Continued...
....
4. 5 U.S.C. § 552a(b)(4) - Bureau of the Census
“No agency shall disclose any record which is contained in a system of records by any means of communication to any person, or to another agency, except pursuant to a written request by, or with the prior written consent of, the individual to whom the record pertains unless the disclosure would be –
. . .
(4) to the Bureau of the Census for purposes of planning or carrying out a census or survey or related activity pursuant to the provisions of Title 13.” 5 U.S.C. § 552a(b)(4).
Comment:
For a discussion of this provision, see OMB 1975 Guidelines, 40 Fed. Reg. at 28,954,
https://www.justice.gov/paoverview_omb-75.
5. 5 U.S.C. § 552a(b)(5) - Statistical Research
“No agency shall disclose any record which is contained in a system of records by any means of communication to any person, or to another agency, except pursuant to a written request by, or with the prior written consent of, the individual to whom the record pertains unless the disclosure would be –
. . .
(5) to a recipient who has provided the agency with advance adequate written assurance that the record will be used solely as a statistical research or reporting record, and the record is to be transferred in a form that is not individually identifiable.” 5 U.S.C. § 552a(b)(5).
Comment:
OMB guidelines suggest that the statistical research disclosure exception is intended to reduce the likelihood that agencies utilize statistical records to “reconstruct” individually identifiable records.
The term “statistical record” is defined in the Act as a record that is not used in making individual determinations. 5 U.S.C. § 552a(a)(6). One might question whether this exception to subsection (b) is anomalous, because the information to be released is arguably not a “record,” see 5 U.S.C. § 552a(a)(4), or a “disclosure,” see 5 U.S.C. § 552a(b), as it is not identifiable to any individual. The OMB 1975 Guidelines, however, provide a plausible explanation, stating, “
- ne may infer from the legislative history and other portions of the Act that an objective of this provision is to reduce the possibility of matching and analysis of statistical records with other records to reconstruct individually identifiable records.” 40 Fed. Reg. at 28,954, https://www.justice.gov/paoverview_omb-75.
6. 5 U.S.C. § 552a(b)(6) - National Archives
“No agency shall disclose any record which is contained in a system of records by any means of communication to any person, or to another agency, except pursuant to a written request by, or with the prior written consent of, the individual to whom the record pertains unless the disclosure would be –
. . .
(6) to the National Archives and Records Administration as a record which has sufficient historical or other value to warrant its continued preservation by the United States Government, or for evaluation by the Archivist of the United States or the designee of the Archivist to determine whether the record has such value.” 5 U.S.C. § 552a(b)(6).
Comment:
For a discussion of this provision, see OMB 1975 Guidelines, 40 Fed. Reg. at 28,955,
https://www.justice.gov/paoverview_omb-75.
7. 5 U.S.C. § 552a(b)(7) - Law Enforcement Request
“No agency shall disclose any record which is contained in a system of records …except pursuant to a written request by, or with the prior written consent of, the individual to whom the record pertains, unless the disclosure would be—
…
(7) to another agency or to an instrumentality of any governmental jurisdiction within or under the control of the United States for a civil or criminal law enforcement activity if the activity is authorized by law, and if the head of the agency or instrumentality has made a written request to the agency which maintains the record specifying the particular portion desired and the law enforcement activity for which the record is sought.” 5 U.S.C. § 552a(b)(7).
Comment:
The law enforcement request disclosure exception allows certain disclosures, upon written request, to another agency or instrumentality for civil or criminal law enforcement purposes.
This provision allows agencies to disclose records to federal law enforcement agencies and, “upon receipt of a written request, [to] disclose a record to another agency or unit of State or local government for a civil or criminal law enforcement activity.” OMB 1975 Guidelines, 40 Fed. Reg. at 28,955,
https://www.justice.gov/paoverview_omb-75.
A request for records under the subsection (b)(7) exception must be for civil or criminal law enforcement purposes. See United States v. Collins, 596 F.2d 166, 169 (6th Cir. 1979) (holding, among other reasons, disclosure of reports authored by someone suspected of fraud satisfied criminal law enforcement activity disclosure condition); SEC v. Dimensional Entm’t Corp., 518 F. Supp. 773, 774-75, 777 (S.D.N.Y. 1981) (finding disclosure was proper because SEC asked Parole Commission to release transcript in question for purpose of assisting SEC with its attempt to secure injunctive relief against defendant after SEC presented evidence that defendant will likely continue his unlawful activity).
While the head of the agency or instrumentality must generally make the written request for the law enforcement request disclosure exception, agencies may, when necessary, delegate this responsibility to officials no lower than the “section chief” level.
The request must be submitted in writing and generally must be from the head of the agency or instrumentality. See Doe v. DiGenova, 779 F.2d 74, 85 (D.C. Cir. 1985) (concluding that VA’s disclosure of veteran’s medical records in response to federal grand jury subpoena was not authorized because federal grand jury subpoena is issued by federal prosecutors, not head of an agency); Doe v. Naval Air Station, 768 F.2d 1229, 1233 (11th Cir. 1985) (“[E]xemption (b)(7) requires a written request for disclosure by the head of the agency making such request to the agency which maintains the record.”); see also Reyes v. Supervisor of DEA, 834 F.2d 1093, 1095 (1st Cir. 1987) (noting the record lacked an indication that FBI, United States Probation Office, AUSA, and BOP made a written request for records); Stafford v. SSA, 437 F. Supp. 2d 1113, 1121 (N.D. Cal. 2006) (finding improper disclosure because head of local agency did not request disclosed information from SSA in writing).
Record-requesting authority may be delegated to lower-level agency officials when necessary, but not below the “section chief” level. The Department of Justice has delegated record-requesting authority to the “head of a component or a United States Attorney, or either’s designee.” 28 C.F.R. § 6.40(c) (2014); cf. Lora v. INS, No. 2:02cv756, 2002 WL 32488472, at *2 (E.D. Va. Oct. 8, 2002) (applying subsection (b)(7) to disclosure of information from INS file upon request from Assistant United States Attorney), aff’d per curiam, 61 F. App’x 80 (4th Cir. 2003).
8. 5 U.S.C. § 552a(b)(
- Health or Safety of an Individual
“No agency shall disclose any record which is contained in a system of records…except pursuant to a written request by, or with the prior written consent of, the individual to whom the record pertains, unless the disclosure would be—
…
(
to a person pursuant to a showing of compelling circumstances affecting the health or safety of an individual if upon such disclosure notification is transmitted to the last known address of such individual.” 5 U.S.C. § 552a(b)(
.
Comment:
Under this exception, agencies may disclose records under emergency conditions that affect an individual’s health or safety. See Schwarz v. INTERPOL, No. 94-4111, 1995 WL 94664, at *1 n.3 (10th Cir. Feb. 28, 1995) (finding unsubstantiated allegations alone do not constitute “showing of compelling circumstances”); Stafford v. SSA, 437 F. Supp. 2d 1113, 1121 (N.D. Cal. 2006) (holding that SSA did not satisfy health and safety exception because agency did not provide plaintiff requisite notice after disclosing that plaintiff received disability benefits to state child protective services to investigate possible child abuse); Schwarz v. Treasury, 131 F. Supp. 2d 142, 146-47 (D.D.C. 2000) (citing and agreeing with Schwarz v. INTERPOL), aff’d, No. 00-5453, 2001 WL 67463 (D.C. Cir. May 10, 2001); DePlanche v. Califano, 549 F. Supp. 685, 703-04 (W.D. Mich. 1982) (emphasizing emergency nature of exception to be used “where consent cannot be obtained because of time and distance and instant action is required” and noting that “this subsection was intended to apply only to such valid life and death situations as an airplane crash or epidemic”).
OMB guidelines, in apparent conflict with the text of the health or safety disclosure exception, states that the individual on whom the record pertains “need not necessarily be the individual whose health or safety is at peril.”
According to OMB 1975 Guidelines, the individual about whom records are disclosed “need not necessarily be the individual whose health or safety is at peril; e.g., release of dental records on several individuals in order to identify an individual who was injured in an accident.” 40 Fed. Reg. at 28,955,
https://www.justice.gov/paoverview_omb-75 (unsubstantiated allegations that fail to be “compelling circumstances” also fail to justify the release of records to an individual who requested disclosure but who is not the subject of the records). This construction, while sensible as a policy matter, appears to conflict with the actual wording of subsection (b)(
, although the wording of this provision is not precise.
9. 5 U.S.C. § 552a(b)(9) – Congress
“No agency shall disclose any record which is contained in a system of records…except pursuant to a written request by, or with the prior written consent of, the individual to whom the record pertains, unless the disclosure would be—
…
(9) to either House of Congress, or, to the extent of matter within its jurisdiction, any committee or subcommittee thereof, any joint committee of Congress or subcommittee of any such joint committee.” 5 U.S.C. § 552a(b)(9).
Comment:
The congressional disclosure exception does not authorize the disclosure of a record to an individual Member of Congress acting on his or her own behalf, or on behalf of a constituent.
This exception allows for disclosure of records to Congress but does not authorize the disclosure of a Privacy Act-protected record to an individual Member of Congress acting on his or her own behalf or on behalf of a constituent. See OMB 1975 Guidelines, 40 Fed. Reg. at 28,955,
https://www.justice.gov/paoverview_omb-75; OMB Supplementary Guidance, 40 Fed. Reg. at 56,742,
https://www.justice.gov/paoverview_omb-75-supp; see also Swenson v. USPS, 890 F.2d 1075, 1077 (9th Cir. 1989) (determining disclosure was improper when subject of records USPS disclosed to congressman did not request disclosure); Lee v. Dearment, No. 91-2175,1992 WL 119855, at *2 (4th Cir. June 3, 1992); cf. Chang v. Navy, 314 F. Supp. 2d 35, 45-47 (D.D.C. 2004) (discussing subsection (b)(9) and parties’ dispute as to whether disclosure was allowable because it involved committee inquiry or not allowable because it involved constituent inquiry, but ultimately finding disclosure was proper pursuant to routine use permitting disclosure to Members of Congress making inquiries on behalf of constituents). See generally U.S. Dep’t of Justice, Off. of Info. Pol’y, OIP Guidance: Congressional Access Under FOIA, in FOIA Update, Vol. V, No. 1, at 3-4,
http://www.justice.gov/oip/foia_updates/Vol_V_1/page3.htm (interpreting counterpart provision of FOIA).(interpreting counterpart provision of FOIA).
The Second Circuit has held that an agency may disclose records consistent with the congressional disclosure exception, even if the agency knew or reasonably should have known that the information would subsequently become public.
The Court of Appeals for the Second Circuit in Devine v. United States, held that the unsolicited disclosure of an Inspector General letter to a congressional subcommittee chairman and member fell “squarely within the ambit of § 552a(b)(9),” and rejected the appellant’s argument that subsection (b)(9) should not apply if the government agency knew or should have known that the information would eventually be released to the public. 202 F.3d 547, 551-53 (2d Cir. 2000).
10. 5 U.S.C. § 552a(b)(10) - Government Accountability Office
“No agency shall disclose any record which is contained in a system of records…except pursuant to a written request by, or with the prior written consent of, the individual to whom the record pertains, unless the disclosure would be—
…
(10) to the Comptroller General, or any of his authorized representatives, in the course of the performance of the duties of the G[overnment] Account[ability] Office.” 5 U.S.C. § 552a(b)(10).
11. 5 U.S.C. § 552a(b)(11) - Court Order
“No agency shall disclose any record which is contained in a system of records…except pursuant to a written request by, or with the prior written consent of, the individual to whom the record pertains, unless the disclosure would be—
…
(11) pursuant to the order of a court of competent jurisdiction.” 5 U.S.C. § 552a(b)(11).
Comment:
The Privacy Act does not prohibit the disclosure of relevant records during discovery when disclosed consistent with the Privacy Act’s disclosure provision; agencies frequently utilize the court order disclosure exception during discovery.
Subsection (b)(11) permits a court of competent jurisdiction to order disclosure of Privacy Act protected information that would otherwise be prohibited from disclosure without prior written consent of the individual to whom the record pertains.
As a general proposition, the Privacy Act does not act as a shield against discovery of relevant records that are otherwise protected under the Privacy Act, and the records may become discoverable through litigation if ordered by a court. Laxalt v. McClatchy, 809 F.2d 885 (D.C. Cir. 1987). The essential point of this exception is that the Privacy Act “cannot be used to block the normal course of court proceedings, including court-ordered discovery.” Clavir v. United States, 84 F.R.D. 612, 614 (S.D.N.Y. 1979); see also, Garraway v. Ciufo, No. 1:17-cv-00533, 2020 WL 1263562 (E.D. Cal. Mar. 16, 2020); Dawson v. Great Lakes Edu. Loan Services, Inc., No. 15-cv-475-JDP, 2018 WL 9539117 (W.D. Wis. Nov. 29, 2018); Adams v. Sotelo, No. 3:16-cv-02161, 2018 WL 30199288, at *2 (S.D. Cal. June 18, 2018); Ayers v. Lee, No. 14cv542-BGS, 2017 WL 2472840, at *3 (S.D. Cal. Jun. 8, 2017); Tidwell v. Brennan, No. 1:14-cv-553, 2015 WL 40922771 (S.D. Ohio July 6, 2015); United States v. Revland, No. 5:06–HC–2212, 2011 WL 7665381, at *1 (E.D.N.C. Nov. 30, 2011); Vinzant v. United States, No. 2:06-cv-10561, 2010 WL 2674609, at *7 (E.D. La. June 30, 2010) (stating that where defendant agency objected to disclosing Privacy Act records requested in discovery, “the ‘court order exception’ to the Privacy Act will preclude any future liability for disclosure, thereby alleviating the government’s concern and nullifying its objection”); SEC v. Gowrish, No. 09-05883 SI, 2010 WL 1929498, at *2 (N.D. Cal. May 12, 2010); In re Katrina Canal Breaches Consol. Litig., No. 05-4182, 2007 WL 1959193, at *6 (E.D. La. June 27, 2007); Rogers v. England, 246 F.R.D. 1, 3 n.6 (D.D.C. Mar. 15, 2007); B & H Towing, No. 6:05-cv-00233, 2006 WL 1728044, at *5 (S.D. W. Va. June 23, 2006); Martin v. United States, 1 Cl. Ct. 775, 780-82 (Cl. Ct. Mar. 17, 1983).
The court order disclosure exception does not, itself, confer federal jurisdiction or create a right of action to obtain a court order.
Nor does this exception confer federal jurisdiction or create a right of action to obtain a court order for the disclosure of records. See Sheetz v. Marti, No. 10-10844, 2010 WL 2034775, at *1 (D. Mass. May 19, 2010) (stating that “in the absence of federal question jurisdiction . . . , diversity jurisdiction . . . , or some other statutory grant of jurisdiction, this court lacks authority to issue a subpoena” against federal agency for records plaintiff sought in connection with his divorce proceedings); Haydon Bros. Contracting, Inc. v. SSA, No. 7:11-96, 2012 WL 38608, at *2-4 (E.D. Ky. Jan. 9, 2012) (stating that where plaintiff was seeking (b)(11) order to require agency to disclose third party’s records, “the Privacy Act permits disclosure of an individual’s records pursuant to a court order, it does not provide expressly for a private right of action to obtain such an order,” and “implying a civil remedy. . .is not consistent with the legislative scheme of the Privacy Act.”); see also Bryant v. SSA, No. 14CV5764, 2015 WL 6758094, at *4 (S.D.N.Y. Nov. 5, 2015).
Relevant case law focuses on two aspects of the court order disclosure exception: what constitutes an “order of a court,” and what constitutes a court of “competent jurisdiction.”
This (b)(11) court order exception – like the subsection (b)(3) routine use exception – has generated a great deal of uncertainty due to its lack of guidance on what constitutes an “order of a court” and a “court of competent jurisdiction.” Unfortunately, neither the Act’s legislative history nor the OMB 1975 Guidelines shed light on either of these meanings or illuminate whether there are specific requirements one must meet to rely on this exception. The relevant case law below provides guidance on both prongs of this exception, however: 1) the meaning of “order of a court” and 2) when a court has “competent jurisdiction.” See 120 Cong. Rec. at 36,959, reprinted in Source Book at 936,
https://www.justice.gov/opcl/paoverview_sourcebook; OMB 1975 Guidelines, 40 Fed. Reg. at 28,955,
https://www.justice.gov/paoverview_omb-75.
a. Meaning of “Court Order”
i. Judge Approved
Courts have generally interpreted the court order disclosure exception to require the “order of a court” to be specifically approved by a judge.
To constitute a court order under subsection (b)(11), a judge must approve the order. In Doe v. DiGenova, 779 F.2d 74, 77-85 (D.C. Cir. 1985), the D.C. Circuit decisively ruled that a subpoena routinely issued by a court clerk – such as a federal grand jury subpoena – is not a “court order” within the meaning of this exception because it is not “specifically approved” by a judge. Cf. Ricoma v. Standard Fire Ins. Co., No. 5:12-CV-18, 2013 WL 1164499, at *1 n.2 (E.D.N.C. Mar. 20, 2013) (finding proposed subpoena deficient on other grounds and discussing request for subpoena to be signed by judge in accordance with subsection (b)(11)); Hoffman v. Astrue, No. 3:10-CV-00214, 2011 WL 195617, at *4 (W.D. Ky. Jan. 18, 2011) (ruling that agency need not comply with state court subpoena to disclose records because all 12 exceptions under Privacy Act are “inapposite”).
Prior to Doe v. DiGenova, the courts were split on this point. Compare Bruce v. United States, 621 F.2d 914, 916 (8th Cir. 1980) (dictum) (finding subpoena is not court order), and Stiles v. Atlanta Gas Light Co., 453 F. Supp. 798, 800 (N.D. Ga. 1978) (finding that Privacy Act will prevent disclosure of subpoenaed documents unless “the court specifically orders them produced pursuant to section 552a(b)(11)”), with Adams v. United States Lines, No. 80-0952, slip op. at 2-3 (E.D. La. Mar. 16, 1981) (finding subpoena is court order). Cf. Moore v. USPS, 609 F. Supp. 681, 682 (E.D.N.Y. 1985) (finding subpoena is court order where it is required to be approved by judge under state law).
Note that an agency cannot avoid the result in Doe v. DiGenova by relying on a routine use that seeks to authorize disclosure pursuant to a subpoena. See Doe v. Stephens, 851 F.2d 1457, 1465-67 (D.C. Cir. 1988) (discussed in detail above under exception, “5 U.S.C. 552a(b)(3) - Routine Uses”).
ii. Standards for Issuance of a Court Order
Because the Privacy Act’s court order disclosure exception contains no standard that governs the issuance of a court order, courts have relied on a number of considerations, with varying degrees of clarity.
Under the Privacy Act’s subsection (b)(11) exception, there is no standard governing the issuance of a “court order.” Unlike other federal privacy-related or confidentiality statutes, subsection (b)(11) contains no standard governing the issuance of an order authorizing the disclosure of otherwise protected Privacy Act information. See, e.g., 42 U.S.C. § 290dd-2 (2018) (listing “good cause” factors to be weighed by court in evaluating applications for orders permitting disclosure of records pertaining to substance abuse); 20 U.S.C. § 1232g(b)(2)(B) (prohibiting disclosure unless, inter alia, “information is furnished in compliance with a judicial order, or pursuant to any lawfully issued subpoena, upon condition that parents and the students are notified of all such orders or subpoenas in advance of the compliance therewith by the educational institution or agency”).
However, there are a number of considerations that the courts have used, with varying degrees of clarity, to assess whether a “court order” was issued. These considerations include:
a) Qualified Discovery Privilege
The Privacy Act does not create heightened discovery requirements.
Some courts have held, for example, that because the Privacy Act does not itself create a qualified discovery “privilege,” a showing of “need” is not a prerequisite to initiating discovery of protected records. See Laxalt v. McClatchy, 809 F.2d 885, 888-90 (D.C. Cir. 1987); see also Weahkee v. Norton, 621 F.2d 1080, 1082 (10th Cir. 1980) (noting that objection to discovery of protected records “does not state a claim of privilege”); CFPB v. Navient Corp., No. 3:17-CV-101, 2018 WL 3824367 (M.D. Pa. Aug. 10, 2018) (agreeing “with the numerous courts that have found that the Privacy Act does not create a qualified discovery privilege); Bowden-Walker v. Wal-Mart, No. 3:14-cv-917, 2015 WL 13450672 (S.D. Miss. July 22, 2015); Ala. & Gulf Coast Ry., LLC v. United States, No. CA 10-0352, 2011 WL 1838882, at *3-5 (S.D. Ala. May 13, 2011) (citing Laxalt in determining relevance of personnel files); Bosaw v. NTEU, 887 F. Supp. 1199, 1215-17 (S.D. Ind. 1995) (citing Laxalt with approval, although ultimately determining that court did not have jurisdiction to rule on merits of case); Ford Motor Co. v. United States, 825 F. Supp. 1081, 1083 (Ct. Int’l Trade 1993) (“[T]he Privacy Act does not establish a qualified discovery privilege that requires a party seeking disclosure under 5 U.S.C. § 552a(b)(11) to prove that its need for the information outweighs the privacy interest of the individual to whom the information relates.”); Clavir v. United States, 84 F.R.D. 612, 614 (“[It] has never been suggested that the Privacy Act was intended to serve as a limiting amendment to . . . the Federal Rules of Civil Procedure.”); cf. Baldrige v. Shapiro, 455 U.S. 345, 360-62 (1981) (holding that Census Act constitutes statutorily created discovery “privilege” because it precludes all disclosure of raw census data despite need demonstrated by litigant).
b) Relevance
The D.C. Circuit has held that the only test for discovery of records is a “relevance” standard, in accordance with the Federal Rules of Civil Procedure.
The D.C. Circuit’s decision in Laxalt v. McClatchy establishes that the only test for discovery of Privacy Act-protected records is “relevance” under Rule 26(b)(1) of the Federal Rules of Civil Procedure. 809 F.2d at 888-90; see also, e.g., Pa. v. Navient Corp., 348 F. Supp. 3d 394, 398 (M.D. Pa. 2018) (ordering production of all disputed records and requiring parties to resolve potential burden, scope and relevancy issues related to production of records); Ali v. Gilead Science, Inc., No. 18-cv-00677, 2018 WL 3629818, at *2 (N.D. Cal. July 31, 2018) (citing Laxalt and noting that “the Privacy Act does not protect information from disclosure in litigation pursuant to a valid discovery request”); Ali v. eBay, Inc., No. 17-cv-06589, 2018 WL 3368389 (N.D. Cal. July 10, 2018); Needham & Co., LLC, No. 15 Civ. 2487, 2017 WL 2779800, at *1 (S.D.N.Y. June 6, 2017); Meyer v. United States, No. 16-2411, 2017 WL 735750, at *4 (D. Kan. Feb. 24, 2017) (citing Laxalt and noting that requested information “is not only relevant to this action, it is potentially essential” and thereby, required to be disclosed, but parties were encouraged to address further privacy issues through protective order); Jackson v. Safeco Insurance Co. of Ill, No. CV 14–162, 2014 WL 12658918 (D. Mont. Dec. 19, 2014); Riascos-Hurtado v. United States, No. 09-CV-0003, 2011 U.S. Dist. LEXIS 28008, at *1 (E.D.N.Y. Mar. 17, 2011) (citing Laxalt and granting plaintiff’s motion to compel production of background investigation of former agency employee, which was “relevant to the action and may be relied upon by Plaintiffs in opposing the Government’s motion” to dismiss); Buechel v. United States, No. 08-132, 2010 WL 3310243, at *1 (S.D. Ill. Aug. 19, 2010); R.T. Vanderbilt Co. v. United States, No. 95-283, 2010 WL 2706282, at *6 (Fed. Cl. July 8, 2010); SEC v. Gowrish, No. C 09-05883, 2010 WL 1929498, at *2 (N.D. Cal. May 12, 2010); Stiward v. United States, No. 05-1926, 2007 WL 2417382, at *1 (E.D. La. Aug. 24, 2007); Ezell v. Potter, No. 2:01 CV 637, 2006 WL 1094558, at *2 (N.D. Ind. Mar. 16, 2006); Hassan v. United States, No. C05-1066C, 2006 WL 681038, at *2 (W.D. Wash. Mar. 15, 2006); Snyder v. United States, No. 02-0976, 2003 WL 21088123, at *2-3 (E.D. La. May 12, 2003); Lynn v. Radford, No. 99-71007, 2001 WL 514360, at *3 (E.D. Mich. Mar. 16, 2001); Anderson v. Cornejo, No. 97 C 7556, 2001 WL 219639, at *3 (N.D. Ill. Mar. 6, 2001); Hernandez v. United States, No. 97-3367, 1998 WL 230200, at *2-3 (E.D. La. May 6, 1998); Forrest v. United States, No. 95-3889, 1996 WL 171539, at *2 (E.D. Pa. Apr. 11, 1996); Bosaw, 887 F. Supp. at 1216-17 (citing Laxalt with approval, although ultimately determining that court did not have jurisdiction to rule on merits of case); Ford Motor Co., 825 F. Supp. at 1083-84; Mary Imogene Bassett Hosp. v. Sullivan, 136 F.R.D. 42, 49 (N.D.N.Y. 1991); O’Neill v. Engels, 125 F.R.D. 518, 520 (S.D. Fla. 1989); Broderick v. Shad, 117 F.R.D. 306, 312 (D.D.C. 1987); In re Grand Jury Subpoenas Issued to USPS, 535 F. Supp. 31, 33 (E.D. Tenn. 1981); Christy v. United States, 68 F.R.D. 375, 378 (N.D. Tex. 1975).
c) Balancing Need for Information and Potential Harm
Other courts have assessed court orders by balancing the potential harm to the affected party from disclosure without restrictions and the requesting party’s need for the record.
Courts have also assessed whether orders should be granted by balancing the potential harm to the affected party from disclosure without restrictions and the need of the requesting party for the particular information. See Perry v. State Farm Fire & Cas. Co., 734 F.2d 1441, 1447 (11th Cir. 1984) (asserting that requests for court orders “should be evaluated by balancing the need for the disclosure against the potential harm to the subject of the disclosure”); Pearlstein v. BlackBerry Ltd., No. 19-mc-91091, 2019 WL 6117145 (D. Mass. Nov. 18, 2019) (concluding that compelling disclosure without notice, and without consideration of privacy interests of named individuals, ran afoul of privacy interests of individuals in nondisclosure of documents); Romeo v. Israel, No. 13-CV-61411, 2016 WL 3646858, at *2-6 (S.D. Fla. June 28, 2016) (balancing need for disclosure of information with potential harm to subjects of disclosure and determining that information was relevant, but in order to protect interests of individuals in case, documents would be reviewed in camera and only produced what is relevant to matter); Abidor v. Johnson, No. 10-CV-4059, 2016 WL 3102017, at *7 (E.D. N.Y. June 2, 2016); Verrill v. Battelle Energy All., No. 4:12-cv-00628, 2013 WL 5816632, at *2 (D. Idaho Oct. 28, 2013) (finding that either standard of “relevancy” or standard “balancing the need for the disclosure against the potential harm to the subject of the disclosure” was met and that harm to third-parties is limited since request is “narrowly circumscribed to involve only their performance reviews and documents pertaining to any investigation surrounding their termination” and that protective order would ensure confidentiality of information); Hall v. Hous. Auth. of Cnty. of Marin, No. 12-04922, 2013 WL 5695813, at *3 (N.D. Cal. Oct. 18, 2013) (finding that plaintiffs’ need for information to support claim seeking relief under 42 U.S.C. § 1983 for alleged violations of the U.S. Housing Act “outweighs any privacy interests, especially in light of the Protective Order and other steps, such as redaction, that can be taken to reduce privacy concerns”); Gutierrez v. Benavides, 292 F.R.D. 401, 404-06 (S.D. Tex. 2013) (finding that “in determining whether to grant a protective order, the court must balance the requesting party’s need for the information against the injury that might result if uncontrolled disclosure if compelled” and “[t]hrough this balancing process, courts should afford due weight to the affected party’s privacy interest”; and determining that personnel records of federal employees other than “‘records indicating official misconduct, abuse of power, or constitutional violations’ are to be protected from public disclosure”); Am. Modern Select Ins. Co. v. Sutherland, No. CV-12-S-1681, 2013 WL 1767827, at *2-3 (N.D. Ala. Apr. 18, 2013) (granting limited order for production of documents as plaintiff, an insurance company, “had a clear need for some of the documents in order to properly develop its arson defense,” which outweighed any potential harm to defendant, especially considering limited scope of order); United States v. Meyer, No. 2:11-cr-43, 2011 U.S. Dist. LEXIS 94270, at *1 (M.D. Fla. Aug. 23, 2011) (granting order after “balanc[ing] the need for disclosure against the potential harm from disclosure”); In re Becker v. Becker, No. 09-70173, 2010 WL 3119903, at *4 (Bnkr. W.D. Tex. Aug. 6, 2010) (ruling that although court was “authorized to order discovery of confidential records, it must balance the public interest in avoiding harm from disclosure against the benefits of providing relevant evidence”); Newman, No. 81-2480, slip op. at 3 (D.D.C. Sept. 13, 1982) (evaluating “legitimacy” of discovery requests and “need” for records as factors governing issuance of court order); cf. Hounshel v. Battelle Energy Alliance, LLC, No. 4:11-CV-00635, 2013 WL 5375833, at *2 (D. Idaho Sept. 24, 2013) (finding that “[r]esolution of a privacy objection requires a balancing of the need for the information sought against the privacy right asserted” and granting limited order allowing plaintiff access to third-party mental health records of employees of defendant); Ibrahim v. DHS, No. 06-00545, 2013 WL 1703367, at 6 (N.D. Cal. Apr. 19, 2013) (ordering disclosure under protective order and stating that “government may redact documents only to remove information relating to third parties who are private individuals and who are unrelated to plaintiff and her claims (relating to her challenge of being placed on government watch lists”). But cf. FDK Am., Inc. v. United States, 973 F. Supp. 2d 1315, 1318 (Ct. Int’l Trade Apr. 4, 2014) (holding motion for protective order in abeyance pending plaintiff’s certification of identity of third party who had control of documents plaintiff sought; subsequent determination of whether third-party provides consent, or was located outside territorial jurisdiction of the court).
iii. Limiting Discovery with Protective Order
Courts have held that a protective order limiting discovery under the Federal Rules of Civil Procedure is a proper procedural device for protecting records under the court order disclosure exception.
It is important to note that a protective order limiting discovery under Rule 26(c) of the Federal Rules of Civil Procedure (based, if appropriate, upon a court’s careful in-camera inspection) is a proper procedural device for protecting particularly sensitive Privacy Act-protected records when subsection (b)(11) court orders are sought. See Laxalt, 809 F.2d at 889-90; see also, e.g., Noble v. City of Fresno, No. 116CV01690DADBAM, 2017 WL 5665850, at *5 (E.D. Cal. Nov. 27, 2017) (stating that Defendant’s concerns could be assuaged by “tightly drawn” protective order specifying specific access and uses of information); Upstate Shredding, LLC v. Northeastern Ferrous, Inc., No. 3:12-CV-1015, 2016 WL 865299, at *16-17 (N.D.N.Y. Mar. 2, 2016) (upholding protective order issued to protect Privacy Act information that was violated and awarding fees associated with filing motion to enforce protective order); Minshew v. Donley, No. 2:10-CV-01593, 2013 WL 12410940, at *2 (D. Nev. Mar. 19, 2013) (permitting “redaction of exhibits containing [p]laintiff’s personal identification including her address and social security number” in documents that were to be unsealed because “public interest in such information is outweighed by the privacy concerns in revealing information”); SEC v. Kovzan, No. 11-2017, 2013 WL 647300, at *5 (D. Kan. Feb. 21, 2013) (noting that Privacy Act was not intended to limit Federal Rules of Civil Procedure and stating “this court typically approves protective orders directing the release of information coming within the protections of the Privacy Act”); Nguyen v. Winter, 756 F. Supp. 2d 128, 129 (D.D.C. 2010) (stating that “[p]ersonnel files cannot be produced without a Privacy Act protective order”); Buechel v. United States, 2010 WL 3310243, at *3-4 (S.D. Ill. Aug. 19, 2010) (issuing protective order to address defendant’s concern that “institutional safety militates against disclosure of information regarding exposure to MRSA within [Federal correctional institution]”); SEC v. Gowrish, 2010 WL 1929498, at *3 (ordering production of Privacy Act-protected documents, but fashioning protective order permitting redaction of information which if disclosed “may compromise any ongoing, unrelated criminal investigation,” while simultaneously requiring submission of unredacted copies for in-camera review); United States v. Chromatex, Inc., No. 91-1501, 2010 WL 2696759, at *10 (M.D. Pa. July 6, 2010) (ordering disclosure in camera to “allow the court to determine whether a protected order pursuant to the Privacy Act may properly be issued”); Sattar v. Gonzales, No. 07-cv-02698, 2009 WL 2207691, at *1-2 (D. Colo. July 20, 2009) (granting defendants’ motion for protective order where plaintiff sought discovery of documents that defendants claimed were protected by Act); Lopez v. Chula Vista Police Dep’t, No. 07 CV 01272, 2008 WL 8178681, at *1 (S.D. Cal. Oct. 21, 2008) (issuing (b)(11) protective order to govern disclosure of Privacy Act records concerning ongoing investigations that may reveal confidential informant and investigatory techniques and methods); In re Katrina Canal Breaches Consol. Litig., No. 05-4182, 2007 WL 1959193, at *6 (E.D. La. June 27, 2007) (ordering that subsection (b)(11) of Privacy Act allowed disclosure of materials containing “sensitive personal information” as long as they were designated as confidential pursuant to “Master Protective Order”); Boudreaux v. United States, No. 97-1592, 1999 WL 499911, at *1-2 (E.D. La. July 14, 1999) (recognizing relevancy of subsection (b)(11) to court’s resolution of dispute over motion to compel responses to production of documents subject to Privacy Act, but ordering in-camera review of documents so that legitimacy of agency objections may be determined “in the considered and cautious manner contemplated by the Privacy Act”); Gary v. United States, No. 3:97-cv-658, 1998 WL 834853, at *4 (E.D. Tenn. Sept. 4, 1998) (finding that while third party’s personnel file may contain relevant information, disclosure of that file must be made pursuant to protective order); Bosaw, 887 F. Supp. at 1216-17 (citing Laxalt with approval, although ultimately determining that court did not have jurisdiction to rule on merits of case); Clymer v. Grzegorek, 515 F. Supp. 938, 942 (E.D. Va. 1981); cf. Brown v. Narvais, No. CIV-06-228-F, 2009 WL 2230774, at *3 (W.D. Okla. July 22, 2009) (recommending that parties agree to protective order to protect privacy interests of subject of information where plaintiff served subpoena on BOP seeking disclosure of Privacy Act-protected information); Forrest, 1996 WL 171539, at *2-3 (ordering parties to “explore the possibility of entering into a voluntary confidentiality agreement regarding protecting the privacy interests of those individuals affected by disclosure”); Loma Linda Cmty. Hosp. v. Shalala, 907 F. Supp. 1399, 1405 (C.D. Cal. 1995) (“Even if release of the data . . . had unexpectedly included information not already known to [the recipient], a confidentiality order could have been imposed to protect the privacy interests in issue.”); Williams v. McCausland, No. 90 Civ. 7563, 1992 WL 309826, at *3-4 (S.D.N.Y. Oct. 15, 1992) (directing parties to agree on and execute appropriate protective stipulation for information sought in discovery that, under Privacy Act’s subsection (b)(2) standard, would not be required to be disclosed under FOIA). But cf. Jacobs v. Schiffer, 204 F.3d 259, 264-66 & n.5 (D.C. Cir. 2000) (recognizing superiority of First Amendment rights and observing that there is “critical distinction between disclosures in the attorney-client context and public disclosures,” and pointing to attorney’s “willingness to enter into a protective order” as relevant to balancing of “the employee’s interests in communication with the government’s interests in preventing communication” where information that employee wished to disclose to his private attorney was covered by Privacy Act).
In some instances, it even may be appropriate for a court to entirely deny discovery. See, e.g., Farnsworth v. Proctor & Gamble Co., 758 F.2d 1545, 1546-48 (11th Cir. 1985) (affirming lower court’s holding that keeping study participants’ names private outweighs appellant’s discovery interests); In re Becker, 2010 WL 3119903, at *4 (noting that hardship to defendants’ privacy rights would be severe where plaintiff failed to establish relevance for requested disclosure); Weems v. Corr. Corp. of Am., No. CIV-09-443, 2010 WL 2640114, at *2 (E.D. Okla. June 30, 2010); Oslund v. United States, 125 F.R.D. 110, 114-15 (D. Minn. 1989); cf. Padberg v. McGrath-McKenchnie, No. 00-3355, 2007 WL 2295402, at *2 (E.D.N.Y. Aug. 9, 2007) (declining to decide “whether a court may ever order a government agency to disclose social security numbers despite the provisions of [the Social Security Act],” and refusing to order disclosure of social security numbers of class members who have not submitted claim forms pursuant to settlement agreement); Barnett v. Dillon, 890 F. Supp. 83, 88 (N.D.N.Y. 1995) (declining to order disclosure of FBI investigative records protected by Privacy Act to arrestees despite their assertion that records were essential to proper prosecution and presentment of claims in their civil rights lawsuit).
In Redland Soccer Club, Inc. v. Army, No. 1:CV-90-1072, slip op. 1-3 & accompanying order (M.D. Pa. Jan. 14, 1991), aff’d, rev’d & remanded, on other grounds, 55 F.3d 827 (3d Cir. 1995), the district court, recognizing the “defendants’ initial reluctance to respond to plaintiffs’ [discovery] requests without a specific order of court [as] a reasonable precaution in light of the terms of the Privacy Act,” solved the dilemma by ordering the Army to respond to “all properly framed discovery requests in th[e] proceeding” and that to deem responses “made pursuant to an order of court.” Id.; see also Long Island Sav. Bank v. United States, 63 Fed. Cl. 157, 159-160 (Fed. Cl. 2004) (concluding that “[t]he exception in the Privacy Act for actions taken under court order is satisfied here” because scheduling order “specifically incorporated [a provision of the local rules]” requiring parties to exchange “witness lists containing the addresses and telephone numbers of each witness”).
iv. Court Orders for Publicly Filing Protected Records with Courts
Agencies may affirmatively disclose Privacy Act-protected records during litigation, so long as the disclosure is made in accordance with the Privacy Act’s disclosure provision.
As noted above, the Act’s legislative history indicates that a court is not a “person” or “agency” within the meaning of subsection (b), and that the Act was “not designed to interfere with access to information by the courts.” 120 Cong. Rec. at 36,967, reprinted in Source Book at 958-59,
https://www.justice.gov/opcl/paoverview_sourcebook.
However, when an agency publicly files protected records with a court during the course of litigation without consent of the subject of the records, by definition the disclosure constitutes a subsection (b) disclosure. See Laningham v. Navy, No. 83-3238, slip op. at 2-3 (D.D.C. Sept. 25, 1984), summary judgment granted (D.D.C. Jan. 7, 1985), aff’d per curiam, 813 F.2d 1236 (D.C. Cir. 1987) (concluding that because court had issued an order allowing the Navy to file documents, Navy had “grounds for believing its actions lawful” pursuant to section 552a(b)(11)). Thus, such public filing is proper only if it is undertaken pursuant to: (1) the subsection (b)(3) routine use exception (previously discussed), or (2) the subsection (b)(11) court order exception.
Where the routine use exception is unavailable, an agency should obtain a subsection (b)(11) court order permitting such public filing. Cf. DiGenova, 779 F.2d at 85 n.20 (“This is not to say that a prosecutor, a defendant, or a civil litigant, cannot submit an in camera ex parte application for a [subsection (b)(11)] court order.”). However, in light of Laningham, agencies should take care to apprise the court of the Privacy Act-related basis for seeking the order. In Laningham, the district court ruled that the government’s nonconsensual disclosure of plaintiff’s “disability evaluation” records to the United States Claims Court was improper – even though such records were filed only after the agency’s motion for leave to file “out of time” was granted. Id. The court held that subsection (b)(11) applies only when “for compelling reasons, the court specifically orders that a document be disclosed,” and it rejected the agency’s argument that the exception applies whenever records happen to be filed with leave of court. Id. at 4.
The Court of Veterans Appeals has issued a “standing order” that permits the Secretary of Veterans Affairs to routinely file relevant records from veterans’ case files.
One unique solution to the problem of filing Privacy Act-protected records in court is illustrated by In re A Motion for a Standing Order, in which the Court of Veterans Appeals issued a “standing order” permitting the Secretary of Veterans Affairs to routinely file relevant records from veterans’ case files in all future proceedings with that court. 1 Vet. App. 555, 558-59 (Ct. Vet. App. 1990) (per curiam); cf. Perkins v. United States, No. 99-3031, 2001 WL 194928, at *3 (D.D.C. Feb. 21, 2001) (order) (authorizing parties to seek admission into evidence at trial of any materials subject to the court’s stipulated protective order pursuant to subsection (b)(11)).
b. Meaning of “Competent Jurisdiction”
The D.C. Circuit has equated the term “competent jurisdiction” with “personal jurisdiction.”
One of the few Privacy Act decisions to mention this oft-overlooked “competent jurisdiction” requirement is Laxalt v. McClatchy. 809 F.2d at 890-91. In that case, the Court of Appeals for the District of Columbia Circuit appeared to equate the term “competent jurisdiction” with “personal jurisdiction” and noted that the requests for discovery of the nonparty agency’s records “were within the jurisdiction of the District Court for the District of Columbia” as “[n]either party contends that the District Court lacked personal jurisdiction over the FBI’s custodian of records.” Id.
Of course, where an agency is a proper party in a federal case, the district court’s personal jurisdiction over the agency presumably exists, and thus, court-ordered discovery of the agency’s records is proper under subsection (b)(11).
However, where a party seeks discovery of a nonparty agency’s records pursuant to a subpoena duces tecum issued under Rule 45 of the Federal Rules of Civil Procedure, Laxalt suggests that the district court issuing the discovery order must have personal jurisdiction over the nonparty agency in order to be regarded as a court of “competent jurisdiction” within the meaning of subsection (b)(11). See 809 F.2d at 890-91; cf. Mason v. S. Bend Cmty. Sch. Corp., 990 F. Supp. 1096, 1097-99 (N.D. Ind. 1997) (determining that SSA’s regulations “generally do not authorize the release of . . . records upon order of a court, even a federal court, in the absence of a special circumstance as defined by the statutes and regulations,” and thus, finding SSA not to be in contempt of court for failure to comply with prior order compelling SSA, a nonparty, to produce documents). But cf. Lohrenz v. Donnelly, 187 F.R.D. 1, 8-9 (D.D.C. 1999) (finding that nonparty agency made requisite showing of good cause for court to enter protective order without discussing jurisdiction over nonparty agency). The issue of whether personal jurisdiction exists in this situation is not always clear – particularly where the nonparty agency’s records are kept at a place beyond the territorial jurisdiction of the district court that issued the discovery order. Indeed, this very issue was apparently raised but not decided in Laxalt, 809 F.2d at 890-91 (finding it unnecessary to decide whether federal district court in Nevada would have had jurisdiction to order discovery of FBI records located in District of Columbia).
Some, but not all, courts have held that state courts lack “competent jurisdiction” when issuing state court orders for the disclosure of a nonparty federal agency’s records.
Likewise, the existence of “competent jurisdiction” is questionable whenever a state court orders the disclosure of a nonparty federal agency’s records because the doctrine of “sovereign immunity” will ordinarily preclude state court jurisdiction over a federal agency or official. See, e.g., Boron Oil Co. v. Downie, 873 F.2d 67, 70-71 (4th Cir. 1989) (holding state court subpoena constitutes “action” against United States and thus sovereign immunity applied even though EPA was not party in suit); Bosaw, 887 F. Supp. at 1210-17 (finding state court lacked jurisdiction to order federal officers to produce documents because government did not explicitly waive its sovereign immunity and, because federal court’s jurisdiction in this case was derivative of state court’s jurisdiction, federal court was likewise barred from ordering officers to produce documents); Sharon Lease Oil Co. v. FERC, 691 F. Supp. 381, 383-85 (D.D.C. 1988) (holding state court subpoena quashed as state court lacked jurisdiction to compel nonparty federal official to testify or produce documents absent waiver of sovereign immunity); see also Moore v. Armour Pharm. Co., 129 F.R.D. 551, 555 (N.D. Ga. 1990) (citing additional cases on point); cf. Louisiana v. Sparks, 978 F.2d 226, 235 n.15 (5th Cir. 1992) (noting that “[t]here is no indication that [subsection (b)(11)] evinces congressional intent to broadly waive the sovereign immunity of [federal] agencies . . . when ordered to comply with state court subpoenas”); Longtin v. DOJ, No. 06-1302, 2006 WL 2223999, at *2-3 (D.D.C. Aug. 3, 2006) (citing Sparks, rejecting plaintiff’s argument that subsection (b)(11) is a “sweeping waiver of sovereign immunity”, and concluding that “neither the Superior Court of the District of Columbia nor the Circuit Court for Prince George’s County, Maryland constitute(s) a ‘court of competent jurisdiction’ . . . to issue an order compelling a federal official to comply with a state court subpoena”).
Nevertheless, in Robinett v. State Farm Mut. Auto. Ins. Co., No. 02-0842, 2002 WL 31498992, at *3-4 (E.D. La. Nov. 7, 2002), aff’d per curiam, 83 F. App’x 638 (5th Cir. 2003), the district court looked to subsection (b)(11) and held that State Farm “properly obtained” an order from the state court for release of plaintiff’s medical records where “plaintiff’s medical condition was relevant to the litigation.” The court upheld the Department of Veterans Affairs’ “determination that plaintiff’s records were subject to release based on the court order.” In upholding the district court’s decision, the Court of Appeals for the Fifth Circuit specifically stated that the medical records were “released pursuant to the exception for orders of a court of competent jurisdiction contained in 5 U.S.C. § 552a(b)(11).” 83 F. App’x at 639; see also Moore v. USPS, 609 F. Supp. 681, 682 (E.D.N.Y. 1985) (assuming without explanation that state court subpoena, required by state law to be approved by judge, constituted proper subsection (b)(11) court order; issue of “competent jurisdiction” was not addressed).
In addition, at least one state court has ruled that it has “competent jurisdiction” to issue a subsection (b)(11) court order permitting the disclosure of a Privacy Act-protected record. Tootle v. Seaboard Coast Line R.R., 468 So. 2d 237, 239 (Fla. Dist. Ct. App. 1984); cf. Saulter v. Mun. Court for the Oakland-Piedmont Judicial Dist., 142 Cal. App. 3d 266, 275 (Cal. Ct. App. 1977) (suggesting that state court can order state prosecutor to subpoena federal records for purpose of disclosing them to criminal defendant in discovery).
Agencies that construe state court orders as providing authority to disclose under subsection (b)(11) should be aware that compliance with such an order might be taken by a court as acquiescence to the court’s jurisdiction, notwithstanding applicable principles of sovereign immunity.
12. 5 U.S.C. § 552a(b)(12) - Debt Collection Act
“No agency shall disclose any record which is contained in a system of records…except pursuant to a written request by, or with the prior written consent of, the individual to whom the record pertains, unless the disclosure would be—
…
(12) to a consumer reporting agency in accordance with section 3711(e) of Title 31.” 5 U.S.C. § 552a(b)(12).
Comment:
This disclosure exception was added to the original eleven exceptions by the Debt Collection Act of 1982. It authorizes agencies to disclose bad-debt information to credit bureaus. 31 U.S.C. § 3711(e)(9)(F). Before doing so, however, agencies must complete a series of due process steps designed to validate the debt and to offer the individual an opportunity to repay it. See OMB Debt Collection Guidance, 48 Fed. Reg. 1,556,
https://www.justice.gov/paoverview_omb-83-dca.
Next Section: Accounting of Certain Disclosures
Updated February 16, 2021
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