National Labor Relations Board v. Sears, Roebuck & Co.

421 U.S. 132, 95 S. Ct. 1504, 44 L. Ed. 2d 29, 1975 U.S. LEXIS 14, 1 Media L. Rep. (BNA) 2471, 89 L.R.R.M. (BNA) 2001
Supreme Court of the United States·Decided April 28, 1975·No. 73-1233·Published·Cited by 2,104 cases

Opinion

Me. Justice White

delivered the opinion of the Court.

The National Labor Relations Board (the Board) and its General Counsel seek to set aside an order of the United States District Court directing disclosure to respondent, Sears, Roebuck & Co. (Sears), pursuant to *136 the Freedom of Information Act, 5 U. S. C. § 552 (Act), of certain memoranda, known as “Advice Memoranda” and “Appeals Memoranda,” and related documents generated by the Office of the General Counsel in the course of deciding whether or not to permit the filing with the Board of unfair labor practice complaints.

The Act’s background and its principal objectives are described in EPA v. Mink, 410 U. S. 73,79-80 (1973), and will not be repeated here. It is sufficient to note for present purposes that the Act seeks “to establish a general philosophy of full agency disclosure unless information is exempted under clearly delineated statutory language.” S. Rep. No. 813, 89th Cong., 1st Sess., 3 (1965) (hereinafter S. Rep. No. 813); EPA v. Mink, supra, at 80. As the Act is structured, virtually every document generated by an agency is available to the public in one form or another, unless it falls within one of the Act’s nine exemptions. Certain documents described in 5 U. S. C. § 552 (a)(1) such as “rules of procedure” must be published in the Federal Register; others, including “final opinions . . . made in the adjudication of cases,” “statements of policy and interpretations which have been adopted by the agency,” and “instructions to staff that affect a member of the public,” described in 5 U. S. C. § 552 (a)(2), 1 must be indexed and made available to a *137 member of the public on demand, H. R. Rep. No. 1497, 89th Cong., 2d Sess,, 8 (1966) (hereinafter H. R. Rep. No. 1497). Finally, and more comprehensively, all “identifiable records” must be made available to a member of the public on demand. 5 U. S. C. § 552 (a)(3). 2 The Act expressly states, however, that the disclosure obligation “does not apply” to those documents described in the nine enumerated exempt categories listed in § 552 (b). 3

Sears claims, and the courts below ruled, that the memoranda sought are expressions of legal and policy decisions already adopted by the agency and constitute “final opinions” and “instructions to staff that affect a member of the public,” both categories being expressly disclos *138 able under § 552 (a)(2) of the Act, pursuant to its purposes to prevent the creation of “secret law.” In any event, Sears claims, the memoranda are nonexempt “identifiable records” which must be disclosed under § 552 (a)(3). The General Counsel, on the other hand, claims that the memoranda sought here are not final opinions under § 552 (a) (2) and that even if they are “identifiable records” otherwise disclosable under §552 (a)(3), they are exempt under § 552 (b), principally as “intra-agency” communications under §552 (b)(5) (Exemption 5), made in the course of formulating agency decisions on legal and policy matters.

I

Crucial to the decision of this case is an understanding of the function of the documents in issue in the context of the administrative process which generated them. We deal with this matter first. Under § 1 et seq. of the National Labor Relations Act, as amended by the Labor Management Relations Act, 1947, 61 Stat. 136, 29 U. S. C. § 151 et seq., the process of adjudicating unfair labor practice cases begins with the filing by a private party of a “charge,”. §§ 3 (d) and 10 (b), 29 U. S. C. §§ 153 (d) and 160 (b); 29 CFR § 101.2 (1974); Auto Workers v. Scofield, 382 U. S. 205, 219 (1965); NLRB v. Indiana & Michigan Electric Co., 318 U. S. 9, 17-18 (1943). Although Congress has designated the Board as the principal body which adjudicates the unfair labor practice case based on such charge, 29 U. S. C. § 160, the Board may adjudicate only upon the filing of a “complaint” ; and Congress has delegated to the Office of General Counsel “on behalf of the Board” the unreviewable authority to determine whether a complaint shall be filed. 29 U. S. C. § 153 (d); Vaca v. Sipes, 386 U. S. 171, 182 (1967). In those cases in which he decides that a complaint shall issue, the General Counsel becomes an advo *139 cate before the Board in support of the complaint. In those cases in which he decides not to issue a complaint, no proceeding before the Board occurs at all. The practical effect of this administrative scheme is that a party believing himself the victim of an unfair labor practice can obtain neither adjudication nor remedy under the labor statute without first persuading the Office of General Counsel that his claim is sufficiently meritorious to warrant Board consideration.

In order to structure the considerable power which the administrative scheme gives him, the General Counsel has adopted certain procedures for processing unfair labor practice charges. Charges are filed in the first instance with one of the Board’s 31 Regional Directors, 4 to whom the General Counsel has delegated the initial power to decide whether or not to issue a complaint. 29 CFR §§ 101.8, 102.10. A member of the staff of the Regional Office then conducts an investigation of the charge, which may include interviewing witnesses and reviewing documents. 29 CFR § 101.4. If, on the basis of the investigation, the Regional Director believes the charge has merit, a settlement will be attempted, or a complaint issued.

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National Labor Relations Board v. Sears, Roebuck & Co., 421 U.S. 132, 95 S. Ct. 1504, 44 L. Ed. 2d 29, 1975 U.S. LEXIS 14, 1 Media L. Rep. (BNA) 2471, 89 L.R.R.M. (BNA) 2001 (1975).

421 U.S. 132 (National Labor Relations Board v. Sears, Roebuck & Co.) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

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