MEMORANDUM OPINION
Plaintiff Citizens for Responsibility and Ethics in Washington, a nonprofit organization that makes government records available to the public, has filed hundreds of Freedom of Information Act requests with federal agencies, including the SEC. In response to increased media and Congressional attention on the SEC’s document-retention policies, CREW submitted several FOIA requests for documents regarding the SEC’s decisions not to take further action in a number of closed preliminary investigations. Before receiving the SEC’s response, CREW brought this suit against the Commission and its Chairman, Mary L. Schapiro, under the Federal Records Act.
Plaintiffs Complaint contends that Defendants failed to comply with the FRA through 1) the SEC’s improper policy relating to the destruction of preliminary investigative materials and 2) its failure to undertake efforts to recover and restore records destroyed pursuant to the policy. Given the SEC’s recent reversal of that policy, the Court previously granted its motion to dismiss counts related to the first issue. The parties have now brought cross-motions for summary judgment on counts raising the second issue. Because^ — -to the extent the SEC was under any restoration duty at all — the agency did not abuse its discretion regarding the manner in which it fulfilled its obligations, the Court will grant Defendants’ Motion as to CREW’s Administrative Procedure Act claim. Likewise, because any duty the agency was under was discretionary and because Plaintiff had an adequate remedy available through the APA, the Court will also grant summary judgment for the SEC as to CREW’s mandamus claim.
I. Procedural Background
Both the facts of this case and the relevant statutory background are set forth in detail in this Court’s Opinion granting in part and denying in part the SEC’s earlier motion to dismiss.
See Citizens for Responsibility and Ethics in Washington v. U.S. Securitiеs and Exchange Commission (CREW I),
In September 2011, CREW filed a FOIA request with the SEC seeking
all records explaining or describing in any way the SEC’s reasons for not proceeding with any closed preliminary investigations, including but not limited to Matters Under Inquiry (“MUI”), of: Bernard L. Madoff; Goldman Sachs trading in AIG credit default swaps in 2009; financial fraud at Wells Fargo and Bank of America in 2007 and 2008; and insider trading at Deutsche Bank, Lehman Brothers, and SAC Capital.
Id.,
¶ 5; PI. Opp. to Motion to Dismiss (ECF No. 8), Exh. B (September 14, 2011, FOIA Request). Before the SEC responded, CREW brought this suit against the Commission and its Chairman, alleging violations of the FRA, 44 U.S.C. §§ 2101
et seq.,
3101
et seq.,
3301
et seq.
The Complaint asserted five causes of action. Three of these were dismissed in the earlier Opinion, which concluded that the SEC’s abandonment of its document-destruction policy rendered certain claims moot.
See CREW I,
II. Legal Standard
Summary judgment may be granted if “the movant shows that there is no genuine dispute as to any material fact and the movant is entitled to judgment as a matter of law.” Fed.R.Civ.P. 56(a);
see also Anderson v. Liberty Lobby, Inc.,
In a case involving review of a final agency action under the APA, however, the standard set forth in Rule 56(c) does not apply because of the limited role of a court in reviewing the administrative record.
See Sierra Club v. Mainella,
Where, as here, a plaintiff challenges an agency’s
inaction,
judicial review is still more limited. An agency’s failure to act is “simply the omission of an action without formally rejecting a request — for example, the failure to promulgate a rule or take some decision by a statutory deadline. The important point is that a ‘failure to act’ is properly understood to be limited ... to [failure to take] a
discrete
action.”
Norton v. Southern Utah Wilderness Alliance, (SUWA),
III. Analysis
The SEC argues that it is entitled to summary judgment on CREW’s remaining two claims for three reasons. First, it offers a new statutory-interpretation argument that the FRA’s mandatory enforcement duty — the duty to request that the Attorney General initiate an enforcement action — pertains only to records physically removed from an agency’s custody, not to those records that have been destroyed, as is the case here. See Mot. at 10. Because the FRA imposes no mandatory enforcement duty in the current circumstances, the SEC asserts that CREW’s APA claim must fail. See id. at 14. Second, it contends that even assuming, arguendo, that the FRA does impose a mandatory enforcement duty, the SEC has satisfied its statutory obligations through its own internal efforts. See id. at 15. Finally, the SEC argues that CREW’s mandamus claim cannot survive, both because it relies on а discretionary duty and because Plaintiff has an alternative remedy available under the APA. See id. at 25-26. The Court will consider each in turn.
A. APA
The Federal Records Act, upon which CREW’s remaining claims are based, is a collection of statutes governing the creation, management, and disposal of federal records. See 44 U.S.C. §§ 2101 et seq., 3101 et seq., 3301 et seq. Pursuant to the FRA, heads of federal agencies are required to “make and preserve records containing adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of thе agency....” 44 U.S.C. § 3101. Each agency head shall also “establish safeguards against the removal or loss of records he determines to be necessary and required by regulations of the Archivist [the head of the National Ar *146 chives and Records Administration].” Id. § 3105.
A series of provisions within the FRA sets forth a structure whereby the Archivist and agency heads are to work together to ensure that documents are not unlawfully destroyed. Each agency head, for example,
shall notify the Archivist of any actual, impending, or threatened unlawful removal, defacing, alteration, or destruction of records in the custody оf the agency of which he is the head that shall come to his attention, and with the assistance of the Archivist shall initiate action through the Attorney General for the recovery of records he knows or has reason to believe have been unlawfully removed from his agency, or from another Federal agency whose records have been transferred to his legal custody-
Id. § 3106. If the agency head does not initiate such an action, the Archivist “shall request the Attorney General to initiate such action, and shall notify the Congress when such a request has been mаde.” Id. In its suit, CREW asks this Court to require the SEC to initiate action through the Attorney General to recover records. See Compl., ¶¶ 57, 63.
1. Statutory Interpretation
The SEC first raises a statutory-interpretation argument — absent from its prior motion — that § 3106 in fact imposes no duty on agencies to take action to restore records that have been destroyed. See Mot. at 10. Specifically, the SEC argues that
the text of § 3106 sets forth two separate duties on agency heads: (1) in the event of any unlawful removal, defacing, alteration or destruction of records, an agency head must notify the Archivist; and (2) in the event of any unlawful removal, the agency head must request that the Attorney General initiate an action for the recovery of the records.
Id.
In its view, “[t]he only time an agency head has a mandatory enforcement duty ... is when records have been unlawfully removed — but not when they have been unlawfully destroyed.”
Id.
The agency marshals several canons of statutory interpretation to support its position, while CREW argues that the SEC’s position is inconsistent with legislative history and some of the language of
Armstrong v. Bush,
The SEC first contends that its interpretation is consistent with the plain text of § 3106, invoking the rule against surplusage and the canon of
“expressio unius est exclusio alterius,
that is, the mention of one thing implies the exclusion of another.”
Halverson v. Slater,
In response, CREW argues that the legislative history of the FRA suggests that the enforcement duty also applies to the destruction of records.
See
Opp. at 17. CREW’s arguments in this regard run up against a fundamental problem, however: legislative history cannot trump a statute’s plain meaning. “[Wjhen the statute’s language is plain, the sole function of the courts — at least where the disposition required by the text is not absurd — is to enforce it according to its terms.”
Hartford Underwriters Ins. Co. v. Union Planters Bank,
CREW further argues that the SEC’s interpretation of § 3106 runs afoul of the
Armstrong I
and
II
decisions.
See
Opp. at 15-16. While these cases certainly contain language helpful to CREW, neither case addressed the statutory-interpretation question presented here nor is the language in these opinions sufficient to overcome the plain meaning of § 3106. For example,
Armstrong I
states that “if the agency head ... does nothing while an agency official destroys or removes records ... [,] private litigants may bring suit to require the agency head ... to ask the Attorney General to initiate legal action.”
The SEC also raises a logistical argument, suggesting that reading the statute to require agencies to seek the assistance of the Attorney General in recovering records that have been destroyed may raise some peculiar practical and constitutional difficulties.
See
SEC’s Rep. at 8. Requiring the Attorney Generаl to bring suit against another federal agency — which is typically represented by the Department of Justice — would be highly unusual, and it is difficult for this Court to overlook the “constitutional oddity of a case pitting two agencies in the Executive Branch against one another.”
See SEC v. Fed. Labor Relations Auth.,
2. Enforcement Duties Under § 3106
Even assuming that § 3106 can be read to impose a mandatory enforcement duty regarding destroyed records — and not just removed ones — the SEC is still entitled to summary judgment because it has sufficiently fulfilled those obligations. CREW alleges that the SEC has “fail[ed] to take any action to recover the destroyed investigative files or prevent the further destruction of investigative records [,] ... violat[ing its] duties under 44 U.S.C. § 3106 to request that the attorney generаl initiate action or seek other legal redress to recover the destroyed records.”
See
Compl., ¶ 56. While courts are empowered to “compel agency action unlawfully withheld or unreasonably delayed,” 5 U.S.C. § 706(1), a court may only do so when the action is withheld unlawfully— that is, when the agency has failed to act in response to a clear legal duty.
See SUWA,
To the extent § 3106 and
Armstrong I
impose a duty on the agency to restore destroyed records, such a duty is clearly in
SUWA’s
second category — namely, the manner is left to the agency’s discretion.
Armstrong Fs
language makes clear that the agency has choices regarding “the manner of its action.”
SUWA,
While
Armstrong I
suggests that judicial review of agency inaction under the FRA may be permissible in certain circumstances, that case’s gloss on § 3106 appears to give the agency broad discretion regarding what internal remedial steps it may take in response to a loss of records.
See Armstrong I,
The D.C. Circuit’s analysis in
Enterprise Nat. Bank,
on analogous facts, provides the relevant framework for the Court’s limited inquiry here. In that case, when the agency compensated the plaintiff for only a portion of the loss to which it believed it was entitled, the plaintiff “[sought] relief ‘compelling agency action unlawfully withheld’ under 5 U.S.C. § 706(1), ... arguing that the [relevant agreement] required full payment of its loss claim, not the partial payment [the agency] offered.”
Enterprise Nat. Bank,
Indeed, the administrative record filed in this case reveals efforts by the SEC that, while clearly not as extensive as CREW would have liked, were not so woefully insufficient as to render the SEC’s claims to have fulfilled its duties “so implausible that it could not be ascribed to a difference in view or the product of agency expertise.”
State Farm,
As to the SEC’s actions here, Robert Khuzami, Chief of the Enforcement Division, indicated that an “all-hands meeting” had taken place to discuss the destroyed documents, at which senior Division staff identified existing information the Division still had regarding the relevant documents; discussed with reasonable particulаrity which of the missing documents, if any, might have constituted “records” under the FRA; and what documents, though no longer in the SEC’s possession, might still be publicly available regarding these matters. See AR at 14-20. E-mails between senior Division staff further describe attempts to recover information about at least six high-profile matters on an “urgent” and “time sensitive” basis, a search that encompassed databases and services in the District of Columbia, Los Angeles, and New York, and both existing and legacy document-management systems within the agency. See AR at 21-32. The search appears to have continued for some time. See AR at 70, 150-51. Likewise, senior staff appear to have conducted estimates of the cost of continuing to conduct detailed searches of the agency’s available email archives to look for documents that might still be recovered, see AR at 53, though this effort appears to have stalled several months later because of resource constraints. See AR at 152. Finally, senior SEC staff reported that the SEC’s Office of the Inspector General had found that Enforcement Division “management ha[d] taken appropriate action ... referring] ... employees for oral instruction or counseling” regarding their FRA duties, see AR at 183, and OIG then closed its investigation, finding that the SEC had complied with all of its recommendations. See AR at 202-03.
While CREW is correct in noting that many of the documents in the administrative record refer to only a handful of specific, high-profile matters,
see
AR at 23-32, and that the SEC appears to have considered the likelihood of further Congressional inquiry in making decisions about what resources to expend searching for recoverable records,
id.,
these considerations run afoul of no specific statutory mandate and are not impermissible exercises of agency discretion. Upon the showing the SEC has made, whether Plaintiff or this Court believes the SEC should have engaged in
*151
further recovery efforts is simply beside the point. The SEC took a series of internal steps that appear well within the kinds of enforcement actions that § 3106 and
Armstrong I
contemplate, and the record does not demonstrate that the SEC’s conclusion that it had satisfied its obligations constituted a “clear error of judgment.”
State Farm,
B. Mandamus
In Count IV of the Complaint, CREW seeks a writ of mandamus compelling the SEC to “request that the attorney genеral initiate action or seek other legal redress to recover the destroyed investigative records.” See Compl., ¶ 63. The SEC argues that this claim must be dismissed because it is duplicative of CREW’s APA claim. See Mot. at 26-27. The SEC further asserts that Plaintiffs mandamus claim “suffers from the same merits-based defects” as its APA claim. Id. at 25.
Mandamus is proper only if “(1) the plaintiff has a clear right to relief; (2) the defendant has a clear duty to act; and (3) there is no other adequate remedy available to plaintiff.”
Council of and for the Blind of Delaware Cnty. Valley v. Regan,
To be enforceable through mandamus, the agency’s duty must be “so plainly prescribed as to be free from doubt and equivalent to a positive command.”
Wilbur v. United States,
In addition, Plaintiffs mandamus claim cannot prevail because CREW does have another available remedy in the APA. Indeed, Plaintiffs own Complaint makes this clear: CREW requests identical relief in both claims.
Compare
Compl., ¶ 57 (seeking an injunction compelling the SEC “to request that the attorney general initiate action or seek other legal redress to recover the improperly destroyed records”)
with
Compl., ¶ 63 (seeking a writ of mandamus compelling the SEC “to request that the attorney general initiate action or seek other legal redress to recover the destroyed investigative records”). Mandamus is only available where “the party seeking issuance of the writ ha[s] no other adequate means to attain the relief he desires.”
Kerr v. U.S. Dist. Court for the N. Dist. of Cal.,
IY. Conclusion
For the foregoing reasons, the Court will grant Defendants’ Motion for Summary Judgment as to CREW’s remaining claims and deny Plaintiffs. A separate Order consistent with this Opinion will be issued this day.
Notes
. Although the Court’s prior opinion indicated that "for the purposes of surviving [Defendants’] Motion to Dismiss, Plaintiff raises sufficient questions regarding the SEC’s failure to undertake actions for the recovery of records to support a claim by a private litigant,”
CREW I,
