Berard v. Federal Bureau of Prisons

81,7('67$7(6',675,&7&2857
)257+(',675,&72)&2/80%,$

'(11,6%(5$5'
3ODLQWLII
&LYLO$FWLRQ1R&..
Y 

)('(5$/%85($82)35,6216
'HIHQGDQW.

0(025$1'8023,1,21
-XO\

3ODLQWLII 'HQQLV %HUDUG ³%HUDUG´ RU ³3ODLQWLII´ SURFHHGLQJ pro se ILOHG VXLW DJDLQVW
'HIHQGDQWWKH)HGHUDO%XUHDXRI3ULVRQV³%23´RU³'HIHQGDQW´VHHNLQJLQMXQFWLYHUHOLHIXQGHU
WKH )UHHGRP RI ,QIRUPDWLRQ $FW ³)2,$´  86& †   3UHVHQWO\ EHIRUH WKH &RXUW LV
'HIHQGDQW¶V>@0RWLRQIRU6XPPDU\-XGJPHQW
8SRQFRQVLGHUDWLRQRIWKHSOHDGLQJVLQFOXGLQJ'HIHQGDQW¶Vin cameraVXEPLVVLRQRIWKH
UHFRUGDWLVVXHDVZHOODVDOODSSOLFDEOHFDVHODZVWDWXWRU\DXWKRULW\DQGWKHUHFRUGRIWKHFDVHDV
DZKROHWKH&RXUWILQGVWKDW%23SHUIRUPHGDQDGHTXDWHVHDUFKIRUWKHVLQJOHGRFXPHQWUHTXHVWHG
E\ %HUDUG DQG WKDW %23 SURSHUO\ ZLWKKHOG UHVSRQVLYH LQIRUPDWLRQ SXUVXDQW WR WKH )2,$
H[HPSWLRQVGHILQHGLQ86&†E&E'%(DQGE)+RZHYHUWKH
&RXUWDOVRILQGVWKDW%23IDLOHGWRSURSHUO\VHJUHJDWHDQGXQUHGDFWQRQH[HPSWPDWHULDOLQWKH
UHGDFWHGGRFXPHQWWKDWZDVUHOHDVHGWR%HUDUG$FFRUGLQJO\'HIHQGDQW¶V0RWLRQIRU6XPPDU\
-XGJPHQWLV'(1,(',13$57DQG*5$17(',13$57


3ODLQWLII¶V&RPSODLQW(&)1R>@'HIHQGDQW¶V0RWLRQIRU6XPPDU\-XGJPHQW³'HI¶V0RW´
(&)1R>@3ODLQWLII¶V2SS¶QWR'HIHQGDQW¶V0RWLRQIRU6XPPDU\-XGJPHQW(&)1R>@
'HIHQGDQW¶V5HSO\LQ6XSSRUWRI'HIHQGDQW¶V0RWLRQIRU6XPPDU\-XGJPHQW(&)1R>@

,QDGGLWLRQWKH&RXUWUHYLHZHGWKHGRFXPHQWDWLVVXHex parteDQGin camera
6SHFLILFDOO\WKH&RXUWILQGVWKDW%23SHUIRUPHGDUHDVRQDEOHVHDUFKORFDWHGWKHUHTXHVWHG
GRFXPHQWDQGSURGXFHGWKHUHTXHVWHGGRFXPHQWWR3ODLQWLIILQUHGDFWHGIRUP$GGLWLRQDOO\DV
H[SODLQHG EHORZ WKH &RXUW ILQGV WKDW %23 SURSHUO\ ZLWKKHOG LQIRUPDWLRQ SXUVXDQW WR )2,$
([HPSWLRQV')&DQG(KRZHYHUWKH&RXUWDOVRILQGVWKDW%23IDLOHGWRUHOHDVH
VHJUHJDEOHPDWHULDOWKDWVKRXOGKDYHEHHQGLVFORVHG$FFRUGLQJO\WKH&RXUWVKDOOUHTXLUH%23WR
VHJUHJDWHDQGXQUHGDFWDOOQRQH[HPSWLQIRUPDWLRQLQWKHUHFRUGDWLVVXHDQGUHOHDVHWKHUHFRUGWR
%HUDUGZLWKPRGLILHGUHGDFWLRQVLQDFFRUGDQFHZLWKWKLV0HPRUDQGXP2SLQLRQ7RDVVLVW%23
LQ WKRVH HIIRUWV WKH &RXUW LV ILOLQJ IRU %23¶V ex parte UHYLHZ DV D VHDOHG DWWDFKPHQW WR WKLV
0HPRUDQGXP2SLQLRQWKHUHFRUGDWLVVXHFRQWDLQLQJVXJJHVWHGUHGDFWLRQVWKDWWKH&RXUWGHHPV
DSSURSULDWH,IWKH&RXUWKDVQRWUHFHLYHGDQ\REMHFWLRQVIURP%23ZLWKLQVHYHQEXVLQHVVGD\V²
E\$XJXVW²WKHQWKHDWWDFKHGYHUVLRQVKDOOEHXQVHDOHGDQGDFRS\VKDOOEHPDLOHGWR
3ODLQWLII,I%23GRHVILOHDQREMHFWLRQZLWKLQWKHVSHFLILHGWLPHSHULRGWKHQ%23¶VILOLQJVKRXOG
FOHDUO\VHWIRUZDUGWKHEDVLVRIWKHREMHFWLRQDQGVKRXOGDWWDFK%23¶VSURSRVHGPRGLILFDWLRQVRI
WKHUHFRUGWREHUHOHDVHGWR%HUDUG
,%$&.*5281'
,Q0DUFK%HUDUGVXEPLWWHGD)2,$UHTXHVWZLWKWKH%23VHHNLQJDVLQJOHGRFXPHQW
ZKLFK %HUDUG GHVFULEHG DV ³>W@KH µFRQILGHQWLDO LQIRUPDQW¶ UHSRUW UHIHUHQFHG LQ WKH'LVFLSOLQDU\
+HDULQJ2IILFHU¶V5HSRUWSHUWDLQLQJWRWKHLQFLGHQWUHSRUWQXPEHUWRZKLFK,DPWKH
GLVFLSOLQHGSDUW\´3O¶V5HTXHVW/HWWHU([KLELW$WR'HFODUDWLRQRI'RQQD-RKQVRQ(&)1R>
@ DW   3ODLQWLII¶V 5HTXHVW LQFOXGHG DQ DQQH[HG FRS\ RI WKH 'LVFLSOLQDU\ +HDULQJ 2IILFHU¶V
³'+2´5HSRUWIRUFODULW\See id.see also'+25HSRUW$WWDFKPHQW$WR3O¶V&RPSODLQW(&)
1R>@%HUDUG¶V5HTXHVWZDVLGHQWLILHGDV)2,$1RSee([KLELW%WR'HFODUDWLRQ
RI'RQQD-RKQVRQ(&)1R>@

%23SHUIRUPHGDVHDUFKIRUWKHGRFXPHQWUHTXHVWHGE\3ODLQWLIIDQGRQ-XQH
%23UHOHDVHGWR%HUDUGDILYHSDJHGRFXPHQWWZRRIWKHSDJHVZHUHUHOHDVHGZLWKUHGDFWLRQVDQG
WKUHHSDJHVZHUHZLWKKHOGLQIXOOSee([KLELWV'DQG(WR'HFODUDWLRQRI'RQQD-RKQVRQ(&)
1R>@%HUDUGVXEVHTXHQWO\ILOHGDQDGPLQLVWUDWLRQDSSHDOIURPWKH%23DFWLRQRQWKH)2,$
5HTXHVW FRQWHQGLQJ WKDW WKH GRFXPHQW SURYLGHG WR %HUDUG ZDV QRW WKH FRQILGHQWLDO LQIRUPDQW
UHSRUWWKDWKHKDGUHTXHVWHGSee([KLELW%WR'HFODUDWLRQRI'RQQD-RKQVRQ(&)1R>@
+RZHYHU%HUDUGILOHGWKHLQVWDQWDFWLRQEHIRUHWKHDSSHDOZDVFRQVLGHUHGDQGWKHDSSHDOZDV
WKHUHIRUHFORVHGSee([KLELW&WR'HFODUDWLRQRI'RQQD-RKQVRQ(&)1R>@
%HUDUG¶V &RPSODLQW DOOHJHV WKDW %23 ZURQJIXOO\ ZLWKKHOG WKH UHTXHVWHG UHFRUG IURP
3ODLQWLIIDQGUHTXHVWVWKDWWKLV&RXUWRUGHU'HIHQGDQWWRLPPHGLDWHO\SURFHVVWKHUHTXHVWHGUHFRUG
LQLWVHQWLUHW\See 3O¶V&RPSODLQW(&)1R>@DW
%23GLVSXWHVWKDWWKHUHTXHVWHGUHFRUGZDVZURQJIXOO\ZLWKKHOGDQGKDVILOHGD0RWLRQ
IRU6XPPDU\-XGJPHQWUHTXHVWLQJWKDW%HUDUG¶VFDVHEHGLVPLVVHGZLWKSUHMXGLFH%23FRQWHQGV
WKDWWKHVHDUFKIRUWKHUHFRUGZDVDGHTXDWHWKH)2,$SURFHVVLQJZDVSURSHUDQGWKHZLWKKROGLQJ
RILQIRUPDWLRQZDVLQDFFRUGDQFHZLWKDSSOLFDEOH)2,$H[HPSWLRQVSee'HI¶V0HP(&)1R
>@DW
%HUDUGLQUHVSRQVHFRQWHQGVWKDWWKHILYHSDJHVRIWKHUHVSRQVLYHUHFRUGSURGXFHGE\%23
DUH QRW WKH ³FRQILGHQWLDO LQIRUPDQW UHSRUW´ UHTXHVWHG E\ %HUDUG DQG WKDW %23 LPSURSHUO\


%HUDUGILOHGERWKDQ2SSRVLWLRQWR%23¶V0RWLRQIRU6XPPDU\-XGJPHQWsee(&)1R>@
DQGDVHOIGHFODUHG³0RWLRQWR7DNH-XGLFLDO1RWLFH´see(&)1R>@,QKLV³0RWLRQWR
7DNH-XGLFLDO1RWLFH´%HUDUGFLWLQJ)HGHUDO5XOHRI(YLGHQFHUHTXHVWHGWKDWWKH&RXUWWDNH
³MXGLFLDOQRWLFH´RIWKHIROORZLQJ³DGMXGLFDWLYHIDFW´

7KDWWKHILYHSDJHVRIUHVSRQVLYHUHFRUGVDUHQRWSURWHFWHGXQGHU)2,$
([HPSWLRQE'ZKLFKH[HPSWVIURPGLVFORVXUHµLQIRUPDWLRQIXUQLVKHGE\D
FRQILGHQWLDOVRXUFH¶EHFDXVHWKH\DUHQRWWKHFRQILGHQWLDOLQIRUPDWLRQVLFUHSRUW

UHGDFWHGDQGZLWKKHOGXQSURWHFWHGVHJUHJDEOHLQIRUPDWLRQSee3O¶V2SS¶Q(&)1R>@DW
$IWHUWKHSDUWLHVILQLVKHGEULHILQJWKH&RXUWJUDQWHGDQXQRSSRVHGUHTXHVWE\3ODLQWLIIWKDW
WKH&RXUWUHYLHZin cameraWKHXQUHGDFWHGYHUVLRQRIWKHGRFXPHQWSURGXFHGE\%23WR3ODLQWLII
See2UGHU-XQH(&)1R>@7KH&RXUWKDVQRZFRPSOHWHGLWVin cameraUHYLHZRI
WKHXQUHGDFWHGYHUVLRQRIWKHGRFXPHQWSURGXFHGE\3ODLQWLII$FFRUGLQJO\'HIHQGDQW¶V0RWLRQ
IRU6XPPDU\-XGJPHQWLVQRZULSHIRUUHVROXWLRQ
,,/(*$/67$1'$5'
 &RQJUHVVHQDFWHG)2,$WR³SLHUFHWKHYHLORIDGPLQLVWUDWLYHVHFUHF\DQGWRRSHQDJHQF\
DFWLRQWRWKHOLJKWRISXEOLFVFUXWLQ\´Dep't of the Air Force v. Rose,86
FLWDWLRQRPLWWHG&RQJUHVVUHPDLQHGVHQVLWLYHWRWKHQHHGWRDFKLHYHEDODQFHEHWZHHQWKHVH
REMHFWLYHVDQGWKHSRWHQWLDOWKDW³OHJLWLPDWHJRYHUQPHQWDODQGSULYDWHLQWHUHVWVFRXOGEHKDUPHG

GHULYHGIURPDFRQILGHQWLDOVRXUFH

3O¶V0RWWR7DNH-XGLFLDO1RWLFH(&)1R>@DW

7KH&RXUWVKDOO'(1<%HUDUG¶V0RWLRQWR7DNH-XGLFLDO1RWLFH%HUDUG¶VPRWLRQLVHVVHQWLDOO\
DUHTXHVWWKDWWKH&RXUWWUHDWDVXQGLVSXWHGIDFW3ODLQWLII¶VXQVXSSRUWHGDVVHUWLRQWKDWWKH
GRFXPHQWSURGXFHGE\%23LVQRWWKHFRQILGHQWLDOLQIRUPDQWUHSRUWUHIHUHQFHGLQWKH'+2
5HSRUW)HGHUDO5XOHRI(YLGHQFHSODLQO\SURYLGHVQRJURXQGVIRUWKH&RXUWWRWDNHMXGLFLDO
QRWLFHRIVXFKDSXUSRUWHGIDFWSee)HG5(YLGSURYLGLQJWKDWDFRXUWPD\RQO\WDNH
MXGLFLDOQRWLFHRIDIDFW³WKDWLVQRWVXEMHFWWRUHDVRQDEOHGLVSXWH´7KH&RXUWKRZHYHUVKDOO
FRQVLGHU3ODLQWLII¶VSRVLWLRQDVDQargumentWKDWWKHGRFXPHQWSURGXFHGE\%23WR3ODLQWLIILV
QRWLQIDFWDUHGDFWHGYHUVLRQRIWKHFRQILGHQWLDOLQIRUPDQWUHSRUWUHTXHVWHGE\3ODLQWLII7KH
&RXUWVKDOODGGUHVVKLVDUJXPHQWLQWKH'LVFXVVLRQVHFWLRQRIWKLV0HPRUDQGXP2SLQLRQ


%HUDUGDOVRFRQWHQGVinter aliaWKDW%23GLGQRWPDNHDGHWHUPLQDWLRQWRUHOHDVHRUZLWKKROG
UHVSRQVLYHUHFRUGVXQWLODIWHU3ODLQWLIIILOHGVXLWSee3O¶V2SS¶Q(&)1R>@DW+RZHYHU
WKHUHFRUGHYLGHQFHLQGLFDWHVWKDW%23SHUIRUPHGDVHDUFKIRUWKHUHTXHVWHGGRFXPHQWDQG
UHOHDVHGDUHGDFWHGYHUVLRQRIWKHGRFXPHQWVRXJKWE\%HUDUGRQRUEHIRUH-XQH²ZKLFK
ZDVSULRUWRWKHILOLQJRI%HUDUG¶V&RPSODLQWRQ-XQHSee([KLELW'WR'HFODUDWLRQRI
'RQQD-RKQVRQ(&)1R>@

E\UHOHDVHRIFHUWDLQW\SHVRILQIRUPDWLRQ´FBI v. Abramson,867RWKDW
HQG)2,$³UHTXLUHVIHGHUDODJHQFLHVWRPDNH*RYHUQPHQWUHFRUGVDYDLODEOHWRWKHSXEOLF
VXEMHFWWRQLQHH[HPSWLRQVIRUVSHFLILFFDWHJRULHVRIPDWHULDO´Milner v. Dep't of Navy,
868OWLPDWHO\³GLVFORVXUHQRWVHFUHF\LVWKHGRPLQDQWREMHFWLYHRIWKH$FW´
Dep’t of Air Force v. Rose,86)RUWKLVUHDVRQWKH³H[HPSWLRQVDUH
H[SOLFLWO\PDGHH[FOXVLYHDQGPXVWEHQDUURZO\FRQVWUXHG´Milner,86DWFLWDWLRQV
RPLWWHG
 :KHQSUHVHQWHGZLWKDPRWLRQIRUVXPPDU\MXGJPHQWLQWKLVFRQWH[WWKHGLVWULFWFRXUW
PXVWFRQGXFWD³GHQRYR´UHYLHZRIWKHUHFRUGZKLFKUHTXLUHVWKHFRXUWWR³DVFHUWDLQZKHWKHU
WKHDJHQF\KDVVXVWDLQHGLWVEXUGHQRIGHPRQVWUDWLQJWKHGRFXPHQWVUHTXHVWHGDUHH[HPSW
IURPGLVFORVXUHXQGHUWKH)2,$´Multi Ag. Media LLC v. Dep't of Agriculture,)G
'&&LUFLWDWLRQRPLWWHG7KHEXUGHQLVRQWKHDJHQF\WRMXVWLI\LWVUHVSRQVHWR
WKHSODLQWLII¶VUHTXHVW86&†D%³$QDJHQF\PD\VXVWDLQLWVEXUGHQE\PHDQVRI
DIILGDYLWVEXWRQO\LIWKH\FRQWDLQUHDVRQDEOHVSHFLILFLW\RIGHWDLOUDWKHUWKDQPHUHO\FRQFOXVRU\
VWDWHPHQWVDQGLIWKH\DUHQRWFDOOHGLQWRTXHVWLRQE\FRQWUDGLFWRU\HYLGHQFHLQWKHUHFRUGRUE\
HYLGHQFHRIDJHQF\EDGIDLWK´Multi Ag. Media,)GDWFLWDWLRQRPLWWHG³,IDQ
DJHQF\¶VDIILGDYLWGHVFULEHVWKHMXVWLILFDWLRQVIRUZLWKKROGLQJWKHLQIRUPDWLRQZLWKVSHFLILF
GHWDLOGHPRQVWUDWHVWKDWWKHLQIRUPDWLRQZLWKKHOGORJLFDOO\IDOOVZLWKLQWKHFODLPHGH[HPSWLRQ
DQGLVQRWFRQWUDGLFWHGE\FRQWUDU\HYLGHQFHLQWKHUHFRUGRUE\HYLGHQFHRIWKHDJHQF\¶VEDG
IDLWKWKHQVXPPDU\MXGJPHQWLVZDUUDQWHGRQWKHEDVLVRIWKHDIILGDYLWDORQH´Am. Civil
Liberties Union v. U.S. Dep't of Defense,)G'&&LUFLWDWLRQVRPLWWHG
³8QFRQWUDGLFWHGSODXVLEOHDIILGDYLWVVKRZLQJUHDVRQDEOHVSHFLILFLW\DQGDORJLFDOUHODWLRQWRWKH
H[HPSWLRQDUHOLNHO\WRSUHYDLO´Ancient Coin Collectors Guild v. U.S. Dep't of State,)G

'&&LUFLWDWLRQRPLWWHG6XPPDU\MXGJPHQWLVSURSHUZKHQWKHSOHDGLQJV
WKHGLVFRYHU\PDWHULDOVRQILOHDQGDQ\DIILGDYLWVRUGHFODUDWLRQV³VKRZ>@WKDWWKHUHLVQR
JHQXLQHGLVSXWHDVWRDQ\PDWHULDOIDFWDQGWKHPRYDQWLVHQWLWOHGWRMXGJPHQWDVDPDWWHURI
ODZ´)HG5&LY3D
 $QDJHQF\DOVRKDVWKHEXUGHQRIGHWDLOLQJ³ZKDWSURSRUWLRQRIWKHLQIRUPDWLRQLQD
GRFXPHQWLVQRQH[HPSWDQGKRZWKDWPDWHULDOLVGLVSHUVHGWKURXJKRXWWKHGRFXPHQW´Mead
Data Cent., Inc. v. U.S. Dep't of the Air Force,)G'&&LU$Q\
QRQH[HPSWLQIRUPDWLRQWKDWLVUHDVRQDEO\VHJUHJDEOHIURPWKHUHTXHVWHGUHFRUGVPXVWEH
GLVFORVHGOglesby v. U.S. Dep't of the Army,)G'&&LU
,,,',6&866,21
$VDSUHOLPLQDU\PDWWHULWLVFOHDUIURPWKH&RXUW¶Vin cameraUHYLHZWKDWWKHGRFXPHQW
SURGXFHGE\%23WR%HUDUGLVLQIDFWWKHGRFXPHQWUHTXHVWHGE\3ODLQWLII²WKDWLVWKHGRFXPHQW
LV WKH ³FRQILGHQWLDO LQIRUPDQW UHSRUW´ UHIHUHQFHG LQ WKH '+2 5HSRUW SHUWDLQLQJ WR WKH LQFLGHQW
UHSRUWQXPEHUWRZKLFK%HUDUGLVWKHGLVFLSOLQHGSDUW\,QVRILQGLQJWKH&RXUWUHMHFWV
3ODLQWLII¶V XQVXSSRUWHG DUJXPHQW WKDW WKH GRFXPHQW SURGXFHG E\ %23 LV QRW WKH FRQILGHQWLDO
LQIRUPDQWUHSRUWUHIHUHQFHGLQWKH'+25HSRUW7KH&RXUWDOVRUHMHFWV3ODLQWLII¶VDUJXPHQWWKDW
%23VXEPLWWHGWKH'HFODUDWLRQRI'RQQD-RKQVRQWKH3DUDOHJDO6SHFLDOLVWDW%32LQEDGIDLWK
7KHUHLVQRHYLGHQFHWKDW0V-RKQVRQ²RUDQ\RWKHU%23RIILFLDO²DFWHGZLWKZLOOIXOGHFHSWLRQ
RUZLWKPDOLFLRXVLQWHQWLQUHVSRQGLQJWR%HUDUG¶V)2,$5HTXHVW$FFRUGLQJO\WKH&RXUWILQGV
WKDW %23 SHUIRUPHG D UHDVRQDEOH VHDUFK ORFDWHG WKH UHTXHVWHG GRFXPHQW DQG SURGXFHG WKH
UHTXHVWHGGRFXPHQWWR3ODLQWLIIDOEHLWLQUHGDFWHGIRUP
$GGLWLRQDOO\DVH[SODLQHGEHORZWKH&RXUWILQGVWKDW%23SURSHUO\ZLWKKHOGLQIRUPDWLRQ
SXUVXDQWWR)2,$([HPSWLRQV')&DQG(KRZHYHUWKH&RXUWDOVRILQGVWKDW

%23IDLOHGWRUHOHDVHVHJUHJDEOHPDWHULDOWKDWVKRXOGKDYHEHHQGLVFORVHG
$ )2,$([HPSWLRQ'
 )LUVW WKH &RXUW ILQGV WKDW %23 SURSHUO\ ZLWKKHOG LQIRUPDWLRQ RQ DOO ILYH SDJHV RI WKH
UHOHDVHG GRFXPHQW SXUVXDQW WR )2,$ ([HPSWLRQ '  See  86& † E'  7KLV
H[HPSWLRQ SURWHFWV WKH LGHQWLWLHV RI DQG LQIRUPDWLRQ UHFHLYHG IURP LQGLYLGXDOV ZKR SURYLGHG
LQIRUPDWLRQWRWKHDJHQF\DQGRUORFDOODZHQIRUFHPHQWGXULQJWKHFRXUVHRIWKHLQYHVWLJDWLRQLQWR
WKHFULPLQDODFWLYLWLHV:LWKUHJDUGVWR([HPSWLRQ'WKH'&&LUFXLWKDVKHOGWKDW
:KHUH    WKH UHFRUGV DW LVVXH ZHUH µFRPSLOHG E\ FULPLQDO ODZ HQIRUFHPHQW
DXWKRULW>LHV@ LQ WKH FRXUVH RI D FULPLQDO LQYHVWLJDWLRQ¶ WKH\ DUH FRYHUHG E\
([HPSWLRQ'LISURGXFLQJWKHUHFRUGVµFRXOGUHDVRQDEO\EHH[SHFWHGWRGLVFORVH
WKHLGHQWLW\RIDFRQILGHQWLDOVRXUFH¶RUµLQIRUPDWLRQIXUQLVKHG¶E\VXFKDVRXUFH
86&†E'7KHDJHQF\LQYRNLQJ([HPSWLRQ'EHDUVWKHEXUGHQRI
SURYLQJWKDWLWDSSOLHVDQGZLWKUHVSHFWWRWKH)%,LWLVQRWHQRXJKIRUWKHDJHQF\
WR FODLP WKDW DOO VRXUFHV SURYLGLQJ LQIRUPDWLRQ LQ WKH FRXUVH RI D FULPLQDO
LQYHVWLJDWLRQGRVRRQDFRQILGHQWLDOEDVLV

Roth v. U.S. Dep't of Justice)G'&&LU,QDVVHVVLQJZKHWKHUUHFRUGV
DUHFRPSLOHGIRU³ODZHQIRUFHPHQWSXUSRVHV´WKH³IRFXVLVRQKRZDQGXQGHUZKDWFLUFXPVWDQFHV
WKHUHTXHVWHGILOHVZHUHFRPSLOHGDQGZKHWKHUWKHILOHVVRXJKWUHODWHWRDQ\WKLQJWKDWFDQIDLUO\
EHFKDUDFWHUL]HGDVDQHQIRUFHPHQWSURFHHGLQJ´Jefferson v. Department of Justice)G
 '& &LU  FLWDWLRQV DQG LQWHUQDO TXRWDWLRQV RPLWWHG  :KHQ D FULPLQDO ODZ
HQIRUFHPHQWDJHQF\LQYRNHV([HPSWLRQLW³ZDUUDQWVJUHDWHUGHIHUHQFHWKDQGROLNHFODLPVE\
RWKHUDJHQFLHV´Keys v. United States Dep’t of Justice)G'&&LU$
FULPLQDOODZHQIRUFHPHQWDJHQF\PXVWVLPSO\VKRZWKDW³WKHQH[XVEHWZHHQWKHDJHQF\¶VDFWLYLW\
   DQG LWV ODZ HQIRUFHPHQW GXWLHV´ LV ³µEDVHG RQ LQIRUPDWLRQ VXIILFLHQW WR VXSSRUW DW OHDVW µD
FRORUDEOHFODLP¶RILWVUDWLRQDOLW\¶´Id.
 $GGLWLRQDOO\ LQ FLUFXPVWDQFHV ZKHUH ³QR H[SUHVV DVVXUDQFH RI FRQILGHQWLDOLW\ H[LVWV

FRXUWVFRQVLGHUDQXPEHURIIDFWRUVWRGHWHUPLQHZKHWKHUWKHVRXUFHQRQHWKHOHVVµVSRNHZLWKDQ
XQGHUVWDQGLQJ WKDW WKH FRPPXQLFDWLRQ ZRXOG UHPDLQ FRQILGHQWLDO¶ ´ Roth,  )G DW 
TXRWLQJU.S. Dep't of Justice v. Landano867KHUHOHYDQWIDFWRUVLQFOXGH
³ µWKH FKDUDFWHU RI WKH FULPH DW LVVXH¶ µWKH VRXUFH
V UHODWLRQ WR WKH FULPH¶ ZKHWKHU WKH VRXUFH
UHFHLYHGSD\PHQWDQGZKHWKHUWKHVRXUFHKDVDQµRQJRLQJUHODWLRQVKLS¶ZLWKWKHODZHQIRUFHPHQW
DJHQF\DQGW\SLFDOO\FRPPXQLFDWHVZLWKWKHDJHQF\µRQO\DWORFDWLRQVDQGXQGHUFRQGLWLRQVZKLFK
DVVXUHWKHFRQWDFWZLOOQRWEHQRWLFHG¶Id.TXRWLQJLandano86DW³7KHQDWXUHRI
WKHFULPHLQYHVWLJDWHGDQGLQIRUPDQW¶VUHODWLRQWRLWDUHWKHPRVWLPSRUWDQWIDFWRUVLQGHWHUPLQLQJ
ZKHWKHU LPSOLHG FRQILGHQWLDOLW\ H[LVWV´  Singh v. F.B.I.  )6XSSG   ''& 
FLWLQJLandano86DW³7KHSHUWLQHQWTXHVWLRQLVZKHWKHUWKHYLROHQFHDQGULVNRI
UHWDOLDWLRQ WKDW DWWHQG WKLV W\SH RI FULPH ZDUUDQW DQ LPSOLHG JUDQW RI FRQILGHQWLDOLW\ IRU VXFK D
VRXUFH´Mays v. Drug Enf’t Admin.)G'&&LU
 +HUHLWLVXQGLVSXWHGWKDWWKH%23LVDODZHQIRUFHPHQWDJHQF\DQGLVHQWLWOHGWRJUHDWHU
GHIHUHQFHZKHQFRQVLGHULQJWKDWWKHGRFXPHQWVZHUHFUHDWHGIRUDODZHQIRUFHPHQWSXUSRVHSee
Quinto v. Dep’t of Justice)6XSSG''&³7KH%23LVDODZHQIRUFHPHQW
$JHQF\>@´ FLWDWLRQ RPLWWHG  $GGLWLRQDOO\ DV H[SODLQHG LQ WKH VXSSRUWLQJ GHFODUDWLRQ WKH
FRQILGHQWLDO UHSRUW SURYLGHV LQIRUPDWLRQ DERXW %HUDUG¶V DOOHJHG VFKHPH WR H[WRUW LQPDWHV LQWR
FRQYLQFLQJWKHLUIDPLO\PHPEHUVWRLQWURGXFHFRQWUDEDQGLQWRWKH/HZLVEXUJ3ULVRQ&DPSSee
'HFODUDWLRQRI'RQQD-RKQVRQ(&)1R>@DWˆˆDQGsee also'+25HSRUW$WWDFKPHQW
$WR3O¶V&RPSODLQW(&)1R>@0V-RKQVRQQRWHV
1XPHURXVFRQILGHQWLDOVRXUFHVUHSRUWWRWKH%23RQDUHJXODUEDVLVWKH\SURYLGH
LQIRUPDWLRQ XQGHU H[SUHVV DVVXUDQFHV RI FRQILGHQWLDOLW\ DQG DUH ³LQIRUPDQWV´
ZLWKLQWKHFRPPRQPHDQLQJRIWKHWHUP2WKHUVDUHLQWHUYLHZHGDQGRUSURYLGH
LQIRUPDWLRQXQGHULPSOLHGDVVXUDQFHVRIFRQILGHQWLDOLW\LHXQGHUFLUFXPVWDQFHV
IURPZKLFKDVVXUDQFHVRIFRQILGHQWLDOLW\PD\EHLQIHUUHG,QHLWKHUVLWXDWLRQWKHVH
VRXUFHV DUH FRQVLGHUHG WR EH FRQILGHQWLDO EHFDXVH WKH\ IXUQLVK LQIRUPDWLRQ RQO\

ZLWKWKHXQGHUVWDQGLQJWKDWWKHLULGHQWLWLHVDQGWKHLQIRUPDWLRQWKH\SURYLGHGZLOO
QRWEHGLYXOJHGRXWVLGHWKH%23,QIRUPDWLRQSURYLGHGE\WKHVHVRXUFHVLVVLQJXODU
LQQDWXUHDQGLIUHOHDVHGFRXOGUHYHDOWKHLULGHQWLWLHV

'HFODUDWLRQRI'RQQD-RKQVRQ(&)1R>@DWˆ
 ,QDVVHUWLQJ([HPSWLRQE'RQHDFKRIWKHILYHSDJHVLQWKHUHOHDVHGUHFRUG%23
SURWHFWHGLGHQWLI\LQJLQIRUPDWLRQDERXWDQGLQIRUPDWLRQSURYLGHGE\WKLUGSDUWLHVXQGHU
FLUFXPVWDQFHVLQZKLFKFRQILGHQWLDOLW\FDQEHLQIHUUHGId.DWˆ7KHWKLUGSDUWLHVSURYLGHG
LQIRUPDWLRQFRQFHUQLQJWKHDFWLYLWLHVRI3ODLQWLIIZKHQKHZDVDQLQPDWHDWWKH/HZLVEXUJ3ULVRQ
&DPSDQGDWWHPSWLQJWRLQWURGXFHFRQWUDEDQGLQWRWKHSULVRQIDFLOLWLHVId7KHVHWKLUGSDUWLHV
DQGWKHLUIDPLOLHVZRXOGEHH[SRVHGWRVLJQLILFDQWKDUPZKHWKHULWEHSK\VLFDORUPHQWDOLIWKH\
ZHUHLGHQWLILHGDVFRRSHUDWRUVRULQIRUPHUVHYHQLQDPLQLPXPVHFXULW\SULVRQFDPSVXFKDV
/HZLVEXUJ3ULVRQ&DPSId.
 )XUWKHUPRUHWKH&RXUWQRWHVWKDW3ODLQWLIIKDVQRWFRQWHVWHG%23¶VSURSHUUHGDFWLRQRIWKLV
LQIRUPDWLRQ XQGHU ([HPSWLRQ ' DQG LQVWHDG DUJXHV WKDW %23 ³IDLOV WR MXVWLI\ LWV IDLOXUH WR
UHOHDVHVHJUHJDEOHLQIRUPDWLRQQRWSURWHFWHGE\WKLVH[HPSWLRQ´3O¶V2SS¶Q(&)1R>@DW
ˆ
 $FFRUGLQJO\ WKH &RXUW ILQGV WKDW %23 KDV SURSHUO\ ZLWKKHOG LQIRUPDWLRQ SXUVXDQW WR


7KH&RXUWDOVRQRWHVWKDW%23SURSHUO\LQYRNHG([HPSWLRQ'WRH[FLVHDQLQIRUPDQW¶V
FRQILGHQWLDOVRXUFHLGHQWLILFDWLRQQXPEHURQSDJHRIWKHUHOHDVHGGRFXPHQW'HFODUDWLRQRI
'RQQD-RKQVRQ(&)1R>@DWˆ


7KH&RXUWQRWHVWKDW3ODLQWLIIGRHVDVVHUWWKDW³'HIHQGDQWKDVIDLOHGWRMXVWLI\WKHDSSOLFDWLRQRI
WKLVH[HPSWLRQRQSDJHRIWKHUHOHDVHGUHFRUGV´3O¶V2SS¶Q(&)1R>@DWˆ$IWHU
UHYLHZLQJin cameraWKHUHOHDVHGUHFRUGLQXQUHGDFWHGIRUPWKH&RXUWILQGVWKDW%23
DSSURSULDWHO\ZLWKKHOGLQIRUPDWLRQRQSDJHRIWKHUHOHDVHGUHFRUGSXUVXDQWWR)2,$
([HPSWLRQ'6SHFLILFDOO\DVQRWHGLQWKHVaughn,QGH[VXEPLWWHGE\%23SDJHRIWKH
UHOHDVHGUHFRUGVFRQWDLQV³LQIRUPDWLRQFRQFHUQLQJWKHUHOLDELOLW\RIFRQILGHQWLDOLQIRUPDQWV´²
see Vaughn,QGH[([KLELW)WR'HFODUDWLRQRI'RQQD-RKQVRQ(&)1R>@²ZKLFKLI
GLVFORVHG³FRXOGUHDVRQDEO\EHH[SHFWHGWRGLVFORVHWKHLGHQWLW\RIDFRQILGHQWLDOVRXUFH´
86&†E'

([HPSWLRQ '  See  86& † E'  7KH &RXUW VKDOO DGGUHVV 3ODLQWLII¶V DUJXPHQWV
FRQFHUQLQJVHJUHJDELOLW\LQ3DUW,,,(RIWKLV0HPRUDQGXP2SLQLRQ

% )2,$([HPSWLRQ)
 7KH &RXUW DOVR ILQGV WKDW %23 SURSHUO\ ZLWKKHOG LQIRUPDWLRQ RQ DOO ILYH SDJHV RI WKH
UHOHDVHG GRFXPHQW SXUVXDQW WR )2,$ ([HPSWLRQ )  See  86& † E)  7KLV
H[HPSWLRQ SURWHFWV LQIRUPDWLRQ FRPSLOHG IRU ODZ HQIRUFHPHQW SXUSRVHV WR WKH H[WHQW WKDW
GLVFORVXUH³FRXOGUHDVRQDEO\EHH[SHFWHGWRHQGDQJHUWKHOLIHRUSK\VLFDOVDIHW\RIDQ\LQGLYLGXDO´
Id.  7KLV H[HPSWLRQ ³DIIRUGV EURDG SURWHFWLRQWRWKHLGHQWLWLHVRILQGLYLGXDOVPHQWLRQHGLQ ODZ
HQIRUFHPHQWILOHV´Jimenez v. FBI)6XSS''&LQFOXGLQJDQ\LQGLYLGXDO
³UHDVRQDEO\DWULVNRIKDUP´Miller v. U.S. Dep't of Justice)6XSSG''&
TXRWLQJLong v. U.S. Dep't of Justice)6XSSG''&,QJHQHUDO
WKLV H[HPSWLRQ KDV EHHQ LQWHUSUHWHG WR DSSO\ WR QDPHV DQG LGHQWLI\LQJ LQIRUPDWLRQ RI ODZ
HQIRUFHPHQW RIILFHUV ZLWQHVVHV FRQILGHQWLDO LQIRUPDQWV DQG RWKHU WKLUG SHUVRQV ZKR PD\ EH
XQNQRZQWRWKHUHTXHVWHUSee Durham v. United States Department of Justice)6XSS
''&Public Employees for Environmental Responsibility (Peer), Rocky Mountain
Chapter v. U.S. E.P.A.)6XSS'&RORFLWLQJFDVHV,QUHYLHZLQJFODLPV
XQGHU([HPSWLRQ)FRXUWVKDYHLQTXLUHGZKHWKHURUQRWWKHUHLVDQH[XVEHWZHHQGLVFORVXUH
DQGSRVVLEOHKDUPDQGZKHWKHUWKHGHOHWLRQVZHUHQDUURZO\PDGHWRDYHUWWKHSRVVLELOLW\RIVXFK
KDUPAlbuquerque Pub. Co. v. U.S. Dep't. of Justice)6XSS''&
 +HUH%23KDVSURSHUO\DVVHUWHG([HPSWLRQ)WRSURWHFWLQIRUPDWLRQREWDLQHGIRUODZ
HQIRUFHPHQWSXUSRVHVWKDWLIPDGHSXEOLFFRXOGUHDVRQDEO\EHH[SHFWHGWRHQGDQJHUWKHOLIHRU
VDIHW\RIDQ\LQGLYLGXDO'HFODUDWLRQRI'RQQD-RKQVRQ(&)1R>@DWˆ([HPSWLRQ)

ZDVDSSOLHGWRSURWHFWLQIRUPDWLRQFRQFHUQLQJLQPDWHVVWDIIDQGRWKHUV7KH%23SURWHFWHGD
NH\ FRQILGHQWLDO LQIRUPDQW¶V QDPH DV ZHOO DV KLV FRQILGHQWLDO LGHQWLILFDWLRQ QXPEHU DQGRU WKH
LQIRUPDWLRQKHVKHSURYLGHGWR%23EHFDXVHWKHLQIRUPDWLRQZRXOGUHDGLO\UHYHDOWKHVRXUFH¶V
LGHQWLW\'HFODUDWLRQRI'RQQD-RKQVRQ(&)1R>@DWˆ$VH[SODLQHGE\0V-RKQVRQ
,QWKH%23¶VH[SHULHQFHVRXUFHVFRRSHUDWLQJZLWKDQGSURYLGLQJLQIRUPDWLRQWR
WKH%23DERXWLOOHJDOLQPDWHDFWLYLWLHVGRVRDWJUHDWULVNWRWKHPVHOYHVDQGKDYH
IDFHGUHWDOLDWLRQDQGWKUHDWVLQFOXGLQJGHDWKWKUHDWVZKHQWKHLUDVVLVWDQFHWRWKH
%23KDVEHHQSXEOLFO\GLVFORVHG

Id.  )XUWKHUPRUH WKH '+2 5HSRUW FRQFOXGHG WKDW %HUDUG FRPPLWWHG DFWV RI H[WRUWLRQ DQG
EODFNPDLO DQG WKDW KH WKUHDWHQHG DQRWKHU LQPDWH ZLWK SK\VLFDO KDUP  See '+2 5HSRUW
$WWDFKPHQW$WR3O¶V&RPSODLQW(&)1R>@DW,QOLJKWRIWKHYLROHQWQDWXUHRIWKHFKDUJHV
DW LVVXH LQ WKLV FDVH GLVFORVXUH RI LQIRUPDWLRQ SURYLGHG WR %23 E\ WKH FRQILGHQWLDO LQIRUPDQW
FRQFHUQLQJWKHDOOHJHGFRQGXFWGHVFULEHGDERYHFRXOGUHDVRQDEO\EHH[SHFWHGWRHQGDQJHUWKHOLIH
RUVDIHW\RIWKDWLQGLYLGXDO
 )XUWKHUPRUHWKH&RXUWQRWHVWKDW3ODLQWLIIKDVQRWFRQWHVWHG%23¶VSURSHUUHGDFWLRQRIWKLV
LQIRUPDWLRQXQGHU([HPSWLRQ)DQGLQVWHDGDUJXHVWKDW%23³IDLOVWRMXVWLI\ZK\XQSURWHFWHG
LQIRUPDWLRQFDQQRWEHVHJUHJDWHGIURPWKHQDPHVDQGRWKHULGHQWLI\LQJLQIRUPDWLRQRILQGLYLGXDOV
XQNQRZQWRWKH3ODLQWLIIH[FLVHGXQGHUWKLVH[HPSWLRQ´3O¶V2SS¶Q(&)1R>@DWˆ
 $FFRUGLQJO\ WKH &RXUW ILQGV WKDW %23 KDV SURSHUO\ ZLWKKHOG LQIRUPDWLRQ SXUVXDQW WR
([HPSWLRQ )  See  86& † E)  7KH &RXUW VKDOO DGGUHVV 3ODLQWLII¶V DUJXPHQWV
FRQFHUQLQJVHJUHJDELOLW\LQ3DUW,,,(RIWKLV0HPRUDQGXP2SLQLRQ
& )2,$([HPSWLRQVDQG&
 7KH &RXUW DOVR ILQGV WKDW %23 SURSHUO\ ZLWKKHOG LQIRUPDWLRQ RQ DOO ILYH SDJHV RI WKH
UHOHDVHGGRFXPHQWSXUVXDQWWR([HPSWLRQVDQG&See86&††EE&
)2,$([HPSWLRQSURYLGHVWKDWDQDJHQF\PD\ZLWKKROG³SHUVRQQHODQGPHGLFDOILOHVDQGVLPLODU

ILOHVWKHGLVFORVXUHRIZKLFKZRXOGFRQVWLWXWHDFOHDUO\XQZDUUDQWHGLQYDVLRQRISHUVRQDOSULYDF\´
86&†E6LPLODUO\([HPSWLRQ&LQUHOHYDQWSDUWSHUPLWVDQDJHQF\WRZLWKKROG
³UHFRUGVRULQIRUPDWLRQFRPSLOHGIRUODZHQIRUFHPHQWSXUSRVHVEXWRQO\WRWKHH[WHQWWKDWWKH
SURGXFWLRQRIVXFKODZHQIRUFHPHQWUHFRUGVRULQIRUPDWLRQFRXOGUHDVRQDEO\EHH[SHFWHGWR
FRQVWLWXWHDQXQZDUUDQWHGLQYDVLRQRISHUVRQDOSULYDF\´Id.†E&³7KHFRXUWVKDYH
FRQVWUXHG WKLV SURYLVLRQ DV SHUPLWWLQJ H[HPSWLRQ LI WKH SULYDF\ LQWHUHVW DW VWDNH RXWZHLJKV WKH
SXEOLF¶VLQWHUHVWLQGLVFORVXUH´Nation Magazine, Washington Bureau v. U.S. Customs Service
 )G   '& &LU   7KH SULYDF\ LQWHUHVW LQ ([HPSWLRQ  LV QDUURZHU WKDQ LQ
([HPSWLRQ&VRLIWKHUHGDFWLRQVVDWLVI\WKHIRUPHUQRH[DPLQDWLRQRIWKHODWWHULVQHFHVVDU\
Smith v. Dep't of Labor)6XSSG''&
 $V D SUHOLPLQDU\ PDWWHU 3ODLQWLII FRQWHQGV WKDW WKH DSSOLFDWLRQ RI ([HPSWLRQ  LV
LQDSSURSULDWHEHFDXVH³3ODLQWLIIGLGQRWUHTXHVWSHUVRQQHODQGPHGLFDOILOHVRUVLPLODUILOHVRI
%23HPSOR\HHV´3O¶V2SS¶Q(&)1R>@DWˆ7KH&RXUWILQGV3ODLQWLII¶VSRVLWLRQWREH
FRQWUDU\WRFRQWUROOLQJFDVHODZ
 ³7KH WHUP µVLPLODU ILOHV¶ LV FRQVWUXHG EURDGO\ DQG LV µLQWHQGHG WR FRYHU GHWDLOHG
*RYHUQPHQWUHFRUGVRQDQLQGLYLGXDOZKLFKFDQEHLGHQWLILHGDVDSSO\LQJWRWKDWLQGLYLGXDO¶´
Concepcion v. FBI)6XSSG''&TXRWLQJU.S. Dep't of State v. Wash.
Post Co.86³7KHWKUHVKROGLVIDLUO\PLQLPDOVXFKWKDWDOOLQIRUPDWLRQ
ZKLFKDSSOLHVWRDSDUWLFXODULQGLYLGXDOLVFRYHUHGE\([HPSWLRQUHJDUGOHVVRIWKHW\SHRIILOH
LQ ZKLFK LWLVFRQWDLQHG´Concepcion ) 6XSSG DW LQWHUQDOTXRWDWLRQV DQG FLWDWLRQ
RPLWWHG  ,Q WKLV ZD\ WKH ³)2,$¶V SURWHFWLRQ RI SHUVRQDO SULYDF\ LV QRW DIIHFWHG E\ WKH


3ODLQWLIIGRHVQRWGLVSXWHWKHIDFWWKDWWKHUHFRUGVDWLVVXHLQWKLVFDVHZHUHFRPSLOHGIRUODZ
HQIRUFHPHQWSXUSRVHVDVUHTXLUHGSXUVXDQWWR([HPSWLRQ&

KDSSHQVWDQFHRIWKHW\SHRIDJHQF\UHFRUGLQZKLFKSHUVRQDOLQIRUPDWLRQLVVWRUHG´Washington
Post Co. v. U.S. Dep't of Health & Human Servs.)G'&&LUsee also
N.Y. Times Co. v. Nat'l Aeronautics & Space Admin.)G'&&LUHQ
EDQFFRQFOXGLQJWKDW([HPSWLRQSURWHFWHGGLVFORVXUHRIDWDSHRIYRLFHFRPPXQLFDWLRQVDERDUG
WKH&KDOOHQJHUVSDFHVKXWWOHEHFDXVH³LWDSSOLHVWRSDUWLFXODULQGLYLGXDOV´
 +HUHWKH&RXUW¶Vin camera UHYLHZGHPRQVWUDWHVWKDWWKHLQIRUPDWLRQWKDW%23VHHNVWR
ZLWKKROG²QDPHVRI%23VWDIILQYROYHGLQWKHLQYHVWLJDWLRQRIWKHLQFLGHQWDWLVVXHLGHQWLI\LQJ
LQIRUPDWLRQ DERXW LQPDWHV QDPHG LQ WKH LQIRUPDQW UHSRUW DQG RWKHU SHUVRQDO LQIRUPDWLRQ
FRQFHUQLQJ ERWK %23 VWDII DQG LQGLYLGXDO LQPDWHV²PHHWV WKH ³VLPLODU ILOHV´ UHTXLUHPHQW RI
([HPSWLRQSee Wash. Post86DW³>,@QIRUPDWLRQDERXWDQLQGLYLGXDOVKRXOGQRWORVH
WKH SURWHFWLRQ RI ([HPSWLRQ  PHUHO\ EHFDXVH LW LV VWRUHG E\ DQ DJHQF\ LQ UHFRUGV RWKHU WKDQ
µSHUVRQQHO¶RUµPHGLFDO¶ILOHV´
 0RUHRYHUDVQRWHGLQWKHVaughn,QGH[VXEPLWWHGE\%23UHOHDVHRIVXFKLQIRUPDWLRQ
ZRXOG FRQVWLWXWH ³DQ XQZDUUDQWHG LQYDVLRQ RI DQ LQGLYLGXDO¶V SHUVRQDO SULYDF\´ DQG ³ZRXOG
SURYLGHWKLUGSDUW\LQIRUPDWLRQWRZKLFKQRFRQVHQWWRUHOHDVHZDVJLYHQ´Vaughn,QGH[([KLELW
)WR'HFODUDWLRQRI'RQQD-RKQVRQ(&)1R>@DW5HOHDVHRIWKHLGHQWLWLHVRI%23VWDII
FRXOG DOVR VXEMHFW WKHP WR XQQHFHVVDU\ DQG XQZHOFRPH KDUDVVPHQW DQG WKH UHOHDVH RI LQPDWH
LGHQWLWLHVLQWKLVPDWWHUFRXOGVXEMHFWWKHPWRUHWDOLDWLRQIRUFRRSHUDWLRQSee'HFODUDWLRQRI'RQQD
-RKQVRQ(&)1R>@DWˆ3ODLQWLIIGRHVQRWGLVSXWHWKDWGLVFORVXUHRIVXFKLQIRUPDWLRQ
FRXOGRUZRXOGFRQVWLWXWHDQXQZDUUDQWHGLQYDVLRQRIWKHSULYDF\RIWKRVHSHUVRQVQRUGRHVKH
SXWIRUZDUGDQ\SXEOLFLQWHUHVWWKDWPLJKWRXWZHLJKVXFKDQLQYDVLRQRISULYDF\,QVWHDG3ODLQWLII
DUJXHVWKDWWKHDSSOLFDWLRQRIWKHVHH[HPSWLRQVGRQRWMXVWLI\%23¶VIDLOXUHWRUHOHDVHVHJUHJDEOH
LQIRUPDWLRQ3O¶V2SS¶Q(&)1R>@DWˆˆ

 $FFRUGLQJO\ WKH &RXUW ILQGV WKDW %23 KDV SURSHUO\ ZLWKKHOG LQIRUPDWLRQ SXUVXDQW WR
([HPSWLRQV  DQG &  See  86& †† E E&  7KH &RXUW VKDOO DGGUHVV
3ODLQWLII¶VDUJXPHQWVFRQFHUQLQJVHJUHJDELOLW\LQ3DUW,,,(RIWKLV0HPRUDQGXP2SLQLRQ
' )2,$([HPSWLRQ(
 7KH &RXUW DOVR ILQGV WKDW %23 KDV SURSHUO\ ZLWKKHOG LQIRUPDWLRQ RQ SDJH ILYH RI WKH
UHOHDVHGGRFXPHQWSXUVXDQWWR)2,$([HPSWLRQ(See86&†E(([HPSWLRQ
(DXWKRUL]HVDQDJHQF\WRZLWKKROG
UHFRUGV RU LQIRUPDWLRQ FRPSLOHG IRU ODZ HQIRUFHPHQW SXUSRVHV EXW RQO\ WR WKH
H[WHQWWKDWWKHSURGXFWLRQRIVXFKODZHQIRUFHPHQWUHFRUGVRULQIRUPDWLRQZRXOG
GLVFORVH WHFKQLTXHV DQG SURFHGXUHV IRU ODZ HQIRUFHPHQW LQYHVWLJDWLRQV RU
SURVHFXWLRQVRUZRXOGGLVFORVHJXLGHOLQHVIRUODZHQIRUFHPHQWLQYHVWLJDWLRQVRU
SURVHFXWLRQVLIVXFKGLVFORVXUHFRXOGUHDVRQDEO\EHH[SHFWHGWRULVNFLUFXPYHQWLRQ
RIWKHODZ

86&†E(³7KH'&&LUFXLWKDVKHOGWKDWDQDJHQF\PD\ZLWKKROGLQIRUPDWLRQ
IURPGLVFORVXUHZKHUHUHOHDVLQJVXFKLQIRUPDWLRQZRXOGSURYLGHLQVLJKWLQWRLWVLQYHVWLJDWRU\RU
SURFHGXUDOWHFKQLTXHV´Techserve All. v. Napolitano)6XSSG''&
see also Blackwell v. FBI)G'&&LUQRWLQJWKDW([HPSWLRQ(RIIHUV³D
UHODWLYHO\ORZEDUIRUWKHDJHQF\WRMXVWLI\ZLWKKROGLQJ´LQIRUPDWLRQ([HPSWLRQ(DOORZVIRU
ZLWKKROGLQJ³QRWMXVWIRUFLUFXPYHQWLRQRIWKHODZEXWIRUDULVNRIFLUFXPYHQWLRQQRWMXVWIRUDQ
DFWXDO RU FHUWDLQ ULVN RI FLUFXPYHQWLRQ EXW IRU DQ H[SHFWHG ULVN QRW MXVW IRU DQ XQGHQLDEO\ RU
XQLYHUVDOO\ H[SHFWHG ULVN EXW IRU D UHDVRQDEO\ H[SHFWHG ULVN DQG QRW MXVW IRU FHUWLWXGH RI D
UHDVRQDEO\H[SHFWHGULVNEXWIRUWKHFKDQFHRIDUHDVRQDEO\H[SHFWHGULVN´Mayer Brown LLP v.
Internal Revenue Serv.)G'&&LU
 +HUH%23DVVHUWVWKDWLWLQYRNHG([HPSWLRQ(WRZLWKKROGLQIRUPDWLRQRQSDJHILYHRI
WKH ILYHSDJH UHOHDVH EHFDXVH ³SDJH ILYH LV DQ HQWU\ LQWR D %23 LQWHOOLJHQFHVKDULQJ GDWDEDVH

FRQFHUQLQJLQYHVWLJDWLRQVDQGWKLVQRQSXEOLFGDWDEDVHVHUYHVDVDUHSRVLWRU\IRU%23LQYHVWLJDWLYH
GDWDDQGLQWHOOLJHQFH´'HI¶V0RW(&)1R>@DW$V0V-RKQVRQH[SODLQVWKHGDWDEDVH
³LV PHDQW WR RSHUDWH DV D ³RQHVWRS´ VKRS WKDW DOORZV WKH %23 DQG RWKHU ODZ HQIRUFHPHQW
FRPSRQHQWVWRTXHU\LQIRUPDWLRQDQGGHYHORSLQYHVWLJDWLYHOHDGVIURPDYDULHW\RIVRXUFHGDWD´
'HFODUDWLRQ RI 'RQQD -RKQVRQ (&) 1R >@ DW ˆ   ,W LV D GDWDEDVH WR ZKLFK %23
LQYHVWLJDWLYH LQWHOOLJHQFH DQG RWKHU VWDII KDYH DFFHVV  Id.  $FFRUGLQJ WR 0V -RKQVRQ
³>G@LVFORVXUH RI WKH SULQWRXWV RU LQIRUPDWLRQ FRPSLOHG LQ WKH GDWDEDVH FRXOG HQDEOH LQPDWHV RU
LQPDWHV¶DVVRFLDWHVWRHPSOR\FRXQWHUPHDVXUHVWRDYRLGGHWHFWLRQWKXVMHRSDUGL]LQJWKH%23¶V
VHFXULW\DQGODZHQIRUFHPHQWPLVVLRQ´Id.7
 3ODLQWLIIFRQWHQGVWKDW%23KDVIDLOHGWRVXIILFLHQWO\LGHQWLI\ZKDWSURFHGXUHVDUHLQYROYHG
DQGWKDW%23KDVLQDSSURSULDWHO\ZLWKKHOGLQIXOOSDJHILYHRIWKHUHFRUG3O¶V2SS¶Q(&)1R
>@DWˆˆ3ODLQWLIIDOVRUHTXHVWVWKDW%23UHOHDVHDOOVHJUHJDEOHLQIRUPDWLRQRQSDJHILYH
Id.DWˆ
 8SRQUHYLHZRIWKHSDUWLHV¶VXEPLVVLRQVWKH&RXUWILQGVWKDW%23VXIILFLHQWO\LGHQWLILHG
ZKDWSURFHGXUHVDUHLQYROYHGVXFKWKDWGLVFORVXUHRILQIRUPDWLRQFRQFHUQLQJWKRVHSURFHGXUHV
³FRXOGUHDVRQDEO\EHH[SHFWHGWRULVNFLUFXPYHQWLRQRIWKHODZ´86&†E(,Q
DGGLWLRQ WKH &RXUW¶V in camera UHYLHZ GHPRQVWUDWHV WKDW WKH LQIRUPDWLRQ WKDW %23 VHHNV WR
ZLWKKROG RQ SDJH ILYH ³ZRXOG GLVFORVH WHFKQLTXHV DQG SURFHGXUHV IRU ODZ HQIRUFHPHQW
LQYHVWLJDWLRQV´86&†E($VQRWHGE\%23LQLWVVaughn,QGH[SDJHILYHFRQVLVWV
RI D SDJH IURP D %23 LQWHOOLJHQFH DQG LQYHVWLJDWLYH GDWDEDVH  Vaughn ,QGH[ ([KLELW ) WR


7KHVaughn,QGH[VWDWHVWKDW([HPSWLRQ(ZDVRULJLQDOO\DSSOLHGWRWKHWRSRISDJHVWKUHH
DQGIRXUDQGWRILYHEXWWKDWWKHH[HPSWLRQZDVZLWKGUDZQDVWRSDJHVWKUHHDQGIRXUDQGDSSOLHG
RQO\WRSURWHFWLQIRUPDWLRQRQSDJHILYHSeeVaughn,QGH[([KLELW)WR'HFODUDWLRQRI'RQQD
-RKQVRQ(&)1R>@DW

'HFODUDWLRQRI'RQQD-RKQVRQ(&)1R>@DW6SHFLILFDOO\SDJHILYHFRQWDLQVGDWDEDVH
LQIRUPDWLRQZKLFKLISURGXFHGFRXOGUHYHDOWHFKQLTXHVXVHGE\ODZHQIRUFHPHQWLQYHVWLJDWRUV
ZKHQVKDULQJLQIRUPDWLRQDFURVVDJHQFLHVSee id.7KHUHLVDUHDVRQDEOHULVNWKDWGLVFORVXUHRI
WKLVLQIRUPDWLRQZRXOGZHDNHQWKH%23¶VHIIHFWLYHQHVVDQGSRWHQWLDOO\DLGLQFLUFXPYHQWLRQRI
WKHWHFKQLTXHV$FFRUGLQJO\VXFKLQIRUPDWLRQLVSURSHUO\ZLWKKHOGXQGHU([HPSWLRQ(See,
e.g. Skinner v. DOJ  ) 6XSS G   ''&  ³7KH &RXUW FRQFOXGHV WKDW WKH
86&,6¶VGHFLVLRQWRUHGDFWWKH7(&6DFFHVVFRGHVLVDSSURSULDWHXQGHU([HPSWLRQ(´aff'd
sub nom., Skinner v. Bureau ofAlcohol, Tobacco, Firearms & Explosives1R±:/
 '& &LU 0D\   McRae v. DOJ  )6XSSG   ''& 
ILQGLQJ([HPSWLRQ(SURSHUO\DSSOLHGWRLQIRUPDWLRQIURP7(&6DQG1&,&GDWDEDVHV
 +DYLQJIRXQGWKDW%23SURSHUO\ZLWKKHOGLQIRUPDWLRQRQHDFKRIWKHSDJHVLQWKHUHFRUG
UHOHDVHGWR3ODLQWLIIWKH&RXUWVKDOOQRZDGGUHVV3ODLQWLII¶VDUJXPHQWVFRQFHUQLQJWKHVHJUHJDELOLW\
RILQIRUPDWLRQLQWKHGRFXPHQW$VH[SODLQHGEHORZWKH&RXUWILQGVWKDW3ODLQWLIILVFRUUHFW²
%23IDLOHGWRSURSHUO\VHJUHJDWHDQGXQUHGDFWQRQH[HPSWPDWHULDOLQWKHUHGDFWHGUHFRUGWKDWZDV
UHOHDVHGWR%HUDUG
( 6HJUHJDELOLW\
:KLOH DJHQFLHV PD\ SURSHUO\ ZLWKKROG FHUWDLQ PDWHULDOV XQGHU )2,$
V HQXPHUDWHG
H[HPSWLRQVWKH\PXVWUHOHDVH³DQ\UHDVRQDEO\VHJUHJDEOHSRUWLRQV´RIUHVSRQVLYHGRFXPHQWVRQFH
WKH\ KDYH UHGDFWHG WKH H[HPSWHG LQIRUPDWLRQ  See  86& † E  7KH VHJUHJDELOLW\
UHTXLUHPHQWLVRIVXFKJUHDWLPSRUWWKDWWKLV&RXUWKDVDQDIILUPDWLYHGXW\WRHQJDJHLQLWVRZQ
VHJUHJDELOLW\DQDO\VLVUHJDUGOHVVRI3ODLQWLII¶VSOHDGLQJVSee Billington v. Dep't of Justice
)G'&&LU7KHTXHVWLRQRIVHJUHJDELOLW\LV³VXEMHFWLYHEDVHGRQWKHQDWXUH
RIWKHGRFXPHQWLQTXHVWLRQDQGDQDJHQF\PXVWSURYLGHDUHDVRQDEO\GHWDLOHGMXVWLILFDWLRQUDWKHU

WKDQFRQFOXVRU\VWDWHPHQWVWRVXSSRUWLWVFODLPWKDWWKHQRQH[HPSWPDWHULDOLQDGRFXPHQWLVQRW
UHDVRQDEO\VHJUHJDEOH´Mead Data Cent., Inc. v. U.S. Dep't of Air Force)G'&
&LU$OWKRXJKWKHDJHQF\¶VMXVWLILFDWLRQQHHGQRWFRPSURPLVHWKHQDWXUHRIWKHZLWKKHOG
LQIRUPDWLRQLWVH[SODQDWLRQVKRXOGDWOHDVWGHWDLOZKDWSURSRUWLRQRIWKHLQIRUPDWLRQLQDGRFXPHQW
LVQRQH[HPSWDQGKRZWKDWPDWHULDOLVGLVSHUVHGWKURXJKRXWWKHGRFXPHQWSee Mead Data
)GDW
+HUH%23UHGDFWHGLQIXOOSDJHVRQHWZRDQGILYHRIWKHILYHSDJHGRFXPHQWUHOHDVHG
WR3ODLQWLIIZKLOH%23UHGDFWHGLQVLJQLILFDQWSDUWSDJHVWKUHHDQGIRXU%23FODLPVWKDWDQ\
DGGLWLRQDOVHJUHJDELOLW\³ZDVSDUWLFXODUO\GLIILFXOWEHFDXVHRIWKHQHHGWRSURWHFWLQIRUPDQWVLQWKH
FRQWH[WRISULVRQ´3O¶V0RW(&)1R>@DW$FFRUGLQJWR%23WKH³UHOHDVHRIWKHZURQJ
VHHPLQJO\LQQRFXRXVGHWDLOFRXOGUHYHDOWKHPHUHILODPHQWRIDIDFWWKDWFRXOGHQOLJKWHQWKHVXEMHFW
RIDQLQYHVWLJDWLRQ´Id.%23IXUWKHUDVVHUWVWKDWDIWHUWKHDSSOLFDWLRQVRIWKHH[HPSWLRQVWKH
³RQO\VXUYLYLQJQRQH[HPSWLQIRUPDWLRQZDVSDLUHGGRZQWROLWWOHPRUHWKDQ0U%HUDUG¶VQDPH
DQG LQPDWH QXPEHU´  Id.  %23 FRQFOXGHV WKDW VHJUHJDWLRQ LQ WKLV FDVH ZRXOG ³SURGXFH DQ
HVVHQWLDOO\PHDQLQJOHVVGLVMRLQWHGVHWRIZRUGVSKUDVHVDQGVHQWHQFHVWKDWKDYHPLQLPDORUQR
LQIRUPDWLRQFRQWH[W´Id.
7KH &RXUW GLVDJUHHV ZLWK %23¶V VHJUHJDELOLW\ DQDO\VLV  $V D SUHOLPLQDU\ PDWWHU WKH
&RXUW¶V in camera UHYLHZ GHPRQVWUDWHV WKDW %23 IDLOHG WR VHJUHJDWH H[FHUSWV WKDW DOUHDG\
FRQWDLQHGLQIRUPDWLRQWKDWZDVVXEVHTXHQWO\FLWHGDQGGLVFXVVHGLQWKH'+25HSRUWZKLFKKDV
DOUHDG\EHHQGLVFORVHGWR3ODLQWLII'LVFORVLQJWKHLQIRUPDWLRQDWWKLVVWDJHZRXOGQRWUHVXOWLQWKH
GLVFORVXUHRIDQ\QRQH[HPSWLQIRUPDWLRQDQGZRXOGQRWSRVHDQ\ULVNWR%23VWDIILQPDWHVRU
RWKHUWKLUGSDUW\LQGLYLGXDOV
)XUWKHUPRUH %23 DFNQRZOHGJHV WKDW LW FRXOG KDYH XQUHGDFWHG DGGLWLRQDO VHJUHJDEOH

SRUWLRQVRIWKHGRFXPHQWUHOHDVHGWR%HUDUG)RUH[DPSOHWKHVaughn,QGH[VWDWHVWKDWRQSDJH
RQH ³>D@UJXDEO\ WKH OHWWHUKHDG GDWH DQG ILUVW WKUHH ZRUGV RI WKH VXEMHFW OLQH QDPHO\
µ&RQILGHQWLDO ,QIRUPDQW 8WLOL]HG¶ ZRXOG KDYH EROVWHUHG WKH DXWKHQWLFLW\ RI WKH UHOHDVH ZLWKRXW
SXEOLFL]LQJQRQH[HPSWLQIRUPDWLRQ´Vaughn,QGH[([KLELW)WR'HFODUDWLRQRI'RQQD-RKQVRQ
(&)1R>@DW,WLVSX]]OLQJZK\%23GLGQRWILQGLWQHFHVVDU\WRUHOHDVHWKDWLQIRUPDWLRQ
SDUWLFXODUO\ LQ OLJKW RI WKH IDFW WKDW WKURXJKRXW WKLV FDVH²DQG WKURXJKRXW WKH XQGHUO\LQJ
GLVFLSOLQDU\DFWLRQ²%HUDUGKDVGLVSXWHGWKHYHU\H[LVWHQFHRIERWKWKHFRQILGHQWLDOLQIRUPDQWDQG
WKH LQIRUPDQW UHSRUW DW LVVXH LQ WKLV )2,$ UHTXHVW  See '+2 5HSRUW $WWDFKPHQW $ WR 3O¶V
&RPSODLQW(&)1R>@DW³>%HUDUG@SUHVHQWHGDV>KLV@GHIHQVHWKDWDFRQILGHQWLDOLQIRUPDQW
GRHVQRWH[LVWDQGWKDWWKHUHSRUWLQJRIILFHUIDEULFDWHGWKHLQIRUPDWLRQFRQFHUQLQJDFRQILGHQWLDO
LQIRUPDQWLQRUGHUWRZULWHLQFLGHQWUHSRUW´see also3O¶V2SS¶Q(&)1R>@DWˆ³1RWDEO\
WKHILYHSDJHVRIUHOHDVHGUHFRUGVDUHQRWWKH³FRQILGHQWLDOLQIRUPDWLRQVLFUHSRUW´,QDGGLWLRQ
%23 VKRXOG KDYH GLVFORVHG SHUWLQHQW QRQH[HPSW LQIRUPDWLRQ LQ WKH GRFXPHQW¶V LQWURGXFWRU\
SDUDJUDSK ZKLFK VHWV RXW WKH SXUSRVH RI WKH PHPRUDQGXP  6XFK LQIRUPDWLRQ ZRXOG IXUWKHU
DXWKHQWLFDWHWKHGRFXPHQWDQGLWVGLVFORVXUHZRXOGQRWEHH[HPSWXQGHUDQ\)2,$SURYLVLRQ
,QOLJKWRIWKHIRUHJRLQJWKH&RXUWVKDOOUHTXLUH%23WRVHJUHJDWHDQGXQUHGDFWDOOQRQ
H[HPSWLQIRUPDWLRQLQWKHUHFRUGDWLVVXHDQGUHOHDVHWKHUHFRUGWR%HUDUGZLWKPRGLILHGUHGDFWLRQV
LQDFFRUGDQFHZLWKWKLV0HPRUDQGXP2SLQLRQ7RDVVLVW%23LQWKRVHHIIRUWVWKH&RXUWLVILOLQJ
IRU%23¶Vex parteUHYLHZDVDVHDOHGDWWDFKPHQWWRWKLV0HPRUDQGXP2SLQLRQWKHUHFRUGDW
LVVXHFRQWDLQLQJVXJJHVWHGUHGDFWLRQVWKDWWKH&RXUWGHHPVDSSURSULDWH,QWKHYHUVLRQSURSRVHG
E\ WKH &RXUW WKH &RXUWKDV XQUHGDFWHGFHUWDLQH[FHUSWVRQSDJHRQHRIWKHUHFRUGQDPHO\ WKH
OHWWHUKHDGGDWHVXEMHFWOLQHDQGSRUWLRQVRIWKHLQWURGXFWRU\SDUDJUDSKGHVFULELQJWKHSXUSRVHRI
WKHGRFXPHQWDWLVVXH2QSDJHWZRRIWKHUHFRUGWKH&RXUWKDVXQUHGDFWHGDQH[FHUSWFRQWDLQLQJ

RQHRIWKHGRFXPHQW¶VILQGLQJV7KH&RXUWKDVQRWPDGHDQ\FKDQJHVWRSDJHWKUHHZKLFKDOUHDG\
FRQWDLQVH[FHUSWVXQUHGDFWHGE\%23DQGKDVUHGDFWHGWZRDGGLWLRQDOOLQHVRQSDJHIRXUZKLFK
GHVFULEHRQHRIWKHGRFXPHQW¶VILQGLQJV)LQDOO\RQSDJHILYHWKH&RXUWKDVXQUHGDFWHGWKHGDWH
WLPHWZRVXEMHFWKHDGLQJVDQGDVWDWHPHQWWKDWWKH&RXUWILQGVZRXOGEROVWHUWKHDXWKHQWLFLW\RI
WKHUHFRUGZLWKRXWSXEOLFL]LQJQRQH[HPSWLQIRUPDWLRQ
7KH&RXUWVKDOOSHUPLW%23WRUHYLHZWKH&RXUW¶VVXJJHVWHGUHGDFWLRQVRIWKHUHFRUGDW
LVVXHEHIRUHWKHUHFRUGLVUHOHDVHGWR3ODLQWLII,IWKH&RXUWKDVQRWUHFHLYHGDQ\REMHFWLRQVIURP
%23ZLWKLQVHYHQEXVLQHVVGD\V²E\$XJXVW²WKHQWKHDWWDFKHGYHUVLRQVKDOOEHXQVHDOHG
DQGDFRS\VKDOOEHPDLOHGWR3ODLQWLII,I%23GRHVILOHDQREMHFWLRQZLWKLQWKHVSHFLILHGWLPH
SHULRGWKHQ%23¶VILOLQJVKRXOGFOHDUO\VHWIRUZDUGWKHEDVLVRIWKHREMHFWLRQDQGVKRXOGDWWDFK
%23¶VSURSRVHGPRGLILFDWLRQVRIWKHUHFRUGWREHUHOHDVHGWR%HUDUG

,9&21&/86,21
)RU WKH IRUHJRLQJ UHDVRQV 'HIHQGDQW¶V 0RWLRQ IRU 6XPPDU\ -XGJPHQW LV '(1,(' ,1
3$57DQG*5$17(',13$57
$QDSSURSULDWH2UGHUDFFRPSDQLHVWKLV0HPRUDQGXP2SLQLRQ

        /s/ 
       &2//((1.2//$5.27(//<
       81,7('67$7(6',675,&7-8'*(




$WWDFKPHQWV)LOHGXQGHU6HDOIRU%23¶VEx Parte5HYLHZ

5HGDFWHG5HFRUGDW,VVXH