In this Freedom of Information Act (FOIA) case, Stephen Sherman appeals the district court’s grant of summary judgment in favor of the United States Department of the Army (Army) with respect to the Army’s decision, pursuant to exemption 6 of the FOIA, to redact the social security numbers of service personnel from portions of Sherman’s information request. Because we (1) reject Sherman’s argument that the Army has the power to waive the privacy interest of service personnel in limiting the disclosure of their social security numbers, and (2) find that fulfillment of Sherman’s request, absent the redaction of social security numbers, would constitute a clearly unwarranted intrusion into the privacy interests of Army service personnel, we AFFIRM the judgment of the district court.
Factual and Procedural Background
When Army officials approve individual or unit decorations, that action is announced through an award order. Such orders may reference an award approved for a single soldier or the awards approved for multiple soldiers. Typically, orders contain a soldier’s name, rank and unit, as well as specific information relating the details of the conduct giving rise to the award. The awards alsо contain an identification number for each soldier listed within. Prior to 1968, personnel named in award orders were identified by Army serial number (ASN). Beginning in 1968 and continuing through the 1990s, the Army identified personnel by social security number (SSN). Thus, award orders issued after 1968 contain the SSNs of Army personnel, as opposed to ASNs. 1
The Army recently hired a contractor to compile award orders issued during the Vietnam era in a computerized database: the Awards and Decorations Computer Assisted Retrieval System (ADCARS).
2
Paper versions of most award orders, including those issued between 1965 and 1973,
In 1997, Stephen Sherman requested computer-tape copies of the ADCARS database containing the roughly 611,000 general orders issued between 1965 and 1973. The Army eventually responded to Sherman’s request by offering computer copies of the orders issued from 1964 to 1967 at the cost of reproduction, estimated at $5000. With respect to orders issued from 1968 to 1973, the Army found it necessary to redact all SSNs, pursuant to exemptiоn 6 of the FOIA and the corresponding Army regulation, to avoid a clearly unwarranted invasion of the privacy interests of Army personnel. The Army offered Sherman a redacted version of the database records provided he pay the cost of the redaction, estimated at $350,000 to $1,000,000. 3 Sherman complained to the Army that redaction was unnecessary, improper and prohibitively expensive. Additionally, Sherman sought a waiver of the fees associated with reproduction of the unredacted tapes pursuant to the FOIA fee waiver provisions. 4
Shermаn filed the present action in the district court for the Southern District of Texas seeking an injunctive order requiring the Army to produce the requested documents without redaction. On cross-motions for summary judgment, the district court found that release of personnel SSNs included in the orders would constitute an unwarranted invasion of the personal privacy interests of Army personnel, and thus redaction of the requested documents was proper pursuant to exemption 6. This appeal followed in which Sherman raises two primary issues for review: (1) Did the Army waive its authority to exercise exemption 6 by publicly releasing the SSNs of service personnel to the public in other instances, and (2) Did the district court properly balance the public interest in disclosure of the materials contained in Sherman’s FOIA request against the privacy interest of service personnel in limiting the disclosure of their SSNs.
Discussion
Through the FOIA, Congress created a regime “designed to pierce the veil of administrative secrecy and to open agency action to the light of public scrutiny.”
United States v. Ray,
Exemption 6 to the FOIA allows agencies to exempt from disclosure information contained in “personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.”
Id.
at § 552(b)(6).
6
Pursuant to exemption 6, an agency may delete personal details within a document, provided the details to be deleted are reasonably severable and the overall privacy interests of the individual clearly outweigh the presumption of public disclosure.
Avondale Indus., Inc. v. NLRB,
The threshold inquiry in exemption 6 cases is whether the information requested includes “files” within the meaning of section 552(b)(6).
United States Dept. of State v. Washington Post Co.,
The Supreme Court has narrowly defined the “public interest” relevant to exemption 6 balancing as “the extent to which disclosure would serve the core purpose of the FOIA, which is contributing] significantly to the public understanding of the opеrations or activities of the government.”
Dep’t of Defense,
Where the public interest in exemption 6 balancing has been defined narrowly, the privacy interest protected by the exemption is more broad and “encompasses [an] individual’s control of information
concerning his or her
person.”
Dept. of Defense,
To justify the application of exemption 6 in this case, the Army must demonstrate that release of SSNs would constitute a clearly unwarranted invasion of the privacy interests of Army personnel. While the Army has no objection to publicly disclosing the basic content of the award orders requested by Sherman, it maintains that “social security numbers linked to individuals’ names and other identifying information increasingly prоvide ready access to numerous personal details about an individual, creating a very real danger of identity theft and other significant intrusions on personal privacy.” As a consequence, the Army believes that it must exempt personnel SSNs from disclosure and require their redaction. 7 Sherman counters that redaction is inappropriate for two reasons: (1) the Army waived its authority to rely on exemption 6 for this purpose when it publicly disclosed personnel SSNs on prior occasions, and (2) the public interest in allowing disclosure of the database outwеighs the informational privacy interest that service personnel have in their SSNs.
A. The Waiver Argument
Sherman does not contest that exemption 6 analysis is generally appropriate since the requested flies do contain personal information — SSNs. Rather, Sherman argues initially that the Army’s consistent practice of disregarding an individual’s privacy right in her SSN effectively waives the Army’s authority to rely on exemption 6. Sher
Sherman contends that this pervasive public use of SSNs by the Army constitutes a waiver of any privacy interest protected by exemption 6. As support for this position, Sherman relies on two district court cases:
Kimberlin v. Dept. of Justice,
While we share the
Kimberlin
court’s concern regarding selective disclosure with respect to those exemptions that protect
the government’s interest
in nondisclosure of information, we conclude that this concern, and the related waiver analysis, are not implicated when a government agency relies on exemption 6 to prevent disclosure of personal information. The Supreme Court has explained that the privacy interest at stake in FOIA exemption analysis belongs to the individual, not the agency holding the information.
Reporter’s Comm.,
Our position squares with the reasoning of other circuits that have considered waiver arguments in the FOIA context. Though no circuit court has expressly analyzed waiver in a case involving exemption 6, those circuits that have considered a waiver argument with respect to the analogous exemption 7(C) have reached results similar to ours. 12 In contrast, circuit courts that have found that an agency waived its right to an exemption have done so only where the government’s own interests in confidentiality, as opposed to the privacy interest of an individual, were at stake. 13
B. Exemption 6 Balancing
That Sherman’s waiver argument fails does not end our analysis. We must still determine whether the Army has carried its burden in demonstrating that invasion of the personal privacy interest in preventing disclosure of SSNs would be clearly unwarranted by the public interest in disclosure of those SSNs. We begin the necessary balancing by considering the nature and extent of an individual’s privacy interest in his or her SSN.
Both Congress and other circuits have discussed the significant privacy concerns surrounding the dissemination of SSNs. Congress acknowledged those concerns in the Privacy Act of 1974, which barred government agencies from discriminating against individuals that refuse to release their SSNs. Privacy Act of 1974, Pub.L. 93-579, § 7, 88 Stat. 1896, 1909 (1974),
Other circuits, relying in part on these Congressional statements, have concluded that the privacy interest in SSNs is significant, and thus public dissemination of information containing SSNs must be monitored scrupulously.
See Crawford,
As both our sister circuits and Congress have suggested, an individual’s informational privacy interest in his or her SSN is substantial. The privacy concern at issue is not, of course, that an individual will be embarrassed or compromised by the particular SSN that she has been assigned. Rather, the concern is that the simultaneous disclosure of an individual’s name and confidential SSN exposes that individual to a heightened risk of identity theft and other forms of fraud.
See generally,
Flavio L. Komuves,
We’ve Got Your Number: An Overview of Legislation and Decisions to Control the Use of Social Security Nti/mbers As Personal Identifiers,
16 J. Marshall J. Computes & Info. L. 529 (1998). In considering the scope of the informational privacy right, this Court has previously recognized the need to look beyond the specific nature of information which an agency seeks to redact as private, and consider the nexus between the information to be redacted and other details which an individual would not want publicly disclosed.
Halloran,
Against this substantial privacy intеrest, Sherman fails to articulate clearly a competing public interest in disclosure of
the SSNs.
Sherman implies that the SSNs, when combined with the names of servicemen, might assist him and other historians to identify individuals fraudulently claiming to have received meritorious service awards during the Vietnam War. While we do not dispute the merit of this activity, the Supreme Court has limited our consideration of “public interest” to those types of information that shed light on the nature of agency action, not those that shed light on fraudulently-claimed military honors.
See Reporters Comm.,
More generally, Sherman seems to admit that hе has less interest in the SSNs themselves, than the descriptive content of the award orders that the SSNs happen to be mingled within. He maintains that the historical value of the award orders does contribute to public awareness of how the Army conducted the Vietnam War. We agree that Sherman has articulated a public interest that supports disclosure of the content of the award orders. Indeed, as Sherman points out, the Army itself has recognized the historical import of the awards and requires that they be carefully prepared. Yet, the presence of the SSNs among the award orders does not elucidate investigation into the Army’s conduct of the Vietnam War or the types of conduct that gave rise to awards for meritorious service. Stated differently, redaction of the SSNs does not meaningfully detract from the public utility of the award orders.
See Ray,
Generally, Sherman argues in his brief that the cost of redacting the SSNs renders his FOIA request untenable. Perhaps as a consequence, he balances the public interest in disclosure of all information contained in the requested database against the privacy interest of an individual soldier in his SSN. As noted, however, this is not the relevant inquiry for the purpose of determining the propriety of the redaction pursuant to exemption 6.
See, e.g., Ray,
Conclusion
The increasing prevalence of identity fraud, as reflected in various federal statutes, demands that federal agencies take particular care when publicly disclosing documents that contain SSNs. We believe that the Army has acted properly in fulfilling this responsibility. Because we con-
Notes
. Since 1992, thе Army has redacted portions of a soldier’s SSN on documents. Depending on the circumstances, only the last 4 or 5 digits of an SSN are used currently.
. The ADCARS database has two aspects. First, each order in the system has been scanned into the database, creating a virtual image of the original document. Additionally, the database includes a text file of each order that facilitates key word searches for information.
. The Army maintains that this figure reflects the estimated cost for responding to Sherman’s entire request, 1965 to 1973, but redacting the SSNs. Absent the redaction, the Army estimаtes the cost of reproducing the necessary tapes to be about $15,000. The high cost of the redaction is caused by the need to manually redact a paper version of each award order, then re-scan the redacted order into the database.
. Sherman has waived any argument that he is entitled to a fee waiver and now argues "only that the redaction of social security numbers is inappropriate." At the same time, Sherman maintains that the Army's quoted price for providing the unredacted copy of the ADCARS database is three times higher than a bid by a third рarty contractor. Should he prevail in this appeal, Sherman claims that he should only be required to pay the lower price.
. The Supreme Court has divided the right to privacy into two related strands: "One is the interest in avoiding disclosure of personal matters, and another is the interest in independence in making certain kinds of important decisions."
Whalen v. Roe,
. The FOIA also exempts from disclosure "records or information compiled for law enforcement purposes, but only to the extent that the production of such law enforcement records or information ... (C) could reasonably be expected to constitute an unwarranted invasion of personal privacy.” 5 U.S.C. § 552(b)(7)(C). While both exemptions 6 and 7(C) protect informational privacy interests, exemption 7(C) provides broader protection because it does not require that an invasion be "clearly” unwarranted.
See United States Dep't of Defense v. Federal Lаbor Relations Auth.,
. The Army has not argued that the Privacy Act bars disclosure of the SSNs in this case. We note that incorporation of the Privacy Act into our analysis would not alter our resolution of the case. The Privacy Act bars a government agеncy from disclosing SSNs unless, inter alia, disclosure is required by the FOIA. See 5 U.S.C. § 552a(b)(2). The FOIA requires disclosure of Sherman’s entire request unless an exemption supports redaction of SSNs. Hence, even starting from the Privacy Act, the focus of our analysis properly falls on the applicability of exemption 6 of the FOIA.
. Exemption 5 applies to "inter-agency or in-tra-agency memorandums or letters which would not be available by law to a party other than an agency in litigation with the agency." 5 U.S.C. § 552(b)(5).
. .The district court in
Shell Oil
determined that the IRS could not rely on exemption 5 of the FOIA to prevent disclosure of IRS interpretations of the term "tar sand,” as defined in the Crude Oil Windfall Profit Tax Act of 1980, when the IRS had previously released its interpretation publicly.
Shell Oil,
.The plaintiff sought copies of all DEA files that related to an investigation of former Vice President Dan Quayle and had been previously released to the press.
. We do not understand Sherman to argue that individual soldiers have waived their privacy interest in the public disclosure of their SSNs. Nevertheless, Sherman points out that Army regulations after 1968 required individuals drafted into or volunteering for service to submit their SSN. Sherman also refers to Army officials as stating that, to their knowledge, no service member ever objected to the use of an SSN. To the extent that Sherman suggests this evidence proves individual soldiers have consented to the public dissemination of their SSN, he is mistaken because the Army only purported to use SSNs for official purposes, not disclose them publicly.
.
See, e.g., Fiduccia v. U.S. Dept. of Justice, 185 F.3d
1035, 1047 (9th Cir.1999) (concluding that Justice Department did not waive individual's privacy interest in investigation files recognized in exemption 7(C) by notifying public of ongoing criminal investigation involving individual);
Halpem v. FBI,
.See, e.g., Cottone v. Reno,
. We take notice of the fact that the Supreme Court has reserved judgment on the role of the so-called "derivative-use theory” in exemption 6 balancing.
See Ray,
