Lead Opinion
Oрinion for the Court filed by Circuit Judge STEPHEN F. WILLIAMS.
Dissenting opinion filed by District Judge REVERCOMB.
Appellant Henry Schwaner is an insurance agent. In the hopes of finding new customers, he invoked the Freedom of Information Act (“FOIA”), 5 U.S.C. § 552 (1988), to request from the Department of the Air Force a roster containing the names and military duty addresses of the five lowest ranks of personnel stationed at Bolling Air Force Base. The Air Force denied the request, relying on § 552(b)(2), which exempts “matters that are ... related solely to the internal personnel rules and practices of an agency.”
Schwaner filed suit in district court, which granted summary judgment for the Air Force. Henry C. Schwaner v. Department of the Air Force,
The language of ... Exemption (b)(2) ... would appear not to envision a request such as Schwaner’s. While it is the Air Force’s practice to maintain this data, along with other miscellaneous information for purely internal convenience, the data itself is not a practice.
Id. at 5 (citation omitted). Nevertheless the court held that Schwaner’s request was subject to exemption 2 because the records were “purely internal.” Id. The district court then weighed the public interest in the disclosure of such lists and, finding little or none, held the exemption applicable. As the list does not bear an adequate relation to any rule or practice of the Air Force as those terms are used in exemption 2, we reverse.
Our cases have sought to give exemption 2 some structure by adopting a two-step process. “First, the material withheld should fall within the terms of the statutory language.” Founding Church of Scientology, Wash. D.C. v. Smith,
We have often applied the “predominant internality” test without emphasizing the words “rules and practices.” See, e.g., NTEU v. U.S. Customs Service,
As the government justly stresses, information need not actually be “rules and practices” to qualify under exemption 2, as the statute provides that matter “related” to rules and practices is also exempt. In Department of the Air Force v. Rose,
The government draws a poor parallel between the documents in Rose and the material requested here. It argues that the personnel data sought here is similar to the case summaries from the Honor Committee, as it is “exclusively derived from, and thus [is] ‘related solely to,’ the Air Force’s ‘practice’ of extracting selected personnel data from [various] files ... and data bases and compiling them into the computerized Advanced Personnel Data System.” Appellee’s Brief at 11. The argument itself makes clear that the only “practice” to which the material is related
The government can cite only one decision that even arguably would extend Rose to encompass a list of names and duty addresses. In Bernknopf v. Califano,
Adjudicatory decisions are but one species of information that can be withheld because it is closely “related” to a rule or practice. Thus, courts have also exempted materials that are so closely related to rules and practices that disclosure could lead to disclosure of the rule or practice itself. For example, this court has held that an agency can delete sensitive notations on documents where they indicated an agency’s practices as to their internal routing and distribution. See Lesar v. United States Dep’t of Justice,
The government also obliquely invokes the well-chewed legislative history of exemption 2, in which the Senate and House rеports reflect, as is well recognized, a potentially serious conflict. See id. at 362-70,
Exemption No. 2 relates only to the internal personnel rules and practices of an agency. Examples of these may be rules as to personnel’s use of parking facilities or regulation of lunch hours, statements of policy as to sick leave, and the like.
S.Rep. No. 813, 89th Cong., 1st Sess. 8 (1965) (emphasis added). As the examples were all of trivial rules, interpreters have read the report as reflecting an intent to protect only such trivia. See Rose,
2. Matters related solely to the internal personnel rules and practices of any agency: Operating rules, guidelines, and manuals of procedure for Government investigators or examiners would be exempt from disclosure, but this exemption would not cover all “matters of internal management” such as employee relations and working conditions and routine administrative procedures which are withheld under the present law.
H.R.Rep. No. 1497, 89th Cong., 2d Sess. 10 (1966). It appears that the conflict is to be reconciled by protecting trivial rules and practices, following the Senate, and nontrivial ones whose disclosure would circumvent agency regulation, following the House. See Rose,
The government draws another argument from the legislative history. Relying on the Senate language for the proposition that it could withhold “the parking, dining and sick call arrangements” for the junior enlisted personnel at Bolling, it claims it must be free to withhold “the addresses of the units to which they are assigned.” Appellee’s Brief at 13. Thus if parking information may be withheld because it reflects the agency’s parking assignment rules, duty аssignment information may be withheld because it reflects duty-assignment practices.
Of course the Senate report does not say that any information as to parking arrangements may be withheld under exemption 2; it says only that “rules” as to it and kindred trivia may be withheld. The government’s argument is therefore that a list of individual parking assignments is related to — casts a significant light upon— parking assignment practices, and is with-holdable, and that a list of duty addresses is similarly related to duty assignment practices, and is equally withholdable.
In a broad sense, of course, any list sheds some light on a rule or practice. It necessarily reflects someone’s decision that the enumerated persons or things fell within some defining term, and any term implies at least a practice; if the conduct connoted by a word were unique, it would mean nothing unless accompanied by, say, pictures or recordings of the event. But lists do not necessarily (or perhaps even normally) shed significant light on a rule or practice; insignificant light is not enough.
But even if a list of parking assignments were exempt as so closely related to agency parking rules (a proposition we reject), that would not sweep up the information sоught here. The request is for names and duty addresses, not unit assignments.
To stretch the word “related” as the government proposes would be to fall into precisely the error against which Judge Leventhal cautioned in Vaughn, and make the exemption “all-encompassing.”
A generic internal trivia exemption might be sound policy. It would, however, entail swarms of court decisions identifying and “weighing” the public interest in disclosure, a task for which courts are not especially well suited. See United States Dep’t of Justice v. Reporters Committee for Freedom of the Press, — U.S. -,
Finding the requested list not to be “related solely to ... [agency] rules and practices,” we need not reach the second step of the analysis, which here would entail the weighing of thе “public interest” in disclosure against the government’s interest in avoiding the burden of producing the data. See Rose,
So ordered.
Notes
. Schwaner’s request was primarily for a list of names and addresses. Though the distriсt court stated that he wanted these "alphabetically arranged on a unit basis,” Schwaner,
Dissenting Opinion
dissenting:
As the majority recognizes, this court has “often applied the ‘predominant inter-nality’ test without emphasizing the words ‘rules and practices.’ ” However, the majority fails to establish by what standard it is now applying the requirement of “rules and practices” to the material in the instant case. Rather, the opinion cites a number of cases where “the requested information was typically a rule or practice in the most literal sense” and then concludes that the material at issue here is not a “rule or practice.” However, while the factual circumstances heretofore presented to this court have been fortuitously limited to what the majority opinion characterizes as rules and practices “in the most literal sense,” this is hardly a determinative means by which to excludе the material in the instant case from the statutory language. The decisions upon which the majority relies do not purport to define or interpret the phrase “rules and practices” and nothing in those decisions suggests that the compilation of a list of names and addresses of personnel at Bolling Air Force Base would not fall within the scope of “rules and practices.”
The majority appears not to distinguish a “rule” from a “practice” but conflates the two terms. In a “most literal sense,” this judge would read “practice” to have a morе expansive meaning than “rule” and to encompass the information at issue in this case. Indeed, this judge cannot imagine a personnel practice by an agency that could be more fundamental than obtaining and compiling the names and addresses of its employees. The majority discounts this practice because it is a “practice of collecting the data” which the agency performs merely as “a creature of habit....” This view, however, assumes that the names and addresses of the personnel were collected merely as a futile exercise and ignores the legitimate management and administrative needs of the agency in compiling such information.
The majority’s application of “rules and practices” in the instant case is fundamentally inconsistent with the purpose of exemption two and the policies of FOIA it
The principal rationale that the majority offers against reading the “rules and practices” to include “generic internal trivia” is because it would “entail swarms of court decisions identifying and ‘weighing’ the public interest in disclosure, a task for which courts are not especially well suited.” Whether well-suited or not, the role of determining the public interest under exemption 2 is precisely the role which the legislature has given the court under the statute where, as the majority recognizes, “once the government gets over the threshold test under exemption 2 a court must face that.”
Because this judge finds the material to be within the scope of “rules and practices” the material must still be analyzed to determine whether, under the statutory language, it is an internal rule or practice. Since information which is “internal” to an agency might have some significance outside the agency, and almost any information might have some link to external matters, this court has looked to whether the information is “predominantly” internal. Crooker v. Bureau of Alcohol, Tobacco & Firearms,
The information sought here meets the test of “predominant internality.” The list of personnel names and addresses is, if anything, less closely related to external concerns than the examples listed in the legislative history, which could at least embody substantive policies relating to sick leave, parking regulations, or lunch hours. The data base from which appellant wants to extract a list of names was compiled for the administrative convenience of the Air Force. It has no apparent uses beyond personnel management at Bolling Air Force Base. It would require the courts to engage in sрeculation to attempt to find a use for such a list which had a purpose other than the facilitation of personnel policies and practices at Bolling Air Force Base. No meaningful suggestion has come from appellant which indicates any use of the information by the Air Force going beyond the management of its personnel, and it is virtually self-evident that “the management of its own employees is a matter of intra-agency functioning_”
However, an exemption 2 analysis does not end with the determination that the information sought is relatеd to an internal rule or practice; the information must also be of no genuine public interest. The Supreme Court held in Department of Air Force v. Rose that exemption 2 is not applicable to matters subject to a “genuine and significant public interest.”
Since the list Schwaner seeks is a predominantly internal document, the issue, therefore, becomes whether withholding it would frustrate a legitimate public interest. In making that determination, the agency and the courts must look to the core purposes of FOIA, rather than to the individual requester’s motivations. “Except for cases in which the objection to disclosure is based on a claim of privilege and the person requesting disclosure is the рarty protected by the privilege, the identity of the requesting party has no bearing on the merits of his or her FOIA request.” Department of Justice v. Reporters Committee for Freedom of the Press, — U.S. -,
The Supreme Court’s most recent examination of the nature of the public interest in FOIA cases was in the context of the privacy exemption. Reporters Committee,
Appellant asserts that the list he seeks meets that test because it might prove useful to a reporter writing a story about the abusive treatment of enlisted men by superior officers at Bolling Air Force Base. In suсh a case, he argues, the requested information would be infused with a public interest because it could lead to other infor
It is always possible to conjure up a web of circumstances that could- invest virtually any internal procedure with a potential public interest. Thus if exemption 2 is to be applied to FOIA requests in any meaningful way, agencies — and the courts— should limit their inquiry to ascertaining whether the asserted public interest is genuine rather than speculative. Otherwise, the exemption will be stripped of much of its utility and agencies will be subjected to the administrative burdens that Congress intended that they be spared.
This is not to say, of course, that lists of names and addresses maintained by the military may not be of sufficient public interest to warrant disclosure under FOIA. In National Ass’n of Atomic Veterans v. Director, Defense Nuclear Agency,
Because the material sought by appellant is related solely to internal personnel rules and practices, and is not the subject of genuine public interest, this judge would affirm the judgment of the District Court.
. In considering what material was "internar to an agency within the statutory language of exemption 2, this court recognized that its interpretation required a pragmatic approach which would effectuate the purpose of the exemption within the overall scheme of the Freedom of Information Act. Crooker v. Bureau of Alcohol, Tobacco & Firearms,
