Professional Documents
Culture Documents
2d 894
For purposes of a collateral attack on his death sentence, Alvie James Hale, Jr.
seeks to obtain certain documents from the United States Department of Justice
("DOJ") and the Federal Bureau of Investigation ("FBI") (collectively, "the
government") pursuant to the Freedom of Information Act ("FOIA"), 5 U.S.C.
552. After an in camera inspection of the materials in question, the district court
granted the government's motion for summary judgment on the grounds that
the requested documents constitute information that is exempt from FOIA's
disclosure requirements under 5 U.S.C. 552(b)(2), (b)(7)(C), (b)(7)(D), and
(b)(7)(E). Hale appeals. We affirm the decision below.
I. BACKGROUND
2
In 1983, Hale was convicted in the United States District Court for the Western
In 1983, Hale was convicted in the United States District Court for the Western
District of Oklahoma of violating the Hobbs Act, 18 U.S.C. 1951, in
connection with the kidnapping and murder of William Jeffrey Perry. He was
sentenced to twenty years imprisonment. In 1984, Hale was sentenced to death
by the State of Oklahoma for his role in these events.
The parties to the instant case dispute the role that Hale played in Perry's
kidnapping and murder. The State of Oklahoma and the government maintain
that Hale committed the kidnapping and murder. Hale contends to the contrary
that Perry concocted an elaborate plot to stage his own kidnapping in order to
extort money from his parents to pay gambling debts and to buy drugs. Hale
contends that three people were to help Perry: Hale, Nicky Johnson, and Mayo
Bates. The scheme went awry, however, when Perry decided that he wanted to
withdraw in the middle of the staged kidnapping. According to Hale, Johnson
killed Perry and disposed of his body on Hale's father's property, where the
group allegedly had been meeting, while Hale was elsewhere making the
ransom calls.
On appeal, we are called upon to address (1) the proper standard of review for
a summary judgment motion in a FOIA case and (2) whether the government
10
11
12
In this case, the government invoked the exemptions set forth in 5 U.S.C.
552(b)(2), (b)(7)(C), (b)(7)(D), and (b)(7)(E) in support of its decision to redact
or withhold certain documents requested by Hale.6 Exemption 2 permits the
government to withhold information that is "related solely to the internal
personnel rules and practices of an agency." 5 U.S.C. 552(b)(2). Exemption
7(C) permits the government to withhold "records or information compiled for
law enforcement purposes, but only to the extent that the production of such
law enforcement records or information ... could reasonably be expected to
constitute an unwarranted invasion of personal privacy." 5 U.S.C. 522(b)(7)
(C). Exemption 7(D) permits the government to withhold "records or
information compiled for law enforcement purposes, but only to the extent that
the production of such law enforcement records or information ... could
reasonably be expected to disclose the identity of a confidential source ... [and]
information furnished by a confidential source" in the course of a criminal
investigation. 5 U.S.C. 522(b)(7)(D). Finally, Exemption 7(E) permits the
government to withhold "records or information compiled for law enforcement
purposes, but only to the extent that the production of such law enforcement
records or information ... would disclose techniques and procedures for law
14
records
or information compiled for law enforcement purposes, but only to the
extent that the production of such [materials] could reasonably be expected to
disclose the identity of a confidential source, ... and, in the case of a record or
information compiled by criminal law enforcement authority in the course of a
criminal investigation ..., information furnished by a confidential source.
15
Thus, in order to invoke Exemption 7(D), the government must prove (1) "that
sources of information are confidential" and (2) "that the information was
acquired under an express assurance of confidentiality or that the circumstances
were such that an assurance of confidentiality could be inferred." KTVY-TV,
919 F.2d at 1470 (citations omitted).
16
17
States E.P.A., 778 F.2d 1258, 1263 (7th Cir.1985). This policy serves two
functions: (1) it protects the individual being interviewed from harassment and
invasion of privacy and (2) it ensures the continuing efficacy of investigations
by diminishing the likelihood of retaliation against sources and informants.
18
19
20
21
interest to the FBI in this or unrelated matters); the identities of FBI employees,
non-federal law enforcement personnel, Oklahoma municipal employees, and
institutional sources (communication companies and financial corporations);
and photographs of Perry. The district court concluded that Exemption 7(C)
was properly invoked to protect the privacy interests of the individuals
connected with this criminal investigation.
22
The parties agree that the documents in question are indeed records compiled
during the investigation that resulted in Hale's conviction. They disagree,
however, as to whether the invasion of privacy that would result from
disclosure outweighs the public interest in disclosure.
23
Although the government bears the burden of justifying its decision to withhold
the material in dispute as exempt, see 5 U.S.C. 552(a)(4)(B), the person
requesting the information must identify with reasonable specificity the public
interest that would be served by release. See King v. United States Dep't of
Justice, 830 F.2d 210, 234 (D.C.Cir.1987); Senate of Puerto Rico v. United
States Dep't of Justice, 823 F.2d 574, 588 (D.C.Cir.1987). The amount of
support required will necessarily vary with the situation in recognition of the
fact that it may sometimes be difficult to offer affirmative proof of the public
importance of documents before knowing the contents of the documents
requested. Generic platitudes clearly are not enough, however. See Kimberlin v.
Department of Treasury, 774 F.2d 204, 208 (7th Cir.1985) ("The record fails to
reflect any benefit which would accrue to the public from disclosure of this
document and [the requester's] self-serving assertions of government
wrongdoing and coverup do not rise to the level of justifying disclosure.").
24
Nor may the public interest be articulated so broadly that it would encompass
each and every FOIA request. See Miller, 661 F.2d at 630 (asserted public
interest that requester "would use the information to serve as a watchdog over
the adequacy and completeness of an FBI investigation ... would apparently
apply to every FBI criminal investigation, severely vitiating the privacy and
confidentiality provisions of exemptions 7(C) and (D)"); id. at 631 (no public
interest exists where requester merely hopes to obtain information that will aid
him in litigation; "Were this the test for determining the existence of a public
interest, every FOIA claimant against the FBI could override the exemption of
7(C) by the simple expedient of claiming that he hoped to uncover violations
of constitutional or statutory rights. Such a test is rife with the potential for
abuse, and does not comport with the protective legislative intent embodied in
the exemptions of section seven of the FOIA."); cf. Connick v. Myers, 461 U.S.
138, 149, 103 S.Ct. 1684, 1691, 75 L.Ed.2d 708 (1983) ("To presume that all
matters which transpire within a government office are of public concern would
The public interest must relate to the disclosure of governmental activity rather
than the disclosure of information on private conduct that happens to be located
in governmental files. The weight of the public interest often will be influenced
by the degree to which the governmental conduct has general applicability.8
Here, however, Hale urges that disclosure of the materials in dispute would
advance the public interest in more personal respects.
26
First, Hale contends that he did not get a fair trial and that the people of the
State of Oklahoma have an interest in the soundness of death sentences that are
to be carried out in their name. However, public interest in the fairness of a
particular trial is not the kind of public interest that compels disclosure under
FOIA. See Burge, 934 F.2d at 580; see also Antonelli v. Federal Bureau of
Investigation, 721 F.2d 615, 619 (7th Cir.1983) ("The contention that 'the
public shares [the requester's] interest in ensuring that his convictions were not
obtained as a result of a violation of the Constitution' is [an] insufficient [public
interest]."), cert. denied, 467 U.S. 1210, 104 S.Ct. 2399, 81 L.Ed.2d 355
(1984).
27
28
Identities of third parties interviewed and third parties whose names surface in a
criminal investigation have been recognized as excludible under Exemption
7(C) in order to prevent embarrassment and harassment and to enable the FBI
to gather the information it needs. See, e.g., Burge, 934 F.2d at 579; KTVYTV, 919 F.2d at 1469; Miller, 661 F.2d at 631; Lesar, 636 F.2d at 488; Freeman
v. United States Dep't of Justice, 723 F.Supp. 1115, 1124-25 (D.Md.1988).
30
Furthermore, many circuits, including our own, have recognized that FBI
agents and other federal law enforcement officials have a substantial privacy
interest in concealing their identity. See, e.g., Kuzma v. Internal Revenue
Service, 775 F.2d 66, 69 (2d Cir.1985); Johnson, 739 F.2d at 1518-19; Miller,
661 F.2d at 629-30; Lesar, 636 F.2d at 487; Nix v. United States, 572 F.2d 998,
1006 (4th Cir.1978). We see no reason why non-federal law enforcement
personnel and state or municipal employees would not have a similar interest.
Because our in camera review of the undisclosed material revealed nothing that
would indicate improper conduct by the officers, we agree with the district
court that no public interest exists in disclosing their identity for purposes of
FOIA.
31
Nor can we discern any public interest in the photographs of the deceased
victim, let alone one that would outweigh the personal privacy interests of the
victim's family.
32
33
34
35
36
records
or information ... compiled for law enforcement purposes, but only to the
extent that the production of such law enforcement records or information would
disclose techniques and procedures for law enforcement investigations or
prosecutions, or would disclose guidelines for law enforcement investigations or
prosecutions if such disclosure could reasonably be expected to risk circumvention
of the law.
37
38
CONCLUSION
39
For the reasons stated above, we AFFIRM the decision of the district court.
The Honorable James A. Parker, United States District Court for the District of
New Mexico, sitting by designation
Hale also asserts that the government's actions violate the Privacy Act, 5 U.S.C.
552a. However, his brief contains no arguments to that effect. Accordingly,
we do not address the merits of this assertion. See Fed.R.App.P. 28(a)(5);
American Airlines v. Christensen, 967 F.2d 410, 415 n. 8 (10th Cir.1992)
In addition, Hale argues that the government's actions violate the Eighth and
Fourteenth Amendments to the Constitution. We find this assertion to be
without merit because the record contains no evidence that the government
withheld exculpatory information. Cf. United States v. Bagley, 473 U.S. 667,
678, 105 S.Ct. 3375, 3381, 87 L.Ed.2d 481 (1985) (where defendant makes a
specific Brady request, nondisclosure of evidence that could have been used to
impeach government witnesses constitutes constitutional error only if the
evidence is material such that its suppression might have affected the outcome
of the trial).
The term "Vaughn index" is derived from Vaughn v. Rosen, 484 F.2d 820
(D.C.Cir.1973), cert. denied, 415 U.S. 977, 94 S.Ct. 1564, 39 L.Ed.2d 873
(1974)
The court made an exception as to one document that had been withheld in its
entirety, which the government later elected to release
We note that because we affirm under a de novo standard of review, the result
would have been the same had we used the more restrictive clearly erroneous
standard
We note that Hale is already in possession of one of the documents that was
withheld pursuant to Exemptions 7(D) and 7(C)--namely, the FBI account of an
interview with a friend of Mayo Bates. Indeed, Hale attached a copy of this
document to his petition in the Oklahoma Court of Criminal Appeals. See R.,
Vol. I, Doc. 25. We need not decide whether the earlier disclosure of this
document destroys its confidential nature so as to require release
10