In Re United States Department of Homeland Security

459 F.3d 565, 2006 U.S. App. LEXIS 19603, 2006 WL 2147556
CourtCourt of Appeals for the Fifth Circuit
DecidedAugust 2, 2006
Docket06-20330
StatusPublished
Cited by38 cases

This text of 459 F.3d 565 (In Re United States Department of Homeland Security) is published on Counsel Stack Legal Research, covering Court of Appeals for the Fifth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
In Re United States Department of Homeland Security, 459 F.3d 565, 2006 U.S. App. LEXIS 19603, 2006 WL 2147556 (5th Cir. 2006).

Opinions

BENAVIDES, Circuit Judge:

The United States Department of Homeland Security (“Petitioner”) petitions this Court to issue a writ of mandamus to correct a discovery order by the United States District Court for the Southern District of Texas, Houston Division. Petitioner claims the district court erred by compelling disclosure of documents protected by the law enforcement privilege. We conclude that the district court erred in declaring that no law enforcement privilege exists (beyond protecting confidential informant identity). We remand the case to the district court for an in camera review of the documents. Confident that the district court will conduct its review in accordance with this opinion, we dismiss the petition without prejudice to the rights of the parties to seek additional relief following the review.

/. BACKGROUND

Surety National Casualty Corporation, a surety company, and AAA Bonding Agency, Inc., its bonding agent (collectively “Respondents”), underwrite bonds posted by aliens to enable them to secure release from Petitioner’s custody pending removal. See generally 8 C.F.R. 103.6. Petitioner found that Respondents had breached their obligations on more than 1400 immigration bonds, totaling more than nine million dollars in cumulative bond debt. The vast majority of Respondents’ administrative appeals were denied.

Respondents brought suit seeking a judicial order estopping Petitioner from collecting bonds because of Petitioner’s alleged “affirmative misconduct.” Petitioner filed a counterclaim for the outstanding bond debt. To facilitate settlement of the debt dispute, the parties agreed to a framework for alternative dispute resolution (“ADR”). As part of ADR, the parties agreed to review fifty of the bond breach determinations with twenty-five selected by each side. Petitioner also agreed to produce each respective alien’s file for those fifty determinations being reviewed. According to the ADR agreement, the production requirement was “exclusive of any privileged or otherwise protected documents, which will be set forth on a privilege log for further review by the Court, if necessary.” Petitioner produced nearly 4000 pages of documents but withheld approximately 2000 pages, claiming that they were privileged.

Respondents moved to compel production of the withheld documents. The dis[568]*568trict court did not review the disputed documents, yet granted the motion to compel. Significantly, the court found no support for the law enforcement privilege in this Circuit. Petitioner filed an emergency petition for writ of mandamus and an emergency motion to stay the district court’s order pending disposition of the petition. This Court has granted the stay.

II. STANDARD OF REVIEW

“The remedy of mandamus is a drastic one, to be invoked only in extraordinary situations.” Kerr v. U.S. Dist. Ct. for N. Dist. of Cal., 426 U.S. 394, 402, 96 S.Ct. 2119, 48 L.Ed.2d 725 (1976). One area where this Court has granted mandamus relief is in the context of privileged documents. See In re Avantel, S.A, 343 F.3d 311, 317 (5th Cir.2003). Mandamus is appropriate if the district court errs in ordering the discovery of privileged documents, as such an order would not be reviewable on appeal. Id.; see also In re Burlington N, 822 F.2d 518, 522 (5th Cir.1987) (“[C]ases have recognized the importance of the asserted privilege and the absence of an adequate alternative method of obtaining review.”). Courts have considered the seriousness and novelty of the privilege issue, and “[r]espected commentators have ... noted that the difficulty of obtaining effective review of discovery orders, the serious injury that sometimes results from such orders, and the often recurring nature of discovery issues support use of mandamus in exceptional cases.” In re Burlington N., 822 F.2d at 522.

III. DISCUSSION

Petitioner contends that the documents at issue fall within the scope of the law enforcement privilege. These documents allegedly are used by Petitioner in enforcing immigration and nationality laws, detecting violations of these laws, and referring such violations for prosecution. In support of its contention, Petitioner offered the declaration of John P. Clark, the Deputy Assistant Secretary of U.S. Immigration and Customs Enforcement, a bureau within the Department of Homeland Security. Clark, in that declaration, states that the documents contain information about ongoing criminal investigations — including investigative leads, law enforcement methods and techniques, internal investigative memoranda, and identifying information relating to witnesses and law enforcement personnel, including undercover operatives. Petitioner argues that these concerns “go to the heart of the law enforcement privilege.”

A. The Fifth Circuit’s Application of the Law Enforcement Privilege

The district court found no precedent supporting a law enforcement privilege and therefore refused to apply the privilege to any portion of Petitioner’s documents. Petitioner disputes that no such privilege exists in this Circuit. Petitioner relies on two Fifth Circuit cases to support its contention: Brown v. Thompson, 430 F.2d 1214 (5th Cir.1970), and Swanner v. United States, 406 F.2d 716 (5th Cir.1969).

In Brown, this Court reviewed the dismissal of a wrongful death action in which the plaintiffs sought discovery of police reports. The district court “declined to require the production of files ... on the ground that the contents were privileged and that the files concerned parts of a homicide investigation which was then still open, the contents of which were highly confidential.” Brown, 430 F.2d at 1215. Upon review, this Court stated that such “[gjovernment documents are the outstanding example of matter which is privileged and which is not subject to disclosure. It will expire upon the lapse of an [569]*569unreasonable length of time. Whether there should be disclosure is within the discretion of the trial court....” Id.

In Swanner, this Court addressed whether the district court had “erred in failing to require production of certain investigative files, principally for the purpose of supplying plaintiffs with the identity of two people who were under suspicion in connection with the [underlying crime].” Swanner, 406 F.2d at 718. The Swanner Court stated that “pendency of a criminal investigation is a reason for denying discovery of investigative reports [, although it] would not apply indefinitely.... ” Id. at 719. Although concluding that the district court had not abused its discretion, this Court reversed and remanded the case for a new trial in “the interests of justice.” Id.

This Circuit also has recognized the law enforcement privilege more recently. In Coughlin v. Lee,

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459 F.3d 565, 2006 U.S. App. LEXIS 19603, 2006 WL 2147556, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-re-united-states-department-of-homeland-security-ca5-2006.