William J. Carter v. United States Department of Commerce

830 F.2d 388, 265 U.S. App. D.C. 240, 4 U.S.P.Q. 2d (BNA) 1454, 1987 U.S. App. LEXIS 13451
CourtCourt of Appeals for the D.C. Circuit
DecidedOctober 9, 1987
Docket86-5556
StatusPublished
Cited by191 cases

This text of 830 F.2d 388 (William J. Carter v. United States Department of Commerce) is published on Counsel Stack Legal Research, covering Court of Appeals for the D.C. Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
William J. Carter v. United States Department of Commerce, 830 F.2d 388, 265 U.S. App. D.C. 240, 4 U.S.P.Q. 2d (BNA) 1454, 1987 U.S. App. LEXIS 13451 (D.C. Cir. 1987).

Opinion

Opinion for the Court filed by Chief Judge WALD.

WALD, Chief Judge.

Appellant, William J. Carter, appeals from a summary judgment of the United States District Court for the District of Columbia that appellee, the United States Department of Commerce (agency) properly refused under Exemption 6 of the Freedom of Information Act (FOIA) to disclose portions of files containing records of dismissed Patent & Trademark Office (PTO) disciplinary investigations. 5 U.S.C. § 552(b)(6). We agree in the main with the District Court that disclosure of the redacted information would create a “clearly unwarranted” invasion of personal privacy; we conclude, as well, that the court did not abuse its discretion by failing to conduct in camera inspection of the documents.

I. Background

On December 6, 1984, appellant Carter requested by letter all documents concern *389 ing disciplinary proceedings undertaken since 1970 by the Patent and Trademark Office, an organizational unit of the Department of Commerce. Appellant pursued his administrative remedies but, dissatisfied with the pace at which the agency was processing his request, 1 he filed suit in the District Court. Carter v. Dep’t of Commerce, Civ.Action No. 85-0975, mem. op. (D.D.C. July 23, 1986), Joint Appendix (J.A.) at 124. On June 24, 1985, the District Court entered an order requiring the interim release of certain categories of documents and the filing of Vaughn indices for documents withheld. 2 In accordance with that order and in a timely fashion, the agency released some 15,000 pages of materials and four separate Vaughn indices. Carter, Civ.Action No. 85-0975, mem. op. at 2, J.A. at 125.

The agency withheld, in whole or in part, a number of documents identified in Vaughn Index IV 3 on the ground that disclosure would result in a clearly unwarranted invasion of personal privacy. 4 *The files at issue involved investigations of attorneys for misconduct charges, 5 which were ultimately dismissed. The District *390 Court held that such files were entitled to protection under Exemption 6, which allows the agency to withhold “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). 6

From each file the PTO withheld “[a]ll information leading to the identification of ... the subject of the disciplinary proceeding.” Vaughn Index IV at 5 (dated Sept. 9, 1985), J.A. at 18. The information withheld consists primarily of the names and addresses of the subjects of disciplinary proceedings, the names of their clients and business associates, information regarding patent applications handled by them and court cases involving them as parties or by name. Id. 7 The District Court found that the privacy interests identified by the agency clearly outweighed the public interest in disclosure of such information.7 8 Carter argued that at least some of these documents could be released in redacted form, but the District Court credited the agency's assertion that it had already given as much as possible without unduly risking disclosure of the identities of the investigation targets. Carter, Civ.Action No. 85-0975, mem. op. at 8, J.A. at 131.

The dispute centers on two questions: (1) whether the agency properly concluded that the information withheld would lead to the identification of the subjects of investigation and (2) whether the District Court could responsibly make a de novo determination to that effect without conducting an in camera inspection of the documents themselves.

II. The Identification Issue

Although Carter’s basic complaint is that not all the information redacted by the *391 agency would lead to the identification of the subjects investigated, he concedes the legitimacy of withholding the names and addresses of individuals investigated. 9 At oral argument, he also conceded the legitimacy of withholding abandoned or pending patent applications filed by them. 10 Carter’s argument that the agency still retains disclosable information refers to information regarding court cases involving the investigated individuals, to the names of their business associates and clients, and to the possibility of other information in the files not specifically mentioned in the Vaughn Index.

Withholding information to prevent speculative harm is indeed contrary to the statute’s policy favoring disclosure. Dep’t of the Air Force v. Rose, 425 U.S. 352, 380 n. 19, 96 S.Ct. 1592, 1608, 48 L.Ed.2d 11 (“The legislative history is clear that Exemption 6 was directed at threats to privacy more palpable than mere possibilities.”). Nonetheless, because court cases (and patents actually granted) are already in the public domain, release of certain portions of them, even with names redacted, could easily lead to the revelation of the documents in their entirety, including the identity of the attorneys involved. Therefore, disclosure of this information regarding court cases in response to a request for documents relating to disciplinary proceedings would likely identify these attorneys as easily as would the release of their addresses. And, as Carter concedes, information such as “names, addresses,” and other “personal identifying information” is properly withheld because it creates a palpable threat to privacy. See supra note 9; Rose, 425 U.S. at 380 n. 19, 96 S.Ct. at 1608 n. 19.

Furthermore, unlike the requester in Arieff v. Dep’t of the Navy, 712 F.2d 1462 (D.C.Cir.1983), 11 Carter has presented no evidence suggesting that the disclosure of the names of clients and business associates would not identify the subjects of the investigations themselves. 12 In the absence of any conflicting evidence, we give some credence to the agency’s familiarity with the patent bar in evaluating its determination that client and associate names would lead to identification of investigation targets; 13

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830 F.2d 388, 265 U.S. App. D.C. 240, 4 U.S.P.Q. 2d (BNA) 1454, 1987 U.S. App. LEXIS 13451, Counsel Stack Legal Research, https://law.counselstack.com/opinion/william-j-carter-v-united-states-department-of-commerce-cadc-1987.