulick, 133 389, 411 696, 703 (1969). concluded proper exercise injunctive powers though voluntarily sought. noted jurisdiction enjoin withholding prospectively, ordering production withheld. longstanding nondisclosure still maintained lawful partial changed, arisen voluntarily. (1) 1967,12 (without apparently Sears);13 (2) produce, compile necessary, memoranda; (3) material, existing documents, case'; (4) cease deleting names, citations, suggestions, justification.14 Columbia Circuit Grumman Aircraft Engineering Corp. Renegotiation Board, 157 121, 482 710 rev'd, 168, 1491, 57, we certiorari, 417 907, 94 2602, 41 211 (1974), argument important questions construction relate decisionmaking processes. III 13 clear, concedes, least categories.15 categories, our inquiry end, Thus inquiry, strictly speaking, exemptions applicable memorandums.' hold below, phrase cases.' 522(a)(2) (A). argues, must, bases large lack adjudicative authority. true lacks favor claimant; possess claimant decline Board. fully 5; 14 apparent agreement withholds discover U.S., 85-86, 835-836. privileged discovered appropriate litigant, relevant intended much therein, id., 79, 92, 832, 838; Sterling Drug, Inc. FTC, 146 237, 243, 244, 450 698, 704, 705 (1971); 1, reasonable construe normally civil discovery context.16 privileges (i) 'generally recognized' privilege 'confidential advisory opinions. .,' Kaiser Aluminum Chemical States, F.Supp. 939, 946, 141 Ct.Cl. 38, 49 (1958) (Reed, J.), 'would 'injurious consultative functions government .' Corp., F.Supp., Ct.Cl., 49,' 86-87, 836 (sometimes privilege'), (ii) attorney-client generally litigants. Government's executive specifically mind adopting 9; 10; 86, 835. precise contours less gleaned legislative purpose law. uniformly rest 'decision making agencies,' Tennessean Newspapers, FHA, 464 657, 660 (CA6 1972); Carl Zeiss Stiftung V. E. B. Zeiss, Jena, 40 F.R.D. (D.C.1966); see 835-836; Paper FPC, 438 1349, 1358-1359 (CA2 1971); Ct.Ct., 49; focus 'reflecting recommendations deliberations comprising governmental policies formulated.' F.R.D., 324. point, plainly Senate Report, 'frank matters' writing inhibited public; 'decisions' 'policies formulated' poorer result. 87, 836. lower pointed out, 'there enough incentives playing safe listing wind,' Ackerly Ley, 137 133, 138, 420 1336, 1341 (1969), analogous context, '(h)uman experience teaches expect dissemination remarks well temper candor concern appearances detriment Nixon, 418 683, 705, 3090, 3106, 1039 (1974) (emphasis added).17 16 Manifestly, ultimate long-recognized injury decisions. particular affected received decisionmaker made. However, difficult how occurring reached; equally forced communications, long ingredients drawn distinction between privileged,18 e. g., Boeing Airplane Coggeshall, 108 106, 280 654 (1960); O'Keefe 38 329 (S.D.N.Y.1965); Walled Lake Door 258 (E.D.Mich.1962); Zacher 227 226 (CA8 1955), cert. denied. 350 993, 76 542, 100 858 (1956); Clark Pearson, 238 495, 496 (D.C.1965); designed it, not.19 698 GSA Benson, 415 878, 881 (CA9 1969); Bannercraft Clothing 174, 466 345 (1972), rev'd grounds, 1028, 39 123 supra. 1219, 88th 11.20 supported lesser flowing post-decisional also, increased knowing adopted. marginally concerned rejected, supplied, supply, actually different ground. contrast, supply These reasons, expressed agency, 'working law' U.S.App.D.C., 181, F.2d, 352; Cuneo Schlesinger, 368, 484 1086 sub nom. Rosen Vaughn, 977, 1564, 873 Ash Grove Cement 371 370 aff'd 167 249, 511 815 (1975). properly construed, calls 'disclosure 'opinions interpretations' embody agency's effective papers group thinking working determining be.' Davis, Act: Preliminary Analysis, 34 U.Chi.L.Rev. 761, 797 (1967); Note, Intra-Agency Harv.L.Rev. 1047 (1973). powerfully provisions affirmative portion requiring indexing 552(a)(2), represents strong congressional aversion (agency) law,' 797; force 2424. reluctant, 552(a)(2); infra, 158-159, apply.21 18 19 recognized Report states come applied parties,' 2; Hickman Taylor, 67 385, 91 451 (1947), Government attorneys litigation. 947, 50; Anderson, 518 (D.Colo.1963); Thill Securities New York Stock Exchange, 57 (E.D.Wis.1972); J. H. Rutter Rex Mfg. 473 223 (CA5), denied, 414 822, 120, 55 Whatever outer boundaries are, re Natta, 187 (CA3), Montecatini Edison I. du Pont de Nemours 396 836, 90 95, 24 (1969); State ex rel. Dudek Milwaukee County, Wis.2d 559, 150 N.W.2d 387 510-511, 393-394. B 20 Applying principles conclude denying relief party; protect direct 21 22 employed Branches, complaint; represent 'disposition,' discussion, can—representing, does, rejection party. Disclosure proceses, decisions, receives make—he secret.22 Practice Procedure Bar Association's Section Law (ABA Committee) 1970 report: 23 'Where directs where dismissal subsequently issued, theory, interpretation ventilated hearing, Trial Examiner perhaps review remaining determines issuance warranted, constitutes import. Your 'precedents' statements 'instruction contemplates public.' ABA Section, (1970). contends, step contentions merit. Plainly, sustained complaint;23 characterization odds description House says establishes 'uniform policies' areas 'required' 'definitive' at. 'free' interpret could, thing Region others.' Statement 3075, 3076, 3077. (Emphasis added.) Therefore, created consideration contains Id., 3076. light description, cannot fault concluding achieves avoid dismissed disclosed.24 25 For essentially 552(a) (2)(A). 'case' 'adjudication': 'adjudication' defined Administrative 'agency formulation order,' 551(7); 'order' whole disposition, (or) negative 551(6) added); above, disposition.'25 explains disposition' qualifies 'opinion'; 552(a)(2)(A). consistent recent ITT Electrical Workers, 419 428, 600, 42 558 (1975), proceedings 160(k) (§ 10(k) proceedings) dispositions.' anything page. 26 27 Board; inexorably communicate strategy product. time, Committee, 156, 28 recognize complaint—although representing doubt body—has characteristics 552(a)(2). opinion' disposition,' real operative effect—it permits indicated reluctance Supra, 153. decisionmaker—the Counsel—must litigating decision. play lead us held, public.'26 C assert erred memoranda.27 disagree. 30 probability employee freely fear adopted, slight. First, reasoning defend. Second, employees encouraged rather discouraged knowledge suggestions supports Court's Thus, erroneously agree. compel agencies write so. prepare create. (1971). insofar baseless. IV 32 argue exempt, (7) (Exemptions 7), therein With remand proceedings. A. 33 provided, complied except extent agency.' Noting history proposition 'enforcement' laws, 11, asserts 'documentation underlying files" 'believes' similarly 'purposes'28 cites decisions29 once type determined category inquire question contravene Two factors combine convince Court; unenlightened offend issue. circumstances, claim, Ramsey Mine 401 302, 658, 64 Adickes Kress 398 144, 1598, 142 (1970), adhere now 36 '(7) investigatory records purposes, (A) interfere proceedings, (B) deprive person fair trial impartial adjudication, (C) unwarranted invasion personal privacy, (D) identity confidential record criminal conducting national security intelligence furnished source, (E) investigative techniques procedures, (F) endanger life physical safety personnel.' Pub.L. 93-502, 88 1563. 37 indicates Congess disapproves relied n. 29, relieve show S.Conf.Rep. 93-1200 1974, 6285. language reveal intent limit application (an) informer, procedures.' 12. Any Fusari Steinberg, 379, 387, 533, 538, 521 apart failure raise pass applicability amendmend, occurred Appeals.30 agency' above. incorporation. Contrary Court, think sound. Congress' files,' original amendments, not. opinion.' aware result easily understood be. intelligible write, applies. files. summary, affirm foreclosed pursuing Insofar reversed; likewise reversed. So ordered. 43 Judgment CHIEF JUSTICE concurs judgment. 45 POWELL Title provides part: 'Each accordance rules, inspection copying— '(A) concurring orders, '(B) '(C) manuals instructions public: 'unless materials promptly copies sale. To identifying details publishes interpretation, manual instruction. provided pertinent 'Except paragraphs subsection, identifiable stating place, fees authorized statute, followed, person. Exemptions 2, provides: 'This section are— '(2) agency; '(5) inter-agency memorandums letters .; ..' All officers Offices supervision Organization Functions, 202.1.1 Fed.Reg. 9588-9589 Sears. ceased preparing sustained. latter expanding sending copy letter. Subcommittee June 1961 Statement), CCH Lab.L.Rep. 1150, 3075 (1968). Advice—but Appeals—Memoranda later added 'dealing contract successorship doctrine Burns Detective Agency (then pending Court), dealing lockouts multi-employer bargaining situations.' response Seattle, Wash. involved timeliness unit; untimely. appeal—without benefit sought—was successful, hearings scheduled November 1971. Proceedings delayed stay 153 380, (1973) 145 950, 1474, 566 eventually withdrawn rights decreased greater shared average public. fundamentally inform 838, (1973); 1040, (1974). refer again providing breadth assume abandoned contrary contention predecessor ability litigant override Government, document, itself turn litigant's need case; nature 13, 835; 511-512, 393-394, (1947); Jencks 353 77 1007, 1103 (1957); sensible hypothetical most compelling. Indeed, 'routinely disclosed' H.R.Rep.No.1497, 10, accept U.S.A.pp.D.C. 704-705 Our Nixon resting Constitution States. No mean intimate constitutional content have. emphasis pre-decisional existence turns specific prepared. Agencies be, engaged continuing examining policies; generate ripen decisions; wary interfering process. line postdecisional always bright one. prototype document—the opinion'—serves dual just guides arising function, predecisional; manner may, premarily postdecisional—looking back explaining, do, adopted—and poses negligible risk decisionmakers uninhibited report bill identical led Congress. Technically, course, example, nondisclosable, falling argues law, analogizing prosecutor's brought, resembling dispute. Without prosecutor prosecute 158, 25, analogy far perfect. unlike prosecutors, authorize citizen 'charge.' 101.2; etc., 18, 400, Unlike crime, will, 102.8; Auto 382. And, exist, ensuing cease-and-desist punishment defendant coerce conduct wrongdoer particularly characterize laws matter. 218-219, 381-382. Davis Brawell Motor Freight Lines, Inc., 363 600 (CA5 1966), heavily contrary. discloses there came inferred possibility overturned happened discussed finality purposes. absence effect, district might, appealed, appeals. (Indeed, like petition rehearing normal change slim.) Reports—which reviewed Statutory companion Aircraft, 57. unnecessary, correct asserting staff' event furtherance 'prosecution' main probably entitled treatment place. 87-93, 836-839. 'purposes' appear premature results strongest court, keep conducted obtained information.' Frankel SEC, 460 817 (CA2), 409 889, 125, (1972). inapplicable tells 'procedures' 'information' sources revealed Memoranda. Weisberg Department Justice, 160 71, 78-79, 489 1202-1203 (en banc) 416 2405, 772 Accord: Center Policy Review Weinberger, 163 502 Rural Housing Alliance Agriculture, 162 122, 498 73 Ditlow Brinegar, 161 154, 155, 494 1073, 1074, 974, 238, 188 Aspin Defense, 231, 491 version was, anything, favorable version, addition, equity amend decree showing, wish so, demonstrates prevented resulting

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