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No. 10039344
United States Court of Appeals for the Ninth Circuit
Maria Pomares v. Usdva
No. 10039344 · Decided August 13, 2024
No. 10039344·Ninth Circuit · 2024·
FlawFinder last updated this page Apr. 2, 2026
Case Details
Court
United States Court of Appeals for the Ninth Circuit
Decided
August 13, 2024
Citation
No. 10039344
Disposition
See opinion text.
Full Opinion
FOR PUBLICATION
UNITED STATES COURT OF APPEALS
FOR THE NINTH CIRCUIT
MARIA A. POMARES, No. 23-55205
Plaintiff-Appellant, D.C. No.
3:21-cv-00084-H-
v. MSB
DEPARTMENT OF VETERANS
AFFAIRS, OPINION
Defendant-Appellee.
Appeal from the United States District Court
for the Southern District of California
Marilyn L. Huff, District Judge, Presiding
Argued and Submitted March 27, 2024
Pasadena, California
Filed August 13, 2024
Before: Susan P. Graber, Sandra S. Ikuta, and Danielle J.
Forrest, Circuit Judges.
Opinion by Judge Forrest
2 POMARES V. DEP’T OF V.A.
SUMMARY *
Freedom of Information Act
The panel affirmed in part and reversed in part the
district court’s summary judgment in favor of the
Department of Veterans Affairs (VA) in plaintiff’s action
seeking information from the VA under the Freedom of
Information Act (FOIA).
Plaintiff submitted three FOIA requests to the VA
concerning potential misconduct within the
VA. Specifically, she believed that Charmain Bogue, the
director of the Education Service in the Veterans Benefit
Administration, had improper ties to a political advocacy
organization and that the VA might have leaked nonpublic
information. Bogue’s husband was the founder and
President of Evocati, LLC, a consulting company that
provided public relations services to organizations that serve
the veterans’ community; and was also an advisor to
Veterans Education Success (VES), a nonprofit organization
that advocated before the Education Service. After plaintiff
submitted her FOIA requests, the VA’s Office of Inspector
General (OIG) found that Bogue had acted improperly.
Plaintiff argued that the VA’s manual search for
responsive emails in addressing her first FOIA request
seeking emails received or sent by several VA officials was
inadequate. The panel held that the VA’s search process was
*
This summary constitutes no part of the opinion of the court. It has
been prepared by court staff for the convenience of the reader.
POMARES V. DEP’T OF V.A. 3
reasonable and affirmed the district court’s judgment as to
the adequacy of the search.
Plaintiff next argued that the VA improperly relied on
several FOIA exemptions to withhold responsive records in
addressing her third FOIA request for records relating to
OIG investigations in which Bogue was a subject or a
witness. The panel affirmed the district court’s judgment
that the VA properly relied on FOIA Exemption 4
(commercial or financial and confidential information) in
withholding responsive documents that it obtained from
Evocati. With respect to the VA’s redaction of names and
contact information from certain emails under Exemption 6
(personal privacy), the panel affirmed the district court’s
judgment except as to the names (but not the email
addresses) of the VES employees who lobbied Congress or
the VA. Finally, with respect to the VA’s withholding of
interview transcripts from the OIG investigation under
Exemption 7(E) (law-enforcement techniques and
procedures), the panel held that it could not tell whether the
interview techniques and methods used by OIG fell within
Exemption 7(E), and therefore reversed the district court’s
judgment and remanded for further proceedings.
4 POMARES V. DEP’T OF V.A.
COUNSEL
Gary J. Aguirre (argued), Aguirre Law APC, San Diego,
California, for Plaintiff-Appellant.
Betsey Boutelle (argued), Assistant United States Attorney;
Katherine L. Parker, Assistant United States Attorney,
Chief, Civil Division; Tara K. McGrath, United States
Attorney; United States Department of Justice, Office of the
United States Attorney, San Diego, California; for
Defendant-Appellee.
OPINION
FORREST, Circuit Judge:
Maria Pomares requested information from the
Department of Veterans Affairs (VA) under the Freedom of
Information Act (FOIA), 5 U.S.C. § 552. The VA produced
many responsive records but withheld others under FOIA’s
exemptions. Pomares sued the VA under FOIA, and the
district court granted summary judgment to the VA. On
appeal, Pomares raises two challenges. First, she argues that
the VA’s manual search for responsive emails was
inadequate. Second, she argues that the VA improperly
relied on FOIA Exemptions 4 (commercial or financial and
confidential information), 6 (personal privacy), and 7(E)
(law-enforcement techniques and procedures) to withhold
responsive records. We have jurisdiction under 28 U.S.C.
§ 1291, and we affirm the district court’s judgment as to the
adequacy of the VA’s search, Exemption 4, and partially as
relates to Exemption 6, but we reverse and remand as to
Exemption 7(E) and partially as to Exemption 6.
POMARES V. DEP’T OF V.A. 5
I. BACKGROUND
A. Pomares’s Requests
Pomares sought records to shed light on potential
misconduct within the VA. She believed that a VA official
had improper ties to a political advocacy organization and
that the VA might have leaked nonpublic information.
Pomares’s first suspicion seems well-founded. Charmain
Bogue was the director of the Education Service in the
Veterans Benefit Administration. Director Bogue’s husband,
Barrett Bogue, was the founder and president of Evocati,
LLC, a consulting company that provides public relations
services to organizations serving the veterans’ community.
Mr. Bogue was also a part-time senior communications
advisor to Veterans Education Success (VES), a nonprofit
organization that advocated before the Education Service.
After Pomares submitted her FOIA requests, the VA’s
Office of Inspector General (OIG) found that Director Bogue
had acted improperly. Specifically, OIG found that Director
Bogue participated in matters involving VES without
considering the apparent conflict of interest, solicited
professional assistance from VES’s president, insufficiently
disclosed details about Mr. Bogue’s business, and refused to
cooperate fully in OIG’s investigation.
Pomares also suspected that the VA leaked information
to VES before it was public. VES wrote a letter to the
Veterans Benefit Administration suggesting that four for-
profit schools were ineligible to enroll veterans using federal
educational benefits. See 38 U.S.C. § 3696. Several weeks
later, and before any government announcement, VES
tweeted a press release stating that the VA intended to
suspend new enrollment at five schools (including three
schools that VES mentioned in its letter). Later that day, after
6 POMARES V. DEP’T OF V.A.
the markets closed, the VA announced its decision. Before
either announcement, the stock of the company that owned
two of the for-profit schools had already been falling.
Pomares inferred that some investors had learned of the
decision from the VA before it was announced.
To learn more, Pomares submitted three FOIA requests
to the VA. The requests were processed by several officials.
On appeal, Pomares challenges the VA’s search for emails
sought in her first request and the VA’s withholding of OIG
records that she sought in her third request.
B. Email Search
Pomares’s first request sought emails received or sent by
several VA officials, including Margarita Devlin and
Director Bogue. The request for Devlin’s emails was
assigned to Veterans Benefit Administration FOIA Program
Specialist Quanisha Jones. Jones asked the Office of
Information and Technology, Operations and Services
eDiscovery department (ITOPS) to perform an electronic
search for Devlin’s emails containing terms specified by
Pomares. ITOPS identified 155 pages that Jones determined
were responsive and that she released after considering
FOIA’s exemptions. Pomares appealed administratively,
and the Office of General Counsel remanded the request for
reprocessing. In its second search, using slightly modified
search terms as directed on remand, ITOPS produced 731
pages. Following review, Jones determined that only 138 of
those pages were responsive and that some should be
withheld under FOIA exemptions.
The request for Director Bogue’s emails was first
assigned to Veterans Benefit Administration FOIA analyst
Stephanie Tucker. Tucker told Pomares that 463 pages of
emails were found, but some were not responsive, and many
POMARES V. DEP’T OF V.A. 7
redactions were made for personal privacy under Exemption
6. Tucker later resigned from her position, and no
declaration or Vaughn Index was created for her search. 1 The
Office of General Counsel directed Jones to reprocess
Pomares’s request for Director Bogue’s emails. As with the
Devlin emails, Jones requested ITOPS to perform a search
based on the terms in the FOIA request. ITOPS produced
8,049 potentially responsive pages. For more than a month,
Jones reviewed the documents “page-by-page and line-by-
line.” Ultimately, Jones determined that 166 pages were
responsive, and she released them after applying FOIA’s
exemptions.
C. Inspector General’s Records
Pomares’s third request sought all records relating to
OIG investigations concerning the handling of material,
nonpublic information or investigations in which Director
Bogue was a subject or witness. OIG Supervisory
Government Information Specialist Ruthlee Gowins-
Bellamy processed the request. VES and Evocati reviewed
records that they had submitted to OIG under subpoena, and
both requested exemptions under Exemption 4 for
commercial, confidential records. These records were
withheld almost entirely, and several names were redacted
from emails under Exemption 6 to protect individuals’
privacy. Finally, the VA withheld 2,164 pages of interview
transcripts in their entirety under Exemptions 6, 7(C), and
1
A Vaughn Index is a document that a government agency supplies to
opposing parties and the court that identifies the documents withheld, the
statutory exemptions claimed, and particularized explanations of how
disclosure of a particular document would damage the interest protected
by the claimed FOIA exemption. Hamdan v. U.S. Dep’t of Just., 797 F.3d
759, 769 n.4 (9th Cir. 2015).
8 POMARES V. DEP’T OF V.A.
7(E) to protect witnesses’ privacy and shield confidential
interview methods.
D. District Court Proceedings
Pomares sued the VA under FOIA, seeking declaratory
relief, an injunction compelling production of responsive
records, and attorneys’ fees and costs. Pomares and the VA
each moved for summary judgment, and the district court
granted the VA’s motion. The court concluded that FOIA
authorizes manual or electronic searches, so the VA’s search
process was lawful and otherwise reasonable. The district
court also determined that the VA properly justified
withholdings under Exemptions 4, 5, 6, and 7. The Vaughn
Indices were necessarily adequate, the court reasoned,
because they included sufficient detail to justify the
withholdings. The district court considered thousands of
pages across more than ten separate FOIA searches. The
scope of our review in this appeal is narrower: we consider
the adequacy of the VA’s search for two officials’ emails and
the applicability of Exemption 4 to records submitted by
Evocati; Exemption 6 to emails from VES, Evocati, and the
Inspector General; and Exemption 7(E) to transcripts from
OIG interviews.
II. DISCUSSION
We review the district court’s summary judgment
decision de novo. Animal Legal Def. Fund v. U.S. Food &
Drug Admin., 836 F.3d 987, 990 (9th Cir. 2016) (en banc)
(per curiam).
A. Adequacy of the VA’s Search
Upon request, a federal agency “shall make . . . records
promptly available.” 5 U.S.C. § 552(a)(3)(A). To determine
whether an agency has fulfilled its duty, rather than
POMARES V. DEP’T OF V.A. 9
rummaging through government files, we analyze whether
the agency performed an adequate search. See Transgender
L. Ctr. v. Immigr. & Customs Enf’t, 46 F.4th 771, 779 (9th
Cir. 2022). An adequate search is one that is “reasonably
calculated to uncover all relevant documents.” Id. (quoting
Hamdan, 797 F.3d at 770). And it is the agency’s burden to
prove “beyond material doubt” that it has taken “all
reasonable measures to uncover all relevant documents.” Id.
at 779–80. We consider not whether the agency produced
every responsive document but rather whether its search was
reasonable. Hamdan, 797 F.3d at 770–71; accord Trentadue
v. Fed. Bureau of Investigation, 572 F.3d 794, 797 (10th Cir.
2009) (“[T]he focal point of the judicial inquiry is the
agency’s search process, not the outcome of its search.”).
In 1996, Congress amended FOIA to require agencies to
“make reasonable efforts to search for . . . records in
electronic form or format,” unless doing so would
“significantly interfere” with the agency’s information
systems. Electronic FOIA Amendments of 1996, Pub. L. No.
104-231, § 5, 110 Stat. 3048, 3050 (codified at 5 U.S.C.
§ 552(a)(3)(C)). “‘[S]earch’ means to review, manually or
by automated means, agency records” to determine
responsiveness. 5 U.S.C. § 552(a)(3)(D). Pomares reads
§ 552(a)(3)(C) as requiring not only that electronic records
be searched but also that records must be searched
electronically so long as that method would not significantly
interfere with the agency’s information systems. Under that
reading, Pomares argues, Jones violated FOIA by manually
reviewing each email identified by ITOPS. In Pomares’s
view, Jones simply should have produced the documents that
ITOPS located in its search. Pomares’s reading contradicts
the text—FOIA does not prohibit manual review of
electronic files.
10 POMARES V. DEP’T OF V.A.
Throughout § 552, “form or format” refers to the
medium in which records are kept, not the search method
used to locate or produce those records. Certain records must
be published for public inspection in electronic format,
“regardless of [the records’] form or format.” Id.
§ 552(a)(2)(D). “[A]n agency shall provide the record in any
form or format requested . . . .” Id. § 552(a)(3)(B). And
FOIA defines “record” to cover “any format, including an
electronic format.” Id. § 552(f)(2)(A). Congress added these
three provisions when it added subparagraph (a)(3)(C), and
we presume that Congress used “form or format”
consistently. Electronic FOIA Amendments § 5; see
HollyFrontier Cheyenne Refin., LLC v. Renewable Fuels
Ass’n, 594 U.S. 382, 389 (2021) (“[A]bsent contrary
evidence, this Court normally presumes consistent usage.”);
see also Antonin Scalia & Bryan Garner, Reading Law 171–
73 (1st ed. 2012) (the presumption of consistent usage is
strongest for terms in the same section or enacted at the same
time).
And so construed, subparagraph (a)(3)(C) requires
agencies to search for records stored in an electronic
medium; it does not dictate a specific search method. Indeed,
Congress expressly authorized manual review of electronic
records to determine responsiveness. Subparagraph
(a)(3)(D) defines “search” “[f]or purposes of [§ 552(a)(3)].”
5 U.S.C. § 552(a)(3)(D). Within this paragraph, “search”
appears once: in subparagraph (a)(3)(C). If the definition of
“search” in subparagraph (a)(3)(D), which contemplates
manual review of records, does not define “search” as used
in subparagraph (a)(3)(C), then it serves no function. We do
not read the definition to be meaningless surplusage. See,
e.g., United States v. Barraza-Lopez, 659 F.3d 1216, 1220
(9th Cir. 2011) (applying the canon against surplusage).
POMARES V. DEP’T OF V.A. 11
Separate from the textual analysis, Pomares argues that
requiring an exclusively electronic search method in this
case better serves FOIA’s policy and the VA’s FOIA
regulations. When Congress added subparagraphs (a)(3)(C)
and (a)(3)(D), Pomares reasons, it sought to streamline the
FOIA process, and manual review hinders that goal. See
TPS, Inc. v. U.S. Dep’t of Def., 330 F.3d 1191, 1195–96 (9th
Cir. 2003) (recognizing Congress’s intent “to encourage
government agencies to use advancing computer technology
. . . to enhance public access to records” (internal quotation
marks omitted)); 38 C.F.R. § 1.561(b)(9) (searches shall be
conducted “in the most efficient and least expensive manner
reasonably possible”). But this argument fails for two
reasons. First, the statute’s text, not congressional intent,
governs. Corner Post, Inc. v. Bd. of Governors of Fed. Rsrv.
Sys., 144 S. Ct. 2440, 2454 (2024). Second, Pomares’s
premise is flawed: Jones would have manually reviewed the
records that ITOPS located to apply FOIA’s exemptions
even if she did not also consider responsiveness. See 5
U.S.C. § 552(b).
Although FOIA’s provisions do not require electronic
searches in all cases, its reasonableness requirement surely
dictates at least some degree of electronic searching in some
cases. For example, an agency could not reasonably search
for emails by looking only in desk drawers. As with all FOIA
searches, courts must make a fact-specific determination
regarding the adequacy of the agency’s search. See, e.g.,
Inter-Coop. Exch. v. U.S. Dep’t of Com., 36 F.4th 905, 912
n.3 (9th Cir. 2022) (“The government’s response to a FOIA
request is context specific . . . .”); see also Rubman v. U.S.
Citizenship & Immigr. Servs., 800 F.3d 381, 387 (7th Cir.
2015) (“Reasonableness is a flexible and context-dependent
standard.”).
12 POMARES V. DEP’T OF V.A.
The VA’s search process here was reasonable. Jones’s
method of requesting an initial electronic search and then
manually reviewing the results of that search to determine
responsiveness and application of FOIA’s exemptions was
reasonably calculated to uncover all relevant documents. She
explained that the ITOPS software could not exclude internal
emails or “analyze the page content,” which necessitated
manual review. Other FOIA analysts processing other
aspects of Pomares’s requests followed a similar process.
For example, RuthAnn Parise used a different software but
also noted that many emails identified in the electronic
review were nonresponsive, such as internal
communications or marketing emails. And, like Jones,
Michelle Jackson reviewed 1,509 pages provided by ITOPS
and determined that only 11 were responsive. The record
does not show any requests that ITOPS exclude internal
emails, which suggests that ITOPS lacked that capacity. And
we may rely on Jones’s declarations because they are
reasonably detailed and nonconclusory, and Pomares has not
introduced evidence to overcome the presumption of good
faith. Transgender L. Ctr., 46 F.4th at 780.
Pomares may have preferred a different search method,
but her objections do not undermine the adequacy of the
VA’s search. We affirm the district court’s judgment as to
the adequacy of the search for Devlin’s and Director
Bogue’s emails.
B. Exemptions
FOIA requires an agency to provide requested records
unless they fall within one of nine exclusive statutory
exemptions. Milner v. Dep’t of the Navy, 562 U.S. 562, 565
(2011); see 5 U.S.C. § 552(b)(1)–(9). Mindful of FOIA’s
general command to provide “broad disclosure,” we
POMARES V. DEP’T OF V.A. 13
interpret its exemptions narrowly, U.S. Dep’t of Just. v. Tax
Analysts, 492 U.S. 136, 151 (1989), and the agency has the
burden of showing that a claimed exemption applies, Rojas
v. Fed. Aviation Admin., 941 F.3d 392, 397 (9th Cir. 2019).
But FOIA lawsuits inherently generate obstacles for
challenging and reviewing agency withholdings because
only the agency has seen the documents at issue. See Wiener
v. Fed. Bureau of Investigation, 943 F.2d 972, 977–78 (9th
Cir. 1991).
To facilitate challenge and review, an agency must
prepare a Vaughn Index detailing its withholdings and
related justifications. Id.; see generally Vaughn v. Rosen,
484 F.2d 820, 826–28 (D.C. Cir. 1973). An adequate Vaughn
Index must: (1) identify each document withheld; (2) state
the applicable statutory exemption; and (3) explain how
disclosure would harm the interests protected by the
statutory exemption. Hamdan, 797 F.3d at 769 n.4. An
agency must provide more than “boilerplate or conclusory
statements,” Transgender L. Ctr., 46 F.4th at 781 (quoting
Shannahan v. IRS, 672 F.3d 1142, 1148 (9th Cir. 2012)), and
allow “a meaningful opportunity to contest, and . . . an
adequate foundation to review,” the agency’s withholdings,
Citizens Comm’n on Hum. Rts. v. Food & Drug Admin., 45
F.3d 1325, 1328 (9th Cir. 1995) (quoting Wiener, 943 F.2d
at 977).
We address each of the challenged exemptions and the
sufficiency of the VA’s justifications for its withholdings,
considering its Vaughn Index and other supporting
documents.
1. Exemption 4
The VA withheld documents responsive to Pomares’s
requests that it obtained from Evocati under Exception 4.
14 POMARES V. DEP’T OF V.A.
FOIA exempts from disclosure “trade secrets and
commercial or financial information obtained from a person
and privileged or confidential.” 5 U.S.C. § 552(b)(4). Thus,
to satisfy Exemption 4, an agency must show that the
information is (1) commercial or financial, (2) obtained from
a person, and (3) privileged or confidential. Id. Evocati is a
“person” under Exemption 4. See 5 U.S.C. § 551(2); Fed.
Commc’ns Comm’n v. AT&T Inc., 562 U.S. 397, 408–09
(2011). The issues, then, are whether the VA established that
Evocati’s records were both (a) commercial or financial and
(b) privileged or confidential.
We give “commercial” and “financial” their ordinary
meanings. Watkins v. U.S. Bureau of Customs & Border
Prot., 643 F.3d 1189, 1194 (9th Cir. 2011). Information is
“commercial” if it pertains to “business [or] trade,” or is
designed to be profitable. Commerce, Commercial,
American Heritage Dictionary of the English Language 267
(1969); see also Commercial, Webster’s Third New
International Dictionary 456 (1963) (defining commercial
as “from the point of view of profit”). Other courts have read
the term similarly. See, e.g., Citizens for Resp. & Ethics in
Wash. v. U.S. Dep’t of Just., 58 F.4th 1255, 1265 (D.C. Cir.
2023) (“We have read Exemption 4 to cover only
information that, in and of itself, demonstrably pertains to
the exchange of goods or services or the making of a
profit.”). Information is “financial” if it relates to “the
management of money and other assets.” Finance,
Financial, American Heritage Dictionary of the English
Language 492 (1969). And information is “confidential” if
it is “customarily kept private, or at least closely held, by the
POMARES V. DEP’T OF V.A. 15
person imparting it.” Food Mktg. Inst. v. Argus Leader
Media, 588 U.S. 427, 434 (2019). 2
Viewed together, the Gowins-Bellamy Declaration, the
Vaughn Index, and the letter from Evocati’s attorney
incorporated in the Vaughn Index (later submitted as a
declaration by Mr. Bogue) sufficiently detail the records that
the VA withheld and the justification for the withholdings.
The Vaughn Index incorporated materials that Evocati sent
to OIG requesting withholdings under Exemption 4. The
letter from Evocati’s attorney and its attached index
described records that were commercial (including
consulting agreements and business emails with confidential
information) or financial (including private financial
information shared between the Bogues and their
accountants). And Mr. Bogue declared that the information
was “closely held by Evocati” and neither “publicly
available nor freely shared.” The district court viewed the
documents together and concluded that the VA satisfied its
burden. Pomares disagrees for two reasons.
First, Pomares argues that the VA did not satisfy its
burden to show that Exemption 4 applied because the
Vaughn Index simply incorporated the letter from Evocati.
2
In Food Marketing Institute, the Supreme Court noted that information
might be considered confidential only if the party receiving the
information assured confidentiality. 588 U.S. at 434–35. But the Court
declined to decide whether such assurances are necessary. Id. at 435. We
need not answer that question. In his declaration, Mr. Bogue noted that
the documents Evocati provided to OIG under a subpoena “were
prominently labeled ‘Confidential’ and were produced by Evocati, LLC
with the implied understanding that the OIG would treat the documents
as confidential.” Pomares has not argued that assurances of
confidentiality are required or that OIG’s implied assurances were
insufficient.
16 POMARES V. DEP’T OF V.A.
But Exemption 4, by its nature, requires agencies to rely on
assertions by the third parties that provided the information
sought in a FOIA request. Agencies cannot determine, on
their own, whether a person who provided information to the
government treated that information as confidential. Given
the practicalities at play in this context, courts routinely
consider information from third parties on which an agency
relied to assert Exemption 4. See, e.g., Citizens Comm’n on
Hum. Rts., 45 F.3d at 1328 (although a company participated
in preparing the Vaughn Index, “the FDA was ultimately
responsible for the decision to withhold these documents”);
Greenberg v. Food & Drug Admin., 803 F.2d 1213, 1216–
17 (D.C. Cir. 1986) (relying on affidavits submitted by the
company that provided commercial information). The VA
had to rely on Evocati’s assertions to determine whether
Exemption 4 applied. Nothing in FOIA required the VA to
copy-and-paste Evocati’s representations into a Vaughn
Index rather than attaching and incorporating them by
reference.
Second, Pomares argues that no admissible evidence
supports the VA’s withholding. After Pomares noted that the
letter from Evocati’s counsel to OIG was an inadmissible
unsworn statement, the VA refiled the identical letter with
Mr. Bogue’s attestation that the letter was “true and correct
to the best of [his] knowledge.” Pomares contends that this
declaration was insufficient because Mr. Bogue did not
establish his personal knowledge and competency to testify
to the contents of the letter. Though its introduction was
perhaps inartful, the district court properly considered
Mr. Bogue’s declaration. He signed the declaration as
Evocati’s president, and we have recognized that similar
witnesses were competent to testify by virtue of their
positions. See Stuart v. UNUM Life Ins. Co. of Am., 217 F.3d
POMARES V. DEP’T OF V.A. 17
1145, 1155 (9th Cir. 2000) (a hospital executive had
personal knowledge to testify regarding contributions to
employee insurance plans); United States v. Thompson, 559
F.2d 552, 553–54 (9th Cir. 1977) (per curiam) (a restaurant’s
manager had personal knowledge of the restaurant’s normal
operations). Pomares’s arguments do not support a different
result here.
We affirm the district court’s judgment as to Exemption
4.
2. Exemption 6
The VA redacted names and contact information from
emails it produced that were subpoenaed from VES and
Evocati and from emails that were sent by and to the
Inspector General. 3 Agencies may 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). If the information withheld
by the agency is the type of file covered by this exemption,
we engage in a two-step, burden-shifting analysis. See Rojas,
941 F.3d at 404–05. First, the agency must show that there
is a nontrivial privacy interest against disclosure. Id. at 405.
Second, if the agency makes that showing, the requester
must show that the public interest in disclosure outweighs
3
Pomares also argues that withholdings from Tucker’s initial search for
Director Bogue’s emails were improper because Tucker never filed a
declaration or Vaughn Index. Viewed in isolation, we might agree. But
the VA directed Jones to repeat the search for Director Bogue’s emails.
And as we explained, that search was adequate, and Pomares has not
challenged Jones’s application of the exemptions. Whatever infirmity
that existed in Tucker’s search was remedied by Jones’s subsequent
search that complied with FOIA. Pomares was “entitled to a reasonable
search” for Director Bogue’s emails, Hamdan, 797 F.3d at 772, which
Jones provided.
18 POMARES V. DEP’T OF V.A.
the asserted privacy interest. Id.; see also Lahr v. Nat’l
Transp. Safety Bd., 569 F.3d 964, 973 (9th Cir. 2009)
(reasoning that FOIA requires balancing because the
exemption applies to “unwarranted” invasions of privacy).
To overcome a privacy interest, a requester must
demonstrate a “significant” public interest in disclosure.
Nat’l Archives & Recs. Admin. v. Favish, 541 U.S. 157, 172–
73 (2004) (applying the related Exemption 7(C)). The public
interest must concern government operation and activity,
and the requester’s individual intentions are irrelevant
because released records may be shared with anyone. Forest
Serv. Emps. for Env’t Ethics v. U.S. Forest Serv., 524 F.3d
1021, 1024–25 (9th Cir. 2008). When the requester asserts a
public interest in learning about official misconduct, she
must provide evidence that would allow a reasonable person
to conclude that the misconduct “might have occurred.”
Favish, 541 U.S. at 174. And the requester must show “some
nexus” between the requested information and “unveiling
agency misconduct.” Lahr, 569 F.3d at 978.
Pomares does not dispute that the redacted information
qualifies as a “similar file” covered by Exemption 6. See
Forest Serv. Emps., 524 F.3d at 1024 (names and identifying
information satisfied the “similar file” requirement). We
consider, then, whether the VA established a nontrivial
privacy interest in the redacted names and whether the
district court properly balanced the public interest in
disclosure against the asserted privacy interest.
Pomares argues that the VA failed to establish a
nontrivial privacy interest in the redacted names. Reviewing
far more withheld documents than are at issue here, the
district court concluded that the name or contact information
“of a lower-level employee” would not shed light on the
POMARES V. DEP’T OF V.A. 19
VA’s performance, so the privacy interest outweighed the
public interest in disclosure. For many withholdings that
Pomares has not challenged, the VA provided the title and
position of the employees whose names it withheld, and its
briefing cites the declarations and Vaughn Indices that
include those details. But the VA did not provide that same
information for the withholdings that we consider.
The Gowins-Bellamy Declaration does not address how
Exemption 6 applies to the VES and Evocati records or OIG
emails. And the Vaughn Index provides no further detail,
stating only that the VA redacted “[p]ersonally identifying
information regarding VA employees and third parties
consisting of names, email addresses and phone numbers.”
But with one exception, the Vaughn Index does not state the
role or level of the employees whose names were withheld
from these records. This hinders our ability to weigh the
public and privacy interests. We have previously
emphasized the importance of “the employee’s position in
her employer’s hierarchical structure” to this analysis. Id. at
1025.
But the standard for recognizing a nontrivial privacy
interest is not demanding. An agency must show that the
disclosure would affect employees’ “control of information
concerning [their] person[s]” or expose them to harassment.
Rojas, 941 F.3d at 405 (quoting U.S. Dep’t of Just. v. Reps.
Comm. for Freedom of the Press, 489 U.S. 749, 763 (1989)).
The VA employees have a nontrivial privacy interest in their
personal identities, even though we cannot fully evaluate the
strength of that interest. And the VES employees have a
greater privacy interest because they are private individuals
whose identities are less closely connected to government
functioning, which is the public interest recognized by
FOIA. See Fed. Lab. Rels. Auth. v. U.S. Dep’t of Treasury,
20 POMARES V. DEP’T OF V.A.
884 F.2d 1446, 1451 (D.C. Cir. 1989); accord Common
Cause v. Nuclear Regul. Comm’n, 674 F.2d 921, 938 (D.C
Cir. 1982) (“[Exemption 6] provides greater protection to
private individuals . . . .”).
To overcome the nontrivial privacy interests that exist,
Pomares must show a stronger public interest in disclosure.
She argues that the OIG report concerning Director Bogue
shows that misconduct occurred, and the names of VA and
VES employees corresponding with one another would shed
further light on that misconduct. But Pomares has not
identified a nexus between the employees’ names and any
misconduct by the Bogues. And the public OIG report
weakens the public interest in disclosure because the
misconduct has already been publicized. See Forest Serv.
Emps., 524 F.3d at 1028. Pomares suggests that revealing the
names might reveal the source of the suspected leak to VES
of the VA’s decision to suspend enrollment at five for-profit
schools. But none of the emails that Pomares cites
establishes that connection. Put differently, revealing the
names of individuals who have not been shown to have a
connection to the suspected leak does not help Pomares
determine whether information was leaked or, if so, who
might have done it.
Our balancing comes out differently for the VES
employees who lobbied Congress or the VA. The VA
redacted the names of VES employees who emailed
congressional aides recommending Director Bogue and
others for presidential appointments. It also redacted the
names and email addresses of VES employees who emailed
VA employees. Finally, it redacted the name of a VES
employee who testified before a congressional committee,
which was included in an email from a VES employee to
Director Bogue.
POMARES V. DEP’T OF V.A. 21
We have recognized that the public has a “‘robust
interest’ in knowing who is ‘seeking to influence’ an
agency.” Rojas, 941 F.3d at 406 (citation omitted); accord
Elec. Frontier Found. v. Off. of the Dir. of Nat’l Intel., 639
F.3d 876, 886 (9th Cir. 2010) (“[C]ases considering a private
party attempting to influence government policy typically
find in favor of disclosure . . . .”), abrogated on other
grounds, Animal Legal Def. Fund, 836 F.3d at 990. We do
not evaluate the public interest from the vantage of the
person making the FOIA request. See Forest Serv. Emps.,
524 F.3d at 1025. Rather, we consider the general public
interest in “understanding . . . the operations or activities of
the government,” id. (quoting U.S. Dep’t of Def. v. Fed. Lab.
Rels. Auth., 510 U.S. 487, 495 (1994)), and that interest
includes knowing the identities of private parties attempting
to influence government policy, Elec. Frontier Found., 639
F.3d at 886. There is a strong public interest in disclosing the
names of lobbyists because that may “shed light on which
companies and which individuals influence government
decision making.” Id. at 888. On the other hand, “email
addresses may add to the risk of privacy invasion with little
additional benefit to the public interest.” Id. Therefore, in
balancing the public interest against the privacy interests of
the VES lobbyists, we conclude that disclosure of the names
of the VES employees who lobbied the VA or congressional
aides or who testified before a congressional committee do
not constitute “a clearly unwarranted invasion of personal
privacy,” 5 U.S.C. § 552(b)(6). However, there is little
public interest in disclosure of the VES employees’ email
addresses.
Accordingly, with regard to Pomares’s challenge to
withholdings made under Exemption 6, we affirm the district
court except as relates to the names (but not the email
22 POMARES V. DEP’T OF V.A.
addresses) of the VES employees who lobbied Congress or
the VA.
3. Exemption 7(E)
The VA withheld interview transcripts from the OIG
investigation that were responsive to Pomares’s requests
under Exemption 7(E). Agencies may withhold “records or
information compiled for law enforcement purposes” to the
extent that production “would disclose techniques and
procedures for law enforcement investigations or
prosecutions, or would disclose guidelines for law
enforcement investigations or prosecutions if such
disclosure could reasonably be expected to risk
circumvention of the law.” 5 U.S.C. § 552(b)(7)(E). Pomares
does not dispute that the records gathered by OIG for its
internal investigation were gathered for a law-enforcement
purpose. See Stern v. Fed. Bureau of Investigation, 737 F.2d
84, 89 (D.C. Cir. 1984) (“[A]n agency’s investigation of its
own employees is for ‘law enforcement purposes’ only if it
focuses ‘directly on specifically alleged illegal acts . . .
which could, if proved, result in civil or criminal sanctions.’”
(citation omitted)). And because the VA’s interview
methods are “techniques and procedures,” rather than
“guidelines,” it need not show any danger of future
lawbreaking resulting from disclosure. Hamdan, 797 F.3d at
778 (citation omitted); see also Transgender L. Ctr., 46 F.4th
at 784–85 (defining techniques and procedures).
But not all techniques and procedures are shielded by
Exemption 7(E). The government must show that the
technique or procedure is “not generally known to the
public.” Rosenfeld v. U.S. Dep’t of Just., 57 F.3d 803, 815
(9th Cir. 1995). Four of our cases have addressed whether an
agency made this showing. First, we held that an agency met
POMARES V. DEP’T OF V.A. 23
its burden where an affidavit in support of a 7(E)
withholding explained why disclosure of documents related
to investigating the poisoning of consumer products would
seriously threaten future law-enforcement “investigations by
revealing specifics of cyanide-tracing techniques.” Bowen v.
U.S. Food & Drug Admin., 925 F.2d 1225, 1229 (9th Cir.
1991). The tracing techniques at issue were not publicly
known or disclosed. Id. at 1228. Put differently, although the
general “chemical process of tracing” was generally known,
the specific, technical procedures were not. Id.
Next, we rejected an agency’s attempt to withhold
records showing that it used pretextual phone calls in an
investigation. Rosenfeld, 57 F.3d at 815. We reasoned that
Exemption 7(E) does not cover investigative techniques that
are generally known, and a pretextual phone call “would leap
to the mind of the most simpleminded investigator.” Id. We
dismissed the government’s argument that the use of a
particular alias transformed the generally known pretextual
call into an unknown technique. Id. Reframing a generally
known practice as a novel “application of the practice to the
particular facts” does not bring the practice (and the
documents that would reveal its use) within Exemption
7(E)’s ambit. Id.
Our third case explained that although Exemption 7(E)
does not protect the application of a well-known technique,
it does shield the means of investigation if those means are
not generally known. Hamdan, 797 F.3d at 777–78. In
Hamdan, the agency properly invoked Exemption 7(E)
because its affidavits stated that the records sought would
have revealed “techniques and procedures related to
surveillance and credit searches” and “a stratagem, the
details of which if revealed would preclude its use in future
cases.” Id. at 777. Even though surveillance and credit
24 POMARES V. DEP’T OF V.A.
searches are generally known investigative techniques, the
requested records concerned an unknown way of deploying
those techniques that disclosure would frustrate, which was
sufficient to invoke Exception 7(E). Id. at 777–78.
Most recently, we held that narrative sections of an
internal manual for federal prosecutors could not be withheld
under Exemption 7(E). Am. Civ. Liberties Union of N. Cal.
v. U.S. Dep’t of Just., 880 F.3d 473, 492 (9th Cir. 2018). The
records described in general terms “publicly known
investigative techniques” for obtaining a suspect’s location
information, as well as the legal authorizations to obtain that
information and legal arguments to obtain those
authorizations. Id. The records lacked “detailed, technical
analysis” and did not contain “non-public details” about the
surveillance techniques. Id. (citation omitted). Thus, the
records did not reveal means of conducting an investigation
that were not generally known, and the records were not
shielded by Exemption 7(E). Id.
Pomares argues that the Gowins-Bellamy Declaration
and Vaughn Index are inadequate to justify the VA’s
Exemption 7(E) withholdings. We agree. The Declaration
never mentions Exemption 7(E), and the Vaughn Index
excludes all interview transcripts in their entirety with a
single entry stating that the transcripts “contain specific
information about how VA OIG conducts official
investigations, including sequence and manner of
questioning, and specific interview methods which are
confidential.” 4
4
Pomares also argues that Gowins-Bellamy was not competent to testify
about OIG’s interview techniques. But we generally recognize that an
POMARES V. DEP’T OF V.A. 25
Although interviewing witnesses and subjects is a
generally known investigative practice, in some cases the
specific means for conducting the interview may be
protected by Exemption 7(E). See, e.g., Knight First Amend.
Inst. at Columbia Univ. v. U.S. Citizenship & Immigr. Servs.,
30 F.4th 318, 325, 331–33 (2d Cir. 2022). But here the VA’s
Vaughn Index does not suggest any means of interviewing
that are not publicly known—every interview involves a
“sequence and manner of questioning” and “interview
methods.” And although confidential interview methods
might resemble the “stratagem” that we found sufficient in
Hamdan, unlike the agency in that case, here the VA never
presented any evidence that disclosure would hinder future
investigations (a strong signal that the technique is not
publicly known). See 797 F.3d at 777–78 (“We conclude that
the affidavits, which state that further detail would
compromise the very techniques the government is trying to
keep secret, are sufficient . . . .”); see also Bowen, 925 F.2d
at 1229 (referring to the “detailed assertions” in an agency
affidavit that disclosure would hinder future investigations).
The inadequacy of the VA’s explanation becomes even
clearer when compared to the scope of its withholding. In
other cases, the government’s Exemption 7(E) withholdings
were relatively limited. In Knight, for example, the agency
withheld questions designed to identify potential
immigrants’ terrorism connections but otherwise released
the training materials that contained those questions. 30
F.4th at 325; see also Hamdan, 797 F.3d at 777 (the agency
affidavit from an official supervising a FOIA search satisfies the
personal knowledge requirement of Federal Rule of Civil Procedure
56(c)(4), and Pomares has not given any reason to treat this case as an
exception. See Lahr, 569 F.3d at 990.
26 POMARES V. DEP’T OF V.A.
withheld five documents entirely, and ten documents in
part). Here, the VA withheld more than 2,000 pages of OIG
interview transcripts in their entirety because they would
reveal question sequencing. But that explanation would
allow the government to “withhold information under
Exemption 7(E) under any circumstances, no matter how
obvious the investigative practice at issue, simply by saying”
that the records reveal a sequence of questions. Rosenfeld,
57 F.3d at 815.
Based on the record presented, we cannot tell whether
the interview techniques and methods used by OIG fall
within Exemption 7(E). Accordingly, we reverse the district
court’s judgment as to the withholdings under Exemption
7(E) and remand for further proceedings. 5 On remand, if the
VA provides a revised Vaughn Index, the district court
should consider whether any portions of the transcripts could
be segregated and provided to Pomares. See Hamdan, 797
F.3d at 779 (“It is reversible error for the district court to
simply approve the withholding of an entire document
without entering a finding on segregability.” (cleaned up)
(quoting Wiener, 943 F.2d at 988)); see also 5 U.S.C.
§ 552(b) (“Any reasonably segregable portion of a record
shall be provided to any person requesting such record after
deletion of the portions which are exempt . . . .”).
III. CONCLUSION
The VA conducted an adequate search for Devlin’s and
Director Bogue’s emails, and it met its burden for
5
The Vaughn Index also cited Exemptions 6 and 7(C) to justify
withholding the transcripts in their entirety to protect witnesses’ and
subjects’ identities. On appeal, the VA argues only that Exemption 7(E)
justifies the withholding. Thus, we do not consider Exemptions 6 and
7(C).
POMARES V. DEP’T OF V.A. 27
withholding confidential documents received from Evocati
under FOIA Exemption 4 and the names of government and
private employees under Exemption 6. However, the VA did
not adequately justify withholding the names of VES
employees who lobbied Congress or the VA under
Exemption 6 or OIG interview transcripts under Exemption
7(E).
AFFIRMED in part, REVERSED in part, and
REMANDED for further proceedings consistent with
this opinion. 6
6
Each party shall bear its own costs on appeal. Fed. R. App. P. 39(a)(4).
Plain English Summary
FOR PUBLICATION UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT MARIA A.
Key Points
01FOR PUBLICATION UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT MARIA A.
02MSB DEPARTMENT OF VETERANS AFFAIRS, OPINION Defendant-Appellee.
03Huff, District Judge, Presiding Argued and Submitted March 27, 2024 Pasadena, California Filed August 13, 2024 Before: Susan P.
04SUMMARY * Freedom of Information Act The panel affirmed in part and reversed in part the district court’s summary judgment in favor of the Department of Veterans Affairs (VA) in plaintiff’s action seeking information from the VA under the F
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FOR PUBLICATION UNITED STATES COURT OF APPEALS FOR THE NINTH CIRCUIT MARIA A.
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