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
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,
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.
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
on the ground that disclosure would result in a clearly unwarranted invasion of personal privacy.
*The files at issue involved investigations of attorneys for misconduct charges,
which were ultimately dismissed. The District
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).
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.
The District Court found that the privacy interests identified by the agency clearly outweighed the public interest in disclosure of such information.7
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
agency would lead to the identification of the subjects investigated, he concedes the legitimacy of withholding the names and addresses of individuals investigated.
At oral argument, he also conceded the legitimacy of withholding abandoned or pending patent applications filed by them.
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),
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.
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;
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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
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,
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.
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
on the ground that disclosure would result in a clearly unwarranted invasion of personal privacy.
*The files at issue involved investigations of attorneys for misconduct charges,
which were ultimately dismissed. The District
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).
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.
The District Court found that the privacy interests identified by the agency clearly outweighed the public interest in disclosure of such information.7
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
agency would lead to the identification of the subjects investigated, he concedes the legitimacy of withholding the names and addresses of individuals investigated.
At oral argument, he also conceded the legitimacy of withholding abandoned or pending patent applications filed by them.
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),
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.
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;
therefore, we agree that the names of business associates and clients may be redacted since there is no evidence
contradicting the PTO’s reasonable determination that release of these names would identify patent attorneys who have been under investigation for alleged disciplinary violations.
Appellant Carter contends somewhat vaguely that segregable information not listed in the
Vaughn
indices has been withheld. No evidence in the record, however, indicates that any information not in the
Vaughn
index exists;
there is no indication of bad faith by the agency;
ipso facto
no basis for requiring further inquiry had been shown.
III.
In Camera
Inspection
In 1974, Congress amended the FOIA and gave federal district courts specific authority to conduct
in camera
inspections of agency files to ascertain whether they were being properly withheld under the statutory exemptions. The district court must “determine the matter de novo” and
“may
examine the contents of such agency records in camera____” 5 U.S.C. § 552(a)(4)(B) (emphasis added). We have previously concluded, however, that “Congress intended to impose no mandates upon the trial court, but instead leave the decision of whether to conduct
in camera
inspection to the broad discretion of the trial judge.”
Center for Auto Safety v. EPA,
731 F.2d 16, 20 (D.C.Cir.1984). “The ultimate criterion is simply this: Whether the district judge believes that
in camera
inspection is needed in order to make a responsible de novo determination on the claims of exemption.”
Ray v. Turner,
587 F.2d 1187, 1195 (D.C.Cir.1978);
see also Hayden v. National Security Agency/Central Security Service,
608 F.2d 1381, 1384 (D.C.Cir.1979),
cert. denied,
446 U.S. 937, 100 S.Ct. 2156, 64 L.Ed.2d 790 (1980).
Thus, the statutory duty to make a responsible de novo determination places limits on the District Court’s admittedly broad discretion as to
in camera
inspections.
See, e.g., Allen v. CIA,
636 F.2d 1287 (D.C.Cir.1980).
See also King v. Dep’t of Justice,
830 F.2d 210, 217 (D.C.Cir.1987) (“in all FOIA cases, the district courts are to review de novo all exemption claims advanced”). The Conference Report on the authorizing amendment explicitly states that “[wjhile
in camera
examinations need not be automatic, in many situations it [sic] will plainly be necessary and appropriate.” S.Rep. No. 1200, 93d Cong., 2d Sess. 9 (1974), U.S.Code Cong. & Admin.News 1974, p. 6267.
We have said that a district court should conduct
in camera
review of documents withheld under a FOIA exemption in two situations.
See King,
at 217 (summary judgment for agency inappropriate if either situation exists). First, if the affidavits submitted by the parties are conclusory — if the documents and justifications for withholding are not described in sufficient detail to demonstrate that the claimed exemption applies—
in camera
review may be necessary to allow meaningful de novo review.
Allen,
636 F.2d at 1298;
Hayden,
608 F.2d at 1387. The agency’s claims, in
its affidavits or
Vaughn
indices, must not merely recite the statutory standards.
Hayden,
608 F.2d at 1387 n. 28 (citing
Founding Church of Scientology v. National Security Agency,
610 F.2d 824, 836 (D.C.Cir.1979);
Goland v. CIA,
607 F.2d 339, 351 (D.C.Cir.1978),
cert. denied,
445 U.S. 927, 100 S.Ct. 1312, 63 L.Ed.2d 759 (1980);
Weissman v. CIA,
565 F.2d 692, 697-98 (D.C.Cir.1977)). As we said in
Allen,
“[w]here the agency affidavits merely parrot the language of the statute and are drawn in conclusory terms, the court’s responsibility to conduct
de novo
review is frustrated.” 636 F.2d at 1298.
Second, if there is evidence of agency bad faith — for example, if information contained in agency affidavits is contradicted by other evidence in the record — then,
in camera
inspection may be necessary to insure that agencies do not misuse the FOIA exemptions to conceal non-exempt information.
Id.
(“Where there is evidence of bad faith on the part of the agency____
[i]n camera
inspection is ‘plainly necessary____’ ”). Nonetheless, the mere allegation of bad faith does not undermine the sufficiency of agency submissions. There must be tangible evidence of bad faith; without it the court should not question the veracity of agency submissions.
Hayden,
608 F.2d at 1387 (citing
Ray v. Turner,
587 F.2d at 1195).
This court has also recognized other situations which may support a district court’s use of
in camera
inspection in a given case. For example, when the requested documents “are few in number and of short length,”
in camera
review may save time and money.
Allen,
636 F.2d at 1298. On the other hand, when examination of the requested documents would require “herculean labors because of their volume,”
id.,
courts may legitimately be reluctaut to conduct
in camera
inspection.
Another important consideration in guiding a court’s discretion involves the nature of the dispute over the withheld documents. When the dispute turns on the actual contents of the documents,
in camera
inspection is likely to be helpful.
Id.
However,
in camera
review is of little help when the dispute centers not on the information contained in the documents but on the parties’ differing interpretations as to whether the exemption applies to such information.
Id.
at 1298-99 (discussing other considerations as well).
In this case, the assertions of privilege were not conclusory; the agency adequately described the nature of the information withheld, and the reasons for withholding it as “identifying information.” Paragraph 11 of the
Vaughn
Index clearly explains the application of Exemption 6 to this information. Furthermore, there is no evidence of bad faith on the part of the agency. Carter’s allegations of untoward delay are unconvincing; on December 6, 1984, Carter mailed his request, the agency responded by January 4, 1985, and less than three months later, Carter filed suit.
See supra
note 1. Less than a year after Carter’s initial request, in accordance with a court-ordered production schedule, the agency turned over 12,853 pages of responsive documents.
See supra
note 15.
See also Commonwealth of Pennsylvania Dep’t of Public Welfare v. HHS,
623 F.Supp. 301, 308 (M.D.Pa.1985) (assertions of bad faith, made to justify
in camera
review, less persuasive where the agency has released many documents). In sum, there is no reason — conclusory assertions of privilege or evidence of bad faith — to require any general
in camera
inspection of the documents in this case.
Appellant also makes a more particularized claim that the rationales for withholding under paragraphs 12 and 48 of the
Vaughn
Index are so infirm as to make
in camera
review necessary. In paragraph 12, the agency uses the paragraph 11 “identifying” rationale to justify withholding a “charge and related papers” in their entirely.
Vaughn
Index IV at 5-6, J.A. at 18-19. Paragraph 48 withholds the charges against the subject and his answers, in a pending proceeding, but perplexingly reveals the name of the person under investigation.
Id.
at 14-15, J.A. at 27-28. While there may well be a plausible justification for such withholdings,
the agency has not so far provided an adequate explanation of its decision to withhold these charges and related papers in their entirety when in every other paragraph relying on the “identifying” rationale it merely redacted certain information from the charges.
See King,
at 224 (describing requirements for an adequate
Vaughn
Index). Given this inconsistency, we remand for a more complete explanation of the rationale for the Exemption 6 withholding of entire charges and related documents under paragraphs 12 and 48.
Conclusion
Even Carter does not dispute the indisputable proposition that disclosure of information identifying a particular attorney as the subject of a dismissed disciplinary proceeding under 35 U.S.C. § 32 would violate substantial privacy interests of the attorney. The District Court properly held that such an invasion of privacy would clearly outweigh any generalized public interest
in insuring fair and efficient government.
See Stern v. FBI,
737 F.2d 84, 92 (D.C.Cir.1984) (Exemption 7(C) case).
See, e.g., Rose,
425 U.S. at 377, 96 S.Ct. at 1606-07 (“identification of disciplined cadets ... could expose formerly accused men to lifelong embarrassment, perhaps disgrace, as well as practical disabilities, such as loss of employment or friends”). With the exceptions noted above, the District Court was also correct in approving the agency’s withholding of the names of targets, clients, associates, patent applications and the court cases as potential identifiers of the
attorneys involved. The District Court did
not
abuse its discretion in failing to inspect the documents
in camera
before making its rulings.
Affirmed in part and remanded in part.