Kenneth Michael JULIAN, Plaintiff-Appellee,
v.
UNITED STATES DEPARTMENT OF JUSTICE, Defendant-Appellant.
Margaret J. WALLACE, Plaintiff-Appellee,
v.
UNITED STATES PAROLE COMMISSION, аnd Charles Turnbo, Warden,
F.C.I., Pleasanton, CA, Defendants-Appellants.
Nos. 85-2649, 85-2751.
United States Court of Appeals,
Ninth Circuit.
Argued and Submitted Sept. 11, 1986.
Decided Dec. 30, 1986.
Kenneth Michael Julian, Safford, Ariz., John S. Newberry, Staff Atty., Kansas City, Mo., Margaret J. Wallace, Hollywood, Cal., for plaintiff-appellee.
Richard K. Willard, Asst. Atty. Gen., Stephen M. McNamee, Joseph P. Russoniello, U.S. Attys., Leonard Schitman, Sandra Wien Simon, Attys., Appellate Staff, Dept. of Justice, Washington, D.C., for defendant-appellant.
On Appeal from the United States District Court for the District of Arizona.
On Appeal from the United States District Court for the Northern District of California.
Before WALLACE, ALARCON and BEEZER, Circuit Judges.
BEEZER, Circuit Judge:
Kenneth Michael Julian and Margaret J. Wallacе requested copies of their presentence investigation reports under the Freedom of Information Act, 5 U.S.C. Sec. 552. In separate summary judgment motions Julian and Wallace obtained orders requiring release of the reports. The government has appealed both judgments and the cases have been consolidated. We affirm.
* On November 1, 1984, Wallace, who was at that time incarcerated, made a request under the Freedom Of Information Act (FOIA) for disclosure of all records pertaining to her in рossession of the United States Parole Commission. On March 25, 1985, the Commission sent Wallace all of the relevant documents she had requested except for her presentence investigation report. Wallace filed suit seeking a copy of this report and on September 6, 1985, Judge Henderson ordered the presentence report released.
Julian, who is currently incarcerated, requested a copy of his presentence investigation report on October 17, 1984. This request was denied, prompting Julian to appeal to the Department of Justice, Office of Information and Privacy, which refused his request. Julian filed suit on January 30, 1985. On August 5, 1985, Judge Bilby granted Julian's motion for summary judgment and held that there was no basis to withhold the presentence investigation report.
II
The probation service of a district court compiles presentence investigation reports after a criminal defendant has been found guilty. The report contains detailed factual information concerning the criminal record and background of the defendant. The report includes inter alia: 1) the defendant's official arrest and conviction record; 2) an official version of the offense in question obtained from the United States Attorney; 3) information concerning harm or loss suffered by the victim of the crime; 4) information on the defendant's contacts with the military, schools, banks, and credit bureaus; 5) summaries of interviews with social service agencies, employers, family and friends; and 6) clinical evaluations of the defendant's physical and mental health. The report concludes with the probation officer's sentencing recommendation. Fennell and Hall, Due Process at Sentencing: An Empirical and Legal Analysis of the Disclosure of Presentence Reports In Federal Courts, 93 Harv.L.Rev. 1615, 1623 (1980).
The presentence report serves three purposes. The district court considers the report while formulating a sentencing decision. Second, if the convicted defendant is incarcerated, the report accompanies him to the correctional institution, whеre the Bureau of Prisons utilizes the contents of the report to classify the prisoner for the facility and to determine an appropriate treatment program. There is no statutory directive that the Probation Service furnish a copy of the report to the Bureau of Prisons, but it does so. Finally, the Parole Commission considers the report when it makes its parole eligibility determination.
The convicted defendant has several opportunities to read his presentence investigation report. Under Federal Rule of Criminal Procedure 32(c)(3), the convicted defendant and his attorney may examine all or certain portions of the report a reasonable time before sentencing. Rule 32(c)(3) states in pertinent part,
(A) At a reasonable time before imposing sentence the court shall permit the defendant and his counsel to read the report of the presentence investigation exclusive of any recommendation as to sentence, but not to the extent that in the opinion of thе court the report contains diagnostic opinions which, if disclosed, might seriously disrupt a program of rehabilitation; or sources of information obtained upon a promise of confidentiality; or any other information which, if disclosed, might result in harm, physical or otherwise, to the defendant or other persons.
Judges must provide an oral or written summary of any exempted information which they rely on in sentencing decisions and provide the defendant or his counsel an opportunity to comment on the summary. Fed.R.Crim.P. 32(с)(3)(B). The convicted defendant may not keep a copy of the report. Fed.R.Crim.P. 32(c)(3)(E). However, he may take extensive or verbatim notes from the report if he so chooses. Fennell and Hall, supra at 1646-47.
The convicted defendant has a second opportunity to view the report after he has been incarcerated and before his parole hearing. The Parole Commission and Reorganization Act of 1976, 18 U.S.C. Sec. 4201, et seq. (PCRA), dictates the procedures for disclosing the report at this stage. The disclosure procedures applicable during the parole eligibility process mirror the procedures applicable during sentencing. 18 U.S.C. Sec. 4208(b) provides in part:
(b) At least thirty days prior to any parole determination proceeding, the prisoner shall be provided with (1) written notice of the time and place of the proceeding, and (2) reasonable access to a report or other document to be used by the Commission in making its determination.
The statute identifies certain types оf information which shall not be revealed to the convicted defendant except in summary form. These exempted items are identical to those listed in Rule 32(c)(3).1 A prisoner may obtain a copy of his presentence report during the parole hearing process, but only if the sentencing court which prepared the report consents. 28 C.F.R. Sec. 2.56(b) (1985).
The government contends that presentence investigation reports are exempt from disclosure under FOIA provisions 5 U.S.C. Sec. 552(b)(3) (hereinafter "Exemptiоn 3") and 5 U.S.C. Sec. 552(b)(5) (hereinafter "Exemption 5"). Alternatively, the government argues that FOIA is displaced by the special statutory procedures for obtaining presentence investigation reports set forth in Fed.R.Crim.P. 32(c)(3) and 18 U.S.C. Sec. 4208. The district courts rejected these claims. Because this case involves questions of law, we review de novo. United States v. McConney,
III
Presentence investigation reports are "agency records" when they are in the possession of the Parole Commission. Fendler v. United States Parole Commission,
We are required to decide whether FOIA provides a per se exemption for withholding an entire presentence report when it is requested by the subject of the report. There is no doubt that portions of the report may be withheld. Both Rule 32(c)(3) and PCRA authorize the withholding of certain classes of information which appear in the presentence report. The probation officer's sentencing recommendation, diagnostic opinions which might disrupt the prisoner's rehabilitation if disclosed, and information obtained upon a promise of confidentiality may all be withheld pursuant to Rule 32(c)(3) and PCRA. FOIA does not override these provisions. In fact, it ensures their vitality.3 Howеver, FOIA requires that "[a]ny reasonably segregable portion of a record shall be provided to any person requesting such record after deletion of the portions which are exempt under this subsection." 5 U.S.C. Sec. 552(b). Thus, the Parole Commission has a duty under FOIA to release any nonexempt, segregable portions of a presentence investigation report to the requesting party. The burden is on the Commission to justify nondisclosure. FBI v. Abramson,
We conclude that neither Exemption 3 nor Exemption 5 provides a blanket exemption for presentence investigation reports. We recognize that the process of segregating nonexempt information from exempt information, and furnishing the nonexempt data to prisoners may be time consuming and expensive, but we are bound by the express language of 5 U.S.C. Sec. 552(b). We expressly limit our holding to FOIA requests made by the subject of the presentence investigation report. FOIA exemptions which are inapplicable in this context may be applicable to third party requеsts for presentence reports. See infra n. 4.
A. Exemption 3
The statutory framework of FOIA requires the disclosure of agency records unless they may be withheld pursuant to one of the nine enumerated exemptions listed in 5 U.S.C. Sec. 552(b); United States v. Weber Aircraft Corp.,
[S]pecifically exempted from disclosure by statute (other than section 552b of this title) provided that such statute (A) requires that the matters be withheld from public in such a manner as to leave no discretion оn the issue, or (B) establishes particular criteria for withholding or refers to particular types of matters to be withheld.
5 U.S.C. Sec. 552(b)(3). The government argues that Fed.R.Crim.P. 32(c)(3) and PCRA Sec. 4208(c) specifically exempt presentence investigation reports from disclosure.
Neither Rule 32(c)(3) nor section 4208 of the PCRA establish complete exemptions. Each provision requires that presentence reports be disclosed to convicted defendants. In fact, Rule 32 was amended in 1983 to require disclosure to the defendant and his attorney even when they fail to request disclosure. This change in Rule 32 was prompted by findings that the disclosure of presentence reports was insufficient under the pre-1983 version of the rule to ensure accuracy of sentencing information. Fed.R.Crim.P. 32 advisory committee note. Thus, the provisions are exempting statutes only in the sense that they identify subclasses of information within the entire report that may be withheld.
Berry v. Department of Justice,
Accordingly, we conclude that Exemption 3 permits withholding the probation officer's sentencing recommendation, diagnostic оpinions which might disrupt the inmate's rehabilitation if disclosed, and information obtained on a promise of confidentiality and any other information which, if disclosed, might result in harm to any person. If there is data contained in the report which falls within the purview of section 4208(c), it may be withheld pursuant to Exemption 3. However, the Commission has a duty to supply the FOIA applicant "[a]ny reasonably segregable portion of a record ... after deletion of the portions which are exempt." 5 U.S.C. Sec. 552(b). A presentence rеport containing none of the items specified in section 4208(c) should be disclosed in its entirety. The government bears the burden of justifying nondisclosure of any withheld records or segments of records. NLRB v. Robbins Tire and Rubber Co.,
B. Exemption 5
Title 5, United States Code, section 552(b)(5) exempts from FOIA disclosure "inter-agency or intra-agency memorandums or letters which would not be available by law to a party other than an agency in litigation with the agency." The government contends that presentence investigation reports are exempt under this provision.
On its face, Exemption 5 could encompass virtually everything an agency reduces to writing. Note, The Freedom of Information Act and The Exemption for Intra-Agency Memoranda, 86 Harv.L.Rev. 1047, 1048 (1973). The provision has been construed narrowly to "exempt those documents, and only those documents, normally privileged in the civil discovery context." NLRB v. Sears, Roebuck and Co.,
The Court of Appeals for the District of Columbia recently concluded that presentence reports fell within the purview of Exemption 5. Durns v. Bureau of Prisons,
The government has failed to identify an existing statutory or common law privilege that exempts presentence reports from discovery. The government apparently claims that section 4208(c) of PCRA and Rule 32(c)(3) create such a privilege or, in the alternative, that such a privilege may be inferred from a line of criminal cases where defendants requested presentence reports of codefendants to be used for impeachment purposes.
Rule 32 and PCRA do not create a civil discovery privilege. Both provisions mandate the disclosure of presentence reports to the subject of the report to ensure the report's accuracy. Each provision exempts a narrow сlass of information. However, these narrow exemptions do not create a blanket privilege for the entire report.
The government claims that a line of criminal cases creates a common law discovery privilege which justifies withholding presentence reports from the subject of the report. These cases hold that when a defendant requests a copy of a witness's presentence report for the purpose of impeaching the witness, the report will be disclosed only if it is necessary to meet the ends of justice.6 These cases are inapposite when the party requesting the presentence report is the subject of the report. In the seminal decision on this subject, the Fourth Circuit stated
Rule 32(c)(3), F.R.Cr.P., relates to the disclosure of presentence reports, and it is applicable to reports made by the Bureau of Prisons under 18 U.S.C. Sec. 4208(b). Rule 32(c)(3)(E). In general, the rule provides for the disclosure of such reports to a defendant who is the subject of the report, or his cоunsel, except for certain information and recommendations that may be withheld. The rule is silent about disclosure to anyone else. We are in accord with the construction placed on the rule in Hancock Brothers, Inc. v. Jones,
United States v. Figurski,
A rule that presentence reports are exempt from disclosure would not further the objectives underlying Exemption 5. Exemption 5 was created to prevent the disruption of a free flow of ideas, opinions, advice and frank discussions within agencies concerning their policies and programs. See S.Rep. No. 813, 89th Cong., 1st Sess. 9 (1965); H.R.Rep. No. 1497, 89th Cong., 2d Sess. 10 (1966), U.S.Code Cong. & Admin.News 1966, p. 2418. In furtherance of this objective the courts have allowed the government to withhold memoranda containing advice, opinions, recommendations and subjective analysis. Note, supra at 1049. However, communications containing purely factual material are not typically within the purview of Exemption 5. In EPA v. Mink,
in the absence of a claim that disclosure would jeopardize state secrets, memoranda consisting only of compiled factual material or purely factual material contained in deliberative memoranda and severablе from its context would generally be available for discovery by private parties in litigation with the Government.
EPA v. Mink,
A presentence investigation report is composed primarily of fаctual data about the prisoner. See supra p. 1414. This essentially factual, nonprivileged material may not be withheld under Exemption 5. United States v. Weber Aircraft Corp.,
In EPA v. Mink, the Supreme Court further observed that
Exemption 5 ... requires different treatment for materials reflecting deliberative or policy making processes on the one hand, and purely factual, investigative matters оn the other.
Mink,
We do not conclude that factual material can never qualify for protection under Exemption 5. We only hold that Exemption 5 does not create a per se exemption for presentence reports.
C. PCRA and Rule 32 Do Not Supersede FOIA
The government's final claim is that section 4208 and Rule 32(c)(3)(E) constitute an alternative disclosure scheme and, as such, supersede FOIA.
We addressed a similar argument in Long v. IRS,
Our analysis in Long requires us to find that FOIA is not implicitly supplanted by Rule 32 and section 4208 of PCRA. Nothing in the text оf either provision or the legislative history of PCRA supports the claim that Congress intended to supersede FOIA.
The government relies on Ricchio v. Kline,
The judgments of the district courts are AFFIRMED.
Notes
18 U.S.C. Sec. 4208(c) provides that "subparagraph (2) of subsection (b) shall not apply to--(1) diagnostic opinions which, if made known to the eligible prisoner, could lead to a serious disruption of his institutional program; (2) any document which reveals sources of information obtained upon a promise of confidentiality; or (3) any other information which, if disclosed, might result in harm, physical or otherwise, to any person."
Until recently the government asserted that presentence rеports are not agency records since they are initially prepared by courts, which are not viewed as agencies under 5 U.S.C. Sec. 551(1)(B). We rejected this argument in Berry v. Department of Justice,
FOIA Exemption 3 allows the withholding of "matters that are specifically exempted from disclosure by statute." 5 U.S.C. Sec. 552(b)(3)
The government hypothesized in Berry and in the case at bar that if presentence reports are subject to disclosure under FOIA, there will be an avalanche of requests by third parties seeking prisoners' reports, who under FOIA will have just as much right to copies of the reports as the subjects of the reports themselves. Initially, FOIA Exemption 6, 5 U.S.C. Sec. 552(b)(6), which exempts the disclosure of records "which would constitute a clearly unwarranted invasion of personal privacy" may provide an exemption for requests by third parties. A presentence report typically contains highly personal data and its disclosure to third parties could constitute an unwarranted invasion of the subject's privacy. The exemption is inappliсable when the FOIA request is made by the subject of the report. Moreover, despite the government's forecast of doom, history has shown that third party requests for presentence reports are uncommon. Berry,
The Court of Appeals for the District of Columbia found two recent Supreme Court cases addressing the scope of Exemption 5 persuasive. In United States v. Weber Aircraft Corp.,
See United States v. Anderson,
Even if the government could identify a common law or statutory privilege, it has waived its right to assert that privilege. Rule 32 and section 4208 of PCRA constitute a Congressional mandate which waives the government's privilege to withhold presentence reports from the subject of the report. The mandate is grounded in Congress' belief that convicted defendants must have an opportunity to read their presentence reports in order to ensure the accuracy of the information contained therein. The government asserts that there can be no waiver because convicted defendants, who are permitted to read their reports, are not allowed to copy them. This argument is meritless. In Berry we stated that "FOIA speaks in terms of disclosure and nondisclosure. It does not recognize degrees of disclosure, such as permitting viewing, but not copying, of documents." Berry,
