Source: https://law.justia.com/cases/federal/appellate-courts/F2/590/997/224865/
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Document Index: 545258300

Matched Legal Cases: ['§ 403', '§ 403', '§ 403', '§ 552', '§ 403', '§ 552', '§ 403', '§ 403', '§ 403', '§ 552', '§ 552', '§ 552', '§ 552', '§ 403', '§ 403', '§ 552', '§ 4', '§ 1', '§ 1']

John D. Marks, Appellant, v. Central Intelligence Agency et al, 590 F.2d 997 (D.C. Cir. 1978) :: Justia
Justia › US Law › Case Law › Federal Courts › Courts of Appeals › D.C. Circuit › 1978 › John D. Marks, Appellant, v. Central Intelligence Agency et al
John D. Marks, Appellant, v. Central Intelligence Agency et al, 590 F.2d 997 (D.C. Cir. 1978)
U.S. Court of Appeals for the District of Columbia Circuit - 590 F.2d 997 (D.C. Cir. 1978)
Argued Jan. 17, 1978. Decided Aug. 24, 1978. As Amended Aug. 25, and Nov. 15, 1978
This appeal challenges the district court's judgment dismissing an action under the Freedom of Information Act (FOIA) challenging the withholding of certain documents requested from the Central Intelligence Agency (CIA). Marks v. CIA, 426 F. Supp. 708 (D.D.C. 1976). Plaintiff, John D. Marks, was employed by the Department of State between 1966 and 1970, at which time he received a top-secret State Department security clearance and a top-secret liaison clearance from the CIA. The CIA also granted Marks "certain special compartmented security clearances which are utilized for information which is so sensitive that Top Secret classification is insufficient for its protection."1 When Marks resigned from the State Department, he pledged in writing not to reveal classified information. The CIA's Office of Security undertook a national security intelligence investigation of Marks in 1973 "when it learned that he planned to publish a substantial quantity of classified information and when it was reported by sources that he was contacting present and former government employees in sensitive positions in an attempt to secure specific classified information from them."2
Plaintiff sought from the CIA "all files, dossiers, communications, computer printouts and other documents" that the CIA then, or in the past, maintained concerning him. Some 41 documents were identified as responsive to plaintiff's FOIA request, but by the time of judgment the dispute focused on 14 documents.3 Defendants claimed that nine documents were exempt under Exemptions 1 and 3 of the FOIA, and that five documents were exempt under Exemptions 3 and 7.4 The district court denied plaintiff's motion for In camera inspection, and granted a summary judgment upholding all the government's claims. Marks v. CIA, 426 F. Supp. 708 (D.D.C. 1976).
It is apparent on inspection that a substantial claim has been made that disclosure would reveal the identity of confidential sources of information. The district court ruled that under Exemption 3, which applies to matters "specifically exempted from disclosure by statute," section 102(d) (3) of the National Security Act of 1947,7 is a qualifying statute. It supported that ruling with authority. That ruling is not contested.
The issue turns on the scope of the provision of the National Security Act of 1947 that provides: "the Agency shall have no police, subpena, law-enforcement powers, or internal-security functions." 50 U.S.C. § 403(d) (3). In Weissman v. CIA, 184 U.S.App.D.C. 117, 565 F.2d 692 (1977), the court ruled that Exemption 7 did not protect the records generated by an investigation conducted by the CIA to determine whether plaintiff "was a safe candidate for recruitment by the Agency." 184 U.S.App.D.C. at 120, 565 F.2d at 695. The court reviewed the legislative history, Congress's realistic fear of a secret police, and its desire to protect America's security without "making the mistake of creating an American 'Gestapo.' " Id. The court concluded that § 403(d) (3) "was intended, at the very least, to prohibit the CIA from conducting secret investigations of United States citizens, in this country, who have no connection with the Agency." Id. The court further stated:
Whatever may be the power to check on its own personnel, we are obliged to agree with the Church Committee when it commented on § 403(d) (3):
If the prohibition of CIA confidential inquiry concerning past employees is based on the premise that all security leak investigations for proposed criminal prosecution should be centralized in the FBI, the question arises as to investigation not for criminal prosecution but to avoid compromise of the CIA's claim of right to review material prior to publication. Compare United States v. Marchetti, 466 F.2d 1309 (4th Cir.), Cert. denied, 409 U.S. 1063, 93 S. Ct. 553, 34 L. Ed. 2d 516 (1972). More important is the problem of investigation of possible contact between former and present CIA employees (or other government employees given CIA top-secret liaison status) for the purpose of forestalling future breaches by those still having access to confidential information.
Unlike Judge Leventhal, I would hold now, as this court did in Weissman v. CIA, 184 U.S.App.D.C. 117, 119-121, 565 F.2d 692, 694-696 (1977), a case indistinguishable from this case, that Exemption 7 is inapplicable to the remaining four documents because they were not "compiled for law enforcement purposes" in a "lawful national security intelligence investigation," 5 U.S.C. § 552(b) (7) (D) (1976), in that they were compiled in an unlawful domestic intelligence investigation by the CIA of a United States citizen. 50 U.S.C. § 403(d) (3) (1970).5 I agree with Judge Leventhal that the District Court's consideration of the Agency's Exemption 3 claim was inadequate. I would remand this case for further proceedings under Exemption 3 consistent with this opinion.
The relevant portion of Exemption 7 applies to "investigatory records compiled for law enforcement purposes, but only to the extent that the production of such records would * * * (D) disclose the identity of a confidential source and, in the case of a record compiled * * * by an agency conducting a lawful national security intelligence investigation, confidential information furnished only by the confidential source * * * ." 5 U.S.C. § 552(b) (7) (D) (1976). The CIA contends that the four documents sought in this appeal are covered by this exemption because they were products of a lawful national security investigation and because releasing any portion of them would reveal the identity of confidential sources and information obtained solely from confidential sources.9 Appellant argues that Exemption 7 does not apply to these documents because they were not compiled for law enforcement purposes in a Lawful national security investigation. The District Court rejected appellant's position, holding that the CIA's investigation of Marks was a "lawful national security intelligence investigation" under Exemption 7(D).
We held in Weissman that the CIA's investigation was not lawful and that the Agency could therefore not rely on Exemption 7 to refuse the plaintiff's FOIA request. Our conclusion was based on an analysis of the language and legislative history of the statute creating the CIA. We noted that the "National Security Act of 1947 * * * specifically provided that the 'Agency shall have no police, subpena, law-enforcement powers, or internal-security functions.' 50 U.S.C. § 403(d) (3)." 184 U.S.App.D.C. at 120, 565 F.2d at 695.11 We also recognized the reason behind this express limitation on the CIA's authority: Congress' firm resolve to insure that the CIA's "power that flows from money and stealth" could not be turned loose in domestic investigations of Americans.12 "Congress wisely sought at the outset to make sure that when it released the CIA genie from the lamp, the Agency would be prevented from using its enormous resources and broad delegation of power to place United States citizens living at home under surveillance and scrutiny." Id. We were not persuaded by the CIA's argument, also relied on by the Agency and by the District Court in this case, that when, in another provision of Section 403(d) (3), Congress made the Director of Central Intelligence "responsible for protecting intelligence sources and methods from unauthorized disclosure," it meant to Grant the CIA the very same authority it had just specifically Denied it.13
Judge Leventhal's formulation is disturbingly open-ended; it seemingly invites CIA investigations of employees of other agencies, so long as they have a CIA clearance somewhere in their backgrounds, even if, as in the present case, the individual is or has been a key congressional aide. See text and note at note 17 Infra. This is hardly in keeping with Congress' expressed determination to keep the CIA out of domestic investigations, a determination that requires the same result both in this case and in Weissman. See 50 U.S.C. § 403(d) (3) (1970); text and notes at notes 11-13 Supra. Distinguishing between the investigation here and that in Weissman would create an uncertain line between legitimate and illegitimate national security investigations. Although Weissman to his own knowledge had "no contact" with the CIA, the Agency had conducted a continuing "background" investigation of him as a possible candidate for employment for five years, accumulating a volume of material at least as great as that generated in the Agency's investigation of Marks.14 Such "background" investigations of prospective employees are among those the CIA has traditionally claimed it is authorized to conduct.15
The District Court rejected appellant's motion for In camera inspection of the withheld documents, and its opinion on Exemption 3 dealt only with the legal issue whether Section 403(d) (3) of the National Security Act qualified as a statute specifically exempting materials from disclosure under the pre-amendment version of Exemption 3.20 Although we have recently held that this statute still qualifies under Exemption 3 as amended, Ray v. Turner, supra, 190 U.S.App.D.C. at ---, 587 F.2d at 1196, the District Court's inquiry cannot end with this conclusion. As I pointed out in Ray, the District Court must also determine the conditions for exemption established by the exempting statute and decide whether the particular documents requested satisfy these conditions. Id., 190 U.S.App.D.C. at ---, 587 F.2d at 1219-1221 (Wright, C. J., concurring). This determination may well require the In camera inspection the District Court declined to undertake in this case.21 Since the District Court's opinion does not reflect an adequate analysis of the factual issues involved, its consideration on remand should follow the procedures for De novo review outlined in Ray v. Turner. Id., 190 U.S.App.D.C. at ---, 587 F.2d at 1219-1221 (Wright, C. J., concurring).
Marks v. CIA, 426 F. Supp. 708, 709 (D.D.C. 1976)
50 U.S.C. § 403(d) (3) provides in pertinent part:
In view of our differences over the extent to which we should consider Exemption 7 of the FOIA, 5 U.S.C. § 552(b) (7) (1976), on this appeal, I have decided to state my position separately and in full. For a discussion of why Exemption 7 requires full treatment now, See note 5 Infra
Marks v. CIA, 426 F. Supp. 708 (D.D.C. 1976)
The Agency has released a previously withheld portion of Document 10, which had been withheld under Exemption 7(E) because it would allegedly "disclose investigative techniques and procedures." 5 U.S.C. § 552(b) (7) (E) (1976). The Agency formerly described the portion now released as "information which is a product of the national security intelligence investigation and which if released or described in any manner would disclose the intelligence method and the investigative technique utilized * * * ." Affidavit of Robert Gambino, Director of Security, CIA, April 23, 1976, JA 30. The now released portions of Document 10 contain Photographs of appellant Marks and other individuals On the street outside a restaurant. At least on their face such photographs do not qualify as the kind of investigative techniques and procedures Congress intended to protect from disclosure. Congress expressly directed that Exemption 7(E) "should not be interpreted to include routine techniques and procedures already well known to the public * * * ." H.R. Rep. No. 93-1380, 93d Cong., 2d Sess. 12 (1974). It is noted that the government has not only released this portion of Document 10, but has also declined to press its Exemption 7(E) claims with regard to the other four contested documents. See appellees' brief at 12 n.4
In spite of the District Court's holding that the relevant documents are exempt under both Exemption 3 and Exemption 7, Marks v. CIA, supra note 3, 426 F. Supp. at 710-712, Judge Leventhal's opinion refuses to confront the legal issues raised by the CIA's reliance on Exemption 7 in this case. Since it is conceivable that the District Court on remand may find All of the relevant documents Entirely covered by Exemption 3, he reasons in one portion of his opinion, there exists "the possibility that there will be no need to consider the legal issues under Exemption 7." Opinion of Leventhal, J., 191 U.S.App.D.C. at ----, 590 F.2d at 1000. "The matter," he continues, "calls for judgment in judicial administration." Id. Yet in another portion of his opinion Judge Leventhal suggests that lack of ripeness for decision, not judicial economy, is at the core of his reluctance to decide the legal issues raised by Exemption 7. Id., 191 U.S.App.D.C. at ----, 590 F.2d at 1003. Both reasons for ignoring the legal issues relating to Exemption 7 raised on this appeal are unpersuasive
As to judicial economy, nearly three and one-half years have passed since appellant in this case first wrote the CIA in his attempt to ascertain what information the Agency had gathered on him. Affidavit of Robert S. Young, Supra note 3, JA 18 (Quoting letter sent by appellant to CIA on March 10, 1975). Almost three years have expired since appellant first filed this suit under the FOIA. Marks v. CIA, supra note 3, 426 F. Supp. at 709 (suit filed on October 20, 1975). And nearly two years have passed since the District Court's judgment in the autumn of 1976. Yet appellant is now confronted with a "judgment in judicial administration" that, notwithstanding his 40-month trek through the recesses of the Freedom of Information Act, consigns him not only to a second round in the District Court, but also to the possibility of a third round, in the event the District Court on remand finds that portions of the documents are segregable (not covered by Exemption 3) but then misapplies Exemption 7. Since the District Court has already found that not only Exemption 3 but Exemption 7 as well applies to the four documents under review, what acceptable judgment in judicial administration can support our avoiding decision with respect to Exemption 7 now, so that, if necessary, on This remand the District Court can decide as to both Exemptions 3 and 7 and thus avoid the possibility of unnecessary further remands?
Delay, such as that which the majority opinion may cause in this case, is particularly inappropriate in a FOIA suit, since Congress has mandated that such cases be expedited. See 5 U.S.C. § 552(a) (3) (1976) (requiring agencies to make records available "promptly"); Id. § 552(a) (4) (D) (requiring District Courts to assign FOIA cases to be heard on the "earliest practicable date"; FOIA cases "take precedence on the docket over all cases" except those the court considers of greater importance). It is submitted that judgments in judicial administration must be subordinated to the will of Congress, which, in the words of the Supreme Court, is to provide aggrieved citizens "a speedy remedy in district courts." EPA v. Mink, 410 U.S. 73, 79, 93 S. Ct. 827, 832, 35 L. Ed. 2d 119 (1973). This court can comply with the clear mandate of Congress to expedite FOIA cases only by addressing both Exemption 3 and Exemption 7 now, since the District Court held that the four documents in suit were protected from production under both exemptions.
The majority also expresses concern about the ripeness of the Exemption 7 issues in this case. Exemption 7, with certain qualifications indicated therein, exempts from disclosure under FOIA documents "compiled for law enforcement purposes." 50 U.S.C. § 403(d) (3) provides, Inter alia, that the CIA "shall have no police, subpena, law-enforcement powers, or internal security functions." See Weissman v. CIA, 184 U.S.App.D.C. 117, 119-121, 565 F.2d 692, 694-696 (1977). Thus the question is whether the CIA had statutory authority to compile the documents in suit for law enforcement purposes. If it did not, obviously Exemption 7 does not apply to them. This, of course, is a legal question which, considering the extended character of this litigation, in my judgment is more than ripe, rather than unripe, for adjudication now.
The full text of 50 U.S.C. § 403(d) (3) (1970) reads:
Although the discussion in text focuses on the Agency's misplaced reliance on 7(D) the only Exemption 7 claim relied on by the CIA it is not clear that the Agency's activities fall within any of the six subcategories in Exemption 7. Exemption 7 is prefaced by a general prescription that the only materials within its scope are "investigative records compiled for law enforcement purposes." 5 U.S.C. § 552(b) (7) (1976). As the statutory language quoted above makes clear, Congress denied the CIA any "law-enforcement powers," which would suggest that the CIA would not be able to avail itself of any of the Exemption's subcategories. Indeed, this court in Weissman appeared to reach this conclusion. 184 U.S.App.D.C. at 119-121, 565 F.2d at 694-696.
Compare Weissman v. CIA, supra note 5, 184 U.S.App.D.C. at 118-119, 565 F.2d at 693-694, With Marks v. CIA, supra note 3, 426 F. Supp. at 709
The CIA relies in part on recent Executive orders, which the Agency interprets to sanction the type of investigation undertaken in this case. See appellees' brief at 20-21; Executive Order 11905 § 4(b) (8), 3 C.F.R. 90, 96 (1977); Executive Order 10236 §§ 1-604(a), 1-811, 2-208(c) (Jan. 24, 1978). The short answer to these arguments is that the Executive Branch cannot grant to one of its departments authority that Congress has specifically withheld. In addition, the passages relied on are not free from ambiguity, and the same Executive orders indicate an intent to limit severely the CIA's role in domestic intelligence investigations. See, E. g., Executive Order 10236, Supra, § 1-707 (senior officials in each agency in the Intelligence Community directed, "(i)n any case involving serious or continuing breaches of security, (to) recommend to the Attorney General that the case be referred to the FBI for further investigation")
Marks v. CIA, supra note 3, 426 F. Supp. at 709-711
In denying In camera inspection the District Court found that Marks had failed to prove that the Agency had acted in bad faith. 426 F. Supp. at 710 n. 3. In his affidavit Marks questions the good faith of the Agency as best he can on the basis of the limited information available to him, and he alleges the kind of facts that could easily be checked by a brief examination of the disputed documents. See, e. g., Affidavit of John D. Marks, Supra note 4, P 6, JA 42-43 (discussing Document 7). It should be pointed out, however, that there need be no finding of bad faith on the part of an agency as a predicate for De novo, in camera review by the District Court. See Halperin v. CIA, 446 F. Supp. 661, 666-667 (D.D.C. 1978) (despite specific finding of agency's good faith In camera inspection resulted in disclosure of additional information)