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Emily C. Martin v. Charles A. Lauer, Acting Administrator, Office of Juvenile Justice and Delinquency Prevention
740 F.2d 36
D.C. Cir.
1984
Check Treatment

*2 EDWARDS, Before TAMM and Circuit HAYNSWORTH,* Judges, and Senior Cir Judge, Appeals cuit United States Court for the Fourth Circuit.

Opinion for the by Court filed Circuit Judge T. HARRY EDWARDS. opinion

Dissenting by filed Senior Circuit Judge HAYNSWORTH. EDWARDS, Judge:

HARRY T. Circuit 1982, plaintiffs In March Emily Martin brought and David West suit employer, the Office Juvenile Justice (OJJDP), Delinquency Prevention administrator, agency's acting Charles argued Lauer. im- right posing various restrictions on their counsel, communicate with OJJDP and (the defendants) Lauer had violated the * 294(d) (1982). by designation pursuant Sitting U.S.C. § disclosing any materials or producing provisions various Amendment and First ex- those materials Reform Act of Service Civil §§ (1982). Although appropri- cept approval U.S.C. dismissed in this Department claims were official which ate Lauer, Court, No. 82- District be the Assistant Attor- matter would 19, 1982) (“Martin I"), (D.D.C. Mar. Division. ney General of Civil *3 appeal by this reversed on this decision was requests the Freedom of Any under grounds. Mar Amendment court on First respond- Act should not Information be (D.C.Cir.1982) Lauer, 686 F.2d tin v. informed of the ed to until I have been II”). settling the remain ("Martin After request nature of the and the informa- case, plaintiffs suc ing disputes in the in re- you propose tion that to release attorneys’ cessfully applied for an award sponse request. to that I will then Act, Equal Access to Justice fees under the the Office of General consult with § (1982). F.Supp. 503. 28 U.S.C. concerning the Counsel release of review this appeal In this we are asked to is information. This restriction intend- After careful consideration award. ed to allow the Federal Government to contentions, conclude that the parties' may any exemptions that it be assert part and re must be affirmed in award to under the Freedom of Infor- entitled part. versed in § 735.206). (5Act C.F.R. mation Background employees al- you your 5. If or have employed by OJJDP are ready provided information or docu- management positions. On De- senior-level attorney, directly either ments to 3, 1981, they and other OJJDP em- cember report indirectly, I want a concern- ployees received notification that because provided and a ing all oral information budgetary constraints the would OJJDP all documents delivered to copy of such (RIF). in force Al- soon have a reduction by February 26. me though the defendants indicate that Lauer To Emi- Memorandum From Charles secure, plaintiffs’ jobs were 1982). (Feb. 24, ly Martin & David West joined majority employees OJJDP that senior-level The memorandum warned retaining personnel counsel to contest this permitted to take managers would “not be 23, 1982, February plain- action. On regulations or which violate DOJ actions par- tiffs notified defendant Lauer of their ability impinge upon the of DOJ counsel to ticipation anticipated in an lawsuit chal- effectively litiga- defend Government lenging the RIF. I not hesitate to take immediate tion. will responded day the next Lauer disciplinary to as- appropriate action prospective imposing and ret- memorandum interests are that the Government’s sure rospective on the restrictions protected.” Id. at 3. Paragraphs with counsel. communications 1, 1982, filed suit provid- On March three and five of the memorandum alleging that these restrictions violated the ed as follows: and the First Amendment “whistleblower” may provide 3. You information or in the Service Reform Act provisions Civil attorney represent- documents to the §§ 2301, (1982). of 1978. 5 U.S.C. ing employees or to other these considering plaintiffs’ request While employees person assisting the or that relief, injunctive the District Court addition, attorney. there is a De- parties attempt an judge directed the regulatory proce- partment of Justice dispute. After informal resolution of governing release of dure informa- met, (See parties counsel for the Lauer issued involving litigation tion C.F.R. § pro- temporary “Clarification Memorandum” seq.). Employees 16.21 et information, releasing any modifying paragraphs March three and hibited from original emphasized five memorandum in the It should 4March following manner: temporary. modifications were As this Paragraph prior been court observed in has narrowed its consideration you

prohibit disclosing any II, “[ajlthough in Martin the clar Government information which could appeared ification memorandum to narrow subject Act and that case, the issues in this may result an unwarranted invasion opposing [plaintiffs’] brief pre motion for a personal privacy if released. liminary injunction made clear that This includes information contained government would return to the broader personnel agency the official file anof requirements of the February 24th memo (other file) employee your than own prevailed if randum it before the district may other information which (D.C. court.” Martin identifying particu- characteristics to a Cir.1982) (footnote omitted). See Defend employee lar and which amount to ants’ Memorandum of Points and Authori *4 personal unwarranted invasion in Opposition ties To Plaintiffs’ Motion For privacy Any questions if released. Preliminary Injunction (Mar. 1982) a 8, concerning particular information (The parties discussions between the “re presented the should be to me to sulted in subsequent a memorandum to Office of General Counsel. Because plaintiffs 4, from Mr. Lauer dated March your inherent conflict between 1982 which clarified and modified some of manager duties as and Government the restrictions contained in the February employee your participation and in the government memorandum. If the pre lawsuit, preparations proposed for the action, vails this scope infor you it would be improper make mation is which restricted being dis from concerning any decision the release of closed will broadened to include such information. This modification government information.’’) (emphasis until effective further notice. added). Hence, II, in Martin this court characterized the “position” defendants’ Paragraph 5. The deadline under 5 is before the trial court as follows: “the clari extended until is a there resolution of fication memorandum withdrew need this matter the District Court or relief, preliminary injunctive but [the agreement parties between in- plaintiffs’] case on the merits should be volved. respect original decided with to the memo Memorandum Prom Charles Lauer To Emi randum.” Martin 686 F.2d at 29 n. 17. (Mar. 4, 1982). ly Martin & David 2West proceeding At a March before the plaintiffs subsequently filed a Prae Court, the District defendants continued cipe withdrawing with the court their appli the need assert for broad restrictions on temporary restraining for a cation order government disclosure information.1 Al appears because “it that defendant Lauer’s though they generalized made preserve statements memorandum second will the sta concerning necessity, this quo pending tus ante this Court’s defendants resolu I, proffer did not of this case on the merits.” evidence to show that the tion (D.D.C. 4, 1982) (Prae plaintiffs to, No. 82-0587 Mar. had access intended dis ). close, cipe government sensitive information.2 explained points 1. The defendants at 2. The several defendants did make a brief reference to proceeding government people replacing the "171’s of who will be documents However, employees.” the RIFed Id. at 36. prior or information were to be disclosed absent plaintiffs' attorney represented court that government approval from officials. See Tran- forms, she had not seen did the 171 not wish to 15, 36-37, script Proceedings, of March plaintiffs, receive them from the and had re- 42, 15, (Mar. 1982) (statements of defendants’ quested supply infor- attorney). indicating identity mation without government could limit attorneys, their respond to the con Nor did long of the restrictions as as the limita- tention that the defense such communications vague narrowly and re “replete with abstract unoffensive and tions “as interest”3 without defendants’ possible.” ferences to at 5. The court Id. drawn of the information that any specification memorandum of held that the “defendants’ government.4 concerned the 24, 1982, in the February as clarified mem- 1982” satisfied this orandum March hearing, plain During the March test, reasoning that challenged restric argued tiffs prior sweeping restraints tions were require, legally It does nor could it not counsel right their to communicate require, to reveal the content the First Amendment. and contravened their with their attor- conversations emphasized that attorney Their disclosure neys 'regarding proposed their lawsuit. involved material of sensitive does Nor it restrict from case, represented repeatedly regarding personal own conversing for, had “not asked nor trial that she knowledge experiences of the cir- plaintiffs], from informa ... received [the surrounding challenged cumstances arguably even be within tion that ... could prohibit RIF. Nor does it Fourth Amendment or reach of a obtaining government documents Transcript of Privacy Act consideration.” lawsuit; be relevant (Mar. Proceeding, at 43 March merely employees, requires that these 1982).5 attorney then indicated that protecting other the interest of individu- *5 immediately willing she to show was potential privacy rights, required als’ documentary court all material in camera releasing approval any seek before supplied plaintiffs. Id. by the at The Court finds this to be a documents. proceedings during Later before valid exercise of the au- court, judge, trial Court the District with- thority long very strictly as it is ... as parties, objection out stated any scope limited to the narrow that the case on the mer- he would decide Ip, March 1982 memoran- clarification its, papers supplemented based on the dum. parties. by any proffers made See added). (emphasis at 5-6 Id. 15, Proceeding, Transcript of March 1982 Despite stipulation the trial court’s that 50, (Mar. 15, 1982). at The 60 trial court 4 only the March restrictions narrower reported days in its decision Martin I four enforced, Lauer could be defendant imme- later, rejecting preliminary the motion diately sent the memorandum dismissing relief the action mer- on the indicating that “the restrictions contained (D.D.C. I, its. No. 82-0587 Mar. Martin 2Ip in my in memorandum Para- 19, February 1982). The District Court held in effect graphs you and 5 are now in provisions “whistleblower” the Civil Ser- may any not release Government docu- applicable vice Reform Act were not your attorney Id., ments or information to or to at restrictions of the sort issue. mem. yourselves.” Memorandum From Charles op. at 6. The court also found that while Emily To Martin & David plaintiffs “clearly” Lauer West had constitutional- (Mar. 19, 1982) added). ly protected (emphasis communicating interest in with The persons providing respect our clients us with with to whom the information information that Privacy related. Id. at 52. violates the Act. There are criminal statute.”); penalties that and civil that come with Reply Opposition 3. Plaintiffs’ To Defendants’ To 12, ("we quarrel at here id. 33-34 have no with the (Mar. Preliminary Injunction For Motion ____ Privacy Act I don’t exclusions want that 1982). information, information. I can’t use that and I 9, it would be offensive for me to have that 3, think information____"); 4. Id. 6 n. 8 n. 11. at (same). id. at 46-47 15, Transcript of March Proceed- 5. Accord 15, 1982) ("I (Mar. ing, in no interest at 13 court, trial argu- returned basis for only the claim “as a worked de

ing disciplinary that this new memorandum violated the fense to action.” Martin 24, ground court’s decision on the (D.C.Cir.1982). harrow that F.2d 29 n. 19 The required of all disclosure information dis- court also indicated that no live controver orally plaintiffs’ attorney. sy respect closed Mo- remained pre to documents 19, viously by plaintiffs tion For Clarification of March disclosed to their attor Or, (Mar. Stay Alternatively, ney Order For a following because the had — 22, 1982). rejected this conten- District Court’s already re decision — tion, indicating that the word “entire” had vealed these documents the defendants. Id. unintentionally previous Next, been omitted its n. 24. the court declined to say it had meant to any Privacy issue, decision and that resolve holding Act6 require plain- the defendants could not necessary a remand so that tiffs “to reveal the entire content of their District Court could “determine whether attorneys regard- Privacy conversations with Act restrictions are in fact I, lawsuit.” ing case, proposed so, No. contested and if [the court] 1982) (Order (D.D.C. Mar. Con- 82-0587 should assess whether there are dis cerning puted of March Clarification Or- facts that would aid the court’s reso der). holding indicating that its Id. at 31. While lution this difficult issue.” “unaltered,” the District otherwise Court Turning to the defendants’ restrictions plain- delineated as applied to Freedom of Information Act tiffs were to disclose: (FOIA)7 material, in Martin II plaintiffs, compliance with Para- held that the across-the-board limitation on graph 3 the March memoran- disclosure FOIA-exempt information to dum, may disclose, prior ap- without attorney was unconstitutional and it proval government, govern- from the therefore the lower reversed court’s deci documents, ment information con- explained It in evaluating sion. re documents, tained those which could rights strictions the First Amendment subject Act and that public employees, required courts were result the unwarranted invasion employees’ to balance interests *6 personal privacy if it is releaed [sic]. government’s the “balance will [that] —a plaintiffs any respond Nor can to Free- type to according -speech, differ the the requests dom of Information Act without agency, nature of the and context in approval. defendants’ Id. at 31 speech which the is uttered.” compli- The Court further finds that in (footnotes omitted). undertaking In Paragraph ance with 5 of the memoran- balancing, the court first looked to the da, plaintiffs must to disclose the defend- plaintiffs’ interests and found that the re documents, government ants or in- “seriously hamper[ could strictions initial ]” documents, formation contained in those employees consultations between and attor has already which been revealed Id. at 33. neys. Thus, it found that counsel, plaintiffs’ which could sub- plaintiffs’ “speech only interests are not Act, ject Privacy exempt under but, legitimate they implicate because ... Act, Freedom of Information or could plaintiffs’] right fundamental of access [the result in the unwarranted invasions of courts, deserving rigorous to the personal if privacy it is released. protection.” Id. Id. Against in this interest the court Martin relief from II balanced the sought government’s then in interest case, restricting In reviewing broadly court. the court disclosure of FOIA-ex- summarily rejected plaintiffs’ empt acknowledging “whistle- material. While claim, government’s legitimate reasoning statutory that the with re- blower” interest (1982). (1982). 552a 7. 5 U.S.C. § § 6. U.S.C. material, the as on the FOIA-exempt should be dismissed moot based

spect to some pre- “in following stipulation: to the interest pointed lesser infor- venting much of the dissemination of Department policy provides of Justice by exemption mation covered two—infor- personnel that certain basic information relating solely personnel to internal mation released, (1) name; (2) including may be § 552(b)(2).” practices. rules and 5 U.S.C. titles; (3) past position present and explained particular, the court at 34. Id. (4) past grades; present and present and that, are ex- the extent that matters "[t]o salaries; (5) past present past and and exemption empted from disclosure under stations-; (6) partic- duty information burden, grounds of administrative two on ularly pertaining professional represent exemption certainly does qualifications employees. federal em- government preventing interest post-graduate Such information includes discussing such ployees openly preparation technical education in ” It also ‘government Id. information.’ employee’s profession; prior em- all only a that this case involved emphasized ployment State and Federal Govern- attor- limited disclosure prior positions; employment ment public than neys rather dissemination private employee’s sector related information. Id. The court observed duties; received; awards and honors specific allegation that the there was membership professional groups. attorneys would the information reveal represent Plaintiffs did not dis- publicly, and that means were available to their close counsel prevent such might, which respect employees with to other federal Hence, 34, 35. public revelations. Id. at beyond the scope that was of the above concluded that “a broad restric- categories. tion, undermining confidentiality of the Lauer, (D.D.C. No. 82-0587 Oct. attorney-client chilling relationship and dis- 15, 1982)(Stipulation and Order of Dismiss- protect cussions counsel in order to al), (“J.A.”) Appendix in Joint reprinted in moni- unclear interest toring FOIA-exempt in- all discussions of employ- deeply

formation cuts too into the With the merits the case thus re rights.” ee’s first amendment Id. at 34-35. solved, District applied to the attorneys’ an award of fees and Following this the Court decision Martin Equal expenses under the Access to Justice returned to the re District Court for § (“EAJA”), (1982). Privacy Act In Act U.S.C. consideration of issues. Court, enti proceeding before the The court held the District attorneys’ prevailing parties understanding indicated their tled to regard restrictions party no information covered “with *7 FOIA-exempt controversy and materials.” Mar placed at issue hence no live was 503, (D.D.C. concerning Lauer, F.Supp. the merits of the case. 562 505 remained tin v. 1983). response judge’s It also ruled In District Court that compensated suggestion aspect spent that this of the case was for time “on should beginning,” “moot from probably their whistleblower claim” because this incorrectly8 legal theory defendants’ counsel informed “an alternative intended was judge only yesterday” remedy injury.” that “it that the same Id. at 505-06. was However, represented “Privacy that Act plaintiffs’ counsel had because claim protected Privacy in conceivably litigated never have been in the first “no should Transcript place,” was the court held formation” involved. 15, 15, (Oct. Proceeding, compensated spent 1982 at time

October 5 should not be 1982). judge’s Pursuant to the recommen on this issue. Id. at 505. The defendants dation, parties agreed appeal judgment. that the action from this 5, accompanying supra, text. 8. See note

43 noted, recently has adoption been any Discussion per such se rule would mean that “attor pertinent language the Equal in ney’s fees never could be in provides awarded favor Access to Justice Act that: appellant of an against government.” Except specifically provided as otherwise Broad statute, Laundry Avenue by Tailoring & v. pre- court shall award to a vailing States, 1387, party (Fed. other than the United 693 F.2d United 1392 expenses, Cir.1982). States fees and other in addi- argument defendants’ pursuant tion to costs awarded narrowing in the EAJA this manner is un (a), by subsection incurred in party that convincing. Spencer, In recognized we (other any civil action than eases sound- played by critical role appeals courts of tort) ing in brought by determining government’s whether the po having States in juris- United court substantially sition was justified. Spencer, action, diction of that unless F.2d 563. The defendants have not position finds the United pointed single precedent, anything nor substantially justified States was or that in the language legislative history special circumstances make an award un- EAJA, might justify abdicating this just. responsibility. Consequently, we adhere to § 2412(d)(1)(A)(1982). prior U.S.C. Our we recently expressed the view in Cinciar principles decisions have articulated 801, Reagan, (D.C.Cir. elli v. 729 F.2d guide attorneys’ the award of fees under 1984), although “a victory might trial the EAJA. We have held the Act’s be government’s position evidence that the position reference to “the the United frivolous, not deciding was arguments means “the upon States” relied EAJA must independently case evaluate litigation.” Spencer position to determine whether was NLRB, 539, (D.C.Cir.1983), v. 712 F.2d substantially justified.” — denied, U.S.-, 1908, cert. 104 S.Ct. Our review of the trial court’s decision to (1984).9 govern 80 L.Ed.2d 457 is It attorneys’ award this case has con- litigation ment’s burden to show that its vinced us that the award justified. should af- position Id.10 part determining part. Spe- firmed in and reversed in whether the position substantially justified, cifically, posi- courts we find that the defendants’ employ a “slightly should test that is more plaintiffs’ tion on First Amendment ” stringent than ‘one of reasonableness.’ substantially justified, claim was omitted).11 (footnote Id. at 558 agree hence we with the District Court that appropriate respect a fee award is with The defendants would have us However, claim. agree this do not quickly dispose of the fee award the court’s conclusion that by holding justifi that the substantial advocacy unsuccessful of the whistleblower position conclusively cation for their evi claim cannot be from the they prevailed severed First denced the fact that be claim, Amendment fore the District Court in I. and hence we Martin We reverse reject position patently As absurd. award insofar as it includes time Reagan, Additionally, 9. Accord Cinciarelli v. 729 F.2d the instant case the lower (D.C.Cir.1984); States, Mfg. litigation Del Co. v. United court did not endorse the defendants’ (D.C.Cir.1983); F.2d position. explain infra, Environmental De As we the defendants' Fund, EPA, (D.C. Inc. before the lower court was fense *8 Cir.1983). imposed by broad that the restrictions the Feb- ruary 24 memorandum could be enforced. The Cinciarelli, 804; repudiated position, holding trial court 10. Accord at this F.2d Environ Fund, Inc., long the restrictions were mental 716 F.2d at 920 n. 9. constitutional "as Defense [they very strictly are] limited to the narrow scope the Cinciarelli, 804; of March 1982 clarification memo- Mfg. 11. Accord 729 F.2d at Del I, 82-0587, op. Co., 985; randum.” Martin No. mem. at 723 F.2d at Environmental Defense (D.D.C. 19, 1982). Fund, Inc., Mar. 716 F.2d at 920. I as well as court in Finally, claim. before the trial the pursuing whistleblower position appeal in that decision that on the District Court their the we hold remand (Martin II). ap analysis the is bipartite must reconsider whether This award time properly a fee for denied fee in this propriate the award because Privacy Act issues. spent on at trial spent time both the case includes See of Ser appellate levels. Statement The First Amendment Claim A. As By Lyons Karr & Coun vices Rendered determining (Nov. 1982). inquiry in We are The threshold sel For Plaintiffs litigation government’s posi- the the many whether considerations convinced that Spencer substantially justified is identifica- tion was separate de expounded in favor position. easy This is no mat- tion of that justifica the terminations as to substantial case, throughout for in the instant ter position at each tion for the defendants’ proceedings the defendants have va- these substantiality By judging level.13 the scope the on the restrictions cillated government’s position particular in the the so, doing the imposed plaintiffs. on issue, encourage proceeding at courts will appear characterized to have defendants government to determine whether in manner restrictions whatever pertinent facts appeal on the and law based expedient particular point in at seemed Further, approach this appeal.14 to that litigation, regard with little for often government to “evaluate will induce the actual- express the restraints terms of it carefully of the various claims” each ly imposed plaintiffs. on appeal only might on and “assert make substantially The justified. those that are Because the defendants have not net more sensitive result would be position in these maintained consistent objectives of the promotion effectual proceedings, we have reviewed the record Id. at 557.15 great identify position EAJA.” care to States, government may advancing Ellis v. refrain colora- United Cf. “position” (Fed.Cir.1983) ("because argument primary if that must the EAJA’s ble mootness substantially justified is under- purpose legal expense that taken in is to eliminate as barri- action). government’s lying challenges governmental If the mootness er to of unreasonable action, argument appeal substantially justified, is no on proper attorney’s it is us to assess spent attorneys' should be awarded for time government fees fees and costs for a appeal. on the separate phase portion of the in (3) Subsequent the trial decision court’s position justifica- its lacks substantial which pertinent legal rules are in a man- altered though government may tion'—even government. effect of ner adverse to the The wholly adopted positions reasonable in other that, change govern- is such a often while the case.’’). facets of the "substantially justified” action was ment’s undertaken, originally persistence de- when following examples 14. illustrate the value unjustifiable. fending action court is approach: of this situation, if United In such a counsel for the (1) government’s position factual case, stubbornly litigating States continues justified, level is but trial ultimate- compelling private party to incur attor- ly rejected by Although the trial court. neys’ eventually prevailing, it fees before challenges government the court’s factual find- objectives underlying seems clear that ings appeal, challenge borders on the by shifting EAJA served those costs would be way suggests it frivolous because government. to the clearly trial court’s factual determinations were adopted Id. at rule here would make 555. The here, adopted erroneous. Under the rule attorneys' liable for fees in- plaintiff responding can recover for time during appeal. curred appeal. meritless Note that provided similar could be for the employed illustrations to be in resolv 15. As for the standard a trial ing requests countless in which court’s deci- situations for fees incurred in the course of EAJA, "abuse of obtaining sion reviewed under the discretion” under the (D.C.Cir. Reagan, standard. 729 F.2d 801 Cinciarelli (2) 1984), appeal expressed "aperse issues that distinct An advances a view favor of rule below; example, may litiga pursued government pays from those fees for EAJA argued has now moot. tion it defends EAJA suit on that the case become whenever (indicating the merits Spencer, basis that its in the action on 712 F.2d at 554 Cf.

45 Although appeal in this the defendants tions on the disclosure of any government explicitly have not identified their Indeed, information to given counsel. our I, before the trial court in Martin holding in Martin II government that the implies their brief they merely defend- did not have a sufficient justify interest to constitutionality ed the of the restrictions even a much narrower restriction on the narrowly as more delineated in the March disclosure of FOIA-exempt material, Mar- memorandum. This characterization finds II, tin (D.C.Cir.1982), 34-35 in absolutely support the record. To the be hard-pressed would to find that the contrary, in as we indicated Martin the government was substantially justified in the proceedings record of trial court in asserting very that a similar interest war- clearly Martin I indicates that the defend- a prior ranted restraint on disclosure of sought judicial approval ants of the broad any government information. February restrictions contained the In reaching conclusion, we wish to Indeed, memorandum. following the lower emphasize First, two considerations. opinion, court’s defendant Lauer sent the protested the have throughout plaintiffs a expressly stating memorandum proceedings, these the defendants have that the restrictions contained the Febru- never showing made ary 24 that a memorandum were in substantial effect. As we explained, by is have these interest served limiting restrictions forbade the the any government rights disclosure of First Amendment informa- plain these preclearance tion by govern- absent tiffs. Instead of demonstrating the nature ment. information that might disclose, showing and the likelihood that concluding We have no trouble this disclosure beyond would extend that the defendants were not lawyer-client relationship or that disclosure justified arguing that the com harmful, to counsel would be the defend munication with counsel could constitution rely ants have chosen simply to on self- ally limited in this manner. It is well-es serving conclusory and assertions that the tablished that restrictions on the First plaintiffs might release sensitive material. rights public Amendment employees are Second, the defendants have seriously by balancing to be tested employees’ argued government’s interest speech against govern interest in the could not have been See, adequately by served ment’s interest in the restrictions. regulation far Education, less restrictive e.g., Pickering plain Board 563, 568, Indeed, 1731, 1734, speech.16 tiffs’ stages U.S. S.Ct. at later (1968). L.Ed.2d 811 proceedings The defendants defendants were argued in appeal not even argue that such content to in balancing imposition favors of restric- protected terest by the narrower re- substantially justified sweep unnecessarily and loses.” Id. broadly thereby and invade Although sought freedoms.”); protected fees for the area of Shelton v. Tucker, 479, 488, 247, 252, spent preparing application time 364 U.S. 81 S.Ct. (2.5 hours), scarcely (1960) ("even though govern this constituted 1% of L.Ed.2d 231 substantial, purpose legitimate fee award in this case did not include mental time subsequent applica- purpose pursued this issue cannot be means that Moreover, broadly personal tion. the defendants have not chal- stifle fundamental liberties lenged ground achieved") narrowly this fraction of award on when can the end be more (footnote omitted). pertaining recently, distinct from those to the other Most EAJA Members --- here, Vincent, questions City Taxpayers discussed and we Council v. decline to U.S. ---, ---, sponte. raise such concerns sua 104 S.Ct. 80 L.Ed.2d (1984), the Court indicated that inci “[t]he Alabama, generally expression 16. See NAACP v. 377 U.S. dental restriction on which results 288, 307, 1302, 1313, City’s attempt S.Ct. accomplish L.Ed.2d 325 from the such (1964) (‘‘This repeatedly Court purpose [eliminating has held that con clutter] visual governmental purpose prevent justified regulation to control or ac sidered as a reasonable time, constitutionally subject regula place, tivities expression state manner of it is if narrowly tion not be achieved means which tailored to serve that interest.” *10 46 34. Even the defendants imposed by the March 4 memo- at conceded

strictions circumstances, justification II that there no we Martin randum. Under these restriction, they for plainly have for an across-the-board that the defendants conclude plaintiffs “simply that to showing that stated if the wish their not carried burden February type of material 24 restrictions disclose this the defense of [innocuous] substantially justified. personnel compile internal I was matters] Martin [on themselves, no agency has interest fare better Nor do the defendants activity." this Defendants’ prohibiting II appeal in Martin position on when their (brief II) Brief, p. 34 n. 20 in Martin they Although in II Martin examined. added). (emphasis the re- a narrow construction of defended strictions, appeal, not In this the defendants seek to position substantial- implications justified. importantly, given Most avoid this concession ly they “clearly explicit reimposition arguing in Martin II defendants’ following the trial stated that the Lauer memoranda were February 24 restrictions decision, type From meant to cover the of FOIA see Memorandum never court’s Exemption 2 Emily Lauer To Martin & David material that caused the Charles (Mar. 19, 1982), Appeals] there was no tenable Court such concern.” Defend West [of Brief, Reply p. (citation 11 argument ap- on ants’ n. 4 omit basis for the defendants’ ted). peal plaintiffs only precluded surely were This statement came a sur disclosing FOIA-exempt Privacy prise plaintiffs, to none of from the de memoranda, preclearance. prior Act material fendants’ nor the Dis without clearly narrowing interpretation in a to not trict Court’s were I, any government remotely sug the memoranda in communicate attorneys preclearance, free gested without were to dis their FOIA-exempt they some material while at for—as the defendants close admonished— acting peril prohibited disclosing “at their if the same time from were release[d] exempted FOIA-exempt what out informa- other material. First turn[ed] clearly tion Defendants’ Amendment does not tolerate such without authorization.” Brief, II). (brief p. post 40 in Martin recharacterizations of restric facto speech, particularly employ when tions Moreover, assuming arguendo that even government ees been warned that the prohibited only were “will not hesitate to take immediate and subject disclosing information to the Priva- appropriate disciplinary action to assure cy falling exemp- within FOIA pro interests Government’s tion, facts govern- on the of this tected.” Memorandum From Charles by proscription ment interest was served Emily To Martin David Lauer & West II, pointed of this breadth. In Martin (Feb. 24, 1982).17 out that the across-the-board restriction on sum, reasons, FOIA-exempt foregoing all of the disclosure material would positions prevent concerning communication certain the defendants’ assorted proceedings provide “on did personnel grounds internal matters in these not a rea though upholding administrative burden” even sonable basis for the restrictions certainly represent “exemption does issue. Because defendants have positions preventing employ- failed to establish that their interest openly discussing ‘govern- justified, ees from such we conclude that the ” properly F.2d attorneys’ ment information.’ Martin trial awarded Bullitt, cifically person persons generally Baggett so 17. See affected U.S. 360 , rights n. 373 n. 84 S.Ct. 12 L.Ed.2d remain secure and unrestrained ("‘[Statutes (1964) engage encompassed purport restrictive of or in activities not legislation.'") ing place (quoting Congress limits those United States v. [First Amendment] n 106, 141-42, narrowly Orgs., Indus. U.S. freedoms must be drawn to meet 68 S.Ct. 1349, 1366-67, legislature (1948) precise (Rutledge, evil the seeks to curb ... and L.Ed. J., proscribed spe- concurring)). must ... the conduct be defined (ii) EAJA mismanagement, gross fees under the for time on the waste of *11 claim.18 funds, First Amendment authority, abuse of aor sub- specific danger public stantial and B. The “Whistleblower” Claim or safety, health appropriate We do not think it was if such specifically pro- disclosure is not attorneys’ for the trial court award by hibited law and if such information is pursuit spent unsuccessfully time of specifically required not by or- Executive the “whistleblower” claim. This court re kept der to be secret in the interest of cently explained: national defense or the conduct or for- plaintiff may present “In some a affairs____ cases eign distinctly in one lawsuit different claims § 2302(b)(8)(1982). 5 U.S.C. See also id. for relief that are on different based § 2301(b)(9). Resolution of the whistle- legal Legal facts and theories.” work in blower claim in the instant case would have easily compartmental- such cases can be required factual determinations as In such “the ized. cases where claims whether the repris ” memoranda constituted fractionable,’ truly asserted ‘are coun- al, whether the reasonably be compensated only sel should for work lieved that one of the conditions enumerat prevailed. on those claims distinct ed present, in the statute was and whether CAB, Smoking v. Action on and Health specifically prohibited disclosure was 211, (D.C.Cir.1984) (foot 724 F.2d 215-16 by None inquiries law. of these factual omitted) (quoting Hensley *12 relevance, concern), argued and forced its im- claims and these two guish between spend responding time to plaintiffs the to spent solely for time fees properly awarded it. claim, decision on its the whistleblower on remand, On facts, be reversed. point must no reason we can discern On these determine the should compensation the lower court for denying plaintiffs the for Amendment claim However, the First attributable to the spent this issue. time principles articulat- with the in accordance Be- fully aired before us. issue was not accordingly. modify award its ed here and indicat- additional facts cause there position on this ing that the defendants’ Privacy Act Issue C. The substantially justified, issue was somehow that it remand to the District Court so the District Court remand On aspect of its decision. may reconsider this deny to its decision also reconsider should spent on the Priva attorneys’ fees for time clearly reveals cy The record Act issue. Conclusion Privacy by “claim” raised

that the Act attorneys’ fee award The District Court’s justification for partial as a the part. part defendants and reversed in is affirmed restrictions, the challenged the remanded to the District Court This case is to thereby respond forced to plaintiffs were with this proceedings further consistent for prevail establishes that a it. The case law opinion. is entitled to recover attor ing plaintiff ordered. So the EAJA for time neys’ fees under responding to defenses that are not sub HAYNSWORTH, Judge, Senior Circuit Reagan, stantially justified. Cinciarelli v. dissenting: (“if (D.C.Cir.1984) some respectfully I dissent. defenses all but not fees, awarding judge the district did In substantially justified prevailing are Equal Ac- apply the standards of the compensated party for combat- should upon Act. He relied instead not”). cess to Justice ting those that are Rights Attorneys’ of the Civil the criteria us, nothing there is the record before On § Act, 42 1988. Un- Fees Awards U.S.C.A. assertion of indicate that the defendants’ circumstances, it to me that der the seems substantially Privacy Act defense was thing appellate for an appropriate most unequivocally re- The record justified. do would be to vacate award court to early plaintiffs’ disavowal flects to the district court and remand the ease of, in, Privacy Act possession interest appropriate of the standards application accompa- supra, and material. note See which, ease, to the facts of previously con- nying text. When we course, intimately ac- the district court is in Martin this case sidered quainted. appear to be a there did not noted weigh positions of the If we are to and remanded dispute such material over standards, light of the relevant parties further determina- to the trial court for a however, posi- I would conclude that subsequent settle- matter. In tion on this substantially government were tions of the parties, negotiations between ment particular justified. finally asked some defendants plaintiffs, West, high Martin and clined question, to decide the remanded it managers, apparently having

level access district court suggestion with the producible documents and materials not might there be no controversy real under the Freedom of Information Act. about it. Department’s initial concern was clear- evidently upon This was based state- ly produce should not by ments lawyer that she lawyers use of their materials which were protected wanted no by information exempt compulsory production under Act, Privacy but she and the con- FOIA, and that should not be the tinued litigate question. They were judges they might claim assert that not forced to do They that. could have specific exempt. materials were not phase ended that controversy short, Department’s seems to tendering a stipulation to the effect that no been employees, that these who had protected by participate declared their intention to would be submitted received her. adverse the Department, That what occurred on proceed private litigants should as other result, remand. As a proceed, obtaining must information in the *13 prevailing parties not within the meaning pretrial discovery process, appro- with an EAJA, of the and on this basis alone are priate opportunity Department not entitled to attorneys’ on this issue. any particular assert claim that material exemptions was within or more one Department had no means of know- of the FOIA. ing might what information be tendered to plaintiffs' lawyer. face, It seems to me it its present On this would seem to thoroughly justified was asserting great problem. First Amendment position that no Though protected by material prevailed Privacy Act should First Amendment claim in be submitted Martin to her. Mar- Lauer, (D.C.Cir.1982), Privacy question tin v. 686 F.2d 24 The fact that the Act re- only did so long because the court reasoned mained in it as did seems lawyer ethically bound not to me fault the plaintiffs rather than disclose information obtained from her Department. fault of the Had the authorization, clients without their and her plaintiffs consented forbidding to an order clients, employees, prohibited could be Act, Privacy violation the matter authorizing any disclosure exempt put would have been to rest. Without that so, information. Were that not disclaimer, however, kind of enforceable said, might the balance well have been Department justified seems to me the tipped Thus, way. the other Depart- in its that the court should forbid ment’s pub- understandable concern about disclosure violation of the lic disclosure was substantially obviated. Privacy Act. I Privacy do understand that the Act prefer While I would to have the district proffered came into the case as a defense pass upon these matters in the first plaintiffs’ First Amendment claim. instance, it seems to me that all of the plaintiffs prevailed on the First litigating positions Department II, though claim in Amendment justified meaning within the Privacy court did not ques- decide of the EAJA. protected by tion. Information simply category Act was another of infor- Department sought protect

mation disclosure, presented and that question II a court Martin which the difficult,

court characterized as notwith-

standing fact that disclosure could be lawyer.

limited to the It de- notes v. Ecker required of resolution the First hart, 424, 1933, 1940, U.S. S.Ct. by Amendment plain issue as framed (1983) Marshall, Copeland L.Ed.2d 40 & tiffs well as this court in Martin II. By (D.C.Cir.1980)(en 892 n. 18 token, the same legal issues by raised banc)). the First Amendment claim largely areWe convincedthat this is such case. a implicated by distinct from those the whist Although undisputed (princi- certain facts circumstances, leblower claim. these pally the imposed fact that Lauer restric- purposes of the EAJA would not be plaintiffs) tions on the were common to the by awarding well served at First Amendment and whistleblower torneys’ spent fees for time on the unsuc claims, these claims in- overwhelmingly pursuit cessful the whistleblower legal volved distinct and factual issues. 5 claim.19 § 2302(b)(8) prohibits U.S.C. certain em- ployees taking personnel recognize action We that even when a lawsuit claims, against any employee a reprisal “as for— inevitably involves distinct there (A) overlap requisite some in the factu- by disclosure of information an em- applicant ployee legal analysis. portion or which the al and If employee some applicant reasonably or believes evi- plaintiffs’ time was on activities dences— in furtherance of the First Amendment (i) law, rule, regu- a violation claim but was also relevant to the whistle- lation, claim, plaintiffs’ blower entitlement to implicitly recognized note We that this not which the 19. As this court in Martin II, appeal has done no more than see Martin F.2d at 29 n. and as is favor, brief, defend a district Brief, court decision in its plaintiffs’ clear from the Plaintiffs’ express no view as to the circumstances pp. reprisal provisions 34-35 n. constitut such a which defense would be ed the core Civil Service Re Here, justified. the defendants have conceded Act claim. form To extent the claim by that no interest is served a restriction as implicated provisions other in the Civil Service broad as that articulated the lower court. Act, the Reform critical issues involved the con Additionally, by arguing that the restriction did inquiry struction of the Act. The to resolve FOIA-exempt all de- not extend to material easily issues was severable from that relat such departed from the construction fendants have ing to the First Amendment claim. adopted the lower court. questions and it became pursuit of the former for the a fee award Privacy was a clearer that the Act encompass such time. How- even claim should argument oral before us bogus award should issue. At ever, attorneys’ fee defendants conced- during appeal, work on the compensation for include tangen- inquir- only made these claim that was could have ed that whistleblower proceedings. First Amendment Instead early in the trial tially related ies so, doing they raised claim. (without any legitimate basis for defense did not distin- the District Court Because

Case Details

Case Name: Emily C. Martin v. Charles A. Lauer, Acting Administrator, Office of Juvenile Justice and Delinquency Prevention
Court Name: Court of Appeals for the D.C. Circuit
Date Published: Jul 27, 1984
Citation: 740 F.2d 36
Docket Number: 83-1991
Court Abbreviation: D.C. Cir.
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