*1 United States Court of Appeals
FOR THE DISTRICT OF COLUMBIA CIRCUIT
Argued May 12, 2015 Decided June 16, 2015
No. 14-5044 J AMES E. M URPHY , A PPELLANT v.
E XECUTIVE O FFICE FOR U NITED S TATES A TTORNEYS , A PPELLEE Appeal from the United States District Court for the District of Columbia (No. 1:13-cv-00573) Ishan K. Bhabha , appointed by the court, argued the cause for the appellant. David W. DeBruin and Paul M. Smith , appointed by the court, were with him on brief.
James E. Murphy , pro se, filed the brief for the appellant. Peter R. Maier , Assistant United States Attorney, argued the cause for the appellee. Ronald C. Machen Jr. , United States Attorney at the time the brief was filed, and R. Craig Lawrence , Assistant United States Attorney, were with him on brief. Dionne S. Shy , Assistant United States Attorney, entered an appearance.
Before: H ENDERSON , R OGERS and M ILLETT , Circuit Judges .
Opinion for the Court filed by
Circuit Judge
H ENDERSON K AREN L E C RAFT H ENDERSON ,
Circuit Judge
: James
Murphy is a federal prisoner. He submitted a request under
the Freedom of Information Act (FOIA), 5 U.S.C. § 552, to the
Executive Office for United States Attorneys (EOUSA), a part
of the United States Department of Justice.
See Harris v.
Gonzales
,
I
FOIA implements “a general philosophy of full agency
disclosure.”
DOJ v. Reporters Comm. for Freedom of the
Press
,
The exemption relevant here is exemption 3, which
permits an agency to withhold records that are “specifically
exempted from disclosure by statute.” 5 U.S.C. § 552(b)(3).
We have recognized that “requests for documents related to
grand jury investigations implicate FOIA’s third exemption.”
Lopez v. DOJ
, 393 F.3d 1345, 1349 (D.C. Cir. 2005). Rule
6(e) of the Federal Rules of Criminal Procedure prohibits
certain persons designated therein (including government
attorneys) from “disclos[ing] a matter occurring before the
grand jury,” F ED . R. C RIM . P. 6(e)(2)(B), and, although a rule is
not generally considered to be a statute, it qualifies as one
under FOIA because the Congress has enacted it into positive
law.
See Fund for Constitutional Gov’t v. Nat’l Archives and
Records Serv.
,
In 2008, Murphy was charged with distribution, possession and conspiracy to distribute and possess heroin and crack cocaine. See United States v. Murphy , 460 F. App’x 122, 123 (3d Cir. 2012). He was convicted of both counts after a two-day jury trial and sentenced to 360 months’ imprisonment. Id . In 2013, Murphy submitted two FOIA requests to the EOUSA for “information and documents.” Joint Appendix (JA) 25, 31. His first FOIA request asked for:
disclosure of the dates that the grand jury convened in reference to case # 1:08-CR-00433 and case # 1:08-CR-314 filed in U.S. District Court for the Middle District of Pennsylvania including the names [sic] of the Judge who summoned the grand jury, the date the indictments were returned, the date they were discharged, the starting and ending date of the grand jury’s term, and a certified copy of the courts [sic] minute entries. . at 39. Case number 08-CR-00433 is Murphy’s criminal
case and case number 08-CR-00314 is a criminal case involving Richard Byrd.
Approximately two months later, Murphy submitted a second FOIA request that sought:
disclosure of the dates the grand jury issued the indictments pertaining to criminal No. 1:08-CR-314 and 1:08-CR-0433 . . . including the dates and times of sessions the grand jury convened, whether it was summoned pursuant to Fed. R. Crim. P. 6(a), or 18 U.S.C. 1331, and the certified letter requesting the special grand jury . . . the caption of the indictment . . . [and] an unredacted copy of the indictment of Case No. 1:08-CR-314 pursuant to Fed. R. Crim. P. 49.1(b)(9).
Id . at 42. Before the EOUSA responded to his requests, Murphy filed suit in federal district court. [1] He challenged the EOUSA’s invocation of exemption 3 and alleged that the grand jury indictments were inaccurate and that the EOUSA’s search for records was inadequate. He asked the court to order the EOUSA to produce the “agency records previously requested by [him].” Am. Compl. ¶ 1.
After Murphy filed his complaint, the EOUSA responded to both of his FOIA requests. It first told Murphy that it intended to disclose “all records required to be released, or considered appropriate for release as a matter of discretion.” JA 45. These included “the date the grand jury was impaneled and expired; the name of the judge who supervised the grand jury; [and] the date on which the grand jury was convened and returned an indictment for each particular criminal case.” at 37. It also disclosed that both of the “grand juries . . . were summoned pursuant to Fed. R. Crim. P. 6(a).” Id. at 47. Other than its disclosure of the date on which the grand jury issued indictments, the EOUSA declined to provide the specific dates and “times the grand juries convened” between the date of empanelment and the date each grand jury was discharged “in order to protect the identity of witnesses and the secrecy of the grand jury proceedings.” Id . It invoked exemptions 3 and 7(C) to support its decision. [2] Id
Less than one month after responding to Murphy’s second FOIA request, the EOUSA moved for summary judgment. The district court granted the motion in part. See Murphy v. EOUSA , 11 F. Supp. 3d 1, 3 (D.D.C. 2013). It held that Murphy’s claims regarding the accuracy of the records and the adequacy of the government’s search were premised on a “misunderstanding.” Id . at 5. According to the court, Murphy’s claim that some of the records were inaccurate and that others did not disclose what he “expected to find” did not amount to a FOIA violation. Id . It then found the EOUSA’s declaration, executed by EOUSA attorney advisor Kathleen Brandon, insufficient because it contained only one “obscure statement” related to exemption 3. Id . at 6. The court therefore ordered the EOUSA to disclose each date and the times of day on each date that the grand jury convened to consider Murphy’s and Byrd’s cases. [3] . at 7.
second FOIA request, Murphy explicitly requested “the dates and
times of sessions the grand jury convened” whenever the grand jury
met to consider his case and Byrd’s case during the approximately
six-month period between empanelment and discharge. JA 42;
see
also supra
pp. 4–6 (describing Murphy’s FOIA requests and
EOUSA’s response thereto). The EOUSA did not disclose that
information to Murphy but did disclose it to the district court
in
camera
.
See Murphy v. EOUSA
,
What confusion may have existed is likely due to Murphy’s use of “convene.” “Convene” usually refers to the empanelment of the grand jury. See Convene , B LACK ’ S L AW D ICTIONARY (10th ed. 2014) (“To call together, esp. for a formal meeting; to cause to assemble.”); see also, e.g. , In re Sealed Case , 199 F.3d 522, 523 (D.C. Cir. 2000) (independent counsel “convened a grand jury to consider evidence”). The EOUSA disclosed that information to Murphy. JA 45 (releasing the date the grand jury was empaneled to Murphy). But he also asked for the “dates and times of sessions the grand jury convened ” to consider both his case and Byrd’s case. at 42 (emphasis added). We take him to mean the dates and times the grand jury met to consider evidence or to deliberate in his and Byrd’s cases separate from the dates the grand jury indictments issued. Amicus agrees with our interpretation of Murphy’s FOIA request. See Amicus Br. 16 (Murphy has “the dates the grand juries began their sessions” but not the dates and times of day “the grand juries were in session” after empanelment).
Both parties moved for reconsideration. See Murphy , 11 F. Supp. 3d at 8. The EOUSA also filed a supplemental declaration, again executed by Brandon, in support of its motion. The district court noted that Murphy’s motion for reconsideration contained the same arguments he had previously made regarding the adequacy of the search and the accuracy of the records. See id. at 8–9. Because he did not identify “an intervening change in the law,” “new evidence not previously available” or “a clear error in the first order,” the district court denied his motion. Id .
The district court, however, granted the EOUSA’s motion for reconsideration after reviewing the withheld material in camera and concluding that it “contain[ed] information that would reveal secret aspects of a grand jury investigation.” Id at 9. Additionally, the court held that the withheld material was “inextricably intertwined” with non-exempt information, making it infeasible to segregate and produce any unprotected information. Id . Accordingly, it granted summary judgment to the EOUSA. . Murphy timely appealed. We appointed amicus curiae to present arguments in support of Murphy’s position.
II
We review
de novo
the district court’s grant of summary
judgment.
McKinley v. Bd. of Governors of Fed. Reserve
Sys.
,
The EOUSA’s supplemental Brandon Declaration
explains why releasing the dates and times of day the grand
jury convened to consider Murphy’s and Byrd’s cases could
reveal grand jury witness identities. Assume that a suspect
knows his girlfriend witnessed the crime he is suspected of
committing. Also assume (plausibly) that he can discover
from friends or family members whether his girlfriend was
absent from work or school on a particular day and time.
Once convicted, the suspect wants to know whether his
girlfriend in fact provided testimony to the grand jury. If the
government discloses the dates and times of day that the grand
jury convened, he can compare those dates and times with his
girlfriend’s corresponding absences. If the grand jury met on
a day and time that his girlfriend missed school or work, he
could infer that she could have testified before the grand jury.
See
JA 56–57 (providing similar example).
[4]
The EOUSA’s position is all the more reasonable because
it is based on extensive experience. The EOUSA declarant
was an assistant United States Attorney with more than twenty
years’ experience handling criminal cases in federal court.
Id
at 56. She averred that she “went to great lengths” to keep
grand jury proceedings secret in order to “protect the identity
of the witnesses.”
Id
. Secrecy is essential because, in her
experience, “defendants often went to great lengths to discover
the identity of witnesses in their cases, both before and after
trial.” . at 57. We cannot lightly brush aside both the logic
and experience underlying the EOUSA’s decision to withhold
the requested information.
Cf. McDonnell Douglas Corp. v.
Dep’t of the Air Force
,
Granted, simply because an individual misses work or is otherwise unaccountably absent does not mean we can be certain that he provided testimony to a grand jury. But exemption 3 is not limited to circumstances that are certain to reveal a witness’s identity. Instead, the exemption is properly invoked if “the disclosed material would tend to reveal some secret aspect of the grand jury’s investigation, including the identities of witnesses.” Hodge , 703 F.3d at 580 (emphasis added; quotation marks omitted). A tendency need only make a result more likely. See Tendency , O XFORD E NGLISH D ICTIONARY (2d ed. 1989) (“leaning,” “inclination” or “bent toward some . . . result”). The EOUSA has demonstrated how raises an even more compelling security concern than with someone who is not confined with the defendant. See JA 56–57. disclosing the specific dates and times of day a grand jury met to consider a particular “matter” makes it more likely that a witness’s identity can be discovered. See supra pp. 9–10; see also Lopez , 393 F.3d at 1350 (“[R]evealing the dates of preliminary interviews conducted for the purposes of ‘screening’ potential [grand jury] witnesses may in fact tend to reveal some secret aspect of the grand jury.” (emphasis added; some quotation marks omitted)).
The EOUSA’s position also draws from the plausibility of
its explanation for invoking exemption 3. It reasonably
believes that a criminal suspect or defendant not only wants to
discover a grand jury witness’s identity but that he may also
want to retaliate against that witness.
See
JA 57 (if
“defendants . . . discover the identity of witnesses,” “that
person’s safety was in jeopardy”). Federal prosecutors are not
the only ones who believe that grand jury witnesses confront a
risk of retaliation; the Congress falls squarely in that camp as
well. That is why federal law prohibits tampering with or
retaliating against witnesses.
See
18 U.S.C. § 1512 (witness
tampering unlawful);
id
. § 1513 (retaliation against witnesses
unlawful). These laws are not a solution in search of a
problem; there are countless cases dealing with successful
criminal prosecutions for both witness tampering and witness
retaliation.
See, e.g.
,
United States v. Wardell
,
The reported cases highlight that the risk of witness retaliation is real or, at least, “plausible.” Larson , 565 F.3d at 862. The risk of retaliation against grand jury witnesses is one reason for maintaining grand jury secrecy. See United States v. Proctor & Gamble Co. , 356 U.S. 677, 681–82 (1958) (“long-established policy” of grand jury secrecy rests in part on “encourag[ing] all witnesses to step forward and testify freely without fear of retaliation”). The government plainly has a strong interest in witness safety.
While the consequence of disclosing information that
tends to reveal the identity of grand jury witnesses is, by itself,
substantial, that risk alone is not the only reason for protecting
the times and dates a grand jury considered evidence or
deliberated in a particular case. Disclosing the days and times
a grand jury met to consider evidence and hear testimony
would also reveal the content of grand jury deliberations by
disclosing how long a particular “matter occurr[ed] before the
grand jury,” F ED . R. C RIM . P. 6(e), how much or how little
evidence was weighed and which witnesses most occupied the
grand jury’s time. That information could shed light on the
nature of the grand jury’s investigative and deliberative
processes. Because disclosing the day-and-time information
Murphy sought would tend to reveal the complexity and
“scope, focus and direction of the grand jury investigations,”
that information is protected from disclosure by Rule 6(e) even
if no disclosure of witness identity or risk of retaliation exists.
See Fund for Constitutional Gov’t
,
Amicus
offers several rejoinders. We find none of them
persuasive. First,
amicus
argues that the supplemental
Brandon Declaration is insufficient because it does not point to
an actual case in which a witness’s identity was revealed after
disclosing the dates and times of day a grand jury met. But the
basis for invoking exemption 3 need only be “logical or
plausible.”
Larson
, 565 F.3d at 862. A risk of harm is
plausible even if the anticipated harm has not yet materialized.
See ACLU v. DOD
,
Second,
amicus
contends there is little risk that Murphy
could use the requested information to identify grand jury
witnesses because the grand juries convened five to seven
years ago. But there is no time limit on the secrecy of grand
jury proceedings.
See Fund for Constitutional Gov’t
, 656
F.2d at 869 n.32 (“the chronological remoteness of grand jury
proceedings bears no relevance to [a] FOIA inquiry” and “[t]he
general rule [of grand jury secrecy] admits to no exception for
old grand jury proceedings”). Moreover, we have previously
decided FOIA cases seeking years-old grand jury information
and not once intimated that the passage of time made Rule 6
inapplicable.
See Hodge
,
A
micus
further claims that the information which we have
previously held to be covered by exemption 3 is different from
the date-and-time information that Murphy wants.
Amicus
states that, notwithstanding that documents that include the
name of a grand jury witness necessarily disclose his identity,
the same cannot be said for the dates and times of day a grand
jury meets. This argument misunderstands what is needed to
successfully invoke exemption 3. The test is whether “the
disclosed material would
tend
to reveal some secret aspect of
the grand jury’s investigation, including the identities of
witnesses.”
Hodge
,
Finally, amicus identifies three cases in which the Justice Department allegedly disclosed the dates and times of day a grand jury convened to hear testimony. We find all three inapposite. In one, the Justice Department was ordered to disclose “the date the grand jury convened, the date the indictment was returned or issued, and the date the grand jury was discharged.” Hill v. DOJ , No. 11-cv-00273, ECF No. 29, at 8 (D.D.C. Dec. 19, 2011) (magistrate report and recommendation). This information revealed nothing more than when “the grand jury’s work began and ended.” . Murphy has this information for the two criminal cases identified in his FOIA requests.
In the second case, the Justice Department declined to disclose “the dates the grand jury convened.” Peay v. DOJ , No. 04-cv-1859, 2007 WL 788871, at *3 (D.D.C. Mar. 14, 2007). The district court denied the government’s summary judgment motion because its declaration did not explain “how the disclosure of the dates the grand jury convened would tend to reveal a ‘secret aspect’ of the grand jury investigation.” Id . In contrast, we have here the second Brandon Declaration.
Amicus
also points to
North v. DOJ
,
For the foregoing reasons, the district court’s judgment is affirmed.
So ordered (D.C. Cir. 2005) (segregability does not apply if “there simply are no ‘reasonably segregable’ portions to release after deletion of the portions which are exempt.” (ellipsis and some quotation marks omitted)).
In addition, Murphy’s inadequate-search challenge fails because the adequacy of the search becomes a moot point if the requested information is in fact found but not disclosed. See Blanton v. DOJ , 64 F. App’x 787, 788–89 (D.C. Cir. 2003) (per curiam) (plaintiff’s challenge to adequacy of search was “moot” when agency “found th[e] [requested] documents”).
Notes
[1] Murphy properly filed suit before the EOUSA responded to his requests because he had constructively exhausted his administrative remedies. “As a general matter, a FOIA requester must exhaust administrative appeal remedies before seeking judicial redress.” Citizens for Responsibility and Ethics in Wash. v. FEC , 711 F.3d 180, 182 (D.C. Cir. 2013). But a requester “shall be deemed to have exhausted his administrative remedies with respect to [his] request” if the agency does not respond to the FOIA request within 20 business days. 5 U.S.C. § 552(a)(6)(A)(i), (C)(i). The EOUSA did not timely respond to Murphy’s FOIA requests and Murphy then began this litigation.
[2] Exemption 7(C) permits an agency to withhold records “compiled
for law enforcement purposes” if disclosure of such records “could
reasonably be expected to constitute an unwarranted invasion of
personal privacy.” 5 U.S.C. § 552(b)(7). Because we hold that the
EOUSA properly invoked exemption 3, we do not address whether it
also properly invoked exemption 7(C).
See Larson v. Dep’t of
State
,
[3] So that the record is clear, we describe exactly the information that was disclosed to Murphy. Murphy requested and received the date the grand jury was empaneled, the date the grand jury returned indictments and the date the grand jury was discharged. In his
[4] This is not the only scenario that could involve a risk of disclosing the identity of a grand jury witness. The same risk could occur if the criminal defendant and the suspected grand jury witness are cellmates. Knowing when the grand jury met could provide an easy way for him to determine whether his cellmate was likely providing testimony. If the grand jury met on a day and at a time that the cellmate was absent, the inference is plain: His cellmate could have testified. Moreover, cellmates’ close proximity to one another enhances the opportunity for (and success of) retaliation, which
[5]
Amicus
also contends that the district court’s segregability analysis
was insufficient. We disagree. An agency can withhold records
that are exempt from disclosure under FOIA but it must produce
“[a]ny reasonably segregable” portion thereof that does not fit one of
the statutory exemptions. 5 U.S.C. § 552(b). Here, however, there
is no segregability problem.
Murphy requested specific
“information”—
i.e.
, the dates and times of day the grand jury met to
consider his case and Byrd’s case. JA 25, 31. Once the EOUSA
declined to disclose the requested information, there was nothing left
to segregate.
Cf. Judicial Watch, Inc. v. DOJ
,
