OPINION OF THE COURT
CHENEY V. UNITED STATES DIST. COURT FOR D. C.
542 U. S. ____ (2004)
SUPREME COURT OF THE UNITED STATES
NO. 03-475
RICHARD B. CHENEY, VICE PRESIDENT OF THE UNITED
STATES, et al., PETITIONERS
v. UNITED STATES DISTRICT
COURT FOR THE DISTRICT OF COLUMBIA et al.
on writ of certiorari to the united states court of
appeals for the district of columbia circuit
[June 24, 2004]
Justice Kennedy delivered the
opinion of the Court.
The United States District Court
for the District of Columbia entered discovery orders directing the
Vice President and other senior officials in the Executive Branch
to produce information about a task force established to give
advice and make policy recommendations to the President. This case
requires us to consider the circumstances under which a court of
appeals may exercise its power to issue a writ of mandamus to
modify or dissolve the orders when, by virtue of their overbreadth,
enforcement might interfere with the officials in the discharge of
their duties and impinge upon the President’s constitutional
prerogatives.
I
A few days after assuming office,
President George W. Bush issued a memorandum establishing the
National Energy Policy Development Group (NEPDG or Group). The
Group was directed to “develo[p] … a national energy policy
designed to help the private sector, and government at all levels,
promote dependable, affordable, and environmentally sound
production and distribution of energy for the future.” App.
156–157. The President assigned a number of agency heads and
assistants—all employees of the Federal Government—to serve as
members of the committee. He authorized the Vice President, as
chairman of the Group, to invite “other officers of the Federal
Government” to participate “as appropriate.”
Id., at 157.
Five months later, the NEPDG issued a final report and, according
to the Government, terminated all operations.
Following publication of the
report, respondents Judicial Watch and the Sierra Club filed these
separate actions, which were later consolidated in the District
Court. Respondents alleged the NEPDG had failed to comply with the
procedural and disclosure requirements of the Federal Advisory
Committee Act (FACA or Act), 5 U. S. C. App. §2,
p. 1.
FACA was enacted to monitor the “numerous
committees, boards, commissions, councils, and similar groups
[that] have been established to advise officers and agencies in the
executive branch of the Federal Government,” §2(a), and to prevent
the “wasteful expenditure of public funds” that may result from
their proliferation,
Public Citizen v.
Department of
Justice, 491 U. S. 440, 453
(1989). Subject to specific exemptions, FACA imposes a variety of
open-meeting and disclosure requirements on groups that meet the
definition of an “advisory committee.” As relevant here, an
“advisory committee” means
“any committee, board, commission, council,
conference, panel, task force, or other similar group, or any
subcommittee or other subgroup thereof … , which is—
. . . . .
“(B) established or utilized by the
President, …
except that [the definition] excludes (i) any committee that is
composed wholly of full-time, or permanent part-time, officers or
employees of the Federal Government … .” 5 U. S. C.
App. §3(2).
Respondents do not dispute the
President appointed only Federal Government officials to the NEPDG.
They agree that the NEPDG, as established by the President in his
memorandum, was “composed wholly of full-time, or permanent
part-time, officers or employees of the Federal Government.”
Ibid. The complaint alleges, however, that “non-federal
employees,” including “private lobbyists,” “regularly attended and
fully participated in non-public meetings.” App. 21 (Judicial Watch
Complaint ¶ ;25). Relying on
Association of American Physicians
& Surgeons, Inc. v.
Clinton, 997 F. 2d 898
(CADC 1993)
(AAPS), respondents contend that the regular
participation of the non-Government individuals made them
de
facto members of the committee. According to the complaint,
their “involvement and role are functionally indistinguishable from
those of the other [formal] members.”
Id., at 915. As a
result, respondents argue, the NEPDG cannot benefit from the Act’s
exemption under subsection B and is subject to FACA’s
requirements.
Vice President Cheney, the NEPDG, the
Government officials who served on the committee, and the alleged
de facto members were named as defendants. The suit seeks
declaratory relief and an injunction requiring them to produce all
materials allegedly subject to FACA’s requirements.
All defendants moved to dismiss. The District
Court granted the motion in part and denied it in part. The court
acknowledged FACA does not create a private cause of action. On
this basis, it dismissed respondents’ claims against the
non-Government defendants. Because the NEPDG had been dissolved, it
could not be sued as a defendant; and the claims against it were
dismissed as well. The District Court held, however, that FACA’s
substantive requirements could be enforced against the Vice
President and other Government participants on the NEPDG under the
Mandamus Act, 28 U. S. C. §1361, and against the agency
defendants under the Administrative Procedure Act (APA), 5 U.
S. C. §706. The District Court recognized the disclosure duty
must be clear and nondiscretionary for mandamus to issue, and there
must be, among other things, “final agency actions” for the APA to
apply. According to the District Court, it was premature to decide
these questions. It held only that respondents had alleged
sufficient facts to keep the Vice President and the other
defendants in the case.
The District Court deferred ruling on the
Government’s contention that to disregard the exemption and apply
FACA to the NEPDG would violate principles of separation of powers
and interfere with the constitutional prerogatives of the President
and the Vice President. Instead, the court allowed respondents to
conduct a “tightly-reined” discovery to ascertain the NEPDG’s
structure and membership, and thus to determine whether the
de
facto membership doctrine applies.
Judicial Watch,
Inc. v.
National Energy Policy Dev. Group, 219
F. Supp. 2d 20, 54 (DC 2002). While acknowledging that
discovery itself might raise serious constitutional questions, the
District Court explained that the Government could assert executive
privilege to protect sensitive materials from disclosure. In the
District Court’s view, these “issues of executive privilege will be
much more limited in scope than the broad constitutional challenge
raised by the government.”
Id., at 55. The District Court
adopted this approach in an attempt to avoid constitutional
questions, noting that if, after discovery, respondents have no
evidentiary support for the allegations about the regular
participation by lobbyists and industry executives on the NEPDG,
the Government can prevail on statutory grounds. Furthermore, the
District Court explained, even were it appropriate to address
constitutional issues, some factual development is necessary to
determine the extent of the alleged intrusion into the Executive’s
constitutional authority. The court denied in part the motion to
dismiss and ordered respondents to submit a discovery plan.
In due course the District Court approved
respondents’ discovery plan, entered a series of orders allowing
discovery to proceed, see CADC App. 238, 263, 364 (reproducing
orders entered on Sept. 9, Oct. 17, and Nov. 1, 2002), and denied
the Government’s motion for certification under 28 U. S. C.
§1292(b) with respect to the discovery orders. Petitioners sought a
writ of mandamus in the Court of Appeals to vacate the discovery
orders, to direct the District Court to rule on the basis of the
administrative record, and to dismiss the Vice President from the
suit. The Vice President also filed a notice of appeal from the
same orders. See
Cohen v.
Beneficial Industrial Loan
Corp., 337
U. S. 541 (1949);
United States v.
Nixon,
418 U. S. 683
(1974).
A divided panel of the Court of Appeals
dismissed the petition for a writ of mandamus and the Vice
President’s attempted interlocutory appeal.
In re
Cheney, 334 F. 3d 1096 (CADC 2003). With respect to
mandamus, the majority declined to issue the writ on the ground
that alternative avenues of relief remained available. Citing
United States v.
Nixon, supra, the
majority held that petitioners, to guard against intrusion into the
President’s prerogatives, must first assert privilege. Under its
reading of
Nixon, moreover, privilege claims must be made
“ ‘with particularity.’ ” 334 F. 3d, at 1104. In the
majority’s view, if the District Court sustains the privilege,
petitioners will be able to obtain all the relief they seek. If the
District Court rejects the claim of executive privilege and creates
“an imminent risk of disclosure of allegedly protected presidential
communications,” “mandamus might well be appropriate to avoid
letting ‘the cat … out of the bag.’ ”
Id., at
1104–1105. “But so long as the separation of powers conflict that
petitioners anticipate remains hypothetical,” the panel held, “we
have no authority to exercise the extraordinary remedy of
mandamus.”
Id., at 1105. The majority acknowledged the
scope of respondents’ requests is overly broad, because it seeks
far more than the “limited items” to which respondents would be
entitled if “the district court ultimately determines that the
NEPDG is subject to FACA.”
Id., at 1105–1106;
id., at 1106 (“The requests to produce also go well beyond
FACA’s requirements”);
ibid. (“[Respondents’] discovery
also goes well beyond what they need to prove”). It nonetheless
agreed with the District Court that petitioners “ ‘shall bear
the burden’ ” of invoking executive privilege and filing
objections to the discovery orders with “ ‘detailed
precision.’ ”
Id., at 1105 (quoting Aug. 2, 2002,
Order).
For similar reasons, the majority rejected the
Vice President’s interlocutory appeal. In
United States v.
Nixon, the Court held that the President could appeal an
interlocutory subpoena order without having “to place himself in
the posture of disobeying an order of a court merely to trigger the
procedural mechanism for review.” 418 U. S., at 691. The majority,
however, found the case inapplicable because Vice President Cheney,
unlike then-President Nixon, had not yet asserted privilege. In the
majority’s view, the Vice President was not forced to choose
between disclosure and suffering contempt for failure to obey a
court order. The majority held that to require the Vice President
to assert privilege does not create the unnecessary confrontation
between two branches of Government described in
Nixon.
Judge Randolph filed a dissenting opinion. In
his view
AAPS ’
de facto membership doctrine
is mistaken, and the Constitution bars its application to the
NEPDG. Allowing discovery to determine the applicability of the
de facto membership doctrine, he concluded, is
inappropriate. He would have issued the writ of mandamus directing
dismissal of the complaints. 334 F. 3d, at 1119.
We granted certiorari. 540 U. S. ___ (2003).
We now vacate the judgment of the Court of Appeals and remand the
case for further proceedings to reconsider the Government’s
mandamus petition.
II
As a preliminary matter, we
address respondents’ argument that the Government’s petition for a
writ of mandamus was jurisdictionally out of time or,
alternatively, barred by the equitable doctrine of laches.
According to respondents, because the Government’s basic argument
was one of discovery immunity—that is, it need not invoke executive
privilege or make particular objections to the discovery
requests—the mandamus petition should have been filed with the
Court of Appeals within 60 days after the District Court denied the
Government’s motion to dismiss. See Fed. Rule App. Proc. 4(a)(1)(B)
(“When the United States or its officer or agency is a party, the
notice of appeal may be filed by any party within 60 days after the
judgment or order appealed from is entered”). On this theory, the
last day for making any filing to the Court of Appeals was
September 9, 2002. The Government, however, did not file the
mandamus petition and the notice of appeal until November 7, four
months after the District Court issued the order that, under
respondents’ view, commenced the time for appeal.
As even respondents acknowledge,
however, Rule 4(a), by its plain terms, applies only to the filing
of a notice of appeal. Brief for Respondent Sierra Club 23. Rule
4(a) is inapplicable to the Government’s mandamus petition under
the All Writs Act, 28 U. S. C. §1651. Because we vacate the
Court of Appeals’ judgment and remand the case for further
proceedings for the court to consider whether a writ of mandamus
should have issued, we need not decide whether the Vice President
also could have appealed the District Court’s orders under
Nixon and the collateral order doctrine. We express no
opinion on whether the Vice President’s notice of appeal was timely
filed.
Respondents’ argument that the mandamus
petition was barred by laches does not withstand scrutiny. Laches
might bar a petition for a writ of mandamus if the petitioner
“slept upon his rights … , and especially if the delay has
been prejudicial to the [other party], or to the rights of other
persons.”
Chapman v.
County of
Douglas, 107 U. S. 348, 355
(1883). Here, the flurry of activity following the District Court’s
denial of the motion to dismiss overcomes respondents’ argument
that the Government neglected to assert its rights. The Government
filed, among other papers, a motion for a protective order on
September 3; a motion to stay pending appeal on October 21; and a
motion for leave to appeal pursuant to 28 U. S. C. §1292(b) on
October 23. Even were we to agree that the baseline for measuring
the timeliness of the Government’s mandamus petition was the
District Court’s order denying the motion to dismiss, the
Government’s active litigation posture was far from the neglect or
delay that would make the application of laches appropriate.
We do not accept, furthermore, respondents’
argument that laches should apply because the motions filed by the
Government following the District Court’s denial of its motion to
dismiss amounted to little more than dilatory tactics to “delay and
obstruct the proceedings.” Brief for Respondent Sierra Club 23. In
light of the drastic nature of mandamus and our precedents holding
that mandamus may not issue so long as alternative avenues of
relief remain available, the Government cannot be faulted for
attempting to resolve the dispute through less drastic means. The
law does not put litigants in the impossible position of having to
exhaust alternative remedies before petitioning for mandamus, on
the one hand, and having to file the mandamus petition at the
earliest possible moment to avoid laches, on the other. The
petition was properly before the Court of Appeals for its
consideration.
III
We now come to the central issue
in the case—whether the Court of Appeals was correct to conclude it
“ha[d] no authority to exercise the extraordinary remedy of
mandamus,” 334 F. 3d, at 1105, on the ground that the
Government could protect its rights by asserting executive
privilege in the District Court.
The common-law writ of mandamus
against a lower court is codified at 28 U. S. C. §1651(a):
“The Supreme Court and all courts established by Act of Congress
may issue all writs necessary or appropriate in aid of their
respective jurisdictions and agreeable to the usages and principles
of law.” This is a “drastic and extraordinary” remedy “reserved for
really extraordinary causes.”
Ex parte Fahey,
332 U. S. 258, 259–260
(1947). “The traditional use of the writ in aid of appellate
jurisdiction both at common law and in the federal courts has been
to confine [the court against which mandamus is sought] to a lawful
exercise of its prescribed jurisdiction.”
Roche v.
Evaporated Milk Assn., 319 U. S. 21, 26 (1943).
Although courts have not “confined themselves to an arbitrary and
technical definition of ‘jurisdiction,’ ”
Will v.
United States,
389 U. S. 90, 95 (1967),
“only exceptional circumstances amounting to a judicial ‘usurpation
of power,’ ”
ibid., or a “clear abuse of discretion,”
Bankers Life & Casualty Co. v.
Holland, 346 U. S. 379, 383
(1953), “will justify the invocation of this extraordinary remedy,”
Will, 389 U. S., at 95.
As the writ is one of “the most potent weapons
in the judicial arsenal,”
id., at 107, three conditions
must be satisfied before it may issue.
Kerr v.
United
States Dist. Court for Northern Dist. of Cal.,
426 U. S. 394, 403 (1976). First, “the
party seeking issuance of the writ [must] have no other adequate
means to attain the relief he desires,”
ibid.—a condition
designed to ensure that the writ will not be used as a substitute
for the regular appeals process,
Fahey,
supra, at
260. Second, the petitioner must satisfy “ ‘the burden of
showing that [his] right to issuance of the writ is “clear and
indisputable.” ’ ”
Kerr, supra, at 403 (quoting
Banker’s Life & Casualty Co.,
supra, at 384).
Third, even if the first two prerequisites have been met, the
issuing court, in the exercise of its discretion, must be satisfied
that the writ is appropriate under the circumstances.
Kerr,
supra, at 403 (citing
Schlagenhauf v.
Holder, 379 U. S. 104, 112,
n. 8 (1964)). These hurdles, however demanding, are not
insuperable. This Court has issued the writ to restrain a lower
court when its actions would threaten the separation of powers by
“embarrass[ing] the executive arm of the Government,”
Ex parte
Peru, 318
U. S. 578, 588 (1943), or result in the “intrusion by the
federal judiciary on a delicate area of federal-state relations,”
Will, supra, at 95, citing
Maryland v.
Soper
(No. 1),
270 U.
S. 9 (1926).
Were the Vice President not a party in the
case, the argument that the Court of Appeals should have
entertained an action in mandamus, notwithstanding the District
Court’s denial of the motion for certification, might present
different considerations. Here, however, the Vice President and his
comembers on the NEPDG are the subjects of the discovery orders.
The mandamus petition alleges that the orders threaten “substantial
intrusions on the process by which those in closest operational
proximity to the President advise the President.” App. 343. These
facts and allegations remove this case from the category of
ordinary discovery orders where interlocutory appellate review is
unavailable, through mandamus or otherwise. It is well established
that “a President’s communications and activities encompass a
vastly wider range of sensitive material than would be true of any
‘ordinary individual.’ ”
United States v.
Nixon, 418 U. S., at 715. Chief Justice Marshall, sitting
as a trial judge, recognized the unique position of the Executive
Branch when he stated that “[i]n no case … would a court be
required to proceed against the president as against an ordinary
individual.”
United States v.
Burr, 25
F. Cas. 187, 192 (No. 14,694) (CC Va. 1807). See also
Clinton v.
Jones,
520 U. S. 681, 698–699 (1997) (“We
have, in short, long recognized the ‘unique position in the
constitutional scheme’ that [the Office of the President] occupies”
(quoting
Nixon v.
Fitzgerald,
457 U. S. 731, 749
(1982))); 520 U. S., at 710–724 (Breyer, J., concurring in
judgment). As
United States v.
Nixon explained,
these principles do not mean that the “President is above the law.”
418 U. S., at 715. Rather, they simply acknowledge that the public
interest requires that a coequal branch of Government “afford
Presidential confidentiality the greatest protection consistent
with the fair administration of justice,”
ibid., and give
recognition to the paramount necessity of protecting the Executive
Branch from vexatious litigation that might distract it from the
energetic performance of its constitutional duties.
These separation-of-powers considerations
should inform a court of appeals’ evaluation of a mandamus petition
involving the President or the Vice President. Accepted mandamus
standards are broad enough to allow a court of appeals to prevent a
lower court from interfering with a coequal branch’s ability to
discharge its constitutional responsibilities. See
Ex parte
Peru,
supra, at 587 (recognizing jurisdiction to
issue the writ because “the action of the political arm of the
Government taken within its appropriate sphere [must] be promptly
recognized, and … delay and inconvenience of a prolonged litigation
[must] be avoided by prompt termination of the proceedings in the
district court”); see also
Clinton v.
Jones,
supra, at 701 (“We have recognized that ‘[e]ven when a
branch does not arrogate power to itself … the separation-of-powers
doctrine requires that a branch not impair another in the
performance of its constitutional duties.’ ” (quoting
Loving v.
United States,
517 U. S. 748, 757
(1996))).
IV
The Court of Appeals dismissed
these separation-of-powers concerns. Relying on
United
States v.
Nixon, it held that even though
respondents’ discovery requests are overbroad and “go well beyond
FACA’s requirements,” the Vice President and his former colleagues
on the NEPDG “shall bear the burden” of invoking privilege with
narrow specificity and objecting to the discovery requests with
“detailed precision.” 334 F. 3d, at 1105–1106. In its view,
this result was required by
Nixon’s rejection of an
“absolute, unqualified Presidential privilege of immunity from
judicial process under all circumstances.” 418 U. S., at 706. If
Nixon refused to recognize broad claims of confidentiality
where the President had asserted executive privilege, the majority
reasoned,
Nixon must have rejected,
a fortiori,
petitioners’ claim of discovery immunity where the privilege has
not even been invoked. According to the majority, because the
Executive Branch can invoke executive privilege to maintain the
separation of powers, mandamus relief is premature.
This analysis, however, overlooks
fundamental differences in the two cases.
Nixon cannot
bear the weight the Court of Appeals puts upon it. First, unlike
this case, which concerns respondents’ requests for information for
use in a civil suit,
Nixon involves the proper balance
between the Executive’s interest in the confidentiality of its
communications and the “constitutional need for production of
relevant evidence in a criminal proceeding.”
Id., at 713.
The Court’s decision was explicit that it was “not … concerned with
the balance between the President’s generalized interest in
confidentiality and the need for relevant evidence in civil
litigation … . We address only the conflict between the
President’s assertion of a generalized privilege of confidentiality
and the constitutional need for relevant evidence in criminal
trials.”
Id., at 712, n. 19.
The distinction
Nixon drew between
criminal and civil proceedings is not just a matter of formalism.
As the Court explained, the need for information in the criminal
context is much weightier because “our historic[al] commitment to
the rule of law … is nowhere more profoundly manifest than in our
view that ‘the twofold aim [of criminal justice] is that guilt
shall not escape or innocence suffer.’ ”
Id., at
708–709 (quoting
Berger v.
United
States, 295
U. S. 78, 88 (1935)). In light of the “fundamental” and
“comprehensive” need for “every man’s evidence” in the criminal
justice system, 418 U. S., at 709, 710, not only must the Executive
Branch first assert privilege to resist disclosure, but privilege
claims that shield information from a grand jury proceeding or a
criminal trial are not to be “expansively construed, for they are
in derogation of the search for truth,”
id., at 710. The
need for information for use in civil cases, while far from
negligible, does not share the urgency or significance of the
criminal subpoena requests in
Nixon. As
Nixon
recognized, the right to production of relevant evidence in civil
proceedings does not have the same “constitutional dimensions.”
Id., at 711.
The Court also observed in
Nixon that
a “primary constitutional duty of the Judicial Branch [is] to do
justice in criminal prosecutions.”
Id., at 707.
Withholding materials from a tribunal in an ongoing criminal case
when the information is necessary to the court in carrying out its
tasks “conflict[s] with the function of the courts under
Art. III.”
Ibid. Such an impairment of the “essential
functions of [another] branch,”
ibid., is impermissible.
Withholding the information in this case, however, does not hamper
another branch’s ability to perform its “essential functions” in
quite the same way.
Ibid. The District Court ordered
discovery here, not to remedy known statutory violations, but to
ascertain whether FACA’s disclosure requirements even apply to the
NEPDG in the first place. Even if FACA embodies important
congressional objectives, the only consequence from respondents’
inability to obtain the discovery they seek is that it would be
more difficult for private complainants to vindicate Congress’
policy objectives under FACA. And even if, for argument’s sake, the
reasoning in Judge Randolph’s dissenting opinion in the end is
rejected and FACA’s statutory objectives would be to some extent
frustrated, it does not follow that a court’s Article III authority
or Congress’ central Article I powers would be impaired. The
situation here cannot, in fairness, be compared to
Nixon,
where a court’s ability to fulfill its constitutional
responsibility to resolve cases and controversies within its
jurisdiction hinges on the availability of certain indispensable
information.
A party’s need for information is only one
facet of the problem. An important factor weighing in the opposite
direction is the burden imposed by the discovery orders. This is
not a routine discovery dispute. The discovery requests are
directed to the Vice President and other senior Government
officials who served on the NEPDG to give advice and make
recommendations to the President. The Executive Branch, at its
highest level, is seeking the aid of the courts to protect its
constitutional prerogatives. As we have already noted, special
considerations control when the Executive Branch’s interests in
maintaining the autonomy of its office and safeguarding the
confidentiality of its communications are implicated. This Court
has held, on more than one occasion, that “[t]he high respect that
is owed to the office of the Chief Executive … is a matter that
should inform the conduct of the entire proceeding, including the
timing and scope of discovery,”
Clinton, 520 U. S., at
707, and that the Executive’s “constitutional responsibilities and
status [are] factors counseling judicial deference and restraint”
in the conduct of litigation against it,
Nixon v.
Fitzgerald, 457 U. S., at 753. Respondents’ reliance on
cases that do not involve senior members of the Executive Branch,
see,
e.g.,
Kerr v.
United States Dist. Court
for Northern Dist. of Cal., 426 U. S. 394 (1976), is altogether
misplaced.
Even when compared against
United
States v.
Nixon’s criminal subpoenas, which did
involve the President, the civil discovery here militates against
respondents’ position. The observation in
Nixon that
production of confidential information would not disrupt the
functioning of the Executive Branch cannot be applied in a
mechanistic fashion to civil litigation. In the criminal justice
system, there are various constraints, albeit imperfect, to filter
out insubstantial legal claims. The decision to prosecute a
criminal case, for example, is made by a publicly accountable
prosecutor subject to budgetary considerations and under an ethical
obligation, not only to win and zealously to advocate for his
client but also to serve the cause of justice. The rigors of the
penal system are also mitigated by the responsible exercise of
prosecutorial discretion. In contrast, there are no analogous
checks in the civil discovery process here. Although under Federal
Rule of Civil Procedure 11, sanctions are available, and private
attorneys also owe an obligation of candor to the judicial
tribunal, these safeguards have proved insufficient to discourage
the filing of meritless claims against the Executive Branch. “In
view of the visibility of” the Offices of the President and the
Vice President and “the effect of their actions on countless
people,” they are “easily identifiable target[s] for suits for
civil damages.”
Nixon v.
Fitzgerald,
supra, at 751.
Finally, the narrow subpoena orders in
United States v.
Nixon stand on an altogether
different footing from the overly broad discovery requests approved
by the District Court in this case. The criminal subpoenas in
Nixon were required to satisfy exacting standards of “(1)
relevancy; (2) admissibility; (3) specificity.” 418 U. S., at 700
(interpreting Fed. Rule Crim. Proc. 17(c)). They were “not intended
to provide a means of discovery.” 418 U. S., at 698. The burden of
showing these standards were met, moreover, fell on the party
requesting the information.
Id., at 699 (“[I]n order to
require production prior to trial, the moving party must show that
the applicable standards are met”). In
Nixon, the Court
addressed the issue of executive privilege only after having
satisfied itself that the special prosecutor had surmounted these
demanding requirements.
Id., at 698 (“If we sustained this
[Rule 17(c)] challenge, there would be no occasion to reach the
claim of privilege asserted with respect to the subpoenaed
material”). The very specificity of the subpoena requests serves as
an important safeguard against unnecessary intrusion into the
operation of the Office of the President.
In contrast to
Nixon’s subpoena
orders that “precisely identified” and “specific[ally] …
enumerated” the relevant materials,
id., at 688, and
n. 5, the discovery requests here, as the panel majority
acknowledged, ask for everything under the sky:
“1. All documents identifying or referring to
any staff, personnel, contractors, consultants or employees of the
Task Force.
“2. All documents establishing or referring to any
Sub-Group.
“3. All documents identifying or referring to any staff,
personnel, contractors, consultants or employees of any
Sub-Group.
“4. All documents identifying or referring to any other
persons participating in the preparation of the Report or in the
activities of the Task Force or any Sub-Group.
“5. All documents concerning any communication relating to
the activities of the Task Force, the activities of any Sub-Groups,
or the preparation of the Report … .
“6. All documents concerning any communication relating to
the activities of the Task Force, the activities of the Sub-Groups,
or the preparation of the Report between any person … and [a list
of agencies].” App. 220–221.
The preceding excerpt from
respondents’ “
First Request for Production of Documents,”
id., at 215 (emphasis added), is only the beginning.
Respondents’ “First Set of Interrogatories” are similarly unbounded
in scope.
Id., at 224. Given the breadth of the discovery
requests in this case compared to the narrow subpoena orders in
United States v.
Nixon, our precedent provides no
support for the proposition that the Executive Branch “shall bear
the burden” of invoking executive privilege with sufficient
specificity and of making particularized objections. 334
F. 3d, at 1105. To be sure,
Nixon held that the
President cannot, through the assertion of a “broad [and]
undifferentiated” need for confidentiality and the invocation of an
“absolute, unqualified” executive privilege, withhold information
in the face of subpoena orders. 418 U. S., at 706, 707. It did so,
however, only after the party requesting the information—the
special prosecutor—had satisfied his burden of showing the
propriety of the requests. Here, as the Court of Appeals
acknowledged, the discovery requests are anything but appropriate.
They provide respondents all the disclosure to which they would be
entitled in the event they prevail on the merits, and much more
besides. In these circumstances,
Nixon does not require
the Executive Branch to bear the onus of critiquing the
unacceptable discovery requests line by line. Our precedents
suggest just the opposite. See,
e.g., Clinton v.
Jones,
520 U. S. 681 (1997);
id., at
705 (holding that the Judiciary may direct “appropriate process” to
the Executive);
Nixon v.
Fitzgerald, 457 U. S.,
at 753.
The Government, however, did in fact object to
the scope of discovery and asked the District Court to narrow it in
some way. Its arguments were ignored. See App. 167, 181–183
(arguing “this case can be resolved far short of the wide-ranging
inquiries plaintiffs have proposed” and suggesting alternatives to
“limi[t]” discovery);
id., at 232 (“Defendants object to
the scope of plaintiffs’ discovery requests and to the undue burden
imposed by them. The scope of plaintiffs’ requests is broader than
that reasonably calculated to lead to admissible evidence”);
id., at 232, n. 10 (“We state our general objections
here for purposes of clarity for the record and to preclude any
later argument that, by not including them here, those general
objections have been waived”). In addition, the Government objected
to the burden that would arise from the District Court’s insistence
that the Vice President winnow the discovery orders by asserting
specific claims of privilege and making more particular objections.
App. 201 (Tr. of Status Hearing (Aug. 2, 2002)) (noting “concerns
with disrupting the effective functioning of the presidency and the
vice-presidency”);
id., at 274 (“[C]ompliance with the
order of the court imposes a burden on the Office of the Vice
President. That is a real burden. If we had completed and done
everything that Your Honor has asked us to do today that burden
would be gone, but it would have been realized”). These arguments,
too, were rejected. See
id., at 327, 329 (Nov. 1, 2002,
Order) (noting that the court had, “on numerous occasions,”
rejected the Government’s assertion “that court orders requiring
[it] to respond in any fashion to [the] discovery requests creates
an ‘unconstitutional burden’ on the Executive Branch”).
Contrary to the District Court’s and the Court
of Appeals’ conclusions,
Nixon does not leave them the
sole option of inviting the Executive Branch to invoke executive
privilege while remaining otherwise powerless to modify a party’s
overly broad discovery requests. Executive privilege is an
extraordinary assertion of power “not to be lightly invoked.”
United States v.
Reynolds, 345 U. S. 1, 7 (1953).
Once executive privilege is asserted, coequal branches of the
Government are set on a collision course. The Judiciary is forced
into the difficult task of balancing the need for information in a
judicial proceeding and the Executive’s Article II prerogatives.
This inquiry places courts in the awkward position of evaluating
the Executive’s claims of confidentiality and autonomy, and pushes
to the fore difficult questions of separation of powers and checks
and balances. These “occasion[s] for constitutional confrontation
between the two branches” should be avoided whenever possible.
United States v.
Nixon,
supra, at
692.
In recognition of these concerns, there is
sound precedent in the District of Columbia itself for district
courts to explore other avenues, short of forcing the Executive to
invoke privilege, when they are asked to enforce against the
Executive Branch unnecessarily broad subpoenas. In
United
States v.
Poindexter, 727 F. Supp. 1501 (1989),
defendant Poindexter, on trial for criminal charges, sought to have
the District Court enforce subpoena orders against President Reagan
to obtain allegedly exculpatory materials. The Executive considered
the subpoenas “unreasonable and oppressive.”
Id., at 1503.
Rejecting defendant’s argument that the Executive must first assert
executive privilege to narrow the subpoenas, the District Court
agreed with the President that “it is undesirable as a matter of
constitutional and public policy to compel a President to make his
decision on privilege with respect to a large array of documents.”
Ibid. The court decided to narrow, on its own, the scope
of the subpoenas to allow the Executive “to consider whether to
invoke executive privilege with respect to … a smaller number of
documents following the narrowing of the subpoenas.”
Id.,
at 1504. This is but one example of the choices available to the
District Court and the Court of Appeals in this case.
As we discussed at the outset, under
principles of mandamus jurisdiction, the Court of Appeals may
exercise its power to issue the writ only upon a finding of
“exceptional circumstances amounting to a judicial ‘usurpation of
power,’ ”
Will, 389 U. S., at 95, or “a clear abuse
of discretion,”
Bankers Life, 346 U. S., at 383. As this
case implicates the separation of powers, the Court of Appeals must
also ask, as part of this inquiry, whether the District Court’s
actions constituted an unwarranted impairment of another branch in
the performance of its constitutional duties. This is especially so
here because the District Court’s analysis of whether mandamus
relief is appropriate should itself be constrained by principles
similar to those we have outlined,
supra, at 9–11,
that limit the Court of Appeals’ use of the remedy. The panel
majority, however, failed to ask this question. Instead, it labored
under the mistaken assumption that the assertion of executive
privilege is a necessary precondition to the Government’s
separation-of-powers objections.
V
In the absence of overriding
concerns of the sort discussed in
Schlagenhauf, 379 U. S.,
at 111 (discussing, among other things, the need to avoid
“piecemeal litigation” and to settle important issues of first
impression in areas where this Court bears special responsibility),
we decline petitioners’ invitation to direct the Court of Appeals
to issue the writ against the District Court. Moreover, this is not
a case where, after having considered the issues, the Court of
Appeals abused its discretion by failing to issue the writ.
Instead, the Court of Appeals, relying on its mistaken reading of
United States v.
Nixon, prematurely terminated
its inquiry after the Government refused to assert privilege and
did so without even reaching the weighty separation-of-powers
objections raised in the case, much less exercised its discretion
to determine whether “the writ is appropriate under the
circumstances.”
Ante, at 10. Because the issuance of the
writ is a matter vested in the discretion of the court to which the
petition is made, and because this Court is not presented with an
original writ of mandamus, see,
e.g.,
Ex parte
Peru, 318 U. S., at 586, we leave to the Court of Appeals
to address the parties’ arguments with respect to the challenge to
AAPS and the discovery orders. Other matters bearing on
whether the writ of mandamus should issue should also be addressed,
in the first instance, by the Court of Appeals after considering
any additional briefs and arguments as it deems appropriate. We
note only that all courts should be mindful of the burdens imposed
on the Executive Branch in any future proceedings. Special
considerations applicable to the President and the Vice President
suggest that the courts should be sensitive to requests by the
Government for interlocutory appeals to reexamine, for example,
whether the statute embodies the
de facto membership
doctrine.
The judgment of the Court of
Appeals for the District of Columbia is vacated, and the case is
remanded for further proceedings consistent with this opinion.
It is so ordered.
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