Legal Document

437 U.S. 214 98 Supreme Court Reporter 2311 57 United States Reports Lawyer’s Edition 2d Series KF101.8 U54 159 NATIONAL LABOR RELATIONS BOARD, Petitioner,v.ROBBINS TIRE AND RUBBER COMPANY. Number 77-911. Argued April 26, 1978. Decided June 15, Syllabus After the National Labor Relations Board (NLRB) filed an unfair labor practice complaint against respondent employer, requested, pursuant to Freedom of Information Act (FOIA), that NLRB make available prior hearing copies all potential witnesses' statements collected during NLRB's investigation. This request was denied on ground were exempt from disclosure under, inter alia, Exemption 7(A) FOIA, which provides is not required "investigatory records compiled for law enforcement purposes, but only extent production such . would interfere with proceedings." Respondent then action in District seeking and injunctive relief. That court held did apply because claim release pose any unique or unusual danger interference particular proceeding, hence directed provide copying hearing. The Appeals affirmed, holding had failed sustain its burden demonstrating availability it introduced no evidence proceeding form witness intimidation likely occur this case. Held: erred entitled withhold under Exemptio 7(A). Pp. 220-243. (a) 7(A)'s language does support interpretation determination "interference" can be made individual, case-by-case basis, and, indeed, 7 as a whole tends suggest contrary. Nor supported by other portions FOIA providing segregable camera review documents, placing justifying nondisclosure Government. 223-224. (b) legislative history indicates Congress intend prevent federal courts determining that, respect kinds proceedings, investigatory while case pending generally "interfere proceedings," more particularly, overturn longstanding rule prehearing statements. 224-236. (c) Witness proceedings are at least until completion hearing, since necessarily involve kind harm believed constitute proceedings—that giving party litigant earlier greater access than he otherwise have. Thus, here met question "would dangers posed premature precisely "interference proceedings" designed avoid, most obvious risk being employers or, some cases, unions will coerce intimidate employees others who have given statements, effort them change their testimony testify all. 236-242. 563 Federal Reporter, 2nd 724, reversed. Carl L. Taylor, Washington, D. C., petitioner. William M. Earnest, respondent. Mr. Justice MARSHALL delivered opinion Court. 1 presented whether 5 Code KF62 § 552 (1976 ed.), requires disclose, complaint, witnesses whom intends call Resolution depends material within meaning 552(b)(7)(A) ed.). 2 * Following contested representation election unit respondent's employees, Acting Regional Director issued charging having committed numerous violations 8(a)(1) (NLRA), 29 158(a)(1), pre-election period.1 A scheduled 27, 1976. On March 31, 1976, wrote inspection copying, seven days Board's 2, requirements various provisions Act, see §§ 552(b)(5), (7)(A), (C), (D) He placed reliance 7(A), "matters .S.C. 3 appealed General Counsel. Before expiration 20-day period appeals decided, 552(a)(6)(A)(ii) Northern Alabama, 552(a)(4)(B) sought also preliminary injunction final adjudication permanent documents been disclosed. At argument Court, contended, these "interfere" proceeding. issue apply. App. 62, 91. It therefore before 22, five where person making statement called witness. 4 appeal, Fifth Circuit commenced discussion observing "[t]his [FOIA] case, takes troubling coloration dispute about discovery rights [NLRB] 726 (1977).2 concluded first certain amendments 1974 demonstrated there specific evidentiary showing possibility actual individual Id., 728. framed "whether pre-hearing contents those prepared actually 'interfere' case." 727. In addressing question, rejected revelation flow justify amendments. Reasoning whose would, own rules, disclosed following testimony, inapplicable refrain if available. 729-731. Finally, agreed "some intimidation" five-day between Court's order, "introduced [no] tending show fact 732. Rejecting claimed bases exemption3 affirmed. 6 petition writ certiorari, review, alia,4 ruling below, decision conflict weight authority followed lead Second Title Guarantee company versus NLRB, 534 484, cert. denied, 429 834, 97 98, 50 99 (1976).5 There, similar facts, union representatives obtained investigation leading charge reasonably foreseeable administrative judicial charge. employer's contention must particularized each found "necessarily" result F.2d, 491. We granted certiorari resolve among Circuits important statutory law. 434 1061, 1231, 55 760 (1978). now reverse judgment Circuit. II 8 several occasions recently consider purposes original 1966. See EPA Mink, 410 73, 79-80, 93 827, 832, 35 119 (1973); Renegotiation Bannercraft Clothing Co., 415 1, 94 1028, 39 123 (1974); Sears, Roebuck & 421 132, 95 1504, 44 (1975); Department Air Force Rose, 425 352, 96 1592, 48 11 (1976). As we repeatedly emphasized, "the broadly conceived," supra, 80, "basic policy" favor disclosure, 361, 1599. 552(b) carefully structured nine exemptions mandatory order protect specified confidentiality privacy interests.6 But unless requested falls one exemptions, possession agencies demand member general public. 9 originally enacted permitted files except private party." 80 Statutes-at-Large 251. 1974, exemption rewritten permit purposes," producing six dangers. these, concerned, 10 contends expressly existing policy forbidding prospective after they testified hearings. view, preserved Congress' intent primarily applied too cover material, regardless nature, file purposes. urges particularized, neither nor practical, matter pending. disagrees analysis argues conclusively demonstrates basis. While agrees related imminent failure factual defeats claim. Atlantic 12 starting point our structure statute. find little statute itself view determinations Indeed, literal contrary true. applies to: 13 (A) (B) deprive right fair trial impartial adjudication, (C) unwarranted invasion personal privacy, disclose identity confidential source record criminal course investigation, agency conducting lawful national security intelligence information furnished source, (E) investigative techniques procedures, (F) endanger life physical safety personnel." 14 There readily apparent difference subdivision subdivisions (B), (D). latter refer cases—"a person," "an invasion," "a source"—and thus seem require factors relevant present distinct situation. By contrast, speaks plural voice "enforcement appears contemplate generic might made. 15 points interpretation. suggests places Government, 552(a)(4)(B), contemplates specifically demonstrate tha witness' cannot agree. provision discretionary terms, invoked when could resolved; mandate individually examined every Similarly, although segregability nonexempt released, speak what exempt. mere Government not, aid inquiry bears. 16 agree parties resolution achieved through resort alone. Accordingly, turn examination history. B 17 enacting 7, recognized legitimate needs keep confidential, lest hindered investigations disadvantage came time Foremost "harm [to] Government's court," S.Rep.No.813, 89th Cong., 1st Sess. (1965), reprinted Source Book, Subcommittee Administrative Practice Procedure, Senate Judiciary Committee, S.Doc. 93-82, Page (1974) (hereinafter cited Book), allowing litigants "earlier access" have, H.R.Rep.No.1497, (1966), U.S.Code Cong. Admin.News 1966, 2418, Book 32. unusual, post-passage reconsideration vote, modified meet Senator Humphrey's concern construed "statements witnesses" proceedings. 110. 18 Humphrey particularly concerned initial version passed "susceptible once Counsel witnesses, relied upon complaint." Ibid. argued this, noting "[w]itnesses loath give knew going known hearing," 111, proposed adding another clear "until proceeding," id., 110.7 direct response described "valuable suggestion," Long offered amendment resulting "take care situation." 111. 19 light history, clearly correct 1966 intended proceed ng. From reported decisions Barceloneta Shoe Corporation Compton, 271 F.Supp. 591 (PR 1967), amendments, uniformly purpose. Wellman Industries, Incorporated 490 427 (CA4), 419 61, 42 61 (1974), affidavits investigator into objections election, ultimately led filing charge, employer complaint. noted become unwilling " 'uninhibited non-evasive statement[s]' granted, 431, quoting Survey Service, Inc., 361 199, 206 (CA7 1966), emphasized application "necessary so strongest court." 431. Accord, Clement Bros. 407 1027, 1031 (CA5 1969). Contract 20 acted amend respects. move prompted largely congressional disapproval (1973), regarding classified documents. dilatory complying spirit interpreting See, e. g., Administration H.R.Rep.No.92-1419 (1972),8 1975 18, 79-80. amending legislation out respective Committees, recommended. n. 14, infra. resulted instead proposal floor Hart debate. 21 Hart, introducing his amendment, "was opposing have." 332. indicated continued agreement purpose, 333, stated recent gone beyond shielding protect. "material ought merely categorized purposes." 22 colloquy Kennedy floor, specifically, 349, amendment's purpose respond four Columbia Circuit,9 commencing en banc Weisberg Dept. Justice, 160 U.S.App.D.C. 71, 489 1195 416 993, 2405, 40 772 (1974). plaintiff relating assassination President Kennedy, compil d years before. Although acknowledged contemplated, need nature U.S.App.D.C., 74, 1198. adhered Aspin Defense, 231, 237, 491 24, 30 stating even "after termination entirely Ditlow Brinegar, 161 154, 494 1073 Weisberg, Center Policy Review Race Urban Issues Weinberger, 163 368, 502 370 either compilation sought. These Hart's erected "stone wall" public file. 332.10 23 rectify erroneous interpretations clarify two ways. First, substituting word "records" "files," document claimed, avoid impermissible "commingling" agency's legitimately kept confidential. 451. Second, explicitly enumerate objectives Exemption, reviewing "loo[k] reasons" withholding decisions. 334. "woode[n] mechanica[l]" approach taken D.C. disapproved thereby eliminated. 335 (remarks Sen. Kennedy). Congressman Moorhead explained House, needed address "recent decisions" "even ha[d] long lost requirement secrecy." 378. 24 thrust endlessly simply Although, previously, section committee, both House Committees considered proposals provision.11 identical respects submitted hearings Law Division American Bar Association.12 Hearings 158. proposal, according Chairman Association Division, indicate "with passage time, over has expired, longer disclosure." 149. tenor description actual, contemplated want against. "whenever court—a concrete proceeding—would harmed ." 333. 25 mean undercut emphasis Senators leaders debate represented radical departure D.C.Circuit discussed above mentioned condemned debates, nowhere do debates Committee condemn protected 226, aware decisions.13 introductory remarks amendment: 26 "This means Act. Until year ago looked reasons seventh keeping wish reinstall basis information." 334.14 27 confirmed "by accepting [this] reemphasizing clarifying presently requires." 336. limited scope makes reasonable conclude preserve proceedings—case "reasons" Defendant 28 face relies "it relevant" determine "in context proceeding." reveal prematurely, intimidation, create demonstrable believe misplaced. easily many words proceedin[g]," so;15 statute, anything, seems draw distinction (D), ambiguous, moreover, read primary concern: extending blanket protection anything labeled file, ignored intent. His plainly preclude considering "particular" types interfered disclosure. Res ondent Ford's message accompanying veto legislation, override veto. President's concerning 1. addition, however, onerous new "prove separately paragraph document—that 'would' cause" harm. 484. supporters accept characterization; indicated, regard amended suggestions "ludicrous," 406 Rep. Moorhead), "burden substantially less message," 450 Hart). 31 What mind "specif[ies]" enumerated harms present, 413 Reid), court, de novo, applies. 232. fails "demonstrat[e] [sought] relate ongoing jeopardize future decision. 440 Amendment eliminate "blanket exemptions" think concluding ever III 32 remaining proper us weigh strong presumption likelihood disturb balance relations delicate deliberately maintains essential effective NLRA. arguments sides issue, follow 33 Historically, provided principally prove criticized, position NLRA, 156, commits formulation discretion sustained lower courts.16 profound alteration strategy cases effectuated required, proceeding.17 34 Not substantive mechanisms cause substantial delays charges.18 addition duty processes, charged effectively investigating prosecuting laws. 160, 161. To duty, expected continue requests, contests ensue. Unlike ordinary contests, rulings appealable conclusion denial immediately reviewable district court's reviewed appeals. delay restructuring routine adjudications charges requests like insubstantial. 17, supra. absence direction contrary, should hesitant circumstances interpret mbiguous dislocations. lacking, adversely affect ability prosecute above, affords prior, court-approved practice. 224-234. Our reluctance tradition discovery, based nothing deal wholly different problem, strengthened avoid. 36 special flowing years, see, Vapor Blast Mfg. 287 402, (CA7), 368 823, 82 42, (1961); 1966); Lizdale Knitting Mills, 523 978, 980 (CA2 1975), formed concern, 225. NLRA itself, 8(a)(4) "to discharge discriminate employee subchapter." 158(a)(4). Scrivener, 405 117, 121, 92 798, 801, 79 (1972). Respondent's deterred improper misses 7(A); deterrence arising post hoc disciplinary substitute prophylactic prevents flows intimidated.19 37 acute current employees—whether rank supervisory, managerial—over virtue employment relationship, may exercise intense leverage. fire employee, job assignments switched, hours adjusted, wage salary increases up, subtle forms influence exerted. often members officers. recognized, due "peculiar character litigation[,] especially inhibited fear or—in cases—the union's capacity reprisal harassment." Roger Judge Au Son, 538 83 (CA3 1976). Hardeman Garment Corp., 557 559 (CA6 1977). (at employers) somewhat diminished favorable already subject pressur testimony. 38 Furthermore, nonemployees reluctant investigators all, absent assurances adjudicated. Such desire maintain complete confidentiality—the 7(D)—than familiar unwillingness "get involved" absolutely necessary. Since vast majority resolved short without currently assurance instances complete).20 FOIA-induced rules chilling effect sources ignored.21 short, proceedings: noted, harassment suspected violator advance 'construct defenses go unremedied.' New England Medical Hosp. 548 377, 382 (CA1 1976), arises adverse, nonemployee. drafting tolerated promote fairer decisionmaking process, task construing FOIA. basic ensure informed citizenry, vital functioning democratic society, check corruption hold governors accountable governed. 38; U.S., 152, S.Ct., 1517. concedes seeks solely litigation function tool, 1039.22 Most, persons posture proceedings.23 dealing narrow released pr ctice how FOIA's defeated deferring "presented Cf. 159-160, 1520-1521. 41 Consideration underlying reinforces Congress, explicit attention problem understanding, conclusion, interfere" sense is, accordingly, 43 Reversed. STEVENS, Chief REHNQUIST join, concurring. 45 "act meddling in" process Webster's accepted definitions "interference."* authorized normally applicable sense. quite correctly holds authorize Its rationale equally N Dec. Immigration Nationality Decisions join opinion. 46 POWELL, BRENNAN joins, concurring part dissenting part. 47 (Act FOIA), permits 'interfere proceedings.' Ante, 236. endorse limitation "generic interference," ibid., adjudicatory proceeding" "necessarily finite duration," ante, 229 10. (Board) unfavorable employer. approval gives judge. And disagree chooses promulgate. 243. persuasive FOIA-requested invoking restrictive promulgated "housekeeping" rulemaking authority.1 Establishing "does limit public, section." 552(c) Moreover, "[a]ny portion shall requesting deletion subsection." 552(b). 49 squared "giving have" 'interference' 241. instructive compare files" exemption. 251.2 abandoned keyed standard litigants.3 place, prescribed focused possible defining terms discovery.4 observed "[i]f enough, naught 'only interfere' way" 730 force Appeals' unworkable accorded uniform recognition deny it. assessment mandates 552(a)(3) incorporating principle "anyone's (or weak) anyone else's." 730; 143 10, 1512, (1975). 51 ambiguous reading. principal sponsor appear favorable. Senate, very dispute. Thus have," 120 Cong.Rec. 17033 332, said whenever defendants." If doubtful spoken unilluminating work Act." 334 52 emerges clarity look documents." difficult reconcile against." drawn line "pending contemplated" "closed" cases. adopted.5 One assume deliberate rejection alternatives contained notes, n overrule "involved still-pending investigations." 1073, 974, 238, 188 (1974).6 others, wrongly decided "on balancing exactly do." 349. 53 tension 1976 overturned FAA Administrator Robertson, 422 255, 2140, 164 (1975), 3, 552(b)(3), interpreted broad delegation Pub.L.No.94-409, 5(b)(3), 90 1247. tightened withheld establishing criteria referring information," viewed "afford[ing] cart[e] blanche pleases H.R.Rep.No.94-880, pt. (1976) 2205. today afford carte files, pendency 54 appropriately recognizes claims "likely charges." 237-238. insist, grounded categories set though ensue disputed demonstrates, Act's sponsors urging shed point. "confidentiality maintained millions pages FBI compulsory behest court—separately type amendment." bill's proponents discounted concern. 405-406 Moorhead); 451-452 Attorney Levi observed: possibility, circumstances, consequences General's Memorandum Amendments 523. 56 my "reasonable possibility" damaging Courts virtual unanimity 1976).7 "delicate" relationship employee—or employee-member—suggests "[t]he peculiarly susceptible [or union] retaliation, coercion, express Section Climax Molybdenum 539 63, 65 (CA10 knows experience influence—either threats promises benefit—over welfare opportunity advancement depend good graces party. amended, 140, 158(a)(4), written sworn field examiner formal (1972).8 58 able impose sanctions 158(a)(4) 162; 1505 remedies safeguard fully integrity Intimidation promise benefit proof. knowledgeable individuals, Nash Florida Industrial Comm'n, 389 235, 88 362, 365, 438 (1967) undetected. Even detected filed, appropriate imposed terminated. mindful settlement practice, willing cooperate know revealed adverse interest 59 proved unfounded, empirical matter, altered benefit—provides sufficient justification judge, ."9 60 "witness warrant sweeping expressed intention 93d Congress. interference, witnesses—other unions)—are contrast situation members, presuming employed party, union, nonmembers bargaining unit. am presume reprisal. Temple-Eastex, 183, 186 (ED Tex.1976). adopt adhere nonstatutory rules10 barring records. reasons, 241, disclosure—which deemed "premature" agency—will enable "suspected violators learn frustrate construct unremedied (CA2), assumption inconsistent Rules Civil Procedure "trial ambush," 387 1976); Capital Cities Communications, 409 971, 977 (ND Cal.1976), well disserve truth, threatens undermine overall proceedings.11 62 exceptional duration arise divulge incompletely developed which, prematurely disclosed, Board, facts attempt witnesses. requires, convince interference.12 63 affirm dispute.13 recommended challenged ballots counted receiving majority, objections. adopted Director's recommendations count consolidated had, effect, erroneously refusing exhaust remedies. enjoined conditioned request. "attorney-work-product" privilege embodied 5, "inter-agency intra-agency memorandums letters agency." 552(b)(5) concluded, "memorandums" "letters" 5. suggested covered 7(C) "constitute [or] .." claims, "nothing family details affidavits" bring 7(C). 733. With 7(D), confidentiality, trial. 733-734. second below disposition occasion question. Those include Hospital 377 Son 1977); Abrahamson Chrysler-Plymouth, 561 Harvey's Wagon Wheel, 550 1139 (CA9 involving Equal Employment Opportunity Commission Fourth rationale. Charlotte-Mecklenburg Authority Perry, 571 195 (1 78). entirety provides: matters are— "(1)(A) established Executive secret defense foreign properly order; "(2) internal personnel practices agency; "(3) exempted (other 552b title), manner leave establishes refers withheld; "(4) trade secrets commercial financial privileged confidential; "(5) inter-agency "(6) medical privacy; "(7) personnel; "(8) examination, operating, condition reports by, behalf of, use responsible regulation supervision institutions; "(9) geological geophysical data, including maps, wells. "Any witneses timely parts cross examination." Colloquy thought desirable extend so-called "Jencks" requiring 89-page Report Operations Committee. focus procedural aspects manifested discontent (1972), Judiciary, (Pub.L. 93-502) 94th Sess., (Joint Comm. Print 1975) (identification "major areas") Book). Hruska's lawlessness ineffective activities, "been gross misinterpretation intention." "for extremely clear," continued, "be safeguarding bY agencies." asked "impact [was] override" text. Conference similarly states disapprove 229. much problems "closed files," involved investigations. Brinegar; Weinberger. understand "open." Instead, imminence "wooden" overly reference consideration as-yet-unresolved relates factor considered. Assuming, arguendo, references Weinberger holdings, reasoning, undercuts protected. Ditlow, correspondence automobile manufacturers Highway Safety Traffic apparently extended defects. Health, Education, Welfare desegregation schools North. imminent. Here, involved, proceedin duration. Both S. 1142 H.R. 5425, follows: '(7) interest, that— '(A) agency, '(B) '(i) scientific tests, reports, '(ii) health, safety, environmental protection, '(iii) serve officer agency.' ". 858 et al. Intergovernmental Subcommittees Separation Powers 507 (1973) Hearings); 5425 Operations, Cong , Hearings). 4960 language: complied [sic ] genuine threat life." 12. reflected applying literally Liberties Union, example, "[w]hat gotten old dead yellowing Hearings) (statement John Shattuck, ACLU staff counsel). Erlenborn); 78 Horton). actively 2; closed extent. 227. exempted: "Investigatory informer, procedures." incorporated 7(A): passing form, 223, detailed summary 200 116-183, included 1027 1969), 226. th holdings decisions, therein. comments accord Kennedy's explanation why 11, report amendment. were, large, construction, confusion. 335; S.Rep.No.93-854 159. series last 9-12 months, "initial appraisal" "turned lived". 335. mistaken automatically closed-file Frankel SEC, 460 813 1972), dissent Oakes (the author later opinion), Given nondisclosable, object Senator's enact effect. "make regulations necessary carry Most questions discretion. 402 1961); Electromec Design Development 631, 635 1969); Interboro Contractors, 432 854, 1970), 915, 91 1375, 661 (1971); D'Youville Manor, Lowell, Mass., 526 1975); Valley Mold 530 693, 695 Contrary authorities, "when shown [the NLRB] discovery" Rex Disposables, 588, 592 citing Safway Steel Scaffolds 383 273 390 955, 1052, 1150 (1968) (relying 10(b) 160(b)). influenced Circuit's granting obtained. rest ground, prospect 218, intimate validity discovery. reversed, anticipated employer-respondents virtually Pet. Certiorari 9. factor, "production," "disclosure" harms, 338 (proposal Assn. City York), unreasonable attribute significance "production" activities "interferences" flow. 552(b)(6) ed.) (exempting "disclosure which" invade privacy) (emphasis added). relatively small percentage justifications illusory. Brief 38. reflect effectiveness rather lack thereof. success policy. According 94% hearing; 6% testify, cumulative. Petitioner 17-18, 4. nonexistent testified. Regulations 102.118(b)(1) (1977). falters, first, issues raised pleadings rules. uphold doubtless 20, Tr. Oral Arg. 34. way litigant, enhanced particular, litigation-generated materials. 86, 835, (1973). act hampering activity process." Third International Dictionary 1178 (1961). remedy restricted unduly ope ations 3-6 (1966); (1965) 2418. establish standards official empower noncompliance standards. exception clause appeared accommodate shield 110 17666-17668 (1964), Pages 109, 111 85-86, silent point, broaden 7. Fuselier Moeller, Investigatory Records: Disclosure Under U.Rich.L.Rev. 541, 546 Others attached language. 515 Book); Ellsworth, Amended Am.U.L.Rev. 37, 45-46, early decision, regulatory statutes viol tions law." Bristol-Myers FTC, 138 424 935, 939, 400 824, 46, (1970). Note, Act: Seven-Year Assessment, 74 Column.L.Rev. 895, 948, 291 proviso same "party" engaged agency. 1195, 1203 (en banc), (Sen. Kennedy); 227 (Dept. Justice), 339; (Committee Legislation York). Review, Secretary resist "open active" school discrimination northern localities. "there employee-witness done silence him dilute testimony." 732 determined, introduce likely, declined assertion great affidavits." 732-733 supplied). "take[n] account economic dependence employers, tendency former, pick up implications dismissed disinterested ear." Gissel Packing 395 575, 617, 89 1918, 1942, 547 (1969); Textile Workers Darlington 380 263, 85 994, 827 (1965); Exchange Parts 375 405, 84 457, 435 (1964). Similar considerations inducements unions. Savair 414 270, 495, 495 pretrial theory Jencks 3500(a) Act; 248-249. construe materials generated inactive harm, authority. 17. advanced success. Compare 385-386 (records related, disclosure), Poss 565 654, 657 1977) (statements ended protected). limits reach alternative incorporate "work product" Hickman 329 67 385, L.Ed. 451 (1947), Fed.Rule Civ.Proc. 26(b)(3). 154-155, 1518-1521, view. verbatim transcripts personnel. remand cf. 1139, 1143 conceded "[t]here's

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