William F. Schell v. United States Department of Health & Human Services, Defendants

843 F.2d 933, 1988 U.S. App. LEXIS 10239, 1988 WL 28764
CourtCourt of Appeals for the Sixth Circuit
DecidedApril 1, 1988
Docket86-2146
StatusPublished
Cited by54 cases

This text of 843 F.2d 933 (William F. Schell v. United States Department of Health & Human Services, Defendants) is published on Counsel Stack Legal Research, covering Court of Appeals for the Sixth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

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William F. Schell v. United States Department of Health & Human Services, Defendants, 843 F.2d 933, 1988 U.S. App. LEXIS 10239, 1988 WL 28764 (6th Cir. 1988).

Opinion

BOGGS, Circuit Judge.

William F. Schell appeals the district court’s decision denying his request under the Freedom of Information Act, 5 U.S.C. § 552 (1982), for disclosure of a memorandum prepared by the administrative law *935 judges in the Lansing, Michigan field office of the Office of Hearings and Appeals, Social Security Administration. We affirm.

I

The essential facts are largely undisputed. Schell is an attorney-advisor with the Lansing, Michigan field office of the Office of Hearings and Appeals (OHA), Social Security Administration. His duties include providing legal advice and professional assistance, including legal research and writing, to the administrative law judges in the Lansing office and in the Chicago region.

In 1985, the OHA instituted a nationwide program called “Pursuing Excellence through Participation” (PEP), which was designed to “increase employee involvement in setting the agency’s goals for the coming year.” The program invited employees to develop and implement a “participatory planning process” within the OHA to increase their involvement in agency de-cisionmaking. The PEP manual described the planning process as follows:

The first essential element is developing your unit’s mission statement, which describes your unit’s reason for existence and includes the nature and scope of work to be performed. The next step in planning is identifying goals, which contribute to the accomplishment of your unit’s mission. Hand-in-hand with identifying goals is the need to develop action steps for accomplishing those goals. Once the plan has been implemented, a progress assessment phase begins that measures progress made at prescheduled intervals toward achieving your goals. The final phase of the planning process asks you to identify possible solutions to problems, which impact on your unit but over which you have no control.

Robert Hull, an AU in the Lansing office, called a meeting to notify the employees about the program. He indicated that the AUs in the office had decided not to participate, but others would be afforded an opportunity to do so.

Several employees decided to participate in the PEP program. This group was composed of two attorney-advisors, two hearing analysts, and the supervisory attorney-advisor for the field office. At the first meeting in March 1985, Schell was elected the leader of the group. It met over the next few months to develop a PEP plan, which Schell presented to Judge Hull.

In Initiative “s” of their plan, the PEP group recommended that government representatives be assigned permanently in all OHA offices “to insure that the Administration guidelines are followed [and] cases are more correctly decided.” This was necessary, according to the group, because the “AU’s [sic] run roughshod, unchecked over claimants and Administration, making decisions which ignore established regulations & rulings & the facts of the particular cases.” In assessing the value of this initiative, the group stated: “Great Monetary savings for the Administration in that the current ‘liberal’ outlook of current AU corps in paying benefits to those not deserving would be tempered. In the same vein, more correct decisions would bring greater trust in the Administration (Gov’t) from the public.”

Schell alleges that Judge Hull improperly routed the PEP recommendations to the AUs in the Lansing office. As a result, he contends, some of the AUs stopped speaking to him and “refused to provide work to members of the group” for most of May and June 1985.

Shortly thereafter, Schell received a visit from Norman Wallace, Regional Deputy Management Officer of the OHA, concerning the group’s recommendations. Wallace told Schell that the AUs were “furious” about Initiative “s” and had written a response. The AU memorandum disagreed (to put it mildly) with the Schell group, gave reasons opposing the suggested policy changes, and made recommendations as to the procedures that should be followed by the Lansing office. The memorandum was addressed to the Associate Commissioner of the OHA; copies were sent to the Chief Administrative Law Judge and the Regional Chief Administrative Law Judge.

Wallace denied Schell’s request for the memorandum, but suggested he could gain *936 access to it under the Freedom of Information Act (FOIA). In order to “defuse the situation,” Wallace asked the group to consider modifying the language of Initiative “s,” which they did. He assured Schell that no member of the group would be disciplined for the PEP recommendations. 1

On June 5, 1985, Schell filed a FOIA request with the agency. John Percy, FOIA officer for the Social Security Administration, denied the request pursuant to Exemption 5, which exempts from disclosure “inter-agency or intra-agency memorandums or letters which would not be available by law to a party other than the agency in litigation with the agency.” 5 U.S.C. § 552(b)(5) (1982). In his letter, he said: “Release of this material would be harmful to the quality of the decision-making process of the agency as it may have a chilling effect on frank and open discussion among agency personnel in formulating a position or policy.” On appeal, Louis D. Enoff, Acting Deputy Commissioner for Programs and Policy, OHA, upheld Percy’s decision to deny Schell's FOIA request. Enoff cited Exemption 5 and Exemption 6 in support of his decision. Exemption 6 exempts from disclosure “personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.” 5 U.S.C. § 552(b)(6) (1982).

After exhausting his administrative remedies, Schell filed the instant action. The district court granted summary judgment for the agency, relying exclusively on Exemption 6. Instead of reviewing the four-page memorandum in camera, the court relied on the affidavit submitted by FOIA officer Percy, which read in pertinent part:

The memorandum was written in response to certain allegations made by the attorney-advisors and hearing analysts in the Lansing, Michigan office of OHA to the Regional Chief Administrative Law Judge about the signatory administrative law judges. The memorandum is devoid of factual matter but rather expresses the thoughts, opinions, and attitudes of the writers, concluding with a recommendation that certain action be taken. The writers freely and frankly discuss perceived problems and potential problems of interpersonal relations in the Lansing, Michigan office of OHA and suggest alternative courses of action to alleviate these perceived problems and potential problems.
To my knowledge, no action has been taken by OHA management in response to the subject memorandum. I believe that disclosure of the memorandum would stifle open communication between administrative law judges in field offices and national (and regional) management concerning the broad range of personnel matters.

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843 F.2d 933, 1988 U.S. App. LEXIS 10239, 1988 WL 28764, Counsel Stack Legal Research, https://law.counselstack.com/opinion/william-f-schell-v-united-states-department-of-health-human-services-ca6-1988.