Case Detail
Case Title | Center for Biological Diversity v. Office of Management and Budget | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
District | Northern District of California | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
City | San Francisco | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Case Number | 3:2007cv04997 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Date Filed | 2007-09-27 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Date Closed | 2010-02-09 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Judge | Hon. Marilyn H. Patel | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Plaintiff | Center for Biological Diversity a non-profit organization | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Case Description | The Center for Biological Diversity submitted a FOIA request to OMB for records concerning discussions about California's vehicle emission standards. The Center also requested a fee waiver. OMB told the Center that its request was too broad. The Center filed an administrative appeal, but after hearing nothing further from the agency, the Center for Biological Diversity filed suit. Complaint issues: Failure to respond within statutory time limit, Public Interest Fee Waiver, Litigation - Attorney's fees | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Defendant | Office of Management and Budget | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Documents | Docket Complaint Opinion/Order [29] FOIA Project Annotation: A federal court in California has ruled that OMB failed to rebut the Center for Biological Diversity's showing that it was entitled to a fee waiver for its request concerning OMB's influence on a National Highway Traffic and Safety Administration's rule concerning fuel economy standards. CBD's request asked for communications between the agencies on the specific NHTSA rulemaking and requested a public interest fee waiver. OMB rejected the fee waiver request on the grounds that NHTSA was responsible for the rule and had already made a great deal of information public, OMB was unlikely to release much information because it would be protected by Exemption 5 (deliberative process privilege), and any information was unlikely to significantly contribute to public understanding of the issue or to whether or not OMB had complied with certain statutes. CBD then filed suit. Judge Marilyn Hall Patel first examined whether CBD had made a prima facie showing that it was entitled to a fee waiver. She noted that "there is no argument that the documents relate to the operations or activities of the government or that the CBD will disseminate the information to a reasonably large segment of the public interested in this subject. Further, the only documents requested are those not already in the public domain." She added that "the CBD's goal is to understand the administration's rationale and basis for setting the standards at the chosen level. The requested documents will aid the CBD in achieving this goal. The CBD means to challenge publicly the underpinnings of the cost-benefit analysis conducted by the OMB. . .Consequently, the request suffices for a prima facie showing that disclosure is 'likely to contribute significantly to public understanding.'" Patel dismissed OMB's claim that its records would not be particularly useful because NHTSA had been responsible for the actual rule and had already made a large amount of information public. Patel noted that "since the request only applies to documents that are not already in the public domain, this argument is without merit." She also rejected the claim that most of the information would be protected because of OMB's role as a deliberative agency advising the President on regulations. Patel responded that "finding this to be a rare case based not upon the facts of the case, but because of the OMB's role amongst federal agencies would effectively remove the OMB from the FOIA's reach." OMB also argued that the types of documents CBD was requesting were quintessentially deliberative. She indicated that "although the 'predecisional' prong is likely met, there is no indication regarding whether every single document requested would either make a recommendation or express opinions on legal or policy matters or reveal the agency's deliberative process itself." Patel found that CBD was not required to show that the documents would expose any kind of wrongdoing on the part of OMB. She pointed out instead that "the public's understanding of governmental activities will increase independent of the specific weight the OMB placed upon greenhouse gas emission when it conducted its analysis. Mere knowledge of the weight will significantly increase the public's understanding."
Opinion/Order [35]Issues: Public Interest Fee Waiver Opinion/Order [39] Opinion/Order [48] Opinion/Order [56] Opinion/Order [58] Opinion/Order [59] FOIA Project Annotation: A recent decision by a federal court in California shows just how difficult it can be for an agency to support its exemption claims when dealing with a judge who holds the agency's feet to the fire and insists that it provide both detailed and tailored explanations of its claims in its Vaughn index. The case involved a request by the Center for Biological Diversity to OMB for records pertaining to the agency's role in reviewing a revision to the National Highway Traffic Safety Administration's fuel efficiency regulations for light trucks. After having ruled earlier this year that OMB must give the Center a fee waiver, District Court Judge Marilyn Hall Patel, who has long been regarded as one of the toughest judges on the government in FOIA cases, found this time around that the agency had failed to support is claims under Exemption 5 (privileges). The Center did not challenge claims made under the attorney-client privilege, but did dispute claims made under the deliberative process privilege and the presidential communications privilege. All the disputed documents were emails. The starting point in the Ninth Circuit for assessing the adequacy of an agency's affidavits is still Wiener v. FBI, 943 F.2d 972 (9th Cir. 1991), a case in which the appeals court rejected the FBI's index which inserted an exemption claim for withholdings but then referred back to a generic explanation of what kind of information the exemption protected. Patel observed that the government had clearly learned a lesson from the inadequacies of the Wiener index because the index supplied in the current case by OMB provided a much greater explanation of each withholding. But, Patel pointed out, more did not necessarily mean better. She explained that "the Vaughn index in this action likewise relies upon boilerplate explanations to claim exemption and does not provide a single particularized claim of exemption to any document. Instead of assigning numbers to its various boilerplate statements (such as those describing documents as 'deliberative' and describing the harm that would result from disclosure) as in Wiener, however, defendant OMB provides the full boilerplate texts; creating lengthy but practically meaningless document descriptions. Defendant's index, then, while distinguishable in form, is functionally similar to the one rejected in Wiener. This distinction is without a difference in law or fact. Accordingly, the court finds that defendant's overly simplistic and conclusory summaries, coupled with boilerplate explanations for exemption, do not provide sufficient facts for the court to conduct a de novo review of defendant's withholding under the deliberative process privilege." Specifically, she noted that "the inconsistent disclosure of documents with virtually identical descriptions further exemplifies the deficient nature of the index." She then compared an email that had been withheld entirely with another email that had been partially disclosed, observing that the explanation in both cases was virtually identical. Patel complained that "no further effort is made to tailor the claim of non-segregability to the contents of the document [completely withheld], as is the case for all other documents withheld in their entirety. The court finds this too thin a reed to support an exemption from disclosure. Moreover, for. . .all other partially released documents, there is no information that specifically distinguishes the nature of the redacted versus the released portions of the documents; it is simply stated that a portion of the documents has been released." She indicated that this lack of detail raised a host of unanswered questions. "For instance," she noted, "what concerning the broad category of [fuel efficiency] rulemaking is being discussed in each e-mail and what deliberative process is involved? Indicating that an e-mail includes 'thoughts and opinions' that relate to the broad topic of [fuel efficiency] standards does little more than ensure that the documents are somehow responsive to the FOIA request. In addition, what types of facts are being intertwined with opinion? Scientific? Regulatory? There is no meaningful way of knowing what it is about [the authors'] 'thoughts and opinions' that makes one portion of [the author's] 'thoughts and opinions,' but not others, eligible for partial release." The agency's segregability analysis was no more adequate. Patel noted that "several withheld e-mails refer to thoughts, comments, analysis, perspectives, and reflections on 'standards and analysis used for [fuel efficiency] data'. . .However, the descriptions for these documents only use boilerplate segregability language without a 'detailed justification' for the withholding of the portions of exempt records. This denies both CBD the opportunity to argue for their release and the court the opportunity to consider the reasonableness of the withholding." She then observed that "the court recognizes that the process of segregating nonexempt information from exempt information, and furnishing the nonexempt data to CBD, may be time consuming and expensive. The government nonetheless bears the burden of justifying nondisclosure of any withheld records or segments of records." She found that the supplemental affidavits of two agency officials did little to illuminate the issues. She pointed out that "the OMB declarations provide opinions devoid of facts in support of their claim of exemption." Patel then found that, if anything, the agency had done even less to support its claim to the presidential communications privilege. Explaining that the threshold for invoking the privilege was that the communications were "authored or solicited and received" by the President's immediate advisors or their staff members, she indicated that the Vaughn index "fails to provide the individuals' specific capacities or other indicators of proximity to the President or his key advisers. For example, the index entry for [one] document, labeling an e-mail's recipients as 'EOP Officials,' is particularly deficient because not all EOP officials qualify to claim the privilege." Saying that the agency failed to identify specific individuals, she pointed out that "there are only about 15 unique authors and recipients of the e-mails claimed to be protected under this privilege. Surely it was well within OMB's ability to provide more detailed information about these individuals and their capacities at the time of the documents' creation. Without such information, the court cannot extend the presidential communications privilege to all such individuals. The case law makes clear that the privilege cannot extend to 'every person who plays a role in the development of presidential advice,' or to 'staff outside the White House in executive branch agencies.'" She added that "extending presidential privilege to the communications of all such persons creates the undesirable risk that a vast array of executive branch materials will become 'sequester[ed] from public view.' The court refuses to support a growing shroud of secrecy over the executive branch."
Opinion/Order [67]Issues: Exemption 5 - Privileges Opinion/Order [74] Opinion/Order [77] Opinion/Order [95] FOIA Project Annotation: After submitting a revised Vaughn index, OMB has fared reasonably well with its Exemption 5 (privileges) claims brought before District Court Judge Marilyn Hall Patel. Finding that the agency had provided a significantly better description of how various privileges encompassed in Exemption 5 applied to documents concerning corporate average fuel economy standards, Patel also provided the first sustained discussion of how the changes in FOIA policy introduced by the Obama administration might affect the ongoing litigation. The case involved a suit brought by the Center for Biological Diversity for records involving OMB's role in CAFE standards discussions during the Bush administration. A similar suit brought by the State of California against the EPA is on-going. Because the vast majority of both cases involved claims under Exemption 5, the application of the "foreseeable harm" standard embodied in both President Barack Obama's Jan. 21 FOIA memo and the subsequent Mar. 19 memo issued by Attorney General Eric Holder implementing the President's memo may have a dramatic effect on the ultimate amount of information disclosed. Also, the recently announced agreement with car manufacturers to increase the CAFE standards by 2016 may largely obviate the deliberative nature of the documents involved in the current litigation since the policy they embody differs substantially from the policy just adopted. Patel provided no in depth discussion of the new FOIA policy, but since so few courts have yet spoken to the issue at all, her preliminary thoughts provide essentially the first judicial insights into the effects of the new FOIA policy. Remanding those documents for which OMB had not yet substantiated its claims, Patel noted that "at the March 23, 2009 oral hearing, the court asked OMB to address the impact of Attorney General Eric Holder's recent memorandum to the heads of executive departments and agencies on the Obama administration's 'presumption of openness' in FOIA disclosure. OMB requested an opportunity to revisit the pending Vaughn indices to determine if any additional documents merit release in view of this new transparency policy. The court granted OMB two weeks to consider a broadening release of documents." She then indicated that certain documents would no longer be in dispute, including documents that were properly withheld under the deliberative process privilege or the presidential communications privilege. She pointed out that "when deciding if a document is still in contention, pursuant to the guidance of the court, the parties should weigh on the side of inclusion. As instructed by the President, 'In the face of doubt, openness prevails.' This does not mean, however, that every document which CBD would like to include, which is not specifically excluded by the court, must be included. The parties are ordered to work together on achieving a reasonable, finalized list of contested documents through the prism of openness." But after finding OMB's justification for withholding documents wanting in the first rounds of the CBD litigation, Patel found the agency's affidavits were considerably more persuasive this time. CBD argued that draft press releases and related emails should not be considered privileged. But Patel noted instead that "drafts of documents, even those which may eventually be released to the public, may contain deliberative process-protected materials. Therefore, a blanket release is improper in this context." While CBD pointed out that the Ninth Circuit, in Pacific Fisheries v. United States, 539 F.3d 1143 (9th Cir. 2008), had recently adopted the D.C. Circuit's requirement that a reviewing court conduct a segregability analysis, Patel indicated that OMB's analysis provided enough information for her to make a determination. She observed that "OMB has finally conducted an extensive review of the documents in question and provided a description as to why it is withholding a particular document in whole or in part. Although the segregability paragraph is boilerplate, the court finds that OMB has provided in its document descriptions, the non-conclusory description necessary to show its proper invocation without thwarting the deliberative process privileges purpose." Patel reined in the agency's presidential communications privilege claims. The agency contended that records related to "Policy Time" discussions at the White House were protected. But Patel reminded the agency that "while the documents and drafts of those documents prepared specifically for this meeting may be covered by this exception, there remain other documents which, by their description, fall outside of this exception." She pointed out that "the privilege does not extend to intra-OMB discussions relating to 'draft background papers and memorandum prepared for a presentation for the President.'" She noted, however, that these records could be covered by the deliberative process privilege. CBD argued that the attorney-client privilege was waived for inter-agency documents. Patel disagreed, noting that "contrary to CBD's assertion, the development of the CAFE standards was a common legal interest shared by different agencies. It is precisely because OMB is an oversight organization that OMB is involved with various agencies in tandem to create new CAFE regulations. The development of the new CAFE standards is therefore a common legal interest allowing all involved agency members the privilege of attorney-client confidentiality in discussions regarding the legality of various aspects of the proposed CAFE rulemaking. There is no indication that these e-mails were circulated broadly among agency members not authorized to speak or act for the organization in relation to the subject matter of the communication." Finally, Patel ruled that OMB had not waived exemption claims when it disclosed records that it had previously withheld. She observed that "to find that OMB violated the [Administrative Procedure Act] as evidenced by the fact that it subsequently released documents would discourage OMB from ever reexamining previously-withheld documents, something the court is loathe to do."
Opinion/Order [96]Issues: Exemption 5 - Privileges - Attorney-client privilege, Exemption 5 - Privileges - Deliberative process privilege - Deliberative FOIA Project Annotation: OMB did not fare quite so well in a companion decision by District Court Judge Marilyn Hall Patel concerning Exemption 5 (privileges) claims on hundreds of email exchanges. Criticizing the lack of specificity in its claims, she noted that "only the first and/or second sentence of each description [of the exemption claim] is different. The term 'different' is used with reservation, as the court noted that one particular description was replicated verbatim for other 350 entries." Pointing to some claims that indicated only that deliberative material was withheld from discussions concerning the CAFE rulemaking, she observed that "all this description provides is that it is responsive to CBD's document request. [W]hen combined with the boilerplate language as to why the document is deliberative, the description becomes meaningless. Essentially, by describing the document as containing 'deliberative discussions' and then justifying the documents as deliberative because they contain discussions, OMB has set forth a circular claim to the privilege." She added that "these [agency] declarations are nearly verbatim recitations of what was previously submitted, differing only in that they are, if possible, less detailed." Turning to the presidential communications privilege, she noted that "to extend the privilege to intra-OMB discussions relating to 'draft background paper and memorandum used to prepare a presentation for the President' without a more detailed description, would run contrary to the law on this FOIA exemption. The court declines to uphold the presidential communications privilege for the challenged documents." Documents withheld here under attorney-client privilege also did not pass her scrutiny. She pointed out that "the descriptions provided in this Index in support of the attorney-client privilege are simply not tailored. Several entries fail to identify how a lawyer is involved. Several fail to identify how the document contains legal advice. 'These documents might well contain legal advice and confidential information, but [OMB] does not say so.' OMB needs to say so." She pointed out that the supporting affidavit was inadequate. She noted that "the declaration provides no further description as to why these documents contain privileged material; instead it merely restates the scope of the [attorney-client] privilege, and that the documents fall within that scope." Some documents had also been withheld on the basis of Exemption 4 (confidential business information), but Patel indicated that the agency had not justified that claim. She observed that the agency declaration "appears unsure that the information contained in these documents is either (1) privileged and confidential or (2) would result in competitive disadvantage." OMB also argued that it could not disclose the information because it had been unable to contact the submitter as required by Executive Order 12,600 on predisclosure notification. Patel pointed out that "if OMB has not been able to contact the submitter of the information, it begs the question how OMB could assert a privilege that relies on [evidence that the submitter would suffer competitive harm]." She indicated that "because this court is not requiring OMB to release the documents at this point, OMB's attempted reliance on the fact that it cannot contact the submitters to withhold documents is premature. The court finds that there simply is not enough specific evidence to provide support for OMB's assertion of Exemption 4. More information is needed."
Opinion/Order [98]Issues: Exemption 5 - Privileges - Deliberative process privilege - Deliberative, Exemption 4 - Competitive harm Opinion/Order [102] Opinion/Order [103] Opinion/Order [107] Opinion/Order [110] Opinion/Order [114] Opinion/Order [124] | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
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